hypothesis of social science research

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Chapter 3: Developing a Research Question

3.4 Hypotheses

When researchers do not have predictions about what they will find, they conduct research to answer a question or questions with an open-minded desire to know about a topic, or to help develop hypotheses for later testing. In other situations, the purpose of research is to test a specific hypothesis or hypotheses. A hypothesis is a statement, sometimes but not always causal, describing a researcher’s expectations regarding anticipated finding. Often hypotheses are written to describe the expected relationship between two variables (though this is not a requirement). To develop a hypothesis, one needs to understand the differences between independent and dependent variables and between units of observation and units of analysis. Hypotheses are typically drawn from theories and usually describe how an independent variable is expected to affect some dependent variable or variables. Researchers following a deductive approach to their research will hypothesize about what they expect to find based on the theory or theories that frame their study. If the theory accurately reflects the phenomenon it is designed to explain, then the researcher’s hypotheses about what would be observed in the real world should bear out.

Sometimes researchers will hypothesize that a relationship will take a specific direction. As a result, an increase or decrease in one area might be said to cause an increase or decrease in another. For example, you might choose to study the relationship between age and legalization of marijuana. Perhaps you have done some reading in your spare time, or in another course you have taken. Based on the theories you have read, you hypothesize that “age is negatively related to support for marijuana legalization.” What have you just hypothesized? You have hypothesized that as people get older, the likelihood of their support for marijuana legalization decreases. Thus, as age moves in one direction (up), support for marijuana legalization moves in another direction (down). If writing hypotheses feels tricky, it is sometimes helpful to draw them out and depict each of the two hypotheses we have just discussed.

Note that you will almost never hear researchers say that they have proven their hypotheses. A statement that bold implies that a relationship has been shown to exist with absolute certainty and there is no chance that there are conditions under which the hypothesis would not bear out. Instead, researchers tend to say that their hypotheses have been supported (or not). This more cautious way of discussing findings allows for the possibility that new evidence or new ways of examining a relationship will be discovered. Researchers may also discuss a null hypothesis, one that predicts no relationship between the variables being studied. If a researcher rejects the null hypothesis, he or she is saying that the variables in question are somehow related to one another.

Quantitative and qualitative researchers tend to take different approaches when it comes to hypotheses. In quantitative research, the goal often is to empirically test hypotheses generated from theory. With a qualitative approach, on the other hand, a researcher may begin with some vague expectations about what he or she will find, but the aim is not to test one’s expectations against some empirical observations. Instead, theory development or construction is the goal. Qualitative researchers may develop theories from which hypotheses can be drawn and quantitative researchers may then test those hypotheses. Both types of research are crucial to understanding our social world, and both play an important role in the matter of hypothesis development and testing. In the following section, we will look at qualitative and quantitative approaches to research, as well as mixed methods.

Text attributions This chapter has been adapted from Chapter 5.2 in Principles of Sociological Inquiry , which was adapted by the Saylor Academy without attribution to the original authors or publisher, as requested by the licensor, and is licensed under a CC BY-NC-SA 3.0 License .

Research Methods for the Social Sciences: An Introduction Copyright © 2020 by Valerie Sheppard is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

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Social Science Research: Principles, Methods and Practices - (Revised edition)

(43 reviews)

Anol Bhattacherjee, University of South Florida

ISBN 13: 9781475146127

Publisher: University of Southern Queensland

Language: English

Formats Available

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Reviewed by Kelle DeBoth Foust, Associate Professor, Cleveland State University on 6/22/23

Comprehensiveness rating: 5 see less

The text really seems to do as it claims; provides the basic overview of the research material needed for graduate students without a lot of other “fluff.” It’s written very clearly, easy to understand and many figures and charts that enhance learning. It covers the majority of the topics that I need it to cover for OTH 740/Research I, at about the level of detail that the students should be able to digest. In particular, I like the sections on survey research, experimental research and that it covers quantitative and qualitative analyses.

Content Accuracy rating: 4

As far as I can tell reading through it, the content is accurate and unbiased (will be able to review further once actually implemented in the intended course).

Relevance/Longevity rating: 4

The content is current at least regarding how we continue to teach and use it in our field. Some of the references are a little outdated, although not much has changed in this world in recent years. I also recognize I can pull more recent literature in order to make the examples up to date and relevant for my particular students.

Clarity rating: 5

This book is written very clearly. I feel that the diagrams really help to add and make sense of higher level concepts that students may struggle with. Concepts that are challenging are recognized as such within the text, with appropriate examples that enhance clarity (will be able to review further once actually implemented in the intended course)

Consistency rating: 5

Yes, the text appears to be internally consistent in terms of terminology and framework.

Modularity rating: 5

The text is easily and readily divisible into smaller reading sections that can be assigned at different points within the course (i.e., enormous blocks of text without subheadings should be avoided). The text should not be overly self-referential, and should be easily reorganized and realigned with various subunits of a course without presenting much disruption to the reader. – Yes. The division of the content makes sense, and how smaller modules are paired (e.g., qualitative and quantitative analysis paired back to back) is logical to facilitate learning.

Organization/Structure/Flow rating: 5

The text and chapters are laid out in an order that makes sense and provides good flow and continuity between the concepts and analytical applications. In particular, I like how research is introduced, moving into research design and then analysis all within the same text. Will make this more manageable for students.

Interface rating: 5

The text is free of significant interface issues, including navigation problems, distortion of images/charts, and any other display features that may distract or confuse the reader. – Very well put together, no issues with the interface. I would consider this to be very user/student friendly. In particular, the authors made a point to keep it “short and sweet” so students should not be intimidated by the length of the chapters (which is excellent for helping to convince the students to actually read them).

Grammatical Errors rating: 5

The text contains no grammatical errors. – None detected.

Cultural Relevance rating: 5

The text is not culturally insensitive or offensive in any way. It should make use of examples that are inclusive of a variety of races, ethnicities, and backgrounds. – No offensive content noted, the majority of the examples used do not have cultural significance and therefore the amount of diversity is sufficient.

This review was written based on a preliminary review of the text prior to use and implementation within the intended course. I will update the review if it significantly differs once students have used it for their course study.

Reviewed by Ingrid Carter, Professor, Metropolitan State University of Denver on 4/14/23

The textbook includes many of the important elements of a foundational social science research course. A key element of the course I teach which is not included in the text is how to search for literature to inform the research, how to synthesize... read more

Comprehensiveness rating: 4 see less

Content Accuracy rating: 3

The content appears to be mostly accurate and unbiased. There is a large emphasis on positivist approaches, and more post-positivist and innovative research approaches should be added to the content.

The text is relevant to foundational/introductory social science research courses. As mentioned previously, broader and more diverse perspectives of research are missing.

Clarity rating: 4

The content is presented clearly.

Consistency rating: 4

The text is presented with a consistent framework and format. The variety of frameworks included could be greater, with at minimum a presentation of different research paradigms and ideally with discussion or questions to grapple with related to various research paradigms and approaches.

As the author indicates, the textbook consists of 16 chapters which can be used in a 16-week semester. These can be easily assigned for weekly readings.

The textbook is well-organized.

Interface rating: 4

The interface is relatively clear

No grammatical errors were found in my initial review. I have not yet used the textbook for the course I am teaching, and therefore have not reviewed the textbook page by page nor line by line.

Cultural Relevance rating: 3

More diverse and culturally relevant example to a diverse audience could be embedded. I did not encounter offensive material.

Reviewed by Sanaa Riaz, Associate Professor, Metropolitan State University of Denver on 3/27/23

Comprehensiveness rating: 3 see less

While not meant for advanced graduate and doctoral students, this text is an excellent introductory resource for learning about paradigms in research methods and data analysis and prepares the learner to begin writing a successful research project proposal. The text largely privileges the scientific method and labels diverse social science research methods as such. However, the preparatory considerations in beginning social science research have been discussed. The book contains important terms in bold to guide a beginner reader as well as sample syllabi for incorporating it at the graduate level. However, the text could be made more comprehensive with the inclusion of an effective index and/or glossary.

Content Accuracy rating: 5

The text is a quick guide to considerations and terminologies used in social science research. The content is accurate, error-free and unbiased.

The text provides a basic introduction to research methods in the social sciences. Updates in social science inquiry with respect to social media and popular culture platforms and mixed methods research should be easy to incorporate.

The text has been written from the point of view of a non-expert. It is free of technical jargon and is meant to provide the essentials of social science inquiry and research considerations.

Consistency rating: 3

The text is internally consistent in terms of terminology within a chapter section. However, it is strongly recommended that the framework is revisited for chapters discussing qualitative research methods and approaches. Qualitative data analysis has not been explored in depth and the basic framework for Chapter 13 will need to be substantially expanded to provide for a smoother transition from a discussion on grounded theory to content analysis and hermeneutic analysis and to incorporate information on other analyses undertaken in qualitative research.

Chapters and sections in the text can be easily reorganized and assigned as per needs of the instructor and the course without causing disruption to the reader.

Organization/Structure/Flow rating: 3

Chapter sections of the book covering qualitative research are not presented in a logical manner. It is highly recommended that the readers are told about the place of exploratory and other research in social science research inquiry, rather than labeling them as scientific research. Moreover, mixed methods and qualitative visual and social media platform research needs to be discussed. The book overall shies away from delving into approaches and methods in non-empirical research in the social sciences.

The text is easy to navigate. All words, sections and tables are easily searchable.

The book is free of grammatical errors.

The text does not contain any culturally insensitive information as there are hardly any research project examples incorporated.

Incorporating examples and case studies across social science disciplines (after introducing the disciplines in which social science research is employed in the first chapter) would allow readers to see the applicability of one social science research approach, method and data analysis over another based on the research project focus.

Reviewed by Cahit Kaya, ASSISTANT PROFESSOR, University of Texas Rio Grande Valley on 10/17/22

I LIKE THE FIGURE EXPLAINING RELIABILITY AND VALIDITY ON PAGE 55. read more

Comprehensiveness rating: 2 see less

I LIKE THE FIGURE EXPLAINING RELIABILITY AND VALIDITY ON PAGE 55.

IT SEEMED ACCURATE

Relevance/Longevity rating: 3

IT IS RELEVANT

IT IS CLEAR

IT IS CONSISTENT

Modularity rating: 3

IT NEEDS MORE MODULES

Organization/Structure/Flow rating: 2

IT CAN BE OGRANIZED BETTER

YES BUT EVEN THOUGH IT CAN BE IMPROVED

Grammatical Errors rating: 4

I DID NOT SEE IT

MORE CULTURAL DIVERSE EXAMPLES CAN BE GIVEN

Reviewed by Dawn DeVries, Associate Professor, Grand Valley State University on 12/9/21

The text provides a complete summary of the research process. While discussions are brief and concise, the text addresses the main issues and processes providing an overview and general understanding of the research process for social science fields. Two areas could be more in-depth, specifically the IRB discussion and the chapter on surveys. Information provided is accurate and succinct as the author intended, providing a comprehensive overview of the research process.

The content is accurate and presented in an objective manner. There was no perception of bias or conflict that would impact accuracy. The chapters offer a variety of examples, inclusive of a variety of social science fields.

Written in 2012, the information remains relevant with few areas that would ever need to change. The research process and research methods stay fairly consistent with little variation; thus, the text would not need regular updating. Updates, if and when needed, would be easy to implement due to the concise and objective writing and the logical organization of the textbook. One area needing updating (or that instructors would need to supplement) is Chapter 9 on Survey Research. The chapter refers to mail surveys, which in 2021, are almost obsolete. Little is presented or discussed on electronic surveys, survey platforms, or the use of social media in recruitment, survey distribution or every survey completion. Furthermore, there is no mention of the ethical issues related to social media research.

Key terminology is bolded with the definition following, making it easy to identify. Definitions are clear and adequate to facilitate understanding of the concepts and terms. The text presents the research process in a logical and understandable way using scaffolding.

The chapter structure, framework, and style are consistent.

Modularity rating: 4

The chapters provide easily divisible readings of 8-10 pages. The chapters are ordered in a logical fashion and flow easily, yet they could be rearranged to fit instructor preferences for order. Chapters are concise, allowing the combination of multiple chapters for a week’s reading if needed. The text is designed for a 16-week semester, but again, because the chapters are not long, several chapters could be read as one assignment. It would be difficult to reduce chapter readings (say, using only 5 pages of the chapter) because of the conciseness of the information and the shortness of the chapters.

The text is logical and has flow. It starts general (with How to Think Like a Researcher) and builds to specific, more detailed content (Inferential Statistics).

There are no observed problems with the interface of the text. Images used are clear and display without difficulty. No hyperlinks are used.

No observed issues or concerns related to grammar or mechanics.

No concerns about inclusivity or offensiveness. The text is clear and concise, offering a variety of short examples specific to various social science professions.

The text reminds me of my Research Methods textbook from my doctoral program. It addresses the differences between scientific research and social science methods in a clear and concise manner. While it is an overview of the information, it is specific and concise enough for students who need to understand the research process but won’t be engaging in research as their full-time profession. Content is brief in a few areas as mentioned, which will allow the instructor to provide supplemental reading or lecture content specific to the university (i.e., IRB) or to the profession. As the author suggests, certain chapters could be skipped depending on the program. For example, chapters 13 – 15 on statistics could easily be omitted if the program has a research statistics course. A nice add is the sample syllabus for a doctoral program.

Reviewed by David Denton, Associate Professor, Seattle Pacific University on 5/3/21

I use this book with graduate students in education taking an initial course in education research. Dr. Bhattacherjee notes the book is organized for semesters with supplemental readings, as shown by the sample syllabus in the appendix. Nevertheless, I have found the book is excellent in meeting objectives for an introductory course in education research, though it is necessary to add education context and examples. Some of the course objectives I have developed from the textbook include i) distinguishing between questionnaire survey method and interview survey method and ii) summarizing criteria for developing effective questionnaire items, among many others. There are some sections that exceed student knowledge without some background in statistics (e.g. description of factor analysis) but omitting these sections as required reading is easy since there are many subheadings used to segment chapters.

Dr. Bhattacherjee has done an excellent job of clearly communicating the content with accuracy. For example, the textbook distinguishes between qualitative and quantitative analysis (rather than qualitative and quantitative research, an appropriate distinction). The textbook makes other distinctions in a way that helps students comprehend concepts (e.g. survey interview and survey questionnaire). At the same time, the textbook does not over-emphasize research methods or design, which might mislead students to think inflexibly about the topic.

Relevance/Longevity rating: 5

One of the advantages of the book, in my view, is that it will not become obsolete anytime soon. It addresses all major topics of interest for instructors needing to develop student background knowledge in social science research methodology. For example, some topics for which the book provides helpful structure include i) Thinking Like a Researcher, ii) The Research Process, iii) Research Design, iv) and Sampling. In addition, an instructor can easily supplement or provide subject-specific examples where needed since the book is thoroughly segmented by chapter and chapter subheadings.

Dr. Bhattacherjee does a fine job of defining terms concisely. I do not recall use of jargon, or if there are complicated terms, the text provides enough elaboration so that students can at least attain a conceptual understanding. In some instances, definitions are so concise that I find it necessary to elaborate with examples. This, however, is a part of instruction and would be done in any case.

The textbook is highly coherent, in my view. Similar to modularity, consistency is a strength. For example, chapters are grouped into four sections: Introduction to Research, Basics of Empirical Research, Data Collection, and Data Analysis. Further, chapters within major sections are sequential, such as chapters on Science and Scientific Research, followed by Thinking Like a Researchers, followed by The Research Process. In addition, content within chapters is consistent, such as Dr. Bhattacherjee’s logical progression of concepts: empiricism, to positivism, to forms of analysis (qualitative and quantitative), etc

Modularity is one of the clear strengths, again in my view. From a structural perspective, neither the chapters nor subsections are very long because Dr. Bhattacherjee writes concisely. Both chapters and subordinate subsections lend themselves to various kinds of divisions. For example, students in need of supplemental instruction on descriptive statistics, such as content about the normal distribution, can be assigned the subsection on Statistics of Sampling in chapter 8, followed by the subsection on Central tendency in chapter 14. Some non-sequential reading is required if students do not have any background in statistics, but this is not difficult to manage using page numbers or subheadings as reference.

Organization/Structure/Flow rating: 4

The textbook is well organized. Nevertheless, there are some sections that I found helpful to have students read out of sequence. For example, there is a short section at the end of chapter 5, Scale Reliability and Validity, which is perhaps best read after students cover correlation and normal distribution, dealt with in chapter 14. Again, I did not find it difficult to assign sections out of sequence using either page numbers or chapter subheadings as reference.

The textbook does not have interface issues. Chapter titles are hyperlinked within PDF copies to simplify navigation. Some may judge a few of the images as low resolution, but if this is a defect it is not one that interferes with communicating concepts, which is the purpose of the images.

There are a few minor grammatical errors in the 2nd edition, 2012. For example, on p. 126, Dr. Bhattacherjee notes “five female students” when the Chi-square table appears to show four. This is minor, but if students are new to reading Chi-square tables they may not detect the error and believe interpreting a Chi-square table is different than interpreting a typical data table.

The textbook presents appropriate information without prejudice or unfairness. As mentioned, instructors will likely need to include examples that are specific to their course objectives and student populations. For example, chapter 11. Case Research provides exemplars that focus on business and marketing domains. This seems entirely appropriate given Dr. Bhattacherjee’s research area. Instructors using the text for other domains, such as education research, will be interested in elaborating on concepts using examples specific to the needs of their students.

I greatly appreciate that Dr. Bhattacherjee has shared his book as an Open Textbook.

Reviewed by Elizabeth Moore, Associate Professor, University of Indianapolis on 4/24/21

In Chapter 5 on Research Design there isn't any discussion on how to improve content and statistical conclusion validity. There isn't a discussion of threats associated with the four types of validity. The chapter also does not present how the research design and threats to validity are interconnected. There is a lack of comprehensiveness in the presentation of qualitative research as qualitative research rigor is not addressed.

The content is accurate, error-free, and unbiased. I would like more examples focused on social sciences. Some of the examples are related to business/industry. There are many social science examples that could be used.

Many of the examples should be updated. With everything that is (has been) happening in the U.S. and world, there are many examples that can come from the social sciences. For example, there are several examples that could represent the concept of technostress, especially with many professionals having to move into online environments. Students would be more likely to read assigned chapters and understand the material presented if the examples were relevant to their profession.

The book is clear and has high readability. There are several accessibility issues in the document. This should be checked and fixed. There are 5 issues in the document, 4 in tables, 5 in alternative text, etc. Accessibility is a big issue right now. All documents have to be accessible to all students.

While there is consistency within the textbook, in some topics there is a lock of consistency in how some of the terms and material relate to what is actually used in social science disciplines. For example, in basic social science textbooks in chapters presenting an introduction to measurement of constructs, descriptive statistics that are unfamiliar and rarely used, such as geometric mean and harmonic mean, should not be introduced. This information is usually difficult for novice researchers to understand without adding more advanced descriptive statistics.

It is confusing as to why research validity is in Chapter 5 - Research Design. There is not a discussion of how different research types are affected by different types and threats of research validity. The title of Chapter 7 is misleading. The word "scale" is associated with scale of measurement. It would be better to use designing measurement tools/instruments in the chapter name since the types of validity and reliability discussed are related to creating and developing measurement tools/instruments. I also think Chapter 6 - Measurement of Construction should not come before Chapter 7 - Scale Reliability and Validity since measurement of constructs and scale reliability and validity are related to qualitative research.

I like the organization. It follows the current syllabus I use so it will require very little modifications.

As mentioned below, bookmarks would improve navigation of the pdf file. Also, having links from the table of contents to chapters would be helpful. Including some of the important subsections of the chapters would also improve navigation of the pdf version of the book. Tables and charts are helpful and supplement the text. Use of images would break-up the text.

None were noted.

Cultural Relevance rating: 4

See comments above about the relevancy of the material. While it is important to make sure a book is culturally sensitive and not offensive, it is also important to not ignore what is known about social injustices which are well-documented. Look at the lack of diversity in many professions and organizations, this is important to address.

It would be helpful if bookmarks were placed in the pdf version. While this is a social science textbook, it would be helpful to have subsection in Chapter 4 that introduces at least a couple of the main health behavior theories. These are commonly used by many researchers in social sciences.

Reviewed by Barbara Molargik-Fitch, Adjunct Professor, Trine University on 3/6/21

This textbook provides a nice overview of several topics related to social science specific research. read more

This textbook provides a nice overview of several topics related to social science specific research.

The textbook seems to be accurate and error free.

The text seems to be accurate, relevant, and useful.

The text is organized well and had a professional and academic tone while also understandable.

Text seemed to be internally consistent.

Text is easily divisible to be assigned as different points within the course.

Text is well organized.

The text is free of significant interface issues that would distract or confuse the reader.

I did not see grammatical errors.

I did not see any cultural issues.

I will be using this textbook for one of my classes. I am looking forward to using it. I think it has a lot to offer students looking to develop their research skills.

Reviewed by Kenneth Gentry, Assistant Professor, Radford University on 6/2/20

This text provides a great overview of core concepts relevant to health-science research. An overview of theory, designs, sampling, data collection, data analysis, and ethics are provided. It may be helpful in future editions to add additional content relating to qualitative research (i.e. additional types of designs, as well as how trustworthiness and rigor are addressed [for example, what specific steps can be taken by researchers to address dependability, credibility, confirmability and transferability]).

Information presented appears accurate and unbiased.

While much of the content is 'durable' (not likely to soon become obsolete), the relevance is dependent upon the focus of the instructor/course. For example, if the emphasis of the course will be on quantitative research, then this text is highly relevant, however, if the emphasis is on an equal balance between the traditions of qualitative and quantitative, then this text is slightly less relevant due to the more limited nature of its content in qualitative (in comparison to content on quantitative). That is not to say that this text does not address content relevant to qualitative research, however, it does so with decidedly less depth and breadth than quantitative.

While a subjective interpretation of clarity is highly dependent upon the reader, I found this text to strike a good balance between a scholarly, academic tone, and commonly-understood, easily-relatable descriptions of key concepts. There were times where I wish that the latter had been more so, however, considering the target audience of this text, I feel that the author struck a good balance. Occasionally, there were concepts that I anticipated would require additional clarification (beyond the reading) for my graduate students.

Overall, I found the text to be generally consistent in its approach to the content. Occasionally, there were instances when the flow made sense at the chapter level, however, content might have been spread between chapters (i.e. theory is discussed in Chapters 1, 2 and 4).

This ties in with my comments on consistency. Since some concepts are discussed in more than one place, it might be difficult to identify a single reading for a specific topic ... one might need to assign several readings from more than one chapter. However, having said that, I anticipate that those instances would be infrequent. On the whole, the text demonstrates a fairly good degree of modularity.

At the chapter level (i.e. main topics), and within each chapter, information appears well organized. It is the appearance of content in multiple places that was occasionally problematic for me as I read (i.e. when reading about reliability and validity, I questioned why the author did not discuss the types of reliability and validity ... I later found that content in a subsequent chapter).

Interface rating: 3

While images were viewable, many appeared 'pixelated'/'grainy' (low resolution). This was more of a cosmetic issue, and did not affect the overall interpretation of the image.

Overall, the content was grammatically strong.

Content was not culturally insensitive or offensive.

My sincere thanks to this author, and to the Open Textbook Library and Scholar Commons for this text. I truly appreciate the investment of resources that were invested. I just completed instructing 2 semester courses on research in a graduate health science degree program ... I plan to adopt this text the next time I am rotated into those courses again!

Reviewed by Wendy Bolyard, Clinical Assistant Professor, University of Colorado Denver on 4/30/20

This text presents all the topics, and more, that I cover in my master's-level research and analytic methods course. A glossary would be helpful as students often need to reference basic definitions as they learn these new concepts. I would have... read more

The concepts were presented accurately and often with citations.

The great thing about research methods is that the content ages well (does not change over time). The examples were relevant and should not make the text obsolete. Any instructor should be able to provide current, real-world examples to compare and contrast to those in the text. Although the sample syllabus if for a business class, I did not find the text to be relevant only to business students. The authors uses broad social science illustrations that cross disciplines. This text is definitely relevant to public affairs/public administration.

The text is well-written and provides clear yet concise context.

When students are learning a new language - research methods - they may be confused when definitions vary. Causality is explained with slightly different language which may be misunderstood by students.

One chapter includes a summary section. It would have been helpful to include a summary of key takeaways for each chapter, and perhaps include a list of key terms and definitions (since the text does not include a glossary).

The text follows the linear, systematic research process very well.

The font, size, and spacing varied in some sections. The images were a bit blurred.

A few typos, but otherwise well-written and very clear.

Culturally sensitive with relevant and inclusive cases provided.

I will be adopting this text to supplement other readings assigned in my master's-level research and analytic methods course. I appreciate the clear and helpful context it provides on key concepts that students must understand to become effective researchers. The text is comprehensive yet concise and would not overwhelm students.

Reviewed by Valerie Young, Associate Professor, Hanover College on 12/19/19

I really appreciate the broad focus and examples from social science fields. As a fellow social scientist from a high growth area (communication studies), I would appreciate even more breadth! I supplement with many field-specific resources, so this critique is very minor. An appropriate place and reference might be within the first chapter, under the heading Types of Scientific Research, to give a nod to some of the social science fields and the importance of interdisciplinary questions across disciplinary lines.

I did not find any errors in the content of the book. One critique is that the author rarely cites any sources for assertions or materials. I get the impression that the author is relying on "commonly known" ideas regarding research methods and processes, but I have to consistently remind my students to cite all non-original information, and that example is lacking in this text. As an example, regarding evaluating measurement scales for internal consistency, the author references commonly-accepted factor loadings (>.60) but does not reference or provide linked resources for readers to corroborate this or seek additional readings.

The text content is relevant and the author has taken care to provide relatively timeless sample research examples throughout. Some examples include areas of social and political interest (conflict, crime), business and marketing, and social psychology. The contents of the text are not dated and the author does a fantastic job of offering a variety of relevant examples so that readers of all backgrounds can relate to the content.

Incredibly clear and concise. Main ideas are clearly articulated in headings. Bullet point lists are used infrequently, but appropriately. The writing style is professional, academic in tone, yet relate-able. There is little, if any, discipline-specific references that a graduate student from any area of social sciences could not comprehend; however, this book is empirically-grounded and quantitatively focused. For our readers in fields with lower quantitative literacy, some of the terminology in chapters is better suited for students with basic statistical experience, some research methods or theory coursework completed.

This text is consistent and detailed in the use of interdisciplinary, social scientific terminology.

The layout of materials and the concise writing style contribute to an easy-to-visualize text. The page layout and brief chapters make it appropriate to assign supplemental readings along with the chapter topics. Some areas for improvement: use hyperlinks to reference forward and backward within the text so that readers can pop back and forth to related concepts. Include links in the text to reputable online materials or publications. See my comment below in Organization feedback concerning chapter ordering.

One thing that strikes me as amazing and also challenging about this text is the concision and simplicity for which Bhattacherjee integrates complex information. The chapters are very brief- about half of what would be a typical, field-specific textbook, but the content is simultaneously dense and clear. For example, Chapter 7 addresses scale reliability and validity. In just a few short pages, we get an incredible density of information and terminology, from a formula and brief explanation of Chronbach's alpha to exploratory factor analysis as a method to demonstrate convergent and discriminant validity. There is an appropriate number of tables to visually demonstrate complex topics in-text. Overall, the chapters are well-organized and easy to follow with a working knowledge of basic stats. The introductory chapters have been intentionally placed to introduce readers to basic principles. The following chapters could be assigned as readings in any order that fit with the student's needs (but I find the order of these chapters appropriate, as-is): Chapter 9 Survey Research, Chapter 10 Experimental Research, Chapter 11 Case Research, Chapter 12 Interpretive Research, Chapter 13 Qualitative Analysis, Chapter 14 Quantitative Descriptive Statistics, Chapter 15 Quantitative Inferential Statistics. The final chapter, 16, covers Research Ethics, which seems to have been lopped on at the end of the text. It would be a better fit in the first third; perhaps integrated into one of the first several chapters with a nod toward the evolution of social research.

Regarding navigation, the pdf online version does not allow for creative navigation through the document. Graphics and charts are clear and easy to see in the online pdf version. They are a little smaller than I would like on the page, but the text is clear and the tables and graphs are visually appealing. It looks like most of the graphics were created using PowerPoint. One odd thing I noticed is that the paragraph spacing is inconsistent. In one section, the spacing between paragraph lines seems to be set at 1.25, and then, for no apparent reason, the line spacing moves back to single space. This is not visually distracting, just peculiar. Overall, the graphics in the online version are much clearer than in the softcover print version, which prints only in greyscale, with quite a bit of granulated distortion in the figures.

I did not notice any writing errors.

The research topic examples represented a diverse array of research topics, methods, fields, etc. The overview of science, scientific research, and social science was welcomed and unique to this text. Some areas for improvement would be to include historical scientific figures who are not all male, and link critical methodology in a clearer manner with specific critical and cultural examples of this form of research.

Reviewed by Lee Bidgood, Associate Professor, East Tennessee State University on 10/29/19

The text seems comprehensive, covers a wide range of research approaches, and parts of the research process. I will have to supplement with more of the area-specific writing that my students need, but this is easily added in the adapted version... read more

This text seems to follow the path of other texts that outline research design and methods, such as the Creswell book that I have used for several semesters. I do not detect bias in the text, or any significant errors.

I will discuss disciplinary relevance rather than chronological applicability (which other reviewers have already addressed thoroughly). The course for which I seek a textbook is meant to prepare students in a non-discipline-specific regional studies context, and for a range of methodologies and research design possibilities, mostly in the social sciences and humanities. This text is most relevant to the potential research programs of our students in discussions of the precursors to research design in Chapter 2 (“Thinking like a researcher”) and of the using and creating of theory in Chapter 4 (“Theories in Scientific Research”).

The authors’ prose is clear and easily comprehensible. Definitions are clear, and sufficient (jargon is explained). There could be more examples to clarify and assure comprehension of concepts, I plan to add these in my adaptation.

There is not an overt intra-chapter organization scheme that is consistent from chapter to chapter--each chapter differs in the sorts of content, that some sort of generic outline would feel forced, I think. The “feel” of the text, though, is consistent, and effectively conveys the content.

Because it uses footnote citations instead of endnotes / parenthetical citations, each page contains all of the references contained on it, which helps with modularity. The portions of the text that are less relevant to the course I teach (i.e. the more technical and statistical chapters, such as Chapters 6, 7, 8, 14, and 15 are easily omitted; I will be able to adapt portions of this text (i.e. the discussion of sampling in Chapter 8) without needing to provide all of the chapters. Some of the more technical vocabulary will require editing and explanation, but this seems manageable for me as an adapter.

The book is logically organized and the topics make sense in the order presented. I agree with another reviewer that the ethics portion seems like an appendix, rather than an essential and structural part of the book. As I adapt this text, I would address ethics at the beginning (as I do in my current teaching of research methods) and infuse the topic through other sections to address ethics-related concerns at all stages of research design and implementation. The author’s choice to use footnotes for references is not the one that seemed logical to me at first - it seems “elegant” to put all the references in a list at the rear of a book; now, reading through the whole text, however, I see some value to having the entirety of a citation at hand when reading through the main body of the text. Still, I miss the comprehensive list of works cited at the end of the book, which I would add to a text that I create, since an e-text is not limited by the economics of physically-printed books.

The text is workable as presented in the PDF document that I downloaded. Charts and other imagery are usable. There are no extra navigation features (a link to take a reader to the table of contents in a header or footer, etc.). I am left wondering if, in a PDF form, an OER textbook would be more useful with more navigation features, or if they might make the document buggy, cluttered, or otherwise affect use.

I did not detect any issues with grammar, usage, etc. in the text.

There is a lack of specific examples that might lend a sense of wide scope / global appeal to the textbook, and create an inclusive atmosphere for a reader/student. The author has stated that they hope to translate and widely distribute the text - perhaps, as is the case in the syllabus that the author provides, the hope is that in use for a course, additional readings will provide local knowledge and place-, culture-, and discipline-specific details and context.

This is a solid text that will provide a framework for adaptation in another disciplinary / area context.

Reviewed by Kevin Deitle, Adjunct Associate Professor, TRAILS on 10/6/19

I am pleased with the coverage in the text; it includes the history and foundations of research, as well as chapters on ethics and a sample syllabus. The structure and arrangement of the book differs from my own understandings of research and how I present it in class, but all the material covered in my class appears in the text, and it can be ordered to fit my syllabus. This text spends more time with statistics than I include in a research course, but again, that can be omitted or just used for reference. The book does not include either an index or a glossary, which is unfortunate for anyone who wants a paper version. Of course, most students seem to prefer an electronic text, so I assume they use a search function rather than an index.

I have not spotted any glaring errors, other than an occasional grammatical slip or a cumbersome edit. The author includes a few citations, usually following APA style, but employs footnotes instead of a reference section. The content mostly aligns with my own conceptions of research, although it does have a different arrangement from my presentation in class. This does not suggest that the content is wrong, only that I would likely rearrange it to suit my instructional sequence. I sense no bias in the presentation, including the historical or ethical portions, or sections that mention religion. I’m comfortable that I could rely on this book in class without worrying over slanted content or editorialization.

Research is something of a traditional topic, in the sense that changes or evolutions move at a comfortably slow pace. I expect there is very little of this text that is likely to become obsolete any time soon. The flip side is there is little in this book that is necessarily cutting-edge, but that is not the fault of the author at all. And in the unforeseeable situation where a new protocol or a new advance in either statistics or research warrants an update, I think the organization and the modular design will allow that to happen without major upheavals in the structure or arrangement of the text.

As mentioned elsewhere, the writing is comfortably academic without becoming dense or burdensome. I have seen introductions to research that were more casual and probably fit a beginner audience better than this would, but I daresay this is intended as a core text for a graduate-level class, and for that reason, can be expected to sound less approachable and more authoritative. The text employs features for fast visual reference, to include breaks in the text to allow for visual elements, and bolded text where key terms are introduced or defined. While this would probably not be a particularly exciting text for a self-study course, it will sit well with classes that need a reference text that takes the time to explain concepts with some authority.

Structurally the author has a style and sticks to it throughout the text. Visually this book is sparse, and it will require some effort on the part of the professor to make the content digestible in a classroom environment. However, that also suggests that the arrangement and format remain predictable from the first page to the last, without any surprises in presentation or discourse. Research has a tendency to step on its own toes when it comes to terminology, but this text follows those conventions for the most part, making it mostly congruent with other research texts I have seen. I think this book would complement other research texts without causing too many difficulties in terminology or arrangement.

The author suggests in the preface that the work was intended to be rearranged by sections, and I can appreciate how the chapters and structure support that statement. I do see this more as a foundational reference for a graduate-level course than a self-study text though, and it has the feel of a reference work to it. Text appears in large blocks, is illustrated sparsely, and has no callout texts or pull quotes. Key words are bolded but get no more embellishment, which again suggests a reference rather than an instructional work. I’m sure this material could be the groundwork for a more reader-friendly presentation, if someone wanted less of a reference and more of a textbook.

This might be the most appealing point of the text for me. As I mentioned earlier, I like the overall sequence that the author follows, but at the same time I can appreciate how the sections can be detached and still stand alone. The logic follows principles and theory through to fundamentals, then diverges to cover the details that fit more complex or esoteric versions of research. There is enough statistical explanation to avoid vague generalizations, but at points I expect it would overwhelm a beginner. I would prefer ethics was near the start of the text, rather than an epilogue; our course is arranged to require students to complete ethics training before they may pursue later assignments. But this is easily solved.

On the whole the text is satisfactory, the layout from page to page is acceptable, but there’s a minimum of graphic elements or visual components. Some of the statistical formulas or graphs are low-quality, or have suffered compression artifacts. Their appearance in the text is logical though, and the few tables or diagrams that do appear are in color, with arrows or labels to ease interpretation. The table of contents is primitive, and there is no way to navigate specific tables or diagrams except moving page by page in sequence. External sites are hyperlinked, and the table of contents has been designed for electronic use, but there are no cross-reference features. This gives the text the feel of a word processed document converted to a PDF format, intended to be printed. Overall, the core content is strong, as a printed book it is probably acceptable, but as an electronic textbook it lacks some contemporary features.

I have found very few grammatical errors or incomplete sentences, and none of those were so flagrant as to make the text unusable. If this had been submitted as an academic work it would likely earn some criticism for style or grammar (the author seems to follow APA style, but tends to footnote references simultaneously), but this never impedes the delivery. The text is readable at a collegiate level without becoming over-academic, or for that matter, casual.

The text manages to broach sensitive issues in a level and balanced format; in particular the ethics section manages to discuss some well-known failings in past research without becoming overly critical of the researcher or the participants. Arguably, research and its underlying processes are mostly mechanical (or at least standardized), meaning it is possible for individual researchers to violate cultural, ethnic, racial, or other boundaries, but the underlying science is generally unconcerned with those issues. In that sense, the book has very few opportunities to broach hot-button topics except when dealing with historical or ethical examples.

I appreciate this text as a starting point for a more accessible design, or as a background reference for a full course introducing social science research. I see it as a foundation text or an external source for students who seek a concise fallback for lessons, and with content that is compatible with other textbooks. In many ways it needs much more to compete with established textbooks or dedicated electronic learning tools, and in some places I would like more references for the material that is included. On the whole though, I would consider this as the core text for my next introductory research course.

Reviewed by Krystin Krause, Assistant Professor, Emory and Henry College on 4/10/19

This text covers the core elements of a social science research methods course at the undergraduate level. While the notes state it is intended for graduate coursework, I would have no problem teaching in my undergraduate courses. The concise chapters are undergraduate-friendly and will make a solid foundation with the addition of supplemental reading assignments that show examples of the concepts discussed in the textbook. There is no glossary or index, but keyword searching in the pdf copy is simple and effective.

The text seems to be an accurate reflection of social science research methods, particularly when considering causal inference and hypothesis testing. If your course is also covering descriptive inference, you would want to supplement the text with additional material.

Research methods is not a subject that changes quickly, and thus this text will not become obsolete quickly. The only things that may need updating over time are any links that lead to pages that no longer exist. Any other updates will be relatively easy and straightforward to implement.

The text is written in a style that is accessible for undergraduates. It follows the conventions of including relevant key words and phrases in bold and includes easy to follow definitions of terms. I anticipate that undergraduates will also appreciate how concise the text is.

The chapters are consistent in both terminology and framework. It offers a unified organization that also allows for mixing and matching chapters if an instructor wishes to teach the chapters out of order.

The organization of the text lends itself to be adapted to any introductory social science research methods course, regardless of what order the instructor wants to place the topics being discussed. Chapters could be taught out of order and can be subdivided accordingly.

While it is certainly possible to break apart to teach the text in a different order than how the chapters are originally offered, the progression of the text from the introduction to the chapters on qualitative data analysis is both logical and clear.

The text is free of interface issues, and charts and images appear to be clear and correct. The only exception to this are the links found in the sample syllabus at the end of the book. I was only able to get one of the links to work.

No grammatical errors jumped out at me. There are a few here and there, but they are not distracting for the reader.

The text is not culturally insensitive or offensive.

Because the book is concise, I would recommend its use in addition to other supplementary resources such as class lectures, academic articles that demonstrate the methods discussed in the textbook, and projects that allow students to experience the methods first-hand. It would make a good alternative to more elaborate basic research methods textbooks when the instructor wishes to keep costs for the students low.

Reviewed by Mari Sakiyama, Assistant Professor, Western Oregon University on 4/5/19

The textbook covers the major key elements that are essential in research methods for social science. However, both the breadth and depth of information might be too elementary for Ph.D. and graduate students. With the use of additional reading... read more

I did not notice any errors or unbiased content. The author had provided accurate information with simple/straightforward examples that can be understood by students with various discipline in social science.

Given the nature of the subject, the content is considered to be up-to-date. However, although there will not be too many changed expected in the research strategies and designs, it is important to note that some of the sampling procedure have been facing some changes in recent years (e.g., telephone survey, online sampling frame).

The textbook provided the content in a clear and concise manner. The author, instead of providing a complex list of academic jargon/technical terminologies, but rather clarified and explained these terms in a simple and straightforward fashion.

Overall, the content was consistent throughout the textbook. Starting with a broad/general statement of each chapter topic, the author narrowed it down to smaller element which is easy for the reader to follow and understand. As he provided in CH.6, it might be even more helpful to have summaries for each chapter.

This textbook is certainly divided into smaller segments, but maybe too small (short). However, as mentioned above, this problem can be solved by adapting additional readings.

The textbook is significantly reader-friendly and well-structured. Although some instructors prefer to cover some chapters earlier (or later) in their semester/term than others, this is just a personal preference. There are no issues with the author’s organization of the textbook.

Overall, the use of indentations, bolding, italicization, and bullet points, was consistent. However, many of the images were blurry (e.g., Figure 8.2, Table 14.1) and some fonts were smaller than others (i.e., pg. 34).

I did not notice any grammatical errors. Even I had missed some, they would not be destructions for the reader. (Note: The scale is confusing. What I mean by '5' is the least amount of grammatical errors were found)

The author did not use any concept that was insensitive or offended people and/or subjects from various backgrounds. (Note: The scale is confusing. What I mean by '5' is the least amount of cultural insensitivity or offensiveness were found)

See my comments above.

Reviewed by Candace Bright, Assistant Professor, East Tennessee State University on 11/7/18

There are some key elements that I would expect to be in a social science research methods book that are missing in this book. I think this comprehensiveness may be appropriate for an undergraduate course (with some supplementation), but the text... read more

The information in the book seems accurate. When necessary, it is cited appropriately.

The content is very relevant. Because the book focuses on methods, it does not need too much change over time. It was published in 2012. The main area that might need to be updated in the discussion regarding the Internet and how it impacts our research options. Perhaps more could be added on machine learning, AI, web-scraping, and social media in general. I increasingly see studies conducted either using social media content or recruiting through social media; neither of these are addressed in this book.

I really like the way the book is laid out. In particular, the qualitative and quantitative analysis sections are well organized. They succinctly cover a lot of information is a way that is very consumable. There were some instances, however, where I thought wording lacked clarity or definitions needed further explanation.

I do not see any issues with consistency.

I like the organization of this book and each chapter does a good job of standing alone on important topics within research methods. The sections within the chapters are clearly marked and logically organized.

The organization is clear and logical. It covers important concepts in research methods in the same order in which they are typically taught, with the exception of ethics. In this book, ethics comes last, whereas I would have taught it earlier.

This might be minor, but I noticed some places where the spacing was different and it was a little distracting. Overall, it is well formatted.

I didn't notice any grammatical errors.

Overall, the text book could use more examples and applied examples, but when present, I find them culturally appropriate.

I have mixed feeling on the image on the cover and the limited visuals within the book. I also don't feel like this textbook has enough visuals or figures that could be used to support comprehension of the materials. More examples would also be helpful. Overall, however, the author has presented a lot of information succinctly and I look forward to using this text (in parts) in future methods courses.

Reviewed by Alysia Roehrig, Associate Professor , Florida State University on 11/5/18

This text provides an overview of many important issues for my graduate research methods course in education. There are a few important topics missing, however. In particular, types of correlational designs and mixed-methods designs would be important to include. Likewise, single-subject designs are not mentioned at all. I will have to supplement these areas with other readings. I also think more about specific threats to internal and external validity should be provided, along with information about when and how certain threats are avoided. There is no glossary but being an online text, it is simple enough to search for certain terms.

Content seems to be error-free and unbiased for the most part. However, I have an issues with the language in chapter 2 about about strong and weak hypotheses because it seems to treat the experimental/causal hypotheses preferentially. The author also states that hypotheses should have IVs and DVs...but what about non-experimental hypotheses?? I think students could be misled by this and I think this requires a lot of unpacking. Thus, I do sense somewhat of a prejudicial treatment of quantitative and experimental research methods. I plan to add information to pages 13 and 15 about how qualitative methods do not involve testing hypotheses though the results might be an inductively derived hypothesis or nascent theory.

The content covered is pretty standard and basic and so not likely to be out-dated soon.

The writing is straightforward and easy to follow.

The use of terms and framework seems to be consistent throughout the book.

The chapter and subject headers all seem to be clear. They will make it easy to select sections for assignment or reordering if revising for use.

The order of topics makes sense and is aligned with the process of conducting research.

The hotlinks in the table of content are nice, but additional navigational aids would be helpful. For example, a back to the Table of Contents (TOC) button would be nice, as well we a list of all subsections (hotlinked) added to a long version of the TOC.

I have not noticed any egregious problems.

There are not many examples, which means there is little opportunity to offend.

Reviewed by Eddie T. C. Lam, Associate Professor/Editor-in-Chief, Cleveland State University on 9/12/18

The book provides ample information for a research course, but it may not meet the needs of every instructor. For this reason, the book should include a few more chapters so that course instructors can have more options for a semester-long research course. For instance, at least one chapter should be on nonparametric statistics and their applications on research studies, while another chapter should be on research paper writing (e.g., what should be included in the Introduction, Methods, Results, Discussion, and so on). For the Appendix, it is nice to provide a sample syllabus for the instructors, but the students may want a sample research paper in proper journal or thesis/dissertation format.

Most of the information presented in this book is accurate. The author has mentioned in Chapter 5 (p. 37) that “construct validity” will be described in the next chapter, but I don’t see any construct validity in Chapter 6 or Chapter 7. In addition, the author may want to emphasize what “alpha is set to 0.05” means. Does it mean the p-value has to be less than 0.05 (p. 125) or p ≤ 0.05 (p. 130) to reject the null hypothesis?

In terms of content, the book has fairly good amount of information. However, it is also obvious that many terms appeared in the last few decades are missing from the book. For example, Survey Monkey and social media can be included in Chapter 9 (Survey Research) and structure equation modeling can be introduced in Chapter 15.

The information is presented in layman’s terms without any jargon. New terms are bolded with clear definition, and sometimes they are illustrated with examples.

The terminology and framework are consistent throughout the text.

The chapters are logically presented and they are grouped under different sections. As mentioned before, the text should add a few more chapters for the course instructors to select from.

In my opinion, “Chapter 16 Research Ethics” should not be standalone (under the “Epilogue”) and it could be part of the “Introduction to Research” (i.e., the first few chapters).

The text does not have any significant interface issues, though the font size of the figures can be larger (e.g., they should not smaller than the font size of the text).

Overall, the text contains very few grammatical errors. However, in a number of occasions, a comma is added for no reason, such as “. . . we must understand that sometimes, these constructs are not real . . .” (p. 44). It is also unnecessary to always add a comma before the word “because.”

The content of the text is not culturally insensitive, and the author does not present any offensive statements or comments anywhere in the text.

It’s time to have a second edition.

Reviewed by Amy Thompson, Associate Professor, University of South Florida on 6/19/18

This text is a nice overview of some of the key points in social science research. There are useful definitions of key terms throughout the book, although none of the chapters go into much depth. It should be noted that there is more of a focus on... read more

Overall, the text seems accurate. There are some cases when the author gives advice that I don't agree with (i.e. advises against even-numbered Likert scale items, p. 48; encourages people not to do "trendy" research, such as that on new technology, p. 24). Even so, most of the information seems to be accurate.

The book is relevant. It gives a good overview of the theories and methods, which change little over time. I would suggest a few updates, however. Currently, there is controversy on the over-reliance of the p-value, and it would be useful to include some of this discussion on p. 125. Also, on p. 73, the author talks about "mail-in" and "telephone" surveys as a research method, and even goes on to say on p. 74 that most survey research is done by self-administered mail-in surveys with a pre-paid return envelop. This information needs to be updated, as currently, much of the survey research is done via online platforms.

The book is quite clear and provides succinct definitions.

The book seems consistent throughout.

The chapters are short and very readable. There would be no problem dividing the chapters up for a class, or using a portion of the book.

The topics are presented in a logical manner.

The text in some of the tables is blurry, especially when enlarging the PDF. Perhaps the print copy is clearer. The text outside of the tables is clear.

I didn't have any trouble reading or understanding the text.

This book is not offensive.

Overall, this is a good book to have as a reference or an additional text for a class. For my field, it wouldn't be sufficient to use as a stand-alone text. Although its intended audience is graduate students, it's a bit too basic for Ph.D. students, in my opinion. It would be a good text for an intro to research class at the UG or MA level, as a supplemental text. I would recommend it to Ph.D. students to use as a reference because of the key terms included. It's great that a resource like this is available for free to students and faculty in a wide variety of disciplines.

Reviewed by Huili Hao, Assistant Professor, University of North Carolina Wilmington on 5/21/18

This book provides an introductory and broad review of some of the key topics in social science research including research theories, research design, data collection, data analysis and research ethics Students from different disciplines in social science will find these topics useful in developing their research method skills. However, the book falls short on the depth of the essential concepts. It would also benefit from offering more practical examples for some of the theories or terminology. A glossary is not found within the text, although the table of content lists the topics covered in each of the modules.

Overall, this textbooks seems to be accurate.

The relevancy and longevity of this book are great. It focuses on fundamental research methods as well as incorporates current research approaches. Given the nature of research method that does not change drastically, content is up-to-date and won’t make the text obsolete within a short period of time. The topics are written in the way that necessary updates will be relatively easy and straightforward to implement.

The text is written in a logical and concise fashion. The text is easy to follow. I did not find any jargon or technical terminology used without explanation.

The text consistently matches the topics outlined in the table of content.

The text is clearly organized into five modules: introduction to research, basics of empirical research, data collection, data analysis, and research ethics. It also includes a course syllabus, which is nice and useful. Each of the modules / chapters can also be used as subunits of a research method course without putting the reader at a disadvantage.

The table of content is clear and the chapters are organized in a logic order.

I downloaded the PDF version of the textbook and find it easy to read offline. The formatting, navigation and images/charts seems clear and appropriate.

I had no trouble reading or understanding the textbook.

Overall, this is a good textbook that covers a broad range of topics important in research method. As this textbook is designed as a succinct overview of research design and process, more practical topics are not included in much detail such as how to conduct different statistical analyses using SPSS or SAS, or how to interpret statistical analysis results. It would require additional materials / textbooks for graduate level research method courses.

Reviewed by Jenna Wintemberg, Assistant Teaching Professor, University of Missouri on 5/21/18

I use almost the entire text in an undergraduate Health Science research methods course. I do supplement the text with additional readings on: -selecting a research topic -developing a research question -how to read scholarly articles -how to search the literature -mixed methods research -community-based participatory research -disseminating research findings -evidence-based practice

I have found this text to be accurate, error-free and unbiased.

The content is written in a way that will allow for longevity of use. I compliment this text with current peer-reviewed journal articles which are relevant to my students' career paths and can be updated more regularly.

I have found the book to be clearly written and appropriate for upper-level Health Science undergraduate students. Technical terminology is sufficiently defined.

The text uses a consistent framework throughout.

The text is easily divisible into smaller reading sections. I assign the chapters in an alternative order and students have not had problems with this.

I assign the chapters in an alternative order for my undergraduate students. For example, I have students read chapter 1 following by chapter 16 (research ethics).

There are no interface issues.

The text is free of grammatical errors

The text is not culturally offensive.

Because of the basic nature of the materials presented and clear writing, my upper level undergraduate students have done well with this text. The brevity of the chapters and bolded key terms particularly appeal to the students. I do have to supplement the text with journal articles and other materials. However, I am pleased with this straight-forward text and will continue to use it as the main text in my course moving forward.

Reviewed by Amy Thompson , Associate Professor, University of South Florida on 3/27/18

Reviewed by Debra Mowery, Assistant Professor, University of South Florida on 3/27/18

The text covers all of the areas of basic research information that I cover when I teach research and research methods in the social sciences. The table of contents is straight forward, and the chapters are arranged in a fluid, logical order. The nice thing with this text is that you could rearrange as you see fit for your course without an issue. There is also a sample syllabus in the appendix which could be useful when setting up a course. I feel this text is great for students who may not necessarily be interested in research as a job prospect (their interests may be more clinical in nature) but need the basics of research in a clear, easy to understand, and straight forward format.

I felt the content of this text is accurate, unbiased, and free of any glaring errors..

This text appears to be up-to-date including issues such as web-based or internet surveys and questionnaires. I did see that the copyright for this text was 2012 so not sure if revisions or updates to the original have happened or not. It seems that there should be a way to document if this is the latest version of the text. This may be useful information for users of this text.

This textbook is written in a concise and easy to read and understand manner - it is very user-friendly. This is a plus for students - it means they may actually read the text! Jargon and acronyms were appropriately defined with an explanation of how the terms originated and came to be utilized in research. This is appealing to me as an instructor so there is background information for the students.

The consistency of this text is uniform throughout. One appealing issue I liked was the use of social science examples when explaining topics like theories or paradigms. In some research texts examples are utilized but they may not necessarily be in the discipline that you are teaching.

I do like that this text is divided into 16 chapters which is perfect for a 15/16 week semester. The chapters are not so overwhelming that other supporting readings cannot be assigned to students as well to assist with explanation of the weekly topic. The text serves as a great base for building weekly assignments/readings for students.

The majority of the text is presented in a logical format. One issue I had with the order of the chapters in the text was including Ethics at the end in the Epilogue as if it was an after thought. Ethics, ethical behavior, and rigor are a must in research and should be addressed early on in the research process. Having said this, I feel the chapter on Ethics should be moved up further in the chapter line-up (possibly to chapter 2 or 3).

I did not experience any navigation problems. There was however, distortion with many of the images especially the graphics that were utilized throughout the text. A review of the images/graphics and an update to them would be useful. If this e-text has not been updated since 2012 this may be the issue for the distorted figures.

There are a few grammar/spelling/word choice errors. The errors do not effect the content of the text but when reading it makes you pause and think - what is trying to be said here? It might be useful to the author to have the text proofread or copy edited to resolve these issues.

In reviewing this text I did not see any examples that might be deemed offensive or insensitive to other cultures, orientations, ethnicities, etc,

Reviewed by Kendall Bustad, Clinical Assistant Professor, University of Maryland, College Park on 2/1/18

This book covers all the important topics in social science research and is approachable regardless of discipline and course level (high school, undergraduate, graduate, and even post-graduate). It provides an introduction to philosophy as well as components of research. You'll find yourself returning to the basics, and it gives strong foundations. Specifically, I find that the book provides a very comprehensive introduction to research philosophy and research designs, particularly in addressing how to come up with research questions, which is often a challenge for new doctoral students. However, due to the succinct nature of the book, some sections seemed lacking. Particularly, in the more practical steps of the research process (the data collection and data analysis sections)

The text does not seem to be biased in any way.

The content of the book is up-to-date. The text included relevant descriptions of current software commonly used in research.

If you want to have a compressed body of knowledge of social science research, you may read this one. Beneficial.

The text consistently matches the book outline. Terms were used consistently throughout the text.

Each chapter can stand along as a separate lecture. The headings, subheadings, an bold items are great additions that highlight important topics or definitions.

Most of the text flows in a logical, clear fashion. However, it may be clearer to have quantitative data analysis methods immediately follow quantitative data collection methods, and similarly for the qualitative data collection and analysis.

No issues noted.

There are a few grammatical errors.

There does not seem to be any culturally insensitive or offensive text.

Reviewed by Jason Giersch, Assistant Professor, UNC Charlotte on 2/1/18

The biggest challenge faced when writing a book about research methods is the decision about what NOT to include. Instructors and disciplines within the social sciences vary widely in terms of their expectations of students in an introductory methods course, and thus their needs from a textbook also vary. This textbook does an excellent job setting the stage for what we mean by "research" in the social sciences. Students will develop a solid foundation in the goals and rationales behind the methods social scientists employ. Students will also develop a comprehensive vocabulary in social science research methods. However, the book falls short in the development of students' research skills. Learning about methods is important, but not much is gained from that knowledge unless the student also learns how to execute at least some techniques. Furthermore, there is little guidance for the student regarding how to properly write a research paper, something that many instructors will find disappointing. This book is probably comprehensive enough for a 3-credit methods course with test-based assessments in a program where few students pursue graduate work. But if teaching students to actually conduct and write up research is important to the course, there are much better books out there (although at significant cost).

Content is accurate and unbiased.

The relevance and longevity are strong. This book describes some of the most current methods but still focuses on the foundations of research that will be appropriate for the foreseeable future. Updates could be easily made every five years or so to keep up with methodology.

The writing is very easy to follow with helpful examples. Prose is direct and to the point, giving only the essential information so as to allow the learner to develop a grasp of fundamentals. The section on theory, for example, is refreshingly clear for learners. Graphics aid in understanding the material in many parts.

This textbook uses consistent terminology and framework.

The textbook is appropriately structured for a standard 15 week course and even recommends a syllabus. Adapting it to other formats, like a 5 or 10 week summer course, might be tricky. There are ample headings and sub-headings, however, that allow the text to be divided into smaller chunks, which is nice to see given how many students feel overwhelmed by this topic.

Organization and flow is excellent. From an education and instructional standpoint, I wouldn't change the organization.

The simplicity of design is a strength -- students should have no difficulty opening and viewing the text on a wide variety of devices. On the downside, there are no bells and whistles that many some students have come to expect from online textbooks.

The casual writing style makes it very accessible, but one consequence is the very occasional grammar problem. It's a trade-off, I think, that is worth making.

Research methods are pretty "culturally-neutral", so there's nothing in it I would see as insensitive or offensive. That being said, the text recommends SPSS and SAS as software to use while neglecting free options (like R) or more ubiquitous programs (like Excel). For a textbook intended to keep costs at zero, these are glaring omissions.

I could certainly see this book being used as an accessible and low-stress introduction to the world of research methods in the social sciences. The main improvements I would like to see would be (1) sidebars throughout that guide students through the paper-writing process and (2) activities using datasets for students to actually perform some of their own quantitative analyses. Perhaps a companion volume could address these needs.

Reviewed by Nathan Favero, Assistant Professor, American University on 2/1/18

This text provides a fairly comprehensive coverage of topics. It is broad, hitting most of the major topics I need to cover in an intro PhD seminar for social science research methods (I'm teaching public administration/policy, political science, and criminology students). That said, there is not a ton of depth in this textbook. I don't view that as a negative; I prefer having a textbook that gives a basic outline of essential concepts and then fleshing this out with supplemental readings, but some might prefer a textbook that goes into more depth.

Overall, this textbook is accurate but not perfect. Sometimes I wish it was a bit more precise, particularly in coverage of quantitative topics. But I use another textbook to more fully cover quantitative topics anyway for my course.

I would say this textbook reads as modern and relevant, although perhaps it could do more to address emerging methodological concerns in social science disciplines (p-hacking, replication, pre-registration of research designs, etc.).

The textbooks is very accessible and easy to read for someone new to the disciplines of social science.

The book appears to be consistent.

I've assigned students to read the chapters in a different order than they are presented in the text had have not encountered any problems. Chapters are coherently organized into distinct topics.

The organization of the book is logical.

Overall, this book is easy to read and use. Graphs are not always high-resolution, but they are readable.

I have not noticed many grammatical errors.

I have not noticed any clear biases or insensitive handling of material in the book.

I'm delighted to have found this book. It's a great starting point for teaching my students to think about the basics of social science research and provides a nice skeleton on which I can layer more in-depth material for my course.

Reviewed by Holly Gould, Associate Professor, Lynchburg College on 8/15/17

The author states that the text is not designed to go in-depth into the subject matter but rather give a basic understanding of the material. I believe the author covers the necessary topics with enough depth to give the reader a basic... read more

I found no errors in content and no observable bias in any of the chapters.

This text will continue to be relevant because of the nature of the subject matter. Updates may be needed to reflect more current research or trends, but no major changes should be necessary.

The text is written clearly and succinctly. The text is understandable for those who are new to the subject matter.

I found no inconsistencies in the text.

The text is divided into logical chapters, and subheadings seem to be appropriate. Chapters can be read fairly easily in isolation without putting the reader at a disadvantage.

The topics are presented in a logical fashion. Some of the chapters have summaries or conclusions, while other chapters seem to end abruptly. It would be helpful to the reader to have a summary statement at the end of each chapter.

I downloaded and read the text in a PDF reader and had no trouble with formatting, navigation, or images/charts.

The text contains some grammatical errors but the errors are minor and do not distract the reader.

This text is well written and I would recommend it to an individual looking for a bare bones book on basic research methods. It contains information essential to understanding quantitative and qualitative research. The charts and images provided enhance the understanding of the text. At times, the author digs a little deeper into background and formulas for certain statistical ideas, which may be unnecessary to someone looking to understand the basics (e.g. the formula for Cronbach's alpha). Some chapters seem to end abruptly while other chapters have excellent summaries or conclusions. There is one recommendation that goes against the prevailing wisdom on survey design. On page 77, the author indicates that a survey should begin with non-threatening questions such as demographic information. Many experts have written that these types of questions, when asked at the beginning of a questionnaire or survey, can affect the respondents' answers to subsequent questions and should be saved for the end. Aside from these minor issues, this text is a great resource and I recommend it.

Reviewed by Virginia Chu, Assistant Professor, Virginia Commonwealth University on 4/11/17

The text offers an introductory overview to scientific research for PhD and graduate students in social sciences. It covers a broad range of topics, research theories, research process, research design, data collection methods, qualitative and quantitative research, statistical analysis, and research ethics. This book touches on many important topics related to the scientific research process that is typically found in several different text. As the author stated in the preface, this is an introductory book that is minimalist by design, it does not contain in-depth discussions or many examples. This is both a plus and a minus, as it makes the book more compact and allow it to be used by many different disciplines, but may be harder for students to relate. The comprehensive nature of the book allows the reader to be exposed to all the necessary topics, or provides a structure for a course instructor, who then supplements with additional materials to create the depth that is specifically tailored for their discipline. Specifically, I find that the book provides a very comprehensive introduction to research philosophy and research designs, particularly in addressing how to come up with research questions, which is often a challenge for new doctoral students. However, due to the succinct nature of the book, some sections seemed lacking. Particularly, in the more practical steps of the research process (the data collection and data analysis sections), as a new doctoral student will certainly need more details than what is provided in the text to begin their first research endeavor. For example, in the quantitative analysis section, only a handful of basic analysis were discussed in detail (univariate analysis, hypothesis testing, t-test, regression). I would like to see a more practical discussion of ANOVA, as it is a very commonly used statistical analysis tool. These topics may also be more discipline specific, where instructors of research classes can supplement with additional materials. The discussion on research ethics is certainly a nice addition to the book where many other research methods texts lack. An index/glossary is not included with the text, but the table of content clearly outlines the topics discussed for each module.

The book is overall accurate and unbiased. The book covered different social science research methods fairly. I did notice a discrepancy in Figure 5.1, where “single case study” is plotted on the graph as high in external validity, but the rest of the text frequently brought up case studies (especially single case studies) having the difficulty with generalizability which should have low external validity.

The content of the book is up-to-date. The text included relevant descriptions of current softwares commonly used in research. It will also stand against the test of time as research methods do not change drastically. The content can also be updated to reflect new technological updates. One needed update noticed is on page 120, where the authors cautioned that only smaller datasets can be stored in Excel and larger datasets needs a more elaborate database system. While the statement is still relevant, the numbers the author cited appear to be old and Excel has since been updated to handle larger datasets (1,000,000 observations and 16,000 items) than what the author had listed.

The content is written in a very clear and concise manner. It is easy to read and to follow the author’s arguments. I did not notice any jargon or technical term that was used without explanation.

The book has a modular organization, with each chapter designed to be used for a different lecture. Each chapter is a self contained unit that can be used as its own reading. Each chapter also has subsections that are clearly marked with subheadings. Important terms are also highlighted by bolding, making it easy for the reader to identify the important concepts.

The chapters of the book flows logically from one to the next. The current layout of the text groups all the data collection methods together and all the data analysis methods together. It may be clearer to have quantitative data analysis methods immediately follow quantitative data collection methods, and similarly for the qualitative data collection and analysis. This could be easily done based on the course instructor preference.

No interface issues noted.

The text is generally free of grammatical and spelling errors, with the exception of 2 minor typos noticed on page 139 (“Rik”, “riska”).

The text and examples provided are not culturally insensitive or offensive.

The text is easy to read and covers a broad and comprehensive range of topics important for research. I particularly enjoyed the discussion on research ethics which is often missing in many research methods texts. I would recommend discussing that topic earlier, together with research design, as many of these ethical issues and IRB requirements come up during research design phase. As the text is a meant to be a concise overview of the research process, the more practical topics are not covered in as much detail and would require supplementary material.

Reviewed by Brock Rozich, Instructor, University of Texas at Arlington on 4/11/17

The textbook covers the majority of what would be expected for a research methods course. It builds upon basic topics to more advanced concepts, so students from various backgrounds of research experience should still find the text useful. The glossary for the text is clear and a sample syllabus is provided by the author for individuals wishing to use this text for their course. The text was lacking an index, which would prove helpful for students.

The text is accurate and up-to-date with research methods in the social sciences. A variety of data collection methods and concepts are discussed in an easy to understand manor.

The content is up-to-date with research methods in the social sciences. The text should be able to prove useful for a research methods or as supplementary material for a statistics course for the foreseeable future. While I looked through this text with a focus on using it for a psychology course, I feel that this text would be useful across other fields as well.

The book was clear and built upon concepts in a thorough manner. Technical terms were well defined, though as mentioned previously, an index would be helpful for this text for students to look up key terms if they became lost. The text would be useful for an upper-level undergraduate or introductory graduate level course.

The text is consistent throughout. There were no notable deficiencies in any of the content provided in each chapter.

The course is broken down into logical subsections and chapters. Introductory topics relating to research methods are provided early and are built upon in subsequent chapters. A sample syllabus and course outline are provided for instructors who wish to utilize the text for their class.

The book is constructed in a well-organized fashion, without any issues of chapter structure.

The PDF version of the text worked wonderfully on a laptop, with no issues of navigation or distortion of images. This text was not, however, viewed on a tablet or e-reader, which many students use for classes. Based solely on use of a PDF file on a laptop, the interface was flawless, however, if you are considering using this for a class, I would test it out on an e-reader/tablet first to make sure there are no issues with format/text size, etc.

The book did not appear to have any noticeable grammar or syntactical errors.

There were no notable instances of cultural insensitivity throughout the text. Examples were broad and not specific to an individual race or culture.

This is a wonderful open source option for a main text for a research methods course or as a supplementary option for a statistics course that also focuses on data collection.

Reviewed by Divya Varier, Assistant Professor, Virginia Commonwealth University on 2/8/17

The textbook adequately covers most fundamental concepts related to research methods in the social sciences. Areas that would need attention: a chapter introducing mixed methods research, and a deeper discussion on Research Ethics. More social science based examples on specific research designs, experimental research would be great. The research process could include steps involved in academic research with information on the publishing and peer review process.

Content is accurate for the most part. I would have liked a more nuanced discussion of reliability and validity concepts- introducing the concept of validity as conceptualized by Messick/Kane is needed. In social science, especially education (the field I work in), masters/ doctoral students need to be introduced to the complex nature of establishing reliability and validity. While the content covered is detailed, a more critical introduction of the concepts as being situated in the obtained scores as opposed to the instrument itself would have made the chapter stronger.

Content is for the most part up to date (see above comments for specific areas: reliability, validity, mixed methods); some examples may become outdated very soon (example of political movements in middle eastern countries for example).

The writing is excellent in terms of clarity. I appreciate the use of straight forward language to explain the multitude of concepts!

The text is consistent in its overall approach to research methods as well as consistent in its use of terminology.

Bold font for key terms is appreciated. More insets/boxes within chapters would be a great addition visually. Addition of research studies and discussion questions would be great.

The chapters are well-organized. Only suggestion would be to introduce research ethics early on in the book.

No issues whatsoever in this regard.

No issues with grammar

The text is best suited for universities in western countries although I did not identify any insensitivity that would hinder teaching and learning of research methods using this textbook elsewhere.

Specific chapters in this book will be useful for me, from an instructor's perspective. For example, Chapter 2 - 'thinking like a researcher' is wonderfully written. The chapter on Interpretive Research and Qual. Data Analysis are thorough and clear in presentation of concepts- I definitely would use these chapters in my Research Methods class.

Reviewed by Rachel Lucas-Thompson, Assistant Professor, Colorado State University on 12/5/16

As acknowledged by the author in the preface, this is intended as a survey book that doesn't cover all topics in great detail. The upside is that this is a flexible text that can be used in many disciplines; the down side is that the text is short on examples, which reduces readability. I also prefer a textbook that provides a more detailed discussion of the following issues, but could supplement the textbook with these discussion in class: a) confounding variables, b) writing a research report, and the parts of a research report, c) evaluating the internal and external validity of a study, d) how we handle Likert and Likert-type scales (with better reflection of the rich controversy about this issue), e) historical background that has informed our current ethical guidelines, and f) more detail about manipulated vs. observed independent variables. Also, the 'research process' section doesn't include a step for going through IRB review and approval, so overlooks an important step in social science research. I think more detail is provided about paradigms and theories than is necessary, but those chapters and sections could be left out of course reading assignments quite easily.

In general, I think this textbook would be best suited to a course where the textbook is seen as an overview to supplement course discussions rather than a detailed coverage of research methods principles.

As far as I can tell, the book is accurate. There are some terms that the author uses that are not widely used in my field (developmental psychology, human development & family studies) but the descriptions are clear enough that I think students will be able to understand what is meant (however, it would be great to acknowledge and discuss some of these variations in terminology so the burden isn't entirely on the students who are still learning these concepts).

Research methods and statistics content are unlikely to change rapidly, although with the increasing use of ecological momentary assessments, daily diaries, and internet sampling techniques, it might be useful down the road to include more detail about those techniques.

The book is easy to read and follow, although the lack of examples to clarify concepts sometimes reduces the clarity of ideas (but is in keeping with the philosophy of the book).

I haven't spotted any problems with internal consistency.

It would be very easy to divide this into smaller reading sections and assign at different time points.

In general the organization makes sense; the only exception is having research ethics as an epilogue, when ethical issues need to be considered before a study is completed.

My two suggestions for increasing are a) hyperlinking the table of contents so that it was easier to find exactly what you want in the textbook, and b) providing a more detailed table of contents (with subheadings) so it's easier to determine where in chapters you should reference.

I haven't found any grammatical errors.

The text is neither culturally insensitive nor offensive.

I think this book is very well-suited for intro graduate level courses in research methods, as long as instructors are comfortable with this as an overview supplement rather than a detailed stand alone resource for students.

Reviewed by Robin Bartlett, Professor, University of North Carolina at Greensboro on 12/5/16

Generally the major topics are covered. The table of contents (chapter listing) makes it easy to find content. Occasionally I found what I thought was a topic covered only minimally in a chapter - but then found additional information in a later chapter (e.g., treats to internal validity). Overall I'd say in comparison to most other texts with which I am familiar that most all topics are covered, to some degree, but some topics are covered less than I would expect in a doctoral level textbook.

I found no errors in fact in the textbook. I found it to be written in an accurate and unbiased manner.

Primarily due to the topic covered (research methods), I do not believe the text will become obsolete in a short period of time. I think updates could be easily added, and if the author decided to cover some topics more thoroughly, that could be accomplished relatively easily, too.

The book is written in an easy to read style. It is easy to understand. Technical terminology is explained appropriately. The author puts many words in bold type and then defines or describes the word. Students will like this approach.

I had no issues as I reviewed the book in terms of consistency of terms used. The text is internally consistent.

The chapters of the book are separated by natural divisions. It would be easy to use this book in a course on research methods, in fact, there is a syllabus included at the end of the book that could be used by a faculty member when course creating.

The textbook topics are presented in a logical fashion. The ordering isn't necessarily the same order I have seen in other texts, but the order is reasonable.

I had no major interface problems as I reviewed the book. Some of the diagrams in the book are a little out of focus, but, they are still readable.

I found no grammatical errors in the sections of the book that I read.

I found no cultural insensitivity in the text. I noticed the examples cited were from articles written by authors from different countries.

The book is easy to read and fairly comprehensive in terms of topics covered. Some topics are covered in less detail than in some other books I've had the chance to read / review. I am most accustomed to finding discussion of theories in separate texts and presentation of statistics that might be used to analyze quantitative data in separate texts. There are even a couple of chapters on qualitative methods in this book. So, the book covers a wide variety of topics and introduces them in a clear way. Topics are not covered in as comprehensive way as in many texts.

Reviewed by Kelly Pereira, Assistant Professor, The University of North Carolina at Greensboro on 12/5/16

This text offers a comprehensive overview of social science research methods appropriate for advanced undergraduate and graduate students. The text covers the basic concepts in theory, research design and analysis that one would expect of a text geared toward the social sciences in general. The text could be easily adapted and/or supplemented to fit any discipline-specific needs. While the text covers a broad array of topics, it is a bit superficial and lacks depth in some areas. More examples and case studies, for example, could improve the text's thoroughness. The text also lacks an index, glossary and discussion questions, all of which would have been quite useful for a text of this nature. I do like that it includes a chapter on research ethics and an appendix with a sample syllabus, however.

Based on my review, the text's content is accurate, error-free and unbiased. I liked that it presented both qualitative and quantitative research methods fairly, as this divide is often a source of bias.

The text contains up-to-date approaches to research methods and presents classic theoretical debates. The methods presented should not become obsolete in the near future. Any new trends in research methodology could be easily updated in future versions of this text. I feel the text will be relevant and useful for multiple years.

The text is generally well written. It presents the information in a clear and concise way. I find it provides sufficient contextualization and examples for graduate students with some background already in research methods. Undergraduates will likely require supplemental materials and additional case studies to grasp some of the concepts covered. The illustrations do help guide understanding of concepts presented.

The terminology and research methods frameworks presented in the text are consistent. The use of bolded terms and illustrations throughout the text provide additional consistency.

The division of the text into the following sections: theoretical foundations, concepts in research design, data collection and data analysis, make it easy for instructors to structure a course and assign readings based on these main foundational areas. This format also enables instructors to easily supplement with other materials.

Overall, this is a well-organized text. Bolded words/phrases throughout the text provide some structure to guide reading. The text is divided into 16 chapters, which corresponds seamlessly with a 16-week semester. This enables instructors to cover one chapter per week, if they so desire, or optionally spend more time on chapters relevant to their course and exclude others. As mentioned earlier, the logical division of the text chapters into the areas of theory, research design, data collection and data analysis, lends to a soundly-structured course and facilitates the assignment of readings and other coursework.

I did not experience any issues with the text's interface, navigation or displays of images/illustrations. The text is in PDF format.

I did not notice any grammatical errors that impeded reading of the text.

I did not come across any culturally-insensitive or offensive passages in the text.

Reviewed by Peter Harris, Assistant Professor, Colorado State University on 12/5/16

This is a comprehensive overview of research design and research methods in the social sciences. The book's introductory sections offer a discussion of the philosophy of science, the history of science, and definitions of some key terms and concepts, which will help students to contextualize their own endeavors - and their own discipline(s) - inside a larger framework. It also tackles the more familiar topics of research design - conceptualization, measurement, sampling, and so forth - and several specific approaches to data-collection. Overall, then, the book is to be commended for tackling both the philosophical issues at stake in research design as well as the 'nuts and bolts' (or 'brass tacks') of actually doing research.

One of the book's touted selling-points is its focus on phases of research that precede data collection. That is, the book aims to train students not only in research methods, but also in the critical tasks of theorizing problems, generating research questions, and designing scientific inquiries - what the author refers to as 'thinking like a researcher.' This is certainly a welcome addition to a textbook on research design, and ought to help students to overcome some familiar stumbling blocks that seem to present themselves during graduate programs.

Because of its breadth, however, parts of the book can sometimes seem thin and underdeveloped. In particular, the chapters on data collection (specific research methods) are less detailed and comprehensive than other books manage to provide. It is hard to give a detailed 'how to' guide to either survey research, experiments, case studies, or interpretive methods in just 10 pages. As a result, instructors will almost certainly want to supplement this book with more detailed material, perhaps tailored to their specific discipline.

Even so, this book is an excellent backbone for an undergraduate or graduate class on research methods. It will have to be read in conjunction with discipline-specific guides to conducting research (and, most likely, alongside examples of good and bad research), but this does nothing to detract from the book's own value: it will certainly offer a valuable overview of key concepts, ideas, and problems in research design and data-collection, and will serve students throughout the duration of their studies and not just for one class.

This book is accurate, error-free, and as unbiased as it is possible to be in the social sciences. Of course, it is possible to imagine those who simply hold different views about what social science "is" or should be; some scholars might bristle at the notion that only knowledge produced according to the narrow strictures of the scientific method can be considered "scientific knowledge," for example, while others might balk at interpretivism being given parity of esteem with what they see as more rigorous methodological practices. But for the broad mainstream of the social sciences, there will be little in this book that stands out as unusual, controversial, or one-sided.

On the whole, the content of this book will remain relevant for a long time. After all, the basics of the scientific method and the fundamentals of research design seem unlikely to change in the foreseeable future. New and cutting-edge strategies of data collection and theory-testing do emerge, of course, but these are probably best delivered to students in the form of discipline-specific books or articles that could be assigned to complement this textbook, which deals more with foundations than it does with current debates.

The book is organized well and information is presented in a clear way. The prose is accessible and each chapter proceeds methodically.

This text is certainly consistent, and proceeds according to a methodical and logical structure. Key terms and concepts are introduced early on, and there are no 'surprises' in later chapters.

This book is organized into chapters, each of which could be used as the keystone reading for a given class session, and each chapter is broken down in easy-to-digest sections, making the book as accessible as possible. The fact that there are 16 chapters mean that the book could support 16 separate class sessions - that is, just enough to orient classroom discussion for an entire semester. That said, each module does not comprise sufficient material for a whole week; the chapters will need to be supplemented with extra reading material, especially in graduate seminars. It is unlikely that instructors will want to assign only part of a given chapter. Overall, the text reads well as a whole and in terms of its individual chapters.

The chapters for this book are organized into five sections: the introductory section, a section dealing with the basics of empirical research, sections on data collection and data analysis, and a final section that deals with ethics in research. This is a sensible and logical structure for the book, and nothing seems out of place. Again, the book is an accessible and smooth read; it will pose no challenges to an informed reader, and there will be nothing in the organization of the book that will be distracting or irritating.

As a single PDF, this book is easy to navigate.

I noticed no spelling or grammatical errors in this well-written book.

I can detect no culturally insensitive or offensive remarks in this book.

It is worth mentioning that this text ought to serve students well throughout their undergraduate studies, graduate careers, and beyond. It is a timeless - if necessarily limited - resource, and be returned to again and again.

Reviewed by Tamara Falicov, Associate Professor, University of Kansas on 8/21/16

The book is divided into sixteen chapters, which seemed a bit intimidating at first. I later realized that they are not necessarily very long chapters; it varies in terms of the topic. This makes the book quite comprehensive in that the book could be used for the length of the semester, one chapter per week. This is a useful model and one can add or subtract if needed. For example, the beginning chapter which discusses what science is and uses vocabulary from the hard or natural sciences may not necessarily be relevant in a social science course, but the author is being comprehensive by explaining the origins of science and the creation of the scientific method.The vocabulary in bold is extremely effective throughout the book.

The book is meticulously researched and I did not note any egregious statements or inaccuracies. There was one strange sentence when the author was trying to contrast a liberal to a conservative’s viewpoint on page 18 that made this reader feel a bit uncomfortable in how one ideological viewpoint was portrayed, but I’m not sure it was necessarily bias; perhaps just the writing was a bit heavy handed

The book makes sure of updated case examples, discusses how students utilize the internet for research, etc. The theories outlined here are the classic important debates, and the breadth of knowledge the author imparts is extremely comprehensive and up to date. this book could definitely stand on its own for many years before changes in the field might necessitate updating.

I found the textbook to be a refreshing read. The writing is very accessible and clear, but can be dense at times (though not in a problematic way—it means that with some of the more challenging material, the students will have to dig a little deeper to glean the information. The writing was very crisp, and to the point.

The book is written in a careful, consistent manner. As mentioned earlier, the vocabulary words in bold are consistent signposts, and there are citations (not too many, not too few) that help structure the book and provide a cogent framework. Sometimes there are summaries and bullet points, and other times there aren’t, so this is not exactly consistent, but it doesn’t detract from the overall work.

The chapters are excellent stand alone essays that could be used interchangeably. Some of them, such as the first chapter, is historical and philosophical, but not essential to understanding social science research methods. The second and third chapters are excellent for the researcher who is just starting out to formulate a research question. It helps them to think about the various theories and approaches available to them in terms of the angle, focus and methodology selected. The later chapters explain in greater detail various kinds of methods such as how to measure constructs, and scale reliability. These are higher order concepts which would be useful to graduate students—chapters 1-3 could not only work for graduate students, but also for upper division undergraduates.

The book was structured in a logical progression. There were no problems there. There was some repetition with various terms such as Occum’s razor, but this is because there is some overlap with concepts which I think is fine, given that some chapters may not be used in the course of a semester.

No problems with typeface, the diagrams and graphs are incredibly useful in breaking down more complex research methods.

There were no problems with syntax, grammar, spelling that I came across, except for a minor typo in chapter 9 in the table of contents.

I felt that the author was careful in his selection of case students to try to be inclusive and culturally sensitive. There was that one sentence that raised eyebrows about liberals versus democrats that I mentioned previously, but it wasn’t a major deal.

I found this book to be extremely useful and of high quality. I will to recommend it to a colleague who is teaching research methods next semester in a different department.

Reviewed by Yen-Chu Weng, Lecturer, University of Washington on 8/21/16

Dr. Bhattacherjee’s book, Social Science Research, is a good introductory textbook for upper-level undergraduate students and graduate students to learn about the research process. Whereas most research methods textbooks either focus on “research design” or on “data analysis”, this book covers the whole research process – from theories and conceptual frameworks to research design, data collection, and analysis. This book is structured as four modules and is very adaptable to instructors who want to teach any portions of the book.

Social science is a quite diverse field, including studies of socio-economic data, human behaviors, values, perceptions, and many others. Not only are the topics wide-ranging, but the research methods and the underlying philosophy of science also vary. Therefore, it is extremely difficult to write a textbook that includes everything. Dr. Bhattacherjee’s book is a nice overview of all these different methods commonly used in the social sciences. It aims for breadth, but not depth. Once could use this book as an entry to the field, but would need to seek additional resources for specific methods or analytical skills.

Based on my review of the book, the content is accurate, error-free and unbiased. However, better consistency with terminology often used in other related fields (such as statistics) would lessen students’ confusion with concepts.

Research methods are not time-sensitive topics and are not expected to change much in the near future. The inclusion of some cases or examples showcasing how social science research methods can be applied to current events or topics would help illustrate the relevance of this book (and social science research).

The book is very clear and accessible. It’s written in a way that is easy to understand. Important terminologies are bolded and these are good signposts for key concepts. A glossary summarizing definitions for the key terminologies would help students understand these key concepts. The book includes some helpful figures illustrating concepts in research design and statistics.

Overall, the book is very consistent.

The author, Dr. Bhattacherjee, structured the book following the research process – from theories, to research design, data collection, and analysis. Each module can be a standalone unit and is very adaptable to instructors who want to teach with either the whole book or individual modules. Although each module is mostly self-contained, it is impossible not to refer to other chapters since research is an iterative process. However, I do not expect this to be a huge problem for someone who wants to teach only a section of the book.

The fact that this book is structured as modules also makes it expandable. For those who want to teach only the philosophy of science or only the research design portion, they can add more details and in-depth discussion to these topics.

The book is well-organized and flows well with the research process. The chapters are clearly titled as well as the subheadings. Some numbering with the subheadings would help with navigation. In addition, a chapter summary/conclusion would also help with summarizing the main concepts of a chapter (some chapters do have a summary, but not all chapters).

The flow of the first module (Introduction to Research) is sometimes confusing – the book jumps between big ideas (scientific reasoning, conceptual framework) and specific details (variables, units of analysis) several times in the first four chapters. I thought that reorganizing the chapters as Ch1, Ch4, Ch3, Ch2 would flow better (from big ideas to specific details).

Since the book is organized by the research process, not by the type of research (qualitative vs. quantitative), Module 3 (Data Collection) and Module 4 (Data Analysis) cover both types of research. As a result, the flow/connection between each chapter are less clear. By reorganizing these two modules into “qualitative research methods and data analysis” and “quantitative research methods and data analysis”, not only would improve the flow of the book, but also better serve researchers who are interested in a particular type of research.

There are no major problems with the book’s interface. Each chapter is clearly titled. I would like to see the subheadings being numbered as well. If the PDF could have the Table of Contents on the sidebar, it would improve the navigation even more.

There are no grammatical errors noticed.

There are no culturally insensitive or offensive materials noticed. The few examples used in the book are very general and not controversial.

This book is a nice walk-through guide for researchers new to the field of social science research. One thing I would recommend adding is examples and cases. With more examples and cases, students would be able to put research methods into context and practice how they can apply the methods to their own research projects.

Reviewed by Dana Whippo, Assistant Professor of Political Science and Economics, Dickinson State University on 1/7/16

For its purpose, as introduced by the author, this is appropriately comprehensive. However, it is much more brief, more concise, than traditional research methods texts for undergraduates – which the text does not claim to be. It lays a sufficient foundation, with room and expectation for the professor to supplement with additional materials. Supplementing would be important if using this in an undergraduate classroom. I appreciate that the author emphasizes the process of research, and takes the time to address, in the first four chapters, the logic and process of research in a way that allows the text to be used in multiple disciplines. Indeed, this is one of the strengths of the book: that it can be used broadly within the social sciences. The text does not provide either an index or a glossary. This is more challenging when planning for its use in an undergraduate research methods class; however, I think that the strengths of this book outweigh the weaknesses.

I have not noticed any errors or bias. The only issue I’ve noticed, as indicated in other parts of the review, is depth. Doctoral students would bring in a sufficient foundation for reading this on their own; undergraduates will need scaffolding and additional resources to competently understand the complexity inherent in research.

The content does not read in a way that seems (either now or in the future) likely to read as dated or obsolete. The discussion of survey methodology and analysis programs will change with technology, but that should be easy to update. One of the book’s strengths is its focus on the foundation of research methods: the relationship between theory and observation, the understanding of science, and the logic that underlies the process of research.

The book is well-written and concise. Bearing in mind the author’s stated target audience of graduate and doctoral students, it is entirely reasonable that this would require additional work and instructor support (extra time and explanations for definitions and examples, for instance) when used in an undergraduate classroom.

The terminology is consistent throughout.

Faculty would be able to easily divide the text into smaller sections, which would be useful as those smaller reading sections could be combined with targeted supplementary materials.

The topics generally flow well as presented; the only exception is having the section on research ethics at the end. However, this chapter would be easy to assign earlier in the semester.

I did not have any problems with respect to interface issues.

I did not notice any grammatical errors that interfered with the reading process.

I did not notice any offensive comments or examples. The book is brief by design; it does not include the numerous examples that populate the traditional undergraduate research methods text. I did not find it offensive or insensitive.

Reviewed by Andrew Knight, Assistant Professor of Music Therapy, Colorado State University on 1/7/16

I have not seen a more comprehensive text for this topic area, and yet it retains a concision that I would have appreciated as a PhD student when I took courses in research methods. I think that the text may lend itself to several different types of courses. The early chapters can by used for more theoretical research courses, especially for new researchers and fundamentals of research courses. The later chapters can be used for "nuts and bolts" courses for addressing specific methodological issues. The appendices are an especially nice touch and added value for faculty to understand how the author uses this text and creates a syllabus to complement it.

There are very few typographical errors, and overall, the text is rigorously unbiased in its scientific method claims and explanations.

The overwhelming majority of the content in this text is classical understandings of research and methodologies that are essential to all graduate students, particularly in business and the social sciences. There is no indication that any of the content will suffer from claims that it is obsolete or irrelevant.

The clarity of the text is sound partly due to the concision of the book. Shorter chapters, easily navigable paragraphs, and other compositional devices make the text accessible to most levels of graduate students. The bolded words invite the reader to create a self-guided glossary, not any different than a textbook in an 8th grade student collection, which is helpful to counter the sometimes sophisticated nature of research theory.

No consistency issues noted.

The chapters have a nice flow to them, and can be "chunked" out for use in more beginner or more advanced courses. One preference of this reviewer would be to assign the ethics in research chapter earlier in the course calendar, and thus earlier in the textbook, so it is part of the foundational aspects of understanding social science inquiry. Meanwhile, the qualitative and two separate quantitative chapters play well together for students who will want to review them before exams or after the course is finished while they pursue a thesis/dissertation.

Again, I think the ethics chapter should be earlier, but that is simply a personal choice and can be altered by my syllabus. One issue that I wonder if graduate students might prefer is if they are not already 13 chapters into a text/course and only then are they getting to a basic concept such as measures of central tendency. Offering some of the nuts and bolts of research methods earlier in the text and tying them into the more theoretical concepts might help with clarity of flow for the typical graduate student.

No issues, nice charts and graphics throughout.

Very few noted.

This text is not insensitive in any way. As a matter of fact, pointing out historical issues in research ethics using some sensitive vignettes actually heightens the importance of research in everyday life.

I'm looking forward to adopting it for courses and using it for my own reflections on research!

Reviewed by Allison White, Assistant Professor, Colorado State University on 1/7/16

This text covers a wide array of topics relevant to social science research, including some that are not traditionally included but are welcome additions, such as a chapter dedicated to research ethics. A sample syllabus for a graduate course on research design is also offered at the end of the book, facilitating course development. The book is comprehensive in its treatment of the central components of research design and the different methodological strategies that researchers can leverage to investigate various research questions. Notably absent, however, is an index, glossary of terms, or questions for discussion, which are frequently included in textbooks devoted to research design.

The content is accurate and unbiased, which may be particularly important for texts on research design, as many fields within social science are intractably polarized between quantitative and qualitative approaches. The book goes a long way toward bridging that gap by treating the multitude of methodological orientations fairly and without obvious preference for one or another.

This book will stand the test of time due to its comprehensiveness and fair and balanced approach to research design. Both cutting-edge and classic approaches to research are discussed and the book may be easily updated as warranted by important developments in the social sciences.

The text is written clearly and accessibly, providing adequate context for most of the jargon and technical terminology that is covered. For this reason, it seems suitable for a variety of graduate-level courses, including research design survey courses and more advanced courses focusing on specific approaches.

The text is internally consistent in terms of terminology and framework.

The book neatly compartmentalizes the topics, making it easily divisible into smaller reading sections that can be assigned at different points within the course. The individual chapters stand on their own and do not require contextualization. Numerous sub-headings throughout each chapter flag the central themes.

The topics in the text are presented in a logical, clear fashion. The topics build productively throughout the textbook, beginning with the basic concepts of research design and culminating with different strategies to approach research.

The book's interface is seamless. Charts and images appear appropriately sized and undistorted and the text is free from navigation problems.

The text does not contain conspicuous grammatical errors.

The text and examples provided in it are not culturally insensitive or offensive in any way. Examples are drawn from universal theories rather than research that is culturally-specific.

Reviewed by Jim Hutchinson, Lecturer, University of Minnesota on 6/10/15

This text covers all the basic concepts expected in a book on social science research. However, it does so at a fairly superficial level. The author says this was intentional in order to provide coverage of essential topics and not distract students. As such, the book seems to do a good job introducing all the essential concepts for graduate research, but supplemental materials are likely needed depending on instructor or student needs.

The book seems to free of errors and bias.

Social science research isn't likely to change greatly so this text should remain relevant for some time and can easily be updated to accommodate new techniques as they arise.

The book is generally well-written and accessible. The writing is clear and there are sufficient examples to help students grasp concepts.

The text appears consistent with others in the field.

The text may be best used as an overview of the research process in social sciences rather than a reference. However, various chapters could also be used alone or as supplement to other materials and excluding chapters not relevant to a particular course should not cause any issues. The author even mentions excluding certain chapters that are actually full courses where he teaches.

The organization and sequence seems very logical.

I accessed the PDF version and did not experience any issues with text or graphics.

I think a good proofread would help. There are a number of places where extraneous words were left in (perhaps when rewriting and changing the structure of a sentence) or where words are not quite right. For example:

"...a researcher looking at the world through a “rational lens” will look for rational explanations of the problem such as inadequate technology or poor fit between technology and the task context where it is being utilized, while another research[er] looking at the same problem through a “social lens” may seek out social deficiencies..."

Such errors are not really problematic but they are a bit distracting at times.

I did not find the book to be insensitive or offensive. Examples used are fairly benign. For example, when discussing the tendency of lay people to view a scientific theory as mere speculation the author uses an example of teacher practice instead of a more charged example such as evolution.

Overall, this is a good book to introduce graduate (and even undergraduate) students to social science research. It is not comprehensive enough to be the only text students encounter, but it would be sufficient for say master's level programs that focus more on capstone or practical "informed by research" projects. Students planning to conduct original research, analyze data and interpret results will likely find this insufficient.

Reviewed by Paul Goren, Professor, University of Minnesota on 7/15/14

This text introduces social science doctoral students to the research process. It can be used in sociology, political science, education public health, and related disciplines. The book does an excellent job covering topics that are too often neglected in research methods classes. Standard texts devote most of their attention to different modes of data collection (e.g, lab experiments, field experiments, quasi-experiments, survey research, aggregate data collection, interpretive and case study methods, etc.). This book covers these materials but also devotes a lot of time to steps in the research process that precede data collection. These steps include formulating a research question, concept definition, theory elaboration, measurement (including reliability and validity) and sampling. There is also cursory coverage of descriptive statistics and inferential statistics (a chapter on each) as well as chapter on research ethics. In terms of coverage, then, the text can be described as comprehensive in terms of topics. In terms of depth of coverage of the topics, the text takes a minimalist approach. That is, the fundamentals of each topic are covered, but there is little discussion beyond the basics. Teachers looking for the perfect text that nails all the key points should look elsewhere or make heavy use of supplements. For instance, in the discussion on concepts, constructs, and variables, the text does not distinguish between latent variables, which are unobservable, and manifest variables, which are observable, as is common in the structural equation modeling tradition used in sociology and psychology. This is a minor omission and there are others one might quibble with. The bottom line is that most key topics in the research process are covered, but the coverage is not terribly deep.

From what I can tell, the book is accurate in terms of what it covers. There are some things that should probably be included in subsequent revisions.

The social science research process is unlikely to change in any signfiicant way for some time; therefore, I suspect the book will be relevant for years to come. The key will be ensuring that the latest research trends/improvements/refinements are added to the book. For instance, internet sampling techniques have come a long way over the past decade and there are now pollng firms that can admister online surveys to representative samples of the broader U.S. population. So long as the author keeps on these develops, this will serve as a useful introductory text for the foreseable future.

This text is extremely and unusually well-written and clear. This is one of the text's greatest selling points. No complaints on this score.

The book is very consistent from what I can see.

This book can work in a number of ways. A teacher can sample the germane chapters and incorporate them without difficulty in any research methods class.

The organization is fine. The book presents all the topics in an appropriate sequence.

The interface is fine. I didn't experience any problems.

I didn't see any errors, it looks fine.

The book is not culturally offensive.

Teachers looking for a text that they can use to introduce students to the research process and cover the foundational components of the research process should find this manuscript sufficient for their needs. Simple additions on slides or class room commentary can easily take care of the various omissions that pepper the text. Indeed, one could use this text in conjunction with discipline specific supplements quite effectively. For instance, in chapter 3 on the research process, the author devotes 5 paragraphs to common mistakes in the research process, such as pursuing trivial research questions or blind data mining. I can see how psychologists, sociologists and political scientists could provide discipline-specific examples to tailor this to their students particular needs. More generally, I suspect that the text could be used in conjunction with germane discipline specific materials quite effectively in research methodology classes. The book is not perfect. I wish there was more discussion on field experiments in the experiment chapter. Other than a brief mention that these are relatively rare, there was nothing. These are indeed relatively rare but that seems to be changing in some fields (e.g. economic, political science), and I think more discussion of this technique is warranted. The chapter on case study methods would benefit from discussion on the historical and comparative methods that are used in various social science disciplines, as well as some discussion on case selection methods. The statistical coverage is very thin and should not serve as the primary source material in any class that covers statistics. For instance, the discussion on the empirical assessment of reliability (for items or scales) does not discuss in depth the assumptions that underlie the various methods nor the modifications that need to be made across different levels of measurement. To take another example, the author presents the formulae for the variance and standard deviation on p. 122 with the customary n-1 in the denominator. Students often ask me why we divide the mean squared deviation by n-1 instead of n, which is what we do for the mean. Professors will need to make sure that their slides include discussion of the degrees of freedom idea and perhaps some discussion on unbiasedness as well. In the inferential statistics chapter there's no discussion on desirable properties of estimators (unbiasedness and efficiency). This is an unfortunate oversight. These could be added very easily using simple graphs. One thing that's lacking is a chapter on statistical graphics. The book makes great use of graphics and other visual aids throughout the chapters, but I wish there as a standalone chapter that introduces simple plots for univariate and bivariate data. This can be supplemented easily enough, but the omission seems odd. Again, this book can serve as an compact introduction in a graduate research methodology class for students across the social sciences, but it would work best in conjunction with deeper and more discipline specific materials prepared by the professor.

Reviewed by Anika Leithner, Associate Professor, California Polytechnic State University on 7/15/14

This text certainly covers all the basic concepts and processes I would expect to find in an introduction to social sciences research. What I liked in particular is that the author includes information on the ENTIRE research process, including critical thinking and research ethics, in addition to the "nuts and bolts" of research such as operationalization, data collection, and data analysis. I also find it useful that the author includes sections on both qualitative and quantitative research, which is great for an introductory level course. In general, readers can expect to find information on theory- and hypothesis building, operationalization/measurements, sampling, research design, various data collection strategies (e.g. surveys, experiments, etc.), as well as data analysis. The primary reason I did not give this text 5 stars is that the author does not provide a great amount of detail for a lot of the book's sections. He explains in the preface that he purposefully chose to reduce the text to the basics in order to keep the text compact and clutter-free. In general, I tend to agree with this approach, as so many methodology textbooks seem to get lost in examples and case studies without clearly illustrating the research process as a whole. However, as I was reading through this book, I kept thinking that I would need to supplement multiple areas of this book with more information in order to make it truly accessible to my students. To be fair, I think that A) anyone who has taught methods before would be able to use the "bones" of this book to prepare students sufficiently well for class and then easily fill in the blanks, and B) it appears that this text was written primarily with graduate students in mind, whereas I most teach undergraduates. In all, I still think that this is a great free alternative to many textbooks out there, but if your teaching style depends on your text including a lot of explanation and examples (or even applications), then this is likely not the text for you. Finally, this book does NOT include an index or a glossary. Personally, I did not find this to be a problem, as the outline/table of contents is very useful, but perhaps students using the text could benefit from an index that would allow them to quickly look up what they need to know.

I did not detect any errors or any purposeful bias in this textbook! Some readers might find that the author's choice of terminology does not necessarily match what I would consider standard practices in the broader social sciences (e.g. the use of the term "mediating variables" instead of "intervening variables"), but it is always clear what the book is referring to and it shouldn't be too difficult to bridge this "terminology gap." Occasionally, I was a bit puzzled by a definition or an explanation. For instance, the author states that "control variables" are not pertinent to explaining the dependent variable, but need to be taken into consideration because they may have "some impact" on it. I'm assuming the author means that they are not pertinent to the hypothesis being tested (as opposed to them not being pertinent to the explanation of the dependent variable). This type of ambiguity does not occur very often in the textbook and it does not necessarily represent an error. It merely seems to be an issue of miscommunication. Overall, I very much liked this text for its accuracy.

Luckily, research methods do not change drastically in a short period of time, so I expect the longevity of this book to be very high. In my experience, the biggest factor that can make a research text outdated is the use of up-to-date examples and case studies. This text includes very few of either, so I think this text could be used for many years to come.

The book is very clear and accessible, probably largely due to its minimalist approach. Aside from the above-mentioned deviations from broader social sciences terminology on a few occasions, I did not encounter any problems with the jargon/technical terminology used. The only minor problem I noted (which made me I've a ranking of 4 as opposed to 5) was a certain amount of repetitiveness in the earlier chapters, specifically with regard to positivism/post-positivism and the discussion of theory/hypothesis creation and testing.

The book is very consistent. It has a clear outline that matches the natural research process and the author very consistently adhere to this outline. Chapters naturally flow from one another and are logical.

This book is very well organized and easily accessible due to its division into logical chapters and sub-sections. In addition, the author highlights important concepts in bold, making it even easier to follow along. I would have no problem assigning smaller reading sections throughout the quarter/semester.

As mentioned above, the text is very well organized and flows naturally/logically. It follows the research process from critical thinking, conceptualization, to operationalization/measurements, research design, data collection, and data analysis. Research ethics are discussed in an appendix/addendum.

There are no major problems with the book's interface. Occasionally, graphs and tables are not as crisp and visually appealing as they might be in an expensive textbook, but personally, the ability to assign an open source text to my students far outweighs any concerns I might have about the visual attractiveness of a book. This text is easy to read and quite user-friendly.

I detected no grammatical errors.

The text includes very few examples and it is hard to imagine how research methods in general could be offensive to anyone (unless it is the practice of science itself that offends them), but for completeness' sake, allow me to state that I found no instances of insensitivity or offense in this textbook.

This text covers all the basics of the research process. It does not contain a lot of the "bells and whistles" that the expensive traditional textbooks have (e.g. lots of examples, fancy graphs, text boxes with case studies and applications, etc.), but it certainly gets the job done. Personally, I appreciate the compact nature of this text and I would much rather fill in a few gaps on my end, if it means that I can assign my students an open textbook.

Reviewed by Brendan Watson, Assistant Professor, University of Minnesota on 7/15/14

See overall comments. read more

See overall comments.

Dr. Bhattacherjee's "Social Science Research: Principles, Methods, and Practices," is a comprehensive, but a bare-boned (and generic) introduction to social science research. In this case "generic" is actually a positive attribute: because the text covers social science research broadly, rather than sociology, psychology, etc. specifically, this text can easily be adapted to the needs of basic research methods courses in allied disciplines. (I teach an introductory quantitative research course for master's and Ph.D. students in a School of Journalism & Mass Communication). I describe the text as comprehensive, because if my students got a basic grasp of all of the concepts in the book, they'd be well positioned to continue on to more advanced research courses (though the text is less valuable as a reference than more comprehensive introductory texts). But while Dr. Bhattacherjee's introduction says that the book is bare-boned by design -- "I decided to focus only on essential concepts, and not fill pages with clutter that can divert the students' attention to less relevant or tangential issues" -- some topics deserve more attention. For example, Institutional Review Boards (IRB) receive only two short paragraphs, and there is no mention of the history of why such boards were deemed necessary and play an important role in the research process. I'd consider such knowledge essential for students, and this is the type of information I would like a text to focus on so that I can spend class time reviewing more complicated concepts students might have trouble grasping on their own. (Generally I found the writing to be approachable, and concepts to be well explained, though extensive examples are also part of the "clutter" omitted from this book). Another topic I would have liked to see developed further - and perhaps is especially important to the more digitally-savvy crowd interested in the open textbook movement - is the expanding role of the Internet and digital technologies in the research process itself, particularly in the era of "big data." The text, for example, mentions Internet surveys, but there is no conversation about tools one can use to build an Internet survey; how Internet surveys differ from traditional modes of surveying; or the practice of weighting Internet survey results to make them "representative" of the larger population. That said, I am balancing using this text versus a more comprehensive, but much more expensive, commercially produced text. Another thing that this book is missing are instructional resources that commercial publishers provide, but ultimately by using this text I can contribute to creating greater value for my students. However, it would have to be supplemented heavily with other materials, as well as lectures, which is not without a trade-off cost. It's certainly doable, but ultimately means a greater investment of my time, and I have to weigh investing my time in creating hands-on learning opportunities and providing students with thorough feedback on their work with the time I'd have to invest in using a text that is complete, but needs to be much more heavily supplemented with additional materials. Ideally, several faculty with similar teaching needs would team up to combine and adapt several open texts to their courses' needs. Adapting and supplementing this text for my purposes by myself, however, remains a steep, if not insurmountable task for a tenure-track professor. This text, however, is thorough enough to maintain my interested in trying to find a way to make it work.

About the book.

Part I. Main Body

Science and scientific research
Thinking like a researcher
The research process
Theories in scientific research
Research design
Measurement of constructs
Scale reliability and validity
Survey research
Experimental research
Case research
Interpretive research
Qualitative analysis
Quantitative analysis: Descriptive statistics
Quantitative analysis: Inferential statistics
Research ethics

Ancillary Material

This book is designed to introduce doctoral and postgraduate students to the process of conducting scientific research in the social sciences, business, education, public health, and related disciplines. It is a one-stop, comprehensive, and compact source for foundational concepts in behavioural research, and can serve as a standalone text or as a supplement to research readings in any doctoral seminar or research methods class. This book is currently being used as a research text at universities in 216 countries, across six continents and has been translated into seven different languages. To receive updates on this book, including the translated versions, please follow the author on Facebook or Twitter @Anol_B.

About the Contributors

Anol Bhattacherjee is a professor of information systems and Citigroup/Hidden River Fellow at the University of South Florida, USA. He is one of the top ten information systems researchers in the world, ranked eighth based on research published in the top two journals in the discipline, MIS Quarterly and Information Systems Research , over the last decade (2001-2010). In a research career spanning 15 years, Dr. Bhattacherjee has published over 50 refereed journal papers and two books that have received over 4,000 citations on Google Scholar. He also served on the editorial board of MIS Quarterly for four years and is frequently invited to present his research or build new research programs at universities all over the world. More information about Dr. Bhattacherjee can be obtained from his webpage at http://ab2020.weebly.com .

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PSC/SOC 340/JS 504: Social Science Research Methods

Getting Started
The Scientific Method
How to Read Scientific Articles
Research vs Review Articles
Quantitative vs Qualitative Research
Books About Research Process
Lit Review & Research Question

What is the difference between a theory & a hypothesis?

An example of how to write a hypothesis.

Research Design
Research Instrument
Find Articles, Reports & Documents
How do I find a Quantitative article?
Find Statistics
Find Poll & Survey Results
Evaluate Your Sources
Cite Your Sources

The terms theory and hypothesis are often used interchangeably in everyday use. However, the difference between them in scholarly research is important, particularly when using an experimental design. A theory is a well-established principle that has been developed to explain some aspect of the natural world. Theories arise from repeated observation and testing and incorporates facts, laws, predictions, and tested hypotheses that are widely accepted [e.g., rational choice theory; grounded theory].

A hypothesis is a specific, testable prediction about what you expect to happen in your study. For example, an experiment designed to look at the relationship between study habits and test anxiety might have a hypothesis that states, "We predict that students with better study habits will suffer less test anxiety." Unless your study is exploratory in nature, your hypothesis should always explain what you expect to happen during the course of your research.

The key distinctions are:

A theory predicts events in a broad, general context; a hypothesis makes a specific prediction about a specified set of circumstances.
A theory has been extensively tested and is generally accepted among scholars; a hypothesis is a speculative guess that has yet to be tested.

Cherry, Kendra. Introduction to Research Methods: Theory and Hypothesis . About.com Psychology; Gezae, Michael et al. Welcome Presentation on Hypothesis . Slideshare presentation.

A worker on a fish-farm notices that his trout seem to have more fish lice in the summer, when the water levels are low, and wants to find out why. His research leads him to believe that the amount of oxygen is the reason - fish that are oxygen stressed tend to be more susceptible to disease and parasites.

He proposes a general hypothesis.

“Water levels affect the amount of lice suffered by rainbow trout.”

This is a good general hypothesis, but it gives no guide to how to design the research or experiment . The hypothesis must be refined to give a little direction.

“Rainbow trout suffer more lice when water levels are low.”

Now there is some directionality, but the hypothesis is not really testable , so the final stage is to design an experiment around which research can be designed, a testable hypothesis.

“Rainbow trout suffer more lice in low water conditions because there is less oxygen in the water.”

This is a testable hypothesis - he has established variables , and by measuring the amount of oxygen in the water, eliminating other controlled variables , such as temperature, he can see if there is a correlation against the number of lice on the fish.

This is an example of how a gradual focusing of research helps to define how to write a hypothesis .

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2.1 Approaches to Sociological Research

Learning objectives.

By the end of this section, you should be able to:

Define and describe the scientific method.
Explain how the scientific method is used in sociological research.
Describe the function and importance of an interpretive framework.
Describe the differences in accuracy, reliability and validity in a research study.

When sociologists apply the sociological perspective and begin to ask questions, no topic is off limits. Every aspect of human behavior is a source of possible investigation. Sociologists question the world that humans have created and live in. They notice patterns of behavior as people move through that world. Using sociological methods and systematic research within the framework of the scientific method and a scholarly interpretive perspective, sociologists have discovered social patterns in the workplace that have transformed industries, in families that have enlightened family members, and in education that have aided structural changes in classrooms.

Sociologists often begin the research process by asking a question about how or why things happen in this world. It might be a unique question about a new trend or an old question about a common aspect of life. Once the question is formed, the sociologist proceeds through an in-depth process to answer it. In deciding how to design that process, the researcher may adopt a scientific approach or an interpretive framework. The following sections describe these approaches to knowledge.

The Scientific Method

Sociologists make use of tried and true methods of research, such as experiments, surveys, and field research. But humans and their social interactions are so diverse that these interactions can seem impossible to chart or explain. It might seem that science is about discoveries and chemical reactions or about proving ideas right or wrong rather than about exploring the nuances of human behavior.

However, this is exactly why scientific models work for studying human behavior. A scientific process of research establishes parameters that help make sure results are objective and accurate. Scientific methods provide limitations and boundaries that focus a study and organize its results.

The scientific method involves developing and testing theories about the social world based on empirical evidence. It is defined by its commitment to systematic observation of the empirical world and strives to be objective, critical, skeptical, and logical. It involves a series of six prescribed steps that have been established over centuries of scientific scholarship.

Sociological research does not reduce knowledge to right or wrong facts. Results of studies tend to provide people with insights they did not have before—explanations of human behaviors and social practices and access to knowledge of other cultures, rituals and beliefs, or trends and attitudes.

In general, sociologists tackle questions about the role of social characteristics in outcomes or results. For example, how do different communities fare in terms of psychological well-being, community cohesiveness, range of vocation, wealth, crime rates, and so on? Are communities functioning smoothly? Sociologists often look between the cracks to discover obstacles to meeting basic human needs. They might also study environmental influences and patterns of behavior that lead to crime, substance abuse, divorce, poverty, unplanned pregnancies, or illness. And, because sociological studies are not all focused on negative behaviors or challenging situations, social researchers might study vacation trends, healthy eating habits, neighborhood organizations, higher education patterns, games, parks, and exercise habits.

Sociologists can use the scientific method not only to collect but also to interpret and analyze data. They deliberately apply scientific logic and objectivity. They are interested in—but not attached to—the results. They work outside of their own political or social agendas. This does not mean researchers do not have their own personalities, complete with preferences and opinions. But sociologists deliberately use the scientific method to maintain as much objectivity, focus, and consistency as possible in collecting and analyzing data in research studies.

With its systematic approach, the scientific method has proven useful in shaping sociological studies. The scientific method provides a systematic, organized series of steps that help ensure objectivity and consistency in exploring a social problem. They provide the means for accuracy, reliability, and validity. In the end, the scientific method provides a shared basis for discussion and analysis (Merton 1963). Typically, the scientific method has 6 steps which are described below.

Step 1: Ask a Question or Find a Research Topic

The first step of the scientific method is to ask a question, select a problem, and identify the specific area of interest. The topic should be narrow enough to study within a geographic location and time frame. “Are societies capable of sustained happiness?” would be too vague. The question should also be broad enough to have universal merit. “What do personal hygiene habits reveal about the values of students at XYZ High School?” would be too narrow. Sociologists strive to frame questions that examine well-defined patterns and relationships.

In a hygiene study, for instance, hygiene could be defined as “personal habits to maintain physical appearance (as opposed to health),” and a researcher might ask, “How do differing personal hygiene habits reflect the cultural value placed on appearance?”

Step 2: Review the Literature/Research Existing Sources

The next step researchers undertake is to conduct background research through a literature review , which is a review of any existing similar or related studies. A visit to the library, a thorough online search, and a survey of academic journals will uncover existing research about the topic of study. This step helps researchers gain a broad understanding of work previously conducted, identify gaps in understanding of the topic, and position their own research to build on prior knowledge. Researchers—including student researchers—are responsible for correctly citing existing sources they use in a study or that inform their work. While it is fine to borrow previously published material (as long as it enhances a unique viewpoint), it must be referenced properly and never plagiarized.

To study crime, a researcher might also sort through existing data from the court system, police database, prison information, interviews with criminals, guards, wardens, etc. It’s important to examine this information in addition to existing research to determine how these resources might be used to fill holes in existing knowledge. Reviewing existing sources educates researchers and helps refine and improve a research study design.

Step 3: Formulate a Hypothesis

A hypothesis is an explanation for a phenomenon based on a conjecture about the relationship between the phenomenon and one or more causal factors. In sociology, the hypothesis will often predict how one form of human behavior influences another. For example, a hypothesis might be in the form of an “if, then statement.” Let’s relate this to our topic of crime: If unemployment increases, then the crime rate will increase.

In scientific research, we formulate hypotheses to include an independent variables (IV) , which are the cause of the change, and a dependent variable (DV) , which is the effect , or thing that is changed. In the example above, unemployment is the independent variable and the crime rate is the dependent variable.

In a sociological study, the researcher would establish one form of human behavior as the independent variable and observe the influence it has on a dependent variable. How does gender (the independent variable) affect rate of income (the dependent variable)? How does one’s religion (the independent variable) affect family size (the dependent variable)? How is social class (the dependent variable) affected by level of education (the independent variable)?

Taking an example from Table 12.1, a researcher might hypothesize that teaching children proper hygiene (the independent variable) will boost their sense of self-esteem (the dependent variable). Note, however, this hypothesis can also work the other way around. A sociologist might predict that increasing a child’s sense of self-esteem (the independent variable) will increase or improve habits of hygiene (now the dependent variable). Identifying the independent and dependent variables is very important. As the hygiene example shows, simply identifying related two topics or variables is not enough. Their prospective relationship must be part of the hypothesis.

Step 4: Design and Conduct a Study

Researchers design studies to maximize reliability , which refers to how likely research results are to be replicated if the study is reproduced. Reliability increases the likelihood that what happens to one person will happen to all people in a group or what will happen in one situation will happen in another. Cooking is a science. When you follow a recipe and measure ingredients with a cooking tool, such as a measuring cup, the same results is obtained as long as the cook follows the same recipe and uses the same type of tool. The measuring cup introduces accuracy into the process. If a person uses a less accurate tool, such as their hand, to measure ingredients rather than a cup, the same result may not be replicated. Accurate tools and methods increase reliability.

Researchers also strive for validity , which refers to how well the study measures what it was designed to measure. To produce reliable and valid results, sociologists develop an operational definition , that is, they define each concept, or variable, in terms of the physical or concrete steps it takes to objectively measure it. The operational definition identifies an observable condition of the concept. By operationalizing the concept, all researchers can collect data in a systematic or replicable manner. Moreover, researchers can determine whether the experiment or method validly represent the phenomenon they intended to study.

A study asking how tutoring improves grades, for instance, might define “tutoring” as “one-on-one assistance by an expert in the field, hired by an educational institution.” However, one researcher might define a “good” grade as a C or better, while another uses a B+ as a starting point for “good.” For the results to be replicated and gain acceptance within the broader scientific community, researchers would have to use a standard operational definition. These definitions set limits and establish cut-off points that ensure consistency and replicability in a study.

We will explore research methods in greater detail in the next section of this chapter.

Step 5: Draw Conclusions

After constructing the research design, sociologists collect, tabulate or categorize, and analyze data to formulate conclusions. If the analysis supports the hypothesis, researchers can discuss the implications of the results for the theory or policy solution that they were addressing. If the analysis does not support the hypothesis, researchers may consider repeating the experiment or think of ways to improve their procedure.

However, even when results contradict a sociologist’s prediction of a study’s outcome, these results still contribute to sociological understanding. Sociologists analyze general patterns in response to a study, but they are equally interested in exceptions to patterns. In a study of education, a researcher might predict that high school dropouts have a hard time finding rewarding careers. While many assume that the higher the education, the higher the salary and degree of career happiness, there are certainly exceptions. People with little education have had stunning careers, and people with advanced degrees have had trouble finding work. A sociologist prepares a hypothesis knowing that results may substantiate or contradict it.

Sociologists carefully keep in mind how operational definitions and research designs impact the results as they draw conclusions. Consider the concept of “increase of crime,” which might be defined as the percent increase in crime from last week to this week, as in the study of Swedish crime discussed above. Yet the data used to evaluate “increase of crime” might be limited by many factors: who commits the crime, where the crimes are committed, or what type of crime is committed. If the data is gathered for “crimes committed in Houston, Texas in zip code 77021,” then it may not be generalizable to crimes committed in rural areas outside of major cities like Houston. If data is collected about vandalism, it may not be generalizable to assault.

Step 6: Report Results

Researchers report their results at conferences and in academic journals. These results are then subjected to the scrutiny of other sociologists in the field. Before the conclusions of a study become widely accepted, the studies are often repeated in the same or different environments. In this way, sociological theories and knowledge develops as the relationships between social phenomenon are established in broader contexts and different circumstances.

Interpretive Framework

While many sociologists rely on empirical data and the scientific method as a research approach, others operate from an interpretive framework . While systematic, this approach doesn’t follow the hypothesis-testing model that seeks to find generalizable results. Instead, an interpretive framework, sometimes referred to as an interpretive perspective , seeks to understand social worlds from the point of view of participants, which leads to in-depth knowledge or understanding about the human experience.

Interpretive research is generally more descriptive or narrative in its findings. Rather than formulating a hypothesis and method for testing it, an interpretive researcher will develop approaches to explore the topic at hand that may involve a significant amount of direct observation or interaction with subjects including storytelling. This type of researcher learns through the process and sometimes adjusts the research methods or processes midway to optimize findings as they evolve.

Critical Sociology

Critical sociology focuses on deconstruction of existing sociological research and theory. Informed by the work of Karl Marx, scholars known collectively as the Frankfurt School proposed that social science, as much as any academic pursuit, is embedded in the system of power constituted by the set of class, caste, race, gender, and other relationships that exist in the society. Consequently, it cannot be treated as purely objective. Critical sociologists view theories, methods, and the conclusions as serving one of two purposes: they can either legitimate and rationalize systems of social power and oppression or liberate humans from inequality and restriction on human freedom. Deconstruction can involve data collection, but the analysis of this data is not empirical or positivist.

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3 Social science theories, methods, and values

Learning Objectives for this Chapter

After reading this Chapter, you should be able to:

understand, apply, and evaluate core social science values, concepts, and theories, which can help inform and guide our understanding of how the world works, how power is defined and exercised, and how we can critically understand and engage with these concepts when examining the world around us.

Social science theory: theories to explain the world around us

As we have discussed in previous chapters, social science research is concerned with discovering things about the social world: for instance, how people act in different situations, why people act the way they do, how their actions relate to broader social structures, and how societies function at both the micro and macro levels. However, without theory, the ‘social facts’ that we discover cannot be woven together into broader understandings about the world around us.

Theory is the ‘glue’ that holds social facts together. Theory helps us to conceptualise and explain why things are the way they are, rather than only focusing on how things are. In this sense, different theoretical perspectives, such as those discussed in this Chapter, act as different lenses through which we can see and interpret the world around us.

Iceberg showing Method - Techniques used above the water line and the following below the water line - Methodology - Systematisation, Theory - Theoretical stance, Philosophical foundations- Ontology, axiology, epistemology.

Theory testing and generation is also an important part of social scientific research. As shown in the image below, different theories are rooted in different philosophical foundations. That is, various theories arise in accordance with different ways of seeing and living in the world, as well as different understandings about how knowledge is understood and constructed. As we learned earlier in the book, these concern both ontological and epistemological considerations, but also axiological considerations; that is, questions about the nature of value, and what things in the world hold value (including in relation to one another). While theory is rooted in these philosophical foundations, however, it also gives way to different ways of doing research, both in terms of the methodology and methods employed. Overall, using different theoretical perspectives to consider social questions is a bit like putting on different pairs of glasses to see the world afresh.

Below we consider some foundational social science theories. While these are certainly not the only theoretical perspectives that exist, they are often considered to be amongst the most influential. They also provide helpful building blocks for understanding other theoretical perspectives, as well as how theory can be applied to guide and build social scientific knowledge.

Structural functionalism

3 cogs together - showing heart, hands joined and people with arms over shoulders.

Structural functionalism is a theory about social institutions, ‘social norms’ (i.e., the often unspoken rules that govern social behaviours), and social stability. We talk more about social institutions in the next Chapter of this book, but essentially they are the ‘big building blocks’ of society that act as both repositories and creators/instigators of social norms. These include things like school/education, the state (often called a meta-institution), the family, the economy, and more. In this regard, structural functionalism is considered a macro theory; that is, it considers macro (large) structures in society, and concerns how they work in an interdependent way to produce what structural functionalists believe to be ‘harmonious’ and stable societies. Structural functionalists are particularly concerned with social institutions’ manifest and latent functions, as well as their functions and dysfunctions (Merton [1910-2003]).

Manifest functions of social institutions include things that are overt and obvious. By contrast, latent functions of social institutions are those that are more hidden or secondary. For instance, a manifest function of the social institution of school is to teach students new knowledge and skills, which can assist them to move into chosen careers. Alternatively, we might also argue that school has other latent functions, such as socialisation and conformity to social norms, and building relationships with peers.

In addition to manifest and latent functions, structural functionalists are also concerned with the functions and dysfunctions of social institutions. They believe, for instance, that dysfunctions play just as much of an important role as functions, because they enable social institutions to identify and punish them, thereby making an example of dysfunctional elements (e.g., punishing those committing crime). This serves to reinforce social norms around how society should function.

Reflection exercise

Take a piece of paper and, in your own words, write down a brief definition of structural functionalism. Then re-read the above sub-section. How does your understanding fit with the information above?

Structural functionalism: want to learn more?

If you’d like to reinforce your understanding of structural functionalism, the below video provides a good summary that might be helpful.

Functionalism (YouTube, 5:40) :

Phenomenology

Phenomenology is the study of our experiences and how our consciousness makes sense of the phenomena (be they objects, people or ideas) around us. As a methodology or approach in the social sciences it has garnered renewed interest in the last few decades to better understand the world around us by studying how we experience the world in a subjective and often individual manner. It is, thus, considered a ‘micro’ theory.

Illustration of a person sitting with the earth hovering next to them.

This philosophical approach was developed by Edmund Husserl (1859–1938), and his students and critics in France and Germany (key figures were philosophers Martin Heidegger (1889-1976), Jean-Paul Sartre (1905-1980) and Maurice Merleau-Ponty (1908-1961)) and later made it to the US via influential sociologists, such as Alfred Schütz (1899–1959).

Phenomenologists reject objectivity and instead focus on the subjective and intersubjective, the relations between people, and between people and objects. So, rather than trying to come to some objective truth, they are more interested in relationships and connections between the individual and the world around them. Indeed, there is a strong centering of and focus on the individual and their experiences of the world that phenomenologists believe can tell us about society at large. The individual is also key, as there is a focus on the sensory and the body both as instruments of enquiring as well as enquiry. Thus, we are always already part of the world around us and have to make sense of being here, but also want to go beyond ourselves by understanding others and how they relate to the world. The body features as a key site for such enquiries as it is the physical connection we have with people and objects around us. Further, there is a focus on everyday, mundane experiences as they have much to tell us about how society operates. This background environment in which we as people operate is called a lifeworld, the shared horizon of experience we share and inhabit. It is marked by linguistic, cultural, and social codes and norms.

One key method inherent to Husserl’s early approaches is ‘bracketing’ , the process of standing back or aside from phenomena to understand it better. Such processes of ‘reflexivity’ and understanding our taken for granted attitudes and beliefs about certain phenomena are crucial to enable the social sciences to better understand the world around us. Debates in philosophy continue around whether such a bracketing is ever fully possible, especially considering that we as humans remain trapped in our minds and bodies. Nonetheless, phenomenology has had a profound impact in most social sciences to redirect the focus towards the intersubjective nature of life and the lifeworld, within which we experience the world around us.

Take a piece of paper and, in your own words, write down a brief definition of phenomenology. Then re-read the above sub-section. How does your understanding fit with the information above?

Phenomenology: want to learn more?

If you’d like to reinforce your understanding of phenomenology, the below video provides a good summary that might be helpful.

Understanding Phenomenology (YouTube, 2:59) :

Symbolic interactionism

Illustration showing a heart, a music note, a dove, a 4 leaf clover, a female gender symbol and a sport shoe.

Symbolic interactionism is related to phenomenology as it is also a theory focused on the self. In this regard, it’s also a micro theory – it has particular focus on individuals and how they interact with one another. Symbolic interactionists say that symbolism is fundamental to how we see ourselves and how we see and interact with others. George Herbert Mead (1863-1931) is often regarded as the founder of this theory and his focus was on the relationship between the self and others in society. He considered our individual minds to function through interactions with others and through the shared meanings and symbols we create for the people and objects around us. Mead’s best known book Mind, Self, Society, was posthumously put together by his students and demonstrates how our individual minds allow us to use language and symbols to make sense of the world around us and how we construct a self based on how others perceive us.

illustration of a person looking in a mirror and 5 masks with different expressions.

Charles Cooley’s (1864-1929) concept of the “ looking glass self ” points out, for instance, that other peoples’ perceptions of us can also influence and change our perceptions of ourselves. Other sociologists, such as Erving Goffman (1922-1982), have built on this understanding, suggesting that ‘all of life is a stage’ and that each of us play different parts, like actors in a play. Goffman argued that we adapt our personality, behaviours, actions, and beliefs to suit the different contexts we find ourselves in. This understanding is often referred to as a ‘dramaturgical model’ of social interaction; it understands our social interactions to be performative – they are the outcomes of our ‘play acting’ different roles.

In explaining this theory, Goffman also referred to what he called ‘impression management’. As part of this, for instance, Goffman drew a crucial distinction between what he referred to as our ‘ front stage selves ‘ and our ‘ backstage selves ‘. For Goffman, our ‘front stage selves’ are those that we are willing to share with the ‘audience’ (e.g., the person or group with whom we are interacting). Alternatively, our ‘backstage selves’ are those that we keep for ourselves; this is the way we act when we are alone and have no audience.

Goffman also pointed to the important role that stigma can play in how we see ourselves and thus, how we act and behave in relation to others. Stigma occurs when “the reaction of others spoils normal identity”. Goffman argued that those who feel stigmatised by others (e.g., through public discourses and ‘frames’ of social issues that vilify certain groups of people) also experience changes in the way they see themselves – that is, their own sense of self-identity is ‘spoiled’. This can lead to other negative effects, such as social withdrawal and poorer health and wellbeing.

Take a piece of paper and, in your own words, write down a brief definition of symbolic interactionism. Then re-read the above sub-section. How does your understanding fit with the information above?

This exercise is to be conducted in small groups. First, get into a small group with other students. Then, do the following:

Think about your daily life, activities, and interactions with others.
Take a few moments to identify at least three examples of social symbols that you and other group members frequently use to interpret the world around you.
Talk about how each of the group members interprets/responds to these symbols. Are there similarities? Are there differences?

Students should share/discuss their thoughts within the group, and if undertaken in a class environment, then report back to the class.

Symbolic interactionism: want to learn more?

If you’d like to reinforce your understanding of symbolic interactionism, the below videos provide good summaries that might be helpful.

Symbolic Interactionism (YouTube, 3:33) provides an easy-to-understand summary of symbolic interactionism:

What does it mean to be me? Erving Goffman and the Performed Self (YouTube, 1:58) provides a helpful summary of Erving Goffman’s conception of the ‘performed self’ – including his notions of a ‘front stage’ and ‘backstage’ self:

Conflict theories

Conflict theories focus particularly on conflict within and across societies and, thus, are particularly interested in power: where it does and doesn’t exist, who does and doesn’t hold it, and what they do or don’t do with it, for example. These theories hold that societies will always be characterised by states of conflict and competition over goods, resources, and more. These conflicts can arise along various lines, though

2 people pulling on opposite ends of a rope. A large fist shows behind them.

this group of theories emanate from the work of Karl Marx (1818-1883), who saw the capitalist economy as a primary site of conflict.

In Marx’s view, social ills emanated particularly from what he described as an upper- and lower-class structure, which had been perpetuated across multiple societies (e.g., in ancient societies in terms of slave owners/slaves, or in pre-Enlightenment times between the feudal peasantry/aristocracy). He saw capitalism as replicating this upper/lower class structure through the creation of a bourgeoisie (upper class, who own the means of production) and proletariat (lower class, who supply labour to the capitalist market). Marx also talked about a lumpenproletariat , an underclass without class consciousness and/or organised political power. Classical Marxism takes a macro lens: it is particularly concerned with how power is invested in the social institution of the capitalist economy. In this sense, classical Marxism represents a structural theory of power.

Marx argued that the only way for society to be fairer and more equal was if the proletariat was to rise up and revolt against the bourgeoisie; to “smash the chains of capitalism”! Thus, he strongly advocated for revolution as a means of creating a fairer, utopic society. He stated, “Philosophers have hitherto only interpreted the world, in various ways; the point is to change it” (Marx 1968: 662). Nevertheless, a series of revolutions in the early 20th century that drew on Marxist thinking resulted in power vacuums that made way for violent, totalitarian regimes, as political philosopher Hannah Arendt (1906-1975) argued in On the Origins of Totalitarianism . On this basis, subsequent conflict theorists (and critical theorists) have tended towards advocating for more incremental reforms, as opposed to revolution.

Take a few moments to watch the below two videos, which explain conflict theory in greater detail.

Key concepts: Conflict theory – definition and critiques (YouTube, 2:49) :

Political theory – Karl Marx (YouTube, 9:27) :

After watching these videos, take a piece of paper and, in your own words, write down a definition of conflict theories. After doing so, re-read the above sub-section. How does your understanding fit with the information in the above sub-section, and in the videos? Was anything missing? Is anything still unclear?

Critical theories

Marx saw the capitalist economy as a primary site of oppression, between the working class and the property owning class. Marx advocated for revolution, where the proletariat were urged to rise up and break the chains of capitalism by overthrowing the bourgeoisie. Marx saw this as being necessary for ensuring the freedom of the working classes. Critical theory develops from the work of Karl Marx, supplementing his theory of capitalism with other sociological and philosophical concepts.

Gramsci and cultural hegemony

In addition to Marx, critical theory utilised the work of Italian political philosopher Antonio Gramsci, specifically his concept of ‘Cultural Hegemony’. When we refer to ‘hegemonic’ social norms, we’re referring to social norms that are regarded as ‘common sense’ and thus, which overshadow and suppress alternative norms. Hegemonic norms typically reflect the values of the ruling classes (in Marxist terms, the bourgeoisie). To learn more, you might like to watch the video below:

Hegemony: WTF? An introduction to Gramsci and cultural hegemony (YouTube, 6:25)

Developing from this, critical theory also considers how power and oppression can operate in more subtle ways across the whole of society. Critical theory does not seek to actively bring about revolution, as the possibility for a revolution in the years post-World War Two was unlikely. Whilst critical theorists are by no means opposed to revolution, their focus lies more in identifying how capitalist society and its institutions limits advancement of human civilisation. In this respect, conflict theorists see more opportunities for praxis than classical Marxists.

Critical theory observes how the Enlightenment ideals of freedom, reason, and liberalism have developed throughout the first half of the 1900s. Ultimately, critical theorists see that reason has not necessarily progressed in a positive way throughout history. In fact, reason has developed to become increasingly technical, interested in classifying, regulating, and standardising all aspects of human society and culture. German philosopher Theodor Adorno (1903-1969) thought that Nazi Germany and the holocaust is a devastating example of the potential evils of rationality if developed without a critical perspective.

Another, less extreme, example of this tendency toward standardisation is in the production of art and culture. Big budget films, typically in the superhero or science fiction genre, all appear to be virtually identical: extravagant special effects, epic soundtracks, and relatively simple plots. However, this is not to say that such films are of a poor quality. Rather the similarity and popularity of these films indicates a homogenisation of culture. If culture is merely the reproduction of the same, how can society progress beyond its current point?

This critique of the development of reason throughout the 20th century does not mean that we must abandon reason entirely. To do so would be to discount the vast wealth of knowledge that humanity has come to grasp, as well as prevent further knowledge production. Instead, critical theorists argue that reason should be critiqued to uncover what has been left out of its development thus far, as well as open up the possibility for a more free, progressive form of society.

At its core, then, critical theory can be thought about as being an additional theoretical lens through which we can look at and understand the social world around us. In tune with Flyvbjerg’s (2001) conception of phronetic social science, critical theorists are also concerned with disrupting the systems they observe as a means of achieving social change. Critical theory urges us to recognise, understand and address how capitalist society reproduces itself and limits the free organisation of human beings.

Take a few moments to watch Critical theory definition and critiques (YouTube, 3:26) , which explains critical theory in greater detail.

Take a piece of paper and, in your own words, write down a brief definition of critical theories. Then re-read the above sub-section. How does your understanding fit with the information above and the video?

Critical theory can be applied in myriad different ways to better understand the world around us. In Critical theory and the production of mass culture (YouTube, 2:12) , critical theory is adopted as a lens to understand and critique the production of mass culture. Watch the video and then consider the questions below.

Can you think of examples where you could argue that the primary objective of producing art is to preserve the economic structure of the capitalist system?
Do you agree with the proposition that mass-consumed entertainment, like popular television shows, are only produced as a source of light entertainment and escapism from work, and thus serve to placate and pacify the worker? Why or why not? (What other purposes might such entertainment serve, if any?)
Do you agree with Adorno’s proposition that the products of the ‘culture industry’ are not only the artworks, but also the consumers themselves? Why or why not?

Critical race theory

Critical race theory applies a critical theory lens to the notion of race, seeking to understand how the concept of race itself can act as a site of power and oppression. Arising from the work of American legal scholars during the 1980s (including key thinkers like Derrick Bell [1930-2011] and Kimberlé Crenshaw [1959-]), it originally sought to understand and challenge “the ways in which race and racial power [were]… cosnstructed and represented in American legal culture and, more generally, in American society as a whole.” (Crenshaw et al. 1995: xiii) In particular, it questioned whether the civil rights afforded to African Americans in the aftermath of the civil rights movement had made a substantive impact on their experiences of social justice. Critical race theorists argued that more needed to be done; that civil rights had not had the desired impacts because (amongst other reasons) they:

were imagined, shaped and brought into being by (predominantly) white, male middle- or upper-class lawyers, and thus, were only imagined within the bounds of white ontology,
did not move beyond race – race still mattered, and
implicitly perpetuated white privilege (e.g. they were constrained to only imagine redress and justice within the existing oppressive, white hegmonic system).

Crenshaw (1995: xiii) writes that, although critical race scholars’ work is heterogenous, they are nevertheless united by the following common interests:

“The first is to understand how a regime of white supremacy and its subordination of people of color have been created and maintained in America, and, in particular, to examine the relationship between that social structure and professed ideas such as ‘the rule of law’ and ‘equal protection’.”
“The second is a desire not merely to understand the vexed bond between law and racial power but to change it.”

In Australia, scholars have also taken up aspects of a critical race lens to understand how privilege is bound up with race. As Moreton-Robinson (2015: xiii) puts it, in Australia:

Race matters in the lives of all peoples; for some people it confers unearned privileges, and for others it is the mark of inferiority. Daily newspapers, radio, television, and social media usually portray Indigenous peoples as a deficit model of humanity. We are overrepresented as always lacking, dysfunctional, alcoholic, violent, needy, and lazy… For Indigenous people, white possession is not unmarked, unnamed or invisible; it is hypervisible…

Crenshaw has been crucial in also stressing the key importance of understanding how race can also intersect with other aspects of social identity, such as gender, to produce a ‘double’ or ‘triple’ oppression. In Australia, Professor Aileen Moreton-Robinson’s 2000 book, Talkin’ up to the white woman, was also crucial in understanding how Australian feminism could also be oppressive of Indigenous Australian women by not seeing and hearing them or the specific issues they face/d. She called for the need for “white feminists to relinquish some power, dominance and privilege in Australian feminism to give Indigenous women’s interest some priority” (Moreton-Robinson 2000: xxv). This emphasised that an intersectional lens was needed to acknowledge the different but cumulative impacts of both racial oppression and sexism. At the centre of this argument is the reality that “all white feminists [in Australia] benefit from colonisation; they are overwhelmingly represented and disproportionately predominant, have the key roles, and constitute the norm, the ordinary and the standard of womanhood in Australia” (Moreton-Robinson 2000: xxv).

Uproar over critical race theory

During 2020, racial sensitivity training in the USA prompted widespread discussion about critical race theory. Former US President, Donald Trump, posits in the video below that the theory, and the kinds of racial sensitivity training it promotes, are fundamentally racist – against white people. Others argued that this represented a deep misunderstanding of the theory, but also an ignorance of the extent and power of white privilege.

For an example of former President Trump’s views, watch Trump: Racial sensitivity training on white privilege is ‘racist’ (YouTube, 3:16) :

Postmodern critique of critical race theory

Postmodernists have levelled critique at critical race theory on the basis that understanding/explaining power as being rooted in racial difference has the consequence of reinforcing and perpetuating the validity of ‘race’. Postmodernism, however, rejects the distinct, conceptual bounds of ‘race’ and racialised identities. Instead, it sees race itself as a social construction, which should be questioned and disrupted, thereby leading to new insights that aren’t constrained by socially constructed definitions of race.

Kwame Anthony Appiah, for example, seeks to “probe the very definitions of race itself. He bypasses the empirical question of whether racism exists to ask the theoretical question of what race and racism are” (in Chong-Soon Lee 1995: 441)

Take a piece of paper and, in your own words, write down a brief definition of critical race theory . Then re-read the above sub-section. How does your understanding fit with the information above?

Putting theory into action: rethinking crime through a critical lens

Critical criminologists apply a critical theory lens to the study of crime and criminality. In this regard, critical criminology is concerned with understanding how the criminal justice system can act as a site of power and oppression; a perspective that tends to sit in contrast with western (non-critical) criminology, which sees the criminal justice system as a natural social institution that has the primarily purpose of protecting society against deviants (criminals) and making an example of those who fail to comply with hegemonic social norms. (This non-critical view draws parallels, for example, with the perceived ‘functions’ of the criminal justice system under a structural functionalist perspective, and its role in making examples of ‘dysfunctional’ elements of society.)

Critical criminologists in Australia have considered the role of the criminal justice system as a key site of oppression under, for example, Australian settler colonialism. For instance, Indigenous Australians are, per capita, the most incarcerated peoples in the entire world ( Anthony & Baldry 2017 ) and these incarceration rates are rising, not reducing (ABS 2018). In using a critical lens to understand the difference between incarceration rates for Indigenous and non-Indigenous Australians, however, we can seek better insight into how the criminal justice system operates as a site of oppression, perpetuating white settler colonial norms and values, which seek to punish alternative ontologies and epistemologies. Lynch (cited in Cunneen and Tauri 2016: 26) argued,

In short, criminology is one of the disciplines that established the conditions necessary for maintenance of the status quo of power. It can only do so by oppressing those who would undermine the status quo. In this sense, criminology must be viewed as a science of oppression.

In part, this oppression operates through the construction of knowledge and truth within (positivist) criminology (which relates to Foucault’s conception of power-knowledge, as we touched on last week). In turn, this also involves what Cunneen and Tauri (2016: 26) describe as “the ideologically driven dismissal of Indigenous knowledge about the social world as ‘subjective’, ‘unscientific’, and/or at best ‘folk epistemology’… which in turn paves the way for excluding other ways of knowing from the Western, criminological lexicon”.

In their book, Decolonising criminology, Blagg and Anthony (2019: 22-23) set out a taxonomy for what they see as a decolonised criminology (noting, though, that Blagg and Anthony themselves are non-Indigenous researchers, though they have worked closely with Indigenous peoples and communities for decades). In their taxonomy (which we have included an adapted version of below), they include the following probing comparisons between a positivist (largely uncritical) criminology and a decolonised (critical) criminology:

A table comparing positivist and decolonial approaches to criminology.

Source: Authors’ adaptation from Blagg & Anthony (2019: 22-23 )

The probes and questions that Blagg & Anthony pose in the above taxonomy are critical in their focus and intent; they seek to critique the criminal justice system as a site of colonial power, but they also seek to change it — through research that produces knowledge about these truths. This is, in essence, a reframing (to use Bacchi’s term) of the nature of criminological research towards a richer, and more historically and culturally contextualised understanding of the Australian criminal justice system. As a result, this produces different knowledge about crime and justice in Australia: knowledge that shifts blame away from the individual (the ‘bad’ Indigenous citizen, to use Moreton-Robinson’s [2009] language) to the structures, history and continuation of colonial oppression.

Critical or radical criminology?

Radical criminology is rooted in the Marxist conflict tradition and sees the capitalist economy as being central to the definitions of crime (arrived at by the bourgeoisie) that constrict, control and suppress the working classes (proletariat).

In contrast (or in addition to), critical criminology is interested in more than just class relations and also sees different opportunities for praxis – tending to favour a more incremental approach to social change as opposed to widespread revolution ( Bernard 1981 )

Drawing on a critical criminology and decolonising perspective, consider the below graph, which shows the over-representation of Indigenous Australians in prisons, indicating an upward trend from 2008-2018. Then consider, from a critical criminology standpoint, what kinds of ‘truths’ might you draw on to help explain this trend?

Age standardised imprisonment rates by Indigenous status (rate per 100,000 adult population), 2008 to 2018. Line for Indigenous Australians rises from just below 1,500 in 2008 up to 2,200 in 2018. Line for non-Indigenous Australians stays just below 200 from 2008 to 2018.

(To guide your thinking, you may like to revisit the above taxonomy by Blagg and Anthony.)

Watch the below short clip of Senator Patrick Dodson talking in March 2021 about the issue of Aboriginal and Torres Strait Islander deaths in custody. Consider LNP Senator, Amanda Stoker’s response to Senator Pat Dodson, in particular her comment that she “understand[s] the outrage is real… because the lives of every person, though our justice system are important, no matter the colour of their skin.”

In #Estimates , @SenatorDodson fires up over a lack of action on deaths in custody. @stoker_aj ‘s response: “I understand the outrage is real…because the lives of every person, through our justice system are important, no matter the colour of their skin.” #Auspol @SBSNews @NITV pic.twitter.com/jgsb8y9YcD — Naveen Razik (@naveenjrazik) March 26, 2021

What do you think about Senator Stoker’s response to Senator Dodson? How might you analyse her response, through a critical race theory lens?

Choose one of the following social issues:

The gender pay gap
The workplace ‘stress’ epidemic
Homelessness
Childhood obesity

Consider how your chosen social issue might be explained by drawing on the different theoretical perspectives outlined earlier in this Chapter. Record your thoughts in a short, written explanation.

Reflection exercise: a critical reading of meritocracy

Kim and Choi (2017: 112) define meritocracy as “a social system in which advancement in society is based on an individual’s capabilities and merits rather than on the basis of family, wealth, or social background.” According to Kim and Choi (2017: 116), meritocracy has two key features: “impartial competition” and “equality of opportunity”.

The notion of meritocracy has arisen over the past few centuries primarily in response to feudalism and absolute monarchy, where power and privilege are handed down on the basis of familial lines (‘nepotism’) or friendships (‘cronyism’). This kind of system could (and often did) place people into positions of power, regardless of whether they were the most appropriate or ‘best’ person for the job. In essence, then, the notion of meritocracy is intended to tie social advancement to merit; that is, the focus is supposed to be on ‘what you know’ rather than ‘who you know’, which seems a noble cause, right? Many have argued, however, that a blinkered belief in meritocracy leaves a lot of things out of the ‘frame’.

The belief in meritocracy, and its focus on ‘what you know’ rather than ‘who you know’, can have both positive and negative impacts. Take a piece of paper and write a short list of each.

If critical theory operates according to the broad Marxist understanding of history as class struggle, post-structuralism is a theory that attempts to abandon the idea of grand historical narratives altogether. Fundamentally, post-structuralism differs from other social theories in its rejection of metanarratives , its critique of binaries, and its refusal to understand all human action as being shaped solely by universal social structures. Whilst there is much disagreement between post-structuralist thinkers, these three broad trends help us to understand this social theory.

Post-structuralism

Post-structural accounts of conflict and power can take a macro and micro lens. They see power as transcending social structures, like social institutions (e.g., the state, the economy) and instead being all around us at all times. Michel Foucault (1926-1984), for example, argued that power is everywhere and acts upon us to shape our identities, bodies, behaviours, and being. In terms of a liberal democratic society, therefore, where coercive (‘sovereign’) power is only exerted by the state under certain specific circumstances, Foucault argued that the state otherwise uses its power to create ‘responsibilised’ citizens who absorb hegemonic (i.e. authoritative/dominant) social norms and use these to govern themselves . This relates to what Fairclough (1995: 257) referred to as power by consent:

We live in an age in which power is predominantly exercised through the generation of consent rather than through coercion… through the inculcation of self-disciplining practices rather than through the breaking of skulls (though there is still unfortunately no shortage of the latter).

Foucault was also particularly interested in the link between power and knowledge. He argued that those who hold the power tend to construct knowledge and ‘truth’ in certain ways, which can reinforce their power by, for example, perpetuating certain social norms. This is elaborated on by Watts and Hodgson (2019) in reading 5.2, where they describe Foucault’s conception of power/knowledge as follows:

Truth is not neutral or objective, and is not simply a thing that can be verified scientifically because its ‘truth value’ is dependent on the operation and circulation of power (think, for example, the oft-quoted phrase that ‘truth is whatever the powerful say it is’). In the context of the human and social sciences, power creates knowledge and is also a force for the translation of knowledge of and about human beings into practice… For example, the moment we speak into existence the concept of something as commonplace as ‘human being’ or ‘human rights’ or ‘social justice’ we are using some form of power (truth) to render such things thinkable and knowable as things in the world (Watts and Hodgson 2019: 85-86).

Take a piece of paper and, in your own words, write down a brief definition of Foucault’s post-structural concept of power. Then, re-read the above account. Does your definition align with the information above?

Beck and Risk Society

The notion of risk society is outlined by Ulrich Beck in his 1992 book ‘Risk Society: Towards a New Modernity’. Where society was once organised around wealth distribution based on scarcity, Beck argues that society is becoming increasingly based on the distribution of risks. Risks are defined as “a systematic way of dealing with hazards and insecurities induced and introduced by modernization itself” (Beck 1992: 21). Beck argues that the process of modernisation is no longer focused exclusively on the creation of new technologies, but rather the focus lies in the management of risks of potential technologies. As such, modernisation is becoming increasingly reflexive, involved not only in the production of technologies to meet needs, but rather investigating the often unknown side-effects of technologies. For example, a nuclear energy plant might be built in order to meet society’s increasing energy demand. However, this solution to a specific problem then must deal with the new issue of disposing of this radioactive waste that modernisation itself has produced. This is just one example of the ecological risks inherent with the development of new technologies, which often have unintended side-effects, that must themselves be uncovered and solved.

Postmodernism

Before we can get to postmodernism, we need to define modernism to see what postmodernism wants to supersede. Modernism describes the social upheaval and major changes of 20th century life. It is marked by processes of industrialisation, rationalisation and bureaucratisation – in short a world in which the sciences seemed to provide ever more answers and ultimate truths about the world and us. Modernism or modernity was also about hope for a new society, unfettered technological and material progress and, with advances in scientific fields, led to longer lives and new and exciting materials to make new things to make life easier (think household machines). It was also punctured by some key social movements that brought the world to the brink of destruction in the epic fight over what ultimate truth should prevail. The key political ideologies of fascism, socialism and liberalism clashed in the second World War over their different visions for a new world order. In the post war climate of a new stand-off between socialism/communism and liberalism or the Soviet bloc and ‘the West’ many writers, academics and artists became disillusioned with the modernist project. Slowly critiques of these universalising truths and meta-narratives came to think of this time as a time of postmodernism. Jean-François Lyotard (1924-1998) defined postmodernism as the ‘incredulity towards meta-narratives’, by which he meant that increasingly people were no longer persuaded by grand or master narratives about themselves, a particular nation, people or even humanity. The singular, stable, coherent modern subject was thrown into a void and thus becomes fragmented, fluid and plural in the postmodern. No one truth exists anymore and the certainty of facts becomes disputed and muddied once more. Thus, postmodernity is about scepticism, deconstruction and questioning rather than offering answers and solutions. This has made it a controversial theory or topic as it offers little in the way of hope for a better world, indeed it is often seen as dystopic. Inherent in many postmodern critiques of current society is a critique of (late) capitalism and consumer or mass culture that pervade every aspect of our lives, whilst others focus on technology and its pervasive intrusion into our daily lives.

Premodern shows a dot because - "God made it this way, in the past, for the present, and for the future." Modern shows an arrow going up diagonally - "The only way is up; we are the authors of our own march towards progress". Postmodern shows a messy squiggle and a line of text with no meaning.

Resources for further learning

Moreton-Robinson, A. 2015. ‘Introduction: white possession and Indigenous sovereignty matters.’ In. Moreton-Robinson, A. The White Possessive: property, power and Indigenous sovereignty, pp. xi-xxiv.
Powers, C. 2009. Sociology as a coherent discipline: unifying themes. In. Powers, C. Making sense of social theory , Chapter 16.
Watts, L. and Hodgson, D. 2019. ‘Power and knowledge’. In. Watts, L. and Hodgson, D. Social justice theory and practice for social work, Chapter 5.
Cunneen, C. and Tauri, J. 2016. ‘Towards a critical Indigenous criminology.’ In. Cunneen, C. and Tauri, J. Indigenous criminology, pp. 23-43.
Kim, C.H. and Choi, Y.B. 2017. How meritocracy is defined today – contemporary aspects of meritocracy. Economics and Sociology, 10(1): 112-121.
Flyvbjerg, B. 2001. ‘Values in social and political inquiry.’ In. Flyvbjerg, B. Making social science matter, Chapter 5.

Other resources:

Watego, C. 2021. ‘Who are the real criminals? Making the case for abolishing criminology.’ (YouTube, 1:35:01),
Anderson, E. 2017. ‘How good social science can and ought to be value-laden’ (YouTube, 17:00) .
Zigon, J. and Throop, J. 2021. ‘ Phenomenology ‘ Open Encyclopedia of Anthropology .

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Theories are formulated to explain, predict, and understand phenomena and, in many cases, to challenge and extend existing knowledge within the limits of critical bounded assumptions or predictions of behavior. The theoretical framework is the structure that can hold or support a theory of a research study. The theoretical framework encompasses not just the theory, but the narrative explanation about how the researcher engages in using the theory and its underlying assumptions to investigate the research problem. It is the structure of your paper that summarizes concepts, ideas, and theories derived from prior research studies and which was synthesized in order to form a conceptual basis for your analysis and interpretation of meaning found within your research.

Abend, Gabriel. "The Meaning of Theory." Sociological Theory 26 (June 2008): 173–199; Kivunja, Charles. "Distinguishing between Theory, Theoretical Framework, and Conceptual Framework: A Systematic Review of Lessons from the Field." International Journal of Higher Education 7 (December 2018): 44-53; Swanson, Richard A. Theory Building in Applied Disciplines . San Francisco, CA: Berrett-Koehler Publishers 2013; Varpio, Lara, Elise Paradis, Sebastian Uijtdehaage, and Meredith Young. "The Distinctions between Theory, Theoretical Framework, and Conceptual Framework." Academic Medicine 95 (July 2020): 989-994.

Importance of Theory and a Theoretical Framework

Theories can be unfamiliar to the beginning researcher because they are rarely applied in high school social studies curriculum and, as a result, can come across as unfamiliar and imprecise when first introduced as part of a writing assignment. However, in their most simplified form, a theory is simply a set of assumptions or predictions about something you think will happen based on existing evidence and that can be tested to see if those outcomes turn out to be true. Of course, it is slightly more deliberate than that, therefore, summarized from Kivunja (2018, p. 46), here are the essential characteristics of a theory.

It is logical and coherent
It has clear definitions of terms or variables, and has boundary conditions [i.e., it is not an open-ended statement]
It has a domain where it applies
It has clearly described relationships among variables
It describes, explains, and makes specific predictions
It comprises of concepts, themes, principles, and constructs
It must have been based on empirical data [i.e., it is not a guess]
It must have made claims that are subject to testing, been tested and verified
It must be clear and concise
Its assertions or predictions must be different and better than those in existing theories
Its predictions must be general enough to be applicable to and understood within multiple contexts
Its assertions or predictions are relevant, and if applied as predicted, will result in the predicted outcome
The assertions and predictions are not immutable, but subject to revision and improvement as researchers use the theory to make sense of phenomena
Its concepts and principles explain what is going on and why
Its concepts and principles are substantive enough to enable us to predict a future

Given these characteristics, a theory can best be understood as the foundation from which you investigate assumptions or predictions derived from previous studies about the research problem, but in a way that leads to new knowledge and understanding as well as, in some cases, discovering how to improve the relevance of the theory itself or to argue that the theory is outdated and a new theory needs to be formulated based on new evidence.

A theoretical framework consists of concepts and, together with their definitions and reference to relevant scholarly literature, existing theory that is used for your particular study. The theoretical framework must demonstrate an understanding of theories and concepts that are relevant to the topic of your research paper and that relate to the broader areas of knowledge being considered.

The theoretical framework is most often not something readily found within the literature . You must review course readings and pertinent research studies for theories and analytic models that are relevant to the research problem you are investigating. The selection of a theory should depend on its appropriateness, ease of application, and explanatory power.

The theoretical framework strengthens the study in the following ways :

An explicit statement of theoretical assumptions permits the reader to evaluate them critically.
The theoretical framework connects the researcher to existing knowledge. Guided by a relevant theory, you are given a basis for your hypotheses and choice of research methods.
Articulating the theoretical assumptions of a research study forces you to address questions of why and how. It permits you to intellectually transition from simply describing a phenomenon you have observed to generalizing about various aspects of that phenomenon.
Having a theory helps you identify the limits to those generalizations. A theoretical framework specifies which key variables influence a phenomenon of interest and highlights the need to examine how those key variables might differ and under what circumstances.
The theoretical framework adds context around the theory itself based on how scholars had previously tested the theory in relation their overall research design [i.e., purpose of the study, methods of collecting data or information, methods of analysis, the time frame in which information is collected, study setting, and the methodological strategy used to conduct the research].

By virtue of its applicative nature, good theory in the social sciences is of value precisely because it fulfills one primary purpose: to explain the meaning, nature, and challenges associated with a phenomenon, often experienced but unexplained in the world in which we live, so that we may use that knowledge and understanding to act in more informed and effective ways.

The Conceptual Framework. College of Education. Alabama State University; Corvellec, Hervé, ed. What is Theory?: Answers from the Social and Cultural Sciences . Stockholm: Copenhagen Business School Press, 2013; Asher, Herbert B. Theory-Building and Data Analysis in the Social Sciences . Knoxville, TN: University of Tennessee Press, 1984; Drafting an Argument. Writing@CSU. Colorado State University; Kivunja, Charles. "Distinguishing between Theory, Theoretical Framework, and Conceptual Framework: A Systematic Review of Lessons from the Field." International Journal of Higher Education 7 (2018): 44-53; Omodan, Bunmi Isaiah. "A Model for Selecting Theoretical Framework through Epistemology of Research Paradigms." African Journal of Inter/Multidisciplinary Studies 4 (2022): 275-285; Ravitch, Sharon M. and Matthew Riggan. Reason and Rigor: How Conceptual Frameworks Guide Research . Second edition. Los Angeles, CA: SAGE, 2017; Trochim, William M.K. Philosophy of Research. Research Methods Knowledge Base. 2006; Jarvis, Peter. The Practitioner-Researcher. Developing Theory from Practice . San Francisco, CA: Jossey-Bass, 1999.

Strategies for Developing the Theoretical Framework

I. Developing the Framework

Here are some strategies to develop of an effective theoretical framework:

Examine your thesis title and research problem . The research problem anchors your entire study and forms the basis from which you construct your theoretical framework.
Brainstorm about what you consider to be the key variables in your research . Answer the question, "What factors contribute to the presumed effect?"
Review related literature to find how scholars have addressed your research problem. Identify the assumptions from which the author(s) addressed the problem.
List the constructs and variables that might be relevant to your study. Group these variables into independent and dependent categories.
Review key social science theories that are introduced to you in your course readings and choose the theory that can best explain the relationships between the key variables in your study [note the Writing Tip on this page].
Discuss the assumptions or propositions of this theory and point out their relevance to your research.

A theoretical framework is used to limit the scope of the relevant data by focusing on specific variables and defining the specific viewpoint [framework] that the researcher will take in analyzing and interpreting the data to be gathered. It also facilitates the understanding of concepts and variables according to given definitions and builds new knowledge by validating or challenging theoretical assumptions.

II. Purpose

Think of theories as the conceptual basis for understanding, analyzing, and designing ways to investigate relationships within social systems. To that end, the following roles served by a theory can help guide the development of your framework.

Means by which new research data can be interpreted and coded for future use,
Response to new problems that have no previously identified solutions strategy,
Means for identifying and defining research problems,
Means for prescribing or evaluating solutions to research problems,
Ways of discerning certain facts among the accumulated knowledge that are important and which facts are not,
Means of giving old data new interpretations and new meaning,
Means by which to identify important new issues and prescribe the most critical research questions that need to be answered to maximize understanding of the issue,
Means of providing members of a professional discipline with a common language and a frame of reference for defining the boundaries of their profession, and
Means to guide and inform research so that it can, in turn, guide research efforts and improve professional practice.

Adapted from: Torraco, R. J. “Theory-Building Research Methods.” In Swanson R. A. and E. F. Holton III , editors. Human Resource Development Handbook: Linking Research and Practice . (San Francisco, CA: Berrett-Koehler, 1997): pp. 114-137; Jacard, James and Jacob Jacoby. Theory Construction and Model-Building Skills: A Practical Guide for Social Scientists . New York: Guilford, 2010; Ravitch, Sharon M. and Matthew Riggan. Reason and Rigor: How Conceptual Frameworks Guide Research . Second edition. Los Angeles, CA: SAGE, 2017; Sutton, Robert I. and Barry M. Staw. “What Theory is Not.” Administrative Science Quarterly 40 (September 1995): 371-384.

Structure and Writing Style

The theoretical framework may be rooted in a specific theory , in which case, your work is expected to test the validity of that existing theory in relation to specific events, issues, or phenomena. Many social science research papers fit into this rubric. For example, Peripheral Realism Theory, which categorizes perceived differences among nation-states as those that give orders, those that obey, and those that rebel, could be used as a means for understanding conflicted relationships among countries in Africa. A test of this theory could be the following: Does Peripheral Realism Theory help explain intra-state actions, such as, the disputed split between southern and northern Sudan that led to the creation of two nations?

However, you may not always be asked by your professor to test a specific theory in your paper, but to develop your own framework from which your analysis of the research problem is derived . Based upon the above example, it is perhaps easiest to understand the nature and function of a theoretical framework if it is viewed as an answer to two basic questions:

What is the research problem/question? [e.g., "How should the individual and the state relate during periods of conflict?"]
Why is your approach a feasible solution? [i.e., justify the application of your choice of a particular theory and explain why alternative constructs were rejected. I could choose instead to test Instrumentalist or Circumstantialists models developed among ethnic conflict theorists that rely upon socio-economic-political factors to explain individual-state relations and to apply this theoretical model to periods of war between nations].

The answers to these questions come from a thorough review of the literature and your course readings [summarized and analyzed in the next section of your paper] and the gaps in the research that emerge from the review process. With this in mind, a complete theoretical framework will likely not emerge until after you have completed a thorough review of the literature .

Just as a research problem in your paper requires contextualization and background information, a theory requires a framework for understanding its application to the topic being investigated. When writing and revising this part of your research paper, keep in mind the following:

Clearly describe the framework, concepts, models, or specific theories that underpin your study . This includes noting who the key theorists are in the field who have conducted research on the problem you are investigating and, when necessary, the historical context that supports the formulation of that theory. This latter element is particularly important if the theory is relatively unknown or it is borrowed from another discipline.
Position your theoretical framework within a broader context of related frameworks, concepts, models, or theories . As noted in the example above, there will likely be several concepts, theories, or models that can be used to help develop a framework for understanding the research problem. Therefore, note why the theory you've chosen is the appropriate one.
The present tense is used when writing about theory. Although the past tense can be used to describe the history of a theory or the role of key theorists, the construction of your theoretical framework is happening now.
You should make your theoretical assumptions as explicit as possible . Later, your discussion of methodology should be linked back to this theoretical framework.
Don’t just take what the theory says as a given! Reality is never accurately represented in such a simplistic way; if you imply that it can be, you fundamentally distort a reader's ability to understand the findings that emerge. Given this, always note the limitations of the theoretical framework you've chosen [i.e., what parts of the research problem require further investigation because the theory inadequately explains a certain phenomena].

The Conceptual Framework. College of Education. Alabama State University; Conceptual Framework: What Do You Think is Going On? College of Engineering. University of Michigan; Drafting an Argument. Writing@CSU. Colorado State University; Lynham, Susan A. “The General Method of Theory-Building Research in Applied Disciplines.” Advances in Developing Human Resources 4 (August 2002): 221-241; Tavallaei, Mehdi and Mansor Abu Talib. "A General Perspective on the Role of Theory in Qualitative Research." Journal of International Social Research 3 (Spring 2010); Ravitch, Sharon M. and Matthew Riggan. Reason and Rigor: How Conceptual Frameworks Guide Research . Second edition. Los Angeles, CA: SAGE, 2017; Reyes, Victoria. Demystifying the Journal Article. Inside Higher Education; Trochim, William M.K. Philosophy of Research. Research Methods Knowledge Base. 2006; Weick, Karl E. “The Work of Theorizing.” In Theorizing in Social Science: The Context of Discovery . Richard Swedberg, editor. (Stanford, CA: Stanford University Press, 2014), pp. 177-194.

Writing Tip

Borrowing Theoretical Constructs from Other Disciplines

An increasingly important trend in the social and behavioral sciences is to think about and attempt to understand research problems from an interdisciplinary perspective. One way to do this is to not rely exclusively on the theories developed within your particular discipline, but to think about how an issue might be informed by theories developed in other disciplines. For example, if you are a political science student studying the rhetorical strategies used by female incumbents in state legislature campaigns, theories about the use of language could be derived, not only from political science, but linguistics, communication studies, philosophy, psychology, and, in this particular case, feminist studies. Building theoretical frameworks based on the postulates and hypotheses developed in other disciplinary contexts can be both enlightening and an effective way to be more engaged in the research topic.

CohenMiller, A. S. and P. Elizabeth Pate. "A Model for Developing Interdisciplinary Research Theoretical Frameworks." The Qualitative Researcher 24 (2019): 1211-1226; Frodeman, Robert. The Oxford Handbook of Interdisciplinarity . New York: Oxford University Press, 2010.

Another Writing Tip

Don't Undertheorize!

Do not leave the theory hanging out there in the introduction never to be mentioned again. Undertheorizing weakens your paper. The theoretical framework you describe should guide your study throughout the paper. Be sure to always connect theory to the review of pertinent literature and to explain in the discussion part of your paper how the theoretical framework you chose supports analysis of the research problem or, if appropriate, how the theoretical framework was found to be inadequate in explaining the phenomenon you were investigating. In that case, don't be afraid to propose your own theory based on your findings.

Yet Another Writing Tip

What's a Theory? What's a Hypothesis?

The terms theory and hypothesis are often used interchangeably in newspapers and popular magazines and in non-academic settings. However, the difference between theory and hypothesis in scholarly research is important, particularly when using an experimental design. A theory is a well-established principle that has been developed to explain some aspect of the natural world. Theories arise from repeated observation and testing and incorporates facts, laws, predictions, and tested assumptions that are widely accepted [e.g., rational choice theory; grounded theory; critical race theory].

The key distinctions are:

A theory predicts events in a broad, general context; a hypothesis makes a specific prediction about a specified set of circumstances.
A theory has been extensively tested and is generally accepted among a set of scholars; a hypothesis is a speculative guess that has yet to be tested.

Cherry, Kendra. Introduction to Research Methods: Theory and Hypothesis. About.com Psychology; Gezae, Michael et al. Welcome Presentation on Hypothesis. Slideshare presentation.

Still Yet Another Writing Tip

Be Prepared to Challenge the Validity of an Existing Theory

Theories are meant to be tested and their underlying assumptions challenged; they are not rigid or intransigent, but are meant to set forth general principles for explaining phenomena or predicting outcomes. Given this, testing theoretical assumptions is an important way that knowledge in any discipline develops and grows. If you're asked to apply an existing theory to a research problem, the analysis will likely include the expectation by your professor that you should offer modifications to the theory based on your research findings.

Indications that theoretical assumptions may need to be modified can include the following:

Your findings suggest that the theory does not explain or account for current conditions or circumstances or the passage of time,
The study reveals a finding that is incompatible with what the theory attempts to explain or predict, or
Your analysis reveals that the theory overly generalizes behaviors or actions without taking into consideration specific factors revealed from your analysis [e.g., factors related to culture, nationality, history, gender, ethnicity, age, geographic location, legal norms or customs , religion, social class, socioeconomic status, etc.].

Philipsen, Kristian. "Theory Building: Using Abductive Search Strategies." In Collaborative Research Design: Working with Business for Meaningful Findings . Per Vagn Freytag and Louise Young, editors. (Singapore: Springer Nature, 2018), pp. 45-71; Shepherd, Dean A. and Roy Suddaby. "Theory Building: A Review and Integration." Journal of Management 43 (2017): 59-86.

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Published: 08 May 2024

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

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

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

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Cultural and media studies

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

Exploring the effects of audience and strategies used by beauty vloggers on behavioural intention towards endorsed brands

COBRAs and virality: viral campaign values on consumer behaviour

Exploring the impact of beauty vloggers’ credible attributes, parasocial interaction, and trust on consumer purchase intention in influencer marketing

Introduction.

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

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

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

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

Literature review

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

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

Self-determination theory

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

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

Consumer engagement

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

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

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

Theoretical framework

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

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

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

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

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

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

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

Self-disclosure willingness and consumer engagement behavior

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

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

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

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

Innovativeness and consumer engagement behavior

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

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

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

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

Information trust and consumer engagement

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

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

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

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

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

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

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

Influencer factors: parasocial identification

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

Parasocial identification and self-disclosure willingness

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

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

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

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

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

Parasocial identification and information trust

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

H5: Parasocial identification is positively correlated with information trust.

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

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

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

Influencer factors: source credibility

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

Source credibility and self-disclosure willingness

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

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

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

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

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

Source credibility and information trust

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

H7: Source credibility is positively correlated with information trust.

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

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

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

Advertising information factors: informative value

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

Informative value and innovativeness

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

H8: Informative value is positively correlated with innovativeness.

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

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

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

Informative value and information trust

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

H9: Informative value is positively correlated with information trust.

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

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

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

Advertising information factors: ad targeting accuracy

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

Ad targeting accuracy and information trust

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

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

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

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

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

Social factors: subjective norm

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

Subjective norm and self-disclosure willingness

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

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

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

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

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

Subjective norm and information trust

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

H12: Subjective norms are positively correlated with information trust.

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

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

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

Conceptual model

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

Consumer engagement behavior impact model based on SOR framework.

Materials and methods

Participants and procedures.

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

Measurements

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

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

Data analysis

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

Measurement of model

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

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

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

Research hypothesis testing

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

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

Tested structural model of consumer engagement behavior.

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

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

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

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

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

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

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

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

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

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

Implication

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

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

Limitations and future directions

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

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

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

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

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

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

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

Data availability

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

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

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

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></center></p><h2>ROLE OF HYPOTHESIS IN SOCIAL RESEARCH</h2><p><center><img style=

Practice Questions – Write short note on Importance and Sources of Hypothesis in Sociological Research. [ UPSC 2008]

Approach – Introduction, What makes Hypothesis relevant in a sociological research?, What are the sources which aids us to derive hypothesis?, Conclusion

INTRODUCTION

A hypothesis is a prediction of what will be found at the outcome of a research project and is typically focused on the relationship between two different variables studied in the research. It is usually based on both theoretical expectations about how things work and already existing scientific evidence.

We know that research begins with a problem or a felt need or difficulty. The purpose of research is to find a solution to the difficulty. It is desirable that the researcher should propose a set of suggested solutions or explanations of the difficulty which the research proposes to solve. Such tentative solutions formulated as a proposition are called hypotheses. The suggested solutions formulated as hypotheses may or may not be the real solutions to the problem. Whether they are or not is the task of research to test and establish.

DEFINTITIONS

Lundberg- A Hypothesis is a tentative generalisation, the validity of which remains to be tested. In its most elementary stages, the hypothesis may be any hunch, guess imaginative idea or Intuition whatsoever which becomes the basis of action or Investigation.
Bogardus- A Hypothesis is a proposition to be tested.
Goode and Hatt- It is a proposition which can be put to test to determinants validity.
P. V. Yaung- The idea of a temporary but central importance that becomes the basis of useful research is called a working hypothesis.

TYPES OF HYPOTHESIS

i) Explanatory Hypothesis : The purpose of this hypothesis is to explain a certain fact. All hypotheses are in a way explanatory for a hypothesis is advanced only when we try to explain the observed fact. A large number of hypotheses are advanced to explain the individual facts in life. A theft, a murder, an accident are examples.

ii) Descriptive Hypothesis: Some times a researcher comes across a complex phenomenon. He/ she does not understand the relations among the observed facts. But how to account for these facts? The answer is a descriptive hypothesis. A hypothesis is descriptive when it is based upon the points of resemblance of some thing. It describes the cause and effect relationship of a phenomenon e.g., the current unemployment rate of a state exceeds 25% of the work force. Similarly, the consumers of local made products constitute asignificant market segment.

iii) Analogical Hypothesis : When we formulate a hypothesis on the basis of similarities (analogy), it is called an analogical hypothesis e.g., families with higher earnings invest more surplus income on long term investments.

iv) Working hypothesis : Some times certain facts cannot be explained adequately by existing hypotheses, and no new hypothesis comes up. Thus, the investigation is held up. In this situation, a researcher formulates a hypothesis which enables to continue investigation. Such a hypothesis, though inadequate and formulated for the purpose of further investigation only, is called a working hypothesis. It is simply accepted as a starting point in the process of investigation.

v) Null Hypothesis: It is an important concept that is used widely in the sampling theory. It forms the basis of many tests of significance. Under this type, the hypothesis is stated negatively. It is null because it may be nullified, if the evidence of a random sample is unfavourable to the hypothesis. It is a hypothesis being tested (H0). If the calculated value of the test is less than the permissible value, Null hypothesis is accepted, otherwise it is rejected. The rejection of a null hypothesis implies that the difference could not have arisen due to chance or sampling fluctuations.

USES OF HYPOTHESIS

i) It is a starting point for many a research work. ii) It helps in deciding the direction in which to proceed. iii) It helps in selecting and collecting pertinent facts. iv) It is an aid to explanation. v) It helps in drawing specific conclusions. vi) It helps in testing theories. vii) It works as a basis for future knowledge.

ROLE OF HYPOTHESIS

In any scientific investigation, the role of hypothesis is indispensable as it always guides and gives direction to scientific research. Research remains unfocused without a hypothesis. Without it, the scientist is not in position to decide as to what to observe and how to observe. He may at best beat around the bush. In the words of Northrop, “The function of hypothesis is to direct our search for order among facts, the suggestions formulated in any hypothesis may be solution to the problem, whether they are, is the task of the enquiry”.

First , it is an operating tool of theory. It can be deduced from other hypotheses and theories. If it is correctly drawn and scientifically formulated, it enables the researcher to proceed on correct line of study. Due to this progress, the investigator becomes capable of drawing proper conclusions. In the words of Goode and Hatt, “without hypothesis the research is unfocussed, a random empirical wandering. The results cannot be studied as facts with clear meaning. Hypothesis is a necessary link between theory and investigation which leads to discovery and addition to knowledge.

Secondly, the hypothesis acts as a pointer to enquiry. Scientific research has to proceed in certain definite lines and through hypothesis the researcher becomes capable of knowing specifically what he has to find out by determining the direction provided by the hypothesis. Hypotheses acts like a pole star or a compass to a sailor with the help of which he is able to head in the proper direction.

Thirdly , the hypothesis enables us to select relevant and pertinent facts and makes our task easier. Once, the direction and points are identified, the researcher is in a position to eliminate the irrelevant facts and concentrate only on the relevant facts. Highlighting the role of hypothesis in providing pertinent facts, P.V. Young has stated, “The use of hypothesis prevents a blind research and indiscriminate gathering of masses of data which may later prove irrelevant to the problem under study”. For example, if the researcher is interested in examining the relationship between broken home and juvenile delinquency, he can easily proceed in the proper direction and collect pertinent information succeeded only when he has succeed in formulating a useful hypothesis.

Fourthly , the hypothesis provides guidance by way of providing the direction, pointing to enquiry, enabling to select pertinent facts and helping to draw specific conclusions. It saves the researcher from the botheration of ‘trial and error’ which causes loss of money, energy and time.

Finally, the hypothesis plays a significant role in facilitating advancement of knowledge beyond one’s value and opinions. In real terms, the science is incomplete without hypotheses.

STAGES OF HYPOTHESIS TESTING

EXPERIMENTATION : Research study focuses its study which is manageable and approachable to it and where it can test its hypothesis. The study gradually becomes more focused on its variables and influences on variables so that hypothesis may be tested. In this process, hypothesis can be disproved.
REHEARSAL TESTING : The researcher should conduct a pre testing or rehearsal before going for field work or data collection.
FIELD RESEARCH : To test and investigate hypothesis, field work with predetermined research methodology tools is conducted in which interviews, observations with stakeholders, questionnaires, surveys etc are used to follow. The documentation study may also happens at this stage.
PRIMARY & SECONDARY DATA/INFORMATION ANALYSIS : The primary or secondary data and information’s available prior to hypothesis testing may be used to ascertain validity of hypothesis itself.

Formulating a hypothesis can take place at the very beginning of a research project, or after a bit of research has already been done. Sometimes a researcher knows right from the start which variables she is interested in studying, and she may already have a hunch about their relationships. Other times, a researcher may have an interest in a particular topic, trend, or phenomenon, but he may not know enough about it to identify variables or formulate a hypothesis. Whenever a hypothesis is formulated, the most important thing is to be precise about what one’s variables are, what the nature of the relationship between them might be, and how one can go about conducting a study of them.

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This chapter analyses constructivism and the use of constructivist learning theory in schools, in order to create effective learning environments for all students. It discusses various conceptual approaches to constructivist pedagogy. The key idea of constructivism is that meaningful knowledge and critical thinking are actively constructed, in a cognitive, cultural, emotional, and social sense, and that individual learning is an active process, involving engagement and participation in the classroom. This idea is most relevant to the process of creating effective learning environments in schools globally. It is argued that the effectiveness of constructivist learning and teaching is dependent on students’ characteristics, cognitive, social and emotional development, individual differences, cultural diversity, motivational atmosphere and teachers’ classroom strategies, school’s location, and the quality of teachers. The chapter offers some insights as to why and how constructivist learning theory and constructivist pedagogy could be useful in supporting other popular and effective approaches to improve learning, performance, standards and teaching. Suggestions are made on how to apply constructivist learning theory and how to develop constructivist pedagogy, with a range of effective strategies for enhancing meaningful learning and critical thinking in the classroom, and improving academic standards.

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Zajda, J. (2021). Constructivist Learning Theory and Creating Effective Learning Environments. In: Globalisation and Education Reforms. Globalisation, Comparative Education and Policy Research, vol 25. Springer, Cham. https://doi.org/10.1007/978-3-030-71575-5_3

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Human Quantum Mechanics and Human Entanglement Theory: A New Paradigm for Social Sciences and Beyond

Christian Aspalter (Department of Social Sciences)

This article catches up with the latest trend in social sciences that has silently spread out across a larger spectrum of academic disciplines, which is quantum-inspired theory building. The method applied is theory building, and the theory built is a metatheory that encompasses all forms of human communication. The theory works with the least common denominators of communication, with words, and anything that is constructed using words or that can be expressed in words (including thoughts and feelings). The author has set up a general theory of human communication, and hence human action, integrating not only Michel Foucault’s theory of power relations but also other main social theories that corroborate one another. The key to the new metatheory of human entanglement are the hidden forces that prevent, impede, encourage, and bring about new thoughts and new words uttered, and hence new human decision-making and action. There are many dimensions of human entanglements that specific disciplines need to get hold of and investigate further. This article merely provides a springboard for future research investigations, including further theory construction in all disciplines and topics related to interpersonal and intrapersonal human communication, and human action.

Keywords: quantum theory, different dimensions of human entanglements, human entanglement theory, hidden causal forces, probabilities of human communication and action

Aspalter, C., (2024) “Human Quantum Mechanics and Human Entanglement Theory: A New Paradigm for Social Sciences and Beyond”, Social Development Issues 46(2): 5. doi: https://doi.org/10.3998/sdi.5983

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This article serves as an introduction to the new world of Human Quantum Mechanics , particularly into the new metatheory of human entanglement. Here, we are leaving behind in the rear mirror the old, traditional views and concepts of social system theory, any “normal” (in the Kuhnian sense, cf. Kuhn, 1970a , 1970b, 1977, 1978) social system theory has managed to come up with. A lot of water has passed under the bridges of different kinds of social system theories, it is time to move on and explore new dimensions of human/social action and interaction.

In the past, these “normal” social system theories provided scientists with their views and keys for understanding based on and constructed with boundaries and distinctions . Systems must have boundaries and borders. They are marked, enabled, and protected by them. While these concepts will be around for an infinite time yet to come, they are not in the lead anymore; that is, they do not lead to further growth in theory-making. A new paradigm has risen. In the Kuhnian sense (following the theoretical predictions of Kuhn’s theory of science), it will take a longer time to catch on. But, nevertheless, it has arrived at the gates of 21st century social science.

The more recent advances in quantum theory, by scientists such as Anton Zeilinger (Nobel laureate in 2022), have since about the 1990s left no stone in physics unturned (cf. Capellmann, 2020; Hill, 2022 ). At the same time, hidden from most observers and social scientists themselves, non-natural science disciplines have ventured already deep into the realms of quantum-inspired theory-making and methodology (cf Barad, 2007 ; Beck, 2001 ; Busemeyer & Bruza, 2012 ; Busemeyer, Wang, & Townsend, 2006 ; Carter, 1989 ; Coale, 2011 ; Filk & von Müller, 2009 ; Hakemi, Houshmand, KheirKhah, & Hosseini, 2022 ; Oppermann, 2015 ; Surov et al., 2021 ; Wu, Li, Zhang, & Zhang, 2021 ; Wendt, 2015 ; Wilson, 2016 ; Zohar & Marshall, 1993 ).

With the experiments by quantum physicists, a new world came to the fore, one in which entanglements , quantum entanglements, are already reckoned to be the most powerful force in theory creation, also in the macroscopic world. Wormholes and black holes are now, and/or are attempted, to be explained, and ever more so, in terms of quantum mechanics.

Albert Einstein missed the chance he had to be part of the winning team in the quantum revolution. He decided not to be part of it, and stubbornly so ( Aspelmeyer & Zeilinger, 2008 ; Zeilinger, 2005 ). At first, he was enthusiastic about quantum theory, but later he became one of its critics from the 1930s onward (cf. Ferrie, 2023 ; Fine, 1996 ; Pais, 1979 ).

Einstein was nevertheless most instrumental in the development of quantum mechanics, and thus quantum theory (e.g. Musser, 2015 ; Pais, 1979 ), working closely with for example Max Born and Erwin Schrödinger, and contributing to it a great deal, in most direct ways through personal communication, and then again also generally in terms of quantum theory of photons or quanta, quantum statistics, and so forth.

The fact is that we do not want to miss out on the hottest, and soon most prominent of all, developments in social sciences, that have been sparked by, more recent, developments in quantum physics and now also in the macroscopic physics world, threatening (offering) to unravel all of physics yet again (cf. e.g. Capellmann, 2020).

Spacetime is now thought to be held in place and created by quantum-level entanglements of all sorts. All sorts of quantum particles (cf. esp. Arndt, Zeilinger, & Hornberger, 2005 ; Clavin, 2019 ; Swingle, 2018 ) are thus thought to be connected by forces of coherence (entanglement) that either are permanent or replaceable with other forces of coherence (i.e. in the process of decoherence, where old entanglement is lost and replaced by new entanglement or coherence with the new physical environment).

Mirroring this, it now has become clear that in human sciences (social sciences, life sciences, and humanities), we are already riding on a new wave of explorations and revelations. New quantum-inspired theories and new quantum-inspired methodologies are scattered across a wide field of sciences, from psychology to literature science, from finance to mathematics, as well as data and computer sciences (see above).

While every discipline has its inspiration, its own needs, and goals, and thus makes most informed choices of how to interpret the principles and breakthroughs in quantum mechanics, quantum gravity theory, quantum computing, and all that, the idea that yet unseen forces are at the core of the social universe and the human universe (of communication, of human data, etc.) is a new, and for many a challenging, revelation. It is indeed a difficult task to leave behind old ways of thinking and sticking to what we already know so well for a century or two.

Einstein maintained throughout his later life that quantum theory is coherent but incomplete (cf. Einstein, Podolsky, & Rosen, 1935 ). The same is now also applied to “normal” social system theory, as well as Luhmann’s special version of his system (communication) theory ( Luhmann, 1984 , 1988 , 1990 , 1994, 1997, 2012, 2014, 2023). They are coherent but incomplete . And the missing pieces are now slowly, one by one, added by looking at breakthroughs in human entanglement theory , which explains human behavior, human thinking/feeling, and human decision-making, by forces that are not seen, but that are most consequential, especially given their long-term effects and cumulative effects .

The forces of human entanglement , we carry in us, are formed by language, by words and the particular ways of common logic and common sense we use, our past experiences and communications, and by our social, cultural, political, and natural environments.

The theory of human entanglement is a continuation and extension of Michel Foucault’s (1975) power relations theory . Foucauldian power relations are human entanglements of a certain kind (cf. Balan, 2010 ; Foucault, 1975 , 1976 , 2009 , 2010, 2014; Gaventa, 2003 ; Lukes, 2005 ; Powell, 2015 ; Rabinow, 2010 ). There are more kinds of entanglements out there, in the human world. Human entanglement theory now offers a universal meta-theoretical approach to theorize and thus describe and explain all these human entanglements at once.

Building in the past on Niklas Luhmann’s theory (1984, 1997, 2023) of social communications (a.k.a. his version of a social system theory), the author for long now has extended the Luhmannian theory of communication to now also include intrapersonal, and not just interpersonal, communication (cf. e.g. Aspalter, 2023b : 111–112, 116–117; 2021, 2010, 2007, as well as Singh & Aspalter, 2008 ). The theory of Luhmann was extended to include the psychological. A new theory of the noodle of human communication (ibid.) took the place of the old theory of social systems (any social system, normal ones or the Luhmannian kind). With the theory of Foucauldian power relations, social science theory has now become more aware of social forces , as these have now moved to the center and into the spotlight of social investigation, be it in the field of social policy, social work, sociology, economics, public policy, and administration, or communication and media studies.

The theory of the noodle of human communication was for the first time focusing on time , on the connections through time (which is represented by the metaphor of the “noodle” itself), which are needed to understand human action and communications in general and in detail.

In addition, it needs to be noted that not all human actions are human communications or actions with communicative meanings. The theory of human entanglement is a theory primarily of human communication, all sorts of human communication, including intrapersonal and of course interpersonal communication, but also human-to-machine, machine-to-human, and machine-to-machine communications (as humans made them, and programmed them in the first place, and artificial intelligence machines or robots are essentially learning from humans and/or mimicking or copying them as much as they can, apart from their follow-on creations).

The Nature of Human Entanglements: Intangible and Stealthily-Hidden Psychological, Social and Cultural Forces

As with Foucault (1975) , the task of lifting the veils of obscurity and disguise is monumentally important for a thorough grasp of what human entanglements are. They are intangible forces. They act and accumulate over time and in combination with one another. There is a myriad of human entanglements.

Foucault’s power relations were just the beginning in the understanding of the diverse web of, sometimes more, sometimes less, causally important human forces that are enshrined within the humans themselves. They act from within the humans, they guide all of their human communication, all of their thinking and feeling, and with it the very most of human action. At the same time, they can be triggered and formed by received communication from the outside world (formal and social media, government rules and actions, court rulings, fines and punishments, charges, costs, social and cultural practices, and so on).

The author here is not the first who realized that there are at first unimaginable powers at work within humans (cf. also Clark, 2008 ; Le Bon, 1896 ; Nietzsche, 2014 : 346–347), within worlds and fields of human communication, across vast distances of time and (nowadays thanks to the internet and other technological advances) space. The means of transportation and storage of the powers of human entanglements are, when looking at their least common denominator, all present in words , the atoms of human communication. Lev Vygotsky, for one, was superbly clear about the role that words play in human psychology and human action. He noted that

“[i]f language is as old as consciousness itself, and if language is a practical consciousness-for-others and, consequently, consciousness-for-myself, then not only one particular thought but all consciousness is connected with the development of the word. The word is a thing in our consciousness… that is absolutely impossible for one person, but that becomes a reality for two. The word is a direct expression of the historical nature of human consciousness… A word relates to consciousness as a living cell relates to a whole organism, as an atom relates to the universe. A word is a microcosm of human consciousness” ( Vygotsky, 1986 : 255).

Confucius also fully emphasized the devastating powers of words and concepts, if they convey wrong names, wrong denotations, and connotations, as he said:

“What is necessary is to rectify names … If names be not correct, language is not in accordance with the truth of things. If language be not in accordance with the truth of things, affairs cannot be carried on to success.” (Confucius, Book XIII: Ze Lu, 1893).

Our human thoughts and thinking are the outcome of the forces that control words and language:

“we are controlled by language, especially by socially constructed distinctions, because they often instill unnatural desires, shape evaluative perspectives, and develop biased attitudes. … through learning language one internalizes society’s preferences” ( Komarzyca & Fras, 2020 : 25).

The author recently explained the unity of the forces of words and communication, and the forces that control these forces (entanglements of entanglements):

“That is to say, all communication, also intrapersonal communication, such as, dreams, feelings, ideas, hopes, expectations, stereotypes, memories, are all part of the same system of communication that makes up society. Social communication is spun further and relived, and reedited, when one is not socially communicating. But, as soon as one communicates again, this now enhanced, edited, or simply changed communication enters again the social stream of communication. They both, social and private communication, hence, are inseparable, in general and particularly for the purpose of our understanding and theory of how human action and human communication is working and how it is not, and what affects it, by and large, for the most part, in most people” ( Aspalter, 2023b : 63).

As noted by Leydesdorff (2000) and Habermas (1987) , language is the medium that unites the individual with the social (cf. also Freud, 1921 ; as well as Clark, 1996 and Nietzsche, 2014 [1878]: 343, 133).

According to the theory of the noodle of communication, the past flow of communication is key for any next communication (or communicative action; like feelings in the intrapersonal world, and action with the meaning of communication in the interpersonal world). Nietzsche told us clearly that

“[i]mmediate self-observation is not enough, by a long way, to enable us to know ourselves. We need history, for the past flows on within us in a hundred waves. We ourselves are, after all, nothing but our own sensation at every moment of this continued flow…” ( Nietzsche, 2014 [1878]: 343–344).

Nietzsche also pointed to greater intangible, yet fully devastating historical forces that are created by human communication, which have changed the course of history here and there, time and again:

“Here and there we see with terrible clearness the harlequinade of Fortune, how she fastens the rope, on which she wills that succeeding centuries should dance, on to a few days, one place, the condition and opinions of one brain [that of Martin Luther]. … now, in order to have a still stronger idea of the dreadful farcicality of it all, let us add that none of the principles about which men [Martin Luther and his followers] then disputed in Regensburg—neither that of original sin, nor that of redemption of proxy, nor that of justification of faith—is in any way true or even has any connection with truth: that they are now all recognized as incapable of being discussed. Yet on this account the world was set on fire —that is to say, by opinions which correspond to no things or realities … Lastly, it only remains to be said that it is true these principles give rise to sources of power so mighty that without them all the mills of the modern world could not be driven with such force . And it is primarily a matter of force, only secondarily of truth (and perhaps not even secondarily)—is it not so, my dear up-to-date friends?” (emphases added, The Tragi-Comedy of Regensburg , Nietzsche, 2014 [1878]: 346–347)

Gustave Le Bon, also already a long time ago, due to his sharp historical and empirical insights, has referred to the revolutionary forces of human entanglements, in yet another clear manner (that clearer it cannot get):

“The true historical upheavals are not those which astonish us by their grandeur and violence. The only important changes whence the renewal of civilizations results, affect ideas, conceptions, and beliefs. The memorable events of history are the visible effects of the invisible changes of human thought. The reason these great events are so rare is that there is nothing so stable … as the inherited groundwork of its thoughts.” ( Le Bon, 1896 : xiv)

Hence, while there have been eye-opening revelations from several most important and most keen observers in the modern history of social science and philosophy, there has not yet, until now, been a theory that united it all (cf. also Clark, 1996 ). This is what the theory of human entanglement has set out to do, and what it has done, effectively and coherently.

As to the nature of these entanglements, it is important to point out that these forces are not entirely deterministic , they are probabilistic , and this means there is room for freedom , for free will , always. It is just that this room more often than not has been narrowed a great deal by the cumulate forces of entanglements and their cumulate effects on most people, be it in most developed countries on earth, or the ones that were least touched upon the forces of modernization, as they, too, have a myriad of religious and cultural forces in and at play.

Random they appear, random they are not, human actions and human communications. The forces not seen exert a tremendous effect on one’s choices of words and lifetime decision-making. Yet, they can be shaken off, by a few, rather than by the many.

Plato’s cave allegory ( Plato, 2011 : 514a–521d) and Weber’s iron cage theory ( Weber, 1952 : 181–182) are both superbly valid and needed to understand the forces that act upon us, with every word or sentence, with every sensory computation and feeling produced, and thus every communication-wise meaningful human action.

Human entanglements operate through all forms of human communication, at all levels of human communication.

The web of every human entanglement is composed of different kinds of entanglements—each with different effects (some are wanted, others certainly not)—at different dimensions of entanglement. These different dimensions are located at lingual, psychological, social, political, legal, administrative, financial, economic, cultural, religious, and environmental levels.

These human entanglements are either “compelling and/or enticing” or “preventing and/or discouraging” our human words, thoughts, feelings and (communicationally meaningful) action. In addition, we can look at them as either exerting different degrees of positive effects or negative effects; or for that matter (in sum, or per se ) neutral effects.

This needs to be measured and/or classified by the researcher at hand, who works with the human entanglement theory in any specified field, on any specified topic and research problem. Just with Luhmann’s theory of social communication, a.k.a. Luhmann’s system theory (1984, 1997), one needs to find applications of the human entanglement theory, and methods to apply it, in discipline-specific, field-of-study-specific and research-purpose-specific ways.

To be clear, it is a descriptive and an explanatory theory, thus, normative evaluations and prescriptions are not the focus of the human entanglement theory (as was the case with Luhmann’s system theory).

This web of human entanglements, plus entanglement of entanglements, is causal in forcing upon us, in probabilistic ways ( not entirely but only largely deterministic ways), our words, the thoughts, and feelings we create, our behavior at every moment, across the entirety of our lifespan, and the entirety of the lifespan of our civilizations (cf. esp. Le Bon, 1896 and Nietzsche, 1887 ; but also Book XIII: Ze Lu, Confucius, 1893 ; Foucault, 1975 ; Aspalter, 2023a , 2023b).

“Human entanglements are created by establishment, maintenance and promotion of (often dichotomic) evaluations, legitimizing arguments and rationales, and of course attempts to convince others to support rules, rulings, laws, policies, and practices. These are pre-authorized—non-self-authorized, non-questioned—common sense arguments, applied/manufactured logics, rules and evaluations. These entangling systems hide in secrecy and complexity. They cover up with denial, confusion, lies and confrontation. With time, the ferociousness of human entanglement increases, also their stealth.” ( Aspalter, 2024 )

Apart from Foucault’s theory of power relations and his “civil war” theory (1975), the theory of hegemony by Antonio Gramsci (2011a , 2011b, 2011c; cf. also Ives, 2004 ; Martin, 2022 ) and the theory of distorted choices and the theory of super inequality ( Aspalter, 2023b ) are also fully encapsulated by the theory of human entanglement .

Each of these theories fully corroborates the other, they provide a fully coherent picture that explains human misery on a grand scale. This includes systemic world poverty and systemic poverty anywhere, systemic indifference to appalling social problems and human misery (e.g. millions of children dying of starvation every year, to name just one), systemic abuse and discrimination of ethnicities and entire parts of the world, and so on.

These entanglements of entanglements that create these very human miseries are put and held in place by the most wealthy and powerful ruling elites all over, wherever they are. It is them who are absolutely profiting from human inequality, from poverty, from the lack of government responses all along ( Aspalter, 2022 , 2023a, 2023b; Gramsci, 2011a , 2011b, 2011c).

Conclusions and the Way Forward

If anyone has pinned all his or her hopes on the importance of rational thinking to reach enlightenment for oneself and for humanity, one may be utterly disappointed either way. The theory of human entanglement opposes, vehemently, any idea that rational thinking is a remedy, as it is the culprit behind government inaction as regards solving social problems locally, domestically, and worldwide. Rational thinking is engineered and geared by textbooks and formal and social media (cf. Chomsky, 2017 , 2004 , 2002a, 2002b, 1987; Herman & Chomsky, 2002 ; as well as Bernays, 1923 , 1928 ), and it is not helping the poor and the ones who are desperately in need of help—they help only the most wealthy and the most powerful and their administrative, intellectual, and other vassals (enforcers and accomplices).

Thus, Habermas (1981) is wrong, he pinned all his hopes on rationality and thought modernity is still incomplete (cf. Habermas, 1988 , 1994 , 2004 , 2005). Yet, miseries all over the world are already complete , and they keep on dispersing and multiplying, and the workings of the forces of communication—the media, the education system, the welfare state system, the punishment systems (tax and “justice” systems, social insurance taxation systems included), the financial and credit systems, most unequal landownership and capital distribution, appalling wealth inequalities and income inequalities—are still being, and constantly so, upgraded in terms of their destruction, oppression and controlling strengths, functions and their implementation methods (enforcement and reinforcement systems).

A second even theoretically more relevant conclusion here is that social system theory is outdated now, de facto, by the arrival of a force-based universal metatheory (cf. Steiner, 1988 ). Human entanglement theory is not a boundary- or demarcation-based theory anymore. This is a paradigmatic change , away from a larger range of previously dominant, traditional sociological theories, that is sure. Preventative, limiting, encouraging, and enabling forces instead make up the structures of society, its orchestrations, its progresses, its stagnant states, and its regresses—that is development and nondevelopment. We do not operate in boxes or containers, as Ulrich Beck (2006 , 2007 , 2009 , 2016; as well as Beck & Sznaider, 2006 ) and Joseph Schumpeter (1951) have rightfully and (fortunately) forcefully argued and thus successfully explained.

Science, thus, has to do away with containers of thinking, of measuring, of theorizing society and containers of all social and human action. We need to add specific analyses of all detailed forces (entanglements), their networks, cumulative effects and network interactions, and we cannot just live and work, in science, by averaging everything out, by only using aggregates, that are based on historical, military and political coincidences of the past (e.g. wars and revolutions that made, prevented and shaped nation-states).

And, in human sciences (social sciences, humanities, and life sciences), we need to come to terms with the fact that in general, we operate in terms of probabilities. We are given in general narrow ways of freedom, as we understand and judge ourselves and the world in pre-given, societally-given ways (cf. Freud, 1921 ; Le Bon, 1988 , 1894 , 1896 , 1918; Nietzsche, 2014 : 343–344, 346–347; Vygotsky, 1986 , 1978 ).

Third, the human mind, the human body, and the world outside are all one unit, according to Clark (1996) . He was, is, and always will be right. The theory of the noodle of communication has progressed and transformed itself into a full-fledged theory of human entanglement. Through these entanglements, everything truly is connected to everything. We need to realize it, bit by bit, the earlier the better.

Fourth, human entanglements are forces that act in terms of their (over time in general changing) probabilities, they prevent, impede, support, or generate human communication and hence human action. On top, there are grand forces of human entanglements, that is, entanglements of entanglements. All of these need to be investigated, rather than just relying on social structure, social institutions, social systems, and their boundaries.

Fifth, the causality of human entanglements can be turned off, or turned on, they can be amplified or dampened. One coherent (entangled) state can be transformed into another coherent (entangled) state. Coherence can be replaced with new coherence (i.e. there is decoherence of the old, former coherent state). Human entanglement theory thus has opened wide new fields of applied theoretical research (empirical theory building and testing) in all of the human sciences.

Sixth, the multidimensional spheres of human entanglements, and their respective entanglements need to be investigated not only one by one but also, and in particular so, in parallel. Past and current human communication creates and maintains complex and multidimensional webs of human entanglements, which led to the establishment, maintenance, and transformation of our ways of how we use words and language, our culture and traditions, laws and regulations, microeconomic incentives (instilled and fortified), fears, motives, information (available/accessed/trusted/amplified), past experiences, aspirations, and expectations. History, language, culture, politics, economics, psychology, technology, and philosophy have now all entered a unified field of trans-disciplinary research. A unified world of research (cf. also esp. Clark, 1996 ; Nietzsche, 1887 , 2009 ), with its least common denominator being human entanglements, that is, forces that potentially act upon decision-making of human communication, and hence human action.

Last but not least, we may also conclude that physics is ahead of human sciences. Physicists have realized new breakthroughs, and are walking already to new horizons. They, thus, have “teleported” quantum theory from formerly only being applied to the miniscule physical world, to be the new super theory that explains everything, also the macroscopic world, from wormholes to black holes, and soon much more, and ultimately everything, for which there is, so it seems to be and ought to be, no limit.

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Christian Aspalter is a Professor of Social Policy, Department of Social Sciences, BNU-HKBU United International College, Zhuhai, China. He can be contacted at [email protected].

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Research Quick Take: Rethinking Regulatory Capture

Published: September 26, 2022 | 10:40 am

This content originally appeared on COSSPP’s Wicked Problems, Wicked Solutions Blog and is the work of the individual authors sharing their research, expertise, and experience and do not necessarily reflect the opinions or positions of the College of Social Sciences and Public Policy, Florida State University, or any other agency, institution, or entity.

The capture theory of regulation, popularized in an article by Nobel laureate George Stigler, concludes that regulatory agencies become “captured” by the firms they regulate. Regulatory agencies act in the best interest of the firms they regulate, rather than serving the general public interest.

This occurs partly because regulated firms have a concentrated interest in regulatory outcomes whereas the general public has a diluted interest. Regulated firms have a large incentive to influence regulatory agencies. Members of the general public have almost no incentive to do so.

Assume, for example, that a regulatory protection for a firm would cost each of one million customers of that firm $5, which would then be transferred to the firm. Individuals would have little incentive to mount any opposition to that $5 cost they bear, whereas the firm would stand to gain $5 million from the regulation. The firm will lobby hard for the regulatory protection, whereas most consumers probably will be unaware that the regulation even exists.

A good real-world example is the mandate that motor fuels include ethanol. There is little consumer backlash against this, even though we know consumers would prefer motor fuels without ethanol. (Otherwise, there would be no reason to mandate it.) Meanwhile, corn farmers and processors reap a large benefit from the mandate in exchange for a small cost imposed on many consumers.

Regulated firms have other advantages too. A big one is that information the regulatory agency uses to regulate the firm comes directly from the firm, so the firm can control that flow of information to its advantage. Another advantage is that regulators and the regulated are likely to know each other personally, and they will want to remain on good terms with their friends.

The title of this post is the title of an article I published recently in the Journal of Private Enterprise , which adds to this theory of regulatory capture. For a regulation (and regulatory agency) to be created in the first place, it would have to provide some advantage to its creator.

The advantage to the creator is that the regulated firm then becomes dependent on the continued flow of benefits from the regulation. Should the regulation be repealed, the regulated firm will suffer a loss–perhaps severe enough to bankrupt the firm. So, regulated firms must continue to pay off legislators and regulators to maintain that favorable regulatory environment.

Decades ago, airlines were regulated to restrict competition among them, and when airlines were deregulated in 1978, the loss of this regulatory benefit bankrupted many of them. What happened to Eastern Airlines? Braniff? Pan American? TWA? They were victims of deregulation.

To prevent a similar outcome, regulated firms have the incentive to support the politicians and legislators who have the power to continue, or to terminate, existing regulations. Regulation provides a benefit to regulated firms, as Stigler explained, but it also creates a dependence of those firms on the continuation of regulation.

Thus, politicians are in a position to extract payment from those regulated firms. By providing campaign contributions and other political support, they can hope to preserve a favorable regulatory environment.

The ultimate result is that regulated firms are “captured” by legislators and regulators. In exchange for regulatory protections, those firms become dependent on continued regulation and must continue to pay up to maintain their regulatory protection.

Disney provides an example of what happens when firms do not support those who have the power to continue their regulatory protections. In 1967 Florida’s state government allowed the company to essentially create its own government to run Walt Disney World. In 2022 the company opposed legislation supported by the Florida legislature and Governor DeSantis, and in response the legislature repealed their privilege to self-govern.

Firms that benefit from regulatory protections must continue to support the legislatures that can reverse those protections, or they will lose them.

Stigler concluded that regulatory agencies are captured by the firms they regulate, but ultimately, it is the regulated firms that become captured by the legislators and regulators who have the power to terminate their regulatory protections.

Dr. Randy Holcombe is a DeVoe Moore Professor of Economics at FSU.

Cultural Relativity and Acceptance of Embryonic Stem Cell Research

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

INTRODUCTION

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

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

I. Global Cultural Perspective of Embryonic Stem Cells

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

a. US and Rights-Based Cultures

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

b. Ubuntu and Collective Cultures

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

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

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

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

c. Asia

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

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

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

d. Middle East

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

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

e. Europe

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

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

II. Religious Perspectives on ESC

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

The Qur'an states:

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

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

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

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

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

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

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

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

III. A Flexible Ethical Approach

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

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

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

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

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

IV. Concerns

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

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

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

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

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

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

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

[1] Poliwoda, S., Noor, N., Downs, E., Schaaf, A., Cantwell, A., Ganti, L., Kaye, A. D., Mosel, L. I., Carroll, C. B., Viswanath, O., & Urits, I. (2022). Stem cells: a comprehensive review of origins and emerging clinical roles in medical practice. Orthopedic reviews , 14 (3), 37498. https://doi.org/10.52965/001c.37498

[2] Poliwoda, S., Noor, N., Downs, E., Schaaf, A., Cantwell, A., Ganti, L., Kaye, A. D., Mosel, L. I., Carroll, C. B., Viswanath, O., & Urits, I. (2022). Stem cells: a comprehensive review of origins and emerging clinical roles in medical practice. Orthopedic reviews , 14 (3), 37498. https://doi.org/10.52965/001c.37498

[3] International Society for Stem Cell Research. (2023). Laboratory-based human embryonic stem cell research, embryo research, and related research activities . International Society for Stem Cell Research. https://www.isscr.org/guidelines/blog-post-title-one-ed2td-6fcdk ; Kimmelman, J., Hyun, I., Benvenisty, N. et al. Policy: Global standards for stem-cell research. Nature 533 , 311–313 (2016). https://doi.org/10.1038/533311a

[4] International Society for Stem Cell Research. (2023). Laboratory-based human embryonic stem cell research, embryo research, and related research activities . International Society for Stem Cell Research. https://www.isscr.org/guidelines/blog-post-title-one-ed2td-6fcdk

[5] Concerning the moral philosophies of stem cell research, our paper does not posit a personal moral stance nor delve into the “when” of human life begins. To read further about the philosophical debate, consider the following sources:

Sandel M. J. (2004). Embryo ethics--the moral logic of stem-cell research. The New England journal of medicine , 351 (3), 207–209. https://doi.org/10.1056/NEJMp048145 ; George, R. P., & Lee, P. (2020, September 26). Acorns and Embryos . The New Atlantis. https://www.thenewatlantis.com/publications/acorns-and-embryos ; Sagan, A., & Singer, P. (2007). The moral status of stem cells. Metaphilosophy , 38 (2/3), 264–284. http://www.jstor.org/stable/24439776 ; McHugh P. R. (2004). Zygote and "clonote"--the ethical use of embryonic stem cells. The New England journal of medicine , 351 (3), 209–211. https://doi.org/10.1056/NEJMp048147 ; Kurjak, A., & Tripalo, A. (2004). The facts and doubts about beginning of the human life and personality. Bosnian journal of basic medical sciences , 4 (1), 5–14. https://doi.org/10.17305/bjbms.2004.3453

[6] Vazin, T., & Freed, W. J. (2010). Human embryonic stem cells: derivation, culture, and differentiation: a review. Restorative neurology and neuroscience , 28 (4), 589–603. https://doi.org/10.3233/RNN-2010-0543

[7] Socially, at its core, the Western approach to ethics is widely principle-based, autonomy being one of the key factors to ensure a fundamental respect for persons within research. For information regarding autonomy in research, see: Department of Health, Education, and Welfare, & National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research (1978). The Belmont Report. Ethical principles and guidelines for the protection of human subjects of research.; For a more in-depth review of autonomy within the US, see: Beauchamp, T. L., & Childress, J. F. (1994). Principles of Biomedical Ethics . Oxford University Press.

[8] Sherley v. Sebelius , 644 F.3d 388 (D.C. Cir. 2011), citing 45 C.F.R. 46.204(b) and [42 U.S.C. § 289g(b)]. https://www.cadc.uscourts.gov/internet/opinions.nsf/6c690438a9b43dd685257a64004ebf99/$file/11-5241-1391178.pdf

[9] Stem Cell Research Enhancement Act of 2005, H. R. 810, 109 th Cong. (2001). https://www.govtrack.us/congress/bills/109/hr810/text ; Bush, G. W. (2006, July 19). Message to the House of Representatives . National Archives and Records Administration. https://georgewbush-whitehouse.archives.gov/news/releases/2006/07/20060719-5.html

[10] National Archives and Records Administration. (2009, March 9). Executive order 13505 -- removing barriers to responsible scientific research involving human stem cells . National Archives and Records Administration. https://obamawhitehouse.archives.gov/the-press-office/removing-barriers-responsible-scientific-research-involving-human-stem-cells

[11] Hurlbut, W. B. (2006). Science, Religion, and the Politics of Stem Cells. Social Research , 73 (3), 819–834. http://www.jstor.org/stable/40971854

[12] Akpa-Inyang, Francis & Chima, Sylvester. (2021). South African traditional values and beliefs regarding informed consent and limitations of the principle of respect for autonomy in African communities: a cross-cultural qualitative study. BMC Medical Ethics . 22. 10.1186/s12910-021-00678-4.

[13] Source for further reading: Tangwa G. B. (2007). Moral status of embryonic stem cells: perspective of an African villager. Bioethics , 21(8), 449–457. https://doi.org/10.1111/j.1467-8519.2007.00582.x , see also Mnisi, F. M. (2020). An African analysis based on ethics of Ubuntu - are human embryonic stem cell patents morally justifiable? African Insight , 49 (4).

[14] Jecker, N. S., & Atuire, C. (2021). Bioethics in Africa: A contextually enlightened analysis of three cases. Developing World Bioethics , 22 (2), 112–122. https://doi.org/10.1111/dewb.12324

[15] Jecker, N. S., & Atuire, C. (2021). Bioethics in Africa: A contextually enlightened analysis of three cases. Developing World Bioethics, 22(2), 112–122. https://doi.org/10.1111/dewb.12324

[16] Jackson, C.S., Pepper, M.S. Opportunities and barriers to establishing a cell therapy programme in South Africa. Stem Cell Res Ther 4 , 54 (2013). https://doi.org/10.1186/scrt204 ; Pew Research Center. (2014, May 1). Public health a major priority in African nations . Pew Research Center’s Global Attitudes Project. https://www.pewresearch.org/global/2014/05/01/public-health-a-major-priority-in-african-nations/

[17] Department of Health Republic of South Africa. (2021). Health Research Priorities (revised) for South Africa 2021-2024 . National Health Research Strategy. https://www.health.gov.za/wp-content/uploads/2022/05/National-Health-Research-Priorities-2021-2024.pdf

[18] Oosthuizen, H. (2013). Legal and Ethical Issues in Stem Cell Research in South Africa. In: Beran, R. (eds) Legal and Forensic Medicine. Springer, Berlin, Heidelberg. https://doi.org/10.1007/978-3-642-32338-6_80 , see also: Gaobotse G (2018) Stem Cell Research in Africa: Legislation and Challenges. J Regen Med 7:1. doi: 10.4172/2325-9620.1000142

[19] United States Bureau of Citizenship and Immigration Services. (1998). Tunisia: Information on the status of Christian conversions in Tunisia . UNHCR Web Archive. https://webarchive.archive.unhcr.org/20230522142618/https://www.refworld.org/docid/3df0be9a2.html

[20] Gaobotse, G. (2018) Stem Cell Research in Africa: Legislation and Challenges. J Regen Med 7:1. doi: 10.4172/2325-9620.1000142

[21] Kooli, C. Review of assisted reproduction techniques, laws, and regulations in Muslim countries. Middle East Fertil Soc J 24 , 8 (2020). https://doi.org/10.1186/s43043-019-0011-0 ; Gaobotse, G. (2018) Stem Cell Research in Africa: Legislation and Challenges. J Regen Med 7:1. doi: 10.4172/2325-9620.1000142

[22] Pang M. C. (1999). Protective truthfulness: the Chinese way of safeguarding patients in informed treatment decisions. Journal of medical ethics , 25(3), 247–253. https://doi.org/10.1136/jme.25.3.247

[23] Wang, L., Wang, F., & Zhang, W. (2021). Bioethics in China’s biosecurity law: Forms, effects, and unsettled issues. Journal of law and the biosciences , 8(1). https://doi.org/10.1093/jlb/lsab019 https://academic.oup.com/jlb/article/8/1/lsab019/6299199

[24] Wang, Y., Xue, Y., & Guo, H. D. (2022). Intervention effects of traditional Chinese medicine on stem cell therapy of myocardial infarction. Frontiers in pharmacology , 13 , 1013740. https://doi.org/10.3389/fphar.2022.1013740

[25] Li, X.-T., & Zhao, J. (2012). Chapter 4: An Approach to the Nature of Qi in TCM- Qi and Bioenergy. In Recent Advances in Theories and Practice of Chinese Medicine (p. 79). InTech.

[26] Luo, D., Xu, Z., Wang, Z., & Ran, W. (2021). China's Stem Cell Research and Knowledge Levels of Medical Practitioners and Students. Stem cells international , 2021 , 6667743. https://doi.org/10.1155/2021/6667743

[27] Luo, D., Xu, Z., Wang, Z., & Ran, W. (2021). China's Stem Cell Research and Knowledge Levels of Medical Practitioners and Students. Stem cells international , 2021 , 6667743. https://doi.org/10.1155/2021/6667743

[28] Zhang, J. Y. (2017). Lost in translation? accountability and governance of Clinical Stem Cell Research in China. Regenerative Medicine , 12 (6), 647–656. https://doi.org/10.2217/rme-2017-0035

[29] Wang, L., Wang, F., & Zhang, W. (2021). Bioethics in China’s biosecurity law: Forms, effects, and unsettled issues. Journal of law and the biosciences , 8(1). https://doi.org/10.1093/jlb/lsab019 https://academic.oup.com/jlb/article/8/1/lsab019/6299199

[30] Chen, H., Wei, T., Wang, H. et al. Association of China’s two-child policy with changes in number of births and birth defects rate, 2008–2017. BMC Public Health 22 , 434 (2022). https://doi.org/10.1186/s12889-022-12839-0

[31] Azuma, K. Regulatory Landscape of Regenerative Medicine in Japan. Curr Stem Cell Rep 1 , 118–128 (2015). https://doi.org/10.1007/s40778-015-0012-6

[32] Harris, R. (2005, May 19). Researchers Report Advance in Stem Cell Production . NPR. https://www.npr.org/2005/05/19/4658967/researchers-report-advance-in-stem-cell-production

[33] Park, S. (2012). South Korea steps up stem-cell work. Nature . https://doi.org/10.1038/nature.2012.10565

[34] Resnik, D. B., Shamoo, A. E., & Krimsky, S. (2006). Fraudulent human embryonic stem cell research in South Korea: lessons learned. Accountability in research , 13 (1), 101–109. https://doi.org/10.1080/08989620600634193 .

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

[71] Klitzman, R., & Sauer, M. V. (2009). Payment of egg donors in stem cell research in the USA. Reproductive biomedicine online , 18 (5), 603–608. https://doi.org/10.1016/s1472-6483(10)60002-8

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

[73] Veatch, Robert M. Hippocratic, Religious, and Secular Medical Ethics: The Points of Conflict . Georgetown University Press, 2012.

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

[75] Pirzada, N. (2022). The Expansion of Turkey’s Medical Tourism Industry. Voices in Bioethics , 8 . https://doi.org/10.52214/vib.v8i.9894

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

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

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

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

[80] Benjamin, R. (2013). People’s science bodies and rights on the Stem Cell Frontier . Stanford University Press.

Mifrah Hayath

SM Candidate Harvard Medical School, MS Biotechnology Johns Hopkins University

Olivia Bowers

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

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1 Science and scientific research

What is research? Depending on who you ask, you will likely get very different answers to this seemingly innocuous question. Some people will say that they routinely research different online websites to find the best place to buy the goods or services they want. Television news channels supposedly conduct research in the form of viewer polls on topics of public interest such as forthcoming elections or government-funded projects. Undergraduate students research on the Internet to find the information they need to complete assigned projects or term papers. Postgraduate students working on research projects for a professor may see research as collecting or analysing data related to their project. Businesses and consultants research different potential solutions to remedy organisational problems such as a supply chain bottleneck or to identify customer purchase patterns. However, none of the above can be considered ‘scientific research’ unless: it contributes to a body of science, and it follows the scientific method. This chapter will examine what these terms mean.

What is science? To some, science refers to difficult high school or university-level courses such as physics, chemistry, and biology meant only for the brightest students. To others, science is a craft practiced by scientists in white coats using specialised equipment in their laboratories. Etymologically, the word ‘science’ is derived from the Latin word scientia meaning knowledge. Science refers to a systematic and organised body of knowledge in any area of inquiry that is acquired using ‘the scientific method’ (the scientific method is described further below). Science can be grouped into two broad categories: natural science and social science. Natural science is the science of naturally occurring objects or phenomena, such as light, objects, matter, earth, celestial bodies, or the human body. Natural sciences can be further classified into physical sciences, earth sciences, life sciences, and others. Physical sciences consist of disciplines such as physics (the science of physical objects), chemistry (the science of matter), and astronomy (the science of celestial objects). Earth sciences consist of disciplines such as geology (the science of the earth). Life sciences include disciplines such as biology (the science of human bodies) and botany (the science of plants). In contrast, social science is the science of people or collections of people, such as groups, firms, societies, or economies, and their individual or collective behaviours. Social sciences can be classified into disciplines such as psychology (the science of human behaviours), sociology (the science of social groups), and economics (the science of firms, markets, and economies).

The natural sciences are different from the social sciences in several respects. The natural sciences are very precise, accurate, deterministic, and independent of the person making the scientific observations. For instance, a scientific experiment in physics, such as measuring the speed of sound through a certain media or the refractive index of water, should always yield the exact same results, irrespective of the time or place of the experiment, or the person conducting the experiment. If two students conducting the same physics experiment obtain two different values of these physical properties, then it generally means that one or both of those students must be in error. However, the same cannot be said for the social sciences, which tend to be less accurate, deterministic, or unambiguous. For instance, if you measure a person’s happiness using a hypothetical instrument, you may find that the same person is more happy or less happy (or sad) on different days and sometimes, at different times on the same day. One’s happiness may vary depending on the news that person received that day or on the events that transpired earlier during that day. Furthermore, there is not a single instrument or metric that can accurately measure a person’s happiness. Hence, one instrument may calibrate a person as being ‘more happy’ while a second instrument may find that the same person is ‘less happy’ at the same instant in time. In other words, there is a high degree of measurement error in the social sciences and there is considerable uncertainty and little agreement on social science policy decisions. For instance, you will not find many disagreements among natural scientists on the speed of light or the speed of the earth around the sun, but you will find numerous disagreements among social scientists on how to solve a social problem such as reduce global terrorism or rescue an economy from a recession. Any student studying the social sciences must be cognisant of and comfortable with handling higher levels of ambiguity, uncertainty, and error that come with such sciences, which merely reflects the high variability of social objects.

Sciences can also be classified based on their purpose. Basic sciences , also called pure sciences, are those that explain the most basic objects and forces, relationships between them, and laws governing them. Examples include physics, mathematics, and biology. Applied sciences , also called practical sciences, are sciences that apply scientific knowledge from basic sciences in a physical environment. For instance, engineering is an applied science that applies the laws of physics and chemistry for practical applications such as building stronger bridges or fuel efficient combustion engines, while medicine is an applied science that applies the laws of biology to solving human ailments. Both basic and applied sciences are required for human development. However, applied science cannot stand on its own right, but instead relies on basic sciences for its progress. Of course, industry and private enterprises tend to focus more on applied sciences given their practical value, while universities study both basic and applied sciences.

Scientific knowledge

The purpose of science is to create scientific knowledge. Scientific knowledge refers to a generalised body of laws and theories for explaining a phenomenon or behaviour of interest that is acquired using the scientific method. Laws are observed patterns of phenomena or behaviours, while theories are systematic explanations of the underlying phenomenon or behaviour. For instance, in physics, the Newtonian Laws of Motion describe what happens when an object is in a state of rest or motion (Newton’s First Law), what force is needed to move a stationary object or stop a moving object (Newton’s Second Law), and what happens when two objects collide (Newton’s Third Law). Collectively, the three laws constitute the basis of classical mechanics—a theory of moving objects. Likewise, the theory of optics explains the properties of light and how it behaves in different media, electromagnetic theory explains the properties of electricity and how to generate it, quantum mechanics explains the properties of subatomic particles, and thermodynamics explains the properties of energy and mechanical work. An introductory university level textbook in physics will likely contain separate chapters devoted to each of these theories. Similar theories are also available in social sciences. For instance, cognitive dissonance theory in psychology explains how people react when their observations of an event are different from what they expected of that event, general deterrence theory explains why some people engage in improper or criminal behaviours, such as to illegally download music or commit software piracy, and the theory of planned behaviour explains how people make conscious reasoned choices in their everyday lives.

The goal of scientific research is to discover laws and postulate theories that can explain natural or social phenomena, or in other words, build scientific knowledge. It is important to understand that this knowledge may be imperfect or even quite far from the truth. Sometimes, there may not be a single universal truth, but rather an equilibrium of ‘multiple truths.’ We must understand that the theories upon which scientific knowledge is based are only explanations of a particular phenomenon as suggested by a scientist. As such, there may be good or poor explanations depending on the extent to which those explanations fit well with reality, and consequently, there may be good or poor theories. The progress of science is marked by our progression over time from poorer theories to better theories, through better observations using more accurate instruments and more informed logical reasoning.

We arrive at scientific laws or theories through a process of logic and evidence. Logic (theory) and evidence (observations) are the two, and only two, pillars upon which scientific knowledge is based. In science, theories and observations are inter-related and cannot exist without each other. Theories provide meaning and significance to what we observe, and observations help validate or refine existing theory or construct new theory. Any other means of knowledge acquisition, such as faith or authority cannot be considered science.

Scientific research

Given that theories and observations are the two pillars of science, scientific research operates at two levels: a theoretical level and an empirical level. The theoretical level is concerned with developing abstract concepts about a natural or social phenomenon and relationships between those concepts (i.e., build ‘theories’), while the empirical level is concerned with testing the theoretical concepts and relationships to see how well they reflect our observations of reality, with the goal of ultimately building better theories. Over time, a theory becomes more and more refined (i.e., fits the observed reality better), and the science gains maturity. Scientific research involves continually moving back and forth between theory and observations. Both theory and observations are essential components of scientific research. For instance, relying solely on observations for making inferences and ignoring theory is not considered valid scientific research.

Depending on a researcher’s training and interest, scientific inquiry may take one of two possible forms: inductive or deductive. In inductive research , the goal of a researcher is to infer theoretical concepts and patterns from observed data. In deductive research , the goal of the researcher is to test concepts and patterns known from theory using new empirical data. Hence, inductive research is also called theory-building research, and deductive research is theory-testing research. Note here that the goal of theory testing is not just to test a theory, but possibly to refine, improve, and extend it. Figure 1.1 depicts the complementary nature of inductive and deductive research. Note that inductive and deductive research are two halves of the research cycle that constantly iterates between theory and observations. You cannot do inductive or deductive research if you are not familiar with both the theory and data components of research. Naturally, a complete researcher is one who can traverse the entire research cycle and can handle both inductive and deductive research.

It is important to understand that theory-building (inductive research) and theory-testing (deductive research) are both critical for the advancement of science. Elegant theories are not valuable if they do not match with reality. Likewise, mountains of data are also useless until they can contribute to the construction of meaningful theories. Rather than viewing these two processes in a circular relationship, as shown in Figure 1.1, perhaps they can be better viewed as a helix, with each iteration between theory and data contributing to better explanations of the phenomenon of interest and better theories. Though both inductive and deductive research are important for the advancement of science, it appears that inductive (theory-building) research is more valuable when there are few prior theories or explanations, while deductive (theory-testing) research is more productive when there are many competing theories of the same phenomenon and researchers are interested in knowing which theory works best and under what circumstances.

Theory building and theory testing are particularly difficult in the social sciences, given the imprecise nature of the theoretical concepts, inadequate tools to measure them, and the presence of many unaccounted for factors that can also influence the phenomenon of interest. It is also very difficult to refute theories that do not work. For instance, Karl Marx’s theory of communism as an effective means of economic production withstood for decades, before it was finally discredited as being inferior to capitalism in promoting economic growth and social welfare. Erstwhile communist economies like the Soviet Union and China eventually moved toward more capitalistic economies characterised by profit-maximising private enterprises. However, the recent collapse of the mortgage and financial industries in the United States demonstrates that capitalism also has its flaws and is not as effective in fostering economic growth and social welfare as previously presumed. Unlike theories in the natural sciences, social science theories are rarely perfect, which provides numerous opportunities for researchers to improve those theories or build their own alternative theories.

Conducting scientific research, therefore, requires two sets of skills—theoretical and methodological—needed to operate in the theoretical and empirical levels respectively. Methodological skills (‘know-how’) are relatively standard, invariant across disciplines, and easily acquired through doctoral programs. However, theoretical skills (‘know-what’) are considerably harder to master, require years of observation and reflection, and are tacit skills that cannot be ‘taught’ but rather learned though experience. All of the greatest scientists in the history of mankind, such as Galileo, Newton, Einstein, Niels Bohr, Adam Smith, Charles Darwin, and Herbert Simon, were master theoreticians, and they are remembered for the theories they postulated that transformed the course of science. Methodological skills are needed to be an ordinary researcher, but theoretical skills are needed to be an extraordinary researcher!

Scientific method

In the preceding sections, we described science as knowledge acquired through a scientific method. So what exactly is the ‘scientific method’? Scientific method refers to a standardised set of techniques for building scientific knowledge, such as how to make valid observations, how to interpret results, and how to generalise those results. The scientific method allows researchers to independently and impartially test pre-existing theories and prior findings, and subject them to open debate, modifications, or enhancements. The scientific method must satisfy four key characteristics:

Replicability : Others should be able to independently replicate or repeat a scientific study and obtain similar, if not identical, results. Precision : Theoretical concepts, which are often hard to measure, must be defined with such precision that others can use those definitions to measure those concepts and test that theory. Falsifiability : A theory must be stated in such a way that it can be disproven. Theories that cannot be tested or falsified are not scientific theories and any such knowledge is not scientific knowledge. A theory that is specified in imprecise terms or whose concepts are not accurately measureable cannot be tested, and is therefore not scientific. Sigmund Freud’s ideas on psychoanalysis fall into this category and are therefore not considered a ‘theory’, even though psychoanalysis may have practical utility in treating certain types of ailments. Parsimony: When there are multiple different explanations of a phenomenon, scientists must always accept the simplest or logically most economical explanation. This concept is called parsimony or ‘Occam’s razor’. Parsimony prevents scientists from pursuing overly complex or outlandish theories with an endless number of concepts and relationships that may explain a little bit of everything but nothing in particular. Any branch of inquiry that does not allow the scientific method to test its basic laws or theories cannot be called ‘science’. For instance, theology (the study of religion) is not science because theological ideas—such as the presence of God—cannot be tested by independent observers using a logical, confirmable, repeatable, and scrutinisable. Similarly, arts, music, literature, humanities, and law are also not considered science, even though they are creative and worthwhile endeavours in their own right.

The scientific method, as applied to social sciences, includes a variety of research approaches, tools, and techniques for collecting and analysing qualitative or quantitative data. These methods include laboratory experiments, field surveys, case research, ethnographic research, action research, and so forth. Much of this book is devoted to learning about these different methods. However, recognise that the scientific method operates primarily at the empirical level of research, i.e., how to make observations and analyse these observations. Very little of this method is directly pertinent to the theoretical level, which is really the more challenging part of scientific research.

Types of scientific research

Depending on the purpose of research, scientific research projects can be grouped into three types: exploratory, descriptive, and explanatory. Exploratory research is often conducted in new areas of inquiry, where the goals of the research are: to scope out the magnitude or extent of a particular phenomenon, problem, or behaviour, to generate some initial ideas (or ‘hunches’) about that phenomenon, or to test the feasibility of undertaking a more extensive study regarding that phenomenon. For instance, if the citizens of a country are generally dissatisfied with governmental policies during an economic recession, exploratory research may be directed at measuring the extent of citizens’ dissatisfaction, understanding how such dissatisfaction is manifested, such as the frequency of public protests, and the presumed causes of such dissatisfaction, such as ineffective government policies in dealing with inflation, interest rates, unemployment, or higher taxes. Such research may include examination of publicly reported figures, such as estimates of economic indicators, such as gross domestic product (GDP), unemployment, and consumer price index (CPI), as archived by third-party sources, obtained through interviews of experts, eminent economists, or key government officials, and/or derived from studying historical examples of dealing with similar problems. This research may not lead to a very accurate understanding of the target problem, but may be worthwhile in scoping out the nature and extent of the problem and serve as a useful precursor to more in-depth research.

Descriptive research is directed at making careful observations and detailed documentation of a phenomenon of interest. These observations must be based on the scientific method (i.e., must be replicable, precise, etc.), and therefore, are more reliable than casual observations by untrained people. Examples of descriptive research are tabulation of demographic statistics by the United States Census Bureau or employment statistics by the Bureau of Labor, who use the same or similar instruments for estimating employment by sector or population growth by ethnicity over multiple employment surveys or censuses. If any changes are made to the measuring instruments, estimates are provided with and without the changed instrumentation to allow the readers to make a fair before-and-after comparison regarding population or employment trends. Other descriptive research may include chronicling ethnographic reports of gang activities among adolescent youth in urban populations, the persistence or evolution of religious, cultural, or ethnic practices in select communities, and the role of technologies such as Twitter and instant messaging in the spread of democracy movements in Middle Eastern countries.

Explanatory research seeks explanations of observed phenomena, problems, or behaviours. While descriptive research examines the what, where, and when of a phenomenon, explanatory research seeks answers to questions of why and how. It attempts to ‘connect the dots’ in research, by identifying causal factors and outcomes of the target phenomenon. Examples include understanding the reasons behind adolescent crime or gang violence, with the goal of prescribing strategies to overcome such societal ailments. Most academic or doctoral research belongs to the explanation category, though some amount of exploratory and/or descriptive research may also be needed during initial phases of academic research. Seeking explanations for observed events requires strong theoretical and interpretation skills, along with intuition, insights, and personal experience. Those who can do it well are also the most prized scientists in their disciplines.

History of scientific thought

Before closing this chapter, it may be interesting to go back in history and see how science has evolved over time and identify the key scientific minds in this evolution. Although instances of scientific progress have been documented over many centuries, the terms ‘science’, ’scientists’, and the ‘scientific method’ were coined only in the nineteenth century. Prior to this time, science was viewed as a part of philosophy, and coexisted with other branches of philosophy such as logic, metaphysics, ethics, and aesthetics, although the boundaries between some of these branches were blurred.

In the earliest days of human inquiry, knowledge was usually recognised in terms of theological precepts based on faith. This was challenged by Greek philosophers such as Plato, Aristotle, and Socrates during the third century BC, who suggested that the fundamental nature of being and the world can be understood more accurately through a process of systematic logical reasoning called rationalism . In particular, Aristotle’s classic work Metaphysics (literally meaning ‘beyond physical [existence]’) separated theology (the study of Gods) from ontology (the study of being and existence) and universal science (the study of first principles, upon which logic is based). Rationalism (not to be confused with ‘rationality’) views reason as the source of knowledge or justification, and suggests that the criterion of truth is not sensory but rather intellectual and deductive, often derived from a set of first principles or axioms (such as Aristotle’s ‘law of non-contradiction’).

The next major shift in scientific thought occurred during the sixteenth century, when British philosopher Francis Bacon (1561–1626) suggested that knowledge can only be derived from observations in the real world. Based on this premise, Bacon emphasised knowledge acquisition as an empirical activity (rather than as a reasoning activity), and developed empiricism as an influential branch of philosophy. Bacon’s works led to the popularisation of inductive methods of scientific inquiry, the development of the ‘scientific method’ (originally called the ‘Baconian method’), consisting of systematic observation, measurement, and experimentation, and may have even sowed the seeds of atheism or the rejection of theological precepts as ‘unobservable’.

Empiricism continued to clash with rationalism throughout the Middle Ages, as philosophers sought the most effective way of gaining valid knowledge. French philosopher Rene Descartes sided with the rationalists, while British philosophers John Locke and David Hume sided with the empiricists. Other scientists, such as Galileo Galilei and Sir Isaac Newton, attempted to fuse the two ideas into natural philosophy (the philosophy of nature), to focus specifically on understanding nature and the physical universe, which is considered to be the precursor of the natural sciences. Galileo (1564–1642) was perhaps the first to state that the laws of nature are mathematical, and contributed to the field of astronomy through an innovative combination of experimentation and mathematics.

In the eighteenth century, German philosopher Immanuel Kant sought to resolve the dispute between empiricism and rationalism in his book Critique of pure r eason by arguing that experiences are purely subjective and processing them using pure reason without first delving into the subjective nature of experiences will lead to theoretical illusions. Kant’s ideas led to the development of German idealism , which inspired later development of interpretive techniques such as phenomenology, hermeneutics, and critical social theory.

At about the same time, French philosopher Auguste Comte (1798–1857), founder of the discipline of sociology, attempted to blend rationalism and empiricism in a new doctrine called positivism . He suggested that theory and observations have circular dependence on each other. While theories may be created via reasoning, they are only authentic if they can be verified through observations. The emphasis on verification started the separation of modern science from philosophy and metaphysics and further development of the ‘scientific method’ as the primary means of validating scientific claims. Comte’s ideas were expanded by Emile Durkheim in his development of sociological positivism (positivism as a foundation for social research) and Ludwig Wittgenstein in logical positivism.

In the early twentieth century, strong accounts of positivism were rejected by interpretive sociologists (antipositivists) belonging to the German idealism school of thought. Positivism was typically equated with quantitative research methods such as experiments and surveys and without any explicit philosophical commitments, while antipositivism employed qualitative methods such as unstructured interviews and participant observation. Even practitioners of positivism, such as American sociologist Paul Lazarsfield who pioneered large-scale survey research and statistical techniques for analysing survey data, acknowledged potential problems of observer bias and structural limitations in positivist inquiry. In response, antipositivists emphasised that social actions must be studied though interpretive means based upon understanding the meaning and purpose that individuals attach to their personal actions, which inspired Georg Simmel’s work on symbolic interactionism, Max Weber’s work on ideal types, and Edmund Husserl’s work on phenomenology.

In the mid-to-late twentieth century, both positivist and antipositivist schools of thought were subjected to criticisms and modifications. British philosopher Sir Karl Popper suggested that human knowledge is based not on unchallengeable, rock solid foundations, but rather on a set of tentative conjectures that can never be proven conclusively, but only disproven. Empirical evidence is the basis for disproving these conjectures or ‘theories’. This metatheoretical stance, called postpositivism (or postempiricism), amends positivism by suggesting that it is impossible to verify the truth although it is possible to reject false beliefs, though it retains the positivist notion of an objective truth and its emphasis on the scientific method.

Likewise, antipositivists have also been criticised for trying only to understand society but not critiquing and changing society for the better. The roots of this thought lie in Das k apital , written by German philosophers Karl Marx and Friedrich Engels, which critiqued capitalistic societies as being socially inequitable and inefficient, and recommended resolving this inequity through class conflict and proletarian revolutions. Marxism inspired social revolutions in countries such as Germany, Italy, Russia, and China, but generally failed to accomplish the social equality that it aspired. Critical research (also called critical theory) propounded by Max Horkheimer and Jürgen Habermas in the twentieth century, retains similar ideas of critiquing and resolving social inequality, and adds that people can and should consciously act to change their social and economic circumstances, although their ability to do so is constrained by various forms of social, cultural and political domination. Critical research attempts to uncover and critique the restrictive and alienating conditions of the status quo by analysing the oppositions, conflicts and contradictions in contemporary society, and seeks to eliminate the causes of alienation and domination (i.e., emancipate the oppressed class). More on these different research philosophies and approaches will be covered in future chapters of this book.

Social Science Research: Principles, Methods and Practices (Revised edition) Copyright © 2019 by Anol Bhattacherjee is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

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Carl Zimmer

The Complex Social Lives of Viruses

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The original version of this story appeared in Quanta Magazine .

Ever since viruses came to light in the late 1800s, scientists have set them apart from the rest of life. Viruses were far smaller than cells, and inside their protein shells they carried little more than genes. They could not grow, copy their own genes, or do much of anything. Researchers assumed that each virus was a solitary particle drifting alone through the world, able to replicate only if it happened to bump into the right cell that could take it in.

This simplicity was what attracted many scientists to viruses in the first place, said Marco Vignuzzi , a virologist at the Singapore Agency for Science, Research and Technology Infectious Diseases Labs. “We were trying to be reductionist.”

That reductionism paid off. Studies on viruses were crucial to the birth of modern biology. Lacking the complexity of cells, they revealed fundamental rules about how genes work. But viral reductionism came at a cost, Vignuzzi said: By assuming viruses are simple, you blind yourself to the possibility that they might be complicated in ways you don’t know about yet.

For example, if you think of viruses as isolated packages of genes, it would be absurd to imagine them having a social life. But Vignuzzi and a new school of like-minded virologists don’t think it’s absurd at all. In recent decades, they have discovered some strange features of viruses that don’t make sense if viruses are lonely particles. They instead are uncovering a marvelously complex social world of viruses. These sociovirologists, as the researchers sometimes call themselves, believe that viruses make sense only as members of a community.

Granted, the social lives of viruses aren’t quite like those of other species. Viruses don’t post selfies to social media, volunteer at food banks, or commit identity theft like humans do. They don’t fight with allies to dominate a troop like baboons; they don’t collect nectar to feed their queen like honeybees; they don’t even congeal into slimy mats for their common defense like some bacteria do. Nevertheless, sociovirologists believe that viruses do cheat, cooperate, and interact in other ways with their fellow viruses.

The field of sociovirology is still young and small. The first conference dedicated to the social life of viruses took place in 2022, and the second will take place this June. A grand total of 50 people will be in attendance. Still, sociovirologists argue that the implications of their new field could be profound. Diseases like influenza don’t make sense if we think of viruses in isolation from one another. And if we can decipher the social life of viruses, we might be able to exploit it to fight back against the diseases some of them create.

Under Our Noses

Some of the most important evidence for the social life of viruses has been sitting in plain view for nearly a century. After the discovery of the influenza virus in the early 1930s, scientists figured out how to grow stocks of the virus by injecting it into a chicken egg and letting it multiply inside. The researchers could then use the new viruses to infect lab animals for research or inject them into new eggs to keep growing new viruses.

In the late 1940s, the Danish virologist Preben von Magnus was growing viruses when he noticed something odd. Many of the viruses produced in one egg could not replicate when he injected them into another. By the third cycle of transmission, only one in 10,000 viruses could still replicate. But in the cycles that followed, the defective viruses became rarer and the replicating ones bounced back. Von Magnus suspected that the viruses that couldn’t replicate had not finished developing, and so he called them “incomplete.”

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In later years, virologists named the boom and bust of incomplete viruses “the von Magnus effect.” To them, it was important—but only as a problem to solve. Since no one had seen incomplete viruses outside of a lab culture, virologists figured they were artificial and came up with ways to get rid of them.

“You have to eliminate these from your lab stocks because you don’t want them to interfere with your experiments,” said Sam Díaz-Muñoz , a virologist at the University of California, Davis, recalling the common view within the field. “Because this is not ‘natural.’”

Researchers in the 1960s observed that incomplete viral genomes were shorter than those of typical viruses. That finding strengthened the view of many virologists that incomplete viruses were defective oddities, lacking the genes needed to replicate. But in the 2010s, inexpensive, powerful gene-sequencing technology made it clear that incomplete viruses were actually abundant inside our own bodies.

In one study, published in 2013, researchers at the University of Pittsburgh swabbed the noses and mouths of people sick with the flu. They pulled out the genetic material from influenza viruses in the samples and discovered that some of the viruses were missing genes. These stunted viruses came into existence when infected cells miscopied the genome of a functional virus, accidentally skipping stretches of genes.

Other studies confirmed this discovery. They also revealed other ways that incomplete viruses can form. Some kinds of viruses carry garbled genomes, for example. In these cases, an infected cell started copying a viral genome only to reverse partway through and then copy the genome backward to its starting point. Other incomplete viruses form when mutations disrupt the sequence of a gene so that it can no longer make a functional protein.

These studies demolished the old assumption that von Magnus’ incomplete viruses were only an artifact of lab experiments. “They’re a natural part of virus biology,” Díaz-Muñoz said.

Discovering incomplete viruses in our own bodies has inspired a new surge of scientific interest in them. Influenza is not unique: Many viruses come in incomplete forms. They make up the majority of viruses found in people sick with infections such as respiratory syncytial virus (RSV) and measles.

Scientists have also come up with new names for von Magnus’ incomplete viruses. Some call them “defective interfering particles.” Others call them “nonstandard viral genomes.”

Díaz-Muñoz and colleagues have another name for them: cheaters.

A Viral Grift

Incomplete viruses can typically get into cells, but once inside, they cannot replicate on their own. They lack some of the genes essential for hijacking their host’s protein-making machinery, such as the one for a gene-copying enzyme known as a polymerase. In order to replicate, they have to cheat. They have to take advantage of their fellow virus.

Fortunately for the cheaters, cells are often infected by more than one viral genome. If a functional virus shows up in a cheater’s cell, it will make polymerases. The cheater can then borrow the other virus’s polymerases to copy its own genes.

In such a cell, the two viruses race to make the most copies of their own genomes. The cheater has a profound advantage: It has less genetic material to replicate. The polymerase therefore copies an incomplete genome more quickly than a complete one.

Their edge grows even larger over the course of an infection, as incomplete viruses and functional ones move from cell to cell. “If you’re half as long, that doesn’t mean you get a two-times advantage,” said Asher Leeks , who studies social evolution in viruses as a postdoc at Yale University. “That can mean you get a thousand-times advantage or more.”

Other cheater viruses have working polymerases, but they lack the genes for making protein shells to enclose their genetic material. They replicate by lying in wait for a functional virus to show up; then they sneak their genome into the shells it produces. Some studies suggest that cheater genomes may be able to get inside shells faster than functional ones.

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Whichever strategy an incomplete virus uses to replicate, the result is the same. These viruses don’t pay the cost of cooperation, even as they exploit the cooperation of other viruses.

“A cheater does poorly on its own, it does better in relation to another virus, and if there are a lot of cheaters, there’s no one to exploit,” Díaz-Muñoz said. “From an evolutionary perspective, that’s all you need to define cheating.”

The last part of that definition poses a puzzle. If cheaters are so amazingly successful—and, indeed, they are—they ought to drive viruses to extinction. As generations of viruses burst out of old cells and infect new ones, cheaters ought to get more and more common. They should keep replicating until the functional viruses disappear. Without any functional viruses left, the cheaters can’t replicate on their own. The entire population of viruses should get sucked into oblivion.

Of course, viruses such as influenza are clearly escaping this swift extinction, and so there must be more to their social lives than a death spiral of cheating. Carolina López , a virologist at Washington University School of Medicine in St. Louis, believes that some viruses that look like they’re cheating may actually play a more benign role in viral societies. Instead of exploiting their fellow viruses, they cooperate, helping them thrive.

“We think of them as part of a community,” López said, “with everybody playing a critical role.”

Burnout Prevention

López’s initiation into the world of sociovirology started in the early 2000s as she studied Sendai virus, a pathogen that infects mice. Researchers had known for years that two strains of Sendai virus behaved differently. One, called SeV-52, was good at escaping the notice of the immune system, allowing the virus to cause a massive infection. But mice infected with another strain, SeV-Cantell, mounted a swift, powerful defense that helped them quickly recover. The difference, López and her colleagues found, was that SeV-Cantell produced a lot of incomplete viruses.

How were incomplete viruses triggering the mice’s immune systems? After a series of experiments, López and her colleagues established that incomplete viruses cause their host cells to activate an alarm system . The cells produce a signal called interferon, which lets neighboring cells know an invader has arrived. Those cells can prepare defenses against the viruses and prevent the infection from spreading like wildfire through the surrounding tissue.

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This phenomenon wasn’t a quirk of Sendai virus, nor of the mouse immune system. When López and her colleagues turned their attention to RSV, which sickens over 2 million people in the United States every year and causes thousands of deaths, they found that incomplete viruses produced in natural infections also triggered a strong immune response from infected cells.

This effect puzzled López. If incomplete viruses were cheaters, it didn’t make sense for them to provoke a host to cut an infection short. Once the immune system destroyed the functional viruses, the cheaters would be left without any victims to exploit.

Lopez found that her results made sense if she looked at the viruses in a new way. Instead of focusing on the idea that the incomplete viruses were cheating, López began to think about them and the functional viruses as working together toward the shared goal of long-term survival. She realized that if functional viruses replicated uncontrollably, they might overwhelm and kill their current host before transmission to a new host could take place. That would be self-defeating.

“You need some level of immune response for just keeping your host alive long enough for you to move on,” López said.

That’s where the incomplete viruses come in, she said. They might rein in the infection so that their host has a chance to pass viruses onto the next host. In that way, the functional and incomplete viruses might be cooperating. The functional viruses produce the molecular machinery to make new viruses. Meanwhile, the incomplete viruses slow the functional viruses down to avoid burning out their host, which would end the entire community’s infectious run.

In recent years, López and her colleagues have found that incomplete viruses can curb infections in a number of ways. They can trigger cells to respond as if they were under stress from heat or cold, for example. Part of a cell’s stress response shuts down the protein-building factories to save energy. In the process, it also halts the production of more viruses.

Christopher Brooke , a virologist at the University of Illinois Urbana-Champaign, agrees with López that viruses exist in communities. What’s more, he suspects that incomplete viruses have other jobs in cells that he and his fellow scientists have yet to figure out.

Brooke is looking for evidence of these jobs in influenza viruses. A complete influenza virus has eight gene segments, which typically make 12 or more proteins. But when infected cells produce incomplete viruses, they sometimes skip the middle of a gene and stitch the beginning to the end. Despite this drastic change, these altered genes still produce proteins—but new proteins that may have new functions. In a study published in February, Brooke and his colleagues discovered hundreds of these new proteins in flu-infected cells. Because these proteins are new to science, the researchers are trying to figure out what they do. Experiments on one of them suggest that it latches on to polymerase proteins made by intact viruses and blocks them from copying new viral genomes.

For now, however, scientists are largely ignorant of what incomplete viruses accomplish by producing so many strange proteins. “My limited imagination isn’t going to touch a fraction of what’s possible,” Brooke said. “This is raw material for the virus to play with.” But he doubts that the incomplete viruses producing all these strange proteins are cheaters.

“If they really were acting as pure cheaters, I would predict that there would be substantial selective pressure to minimize their production,” Brooke said. “And yet we see them all the time.”

Blurred Lines

Sociovirologists are now trying to figure out just how much cheating and cooperation are going on in the viral world. Scientists who study animal behavior know how hard this can be. An individual may cheat in some situations and cooperate in others. And it’s also possible for a behavior that looks like cooperation to evolve through selfish cheating.

Leeks agrees that incomplete viruses may be productive parts of the viral community. But he thinks it’s always important to consider the possibility that even when they look like they’re cooperating, they are still actually cheating. Evolutionary theory predicts that cheating will often arise in viruses, thanks to their tiny genomes. “In viruses, conflict is dominant,” Leeks said.

In fact, cheating can produce adaptations that look like cooperation. One of Leeks’ favorite examples of this hidden conflict is the nanovirus, which infects plants such as parsley and fava beans. Nanoviruses replicate in an astonishing way. They have eight genes in total, but each viral particle has just one of the eight genes. Only when all nanovirus particles, each carrying one of the eight different genes, are infecting the same plant at once can they replicate. The plant cells make proteins from all eight genes, along with new copies of their genes, which then get packaged into new shells.

You might look at nanoviruses and see a textbook case of cooperation. After all, the viruses have to work together for any of them to have a chance to replicate. The arrangement is reminiscent of a beehive’s division of labor, in which the insects split the work of gathering nectar, tending to larvae, and scouting new locations for the hive to move to.

But Leeks and his colleagues have charted how nanoviruses—and other so-called multipartite viruses —may have evolved through cheating.

Imagine that the ancestor of nanoviruses started off with all eight genes packaged in one viral genome. The virus then accidentally produced incomplete cheaters that had only one of the genes. That cheater will thrive, as the fully functional viruses copy its gene. And if a second cheat evolves, carrying a different gene, it will get the same benefit of exploiting the intact viruses.

When Leeks and his colleagues built a mathematical model for this evolutionary scenario, they found that viruses can readily break apart into more cheats. They will keep breaking apart until none of the original viruses that could replicate on their own are left. Nanoviruses may now depend on each other for survival, but only because their ancestors freeloaded off each other. Underneath the façade of cooperation lies viral cheating.

Sorting out the nature of virus societies will take years of research. But solving the mystery may bring a tremendous payoff. Once scientists understand the social behavior of viruses, they may be able to turn viruses against one another.

Turning the Tables

In the 1990s, evolutionary biologists were able to help inform the development of antiviral medicines. When people with HIV took a single antiviral drug, the virus quickly evolved the ability to evade it. But when doctors instead prescribed medicines that combined three antivirals, it became much harder for the viruses to escape them all. The chance that a virus could gain mutations to resist all three drugs was astronomically small. As a result, HIV drug cocktails remain effective even today.

Sociovirologists are now investigating whether evolutionary biology can again help in the fight against viruses. They are looking for vulnerabilities in the way viruses cheat and cooperate, which they can exploit to bring infections to a halt. “We see it as turning the tables on the virus,” Vignuzzi said.

Vignuzzi and his colleagues tested this idea in mice with Zika virus. They engineered incomplete Zika viruses that could ruthlessly exploit functional ones. When they injected these cheaters into infected mice, the population of functional viruses inside the animals quickly collapsed. The French company Meletios Therapeutics has licensed Vignuzzi’s cheater viruses and has been developing them as a potential antiviral drug for a variety of viruses.

At New York University, Ben tenOever and his colleagues are engineering what might be an even more effective cheater from influenza viruses. They’re taking advantage of a quirk of virus biology: Every now and then, the genetic material from two viruses that infect the same cell will end up packaged into one new virus. They wondered if they could create a cheating virus that could readily invade the genome of a functional influenza virus.

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The NYU team harvested incomplete viruses from influenza-infected cells. From this batch, they identified a super-cheater that was remarkably good at slipping its genes into fully functional influenza viruses. The resulting hybrid virus was bad at replicating, thanks to the cheater’s disruption.

To see how this super-cheater would perform as an antiviral, tenOever and his colleagues packaged it into a nasal spray. They infected mice with a lethal strain of influenza and then squirted the super-cheater into the animals’ noses. The super-cheater virus was so good at exploiting functional viruses and slowing their replication that the mice managed to recover from the flu within a couple weeks. Without help from the super-cheaters, the animals died.

The researchers got even better results when they sprayed the super-cheaters into the noses of mice before they got infected. The super-cheaters lay in wait inside the mice and attacked the functional flu viruses as soon as they arrived.

Then tenOever and his colleagues moved to ferrets for their experiments. Ferrets experience influenza infections more like humans do: In particular, unlike with mice, influenza viruses will readily spread from a sick ferret to a healthy one in an adjacent cage. The scientists found that the nasal spray quickly drove down the number of flu viruses in infected ferrets, just as they saw in mice. However, the scientists got a surprise when they looked at the viruses that the infected ferrets passed to healthy animals. They transmitted not only normal viruses but also super-cheaters stowed away inside their protein shells.

That finding raises the tantalizing possibility that super-cheaters might be able to stop the spread of a new strain of influenza. If people received sprays of super-cheater viruses, they could rapidly recover from infections. And if they did pass on the new virus strain to others, they would also pass along the super-cheater to stop it. “It’s a pandemic neutralizer,” tenOever said.

That’s true in concept, at least. TenOever would need to run a clinical trial in humans to see if it would work as it does in animals. However, regulators have had qualms about approving such an experiment, he said, as that would not simply be giving people a drug that would work on viruses in their own bodies, but also one that could spread to others, whether they consented to it or not. “That seems to be the kiss of death,” tenOever said, for his hopes of turning the science of social viruses into medicine.

Díaz-Muñoz thinks that it’s right to be cautious about harnessing sociovirology when we still have so much to learn about it. It’s one thing to create medicines from inert molecules. It’s quite another to deploy the social life of viruses. “It is a living, evolving thing,” Díaz-Muñoz said.

Original story reprinted with permission from Quanta Magazine , an editorially independent publication of the Simons Foundation whose mission is to enhance public understanding of science by covering research developments and trends in mathematics and the physical and life sciences.

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4.5: Examples of Social Science Theories

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Anol Bhattacherjee
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In this section, we present brief overviews of a few illustrative theories from different social science disciplines. These theories explain different types of social behaviors, using a set of constructs, propositions, boundary conditions, assumptions, and underlying logic. Note that the following represents just a simplistic introduction to these theories; readers are advised to consult the original sources of these theories for more details and insights on each theory.

Agency Theory . Agency theory (also called principal-agent theory), a classic theory in the organizational economics literature, was originally proposed by Ross (1973)4 to explain two-party relationships (such as those between an employer and its employees, between organizational executives and shareholders, and between buyers and sellers) whose goals are not congruent with each other. The goal of agency theory is to specify optimal contracts and the conditions under which such contracts may help minimize the effect of goal incongruence. The core assumptions of this theory are that human beings are self-interested individuals, boundedly rational, and risk-averse, and the theory can be applied at the individual or organizational level.

The two parties in this theory are the principal and the agent; the principal employs the agent to perform certain tasks on its behalf. While the principal’s goal is quick and effective completion of the assigned task, the agent’s goal may be working at its own pace, avoiding risks, and seeking self-interest (such as personal pay) over corporate interests. Hence, the goal incongruence. Compounding the nature of the problem may be information asymmetry problems caused by the principal’s inability to adequately observe the agent’s behavior or accurately evaluate the agent’s skill sets. Such asymmetry may lead to agency problems where the agent may not put forth the effort needed to get the task done (the moral hazard problem) or may misrepresent its expertise or skills to get the job but not perform as expected (the adverse selection problem). Typical contracts that are behavior-based, such as a monthly salary, cannot overcome these problems. Hence, agency theory recommends using outcome-based contracts, such as a commissions or a fee payable upon task completion, or mixed contracts that combine behavior-based and outcome-based incentives. An employee stock option plans are is an example of an outcome-based contract while employee pay is a behavior-based contract. Agency theory also recommends tools that principals may employ to improve the efficacy of behavior-based contracts, such as investing in monitoring mechanisms (such as hiring supervisors) to counter the information asymmetry caused by moral hazard, designing renewable contracts contingent on agent’s performance (performance assessment makes the contract partially outcome-based), or by improving the structure of the assigned task to make it more programmable and therefore more observable.

Theory of Planned Behavior . Postulated by Azjen (1991)5, the theory of planned behavior (TPB) is a generalized theory of human behavior in the social psychology literature that can be used to study a wide range of individual behaviors. It presumes that individual behavior represents conscious reasoned choice, and is shaped by cognitive thinking and social pressures. The theory postulates that behaviors are based on one’s intention regarding that behavior, which in turn is a function of the person’s attitude toward the behavior, subjective norm regarding that behavior, and perception of control over that behavior (see Figure 4.2). Attitude is defined as the individual's overall positive or negative feelings about performing the behavior in question, which may be assessed as a summation of one's beliefs regarding the different consequences of that behavior, weighted by the desirability of those consequences. Subjective norm refers to one’s perception of whether people important to that person expect the person to perform the intended behavior, and represented as a weighted combination of the expected norms of different referent groups such as friends, colleagues, or supervisors at work. Behavioral control is one's perception of internal or external controls constraining the behavior in question. Internal controls may include the person’s ability to perform the intended behavior (self-efficacy), while external control refers to the availability of external resources needed to perform that behavior (facilitating conditions). TPB also suggests that sometimes people may intend to perform a given behavior but lack the resources needed to do so, and therefore suggests that posits that behavioral control can have a direct effect on behavior, in addition to the indirect effect mediated by intention.

TPB is an extension of an earlier theory called the theory of reasoned action, which included attitude and subjective norm as key drivers of intention, but not behavioral control. The latter construct was added by Ajzen in TPB to account for circumstances when people may have incomplete control over their own behaviors (such as not having high-speed Internet access for web surfing).

Innovation diffusion theory . Innovation diffusion theory (IDT) is a seminal theory in the communications literature that explains how innovations are adopted within a population of potential adopters. The concept was first studied by French sociologist Gabriel Tarde, but the theory was developed by Everett Rogers in 1962 based on observations of 508 diffusion studies. The four key elements in this theory are: innovation, communication channels, time, and social system. Innovations may include new technologies, new practices, or new ideas, and adopters may be individuals or organizations. At the macro (population) level, IDT views innovation diffusion as a process of communication where people in a social system learn about a new innovation and its potential benefits through communication channels (such as mass media or prior adopters) and are persuaded to adopt it. Diffusion is a temporal process; the diffusion process starts off slow among a few early adopters, then picks up speed as the innovation is adopted by the mainstream population, and finally slows down as the adopter population reaches saturation. The cumulative adoption pattern therefore an S-shaped curve, as shown in Figure 4.3, and the adopter distribution represents a normal distribution. All adopters are not identical, and adopters can be classified into innovators, early adopters, early majority, late majority, and laggards based on their time of their adoption. The rate of diffusion also depends on characteristics of the social system such as the presence of opinion leaders (experts whose opinions are valued by others) and change agents (people who influence others’ behaviors).

At the micro (adopter) level, Rogers (1995)6 suggests that innovation adoption is a process consisting of five stages: (1) knowledge: when adopters first learn about an innovation from mass-media or interpersonal channels, (2) persuasion: when they are persuaded by prior adopters to try the innovation, (3) decision: their decision to accept or reject the innovation, (4) implementation: their initial utilization of the innovation, and (5) confirmation: their decision to continue using it to its fullest potential (see Figure 4.4). Five innovation characteristics are presumed to shape adopters’ innovation adoption decisions: (1) relative advantage: the expected benefits of an innovation relative to prior innovations, (2) compatibility: the extent to which the innovation fits with the adopter’s work habits, beliefs, and values, (3) complexity: the extent to which the innovation is difficult to learn and use, (4) trialability: the extent to which the innovation can be tested on a trial basis, and (5) observability: the extent to which the results of using the innovation can be clearly observed. The last two characteristics have since been dropped from many innovation studies. Complexity is negatively correlated to innovation adoption, while the other four factors are positively correlated. Innovation adoption also depends on personal factors such as the adopter’s risk-taking propensity, education level, cosmopolitanism, and communication influence. Early adopters are venturesome, well educated, and rely more on mass media for information about the innovation, while later adopters rely more on interpersonal sources (such as friends and family) as their primary source of information. IDT has been criticized for having a “pro-innovation bias,” that is for presuming that all innovations are beneficial and will be eventually diffused across the entire population, and because it does not allow for inefficient innovations such as fads or fashions to die off quickly without being adopted by the entire population or being replaced by better innovations.

Whether people will be influenced by the central or peripheral routes depends upon their ability and motivation to elaborate the central merits of an argument. This ability and motivation to elaborate is called elaboration likelihood . People in a state of high elaboration likelihood (high ability and high motivation) are more likely to thoughtfully process the information presented and are therefore more influenced by argument quality, while those in the low elaboration likelihood state are more motivated by peripheral cues. Elaboration likelihood is a situational characteristic and not a personal trait. For instance, a doctor may employ the central route for diagnosing and treating a medical ailment (by virtue of his or her expertise of the subject), but may rely on peripheral cues from auto mechanics to understand the problems with his car. As such, the theory has widespread implications about how to enact attitude change toward new products or ideas and even social change.

General Deterrence Theory . Two utilitarian philosophers of the eighteenth century, Cesare Beccaria and Jeremy Bentham, formulated General Deterrence Theory (GDT) as both an explanation of crime and a method for reducing it. GDT examines why certain individuals engage in deviant, anti-social, or criminal behaviors. This theory holds that people are fundamentally rational (for both conforming and deviant behaviors), and that they freely choose deviant behaviors based on a rational cost-benefit calculation. Because people naturally choose utility-maximizing behaviors, deviant choices that engender personal gain or pleasure can be controlled by increasing the costs of such behaviors in the form of punishments (countermeasures) as well as increasing the probability of apprehension. Swiftness, severity, and certainty of punishments are the key constructs in GDT.

While classical positivist research in criminology seeks generalized causes of criminal behaviors, such as poverty, lack of education, psychological conditions, and recommends strategies to rehabilitate criminals, such as by providing them job training and medical treatment, GDT focuses on the criminal decision making process and situational factors that influence that process. Hence, a criminal’s personal situation (such as his personal values, his affluence, and his need for money) and the environmental context (such as how protected is the target, how efficient is the local police, how likely are criminals to be apprehended) play key roles in this decision making process. The focus of GDT is not how to rehabilitate criminals and avert future criminal behaviors, but how to make criminal activities less attractive and therefore prevent crimes. To that end, “target hardening” such as installing deadbolts and building self-defense skills, legal deterrents such as eliminating parole for certain crimes, “three strikes law” (mandatory incarceration for three offenses, even if the offenses are minor and not worth imprisonment), and the death penalty, increasing the chances of apprehension using means such as neighborhood watch programs, special task forces on drugs or gang-related crimes, and increased police patrols, and educational programs such as highly visible notices such as “Trespassers will be prosecuted” are effective in preventing crimes. This theory has interesting implications not only for traditional crimes, but also for contemporary white-collar crimes such as insider trading, software piracy, and illegal sharing of music.

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Social Science Research - Principles, Methods, and Practices (Bhattacherjee) 2: Thinking Like a Researcher 2.3: Propositions and Hypotheses ... the above proposition can be specified in form of the hypothesis: "An increase in students' IQ score causes an increase in their grade point average." Propositions are specified in the theoretical ...
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Bhataacherjee A (2012) Social Science Research: Principles, Methods, and Practices. Textbooks ... theory in social science research. In: Ikeanyibe O, et al. (eds) An Anthology of Theories for Social Research. Nsukka: University of Nigeria Press Ltd, pp. 1-36. Google Scholar. Ile N (1999) Management and Organizational Theory and Practice ...
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The terms theory and hypothesis are often used interchangeably in everyday use. However, the difference between them in scholarly research is important, particularly when using an experimental design. A theory is a well-established principle that has been developed to explain some aspect of the natural world.
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Critical sociology focuses on deconstruction of existing sociological research and theory. Informed by the work of Karl Marx, scholars known collectively as the Frankfurt School proposed that social science, as much as any academic pursuit, is embedded in the system of power constituted by the set of class, caste, race, gender, and other ...
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Social science theory: theories to explain the world around us. As we have discussed in previous chapters, social science research is concerned with discovering things about the social world: for instance, how people act in different situations, why people act the way they do, how their actions relate to broader social structures, and how societies function at both the micro and macro levels.
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4.5: Examples of Social Science Theories
Theory of Planned Behavior. Postulated by Azjen (1991)5, the theory of planned behavior (TPB) is a generalized theory of human behavior in the social psychology literature that can be used to study a wide range of individual behaviors. It presumes that individual behavior represents conscious reasoned choice, and is shaped by cognitive thinking ...

3.4 Hypotheses

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PSC/SOC 340/JS 504: Social Science Research Methods

What is the difference between a theory & a hypothesis?

2.1 Approaches to Sociological Research

The Scientific Method

Step 1: Ask a Question or Find a Research Topic

Step 2: Review the Literature/Research Existing Sources

Step 3: Formulate a Hypothesis

Step 4: Design and Conduct a Study

Step 5: Draw Conclusions

Step 6: Report Results

Interpretive Framework

Critical Sociology

3 Social science theories, methods, and values

Social science theory: theories to explain the world around us

Structural functionalism

Reflection exercise

Structural functionalism: want to learn more?

Phenomenology

Phenomenology: want to learn more?

Symbolic interactionism

Symbolic interactionism: want to learn more?

Conflict theories

Critical theories

Gramsci and cultural hegemony

Critical race theory

Uproar over critical race theory

Postmodern critique of critical race theory

Putting theory into action: rethinking crime through a critical lens

Critical or radical criminology?

Reflection exercise: a critical reading of meritocracy

Post-structuralism

Beck and Risk Society

Postmodernism

Resources for further learning

Share This Book

Organizing Your Social Sciences Research Paper

Importance of Theory and a Theoretical Framework

Strategies for Developing the Theoretical Framework

Structure and Writing Style

Writing Tip

Another Writing Tip

Yet Another Writing Tip

Still Yet Another Writing Tip

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Literature review

Self-determination theory

Consumer engagement

Theoretical framework

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

Self-disclosure willingness and consumer engagement behavior

Innovativeness and consumer engagement behavior

Information trust and consumer engagement

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

Influencer factors: parasocial identification

Parasocial identification and self-disclosure willingness

Parasocial identification and information trust

Influencer factors: source credibility

Source credibility and self-disclosure willingness

Source credibility and information trust

Advertising information factors: informative value

Informative value and innovativeness

Informative value and information trust

Advertising information factors: ad targeting accuracy

Ad targeting accuracy and information trust

Social factors: subjective norm

Subjective norm and self-disclosure willingness

Subjective norm and information trust

Conceptual model