action research background of the study example

Educational resources and simple solutions for your research journey

What is the Background of a Study and How to Write It (Examples Included)

Have you ever found yourself struggling to write a background of the study for your research paper? You’re not alone. While the background of a study is an essential element of a research manuscript, it’s also one of the most challenging pieces to write. This is because it requires researchers to provide context and justification for their research, highlight the significance of their study, and situate their work within the existing body of knowledge in the field.  

Despite its challenges, the background of a study is crucial for any research paper. A compelling well-written background of the study can not only promote confidence in the overall quality of your research analysis and findings, but it can also determine whether readers will be interested in knowing more about the rest of the research study.  

In this article, we’ll explore the key elements of the background of a study and provide simple guidelines on how to write one effectively. Whether you’re a seasoned researcher or a graduate student working on your first research manuscript, this post will explain how to write a background for your study that is compelling and informative.  

Table of Contents

What is the background of a study ?  

Typically placed in the beginning of your research paper, the background of a study serves to convey the central argument of your study and its significance clearly and logically to an uninformed audience. The background of a study in a research paper helps to establish the research problem or gap in knowledge that the study aims to address, sets the stage for the research question and objectives, and highlights the significance of the research. The background of a study also includes a review of relevant literature, which helps researchers understand where the research study is placed in the current body of knowledge in a specific research discipline. It includes the reason for the study, the thesis statement, and a summary of the concept or problem being examined by the researcher. At times, the background of a study can may even examine whether your research supports or contradicts the results of earlier studies or existing knowledge on the subject.  

How is the background of a study different from the introduction?  

It is common to find early career researchers getting confused between the background of a study and the introduction in a research paper. Many incorrectly consider these two vital parts of a research paper the same and use these terms interchangeably. The confusion is understandable, however, it’s important to know that the introduction and the background of the study are distinct elements and serve very different purposes.   

• The basic different between the background of a study and the introduction is kind of information that is shared with the readers . While the introduction provides an overview of the specific research topic and touches upon key parts of the research paper, the background of the study presents a detailed discussion on the existing literature in the field, identifies research gaps, and how the research being done will add to current knowledge.  
• The introduction aims to capture the reader’s attention and interest and to provide a clear and concise summary of the research project. It typically begins with a general statement of the research problem and then narrows down to the specific research question. It may also include an overview of the research design, methodology, and scope. The background of the study outlines the historical, theoretical, and empirical background that led to the research question to highlight its importance. It typically offers an overview of the research field and may include a review of the literature to highlight gaps, controversies, or limitations in the existing knowledge and to justify the need for further research.  
• Both these sections appear at the beginning of a research paper. In some cases the introduction may come before the background of the study , although in most instances the latter is integrated into the introduction itself. The length of the introduction and background of a study can differ based on the journal guidelines and the complexity of a specific research study.  

Learn to convey study relevance, integrate literature reviews, and articulate research gaps in the background section. Get your All Access Pack now!    

To put it simply, the background of the study provides context for the study by explaining how your research fills a research gap in existing knowledge in the field and how it will add to it. The introduction section explains how the research fills this gap by stating the research topic, the objectives of the research and the findings – it sets the context for the rest of the paper.   

Where is the background of a study placed in a research paper?  

T he background of a study is typically placed in the introduction section of a research paper and is positioned after the statement of the problem. Researchers should try and present the background of the study in clear logical structure by dividing it into several sections, such as introduction, literature review, and research gap. This will make it easier for the reader to understand the research problem and the motivation for the study.  

So, when should you write the background of your study ? It’s recommended that researchers write this section after they have conducted a thorough literature review and identified the research problem, research question, and objectives. This way, they can effectively situate their study within the existing body of knowledge in the field and provide a clear rationale for their research.  

Creating an effective background of a study structure  

Given that the purpose of writing the background of your study is to make readers understand the reasons for conducting the research, it is important to create an outline and basic framework to work within. This will make it easier to write the background of the study and will ensure that it is comprehensive and compelling for readers.  

While creating a background of the study structure for research papers, it is crucial to have a clear understanding of the essential elements that should be included. Make sure you incorporate the following elements in the background of the study section :   

• Present a general overview of the research topic, its significance, and main aims; this may be like establishing the “importance of the topic” in the introduction.   
• Discuss the existing level of research done on the research topic or on related topics in the field to set context for your research. Be concise and mention only the relevant part of studies, ideally in chronological order to reflect the progress being made.  
• Highlight disputes in the field as well as claims made by scientists, organizations, or key policymakers that need to be investigated. This forms the foundation of your research methodology and solidifies the aims of your study.   
• Describe if and how the methods and techniques used in the research study are different from those used in previous research on similar topics.   

By including these critical elements in the background of your study , you can provide your readers with a comprehensive understanding of your research and its context.  

How to write a background of the study in research papers ?  

Now that you know the essential elements to include, it’s time to discuss how to write the background of the study in a concise and interesting way that engages audiences. The best way to do this is to build a clear narrative around the central theme of your research so that readers can grasp the concept and identify the gaps that the study will address. While the length and detail presented in the background of a study could vary depending on the complexity and novelty of the research topic, it is imperative to avoid wordiness. For research that is interdisciplinary, mentioning how the disciplines are connected and highlighting specific aspects to be studied helps readers understand the research better.   

While there are different styles of writing the background of a study , it always helps to have a clear plan in place. Let us look at how to write a background of study for research papers.    

• Identify the research problem: Begin the background by defining the research topic, and highlighting the main issue or question that the research aims to address. The research problem should be clear, specific, and relevant to the field of study. It should be framed using simple, easy to understand language and must be meaningful to intended audiences.  
• Craft an impactful statement of the research objectives: While writing the background of the study it is critical to highlight the research objectives and specific goals that the study aims to achieve. The research objectives should be closely related to the research problem and must be aligned with the overall purpose of the study.  
• Conduct a review of available literature: When writing the background of the research , provide a summary of relevant literature in the field and related research that has been conducted around the topic. Remember to record the search terms used and keep track of articles that you read so that sources can be cited accurately. Ensure that the literature you include is sourced from credible sources.  
• Address existing controversies and assumptions: It is a good idea to acknowledge and clarify existing claims and controversies regarding the subject of your research. For example, if your research topic involves an issue that has been widely discussed due to ethical or politically considerations, it is best to address them when writing the background of the study .  
• Present the relevance of the study: It is also important to provide a justification for the research. This is where the researcher explains why the study is important and what contributions it will make to existing knowledge on the subject. Highlighting key concepts and theories and explaining terms and ideas that may feel unfamiliar to readers makes the background of the study content more impactful.  
• Proofread to eliminate errors in language, structure, and data shared: Once the first draft is done, it is a good idea to read and re-read the draft a few times to weed out possible grammatical errors or inaccuracies in the information provided. In fact, experts suggest that it is helpful to have your supervisor or peers read and edit the background of the study . Their feedback can help ensure that even inadvertent errors are not overlooked.  

Get exclusive discounts on e xpert-led editing to publication support with Researcher.Life’s All Access Pack. Get yours now!  

How to avoid mistakes in writing the background of a study  

While figuring out how to write the background of a study , it is also important to know the most common mistakes authors make so you can steer clear of these in your research paper.   

• Write the background of a study in a formal academic tone while keeping the language clear and simple. Check for the excessive use of jargon and technical terminology that could confuse your readers.   
• Avoid including unrelated concepts that could distract from the subject of research. Instead, focus your discussion around the key aspects of your study by highlighting gaps in existing literature and knowledge and the novelty and necessity of your study.   
• Provide relevant, reliable evidence to support your claims and citing sources correctly; be sure to follow a consistent referencing format and style throughout the paper.   
• Ensure that the details presented in the background of the study are captured chronologically and organized into sub-sections for easy reading and comprehension.  
• Check the journal guidelines for the recommended length for this section so that you include all the important details in a concise manner. 

By keeping these tips in mind, you can create a clear, concise, and compelling background of the study for your research paper. Take this example of a background of the study on the impact of social media on mental health.  

Social media has become a ubiquitous aspect of modern life, with people of all ages, genders, and backgrounds using platforms such as Facebook, Instagram, and Twitter to connect with others, share information, and stay updated on news and events. While social media has many potential benefits, including increased social connectivity and access to information, there is growing concern about its impact on mental health.   Research has suggested that social media use is associated with a range of negative mental health outcomes, including increased rates of anxiety, depression, and loneliness. This is thought to be due, in part, to the social comparison processes that occur on social media, whereby users compare their lives to the idealized versions of others that are presented online.   Despite these concerns, there is also evidence to suggest that social media can have positive effects on mental health. For example, social media can provide a sense of social support and community, which can be beneficial for individuals who are socially isolated or marginalized.   Given the potential benefits and risks of social media use for mental health, it is important to gain a better understanding of the mechanisms underlying these effects. This study aims to investigate the relationship between social media use and mental health outcomes, with a particular focus on the role of social comparison processes. By doing so, we hope to shed light on the potential risks and benefits of social media use for mental health, and to provide insights that can inform interventions and policies aimed at promoting healthy social media use.  

To conclude, the background of a study is a crucial component of a research manuscript and must be planned, structured, and presented in a way that attracts reader attention, compels them to read the manuscript, creates an impact on the minds of readers and sets the stage for future discussions. 

A well-written background of the study not only provides researchers with a clear direction on conducting their research, but it also enables readers to understand and appreciate the relevance of the research work being done.   

Frequently Asked Questions (FAQs) on background of the study

Q: How does the background of the study help the reader understand the research better?

The background of the study plays a crucial role in helping readers understand the research better by providing the necessary context, framing the research problem, and establishing its significance. It helps readers:

• understand the larger framework, historical development, and existing knowledge related to a research topic
• identify gaps, limitations, or unresolved issues in the existing literature or knowledge
• outline potential contributions, practical implications, or theoretical advancements that the research aims to achieve
• and learn the specific context and limitations of the research project

Q: Does the background of the study need citation?

Yes, the background of the study in a research paper should include citations to support and acknowledge the sources of information and ideas presented. When you provide information or make statements in the background section that are based on previous studies, theories, or established knowledge, it is important to cite the relevant sources. This establishes credibility, enables verification, and demonstrates the depth of literature review you’ve done.

Q: What is the difference between background of the study and problem statement?

The background of the study provides context and establishes the research’s foundation while the problem statement clearly states the problem being addressed and the research questions or objectives.

Editage All Access is a subscription-based platform that unifies the best AI tools and services designed to speed up, simplify, and streamline every step of a researcher’s journey. The Editage All Access Pack is a one-of-a-kind subscription that unlocks full access to an AI writing assistant, literature recommender, journal finder, scientific illustration tool, and exclusive discounts on professional publication services from Editage.  

Based on 22+ years of experience in academia, Editage All Access empowers researchers to put their best research forward and move closer to success. Explore our top AI Tools pack, AI Tools + Publication Services pack, or Build Your Own Plan. Find everything a researcher needs to succeed, all in one place –  Get All Access now starting at just $14 a month !    

Related Posts

Top 7 Tried and Tested Paraphrasing Techniques

Annex vs Appendix: What is the difference?

Have a language expert improve your writing

Run a free plagiarism check in 10 minutes, generate accurate citations for free.

• Knowledge Base

Methodology

• What Is Action Research? | Definition & Examples

What Is Action Research? | Definition & Examples

Published on January 27, 2023 by Tegan George . Revised on January 12, 2024.

Table of contents

Types of action research, action research models, examples of action research, action research vs. traditional research, advantages and disadvantages of action research, other interesting articles, frequently asked questions about action research.

There are 2 common types of action research: participatory action research and practical action research.

• Participatory action research emphasizes that participants should be members of the community being studied, empowering those directly affected by outcomes of said research. In this method, participants are effectively co-researchers, with their lived experiences considered formative to the research process.
• Practical action research focuses more on how research is conducted and is designed to address and solve specific issues.

Both types of action research are more focused on increasing the capacity and ability of future practitioners than contributing to a theoretical body of knowledge.

Prevent plagiarism. Run a free check.

Action research is often reflected in 3 action research models: operational (sometimes called technical), collaboration, and critical reflection.

• Operational (or technical) action research is usually visualized like a spiral following a series of steps, such as “planning → acting → observing → reflecting.”
• Collaboration action research is more community-based, focused on building a network of similar individuals (e.g., college professors in a given geographic area) and compiling learnings from iterated feedback cycles.
• Critical reflection action research serves to contextualize systemic processes that are already ongoing (e.g., working retroactively to analyze existing school systems by questioning why certain practices were put into place and developed the way they did).

Action research is often used in fields like education because of its iterative and flexible style.

After the information was collected, the students were asked where they thought ramps or other accessibility measures would be best utilized, and the suggestions were sent to school administrators. Example: Practical action research Science teachers at your city’s high school have been witnessing a year-over-year decline in standardized test scores in chemistry. In seeking the source of this issue, they studied how concepts are taught in depth, focusing on the methods, tools, and approaches used by each teacher.

Action research differs sharply from other types of research in that it seeks to produce actionable processes over the course of the research rather than contributing to existing knowledge or drawing conclusions from datasets. In this way, action research is formative , not summative , and is conducted in an ongoing, iterative way.

As such, action research is different in purpose, context, and significance and is a good fit for those seeking to implement systemic change.

Receive feedback on language, structure, and formatting

Professional editors proofread and edit your paper by focusing on:

• Academic style
• Vague sentences
• Style consistency

See an example

Action research comes with advantages and disadvantages.

• Action research is highly adaptable , allowing researchers to mold their analysis to their individual needs and implement practical individual-level changes.
• Action research provides an immediate and actionable path forward for solving entrenched issues, rather than suggesting complicated, longer-term solutions rooted in complex data.
• Done correctly, action research can be very empowering , informing social change and allowing participants to effect that change in ways meaningful to their communities.

Disadvantages

• Due to their flexibility, action research studies are plagued by very limited generalizability  and are very difficult to replicate . They are often not considered theoretically rigorous due to the power the researcher holds in drawing conclusions.
• Action research can be complicated to structure in an ethical manner . Participants may feel pressured to participate or to participate in a certain way.
• Action research is at high risk for research biases such as selection bias , social desirability bias , or other types of cognitive biases .

If you want to know more about statistics , methodology , or research bias , make sure to check out some of our other articles with explanations and examples.

• Normal distribution
• Degrees of freedom
• Null hypothesis
• Discourse analysis
• Control groups
• Mixed methods research
• Non-probability sampling
• Quantitative research
• Inclusion and exclusion criteria

Research bias

• Rosenthal effect
• Implicit bias
• Cognitive bias
• Selection bias
• Negativity bias
• Status quo bias

Action research is conducted in order to solve a particular issue immediately, while case studies are often conducted over a longer period of time and focus more on observing and analyzing a particular ongoing phenomenon.

Action research is focused on solving a problem or informing individual and community-based knowledge in a way that impacts teaching, learning, and other related processes. It is less focused on contributing theoretical input, instead producing actionable input.

Action research is particularly popular with educators as a form of systematic inquiry because it prioritizes reflection and bridges the gap between theory and practice. Educators are able to simultaneously investigate an issue as they solve it, and the method is very iterative and flexible.

A cycle of inquiry is another name for action research . It is usually visualized in a spiral shape following a series of steps, such as “planning → acting → observing → reflecting.”

Sources in this article

We strongly encourage students to use sources in their work. You can cite our article (APA Style) or take a deep dive into the articles below.

George, T. (2024, January 12). What Is Action Research? | Definition & Examples. Scribbr. Retrieved July 17, 2024, from https://www.scribbr.com/methodology/action-research/

Cohen, L., Manion, L., & Morrison, K. (2017). Research methods in education (8th edition). Routledge.

Naughton, G. M. (2001).  Action research (1st edition). Routledge.

Is this article helpful?

Tegan George

Other students also liked, what is an observational study | guide & examples, primary research | definition, types, & examples, guide to experimental design | overview, steps, & examples, what is your plagiarism score.

• Resources Home 🏠
• Try SciSpace Copilot
• Search research papers
• Add Copilot Extension
• Try AI Detector
• Try Paraphraser
• Try Citation Generator
• April Papers
• June Papers
• July Papers

How to Write an Effective Background of the Study: A Comprehensive Guide

Table of Contents

The background of the study in a research paper offers a clear context, highlighting why the research is essential and the problem it aims to address.

As a researcher, this foundational section is essential for you to chart the course of your study, Moreover, it allows readers to understand the importance and path of your research.

Whether in academic communities or to the general public, a well-articulated background aids in communicating the essence of the research effectively.

While it may seem straightforward, crafting an effective background requires a blend of clarity, precision, and relevance. Therefore, this article aims to be your guide, offering insights into:

• Understanding the concept of the background of the study.
• Learning how to craft a compelling background effectively.
• Identifying and sidestepping common pitfalls in writing the background.
• Exploring practical examples that bring the theory to life.
• Enhancing both your writing and reading of academic papers.

Keeping these compelling insights in mind, let's delve deeper into the details of the empirical background of the study, exploring its definition, distinctions, and the art of writing it effectively.

What is the background of the study?

The background of the study is placed at the beginning of a research paper. It provides the context, circumstances, and history that led to the research problem or topic being explored.

It offers readers a snapshot of the existing knowledge on the topic and the reasons that spurred your current research.

When crafting the background of your study, consider the following questions.

• What's the context of your research?
• Which previous research will you refer to?
• Are there any knowledge gaps in the existing relevant literature?
• How will you justify the need for your current research?
• Have you concisely presented the research question or problem?

In a typical research paper structure, after presenting the background, the introduction section follows. The introduction delves deeper into the specific objectives of the research and often outlines the structure or main points that the paper will cover.

Together, they create a cohesive starting point, ensuring readers are well-equipped to understand the subsequent sections of the research paper.

While the background of the study and the introduction section of the research manuscript may seem similar and sometimes even overlap, each serves a unique purpose in the research narrative.

Difference between background and introduction

A well-written background of the study and introduction are preliminary sections of a research paper and serve distinct purposes.

Here’s a detailed tabular comparison between the two of them.

What is the relevance of the background of the study?

It is necessary for you to provide your readers with the background of your research. Without this, readers may grapple with questions such as: Why was this specific research topic chosen? What led to this decision? Why is this study relevant? Is it worth their time?

Such uncertainties can deter them from fully engaging with your study, leading to the rejection of your research paper. Additionally, this can diminish its impact in the academic community, and reduce its potential for real-world application or policy influence .

To address these concerns and offer clarity, the background section plays a pivotal role in research papers.

The background of the study in research is important as it:

• Provides context: It offers readers a clear picture of the existing knowledge, helping them understand where the current research fits in.
• Highlights relevance: By detailing the reasons for the research, it underscores the study's significance and its potential impact.
• Guides the narrative: The background shapes the narrative flow of the paper, ensuring a logical progression from what's known to what the research aims to uncover.
• Enhances engagement: A well-crafted background piques the reader's interest, encouraging them to delve deeper into the research paper.
• Aids in comprehension: By setting the scenario, it aids readers in better grasping the research objectives, methodologies, and findings.

How to write the background of the study in a research paper?

The journey of presenting a compelling argument begins with the background study. This section holds the power to either captivate or lose the reader's interest.

An effectively written background not only provides context but also sets the tone for the entire research paper. It's the bridge that connects a broad topic to a specific research question, guiding readers through the logic behind the study.

But how does one craft a background of the study that resonates, informs, and engages?

Here, we’ll discuss how to write an impactful background study, ensuring your research stands out and captures the attention it deserves.

Identify the research problem

The first step is to start pinpointing the specific issue or gap you're addressing. This should be a significant and relevant problem in your field.

A well-defined problem is specific, relevant, and significant to your field. It should resonate with both experts and readers.

Here’s more on how to write an effective research problem .

Provide context

Here, you need to provide a broader perspective, illustrating how your research aligns with or contributes to the overarching context or the wider field of study. A comprehensive context is grounded in facts, offers multiple perspectives, and is relatable.

In addition to stating facts, you should weave a story that connects key concepts from the past, present, and potential future research. For instance, consider the following approach.

• Offer a brief history of the topic, highlighting major milestones or turning points that have shaped the current landscape.
• Discuss contemporary developments or current trends that provide relevant information to your research problem. This could include technological advancements, policy changes, or shifts in societal attitudes.
• Highlight the views of different stakeholders. For a topic like sustainable agriculture, this could mean discussing the perspectives of farmers, environmentalists, policymakers, and consumers.
• If relevant, compare and contrast global trends with local conditions and circumstances. This can offer readers a more holistic understanding of the topic.

Literature review

For this step, you’ll deep dive into the existing literature on the same topic. It's where you explore what scholars, researchers, and experts have already discovered or discussed about your topic.

Conducting a thorough literature review isn't just a recap of past works. To elevate its efficacy, it's essential to analyze the methods, outcomes, and intricacies of prior research work, demonstrating a thorough engagement with the existing body of knowledge.

• Instead of merely listing past research study, delve into their methodologies, findings, and limitations. Highlight groundbreaking studies and those that had contrasting results.
• Try to identify patterns. Look for recurring themes or trends in the literature. Are there common conclusions or contentious points?
• The next step would be to connect the dots. Show how different pieces of research relate to each other. This can help in understanding the evolution of thought on the topic.

By showcasing what's already known, you can better highlight the background of the study in research.

Highlight the research gap

This step involves identifying the unexplored areas or unanswered questions in the existing literature. Your research seeks to address these gaps, providing new insights or answers.

A clear research gap shows you've thoroughly engaged with existing literature and found an area that needs further exploration.

How can you efficiently highlight the research gap?

• Find the overlooked areas. Point out topics or angles that haven't been adequately addressed.
• Highlight questions that have emerged due to recent developments or changing circumstances.
• Identify areas where insights from other fields might be beneficial but haven't been explored yet.

State your objectives

Here, it’s all about laying out your game plan — What do you hope to achieve with your research? You need to mention a clear objective that’s specific, actionable, and directly tied to the research gap.

How to state your objectives?

• List the primary questions guiding your research.
• If applicable, state any hypotheses or predictions you aim to test.
• Specify what you hope to achieve, whether it's new insights, solutions, or methodologies.

Discuss the significance

This step describes your 'why'. Why is your research important? What broader implications does it have?

The significance of “why” should be both theoretical (adding to the existing literature) and practical (having real-world implications).

How do we effectively discuss the significance?

• Discuss how your research adds to the existing body of knowledge.
• Highlight how your findings could be applied in real-world scenarios, from policy changes to on-ground practices.
• Point out how your research could pave the way for further studies or open up new areas of exploration.

Summarize your points

A concise summary acts as a bridge, smoothly transitioning readers from the background to the main body of the paper. This step is a brief recap, ensuring that readers have grasped the foundational concepts.

How to summarize your study?

• Revisit the key points discussed, from the research problem to its significance.
• Prepare the reader for the subsequent sections, ensuring they understand the research's direction.

Include examples for better understanding

Research and come up with real-world or hypothetical examples to clarify complex concepts or to illustrate the practical applications of your research. Relevant examples make abstract ideas tangible, aiding comprehension.

How to include an effective example of the background of the study?

• Use past events or scenarios to explain concepts.
• Craft potential scenarios to demonstrate the implications of your findings.
• Use comparisons to simplify complex ideas, making them more relatable.

Crafting a compelling background of the study in research is about striking the right balance between providing essential context, showcasing your comprehensive understanding of the existing literature, and highlighting the unique value of your research .

While writing the background of the study, keep your readers at the forefront of your mind. Every piece of information, every example, and every objective should be geared toward helping them understand and appreciate your research.

How to avoid mistakes in the background of the study in research?

To write a well-crafted background of the study, you should be aware of the following potential research pitfalls .

• Stay away from ambiguity. Always assume that your reader might not be familiar with intricate details about your topic.
• Avoid discussing unrelated themes. Stick to what's directly relevant to your research problem.
• Ensure your background is well-organized. Information should flow logically, making it easy for readers to follow.
• While it's vital to provide context, avoid overwhelming the reader with excessive details that might not be directly relevant to your research problem.
• Ensure you've covered the most significant and relevant studies i` n your field. Overlooking key pieces of literature can make your background seem incomplete.
• Aim for a balanced presentation of facts, and avoid showing overt bias or presenting only one side of an argument.
• While academic paper often involves specialized terms, ensure they're adequately explained or use simpler alternatives when possible.
• Every claim or piece of information taken from existing literature should be appropriately cited. Failing to do so can lead to issues of plagiarism.
• Avoid making the background too lengthy. While thoroughness is appreciated, it should not come at the expense of losing the reader's interest. Maybe prefer to keep it to one-two paragraphs long.
• Especially in rapidly evolving fields, it's crucial to ensure that your literature review section is up-to-date and includes the latest research.

Example of an effective background of the study

Let's consider a topic: "The Impact of Online Learning on Student Performance." The ideal background of the study section for this topic would be as follows.

In the last decade, the rise of the internet has revolutionized many sectors, including education. Online learning platforms, once a supplementary educational tool, have now become a primary mode of instruction for many institutions worldwide. With the recent global events, such as the COVID-19 pandemic, there has been a rapid shift from traditional classroom learning to online modes, making it imperative to understand its effects on student performance.

Previous studies have explored various facets of online learning, from its accessibility to its flexibility. However, there is a growing need to assess its direct impact on student outcomes. While some educators advocate for its benefits, citing the convenience and vast resources available, others express concerns about potential drawbacks, such as reduced student engagement and the challenges of self-discipline.

This research aims to delve deeper into this debate, evaluating the true impact of online learning on student performance.

Why is this example considered as an effective background section of a research paper?

This background section example effectively sets the context by highlighting the rise of online learning and its increased relevance due to recent global events. It references prior research on the topic, indicating a foundation built on existing knowledge.

By presenting both the potential advantages and concerns of online learning, it establishes a balanced view, leading to the clear purpose of the study: to evaluate the true impact of online learning on student performance.

As we've explored, writing an effective background of the study in research requires clarity, precision, and a keen understanding of both the broader landscape and the specific details of your topic.

From identifying the research problem, providing context, reviewing existing literature to highlighting research gaps and stating objectives, each step is pivotal in shaping the narrative of your research. And while there are best practices to follow, it's equally crucial to be aware of the pitfalls to avoid.

Remember, writing or refining the background of your study is essential to engage your readers, familiarize them with the research context, and set the ground for the insights your research project will unveil.

Drawing from all the important details, insights and guidance shared, you're now in a strong position to craft a background of the study that not only informs but also engages and resonates with your readers.

Now that you've a clear understanding of what the background of the study aims to achieve, the natural progression is to delve into the next crucial component — write an effective introduction section of a research paper. Read here .

Frequently Asked Questions

The background of the study should include a clear context for the research, references to relevant previous studies, identification of knowledge gaps, justification for the current research, a concise overview of the research problem or question, and an indication of the study's significance or potential impact.

The background of the study is written to provide readers with a clear understanding of the context, significance, and rationale behind the research. It offers a snapshot of existing knowledge on the topic, highlights the relevance of the study, and sets the stage for the research questions and objectives. It ensures that readers can grasp the importance of the research and its place within the broader field of study.

The background of the study is a section in a research paper that provides context, circumstances, and history leading to the research problem or topic being explored. It presents existing knowledge on the topic and outlines the reasons that spurred the current research, helping readers understand the research's foundation and its significance in the broader academic landscape.

The number of paragraphs in the background of the study can vary based on the complexity of the topic and the depth of the context required. Typically, it might range from 3 to 5 paragraphs, but in more detailed or complex research papers, it could be longer. The key is to ensure that all relevant information is presented clearly and concisely, without unnecessary repetition.

You might also like

Boosting Citations: A Comparative Analysis of Graphical Abstract vs. Video Abstract

The Impact of Visual Abstracts on Boosting Citations

Introducing SciSpace’s Citation Booster To Increase Research Visibility

• Affiliate Program

• UNITED STATES
• 台灣 (TAIWAN)
• TÜRKIYE (TURKEY)
• Academic Editing Services
• - Research Paper
• - Journal Manuscript
• - Dissertation
• - College & University Assignments
• Admissions Editing Services
• - Application Essay
• - Personal Statement
• - Recommendation Letter
• - Cover Letter
• - CV/Resume
• Business Editing Services
• - Business Documents
• - Report & Brochure
• - Website & Blog
• Writer Editing Services
• - Script & Screenplay
• Our Editors
• Client Reviews
• Editing & Proofreading Prices
• Wordvice Points
• Partner Discount
• Plagiarism Checker
• APA Citation Generator
• MLA Citation Generator
• Chicago Citation Generator
• Vancouver Citation Generator
• - APA Style
• - MLA Style
• - Chicago Style
• - Vancouver Style
• Writing & Editing Guide
• Academic Resources
• Admissions Resources

What is the Background of the Study and How to Write It

What is the Background of the Study in Research? 

The background of the study is the first section of a research paper and gives context surrounding the research topic. The background explains to the reader where your research journey started, why you got interested in the topic, and how you developed the research question that you will later specify. That means that you first establish the context of the research you did with a general overview of the field or topic and then present the key issues that drove your decision to study the specific problem you chose.

Once the reader understands where you are coming from and why there was indeed a need for the research you are going to present in the following—because there was a gap in the current research, or because there is an obvious problem with a currently used process or technology—you can proceed with the formulation of your research question and summarize how you are going to address it in the rest of your manuscript.

Why is the Background of the Study Important?

No matter how surprising and important the findings of your study are, if you do not provide the reader with the necessary background information and context, they will not be able to understand your reasons for studying the specific problem you chose and why you think your study is relevant. And more importantly, an editor who does not share your enthusiasm for your work (because you did not fill them in on all the important details) will very probably not even consider your manuscript worthy of their and the reviewers’ time and will immediately send it back to you.

To avoid such desk rejections , you need to make sure you pique the reader’s interest and help them understand the contribution of your work to the specific field you study, the more general research community, or the public. Introducing the study background is crucial to setting the scene for your readers.

Table of Contents:

• What is “Background Information” in a Research Paper?
• What Should the Background of a Research Paper Include?
• Where Does the Background Section Go in Your Paper?

Background of the Study Structure

Before writing your study background, it is essential to understand what to include. The following elements should all be included in the background and are presented in greater detail in the next section:

• A general overview of the topic and why it is important (overlaps with establishing the “importance of the topic” in the Introduction)
• The current state of the research on the topic or on related topics in the field
• Controversies about current knowledge or specific past studies that undergird your research methodology
• Any claims or assumptions that have been made by researchers, institutions, or politicians that might need to be clarified
• Methods and techniques used in the study or from which your study deviated in some way

Presenting the Study Background

As you begin introducing your background, you first need to provide a general overview and include the main issues concerning the topic. Depending on whether you do “basic” (with the aim of providing further knowledge) or “applied” research (to establish new techniques, processes, or products), this is either a literature review that summarizes all relevant earlier studies in the field or a description of the process (e.g., vote counting) or practice (e.g., diagnosis of a specific disease) that you think is problematic or lacking and needs a solution.

Example s of a general overview

If you study the function of a Drosophila gene, for example, you can explain to the reader why and for whom the study of fly genetics is relevant, what is already known and established, and where you see gaps in the existing literature. If you investigated how the way universities have transitioned into online teaching since the beginning of the Covid-19 pandemic has affected students’ learning progress, then you need to present a summary of what changes have happened around the world, what the effects of those changes have been so far, and where you see problems that need to be addressed. Note that you need to provide sources for every statement and every claim you make here, to establish a solid foundation of knowledge for your own study. 

Describing the current state of knowledge

When the reader understands the main issue(s), you need to fill them in more specifically on the current state of the field (in basic research) or the process/practice/product use you describe (in practical/applied research). Cite all relevant studies that have already reported on the Drosophila gene you are interested in, have failed to reveal certain functions of it, or have suggested that it might be involved in more processes than we know so far. Or list the reports from the education ministries of the countries you are interested in and highlight the data that shows the need for research into the effects of the Corona-19 pandemic on teaching and learning.

Discussing controversies, claims, and assumptions

Are there controversies regarding your topic of interest that need to be mentioned and/or addressed? For example, if your research topic involves an issue that is politically hot, you can acknowledge this here. Have any earlier claims or assumptions been made, by other researchers, institutions, or politicians, that you think need to be clarified?

Mentioning methodologies and approaches

While putting together these details, you also need to mention methodologies : What methods/techniques have been used so far to study what you studied and why are you going to either use the same or a different approach? Are any of the methods included in the literature review flawed in such a way that your study takes specific measures to correct or update? While you shouldn’t spend too much time here justifying your methods (this can be summarized briefly in the rationale of the study at the end of the Introduction and later in the Discussion section), you can engage with the crucial methods applied in previous studies here first.

When you have established the background of the study of your research paper in such a logical way, then the reader should have had no problem following you from the more general information you introduced first to the specific details you added later. You can now easily lead over to the relevance of your research, explain how your work fits into the bigger picture, and specify the aims and objectives of your study. This latter part is usually considered the “ statement of the problem ” of your study. Without a solid research paper background, this statement will come out of nowhere for the reader and very probably raise more questions than you were planning to answer.   

Where does the study background section go in a paper?

Unless you write a research proposal or some kind of report that has a specific “Background” chapter, the background of your study is the first part of your introduction section . This is where you put your work in context and provide all the relevant information the reader needs to follow your rationale. Make sure your background has a logical structure and naturally leads into the statement of the problem at the very end of the introduction so that you bring everything together for the reader to judge the relevance of your work and the validity of your approach before they dig deeper into the details of your study in the methods section .

Consider Receiving Professional Editing Services

Now that you know how to write a background section for a research paper, you might be interested in our AI Text Editor at Wordvice AI. And be sure to receive professional editing services , including academic editing and proofreading , before submitting your manuscript to journals. On the Wordvice academic resources website, you can also find many more articles and other resources that can help you with writing the other parts of your research paper , with making a research paper outline before you put everything together, or with writing an effective cover letter once you are ready to submit.

Research Methods and Design

• Action Research
• Case Study Design
• Literature Review
• Quantitative Research Methods
• Qualitative Research Methods
• Mixed Methods Study
• Indigenous Research and Ethics This link opens in a new window
• Identifying Empirical Research Articles This link opens in a new window
• Research Ethics and Quality
• Data Literacy
• Get Help with Writing Assignments

Action research

A type of applied research designed to find the most effective way to bring about a desired social change or to solve a practical problem, usually in collaboration with those being researched.

SAGE Research Methods Videos

How do you define action research.

Professor David Coghlan explains action research as an approach that crosses many academic disciplines yet has a shared focus on taking action to address a problem. He describes the difference between this approach and empirical scientific approaches, particularly highlighting the challenge of getting action research to be taken seriously by academic journals

Dr. Nataliya Ivankova defines action research as using systematic research principles to address an issue in everyday life. She delineates the six steps of action research, and illustrates the concept using an anti-diabetes project in an urban area.

This is just one segment in a whole series about action research. You can find the rest of the series in our SAGE database, Research Methods:

Videos covering research methods and statistics

Further Reading

• << Previous: Home
• Next: Case Study Design >>
• Last Updated: May 7, 2024 9:51 AM

CityU Home - CityU Catalog

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

Chapter 7: Action Research

Darshini Ayton

Learning outcomes

Upon completion of this chapter, you should be able to:

• Explain the purpose of an action research approach.
• Explain the action research cycle.
• Describe action research characteristics.

What is action research?

The key concept in action research is change or action .

Action research (also known as ‘participatory action research’) aligns well with the practice of health and social care because researchers and practitioners in this discipline work with people and communities in holistic and relational ways to understand the history, culture and context of the setting. Action research aims to understand the setting and improve it through change or action. 1 This method has its roots in activism and advocacy and is focused on solutions. It is practical and deals with real-world problems and issues. Action research often undergoes phases in seeking to understand the problem, plan a solution, implement the solution and then reflect on or evaluate the solution, cyclically and iteratively. Action research is used in the practice of health and social care because it has two fundamental aims: to improve and to involve. This chapter outlines how this is evident, using examples from the research literature (see Table 7.1.).

Action research as involvement

Action research is a collaborative process between researchers and community members. This process is a core component of action research and represents a significant shift from typical research methods. Through action research, those who are being researched become the researchers, with close consideration given to power dynamics. The research participants become partners in the research and are involved in identifying and prioritising the research area, designing and undertaking data collection, conducting data analysis, and interpreting and disseminating the results. 1 The research partners may be provided with support and training to enable them to undertake these activities and to promote empowerment and capacity building (see examples following). Patient and public involvement in research and healthcare improvement (known in Australia as ‘consumer and community involvement’), has led to action research gaining popularity as a research design that captures the ‘living knowledge’ with, for and by people and communities throughout the research journey.

As an example, in the project Relationships Matter for Youth ‘Aging Out’ of Care, 2 Doucet and colleagues aimed to examine relationships that matter to young people in care and how these relationships can be nurtured and supported over time. The project is a collaborative participatory action research study incorporating photovoice (see Chapter 17 for more information on photovoice). Eight young people, formerly in care and from diverse backgrounds, were recruited to the study. The lead researcher highlighted their own lived experience of the child welfare system and a consciousness of the power dynamics at play. The lead researcher created processes within the project to ensure the youth co-researchers were empowered to share their experiences and that the research team members were working with the youth co-researchers and not for them. These processes included three months of weekly facilitated group discussions, shared meals before project commencement and group outings and community engagement during the project to encourage connection, bonding and trust. The youth co-researchers were provided with photography training and digital cameras. Data collection included the youth co-researchers submitting 6–7 photographs with responses to the following questions for photo contextualisation:

• What does this photograph mean to you? Why is this photo, in particular, most significant to you?
• How do you see this photo as a reflection of the issue of supportive long-term relationships – and one that is relevant to you as a former youth in care in your community?
• What is the relationship between the content of the photo and how you perceive the community or the world around you? What recommendation for change in your community is associated with this photo? 2(para22)

The photographs were showcased at an exhibition that was open to the community; those in attendance included policymakers, advocates and community representatives. The change documented through this project was one of social transformation for the community and self-transformation and healing for the individuals.

Action research as improvement

Action research can be practitioner-led, whereby the study investigates problems identified by the practitioner with the goal of understanding and improving practice over time. Improvement can be both social improvement and healthcare improvement. Healthcare improvement, in particular quality (of healthcare) improvement, has been the focus of clinical practice, research, education and advocacy for more than 30 years. The two main frameworks guiding healthcare and quality improvement efforts are the Plan, Do, Study, Act (PDSA) cycle and Learning Health Systems. 3 Both of these frameworks lend themselves to action research. For example, the PDSA cycle is guided by three overarching questions:

• What are we trying to accomplish?
• How will we know that a change is an improvement?
• What change can we make that will result in improvement? 4(Figure1)

Learning Health Systems is another approach to quality improvement that has gained popularity over the past decade. Data collected by health services (e.g. patient data, health records, laboratory results) are used for knowledge creation in continuous and rapid cycles of study, feedback and practice change. 5 A Learning Health Systems framework incorporates systems science, data science, research methods for real-world contexts, implementation science, participatory research and quality improvement approaches.

Van Heerden and colleagues adopted an action research study to transform the practice and environment of neonatal care in the maternity section of a district hospital in South Africa. The study Strategies to sustain a quality improvement initiative in neonatal resuscitation 6 was conducted in three cycles. Cycle 1 was a situation analysis that explored and described the existing practices and factors influencing neonatal resuscitation and mortality in the hospital through administering questionnaires with nurses (n=69); a focus group with nine doctors; and an analysis of hospital records. A nominal group discussion (structured group discussion including prioritisation) was conducted with 10 managers and staff, followed by a reflective meeting with the project’s steering committee. Cycle 2 developed and implemented strategies to sustain a quality improvement initiative. The strategies addressed training, equipment and stock, staff attitudes, staff shortages, transport transfer for critically ill neonates, and protocols. Cycle 3 was an evaluation of change and sustainability after the implementation of strategies (Cycle 2) and involved the analysis of hospital record data, repeat questionnaire with nurses (n=40), focus group discussion with 10 doctors, steering committee and management members, followed by reflective meetings with the steering committee. Qualitative data was analysed through open coding, and quantitative data was analysed descriptively. The neonatal mortality rate declined (yet still needed to improve) and the implementation strategies facilitated change that led to improvement and practice transformation.

Action research as a methodology or an approach

There is debate as to whether action research is a methodology or an approach, since several different research methods and methodologies can be used. For example, multiple forms of data collection can be utilized, including quantitative data from surveys or medical records, to inform the identification and understanding of the problem and evaluation of the solution. Action research can also draw on descriptive qualitative research, quantitative cross-sectional studies, case studies (see Chapter 8 ), ethnography ( Chapter 9 ) and grounded theory ( Chapter 10 ). Action research can therefore take a purely qualitative approach, or can take a mixed-methods approach. See Table 7.1. for examples of action research studies.

Advantages and disadvantages of action research

Action research addresses practical problems, drawing on principles of empowerment, capacity-building and participation. The research problem to be addressed is typically identified by the community, and the solutions are for the community. The research participants are collaborators in the research process. The examples presented in this chapter demonstrate how the research collaborators and co-researchers received training and support to lead elements of the project. Another advantage of action research is that it is a continuous cycle of development. Hence, the approach is iterative and the full solution can take multiple cycles and iterations to develop and sustain. 7,8

Since action research is fundamentally about relationships and integrating research into the real world, studies can take years to result in a solution. It is important to be able to adapt and be flexible in response to community and stakeholder needs and contexts. The research can therefore be constrained by what is practical and also ethical within the setting. This may limit the scope and scale of the research and compromise its rigour. Action research can also create unanticipated work for community members and participants because they are not usually involved in research in this way, and thus training may be required, as well as remuneration for time and experience. 7,8

Action research is a research design in which researchers and community members work together to identify problems, design and implement solutions and evaluate the impact of these solutions. Change or action is a core component of this research design.

• Baum F, MacDougall C, Smith D. Participatory action research. J Epidemiol Community Health .  2006;60(10):854-857. doi:10.1136/jech.2004.028662
• Doucet M, Pratt H, Dzhenganin M, Read J. Nothing About Us Without Us: Using Participatory Action Research (PAR) and arts-based methods as empowerment and social justice tools in doing research with youth ‘aging out’ of care. Child Abuse Negl . 2022;130:105358. doi: 10.1016/j.chiabu.2021.105358
• Taylor J, Coates E, Wessels B, Mountain G, Hawley MS. Implementing solutions to improve and expand telehealth adoption: participatory action research in four community healthcare settings. BMC Health Serv Res . 2015;15:529. doi:10.1186/s12913-015-1195-3
• Taylor MJ, McNicholas C, Nicolay C, Darzi A, Bell D, Reed JE. Systematic review of the application of the plan-do-study-act method to improve quality in healthcare. BMJ Qual Saf .  2014;23(4):290-298. doi:10.1136/bmjqs-2013-001862
• Menear M, Blanchette MA, Demers-Payette O, Roy D. A framework for value-creating learning health systems. Health Res Policy Syst . 2019;17(1):79. doi:10.1186/s12961-019-0477-3
• Van Heerden C, Maree C, Janse Van Rensburg ES. Strategies to sustain a quality improvement initiative in neonatal resuscitation. Afr J Prim Health Care Fam Med . 2016;8(2):a958. doi:10.4102/phcfm.v8i2.958
• Liamputtong P. Qualitative Research Methods . 5th ed. Oxford University Press; 2020.
• Liamputtong P, Ezzy D. Qualitative Research Methods: A Health Focus . Oxford University Press; 1999.
• Middleton TRF, Schinke RJ, Lefebvre D, Habra B, Coholic D, Giffin C. Critically examining a community-based participatory action research project with forced migrant youth. Sport Soc . 2021;25(2):418-433. doi:10.1080/17430437.2022.2017619

Qualitative Research – a practical guide for health and social care researchers and practitioners Copyright © 2023 by Darshini Ayton is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License , except where otherwise noted.

Share This Book

Introduction: What Is Action Research?

• First Online: 07 June 2023

Cite this chapter

• Martin Dege 3  

Part of the book series: Theory and History in the Human and Social Sciences ((THHSS))

249 Accesses

Gives a brief overview of the concepts, traditions, and theoretical underpinnings of action research. Provides first attempts at defining the field and shows conceptual problems and pitfalls within the action research traditions. Shows how Critical Psychology intercepts with Action Research.

This is a preview of subscription content, log in via an institution to check access.

Access this chapter

Subscribe and save.

• Get 10 units per month
• Download Article/Chapter or Ebook
• 1 Unit = 1 Article or 1 Chapter
• Cancel anytime
• Available as PDF
• Read on any device
• Instant download
• Own it forever
• Available as EPUB and PDF
• Compact, lightweight edition
• Dispatched in 3 to 5 business days
• Free shipping worldwide - see info
• Durable hardcover edition

Tax calculation will be finalised at checkout

Purchases are for personal use only

Institutional subscriptions

Fals Borda, O., & Rahman, M. A. (Eds.). (1991). Action and knowledge: Breaking the monopoly with participatory action research . Apex.

Google Scholar  

Greenwood, D., & Levin, M. (2007). Introduction to action research: Social research for social change (2nd ed.). Sage.

Book   Google Scholar  

Gustavsen, B. (1992). Dialogue and development: Theory of communication, action research and the restructuring of working life . Van Gorcum.

Habermas, J. (1978). Einige Schwierigkeiten beim Versuch, Theorie und Praxis zu vermitteln. In Theorie und Praxis: Sozialphilosophische Studien (pp. 9–47). Suhrkamp.

Johansson, A. W., & Lindhult, E. (2008). Emancipation or workability?: Critical versus pragmatic scientific orientation in action research. Action Research, 6 (1), 95–115. https://doi.org/10.1177/1476750307083713

Article   Google Scholar  

Kapoor, I. (2002). The devil’s in the theory: A critical assessment of Robert Chambers’ work on participatory development. Third World Quarterly, 23 (1), 101–117. http://search.ebscohost.com/login.aspx?direct=true&db=buh&AN=5801768&site=ehost-live

Markard, M. (1991). Methodik subjektwissenschaftlicher Forschung: Jenseits des Streits um quantitative und qualitative Verfahren . Argument Verlag.

Markard, M. (2009). Einführung in die Kritische Psychologie: Grundlagen, Methoden und Problemfelder marxistischer Subjektwissenschaft . Argument Verlag.

Marx, K., Engels, F., & Harvey, D. (2008). The communist manifesto (S. Moore, Trans.). Pluto Press. (Original work published in 1848).

Moser, H. (1978). Einige Aspekte der Aktionsforschung im internationalen Vergleich. In H. Moser & H. Ornauer (Eds.), Internationale Aspekte der Aktionsforschung (pp. 173–189). Kösel.

Tolman, C. W. (1994). Psychology, society, and subjectivity: An introduction to German critical psychology . Routledge.

Whyte, W.F. (1991). Participatory action research . Sage.

Download references

Author information

Authors and affiliations.

Social Science and Cultural Studies, Pratt Institute, Brooklyn, NY, USA

Martin Dege

You can also search for this author in PubMed   Google Scholar

Rights and permissions

Reprints and permissions

Copyright information

© 2023 The Author(s), under exclusive license to Springer Nature Switzerland AG

About this chapter

Dege, M. (2023). Introduction: What Is Action Research?. In: Action Research and Critical Psychology. Theory and History in the Human and Social Sciences. Springer, Cham. https://doi.org/10.1007/978-3-031-31197-0_1

Download citation

DOI : https://doi.org/10.1007/978-3-031-31197-0_1

Published : 07 June 2023

Publisher Name : Springer, Cham

Print ISBN : 978-3-031-31196-3

Online ISBN : 978-3-031-31197-0

eBook Packages : Behavioral Science and Psychology Behavioral Science and Psychology (R0)

Share this chapter

Anyone you share the following link with will be able to read this content:

Sorry, a shareable link is not currently available for this article.

Provided by the Springer Nature SharedIt content-sharing initiative

• Publish with us

Policies and ethics

• Find a journal
• Track your research

21 Action Research Examples (In Education)

Dave Cornell (PhD)

Dr. Cornell has worked in education for more than 20 years. His work has involved designing teacher certification for Trinity College in London and in-service training for state governments in the United States. He has trained kindergarten teachers in 8 countries and helped businessmen and women open baby centers and kindergartens in 3 countries.

Learn about our Editorial Process

Chris Drew (PhD)

This article was peer-reviewed and edited by Chris Drew (PhD). The review process on Helpful Professor involves having a PhD level expert fact check, edit, and contribute to articles. Reviewers ensure all content reflects expert academic consensus and is backed up with reference to academic studies. Dr. Drew has published over 20 academic articles in scholarly journals. He is the former editor of the Journal of Learning Development in Higher Education and holds a PhD in Education from ACU.

Action research is an example of qualitative research . It refers to a wide range of evaluative or investigative methods designed to analyze professional practices and take action for improvement.

Commonly used in education, those practices could be related to instructional methods, classroom practices, or school organizational matters.

The creation of action research is attributed to Kurt Lewin , a German-American psychologist also considered to be the father of social psychology.

Gillis and Jackson (2002) offer a very concise definition of action research: “systematic collection and analysis of data for the purpose of taking action and making change” (p.264).

The methods of action research in education include:

• conducting in-class observations
• taking field notes
• surveying or interviewing teachers, administrators, or parents
• using audio and video recordings.

The goal is to identify problematic issues, test possible solutions, or simply carry-out continuous improvement.

There are several steps in action research : identify a problem, design a plan to resolve, implement the plan, evaluate effectiveness, reflect on results, make necessary adjustment and repeat the process.

Action Research Examples

• Digital literacy assessment and training: The school’s IT department conducts a survey on students’ digital literacy skills. Based on the results, a tailored training program is designed for different age groups.
• Library resources utilization study: The school librarian tracks the frequency and type of books checked out by students. The data is then used to curate a more relevant collection and organize reading programs.
• Extracurricular activities and student well-being: A team of teachers and counselors assess the impact of extracurricular activities on student mental health through surveys and interviews. Adjustments are made based on findings.
• Parent-teacher communication channels: The school evaluates the effectiveness of current communication tools (e.g., newsletters, apps) between teachers and parents. Feedback is used to implement a more streamlined system.
• Homework load evaluation: Teachers across grade levels assess the amount and effectiveness of homework given. Adjustments are made to ensure a balance between academic rigor and student well-being.
• Classroom environment and learning: A group of teachers collaborates to study the impact of classroom layouts and decorations on student engagement and comprehension. Changes are made based on the findings.
• Student feedback on curriculum content: High school students are surveyed about the relevance and applicability of their current curriculum. The feedback is then used to make necessary curriculum adjustments.
• Teacher mentoring and support: New teachers are paired with experienced mentors. Both parties provide feedback on the effectiveness of the mentoring program, leading to continuous improvements.
• Assessment of school transportation: The school board evaluates the efficiency and safety of school buses through surveys with students and parents. Necessary changes are implemented based on the results.
• Cultural sensitivity training: After conducting a survey on students’ cultural backgrounds and experiences, the school organizes workshops for teachers to promote a more inclusive classroom environment.
• Environmental initiatives and student involvement: The school’s eco-club assesses the school’s carbon footprint and waste management. They then collaborate with the administration to implement greener practices and raise environmental awareness.
• Working with parents through research: A school’s admin staff conduct focus group sessions with parents to identify top concerns.Those concerns will then be addressed and another session conducted at the end of the school year.
• Peer teaching observations and improvements: Kindergarten teachers observe other teachers handling class transition techniques to share best practices.
• PTA surveys and resultant action: The PTA of a district conducts a survey of members regarding their satisfaction with remote learning classes.The results will be presented to the school board for further action.
• Recording and reflecting: A school administrator takes video recordings of playground behavior and then plays them for the teachers. The teachers work together to formulate a list of 10 playground safety guidelines.
• Pre/post testing of interventions: A school board conducts a district wide evaluation of a STEM program by conducting a pre/post-test of students’ skills in computer programming.
• Focus groups of practitioners : The professional development needs of teachers are determined from structured focus group sessions with teachers and admin.
• School lunch research and intervention: A nutrition expert is hired to evaluate and improve the quality of school lunches.
• School nurse systematic checklist and improvements: The school nurse implements a bathroom cleaning checklist to monitor cleanliness after the results of a recent teacher survey revealed several issues.
• Wearable technologies for pedagogical improvements; Students wear accelerometers attached to their hips to gain a baseline measure of physical activity.The results will identify if any issues exist.
• School counselor reflective practice : The school counselor conducts a student survey on antisocial behavior and then plans a series of workshops for both teachers and parents.

Detailed Examples

1. cooperation and leadership.

A science teacher has noticed that her 9 th grade students do not cooperate with each other when doing group projects. There is a lot of arguing and battles over whose ideas will be followed.

So, she decides to implement a simple action research project on the matter. First, she conducts a structured observation of the students’ behavior during meetings. She also has the students respond to a short questionnaire regarding their notions of leadership.

She then designs a two-week course on group dynamics and leadership styles. The course involves learning about leadership concepts and practices . In another element of the short course, students randomly select a leadership style and then engage in a role-play with other students.

At the end of the two weeks, she has the students work on a group project and conducts the same structured observation as before. She also gives the students a slightly different questionnaire on leadership as it relates to the group.

She plans to analyze the results and present the findings at a teachers’ meeting at the end of the term.

2. Professional Development Needs

Two high-school teachers have been selected to participate in a 1-year project in a third-world country. The project goal is to improve the classroom effectiveness of local teachers. 

The two teachers arrive in the country and begin to plan their action research. First, they decide to conduct a survey of teachers in the nearby communities of the school they are assigned to.

The survey will assess their professional development needs by directly asking the teachers and administrators. After collecting the surveys, they analyze the results by grouping the teachers based on subject matter.

They discover that history and social science teachers would like professional development on integrating smartboards into classroom instruction. Math teachers would like to attend workshops on project-based learning, while chemistry teachers feel that they need equipment more than training.

The two teachers then get started on finding the necessary training experts for the workshops and applying for equipment grants for the science teachers.

3. Playground Accidents

The school nurse has noticed a lot of students coming in after having mild accidents on the playground. She’s not sure if this is just her perception or if there really is an unusual increase this year.  So, she starts pulling data from the records over the last two years. She chooses the months carefully and only selects data from the first three months of each school year.

She creates a chart to make the data more easily understood. Sure enough, there seems to have been a dramatic increase in accidents this year compared to the same period of time from the previous two years.

She shows the data to the principal and teachers at the next meeting. They all agree that a field observation of the playground is needed.

Those observations reveal that the kids are not having accidents on the playground equipment as originally suspected. It turns out that the kids are tripping on the new sod that was installed over the summer.

They examine the sod and observe small gaps between the slabs. Each gap is approximately 1.5 inches wide and nearly two inches deep. The kids are tripping on this gap as they run.

They then discuss possible solutions.

4. Differentiated Learning

Trying to use the same content, methods, and processes for all students is a recipe for failure. This is why modifying each lesson to be flexible is highly recommended. Differentiated learning allows the teacher to adjust their teaching strategy based on all the different personalities and learning styles they see in their classroom.

Of course, differentiated learning should undergo the same rigorous assessment that all teaching techniques go through. So, a third-grade social science teacher asks his students to take a simple quiz on the industrial revolution. Then, he applies differentiated learning to the lesson.

By creating several different learning stations in his classroom, he gives his students a chance to learn about the industrial revolution in a way that captures their interests. The different stations contain: short videos, fact cards, PowerPoints, mini-chapters, and role-plays.

At the end of the lesson, students get to choose how they demonstrate their knowledge. They can take a test, construct a PPT, give an oral presentation, or conduct a simulated TV interview with different characters.

During this last phase of the lesson, the teacher is able to assess if they demonstrate the necessary knowledge and have achieved the defined learning outcomes. This analysis will allow him to make further adjustments to future lessons.

5. Healthy Habits Program

While looking at obesity rates of students, the school board of a large city is shocked by the dramatic increase in the weight of their students over the last five years. After consulting with three companies that specialize in student physical health, they offer the companies an opportunity to prove their value.

So, the board randomly assigns each company to a group of schools. Starting in the next academic year, each company will implement their healthy habits program in 5 middle schools.

Preliminary data is collected at each school at the beginning of the school year. Each and every student is weighed, their resting heart rate, blood pressure and cholesterol are also measured.

After analyzing the data, it is found that the schools assigned to each of the three companies are relatively similar on all of these measures.

At the end of the year, data for students at each school will be collected again. A simple comparison of pre- and post-program measurements will be conducted. The company with the best outcomes will be selected to implement their program city-wide.

Action research is a great way to collect data on a specific issue, implement a change, and then evaluate the effects of that change. It is perhaps the most practical of all types of primary research .

Most likely, the results will be mixed. Some aspects of the change were effective, while other elements were not. That’s okay. This just means that additional modifications to the change plan need to be made, which is usually quite easy to do.

There are many methods that can be utilized, such as surveys, field observations , and program evaluations.

The beauty of action research is based in its utility and flexibility. Just about anyone in a school setting is capable of conducting action research and the information can be incredibly useful.

Aronson, E., & Patnoe, S. (1997). The jigsaw classroom: Building cooperation in the classroom (2nd ed.). New York: Addison Wesley Longman.

Gillis, A., & Jackson, W. (2002). Research Methods for Nurses: Methods and Interpretation . Philadelphia: F.A. Davis Company.

Lewin, K. (1946). Action research and minority problems. Journal of SocialIssues, 2 (4), 34-46.

Macdonald, C. (2012). Understanding participatory action research: A qualitative research methodology option. Canadian Journal of Action Research, 13 , 34-50. https://doi.org/10.33524/cjar.v13i2.37 Mertler, C. A. (2008). Action Research: Teachers as Researchers in the Classroom . London: Sage.

• Dave Cornell (PhD) https://helpfulprofessor.com/author/dave-cornell-phd/ 23 Achieved Status Examples
• Dave Cornell (PhD) https://helpfulprofessor.com/author/dave-cornell-phd/ 25 Defense Mechanisms Examples
• Dave Cornell (PhD) https://helpfulprofessor.com/author/dave-cornell-phd/ 15 Theory of Planned Behavior Examples
• Dave Cornell (PhD) https://helpfulprofessor.com/author/dave-cornell-phd/ 18 Adaptive Behavior Examples

• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd/ 23 Achieved Status Examples
• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd/ 15 Ableism Examples
• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd/ 25 Defense Mechanisms Examples
• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd/ 15 Theory of Planned Behavior Examples

2 thoughts on “21 Action Research Examples (In Education)”

Where can I capture this article in a better user-friendly format, since I would like to provide it to my students in a Qualitative Methods course at the University of Prince Edward Island? It is a good article, however, it is visually disjointed in its current format. Thanks, Dr. Frank T. Lavandier

Hi Dr. Lavandier,

I’ve emailed you a word doc copy that you can use and edit with your class.

Best, Chris.

Leave a Comment Cancel Reply

Your email address will not be published. Required fields are marked *

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

1 What is Action Research for Classroom Teachers?

ESSENTIAL QUESTIONS

• What is the nature of action research?
• How does action research develop in the classroom?
• What models of action research work best for your classroom?
• What are the epistemological, ontological, theoretical underpinnings of action research?

Educational research provides a vast landscape of knowledge on topics related to teaching and learning, curriculum and assessment, students’ cognitive and affective needs, cultural and socio-economic factors of schools, and many other factors considered viable to improving schools. Educational stakeholders rely on research to make informed decisions that ultimately affect the quality of schooling for their students. Accordingly, the purpose of educational research is to engage in disciplined inquiry to generate knowledge on topics significant to the students, teachers, administrators, schools, and other educational stakeholders. Just as the topics of educational research vary, so do the approaches to conducting educational research in the classroom. Your approach to research will be shaped by your context, your professional identity, and paradigm (set of beliefs and assumptions that guide your inquiry). These will all be key factors in how you generate knowledge related to your work as an educator.

Action research is an approach to educational research that is commonly used by educational practitioners and professionals to examine, and ultimately improve, their pedagogy and practice. In this way, action research represents an extension of the reflection and critical self-reflection that an educator employs on a daily basis in their classroom. When students are actively engaged in learning, the classroom can be dynamic and uncertain, demanding the constant attention of the educator. Considering these demands, educators are often only able to engage in reflection that is fleeting, and for the purpose of accommodation, modification, or formative assessment. Action research offers one path to more deliberate, substantial, and critical reflection that can be documented and analyzed to improve an educator’s practice.

Purpose of Action Research

As one of many approaches to educational research, it is important to distinguish the potential purposes of action research in the classroom. This book focuses on action research as a method to enable and support educators in pursuing effective pedagogical practices by transforming the quality of teaching decisions and actions, to subsequently enhance student engagement and learning. Being mindful of this purpose, the following aspects of action research are important to consider as you contemplate and engage with action research methodology in your classroom:

• Action research is a process for improving educational practice. Its methods involve action, evaluation, and reflection. It is a process to gather evidence to implement change in practices.
• Action research is participative and collaborative. It is undertaken by individuals with a common purpose.
• Action research is situation and context-based.
• Action research develops reflection practices based on the interpretations made by participants.
• Knowledge is created through action and application.
• Action research can be based in problem-solving, if the solution to the problem results in the improvement of practice.
• Action research is iterative; plans are created, implemented, revised, then implemented, lending itself to an ongoing process of reflection and revision.
• In action research, findings emerge as action develops and takes place; however, they are not conclusive or absolute, but ongoing (Koshy, 2010, pgs. 1-2).

In thinking about the purpose of action research, it is helpful to situate action research as a distinct paradigm of educational research. I like to think about action research as part of the larger concept of living knowledge. Living knowledge has been characterized as “a quest for life, to understand life and to create… knowledge which is valid for the people with whom I work and for myself” (Swantz, in Reason & Bradbury, 2001, pg. 1). Why should educators care about living knowledge as part of educational research? As mentioned above, action research is meant “to produce practical knowledge that is useful to people in the everyday conduct of their lives and to see that action research is about working towards practical outcomes” (Koshy, 2010, pg. 2). However, it is also about:

creating new forms of understanding, since action without reflection and understanding is blind, just as theory without action is meaningless. The participatory nature of action research makes it only possible with, for and by persons and communities, ideally involving all stakeholders both in the questioning and sense making that informs the research, and in the action, which is its focus. (Reason & Bradbury, 2001, pg. 2)

In an effort to further situate action research as living knowledge, Jean McNiff reminds us that “there is no such ‘thing’ as ‘action research’” (2013, pg. 24). In other words, action research is not static or finished, it defines itself as it proceeds. McNiff’s reminder characterizes action research as action-oriented, and a process that individuals go through to make their learning public to explain how it informs their practice. Action research does not derive its meaning from an abstract idea, or a self-contained discovery – action research’s meaning stems from the way educators negotiate the problems and successes of living and working in the classroom, school, and community.

While we can debate the idea of action research, there are people who are action researchers, and they use the idea of action research to develop principles and theories to guide their practice. Action research, then, refers to an organization of principles that guide action researchers as they act on shared beliefs, commitments, and expectations in their inquiry.

Reflection and the Process of Action Research

When an individual engages in reflection on their actions or experiences, it is typically for the purpose of better understanding those experiences, or the consequences of those actions to improve related action and experiences in the future. Reflection in this way develops knowledge around these actions and experiences to help us better regulate those actions in the future. The reflective process generates new knowledge regularly for classroom teachers and informs their classroom actions.

Unfortunately, the knowledge generated by educators through the reflective process is not always prioritized among the other sources of knowledge educators are expected to utilize in the classroom. Educators are expected to draw upon formal types of knowledge, such as textbooks, content standards, teaching standards, district curriculum and behavioral programs, etc., to gain new knowledge and make decisions in the classroom. While these forms of knowledge are important, the reflective knowledge that educators generate through their pedagogy is the amalgamation of these types of knowledge enacted in the classroom. Therefore, reflective knowledge is uniquely developed based on the action and implementation of an educator’s pedagogy in the classroom. Action research offers a way to formalize the knowledge generated by educators so that it can be utilized and disseminated throughout the teaching profession.

Research is concerned with the generation of knowledge, and typically creating knowledge related to a concept, idea, phenomenon, or topic. Action research generates knowledge around inquiry in practical educational contexts. Action research allows educators to learn through their actions with the purpose of developing personally or professionally. Due to its participatory nature, the process of action research is also distinct in educational research. There are many models for how the action research process takes shape. I will share a few of those here. Each model utilizes the following processes to some extent:

• Plan a change;
• Take action to enact the change;
• Observe the process and consequences of the change;
• Reflect on the process and consequences;
• Act, observe, & reflect again and so on.

Figure 1.1 Basic action research cycle

There are many other models that supplement the basic process of action research with other aspects of the research process to consider. For example, figure 1.2 illustrates a spiral model of action research proposed by Kemmis and McTaggart (2004). The spiral model emphasizes the cyclical process that moves beyond the initial plan for change. The spiral model also emphasizes revisiting the initial plan and revising based on the initial cycle of research:

Figure 1.2 Interpretation of action research spiral, Kemmis and McTaggart (2004, p. 595)

Other models of action research reorganize the process to emphasize the distinct ways knowledge takes shape in the reflection process. O’Leary’s (2004, p. 141) model, for example, recognizes that the research may take shape in the classroom as knowledge emerges from the teacher’s observations. O’Leary highlights the need for action research to be focused on situational understanding and implementation of action, initiated organically from real-time issues:

Figure 1.3 Interpretation of O’Leary’s cycles of research, O’Leary (2000, p. 141)

Lastly, Macintyre’s (2000, p. 1) model, offers a different characterization of the action research process. Macintyre emphasizes a messier process of research with the initial reflections and conclusions as the benchmarks for guiding the research process. Macintyre emphasizes the flexibility in planning, acting, and observing stages to allow the process to be naturalistic. Our interpretation of Macintyre process is below:

Figure 1.4 Interpretation of the action research cycle, Macintyre (2000, p. 1)

We believe it is important to prioritize the flexibility of the process, and encourage you to only use these models as basic guides for your process. Your process may look similar, or you may diverge from these models as you better understand your students, context, and data.

Definitions of Action Research and Examples

At this point, it may be helpful for readers to have a working definition of action research and some examples to illustrate the methodology in the classroom. Bassey (1998, p. 93) offers a very practical definition and describes “action research as an inquiry which is carried out in order to understand, to evaluate and then to change, in order to improve educational practice.” Cohen and Manion (1994, p. 192) situate action research differently, and describe action research as emergent, writing:

essentially an on-the-spot procedure designed to deal with a concrete problem located in an immediate situation. This means that ideally, the step-by-step process is constantly monitored over varying periods of time and by a variety of mechanisms (questionnaires, diaries, interviews and case studies, for example) so that the ensuing feedback may be translated into modifications, adjustment, directional changes, redefinitions, as necessary, so as to bring about lasting benefit to the ongoing process itself rather than to some future occasion.

Lastly, Koshy (2010, p. 9) describes action research as:

a constructive inquiry, during which the researcher constructs his or her knowledge of specific issues through planning, acting, evaluating, refining and learning from the experience. It is a continuous learning process in which the researcher learns and also shares the newly generated knowledge with those who may benefit from it.

These definitions highlight the distinct features of action research and emphasize the purposeful intent of action researchers to improve, refine, reform, and problem-solve issues in their educational context. To better understand the distinctness of action research, these are some examples of action research topics:

Examples of Action Research Topics

• Flexible seating in 4th grade classroom to increase effective collaborative learning.
• Structured homework protocols for increasing student achievement.
• Developing a system of formative feedback for 8th grade writing.
• Using music to stimulate creative writing.
• Weekly brown bag lunch sessions to improve responses to PD from staff.
• Using exercise balls as chairs for better classroom management.

Action Research in Theory

Action research-based inquiry in educational contexts and classrooms involves distinct participants – students, teachers, and other educational stakeholders within the system. All of these participants are engaged in activities to benefit the students, and subsequently society as a whole. Action research contributes to these activities and potentially enhances the participants’ roles in the education system. Participants’ roles are enhanced based on two underlying principles:

• communities, schools, and classrooms are sites of socially mediated actions, and action research provides a greater understanding of self and new knowledge of how to negotiate these socially mediated environments;
• communities, schools, and classrooms are part of social systems in which humans interact with many cultural tools, and action research provides a basis to construct and analyze these interactions.

In our quest for knowledge and understanding, we have consistently analyzed human experience over time and have distinguished between types of reality. Humans have constantly sought “facts” and “truth” about reality that can be empirically demonstrated or observed.

Social systems are based on beliefs, and generally, beliefs about what will benefit the greatest amount of people in that society. Beliefs, and more specifically the rationale or support for beliefs, are not always easy to demonstrate or observe as part of our reality. Take the example of an English Language Arts teacher who prioritizes argumentative writing in her class. She believes that argumentative writing demonstrates the mechanics of writing best among types of writing, while also providing students a skill they will need as citizens and professionals. While we can observe the students writing, and we can assess their ability to develop a written argument, it is difficult to observe the students’ understanding of argumentative writing and its purpose in their future. This relates to the teacher’s beliefs about argumentative writing; we cannot observe the real value of the teaching of argumentative writing. The teacher’s rationale and beliefs about teaching argumentative writing are bound to the social system and the skills their students will need to be active parts of that system. Therefore, our goal through action research is to demonstrate the best ways to teach argumentative writing to help all participants understand its value as part of a social system.

The knowledge that is conveyed in a classroom is bound to, and justified by, a social system. A postmodernist approach to understanding our world seeks knowledge within a social system, which is directly opposed to the empirical or positivist approach which demands evidence based on logic or science as rationale for beliefs. Action research does not rely on a positivist viewpoint to develop evidence and conclusions as part of the research process. Action research offers a postmodernist stance to epistemology (theory of knowledge) and supports developing questions and new inquiries during the research process. In this way action research is an emergent process that allows beliefs and decisions to be negotiated as reality and meaning are being constructed in the socially mediated space of the classroom.

Theorizing Action Research for the Classroom

All research, at its core, is for the purpose of generating new knowledge and contributing to the knowledge base of educational research. Action researchers in the classroom want to explore methods of improving their pedagogy and practice. The starting place of their inquiry stems from their pedagogy and practice, so by nature the knowledge created from their inquiry is often contextually specific to their classroom, school, or community. Therefore, we should examine the theoretical underpinnings of action research for the classroom. It is important to connect action research conceptually to experience; for example, Levin and Greenwood (2001, p. 105) make these connections:

• Action research is context bound and addresses real life problems.
• Action research is inquiry where participants and researchers cogenerate knowledge through collaborative communicative processes in which all participants’ contributions are taken seriously.
• The meanings constructed in the inquiry process lead to social action or these reflections and action lead to the construction of new meanings.
• The credibility/validity of action research knowledge is measured according to whether the actions that arise from it solve problems (workability) and increase participants’ control over their own situation.

Educators who engage in action research will generate new knowledge and beliefs based on their experiences in the classroom. Let us emphasize that these are all important to you and your work, as both an educator and researcher. It is these experiences, beliefs, and theories that are often discounted when more official forms of knowledge (e.g., textbooks, curriculum standards, districts standards) are prioritized. These beliefs and theories based on experiences should be valued and explored further, and this is one of the primary purposes of action research in the classroom. These beliefs and theories should be valued because they were meaningful aspects of knowledge constructed from teachers’ experiences. Developing meaning and knowledge in this way forms the basis of constructivist ideology, just as teachers often try to get their students to construct their own meanings and understandings when experiencing new ideas.  

Classroom Teachers Constructing their Own Knowledge

Most of you are probably at least minimally familiar with constructivism, or the process of constructing knowledge. However, what is constructivism precisely, for the purposes of action research? Many scholars have theorized constructivism and have identified two key attributes (Koshy, 2010; von Glasersfeld, 1987):

• Knowledge is not passively received, but actively developed through an individual’s cognition;
• Human cognition is adaptive and finds purpose in organizing the new experiences of the world, instead of settling for absolute or objective truth.

Considering these two attributes, constructivism is distinct from conventional knowledge formation because people can develop a theory of knowledge that orders and organizes the world based on their experiences, instead of an objective or neutral reality. When individuals construct knowledge, there are interactions between an individual and their environment where communication, negotiation and meaning-making are collectively developing knowledge. For most educators, constructivism may be a natural inclination of their pedagogy. Action researchers have a similar relationship to constructivism because they are actively engaged in a process of constructing knowledge. However, their constructions may be more formal and based on the data they collect in the research process. Action researchers also are engaged in the meaning making process, making interpretations from their data. These aspects of the action research process situate them in the constructivist ideology. Just like constructivist educators, action researchers’ constructions of knowledge will be affected by their individual and professional ideas and values, as well as the ecological context in which they work (Biesta & Tedder, 2006). The relations between constructivist inquiry and action research is important, as Lincoln (2001, p. 130) states:

much of the epistemological, ontological, and axiological belief systems are the same or similar, and methodologically, constructivists and action researchers work in similar ways, relying on qualitative methods in face-to-face work, while buttressing information, data and background with quantitative method work when necessary or useful.

While there are many links between action research and educators in the classroom, constructivism offers the most familiar and practical threads to bind the beliefs of educators and action researchers.  

Epistemology, Ontology, and Action Research

It is also important for educators to consider the philosophical stances related to action research to better situate it with their beliefs and reality. When researchers make decisions about the methodology they intend to use, they will consider their ontological and epistemological stances. It is vital that researchers clearly distinguish their philosophical stances and understand the implications of their stance in the research process, especially when collecting and analyzing their data. In what follows, we will discuss ontological and epistemological stances in relation to action research methodology.

Ontology, or the theory of being, is concerned with the claims or assumptions we make about ourselves within our social reality – what do we think exists, what does it look like, what entities are involved and how do these entities interact with each other (Blaikie, 2007). In relation to the discussion of constructivism, generally action researchers would consider their educational reality as socially constructed. Social construction of reality happens when individuals interact in a social system. Meaningful construction of concepts and representations of reality develop through an individual’s interpretations of others’ actions. These interpretations become agreed upon by members of a social system and become part of social fabric, reproduced as knowledge and beliefs to develop assumptions about reality. Researchers develop meaningful constructions based on their experiences and through communication. Educators as action researchers will be examining the socially constructed reality of schools. In the United States, many of our concepts, knowledge, and beliefs about schooling have been socially constructed over the last hundred years. For example, a group of teachers may look at why fewer female students enroll in upper-level science courses at their school. This question deals directly with the social construction of gender and specifically what careers females have been conditioned to pursue. We know this is a social construction in some school social systems because in other parts of the world, or even the United States, there are schools that have more females enrolled in upper level science courses than male students. Therefore, the educators conducting the research have to recognize the socially constructed reality of their school and consider this reality throughout the research process. Action researchers will use methods of data collection that support their ontological stance and clarify their theoretical stance throughout the research process.

Koshy (2010, p. 23-24) offers another example of addressing the ontological challenges in the classroom:

A teacher who was concerned with increasing her pupils’ motivation and enthusiasm for learning decided to introduce learning diaries which the children could take home. They were invited to record their reactions to the day’s lessons and what they had learnt. The teacher reported in her field diary that the learning diaries stimulated the children’s interest in her lessons, increased their capacity to learn, and generally improved their level of participation in lessons. The challenge for the teacher here is in the analysis and interpretation of the multiplicity of factors accompanying the use of diaries. The diaries were taken home so the entries may have been influenced by discussions with parents. Another possibility is that children felt the need to please their teacher. Another possible influence was that their increased motivation was as a result of the difference in style of teaching which included more discussions in the classroom based on the entries in the dairies.

Here you can see the challenge for the action researcher is working in a social context with multiple factors, values, and experiences that were outside of the teacher’s control. The teacher was only responsible for introducing the diaries as a new style of learning. The students’ engagement and interactions with this new style of learning were all based upon their socially constructed notions of learning inside and outside of the classroom. A researcher with a positivist ontological stance would not consider these factors, and instead might simply conclude that the dairies increased motivation and interest in the topic, as a result of introducing the diaries as a learning strategy.

Epistemology, or the theory of knowledge, signifies a philosophical view of what counts as knowledge – it justifies what is possible to be known and what criteria distinguishes knowledge from beliefs (Blaikie, 1993). Positivist researchers, for example, consider knowledge to be certain and discovered through scientific processes. Action researchers collect data that is more subjective and examine personal experience, insights, and beliefs.

Action researchers utilize interpretation as a means for knowledge creation. Action researchers have many epistemologies to choose from as means of situating the types of knowledge they will generate by interpreting the data from their research. For example, Koro-Ljungberg et al., (2009) identified several common epistemologies in their article that examined epistemological awareness in qualitative educational research, such as: objectivism, subjectivism, constructionism, contextualism, social epistemology, feminist epistemology, idealism, naturalized epistemology, externalism, relativism, skepticism, and pluralism. All of these epistemological stances have implications for the research process, especially data collection and analysis. Please see the table on pages 689-90, linked below for a sketch of these potential implications:

Again, Koshy (2010, p. 24) provides an excellent example to illustrate the epistemological challenges within action research:

A teacher of 11-year-old children decided to carry out an action research project which involved a change in style in teaching mathematics. Instead of giving children mathematical tasks displaying the subject as abstract principles, she made links with other subjects which she believed would encourage children to see mathematics as a discipline that could improve their understanding of the environment and historic events. At the conclusion of the project, the teacher reported that applicable mathematics generated greater enthusiasm and understanding of the subject.

The educator/researcher engaged in action research-based inquiry to improve an aspect of her pedagogy. She generated knowledge that indicated she had improved her students’ understanding of mathematics by integrating it with other subjects – specifically in the social and ecological context of her classroom, school, and community. She valued constructivism and students generating their own understanding of mathematics based on related topics in other subjects. Action researchers working in a social context do not generate certain knowledge, but knowledge that emerges and can be observed and researched again, building upon their knowledge each time.

Researcher Positionality in Action Research

In this first chapter, we have discussed a lot about the role of experiences in sparking the research process in the classroom. Your experiences as an educator will shape how you approach action research in your classroom. Your experiences as a person in general will also shape how you create knowledge from your research process. In particular, your experiences will shape how you make meaning from your findings. It is important to be clear about your experiences when developing your methodology too. This is referred to as researcher positionality. Maher and Tetreault (1993, p. 118) define positionality as:

Gender, race, class, and other aspects of our identities are markers of relational positions rather than essential qualities. Knowledge is valid when it includes an acknowledgment of the knower’s specific position in any context, because changing contextual and relational factors are crucial for defining identities and our knowledge in any given situation.

By presenting your positionality in the research process, you are signifying the type of socially constructed, and other types of, knowledge you will be using to make sense of the data. As Maher and Tetreault explain, this increases the trustworthiness of your conclusions about the data. This would not be possible with a positivist ontology. We will discuss positionality more in chapter 6, but we wanted to connect it to the overall theoretical underpinnings of action research.

Advantages of Engaging in Action Research in the Classroom

In the following chapters, we will discuss how action research takes shape in your classroom, and we wanted to briefly summarize the key advantages to action research methodology over other types of research methodology. As Koshy (2010, p. 25) notes, action research provides useful methodology for school and classroom research because:

Advantages of Action Research for the Classroom

• research can be set within a specific context or situation;
• researchers can be participants – they don’t have to be distant and detached from the situation;
• it involves continuous evaluation and modifications can be made easily as the project progresses;
• there are opportunities for theory to emerge from the research rather than always follow a previously formulated theory;
• the study can lead to open-ended outcomes;
• through action research, a researcher can bring a story to life.

Action Research Copyright © by J. Spencer Clark; Suzanne Porath; Julie Thiele; and Morgan Jobe is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License , except where otherwise noted.

Share This Book

• Research Process
• Manuscript Preparation
• Manuscript Review
• Publication Process
• Publication Recognition
• Language Editing Services
• Translation Services

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

• 3 minute read
• 961.2K views

Table of Contents

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

What is the background of a study?

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

How is a background different from the introduction?

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

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

How should one write the background of a research paper?

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

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

Avoid these mistakes while writing the background:

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

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

How to Use Tables and Figures effectively in Research Papers

The Top 5 Qualities of Every Good Researcher

You may also like.

Submission 101: What format should be used for academic papers?

Page-Turner Articles are More Than Just Good Arguments: Be Mindful of Tone and Structure!

A Must-see for Researchers! How to Ensure Inclusivity in Your Scientific Writing

Make Hook, Line, and Sinker: The Art of Crafting Engaging Introductions

Can Describing Study Limitations Improve the Quality of Your Paper?

A Guide to Crafting Shorter, Impactful Sentences in Academic Writing

6 Steps to Write an Excellent Discussion in Your Manuscript

How to Write Clear and Crisp Civil Engineering Papers? Here are 5 Key Tips to Consider

Input your search keywords and press Enter.

• Section 2: Home
• Developing the Quantitative Research Design
• Qualitative Descriptive Design
• Design and Development Research (DDR) For Instructional Design
• Qualitative Narrative Inquiry Research
• Action Research Resource

What is Action Research?

Considerations, creating a plan of action.

• Case Study Design in an Applied Doctorate
• SAGE Research Methods
• Research Examples (SAGE) This link opens in a new window
• Dataset Examples (SAGE) This link opens in a new window
• IRB Resource Center This link opens in a new window

Action research is a qualitative method that focuses on solving problems in social systems, such as schools and other organizations. The emphasis is on solving the presenting problem by generating knowledge and taking action within the social system in which the problem is located. The goal is to generate shared knowledge of how to address the problem by bridging the theory-practice gap (Bourner & Brook, 2019). A general definition of action research is the following: “Action research brings together action and reflection, as well as theory and practice, in participation with others, in the pursuit of practical solutions to issues of pressing concern” (Bradbury, 2015, p. 1). Johnson (2019) defines action research in the field of education as “the process of studying a school, classroom, or teacher-learning situation with the purpose of understanding and improving the quality of actions or instruction” (p.255).

Origins of Action Research

Kurt Lewin is typically credited with being the primary developer of Action Research in the 1940s. Lewin stated that action research can “transform…unrelated individuals, frequently opposed in their outlook and their interests, into cooperative teams, not on the basis of sweetness but on the basis of readiness to face difficulties realistically, to apply honest fact-finding, and to work together to overcome them” (1946, p.211).

Sample Action Research Topics

Some sample action research topics might be the following:

• Examining how classroom teachers perceive and implement new strategies in the classroom--How is the strategy being used? How do students respond to the strategy? How does the strategy inform and change classroom practices? Does the new skill improve test scores? Do classroom teachers perceive the strategy as effective for student learning?
• Examining how students are learning a particular content or objectives--What seems to be effective in enhancing student learning? What skills need to be reinforced? How do students respond to the new content? What is the ability of students to understand the new content?
• Examining how education stakeholders (administrator, parents, teachers, students, etc.) make decisions as members of the school’s improvement team--How are different stakeholders encouraged to participate? How is power distributed? How is equity demonstrated? How is each voice valued? How are priorities and initiatives determined? How does the team evaluate its processes to determine effectiveness?
• Examining the actions that school staff take to create an inclusive and welcoming school climate--Who makes and implements the actions taken to create the school climate? Do members of the school community (teachers, staff, students) view the school climate as inclusive? Do members of the school community feel welcome in the school? How are members of the school community encouraged to become involved in school activities? What actions can school staff take to help others feel a part of the school community?
• Examining the perceptions of teachers with regard to the learning strategies that are more effective with special populations, such as special education students, English Language Learners, etc.—What strategies are perceived to be more effective? How do teachers plan instructionally for unique learners such as special education students or English Language Learners? How do teachers deal with the challenges presented by unique learners such as special education students or English Language Learners? What supports do teachers need (e.g., professional development, training, coaching) to more effectively deliver instruction to unique learners such as special education students or English Language Learners?

Remember—The goal of action research is to find out how individuals perceive and act in a situation so the researcher can develop a plan of action to improve the educational organization. While these topics listed here can be explored using other research designs, action research is the design to use if the outcome is to develop a plan of action for addressing and improving upon a situation in the educational organization.

Considerations for Determining Whether to Use Action Research in an Applied Dissertation

• When considering action research, first determine the problem and the change that needs to occur as a result of addressing the problem (i.e., research problem and research purpose). Remember, the goal of action research is to change how individuals address a particular problem or situation in a way that results in improved practices.
• If the study will be conducted at a school site or educational organization, you may need site permission. Determine whether site permission will be given to conduct the study.
• Consider the individuals who will be part of the data collection (e.g., teachers, administrators, parents, other school staff, etc.). Will there be a representative sample willing to participate in the research?
• If students will be part of the study, does parent consent and student assent need to be obtained?
• As you develop your data collection plan, also consider the timeline for data collection. Is it feasible? For example, if you will be collecting data in a school, consider winter and summer breaks, school events, testing schedules, etc.
• As you develop your data collection plan, consult with your dissertation chair, Subject Matter Expert, NU Academic Success Center, and the NU IRB for resources and guidance.
• Action research is not an experimental design, so you are not trying to accept or reject a hypothesis. There are no independent or dependent variables. It is not generalizable to a larger setting. The goal is to understand what is occurring in the educational setting so that a plan of action can be developed for improved practices.

Considerations for Action Research

Below are some things to consider when developing your applied dissertation proposal using Action Research (adapted from Johnson, 2019):

• Research Topic and Research Problem -- Decide the topic to be studied and then identify the problem by defining the issue in the learning environment. Use references from current peer-reviewed literature for support.
• Purpose of the Study —What need to be different or improved as a result of the study?
• Research Questions —The questions developed should focus on “how” or “what” and explore individuals’ experiences, beliefs, and perceptions.
• Theoretical Framework -- What are the existing theories (theoretical framework) or concepts (conceptual framework) that can be used to support the research. How does existing theory link to what is happening in the educational environment with regard to the topic? What theories have been used to support similar topics in previous research?
• Literature Review -- Examine the literature, focusing on peer-reviewed studies published in journal within the last five years, with the exception of seminal works. What about the topic has already been explored and examined? What were the findings, implications, and limitations of previous research? What is missing from the literature on the topic?  How will your proposed research address the gap in the literature?
• Data Collection —Who will be part of the sample for data collection? What data will be collected from the individuals in the study (e.g., semi-structured interviews, surveys, etc.)? What are the educational artifacts and documents that need to be collected (e.g., teacher less plans, student portfolios, student grades, etc.)? How will they be collected and during what timeframe? (Note--A list of sample data collection methods appears under the heading of “Sample Instrumentation.”)
• Data Analysis —Determine how the data will be analyzed. Some types of analyses that are frequently used for action research include thematic analysis and content analysis.
• Implications —What conclusions can be drawn based upon the findings? How do the findings relate to the existing literature and inform theory in the field of education?
• Recommendations for Practice--Create a Plan of Action— This is a critical step in action research. A plan of action is created based upon the data analysis, findings, and implications. In the Applied Dissertation, this Plan of Action is included with the Recommendations for Practice. The includes specific steps that individuals should take to change practices; recommendations for how those changes will occur (e.g., professional development, training, school improvement planning, committees to develop guidelines and policies, curriculum review committee, etc.); and methods to evaluate the plan’s effectiveness.
• Recommendations for Research —What should future research focus on? What type of studies need to be conducted to build upon or further explore your findings.
• Professional Presentation or Defense —This is where the findings will be presented in a professional presentation or defense as the culmination of your research.

Adapted from Johnson (2019).

Considerations for Sampling and Data Collection

Below are some tips for sampling, sample size, data collection, and instrumentation for Action Research:

Sampling and Sample Size

Action research uses non-probability sampling. This is most commonly means a purposive sampling method that includes specific inclusion and exclusion criteria. However, convenience sampling can also be used (e.g., a teacher’s classroom).

Critical Concepts in Data Collection

Triangulation- - Dosemagen and Schwalbach (2019) discussed the importance of triangulation in Action Research which enhances the trustworthiness by providing multiple sources of data to analyze and confirm evidence for findings.

Trustworthiness —Trustworthiness assures that research findings are fulfill four critical elements—credibility, dependability, transferability, and confirmability. Reflect on the following: Are there multiple sources of data? How have you ensured credibility, dependability, transferability, and confirmability? Have the assumptions, limitations, and delimitations of the study been identified and explained? Was the sample a representative sample for the study? Did any individuals leave the study before it ended? How have you controlled researcher biases and beliefs? Are you drawing conclusions that are not supported by data? Have all possible themes been considered? Have you identified other studies with similar results?

Sample Instrumentation

Below are some of the possible methods for collecting action research data:

• Pre- and Post-Surveys for students and/or staff
• Staff Perception Surveys and Questionnaires
• Semi-Structured Interviews
• Focus Groups
• Observations
• Document analysis
• Student work samples
• Classroom artifacts, such as teacher lesson plans, rubrics, checklists, etc.
• Attendance records
• Discipline data
• Journals from students and/or staff
• Portfolios from students and/or staff

A benefit of Action Research is its potential to influence educational practice. Many educators are, by nature of the profession, reflective, inquisitive, and action-oriented. The ultimate outcome of Action Research is to create a plan of action using the research findings to inform future educational practice. A Plan of Action is not meant to be a one-size fits all plan. Instead, it is mean to include specific data-driven and research-based recommendations that result from a detailed analysis of the data, the study findings, and implications of the Action Research study. An effective Plan of Action includes an evaluation component and opportunities for professional educator reflection that allows for authentic discussion aimed at continuous improvement.

When developing a Plan of Action, the following should be considered:

• How can this situation be approached differently in the future?
• What should change in terms of practice?
• What are the specific steps that individuals should take to change practices?
• What is needed to implement the changes being recommended (professional development, training, materials, resources, planning committees, school improvement planning, etc.)?
• How will the effectiveness of the implemented changes be evaluated?
• How will opportunities for professional educator reflection be built into the Action Plan?

Sample Action Research Studies

Anderson, A. J. (2020). A qualitative systematic review of youth participatory action research implementation in U.S. high schools. A merican Journal of Community Psychology, 65 (1/2), 242–257. https://onlinelibrary-wiley-com.proxy1.ncu.edu/doi/epdf/10.1002/ajcp.12389

Ayvaz, Ü., & Durmuş, S.(2021). Fostering mathematical creativity with problem posing activities: An action research with gifted students. Thinking Skills and Creativity, 40. https://proxy1.ncu.edu/login?url=https://search.ebscohost.com/login.aspx?direct=true&db=edselp&AN=S1871187121000614&site=eds-live

Bellino, M. J. (2018). Closing information gaps in Kakuma Refugee Camp: A youth participatory action research study. American Journal of Community Psychology, 62 (3/4), 492–507. https://proxy1.ncu.edu/login?url=https://search.ebscohost.com/login.aspx?direct=true&db=ofs&AN=133626988&site=eds-live

Beneyto, M., Castillo, J., Collet-Sabé, J., & Tort, A. (2019). Can schools become an inclusive space shared by all families? Learnings and debates from an action research project in Catalonia. Educational Action Research, 27 (2), 210–226. https://proxy1.ncu.edu/login?url=https://search.ebscohost.com/login.aspx?direct=true&db=ehh&AN=135671904&site=eds-live

Bilican, K., Senler, B., & Karısan, D. (2021). Fostering teacher educators’ professional development through collaborative action research. International Journal of Progressive Education, 17 (2), 459–472. https://proxy1.ncu.edu/login?url=https://search.ebscohost.com/login.aspx?direct=true&db=ehh&AN=149828364&site=eds-live

Black, G. L. (2021). Implementing action research in a teacher preparation program: Opportunities and limitations. Canadian Journal of Action Research, 21 (2), 47–71. https://proxy1.ncu.edu/login?url=https://search.ebscohost.com/login.aspx?direct=true&db=ehh&AN=149682611&site=eds-live

Bozkuş, K., & Bayrak, C. (2019). The Application of the dynamic teacher professional development through experimental action research. International Electronic Journal of Elementary Education, 11 (4), 335–352. https://proxy1.ncu.edu/login?url=https://search.ebscohost.com/login.aspx?direct=true&db=ehh&AN=135580911&site=eds-live

Christ, T. W. (2018). Mixed methods action research in special education: An overview of a grant-funded model demonstration project. Research in the Schools, 25( 2), 77–88. https://proxy1.ncu.edu/login?url=https://search.ebscohost.com/login.aspx?direct=true&db=ehh&AN=135047248&site=eds-live

Jakhelln, R., & Pörn, M. (2019). Challenges in supporting and assessing bachelor’s theses based on action research in initial teacher education. Educational Action Research, 27 (5), 726–741. https://proxy1.ncu.edu/login?url=https://search.ebscohost.com/login.aspx?direct=true&db=ehh&AN=140234116&site=eds-live

Klima Ronen, I. (2020). Action research as a methodology for professional development in leading an educational process. Studies in Educational Evaluation, 64 . https://proxy1.ncu.edu/login?url=https://search.ebscohost.com/login.aspx?direct=true&db=edselp&AN=S0191491X19302159&site=eds-live

Messiou, K. (2019). Collaborative action research: facilitating inclusion in schools. Educational Action Research, 27 (2), 197–209. https://proxy1.ncu.edu/login?url=https://search.ebscohost.com/login.aspx?direct=true&db=ehh&AN=135671898&site=eds-live

Mitchell, D. E. (2018). Say it loud: An action research project examining the afrivisual and africology, Looking for alternative African American community college teaching strategies. Journal of Pan African Studies, 12 (4), 364–487. https://proxy1.ncu.edu/login?url=https://search.ebscohost.com/login.aspx?direct=true&db=ofs&AN=133155045&site=eds-live

Pentón Herrera, L. J. (2018). Action research as a tool for professional development in the K-12 ELT classroom. TESL Canada Journal, 35 (2), 128–139. https://proxy1.ncu.edu/login?url=https://search.ebscohost.com/login.aspx?direct=true&db=ofs&AN=135033158&site=eds-live

Rodriguez, R., Macias, R. L., Perez-Garcia, R., Landeros, G., & Martinez, A. (2018). Action research at the intersection of structural and family violence in an immigrant Latino community: a youth-led study. Journal of Family Violence, 33 (8), 587–596. https://proxy1.ncu.edu/login?url=https://search.ebscohost.com/login.aspx?direct=true&db=ccm&AN=132323375&site=eds-live

Vaughan, M., Boerum, C., & Whitehead, L. (2019). Action research in doctoral coursework: Perceptions of independent research experiences. International Journal for the Scholarship of Teaching and Learning, 13 . https://proxy1.ncu.edu/login?url=https://search.ebscohost.com/login.aspx?direct=true&db=edsdoj&AN=edsdoj.17aa0c2976c44a0991e69b2a7b4f321&site=eds-live

Sample Journals for Action Research

Educational Action Research

Canadian Journal of Action Research

Sample Resource Videos

Call-Cummings, M. (2017). Researching racism in schools using participatory action research [Video]. Sage Research Methods  http://proxy1.ncu.edu/login?URL=https://methods.sagepub.com/video/researching-racism-in-schools-using-participatory-action-research

Fine, M. (2016). Michelle Fine discusses community based participatory action research [Video]. Sage Knowledge. http://proxy1.ncu.edu/login?URL=https://sk-sagepub-com.proxy1.ncu.edu/video/michelle-fine-discusses-community-based-participatory-action-research

Getz, C., Yamamura, E., & Tillapaugh. (2017). Action Research in Education. [Video]. You Tube. https://www.youtube.com/watch?v=X2tso4klYu8

Bradbury, H. (Ed.). (2015). The handbook of action research (3rd edition). Sage.

Bradbury, H., Lewis, R. & Embury, D.C. (2019). Education action research: With and for the next generation. In C.A. Mertler (Ed.), The Wiley handbook of action research in education (1st edition). John Wiley and Sons. https://ebookcentral.proquest.com/lib/nu/reader.action?docID=5683581&ppg=205

Bourner, T., & Brook, C. (2019). Comparing and contrasting action research and action learning. In C.A. Mertler (Ed.), The Wiley handbook of action research in education (1st edition). John Wiley and Sons. https://ebookcentral.proquest.com/lib/nu/reader.action?docID=5683581&ppg=205

Bradbury, H. (2015). The Sage handbook of action research . Sage. https://www-doi-org.proxy1.ncu.edu/10.4135/9781473921290

Dosemagen, D.M. & Schwalback, E.M. (2019). Legitimacy of and value in action research. In C.A. Mertler (Ed.), The Wiley handbook of action research in education (1st edition). John Wiley and Sons. https://ebookcentral.proquest.com/lib/nu/reader.action?docID=5683581&ppg=205

Johnson, A. (2019). Action research for teacher professional development. In C.A. Mertler (Ed.), The Wiley handbook of action research in education (1st edition). John Wiley and Sons. https://ebookcentral.proquest.com/lib/nu/reader.action?docID=5683581&ppg=205

Lewin, K. (1946). Action research and minority problems. In G.W. Lewin (Ed.), Resolving social conflicts: Selected papers on group dynamics (compiled in 1948). Harper and Row.

Mertler, C. A. (Ed.). (2019). The Wiley handbook of action research in education. John Wiley and Sons. https://ebookcentral.proquest.com/lib/nu/detail.action?docID=5683581

• << Previous: Qualitative Narrative Inquiry Research
• Next: Case Study Design in an Applied Doctorate >>
• Last Updated: Jul 28, 2023 8:05 AM
• URL: https://resources.nu.edu/c.php?g=1013605

© Copyright 2024 National University. All Rights Reserved.

Privacy Policy | Consumer Information

Have a language expert improve your writing

Run a free plagiarism check in 10 minutes, automatically generate references for free.

• Knowledge Base
• Methodology
• What Is Action Research? | Definition & Examples

What Is Action Research? | Definition & Examples

Published on 27 January 2023 by Tegan George . Revised on 21 April 2023.

Table of contents

Types of action research, action research models, examples of action research, action research vs. traditional research, advantages and disadvantages of action research, frequently asked questions about action research.

There are 2 common types of action research: participatory action research and practical action research.

• Participatory action research emphasises that participants should be members of the community being studied, empowering those directly affected by outcomes of said research. In this method, participants are effectively co-researchers, with their lived experiences considered formative to the research process.
• Practical action research focuses more on how research is conducted and is designed to address and solve specific issues.

Both types of action research are more focused on increasing the capacity and ability of future practitioners than contributing to a theoretical body of knowledge.

Prevent plagiarism, run a free check.

Action research is often reflected in 3 action research models: operational (sometimes called technical), collaboration, and critical reflection.

• Operational (or technical) action research is usually visualised like a spiral following a series of steps, such as “planning → acting → observing → reflecting.”
• Collaboration action research is more community-based, focused on building a network of similar individuals (e.g., college professors in a given geographic area) and compiling learnings from iterated feedback cycles.
• Critical reflection action research serves to contextualise systemic processes that are already ongoing (e.g., working retroactively to analyse existing school systems by questioning why certain practices were put into place and developed the way they did).

Action research is often used in fields like education because of its iterative and flexible style.

After the information was collected, the students were asked where they thought ramps or other accessibility measures would be best utilised, and the suggestions were sent to school administrators. Example: Practical action research Science teachers at your city’s high school have been witnessing a year-over-year decline in standardised test scores in chemistry. In seeking the source of this issue, they studied how concepts are taught in depth, focusing on the methods, tools, and approaches used by each teacher.

Action research differs sharply from other types of research in that it seeks to produce actionable processes over the course of the research rather than contributing to existing knowledge or drawing conclusions from datasets. In this way, action research is formative , not summative , and is conducted in an ongoing, iterative way.

As such, action research is different in purpose, context, and significance and is a good fit for those seeking to implement systemic change.

Action research comes with advantages and disadvantages.

• Action research is highly adaptable , allowing researchers to mould their analysis to their individual needs and implement practical individual-level changes.
• Action research provides an immediate and actionable path forward for solving entrenched issues, rather than suggesting complicated, longer-term solutions rooted in complex data.
• Done correctly, action research can be very empowering , informing social change and allowing participants to effect that change in ways meaningful to their communities.

Disadvantages

• Due to their flexibility, action research studies are plagued by very limited generalisability  and are very difficult to replicate . They are often not considered theoretically rigorous due to the power the researcher holds in drawing conclusions.
• Action research can be complicated to structure in an ethical manner . Participants may feel pressured to participate or to participate in a certain way.
• Action research is at high risk for research biases such as selection bias , social desirability bias , or other types of cognitive biases .

Action research is conducted in order to solve a particular issue immediately, while case studies are often conducted over a longer period of time and focus more on observing and analyzing a particular ongoing phenomenon.

Action research is focused on solving a problem or informing individual and community-based knowledge in a way that impacts teaching, learning, and other related processes. It is less focused on contributing theoretical input, instead producing actionable input.

Action research is particularly popular with educators as a form of systematic inquiry because it prioritizes reflection and bridges the gap between theory and practice. Educators are able to simultaneously investigate an issue as they solve it, and the method is very iterative and flexible.

A cycle of inquiry is another name for action research . It is usually visualized in a spiral shape following a series of steps, such as “planning → acting → observing → reflecting.”

Sources for this article

We strongly encourage students to use sources in their work. You can cite our article (APA Style) or take a deep dive into the articles below.

George, T. (2023, April 21). What Is Action Research? | Definition & Examples. Scribbr. Retrieved 17 July 2024, from https://www.scribbr.co.uk/research-methods/action-research-cycle/

Cohen, L., Manion, L., & Morrison, K. (2017). Research methods in education (8th edition). Routledge.

Naughton, G. M. (2001).  Action research (1st edition). Routledge.

Is this article helpful?

Tegan George

Other students also liked, primary research | definition, types, & examples, a quick guide to experimental design | 5 steps & examples, what is an observational study | guide & examples.

An official website of the United States government

The .gov means it’s official. Federal government websites often end in .gov or .mil. Before sharing sensitive information, make sure you’re on a federal government site.

The site is secure. The https:// ensures that you are connecting to the official website and that any information you provide is encrypted and transmitted securely.

• Publications
• Account settings
• My Bibliography
• Collections
• Citation manager

Save citation to file

Email citation, add to collections.

• Create a new collection
• Add to an existing collection

Add to My Bibliography

Your saved search, create a file for external citation management software, your rss feed.

• Search in PubMed
• Search in NLM Catalog
• Add to Search

Action research: what, why and how?

Affiliation.

• 1 Kempenhaeghe, Heeze, the Netherlands. [email protected]
• PMID: 19681439

Action research is a form of research that enables practitioners to investigate and evaluate their own work. It is increasingly used in health care research; it is a research strategy in which the researcher and practitioners from the setting under study work together in projects aimed at generating new knowledge and simultaneously improving practice. This article gives an overview of the theoretical background of action research, its international historical development and explanations of its varied forms and related practical applications. Ethical problems are discussed as are questions of rigour The article shows that action research can be used to bridge the gap between theory and practice by generating knowledge fitting the particular circumstances in the practical setting, thereby avoiding problems of implementation of research findings due to lack of fit or lack of motivation. Action research lastingly increases the capacities of practitioners to solve problems encountered in practice.

PubMed Disclaimer

Similar articles

• Knowledge translation in international emergency medical care. Arnold LK, Alomran H, Anantharaman V, Halpern P, Hauswald M, Malmquist P, Molyneux E, Rajapakse B, Ranney M, Razzak J. Arnold LK, et al. Acad Emerg Med. 2007 Nov;14(11):1047-51. doi: 10.1197/j.aem.2007.07.013. Acad Emerg Med. 2007. PMID: 17967967
• The history of bioethics: implications for current debates in health research. McWhirter RE. McWhirter RE. Perspect Biol Med. 2012 Summer;55(3):329-38. doi: 10.1353/pbm.2012.0025. Perspect Biol Med. 2012. PMID: 23179027
• Understanding the practical and theoretical development of social rehabilitation through action research. Portillo MC. Portillo MC. J Clin Nurs. 2009 Jan;18(2):234-45. doi: 10.1111/j.1365-2702.2008.02527.x. J Clin Nurs. 2009. PMID: 19120752
• The family theory-practice gap: a matter of clarity? Segaric CA, Hall WA. Segaric CA, et al. Nurs Inq. 2005 Sep;12(3):210-8. doi: 10.1111/j.1440-1800.2005.00270.x. Nurs Inq. 2005. PMID: 16083472 Review.
• Translational research: from benchside to bedside. Keramaris NC, Kanakaris NK, Tzioupis C, Kontakis G, Giannoudis PV. Keramaris NC, et al. Injury. 2008 Jun;39(6):643-50. doi: 10.1016/j.injury.2008.01.051. Epub 2008 May 27. Injury. 2008. PMID: 18508055 Review.
• Taking a Leap of Faith: A Study of Abruptly Transitioning an Undergraduate Medical Education Program to Distance-Learning Owing to the COVID-19 Pandemic. Du Plessis SS, Otaki F, Zaher S, Zary N, Inuwa I, Lakhtakia R. Du Plessis SS, et al. JMIR Med Educ. 2021 Jul 23;7(3):e27010. doi: 10.2196/27010. JMIR Med Educ. 2021. PMID: 34227994 Free PMC article.
• Developing and evaluating interventions that are applicable and relevant to inpatients and those who care for them; a multiphase, pragmatic action research approach. Bell JJ, Rossi T, Bauer JD, Capra S. Bell JJ, et al. BMC Med Res Methodol. 2014 Aug 18;14:98. doi: 10.1186/1471-2288-14-98. BMC Med Res Methodol. 2014. PMID: 25135226 Free PMC article.
• Radiology department, human factors and organizational perspectives: using action research to improve patient safety. Tourgeman-Bashkin O, Shinar D, Donchin Y, Zmora E, Velleman N, Libson E. Tourgeman-Bashkin O, et al. Isr J Health Policy Res. 2013 Oct 23;2(1):40. doi: 10.1186/2045-4015-2-40. Isr J Health Policy Res. 2013. PMID: 24153019 Free PMC article.

Publication types

• Search in MeSH

LinkOut - more resources

• MedlinePlus Health Information

Miscellaneous

• NCI CPTAC Assay Portal
• Citation Manager

NCBI Literature Resources

MeSH PMC Bookshelf Disclaimer

The PubMed wordmark and PubMed logo are registered trademarks of the U.S. Department of Health and Human Services (HHS). Unauthorized use of these marks is strictly prohibited.

AI Generator

Research is a systematic investigation to establish facts and reach new conclusions. It involves collecting and analyzing data, often using a research questionnaire , and presenting findings to expand knowledge in a specific field. Key aspects include adhering to research ethics and exploring crisis communication research topics to manage and communicate effectively during crises.

What is Research?

Research is a systematic investigation and study of materials, sources, and data to establish facts and reach new conclusions. It involves gathering information, analyzing it critically, and presenting findings in a structured manner to increase knowledge in a specific field or address a particular problem. This process is fundamental in various disciplines, including science, humanities, and social sciences, and it helps to develop theories, inform policy, and contribute to the advancement of society.

Examples of Research

• Medical Research
• Educational Research
• Environmental Research
• Psychological Research
• Market Research
• Historical Research
• Sociological Research
• Technological Research
• Crisis Communication Research
• Agricultural Research
• Economic Research
• Political Research
• Linguistic Research
• Public Health Researc h
• Cultural Research
• Genetic Research
• Behavioral Research
• Engineering Research
• Legal Research
• Anthropological Research

Examples of Research in a Sentence

• The research conducted by the university scientists led to a breakthrough in renewable energy technology.
• She spent several months doing research for her thesis on ancient Greek literature.
• Our team is currently engaged in market research to understand consumer preferences better.
• The research findings were published in a prestigious medical journal.
• He was awarded a grant to continue his research on climate change and its impact on coastal ecosystems.
• Before launching the new product, the company conducted extensive research to ensure its success.
• Her research into the effects of sleep deprivation on cognitive function provided valuable insights.
• The research project aims to develop more effective treatments for Alzheimer’s disease.
• During the conference, many scholars presented their research on the latest advancements in artificial intelligence.
• The research paper highlighted the importance of early childhood education in academic achievement.

Research Examples for Students

• Science Fair Projects: Students conduct experiments to test hypotheses, such as examining the effects of different fertilizers on plant growth.
• History Papers: Students research a historical event, like the Civil Rights Movement, analyzing primary and secondary sources to understand its impact.
• Environmental Studies: Students investigate local water sources to assess pollution levels and propose solutions for improvement.
• Literature Analysis: Students research the themes and symbols in a novel, such as analyzing the use of symbolism in “To Kill a Mockingbird” by Harper Lee.
• Social Studies Projects: Students explore different cultures by researching their customs, traditions, and societal structures.
• Health Studies: Students study the effects of nutrition on adolescent health, conducting surveys and reviewing scientific literature.
• Technology Projects: Students research the development of artificial intelligence and its potential impacts on various industries.
• Business Studies: Students analyze market trends and consumer behavior to develop a marketing plan for a hypothetical product.
• Psychology Experiments: Students conduct research on human behavior, such as studying the effects of sleep on memory retention.
• Creative Arts: Students research different art movements, like Impressionism, and create a presentation showcasing key artists and their works.

Quantitative Research Examples

• Survey on Consumer Preferences: A company surveys 1,000 customers to quantify their preferences for different product features, such as color, size, and price.
• Medical Trials: A pharmaceutical company conducts a clinical trial involving 500 participants to measure the effectiveness of a new drug.
• Educational Achievement Study: Researchers collect standardized test scores from 10,000 students across various schools to analyze the impact of different teaching methods on student performance.
• Market Analysis: An economist analyzes sales data from 50 retail stores to identify trends and predict future sales patterns.
• Census Data Analysis: Government agencies use census data to quantify population growth, demographic changes, and housing needs over a decade.
• Customer Satisfaction Survey: A restaurant chain distributes a survey to 2,000 customers to measure satisfaction levels and identify areas for improvement.
• Behavioral Economics Study: Researchers conduct an experiment with 300 participants to quantify the effects of different incentives on saving behaviors.
• Workplace Productivity Study: A company tracks the productivity levels of 1,200 employees over six months to assess the impact of flexible working hours.
• Public Health Research: Health researchers analyze data from 20,000 participants to determine the correlation between exercise frequency and incidence of chronic diseases.
• Political Polling: Pollsters survey 5,000 voters to predict election outcomes and understand voter preferences and behavior.

Qualitative Research Examples

• Interview Studies: Researchers conduct in-depth interviews with participants to explore their experiences and perspectives on a specific topic, such as the impact of remote learning on student engagement.
• Focus Groups: A group of participants discusses a particular issue, like consumer attitudes towards sustainable fashion, allowing researchers to gather diverse opinions and insights.
• Ethnography: Researchers immerse themselves in a community or organization to observe and document cultural practices, social interactions, and daily routines, such as studying the work culture in a tech startup.
• Case Studies: An in-depth analysis of an individual, group, or event, like examining the recovery process of a patient with a rare medical condition, to understand the complexities involved.
• Narrative Research: Collecting and analyzing stories from individuals to understand how they make sense of their experiences, such as exploring the life stories of immigrants adapting to a new country.
• Phenomenological Research: Investigating the lived experiences of individuals regarding a particular phenomenon, such as the experiences of first-time mothers during childbirth.
• Grounded Theory: Developing a theory based on data collected from participants, like studying the coping mechanisms of people living with chronic pain to formulate a new psychological model.
• Content Analysis: Analyzing texts, media, or documents to identify patterns and themes, such as examining newspaper articles to understand media representation of climate change.
• Action Research: Collaborating with participants to address a problem and implement solutions, such as working with teachers to develop and test new classroom management strategies.
• Discourse Analysis: Studying communication patterns, language use, and social interactions within a specific context, like analyzing political speeches to understand how leaders frame policy issues.

Types of Research with Examples

Research is a systematic investigation aimed at discovering new information, understanding existing phenomena, and solving problems. There are several types of research, each with its own methodologies and purposes. Below are the main types of research with examples.

1. Basic Research

Basic research, also known as pure or fundamental research, is conducted to increase knowledge and understanding of fundamental principles. It is not aimed at solving immediate practical problems but rather at gaining a deeper insight into the subject. Example: A study investigating the molecular structure of proteins to understand how they function in the human body.

2. Applied Research

Applied research is designed to solve practical problems and improve the human condition. It uses the knowledge gained from basic research to develop new products, processes, or techniques. Example: Developing a new medication to treat Alzheimer’s disease based on findings from basic research on brain cell functions.

3. Quantitative Research

Quantitative research involves the systematic empirical investigation of observable phenomena via statistical, mathematical, or computational techniques. It seeks to quantify data and typically uses surveys, questionnaires, or experiments. Example: Conducting a survey to measure customer satisfaction levels among users of a new smartphone.

4. Qualitative Research

Qualitative research aims to understand human behavior and the reasons that govern such behavior. It involves collecting non-numerical data, such as interviews, observations, and open-ended surveys. Example: Interviewing patients to understand their experiences and feelings about a new healthcare program.

5. Descriptive Research

Descriptive research seeks to describe characteristics of a population or phenomenon being studied. It does not answer questions about how/when/why the characteristics occurred, but rather “what” is happening. Example: A study detailing the demographics of students in a particular school district.

6. Experimental Research

Experimental research is used to establish cause-and-effect relationships among variables. It involves manipulating one variable to determine if changes in one variable cause changes in another variable. Example: Testing the effectiveness of a new drug by administering it to one group of patients and a placebo to another group.

7. Correlational Research

Correlational research investigates the relationship between two or more variables without manipulating them. It identifies patterns, trends, and associations between variables. Example: Studying the correlation between hours of study and academic performance among high school students.

8. Exploratory Research

Exploratory research is conducted to explore a problem or a new area where little information exists. It is often the initial research conducted before more conclusive research. Example: Exploring the potential uses of a newly discovered plant with medicinal properties.

9. Longitudinal Research

Longitudinal research involves repeated observations of the same variables over a period of time. It is useful for studying changes and developments over time. Example: Following a group of children from kindergarten through high school to study the impact of early education on later academic success.

10. Cross-sectional Research

Cross-sectional research analyzes data from a population, or a representative subset, at a specific point in time. It provides a snapshot of the variables of interest. Example: A survey assessing the health status of a community at a single point in time.

11. Case Study Research

Case study research involves an in-depth, detailed examination of a single subject, group, or event. It provides a comprehensive understanding of the case being studied. Example: Analyzing the business strategies of a successful startup to understand the factors contributing to its success.

12. Action Research

Action research is conducted to solve an immediate problem or improve p Example: Implementing and assessing a new teaching method in a classroom to improve student engagement and learning outcomes.

Types of Research Methods and Example

• Method: Distributing questionnaires or online surveys to collect data from a large group of people.
• Example: Conducting a national survey to assess public opinion on climate change policies.
• Method: Manipulating one or more variables to determine their effect on another variable in a controlled environment.
• Example: Testing the impact of a new educational program on student performance by comparing test scores of participants and non-participants.
• Method: Observing subjects in their natural environment without interference.
• Example: Studying children’s behavior in playgrounds to understand social interactions and play patterns.
• Method: Conducting an in-depth analysis of a single subject or a small group of subjects.
• Example: Analyzing the business strategies of a successful startup to identify key factors contributing to its growth.
• Method: Systematically examining texts, media, and documents to identify patterns and themes.
• Example: Analyzing social media posts to understand public sentiment during a major political event.

What are the Characteristics of Research?

• Research follows a structured and organized approach, involving specific steps and methodologies to ensure consistency and reliability.
• Research includes control mechanisms to minimize bias and external variables that may influence the results, especially in experimental studies.
• Research relies on observable and measurable evidence. Data is collected through direct or indirect observation and experimentation.
• Research is based on logical reasoning and sound theoretical frameworks. Conclusions are drawn from data analysis and established principles.
• Research can be repeated by other researchers to verify results. Replication helps to confirm the validity and reliability of findings.
• Research aims to be unbiased and impartial. The researcher’s personal beliefs and opinions should not influence the study’s outcomes.
• Research involves critical analysis and interpretation of data. Researchers seek to understand patterns, relationships, and causality within the data.
• Research can involve numerical data (quantitative) or non-numerical data (qualitative), depending on the nature of the study and the research questions.
• Research adheres to ethical standards, ensuring the rights and well-being of participants are protected. Informed consent, confidentiality, and integrity are essential.
• Research seeks to explore new ideas, develop new theories, and discover new knowledge. It often addresses gaps in existing literature.

Importance of Research

Research is crucial in various fields, offering numerous benefits and advancing knowledge in significant ways. Here are some key reasons why research is important:

1. Advancement of Knowledge

Research pushes the boundaries of what is known and explores new areas of inquiry. It helps to uncover new facts, theories, and insights that contribute to the collective understanding of a subject.

2. Informed Decision-Making

Research provides reliable data and evidence that guide decisions in fields such as healthcare, business, education, and public policy. For example, medical research can lead to the development of new treatments and drugs.

3. Problem-Solving

Research identifies and analyzes problems, proposing effective solutions. For instance, environmental research can help address climate change by finding sustainable practices and technologies.

4. Innovation and Development

Research fosters innovation by developing new products, technologies, and processes. Technological advancements, such as smartphones and renewable energy sources, are direct results of extensive research.

5. Economic Growth

Research drives economic development by creating new industries and improving existing ones. It leads to job creation, enhances productivity, and contributes to a nation’s economic stability.

6. Educational Enrichment

Research enhances educational content and teaching methods. It provides a deeper understanding of subjects, helping educators develop better curricula and instructional strategies.

FAQ’s

What is a hypothesis in research.

A hypothesis is a testable prediction about the relationship between two or more variables. It guides the research process.

How do you choose a research topic?

Select a topic that interests you, fills a gap in existing literature, and is feasible in terms of resources and time.

What is a literature review?

A literature review is a comprehensive summary of previous research on a topic. It identifies trends, gaps, and key findings.

What is the difference between primary and secondary data?

Primary data is collected firsthand by the researcher. Secondary data is gathered from existing sources like books, articles, and reports.

What are research ethics?

Research ethics involve principles like honesty, integrity, and respect for participants. Ethical guidelines ensure research is conducted responsibly.

What is a research design?

A research design is a plan that outlines how to collect and analyze data. It includes methods, sampling, and procedures.

What is sampling in research?

Sampling is selecting a subset of individuals from a population to represent the entire group. It can be random or non-random.

What is data analysis?

Data analysis involves processing and interpreting data to draw meaningful conclusions. Techniques vary based on the research type.

How do you write a research paper?

A research paper includes an introduction, literature review, methodology, results, discussion, and conclusion. Follow a clear and logical structure.

What is peer review?

Peer review is a process where experts evaluate a researcher’s work for quality, accuracy, and validity before publication.

Text prompt

• Instructive
• Professional

10 Examples of Public speaking

20 Examples of Gas lighting

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

Published on 16.7.2024 in Vol 26 (2024)

Age Differences in Electronic Mental Health Literacy: Qualitative Study

Authors of this article:

Richard Huan Xu   1 , PhD ;   Lidan Tian   1 , MA ;   Liling Zhu   2 , MA ;   Yuan Cao   3 , PhD ;   Sherry Kit-wa Chan   4 , MD ;   Dong Dong   5 , PhD ;   Wai-ling Annie Cheung   5 , MPhil ;   Eliza Lai-yi Wong   5 , PhD

1 Department of Rehabilitaion Sciences, Faculty of Health and Social Sciences, Hong Kong Polytechnic University, Kowloon, China (Hong Kong)

2 Department of Applied Social Science, Faculty of Health and Social Sciences, Hong Kong Polytechnic University, Kowloon, China (Hong Kong)

3 Department of Social Work and Social Administration, The University of Hong Kong, Hong Kong, China (Hong Kong)

4 Department of Psychiatry, The University of Hong Kong, Hong Kong, China (Hong Kong)

5 JC School of Public Health and Primary Care, The Chinese University of Hong Kong, Shatin, China (Hong Kong)

Corresponding Author:

• Richard Huan Xu , PhD
• Department of Rehabilitaion Sciences
• Faculty of Health and Social Sciences
• Hong Kong Polytechnic University
• 11 Yuk Choi Rd
• China (Hong Kong)
• Phone: 852 27664199
• Email: [email protected]

Log in using your username and password

• Search More Search for this keyword Advanced search
• Latest content
• Current issue
• BMJ Journals

You are here

• Online First
• Estimated changes in free sugar consumption one year after the UK soft drinks industry levy came into force: controlled interrupted time series analysis of the National Diet and Nutrition Survey (2011–2019)
• Article Text
• Article info
• Citation Tools
• Rapid Responses
• Article metrics

• http://orcid.org/0000-0003-1857-2122 Nina Trivedy Rogers 1 ,
• http://orcid.org/0000-0002-3957-4357 Steven Cummins 2 ,
• Catrin P Jones 1 ,
• Oliver Mytton 3 ,
• Mike Rayner 4 ,
• Harry Rutter 5 ,
• Martin White 1 ,
• Jean Adams 1
• 1 MRC Epidemiology Unit, University of Cambridge School of Clinical Medicine, Institute of Metabolic Science, Cambridge Biomedical Campus , University of Cambridge , Cambridge , UK
• 2 Department of Public Health, Environments & Society , London School of Hygiene & Tropical Medicine , London , UK
• 3 Great Ormond Street Institute of Child Health , University College London , London , UK
• 4 Nuffield Department of Population Health , University of Oxford , Oxford , UK
• 5 Department of Social and Policy Sciences , , University of Bath , Bath , UK
• Correspondence to Dr Nina Trivedy Rogers, MRC Epidemiology Unit, University of Cambridge School of Clinical Medicine, Institute of Metabolic Science, Cambridge Biomedical Campus, University of Cambridge, Cambridge, CB2 1TN, UK; nina.rogers{at}mrc-epid.cam.ac.uk

Background The UK soft drinks industry levy (SDIL) was announced in March 2016 and implemented in April 2018, encouraging manufacturers to reduce the sugar content of soft drinks. This is the first study to investigate changes in individual-level consumption of free sugars in relation to the SDIL.

Methods We used controlled interrupted time series (2011–2019) to explore changes in the consumption of free sugars in the whole diet and from soft drinks alone 11 months after SDIL implementation in a nationally representative sample of adults (>18 years; n=7999) and children (1.5–19 years; n=7656) drawn from the UK National Diet and Nutrition Survey. Estimates were based on differences between observed data and a counterfactual scenario of no SDIL announcement/implementation. Models included protein consumption (control) and accounted for autocorrelation.

Results Accounting for trends prior to the SDIL announcement, there were absolute reductions in the daily consumption of free sugars from the whole diet in children and adults of 4.8 g (95% CI 0.6 to 9.1) and 10.9 g (95% CI 7.8 to 13.9), respectively. Comparable reductions in free sugar consumption from drinks alone were 3.0 g (95% CI 0.1 to 5.8) and 5.2 g (95% CI 4.2 to 6.1). The percentage of total dietary energy from free sugars declined over the study period but was not significantly different from the counterfactual.

Conclusion The SDIL led to significant reductions in dietary free sugar consumption in children and adults. Energy from free sugar as a percentage of total energy did not change relative to the counterfactual, which could be due to simultaneous reductions in total energy intake associated with reductions in dietary free sugar.

• PUBLIC HEALTH

Data availability statement

Data are available in a public, open access repository. Data from the National Diet and Nutrition Survey years 1–11 (2008–09 to 2018–19) can be accessed on the UK Data Service ( https://ukdataservice.ac.uk/ ).

This is an open access article distributed in accordance with the Creative Commons Attribution 4.0 Unported (CC BY 4.0) license, which permits others to copy, redistribute, remix, transform and build upon this work for any purpose, provided the original work is properly cited, a link to the licence is given, and indication of whether changes were made. See:  https://creativecommons.org/licenses/by/4.0/ .

https://doi.org/10.1136/jech-2023-221051

Statistics from Altmetric.com

Request permissions.

If you wish to reuse any or all of this article please use the link below which will take you to the Copyright Clearance Center’s RightsLink service. You will be able to get a quick price and instant permission to reuse the content in many different ways.

WHAT IS ALREADY KNOWN ON THIS TOPIC

High intakes of free sugars are associated with a range of non-communicable diseases. Sugar sweetened beverages constitute a major source of dietary free sugars in children and adults.

The UK soft drink industry levy (SDIL) led to a reduction in the sugar content in many sugar sweetened beverages and a reduction in household purchasing of sugar from drinks.

No previous study has examined the impact of the SDIL on total dietary consumption of free sugars at the individual level.

WHAT THIS STUDY ADDS

There were declining trends in the intake of dietary free sugar in adults and children prior to the UK SDIL.

Accounting for prior trends, 1 year after the UK SDIL came into force children and adults further reduced their free sugar intake from food and drink by approximately 5 g/day and 11 g/day, respectively. Children and adults reduced their daily free sugar intake from soft drinks alone by approximately 3 g/day and approximately 5 g/day, respectively.

Energy intake from free sugars as a proportion of total energy consumed did not change significantly following the UK SDIL, indicating energy intake from free sugar was reducing simultaneously with overall total energy intake.

HOW THIS STUDY MIGHT AFFECT RESEARCH, PRACTICE OR POLICY

The UK SDIL was associated with significant reductions in consumption of free sugars from soft drinks and across the whole diet and reinforces previous research indicating a reduction in purchasing. This evidence should be used to inform policy when extending or considering other sugar reduction strategies.

Energy intake from free sugars has been falling but levels remain higher than the 5% recommendation set by the WHO. Reductions in dietary sugar in relation to the SDIL may have driven significant reductions in overall energy.

Introduction

High consumption of free sugars is associated with non-communicable diseases. 1 Guidelines from the World Health Organization (WHO) and the UK Scientific Advisory Committee on Nutrition (SACN) suggest limiting free sugar consumption to below 5% of total energy intake to achieve maximum health benefits, 1 2 equivalent to daily maximum amounts of 30 g for adults, 24 g for children (7–10 years) and 19 g for young children (4–6 years). In the UK, consumption of free sugar is well above the recommended daily maximum, although levels have fallen over the last decade. 3 For example, adolescents consume approximately 70 g/day 4 and obtain 12.3% of their energy from free sugars. 3 Sugar sweetened beverages (SSBs) constitute a major source of free sugar in the UK diet, 2 5 and are the largest single source for children aged 11–18 years where they make up approximately one-third of their daily sugar intake. 6 A growing body of evidence has shown a link between consumption of SSBs and higher risk of weight gain, type 2 diabetes, coronary heart disease and premature mortality, 7 such that the WHO recommends taxation of SSBs in order to reduce over-consumption of free sugars and to improve health. 8 To date, >50 countries have introduced taxation on SSBs, which has been associated with a reduction in sales and dietary intake of free sugar from SSBs. 9 Reductions in the prevalence of childhood obesity 10 11 and improvements in dental health outcomes 12 13 have also been reported.

In March 2016 the UK government announced the UK soft drink industry levy (SDIL), a two-tier levy on manufacturers, importers and bottlers of soft drinks which would come into force in March 2018. 14 The levy was designed to incentivise manufacturers to reformulate and reduce the free sugar content of SSBs (see details in online supplemental text 1 ).

Supplemental material

One year after the UK SDIL was implemented there was evidence of a reduction in the sugar content of soft drinks 15 and households on average reduced the amount of sugar purchased from soft drinks by 8 g/week with no evidence of substitution with confectionary or alcohol. 16 However, lack of available data meant it was not possible to examine substitution of purchasing other sugary foods and drinks, which has previously been suggested in some but not all studies. 17 18 Household purchasing only approximates individual consumption because it captures only those products brought into the home, products may be shared unequally between household members, and it does not account for waste.

To examine the effects of the SDIL on total sugar intake at the individual level, in this study we used surveillance data collected using 3- or 4-day food diaries as part of the UK National Diet and Nutrition Survey (NDNS). We aimed to examine changes in absolute and relative consumption of free sugars from soft drinks alone and from both food and drinks (allowing us to consider possible substitutions with other sugary food items), following the announcement and implementation of the UK SDIL.

Data source

We used 11 years of data (2008–2019) from the NDNS. Data collection, sampling design and information on response is described in full elsewhere. 19 In brief, NDNS is a continuous national cross-sectional survey capturing information on food consumption, nutritional status and nutrient intake inside and outside of the home in a representative annual sample of approximately 500 adults and 500 children (1.5–18 years) living in private households in the UK. Participants are sampled throughout the year, such that in a typical month about 40 adults and 40 children participate (further details are shown in online supplemental text 2 ).

Outcomes of interest

Outcomes of interest were absolute and relative changes in the total intake of dietary free sugar from (1) all food and soft drinks combined and (2) from soft drinks alone. A definition of free sugar is given in online supplemental text 3 . Drink categories examined were those that fell within the following NDNS categories: soft drinks – not low calorie; soft drinks – low calorie; semi-skimmed milk; whole milk; skimmed milk; fruit juice, 1% fat milk and other milk and cream. Additionally, we examined absolute and relative changes in percentage energy from free sugar in (1) food and soft drinks and (2) soft drinks alone. While examination of changes in sugar consumption and percentage energy from sugar across the whole diet (food and drink) captures overall substitutions with other sugar-containing products following the UK SDIL, examination of sugar consumption from soft drinks alone provides a higher level of specificity to the SDIL.

Protein intake was selected as a non-equivalent dependent control. It was not a nutritional component specifically targeted by the intervention or other government interventions and therefore is unlikely to be affected by the SDIL but could still be affected by confounding factors such as increases in food prices 20 (see online supplemental text 4 ).

Statistical analysis

Controlled interrupted time series (ITS) analyses were performed to examine changes in the outcomes in relation to the UK SDIL separately in adults and children. We analysed data at the quarterly level over 11 years with the first data point representing dates from April to June 2008 and the last representing dates from January to March 2019. Model specifications are shown in online supplemental text 5 . Where diary date entries extended over two quarters, the earlier quarter was designated as the time point for analysis. Generalised least squares models were used. Autocorrelation in the time series was determined using Durbin–Watson tests and from visualisations of autocorrelation and partial correlation plots. Autocorrelation-moving average correlation structure with order (p) and moving average (q) parameters were used and selected to minimise the Akaike information criterion in each model. Trends in free sugar consumption prior to the announcement of SDIL in April 2016 were used to estimate counterfactual scenarios of what would have happened if the SDIL had not been announced or come into force. Thus, the interruption point was the 3-month period beginning April 2016. Absolute and relative differences in consumption of free sugars/person/day were estimated by calculating the difference between the observed and counterfactual values at quarterly time point 45. To account for non-response and to ensure the sample distribution represented the UK distribution of females and males and age profile, weights provided by NDNS were used and adapted for analysis of adults and children separately. 21 A study protocol has been published 22 and the study is registered ( ISRCTN18042742 ). For changes to the original protocol see online supplemental text 6 . All statistical analyses were performed in R version 4.1.0.

Data from 7999 adults and 7656 children were included across 11 years representing approximately 40 children and 40 adults each month. Table 1 gives descriptive values for the outcomes of interest. Compared with the pre-announcement period, free sugars consumed from all soft drinks reduced by around one-half in children and one-third in adults in the post-announcement period. Total dietary free sugar consumption and percentage of total dietary energy derived from free sugars also declined. Mean protein consumption was relatively stable over both periods in children and adults. The age and sex of the children and adults were very similar in the pre- and post-announcement periods.

• View inline

Mean amount of free sugar (g) consumed in children and adults per day during the study period before and after the announcement of the soft drinks industry levy (SDIL)

All estimates of change in free sugar consumption referred to below are based on g/individual/day in the 3-month period beginning January 2019 and compared with the counterfactual scenario of no UK SDIL announcement and implementation.

Change in free sugar consumption (soft drinks only)

In children, consumption of free sugars from soft drinks was approximately 27 g/day at the start of the study period but fell steeply throughout. By the end of the study period mean sugar consumption from soft drinks was approximately 10 g/day ( figure 1 ). Overall, relative to the counterfactual scenario, there was an absolute reduction in daily free sugar consumption from soft drinks of 3.0 g (95% CI 0.1 to 5.8) or a relative reduction of 23.5% (95% CI 46.0% to 0.9%) in children ( table 2 ). In adults, free sugar consumption at the beginning of the study was lower than that of children (approximately 17 g/day) and was declining prior to the SDIL announcement, although less steeply ( figure 1 ). Following the SDIL announcement, free sugar consumption from soft drinks appeared to decline even more steeply. There was an absolute reduction in free sugar consumption from soft drinks of 5.2 g (95% CI 4.2 to 6.1) or a relative reduction of 40.4% (95% CI 32.9% to 48.0%) in adults relative to the counterfactual ( figure 1 , table 2 ).

• Download figure
• Open in new tab
• Download powerpoint

Observed and modelled daily consumption (g) of free sugar from drink products per adult/child from April 2008 to March 2019. Red points show observed data and solid red lines (with light red shadows) show modelled data (and 95% CIs) of free sugar consumed from drinks. The dashed red line indicates the counterfactual line based on pre-announcement trends and if the announcement and implementation had not happened. Modelled protein consumption from drinks (control group) was removed from the graph to include resolution but is available in the supplementary section. The first and second dashed lines indicate the announcement and implementation of the soft drinks industry levy (SDIL), respectively.

Change in free sugar consumption in food and drink and energy from free sugar as a proportion of total energy compared with the counterfactual scenario of no announcement and implementation of the UK soft drinks industry levy (SDIL)

Change in total dietary free sugar consumption (food and soft drinks combined)

Consumption of total dietary free sugars in children was approximately 70 g/day at the beginning of the study but this fell to approximately 45 g/day by the end of the study ( figure 2 ). Relative to the counterfactual scenario, there was an absolute reduction in total dietary free sugar consumption of 4.8 g (95% CI 0.6 to 9.1) or relative reduction of 9.7% (95% CI 18.2% to 1.2%) in children ( figure 2 ; table 2 ). In adults, consumption of total dietary free sugar consumption at the beginning of the study was approximately 60 g/day falling to approximately 45 g/day by the end of the study ( figure 2 ). Relative to the counterfactual scenario there was an absolute reduction in total dietary free sugar consumption in adults of 10.9 g (95% CI 7.8 to 13.9) or a relative reduction of 19.8% (95% CI 25.4% to 14.2%). Online supplemental figures show that, relative to the counterfactual, dietary protein consumption and energy from protein was more or less stable across the study period (see online supplemental figures S3–S6 ).

Observed and modelled daily consumption (g) of free sugar from food and drink products per adult/child from April 2008 to March 2019. Red points show observed data and solid red lines (with light red shadows) show modelled data (and 95% CIs) of free sugar consumed from food and drinks. The dashed red line indicates the counterfactual line based on pre-announcement trends and if the announcement and implementation had not happened. Modelled protein consumption from food and drinks (control group) was removed from the graph to include resolution but is available in the supplementary section. The first and second dashed lines indicate the announcement and implementation of the soft drinks industry levy (SDIL), respectively.

Change in energy from free sugar as a proportion of total energy

The percentage of energy from total dietary free sugar decreased across the study period but did not change significantly relative to the counterfactual scenario in children or adults, with relative changes in free sugar consumption of −7.6 g (95% CI −41.7 to 26.5) and −24.3 g (95% CI −54.0 to 5.4), respectively (see online supplemental figure S1 and table 2 ). Energy from free sugar in soft drinks as a proportion of total energy from soft drinks also decreased across the study period but did not change significantly relative to the counterfactual (see online supplemental figure S2 ).

Summary of main findings

This study is the first to examine individual level consumption of free sugars in the total diet (and in soft drinks only) in relation to the UK SDIL. Using nationally representative population samples, we found that approximately 1 year following the UK SDIL came into force there was a reduction in total dietary free sugar consumed by children and adults compared with what would have been expected if the SDIL had not been announced and implemented. In children this was equivalent to a reduction of 4.8 g of free sugars/day from food and soft drinks, of which 3 g/day came from soft drinks alone, suggesting that the reduction of sugar in the diet was primarily due to a reduction of sugar from soft drinks. In adults, reductions in dietary sugar appeared to come equally from food and drink with an 11 g reduction in food and drink combined, of which 5.2 g was from soft drinks only. There was no significant reduction compared with the counterfactual in the percentage of energy intake from free sugars in the total diet or from soft drinks alone in both children and adults, suggesting that energy intake from free sugar was reducing simultaneously with overall total energy intake.

Comparison with other studies and interpretation of results

Our finding of a reduction in consumption of free sugars from soft drinks after accounting for pre-SDIL announcement trends is supported by previous research showing a large reduction in the proportion of available soft drinks with over 5 g of sugar/100 mL, the threshold at which soft drinks become levy liable. 15 Furthermore, efforts of the soft drink industry to reformulate soft drinks were found to have led to significant reductions in the volume and per capita sales of sugar from these soft drinks. 23

Our findings are consistent with recent research showing reductions in purchasing of sugar from soft drinks of approximately 8 g/household/week (equivalent to approximately 3 g/person/week or approximately 0.5 g/person/day) 1 year after the SDIL came into force. 16 The estimates from the current study suggest larger reductions in consumption (eg, 3 g free sugar/day from soft drinks in children) than previously reported for purchasing. Methodological differences may explain these differences in estimated effect sizes. Most importantly, the previous study used data on soft drink purchases that were for consumption in the home only. In contrast, we captured information on consumption (rather than purchasing) in and out of the home. Consumption of food and particularly soft drinks outside of the home in young people (1–21 years) increases with age and makes a substantial contribution to total free sugar intakes, highlighting the importance of recording both in home and out of home sugar consumption. 4 Purchasing and consumption data also treat waste differently; purchase data record what comes into the home and therefore include waste, whereas consumption data specifically aim to capture leftovers and waste and exclude it from consumption estimates. While both studies use weights to make the population samples representative of the UK, there may be differences in the study participant characteristics in the two studies, which may contribute to the different estimates.

Consistent with other studies, 24 we found that across the 11-year study period we observed a downward trend in free sugar and energy intake in adults and children. 3 A decline in consumption of free sugars was observed in the whole diet rather than just soft drinks, suggesting that consumption of free sugar from food was also declining from as early as 2008. One reason might be the steady transition from sugar in the diet to low-calorie artificial sweeteners, which globally have had an annual growth of approximately 5.1% between 2008 and 2015. 25

Public health signalling around the time of the announcement of the levy may also have contributed to the changes we observed. Public acceptability and perceived effectiveness of the SDIL was reported to be high 4 months before and approximately 20 months after the levy came into force. 26 Furthermore, awareness of the SDIL was found to be high among parents of children living in the UK, with most supporting the levy and intending to reduce purchases of SSBs as a result. 27 Health signalling was also found following the implementation of the SSB tax in Mexico, with one study reporting that most adults (65%) were aware of the tax and that those aware of the tax were more likely to think the tax would reduce purchases of SSBs, 28 although a separate study found that adolescents in Mexico were mostly unaware of the tax, 29 suggesting that public health signalling may differ according to age.

In 2016 the UK government announced a voluntary sugar reduction programme as part of its childhood obesity plan (which also included SDIL) with the aim of reducing sugar sold by industry by 5% no later than 2018 and by 20% in time for 2020 through both reformulation and portion size reduction. 30 While the programme only managed to achieve overall sugar reductions of approximately 3.5%, this did include higher reductions in specific products such as yoghurts (−17%) and cereals (−13%) by 2018 which may have contributed to some of the observed reductions in total sugar consumption (particularly from foods) around the time of the SDIL. While there is strong evidence that the UK SDIL led to significant reformulation 15 and reductions in purchases of sugar from soft drinks, 16 the products targeted by the sugar reduction programme were voluntary with no taxes or penalties if targets were not met, possibly leading to less incentive for manufacturers to reformulate products that were high in sugar. The 5-year duration of the voluntary sugar reduction programme also makes it challenging to attribute overall reductions using interruption points that we assigned to the ITS to align with the date of the SDIL announcement. The soft drinks categories in our study included levy liable and non-levy liable drinks because we wanted to examine whether individuals were likely to substitute levy liable drinks for high sugar non-liable options. The decline in sugar consumed overall and in soft drinks in relation to the levy suggests that individuals did not change their diets substantially by substituting more sugary foods and drinks. This is consistent with findings from a previous study that found no changes in relation to the levy in sugar purchased from fruit juice, powder used to make drinks or confectionery. 16

Consistent with previous analyses, 3 our findings showed that there was a downward trend in energy intake from sugar as a proportion of total energy across the duration of the study. While there was no reduction compared with the counterfactual scenario (which was also decreasing), our estimates suggest that, by 2019, on average energy from sugar as a proportion of all energy appears to be in line with the WHO recommendation of 10% but not the more recent guidelines of 5% which may bring additional health benefits. 1 31 This finding may suggest that reductions in energy intake from sugar were reducing in concert with overall energy intake and indeed may have been driving it. However, the magnitude of calories associated with the reduction in free sugars, compared with the counterfactual scenario in both adults and children, was modest and thus potentially too small to reflect significant changes in the percentage of energy from sugar. In children, a daily reduction of 4.8 g sugar equates to approximately 19.2 kilocalories out of an approximate daily intake of approximately 2000 kilocalories which is equivalent to approximately 1% reduction in energy intake. Furthermore, overall measures of dietary energy are also likely to involve a degree of error reducing the level of precision in any estimates.

Our estimates of changes in sugar consumption in relation to SDIL suggest that adults may have experienced a greater absolute reduction in sugar than children, which is not consistent with estimates of the distributional impact of the policy. 32 However, our understanding may be aided by the visualisations afforded by graphical depictions of our ITS graphs. Children’s consumption of sugar at the beginning of the study period, particularly in soft drinks, was higher than in adults but reducing at a steeper trajectory, which will have influenced our estimated counterfactual scenario of what would have happened without the SDIL. This steep downward trajectory could not have continued indefinitely as there is a lower limit for sugar consumption. No account for this potential ‘floor effect’ was made in the counterfactual. Adults had a lower baseline of sugar consumption, but their trajectory of sugar consumption decreased at a gentler trajectory, potentially allowing more scope for improvement over the longer run.

Reductions in the levels of sugar in food and drink may have also impacted different age groups and children and adults differently. For example, the largest single contributor to free sugars in younger children aged 4–10 years is cereal and cereal products, followed by soft drinks and fruit juice. By the age of 11–18 years, soft drinks provide the largest single source (29%) of dietary free sugar. For adults the largest source of free sugars is sugar, preserves and confectionery, followed by non-alcoholic beverages. 5

Strengths and limitations

The main strengths of the study include the use of nationally representative data on individual consumption of food and drink in and out of the home using consistent food diary assessment over a 4-day period, setting it apart from other surveys which have used food frequency questionnaires, 24 hour recall, shortened dietary instruments or a mixture of these approaches across different survey years. 33 The continual collection of data using consistent methods enabled us to analyse dietary sugar consumption and energy quarterly over 11 years (or 45 time points) including the announcement and implementation period of the SDIL. Information on participant age allowed us to examine changes in sugar consumption in adults and children separately. Limited sample sizes restricted our use of weekly or monthly data and prevented us from examining differences between sociodemographic groups. At each time point we used protein consumption in food and drink as a non-equivalent control category, strengthening our ability to adjust for time-varying confounders such as contemporaneous events. The trends in counterfactual scenarios of sugar consumption and energy from free sugar as part of total energy were based on trends from April 2008 to the announcement of the UK SDIL (March 2016); however, it is possible that the direction of sugar consumption may have changed course. Ascribing changes in free sugar consumption to the SDIL should include exploration of other possible interventions that might have led to a reduction in sugar across the population. We are only aware of the wider UK government’s voluntary sugar reduction programme implemented across overlapping timelines (2015–2020) and leading to reductions in sugar consumption that were well below the targets set. 30 In turn, under-reporting of portion sizes and high energy foods, which may be increasingly seen as less socially acceptable, has been suggested as a common error in self-reported dietary intake with some groups including older teenagers and females, especially those who are living with obesity, more likely to underestimate energy intake. 34 35 However, there is no evidence to suggest this would have changed as a direct result of the SDIL. 36

Conclusions

Our findings indicate that the UK SDIL led to reductions in consumption of dietary free sugars in adults and children 1 year after it came into force. Energy from free sugar as a proportion of overall energy intake was falling prior to the UK SDIL but did not change in relation to the SDIL, suggesting that a reduction in sugar may have driven a simultaneous reduction in overall energy intake.

Ethics statements

Patient consent for publication.

Not applicable.

Ethics approval

For NDNS 2008–2013, ethical approval was obtained from the Oxfordshire A Research Ethics Committee (Reference number: 07/H0604/113). For NDNS 2014–2017, ethical approval was given from the Cambridge South NRES Committee (Reference number: 13/EE/0016). Participants gave informed consent to participate in the study before taking part.

• World Health Organization
• Scientific Advisory Committee on Nutrition
• Griffith R ,
• O’Connell M ,
• Smith K , et al
• Roberts C ,
• Maplethorpe N , et al
• Tedstone A ,
• Targett V ,
• Mizdrak A , et al
• Rogers NT ,
• Cummins S ,
• Forde H , et al
• Gracner T ,
• Marquez-Padilla F ,
• Hernandez-Cortes D
• Petimar J ,
• Gibson LA ,
• Wolff MS , et al
• Conway DI ,
• Mytton O , et al
• Scarborough P ,
• Adhikari V ,
• Harrington RA , et al
• Mytton OT , et al
• Powell LM ,
• Chriqui JF ,
• Khan T , et al
• Lawman HG ,
• Bleich SN , et al
• Venables MC ,
• Nicholson S , et al
• Lopez Bernal J ,
• Gasparrini A
• Public Health England
• Briggs A , et al
• Marriott BP ,
• Malek AM , et al
• Sylvetsky AC ,
• Penney TL , et al
• Gillison F ,
• Álvarez-Sánchez C ,
• Contento I ,
• Jiménez-Aguilar A , et al
• Ortega-Avila AG ,
• Papadaki A ,
• Briggs ADM ,
• Mytton OT ,
• Kehlbacher A , et al
• Campbell M ,
• Baird J , et al
• Prentice AM ,
• Goldberg GR , et al
• Hebert JR ,
• Pbert L , et al
• Page P , et al

Supplementary materials

Supplementary data.

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

• Data supplement 1

X @stevencjcummins

Contributors OM, SC, MR, HR, MW and JA conceptualised and acquired funding for the study. NTR carried out statistical analyses. NTR and JA drafted the manuscript. All authors contributed to the article and approved the submitted version.

As the guarantor, NTR had access to the data, controlled the decision to publish and accepts full responsibility for the work and the conduct of the study.

Funding NTR, OM, MW and JA were supported by the Medical Research Council (grant Nos MC_UU_00006/7). This project was funded by the NIHR Public Health Research programme (grant nos 16/49/01 and 16/130/01) to MW. The views expressed are those of the authors and not necessarily those of the National Health Service, the NIHR, or the Department of Health and Social Care, UK. The funders had no role in study design, data collection and analysis, decision to publish or preparation of the manuscript.

Competing interests None declared.

Provenance and peer review Not commissioned; externally peer reviewed.

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

Read the full text or download the PDF:

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

Published on 17.7.2024 in Vol 8 (2024)

Physician and Practice Characteristics Influencing Telemedicine Uptake Among Frontline Clinicians in the Early COVID-19 Pandemic Response: National Survey Study

Authors of this article:

Original Paper

• Michelle Y Hamline 1 , MD, MAS, PhD   ; 
• Guibo Xing 2 , PhD   ; 
• Richard L Kravitz 3 , MD, MSPH   ; 
• Marykate Miller 2 , MS   ; 
• Joy Melnikow 2, 4 , MD, MPH  

1 Department of Pediatrics, University of California Davis, Sacramento, CA, United States

2 Center for Healthcare Policy and Research, University of California Davis, Sacramento, CA, United States

3 Department of Internal Medicine, University of California Davis, Sacramento, CA, United States

4 Department of Family and Community Medicine, University of California Davis, Sacramento, CA, United States

Corresponding Author:

Michelle Y Hamline, MD, MAS, PhD

Department of Pediatrics

University of California Davis

2516 Stockton Blvd

Sacramento, CA, 95817

United States

Phone: 1 9167345387

Email: [email protected]

Background:  Telemedicine expanded rapidly during the COVID-19 pandemic, as key policy changes, financial support, and pandemic fears tipped the balance toward internet-based care. Despite this increased support and benefits to patients and clinicians, telemedicine uptake was variable across clinicians and practices. Little is known regarding physician and institutional characteristics underlying this variability.

Objective:  This study aimed to evaluate factors influencing telemedicine uptake among frontline physicians in the early pandemic response.

Methods:  We surveyed a national stratified sample of frontline clinicians drawn from the American Medical Association Physician Professional Data in June or July 2020. The survey inquired about the first month and most recent month (June 2020) of pandemic telemedicine use; sample data included clinician gender, specialty, census region, and years in practice. Local pandemic conditions were estimated from county-level data on COVID-19 rates at the time of survey response. Data were analyzed in a weighted logistic regression, controlling for county-specific pandemic data, and weighted to account for survey data stratification and nonresponse.

Results:  Over the first 3-4 months of the pandemic, the proportion of physicians reporting use of telemedicine in >30% of visits increased from 29.2% (70/239) to 35.7% (85/238). Relative to primary care, odds of substantial telemedicine use (>30%) both during the first month of the pandemic and in June 2020 were increased among infectious disease and critical care physicians and decreased among hospitalists and emergency medicine physicians. At least minimal prepandemic telemedicine use (odds ratio [OR] 11.41, 95% CI 1.34-97.04) and a high 2-week moving average of local COVID-19 cases (OR 10.16, 95% CI 2.07-49.97) were also associated with substantial telemedicine use in June 2020. There were no significant differences according to clinician gender, census region, or years in practice.

Conclusions:  Prepandemic telemedicine use, high local COVID-19 case counts, and clinician specialty were associated with higher levels of substantial telemedicine use during the early pandemic response. These results suggest that telemedicine uptake in the face of the pandemic may have been heavily influenced by the level of perceived threat and the resources available for implementation. Such understanding has important implications for reducing burnout and preparation for future public health emergencies.

Introduction

Telemedicine expanded rapidly during the COVID-19 pandemic. Concerns about transmission fundamentally altered the relative risk versus benefit of telemedicine compared with in-person care [ 1 - 3 ]. Before the pandemic, telemedicine use was steadily rising, but adoption rates were low, as both patients and clinicians navigated complex logistical challenges and inadequate reimbursement [ 4 ]. However, one national cohort study found ambulatory contacts through telemedicine increased from 0.3% to 23.6%, in the first 3 months of the pandemic [ 5 ]. This transformation was supported by new legislation at the federal and state levels, implemented mostly on a temporary basis at the onset of the pandemic beginning in March 2020. This legislation provided payment parity for telemedicine visits, loosened restrictions on where telemedicine must originate and what platforms could be used, and provided critical funding to help boost telemedicine infrastructure [ 6 ].

Beyond the potential for improved safety from infectious transmission for both patients and clinicians, the benefits of telemedicine were demonstrated both before and during the pandemic. Patients report high satisfaction with telemedicine, citing convenience, ease of use, decreased costs, time savings, and a diversity of improved health outcomes, including improved quality of life and mental health [ 7 - 9 ]. Physicians across specialties similarly have developed favorable opinions of interacting with patients through telemedicine, noting comparable quality of care to in-person visits, cost-effectiveness, and time savings [ 10 - 13 ]. Physicians have also reported less burnout with telemedicine in comparison with in-person services, with increased flexibility and improved work-life balance [ 12 , 14 , 15 ]. Yet, despite this general satisfaction with telemedicine, some physicians and patients still favor in-person visits; this may be particularly true for specific patient complaints or visits requiring a physical exam [ 8 , 9 , 12 ].

The rapid expansion of telemedicine during the early pandemic provided a unique opportunity to appraise potential antecedents of and contributors to telemedicine adoption. Previous studies during the pandemic have established several factors influencing telemedicine uptake in an ambulatory setting, including higher use associated with increased COVID-19 prevalence in the patient’s area of residence during the preceding week and lower telemedicine use for patients living in areas with limited social resources [ 5 ]. Physicians have reported that over 75% of telemedicine visits occur with established patients, most often in a clinic setting [ 16 ]. Common uses reported for telemedicine include providing treatment, screening or diagnostics, and follow-up care [ 16 ].

Yet, despite the increased support for telemedicine associated with the pandemic and the documented benefits of telemedicine to both patients and clinicians, telemedicine uptake has remained variable across clinicians and practices. Little is known regarding physician and institutional characteristics underlying this variability, particularly for hospital-based settings [ 17 ]. We evaluated physician and institutional factors influencing telemedicine trends during the early pandemic response, through a survey of a national sample of inpatient and outpatient frontline clinicians early in the pandemic (June 2020), including previous telemedicine use (as an indicator of established telemedicine infrastructure); local COVID-19 pandemic trends within physician practice locations; and clinician gender, specialty, census region, and time in practice.

The survey population and survey methods have been previously described in detail [ 18 ]. This study is reported according to the CHERRIES (Checklist for Reporting Results of Internet E-Surveys; Multimedia Appendix 1 ) [ 19 ]. Inclusion criteria included current US physicians within family practice, internal medicine, hospital medicine, critical care medicine, emergency medicine, and infectious disease. These specialties were selected to represent frontline physicians most likely to care for patients with acute COVID-19 infections. Early in the pandemic, it seemed COVID-19 infections were much less common and much less severe in children; hence, pediatricians were not included in the sample [ 20 ]. Specialties, such as obstetrics-gynecology and surgical specialties, that were less likely to be caring for patients with a chief complaint related to COVID-19 infection were considered outside the scope of this study.

A stratified national random sample of 10,000 US physicians was obtained from the American Medical Association (AMA) Physician Professional Data [ 21 ]. The AMA Physician Professional Data includes current and historical records for all physicians in the United States, including medical doctors (MDs) and osteopathic doctors (DOs). Formerly known as the AMA Physician Masterfile, it has been used in numerous studies of the physician workforce and physician surveys and found to be the best source of US physician sociodemographic and training information [ 22 - 26 ]. Obtaining a random sample from this comprehensive sampling frame ensured representativeness and provided data that enabled the analysis of both respondents and nonrespondents with weighting to address nonresponse bias. The sample was composed of 4000 primary care physicians (which included both family physicians and internists), 1000 hospitalists, 2000 critical care physicians (which included both critical care and pulmonary critical care physicians), 2000 emergency medicine physicians, and 1000 infectious disease physicians [ 21 ]. Hospitalists, intensivists, infectious disease physicians, and emergency medicine physicians were oversampled to help ensure adequate response rates. The survey was open only to this random sample of physicians. Because the response rate was unknown before fielding the survey, the sample size was estimated based on the assumption of a 10%-20% response rate [ 27 ].

The survey questions were developed through a series of focus groups and interviews held in May 2020 with physicians from around the United States representing the included specialties. Draft survey questions were developed by the authors (JM and MM) based on key questions identified by these physicians in the focus groups and interviews. Several physicians in the representative specialties, including some who participated in the focus groups or interviews, reviewed the draft survey and provided feedback. The Qualtrics survey was distributed by email through a unique link to each participant in June or July 2020. The survey was distributed through email to the sample described above 3 times over a 3-week period to maximize response rates. The introductory email explained the purpose of the survey, and physicians could respond by clicking the link to start the survey. Participation was voluntary. The survey consisted of 48 questions over 15 pages, with adaptive questioning used to reduce the number and complexity of questions. A back button was available, but respondents were not able to review a summary of responses. Embedded data including a unique study ID were associated with each participant before distribution. These embedded data were automatically tied to each survey response, and duplicates were removed before analysis. IP addresses were not tracked. Responses were automatically captured by Qualtrics. Partially completed surveys were still included in the analysis.

The survey aimed to describe changes to practice during the early period of the COVID-19 pandemic. Primary outcomes were the impact of the pandemic on patient care and practice structure, with a major focus on the adoption of telemedicine. We collected data on factors that might affect telemedicine implementation, including type of practice and confirming specialty. Gender, years in practice, and zip code were provided on the sample by the AMA Physician Professional Data. The survey asked about prepandemic telemedicine use rates and how these changed during the initial period of the pandemic and specifically inquired about telemedicine use rates within the first month of the pandemic and the month preceding survey completion (June 2020). The first month of the pandemic was defined as the first month of the pandemic in the physician’s local area, so varied based on individual physician location. In addition, free text responses were allowed in response to questions inquiring about how telemedicine had impacted physicians’ practice during the pandemic and the most important impacts the pandemic has had on the physicians’ practice.

Consistent with standard survey methodology, surveys returned due to an invalid email were removed from the denominator, as it could not be determined whether the email truly belonged to a person who should have been included in the sampling frame [ 28 ]. Responses were weighted to improve their representativeness and to reduce nonresponse bias as previously described [ 18 ]. Because some smaller specialties were oversampled to ensure representation, survey design weights were constructed as the inverse probability of selection into the sample. Entropy balancing, a nonparametric generalization of propensity score weighting, was applied to address nonresponse bias [ 29 ]. The nonresponse weights were constructed such that the mean, variance, and skewness of the DOs, females, years in practice, and type of practice among respondents matched the full stratified sample.

Data were analyzed in a weighted logistic regression to identify factors associated with the dependent variable: higher or lower odds of telemedicine use in the first month of the pandemic (for the respondent’s region) and in June 2020. Independent variables were included in the analysis based on the research team’s assessment (informed by physician focus groups and interviews) that they might be influential in the level of telemedicine adoption. For those with missing values for telemedicine use during the pandemic, if the respondent answered the first question of the telemedicine section of the survey and continued to complete the first question in the survey following the telemedicine section, we assumed that telemedicine use had remained unchanged and utilized prepandemic telemedicine use. To adjust for local pandemic-related confounding variation in the intensity of the COVID-19 pandemic, we linked each physician’s city and state of residence from the AMA Physician Professional Data to counties. County-level daily COVID-19 case count data were obtained from the COVID-19 Data Repository maintained by the Center for Systems Science and Engineering at Johns Hopkins University. SURVEYLOGISTIC procedure in SAS (SAS Institute) was used for weighted multivariate logistic regressions; SAS version 9.4 and Stata/MP 16 (StataCorp LLC) were used for data processing and analyses.

Ethical Considerations

This study was reviewed by the University of California Davis Institutional Review Board and met the criteria for exemption (IRB ID 1593608). Therefore, informed consent was obtained through respondent review of an email cover letter containing the anticipated survey length, primary investigator contact information, study purpose, and the link to the physician survey. To protect participant privacy, data were collected anonymously, but physicians were offered the opportunity to provide contact information to be included in a lottery for a gift card or to participate in future studies. No other participant compensation was provided.

The survey yielded 286 responses. After eliminating 1285 undelivered emails, the final denominator was 8715, for a 3.3% response rate. This is within the range reported for several previously published physician surveys using the AMA Physician Professional Data [ 25 , 30 , 31 ]. Based on data for the total sample (including nonresponders) from the AMA Physician Professional Data, responses were weighted to represent the sampled population. After weighting, survey responders were similar to nonresponders according to known characteristics including type of medical training (MD vs DO), gender, physician specialty, years in practice, type of practice, and census region [ 18 ]. Weighted balance statistics indicated near-perfect balance. Descriptive statistics comparing responders versus nonresponders after weighting are shown in Table 1 .

Most respondents (263/286 92.0%) reported using telemedicine for less than 10% of patients before the pandemic. Telemedicine use rose rapidly early in the pandemic, with 29.2% (70/239) and 35.7% (85/238) of physicians reporting using telemedicine for at least 30% of patients in the first month of the pandemic (in their region) and in June 2020, respectively (data not shown in tabular form). After examining the descriptive data, we focused on cutoff points of 10% and 30% of patient visits being performed with telemedicine, which we defined as at least minimal and substantial telemedicine use, respectively.

We next analyzed the proportion of physicians reporting substantial telemedicine use in the prepandemic time period, the first month of the pandemic, and June 2020, according to physician specialty and years in practice. In the first month of the pandemic, hospitalists (4/34, 11.8%) and emergency medicine physicians (2/42, 4.8%) were least likely to be using telemedicine substantially, while primary care providers (34/72, 47.2%), infectious disease physicians (12/29, 41.4%), and critical care physicians (18/62, 29.0%) were more likely to be using telemedicine substantially. By June 2020, the proportion of physicians reporting substantial telemedicine use had increased for all specialties except hospitalists (3/34, 8.8%), with 11.9% (5/42) of emergency medicine physicians, 52.8% (38/72) of primary care physicians, 65.5% (19/29) of infectious disease physicians, and 32.8% (20/61) of critical care physicians reporting substantial use. However, in June 2020, both hospitalists and emergency medicine physicians remained less likely to use telemedicine substantially than their peers in primary care.

Substantial telemedicine use also varied by years in practice. In the first month of the pandemic, physicians practicing for 0-30 years were most likely to use telemedicine substantially, with substantial use reported by 26.4% (19/72) of those in practice for 0-10 years, 26.0% (20/77) of those practicing for 11-20 years, and 41.1% (23/56) of physicians in practice for 21-30 years. Lowest telemedicine use in the first month of the pandemic was seen in physicians practicing for over 30 years, with 24.0% (6/25) of physicians in practice for 31-40 years and 12.5% (1/8) of physicians in practice more than 40 years reporting substantial use. By June 2020, telemedicine use increased for all groups of physicians with over 10 years in practice, most notably those with more than 40 years in practice (11-20 years: 33.8% [26/77], 21-30 years 47.3% [26/55], 31-40 years 40.0% [10/25], more than 40 years 37.5% [3/8]).

Logistic regression ( Table 2 ) revealed at least minimal telemedicine use prepandemic was not significantly associated with substantial telemedicine use in the first month of the pandemic. In contrast, substantial telemedicine use in June 2020 was strongly associated with at least minimal telemedicine use prepandemic (odds ratio [OR] 11.41, 95% CI 1.34-97.04). By June 2020, regional pandemic conditions, represented by the 2-week moving average of local cases, also had a significant impact on substantial telemedicine use (OR 10.16, 95% CI 2.07-49.97). Clinician specialty was significantly correlated with substantial telemedicine use. Both within the first month of the pandemic and in June 2020, hospitalists (first month: OR 0.14, 95% CI 0.03-0.65; June 2020: OR 0.05, 95% CI 0.01-0.26) and emergency medicine physicians (first month: OR 0.05, 95% CI 0.01-0.36; June 2020: OR 0.064, 95% CI 0.01-0.32) were least likely to be using telemedicine substantially, while primary care providers (reference), infectious disease physicians, and critical care physicians were more likely to be using telemedicine substantially. Regional differences in telemedicine use showed greater odds ratios of use in the Northeast and West compared with the Midwest by June 2020, but these differences were not statistically significant. Other clinician characteristics, including gender and years in practice, were not significantly associated with greater use of telemedicine at either time point.

a Weighted balance is based on diagnostic output produced by the kmatch module.

b Mean is the standard difference in means between weighted respondents and weighted nonrespondents; standard difference is 0 when perfectly balanced. Standard difference in means is rounded to 3 significant digits.

c Ratio represents the ratio of variances of weighted nonrespondents to variance of weighted respondents. Ratio is 1 when perfectly balanced. Ratio of variances is rounded to 3 significant digits.

d MD: medical doctor.

e DO: osteopathic doctor.

f Reports mean years since residency.

a OR: odds ratio.

b Ref: reference.

c Italicized values are significant.

Principal Findings

This cross-sectional national survey of frontline clinicians found that higher rates of telemedicine adoption by early June 2020 were associated with prepandemic telemedicine use and recent local COVID-19 case counts. This is the first study that we know of to compare pandemic telemedicine use across outpatient and inpatient frontline specialties. Increases in the use of telemedicine were noted in all frontline specialties but were most marked for infectious disease, critical care, and primary care physicians.

Comparison With Previous Work

Across physician gender, specialties, census regions, and years in practice, this study found a substantial increase in telemedicine use in the early months of the pandemic. Previous studies have shown similar rapid telemedicine uptake, but these studies have focused primarily on clinic-based specialties [ 5 , 6 , 32 , 33 ]. This study shows telemedicine use rates increased with similar rapidity in the hospital-based specialty of critical care, with less substantial increases seen also in emergency and hospital medicine. Telemedicine use continued to rise through 2021, as pandemic fears persisted and telemedicine infrastructure continued to expand [ 16 ].

The increased use of telemedicine during the pandemic among those who had previously used telemedicine is not surprising, as this likely reflects preexisting local infrastructure for telemedicine. Previous use of telemedicine implies hospital and physician readiness to ramp up the use. Multiple previous telemedicine implementation models have emphasized the necessity of preexisting infrastructure, including coordinated hardware and software platforms, audiovisual integration, 24/7 information technology support, and clinician training in achieving telemedicine success [ 34 - 36 ]. Previous work has shown that successful completion of telemedicine relies, in part, on clinician comfort with technology [ 37 ].

If we consider telemedicine as a preventative strategy in the face of the pandemic threat to patient and clinician safety, our findings are consistent with the Protection Motivation Theory (PMT), a behavioral theory developed to understand human responses to fear [ 38 ]. PMT posits that response to fear-inducing situations is influenced by 2 main factors that are (1) threat appraisal (an individual’s perceived severity of and vulnerability to the threat), and (2) coping appraisal (an individual’s ability to respond to the threat with resources at hand). Applied to this study, telemedicine uptake may be influenced by an individual’s perceived threat from the pandemic, as well as their belief (or lack of belief) that telemedicine will help them respond to that threat, which is likely dependent on both environmental and individual factors. Furthermore, exploration through qualitative analyses may help more clearly explain how PMT factors of threat and coping appraisal impact telemedicine uptake and other adaptations in the face of pandemic threat. Such exploration may have important implications for the adoption of new technologies in responding to future public health emergencies.

It is notable that primary care, infectious disease, and critical care physicians reported higher pandemic telemedicine use than hospitalists and emergency medicine physicians. While several previous studies have evaluated telemedicine use across various outpatient specialties [ 16 , 33 , 39 ], in free text responses to our survey, several physicians reported that their hospital did not yet have the infrastructure to conduct telemedicine outside of the clinic setting, which could in part explain the higher rates of use among primary care and infectious disease physicians. However, an additional explanatory factor may lie within PMT, as previous studies have suggested primary care and critical care physicians were at the highest risk of contracting and dying from COVID-19 infection [ 40 , 41 ]. Notably, we found higher telemedicine adoption by physicians in regions where the 2-week moving average of COVID-19 cases was high, a situation that increased real and perceived threat, as well as an early rise in telemedicine adoption in the Northeast, the region that experienced pandemic surges before nationwide spread.

It is also notable that several studies have previously reported that telemedicine helps reduce physician burnout [ 12 , 14 , 15 ]. Therefore, our findings regarding factors influencing telemedicine uptake may have important implications for reducing physician burnout, which has known associations with physician turnover, mental health, and medical error [ 25 , 42 ].

Within the hospital setting, participants’ free text responses noted that telemedicine was often used for remote consultation and family communication. For example, one participant noted that telemedicine allowed for “improved communication with the family diaspora.” Consistent with our findings, another survey study of critical care physicians during the pandemic reported telemedicine was most frequently used in intensive care unit settings for clinician, nurse, and patient communication with patient families [ 43 ]. These communications varied from general updates on patient conditions to more in-depth goals of care discussions.

Limitations

This study was limited by low survey response rates and the potential for selection bias. Our ability to weight responses based on known characteristics of the total sample minimized nonresponse bias, but there is the possibility of enduring bias in unmeasured characteristics. The number of respondents limited our ability to assess differences based on respondent characteristics. Another potential limitation is that of coverage bias, particularly with respect to the undeliverable surveys due to bounced emails. The characteristics of these individuals were unknown, including whether they were still in practice, and these units were therefore eliminated from the study sample, as is standard practice [ 28 ].

We did not explicitly collect information regarding prepandemic technology readiness but rather used prepandemic telemedicine as a proxy. Therefore, we cannot draw an explicit association, but rather can only infer that prepandemic technology readiness may have impacted pandemic telemedicine use. It is also possible that patient characteristics and preferences drove telemedicine uptake during the pandemic, but these factors were not evaluated in this study. Finally, since this study focused on the use of telemedicine in the early pandemic response for only a subset of specialties, we cannot provide information regarding telemedicine use in other specialties or regarding the longevity of telemedicine use throughout the pandemic, although other published works have addressed later time points [ 16 ].

Future Work

The most important finding of this study was the capacity for rapid uptake of telemedicine under the right set of conditions—in particular, a preexisting telemedicine infrastructure combined with improved reimbursement and clear evidence of benefit given pandemic risks. Health care is notoriously slow to incorporate innovative, evidence-based technologies. However, our data show that telemedicine uptake in the early pandemic was rapid across genders, specialties, geographic regions, and experience levels. Rogers’ theory of diffusion of innovation posits a 5-step process involving knowledge, persuasion, decision, implementation, and confirmation [ 44 ]. This process puts the adopter (in this case, often the clinician) at the center of implementation. However, the pandemic-era implementation of telemedicine highlights the critical role of other factors, such as public policy, external supports, health system or practice and patient infrastructure, and customer demand, in the widespread adoption of a new technology.

Telemedicine use is at a critical juncture as the public health emergency has expired. Clinicians and patients alike have shared its benefits and have developed increasing comfort levels with telemedicine technology; studies during the pandemic showed that patients who received telemedicine visits had higher average patient satisfaction scores than those seen in-person [ 45 ]. However, recent studies suggest that both patients and physicians tend to prefer in-person care, seeking to move away from telemedicine in the postpandemic era [ 46 ]. Still, telemedicine may be particularly well suited to specific patient care scenarios, such as ongoing medical management of chronic conditions, behavioral health care, and communicating with families about hospitalized patients [ 9 ]. Future research must determine optimal applications of telemedicine within each specialty, and what factors will drive its continued use as pandemic fears recede and threat appraisal dissipates.

Continued use of telemedicine will also depend largely on enduring compensation policies. On November 1, 2022, the Centers for Medicare and Medicaid Services issued the 2023 Physician Fee Schedule Final Rule, which began peeling back some of the temporary telemedicine allowances passed in affiliation with the COVID-19 public health emergency. A summary of pandemic-era telemedicine policy changes with actual and impending end dates is provided in Table 3 [ 47 - 51 ].

a Health Insurance Portability and Accountability Act.

The potential implications of these looming expirations are far-reaching given the widespread telemedicine uptake across specialties demonstrated in our study and others. The inability to bill for critical care telemedicine, which is largely leveraged to involve remote family members in decision-making and care coordination [ 43 ], could impact the ability to provide patient- and family-centered care. Elimination of direct online supervision will dramatically reduce the exposure of trainees to the practice of telemedicine. Loss of compensation for telephone visits will reduce access to care for low-income and rural patients who have less access to broadband internet. Meanwhile, the reinstatement of geographic and originating site restrictions, and the expiration of payment parity rules, could drastically limit telemedicine encounters even in the outpatient setting, resulting in a large-scale reduction in telemedicine use across specialties compared with pandemic levels. While many states have implemented policies requiring payment parity from private payors, other states have not yet implemented such requirements, and these requirements do not apply to Medicaid [ 52 ]. A final consideration in the roll-back of policies supporting telemedicine is the potential effect on readiness for the next pandemic. Maintaining support and infrastructure for telemedicine may enable rapid and life-saving transitions to remote care.

The COVID-19 pandemic brought about rapid incorporation of telemedicine across health care. This survey of frontline clinicians found higher rates of telemedicine adoption in response to the pandemic for physicians working in counties with higher COVID-19 case rates and for physicians with higher prepandemic telemedicine use, particularly in primary care, infectious disease, and critical care specialties. These findings have important implications for the ongoing adoption and maintenance of telemedicine to help reduce burnout, as well as key lessons for responding to public health emergencies. Future research must evaluate the use of telemedicine compared with in-person care on health outcomes and address the impact of policy changes on continued telemedicine use. To sustain the use of telemedicine across settings, the potential benefits of telemedicine in providing patient- and family-centered care and the importance of trainee experience in telemedicine must be communicated to policymakers and the public.

Acknowledgments

The authors would like to thank the physicians who responded to this survey. This survey was conducted without external funding.

Data Availability

The data sets generated or analyzed during this study are available from the corresponding author on reasonable request.

Authors' Contributions

MYH participated in the data analysis and visualization, produced the original draft of the manuscript, and reviewed and revised the manuscript. GX analyzed the data, participated in data validation and visualization, and reviewed and revised the manuscript. RLK participated in data analysis and visualization and reviewed and revised the manuscript. MM designed the original survey, participated in data collection, and reviewed and revised the manuscript. JM conceptualized and supervised the study, curated the data, participated in data analysis and validation, and critically reviewed and revised the manuscript.

Conflicts of Interest

None declared.

CHERRIES (Checklist for Reporting Results of Internet E-Surveys).

• Mann DM, Chen J, Chunara R, Testa PA, Nov O. Covid-19 transforms health care through telemedicine: evidence from the field. J Am Med Inform Assoc. 2020;27(7):1132-1135. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Mohammed HT, Hyseni L, Bui V, Gerritsen B, Fuller K, Sung J, et al. Exploring the use and challenges of implementing virtual visits during Covid-19 in primary care and lessons for sustained use. PLoS One. 2021;16(6):e0253665. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Hatef E, Wilson RF, Hannum SM, Zhang A, Kharrazi H, Weiner JP, et al. Use of telehealth during the COVID-19 era [internet]. Rockville, MD. Agency for Healthcare Research and Quality (US); 2023. URL: https://effectivehealthcare.ahrq.gov/products/virtual-health-covid/research [accessed 2024-06-20]
• Weigel G. Womens Health Policy: opportunities and barriers for telemedicine in the U.S. during the COVID-19 emergency and beyond. May 11, 2020. URL: https:/​/www.​kff.org/​womens-health-policy/​issue-brief/​opportunities-and-barriers-for-telemedicine-in-the-u-s-during-the-covid-19-emergency-and-beyond/​ [accessed 2023-05-14]
• Weiner JP, Bandeian S, Hatef E, Lans D, Liu A, Lemke KW. In-person and telehealth ambulatory contacts and costs in a large US insured cohort before and during the COVID-19 pandemic. JAMA Netw Open. Mar 01, 2021;4(3):e212618. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Shaver J. The state of telehealth before and after the COVID-19 pandemic. Prim Care. 2022;49(4):517-530. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Kruse CS, Krowski N, Rodriguez B, Tran L, Vela J, Brooks M. Telehealth and patient satisfaction: a systematic review and narrative analysis. BMJ Open. Aug 03, 2017;7(8):e016242. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Polinski JM, Barker T, Gagliano N, Sussman A, Brennan TA, Shrank WH. Patients' satisfaction with and preference for telehealth visits. J Gen Intern Med. Mar 31, 2016;31(3):269-275. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Orlando JF, Beard M, Kumar S. Systematic review of patient and caregivers' satisfaction with telehealth videoconferencing as a mode of service delivery in managing patients' health. PLoS One. Aug 30, 2019;14(8):e0221848. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Alkureishi MA, Choo Z, Lenti G, Castaneda J, Zhu M, Nunes K, et al. Clinician perspectives on telemedicine: observational cross-sectional study. JMIR Hum Factors. Jul 09, 2021;8(3):e29690. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Gold KJ, Laurie AR, Kinney DR, Harmes KM, Serlin DC. Video visits: family physician experiences with uptake during the COVID-19 pandemic. Fam Med. 2021;53(3):207-210. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Malouff TD, TerKonda SP, Knight D, Abu Dabrh AM, Perlman AI, Munipalli B, et al. Physician satisfaction with telemedicine during the COVID-19 pandemic: the Mayo Clinic Florida experience. Mayo Clin Proc Innov Qual Outcomes. 2021;5(4):771-782. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Naqvi SZ, Ahmad S, Rocha IC, Ramos KG, Javed H, Yasin F, et al. Healthcare workers' knowledge and attitude toward telemedicine during the COVID-19 pandemic: a global survey. Cureus. Oct 08, 2022;14(10):e30079. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Brault ME, Laudermith A, Kroll-Desrosiers A. Telemedicine during COVID-19 response: a welcome shift for younger female healthcare workers. J Gen Intern Med. Feb 2023;38(3):627-632. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Mills K, Peterson A, McNair M, Abe T, Igwe J, Sobukonla T, et al. Virtually serving the underserved: resident perceptions of telemedicine use while training during coronavirus disease 2019. Telemed J E Health. 2022;28(3):391-398. [ CrossRef ] [ Medline ]
• Telehealth survey report. American Medical Association. 2021. URL: https://www.ama-assn.org/system/files/telehealth-survey-report.pdf [accessed 2024-06-11]
• Robeznieks A. Inside the big variations in telehealth use among physicians. AMA Recovery Plan for Physicians. 2022. URL: https:/​/www.​ama-assn.org/​practice-management/​digital/​inside-big-variations-telehealth-use-among-physicians?https:/​/www.​ama-assn.org/​practice-management/​digital/​inside-big-variations-telehealth-use-among-physicians [accessed 2023-05-14]
• Melnikow J, Padovani A, Miller M. Frontline physician burnout during the COVID-19 pandemic: national survey findings. BMC Health Serv Res. 2022;22(1):365. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Eysenbach G. Improving the quality of web surveys: the Checklist for Reporting Results of Internet e-Surveys (CHERRIES). J Med Internet Res. Sep 29, 2004;6(3):e34. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Swann OV, Holden KA, Turtle L, Pollock L, Fairfield CJ, Drake TM, et al. ISARIC4C Investigators. Clinical characteristics of children and young people admitted to hospital with COVID-19 in United Kingdom: prospective multicentre observational cohort study. BMJ. Aug 27, 2020;370:m3249. [ FREE Full text ] [ CrossRef ] [ Medline ]
• AMA Physician Professional Data. American Medical Association. 2023. URL: https://www.ama-assn.org/about/physician-professional-data/ama-physician-professional-data [accessed 2024-06-11]
• U.S. Physician Workforce Data Dashboard. Association of American Medical Colleges. URL: https://www.aamc.org/data-reports/report/us-physician-workforce-data-dashboard [accessed 2024-06-11]
• Robboy SJ, Gross D, Park JY, Kittrie E, Crawford JM, Johnson RL, et al. Reevaluation of the US Pathologist workforce size. JAMA Netw Open. 2020;3(7):e2010648. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Elkbuli A, Sutherland M, Sanchez C, Liu H, Ang D, McKenney M. The shortage of trauma surgeons in the US. Am Surg. Feb 2022;88(2):280-288. [ CrossRef ] [ Medline ]
• Menon NK, Shanafelt TD, Sinsky CA, Linzer M, Carlasare L, Brady KJS, et al. Association of physician burnout with suicidal ideation and medical errors. JAMA Netw Open. 2020;3(12):e2028780. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Baldwin L, Adamache W, Klabunde CN, Kenward K, Dahlman C, Warren JL. Linking physician characteristics and medicare claims data: issues in data availability, quality, and measurement. Med Care. Aug 2002;40(8 Suppl):IV-82-95. [ CrossRef ] [ Medline ]
• Dillman D, Smyth J, Christian L. Internet, phone, mail, and mixed-mode surveys: the tailored design method. Hoboken, NJ. John Wiley & Sons, Inc; 2014.
• Valliant R, Dever J, Kreuter F. Practical tools for designing and weighting survey samples. New York, NY. Springer; 2013.
• Hainmueller J. Entropy balancing for causal effects: A multivariate reweighting method to produce balanced samples in observational studies. Political Analysis. 2017;20(1):25-46. [ FREE Full text ] [ CrossRef ]
• Murphy CC, Craddock Lee SJ, Geiger AM, Cox JV, Ahn C, Nair R, et al. A randomized trial of mail and email recruitment strategies for a physician survey on clinical trial accrual. BMC Med Res Methodol. 2020;20(1):123. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Nair D, Brereton L, Hoge C, Plantinga LC, Agrawal V, Soman SS, et al. National Kidney Foundation Education Committee. Burnout among nephrologists in the United States: a survey study. Kidney Med. 2022;4(3):100407. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Pierce BS, Perrin PB, Dow AW, Dautovich ND, Rybarczyk BD, Mishra VK. Changes in physician telemedicine use during COVID-19: effects of practice setting, demographics, training, and organizational policies. Int J Environ Res Public Health. 2021;18(19):9963. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Hsiao V, Chandereng T, Huebner JA, Kunstman DT, Flood GE, Tevaarwerk AJ, et al. Telemedicine use across medical specialties and diagnoses. Appl Clin Inform. 2023;14(1):172-184. [ CrossRef ] [ Medline ]
• Meyer BC, Friedman LS, Payne K, Moore L, Cressler J, Holberg S, et al. Medical undistancing through telemedicine: a model enabling rapid telemedicine deployment in an academic health center during the Covid-19 pandemic. Telemed J E Health. 2021;27(6):625-634. [ CrossRef ] [ Medline ]
• Smith WR, Atala AJ, Terlecki RP, Kelly EE, Matthews CA. Implementation guide for rapid integration of an outpatient telemedicine program during the COVID-19 pandemic. J Am Coll Surg. Aug 2020;231(2):216-222.e2. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Kreofsky BLH, Blegen RN, Lokken TG, Kapraun SM, Bushman MS, Demaerschalk BM. Sustainable telemedicine: designing and building infrastructure to support a comprehensive telemedicine practice. Telemed J E Health. 2018;24(12):1021-1025. [ CrossRef ] [ Medline ]
• Crotty BH, Hyun N, Polovneff A, Dong Y, Decker MC, Mortensen N, et al. Analysis of clinician and patient factors and completion of telemedicine appointments using video. JAMA Netw Open. 2021;4(11):e2132917. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Rogers RW. A protection motivation theory of fear appeals and attitude change. J Psychol. 1975;91(1):93-114. [ CrossRef ] [ Medline ]
• Drake C, Lian T, Cameron B, Medynskaya K, Bosworth HB, Shah K. Understanding telemedicine's "new normal": variations in telemedicine use by specialty line and patient demographics. Telemed J E Health. 2022;28(1):51-59. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Gouda D, Singh PM, Gouda P, Goudra B. An overview of health care worker reported deaths during the COVID-19 pandemic. J Am Board Fam Med. 2021;34(Suppl):S244-S246. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Bandyopadhyay S, Baticulon RE, Kadhum M, Alser M, Ojuka DK, Badereddin Y, et al. Infection and mortality of healthcare workers worldwide from COVID-19: a systematic review. BMJ Glob Health. 2020;5(12):e003097. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Lagasse J. Cost of burnout-related physician turnover totals $5 billion annually. Healthcare Finance. 2022. URL: https:/​/www.​healthcarefinancenews.com/​news/​cost-burnout-related-physician-turnover-totals-5-billion-annually [accessed 2024-06-11]
• Nelson SE, Steuernagle J, Rotello L, Nyquist P, Suarez JI, Ziai W. COVID-19 and telehealth in the intensive care unit setting: a survey. BMC Health Serv Res. 2022;22(1):797. [ FREE Full text ] [ CrossRef ] [ Medline ]
• Rogers EM. Diffusion of Innovations. New York, NY. Free Press; 2003.
• Ramaswamy A, Yu M, Drangsholt S, Ng E, Culligan PJ, Schlegel PN, et al. Patient satisfaction with telemedicine during the COVID-19 pandemic: retrospective cohort study. J Med Internet Res. 2020;22(9):e20786. [ FREE Full text ] [ CrossRef ] [ Medline ]
• SteelFisher GK, McMurtry CL, Caporello H, Lubell KM, Koonin LM, Neri AJ, et al. Video telemedicine experiences in COVID-19 were positive, but physicians and patients prefer in-person care for the future. Health Aff (Millwood). 2023;42(4):575-584. [ CrossRef ] [ Medline ]
• Morse S. Telehealth payment parity only good through 2023. 2023. URL: https://www.healthcarefinancenews.com/news/telehealth-payment-parity-only-good-through-2023 [accessed 2023-05-14]
• Fact sheet 2022. CY 2023 Medicare Hospital Outpatient Prospective Payment System and Ambulatory Surgical Center Payment System Final Rule with Comment Period (CMS 1772-FC). Baltimore, MD. Centers for Medicare & Medicaid Services URL: https:/​/www.​cms.gov/​newsroom/​fact-sheets/​cy-2023-medicare-hospital-outpatient-prospective-payment-system-and-ambulatory-surgical-center-2 [accessed 2023-05-14]
• H.R.2617 - Consolidated Appropriations Act. Washington, DC. Congress.gov; 2023. URL: https://www.congress.gov/bill/117th-congress/house-bill/2617 [accessed 2024-06-20]
• Telehealth policy changes after the COVID-19 public health emergency. Washington, DC. US Department of Health and Human Services URL: https:/​/telehealth.​hhs.gov/​providers/​telehealth-policy/​policy-changes-after-the-covid-19-public-health-emergency [accessed 2023-05-14]
• 2023 Physician Fee Schedule Final Rule. 2022. URL: https:/​/www.​cms.gov/​medicare/​medicare-fee-service-payment/​physicianfeesched/​pfs-federal-regulation-notices/​cms-1770-f [accessed 2023-05-14]
• Billing for providers: what should I know? Washington, DC. U.S. Department of Health and Human Services; 2023. URL: https://telehealth.hhs.gov/documents/Billing-tipsheet-3Mar2023.pdf [accessed 2023-03-02]

Abbreviations

Edited by A Mavragani; submitted 12.07.23; peer-reviewed by M Somai, B Clay, T Aslanidis; comments to author 23.11.23; revised version received 18.01.24; accepted 16.05.24; published 17.07.24.

©Michelle Y Hamline, Guibo Xing, Richard L Kravitz, Marykate Miller, Joy Melnikow. Originally published in JMIR Formative Research (https://formative.jmir.org), 17.07.2024.

This is an open-access article distributed under the terms of the Creative Commons Attribution License (https://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work, first published in JMIR Formative Research, is properly cited. The complete bibliographic information, a link to the original publication on https://formative.jmir.org, as well as this copyright and license information must be included.