Adult learning online education:
Adult learning online education:
Adult learning online education:
About the example: Boolean searches were conducted on November 4, 2019; result numbers may vary at a later date. No additional database limiters were set to further narrow search returns.
Database strategies for targeted search results.
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Use limiters with care. When starting a search, consider opting out of limiters until the initial literature screening is complete. The second or third time through your research may be the ideal time to focus on specific time periods or material (scholarly vs newspaper).
Expanding your search term at the root.
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Using the asterisk wildcard will return varied spellings of the truncated word. In the following example, the search term education was truncated after the letter "t."
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adult education | adult educat* |
Results included: educate, education, educator, educators'/educators, educating, & educational |
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EBSCOHost Databases & Google Drive: Managing your Research
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What is a literature review.
A definition from the Online Dictionary for Library and Information Sciences .
A literature review is "a comprehensive survey of the works published in a particular field of study or line of research, usually over a specific period of time, in the form of an in-depth, critical bibliographic essay or annotated list in which attention is drawn to the most significant works" (Reitz, 2014).
A systemic review is "a literature review focused on a specific research question, which uses explicit methods to minimize bias in the identification, appraisal, selection, and synthesis of all the high-quality evidence pertinent to the question" (Reitz, 2014).
EBSCO Connect [Discovery and Search]. (2022). Searching with boolean operators. Retrieved May, 3, 2022 from https://connect.ebsco.com/s/?language=en_US
EBSCO Connect [Discover and Search]. (2022). Searching with wildcards and truncation symbols. Retrieved May 3, 2022; https://connect.ebsco.com/s/?language=en_US
Machi, L.A. & McEvoy, B.T. (2009). The literature review . Thousand Oaks, CA: Corwin Press:
Reitz, J.M. (2014). Online dictionary for library and information science. ABC-CLIO, Libraries Unlimited . Retrieved from https://www.abc-clio.com/ODLIS/odlis_A.aspx
Ridley, D. (2008). The literature review: A step-by-step guide for students . Thousand Oaks, CA: Sage Publications, Inc.
Schedule an appointment.
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Neurological Research and Practice volume 2 , Article number: 14 ( 2020 ) Cite this article
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This paper aims to provide an overview of the use and assessment of qualitative research methods in the health sciences. Qualitative research can be defined as the study of the nature of phenomena and is especially appropriate for answering questions of why something is (not) observed, assessing complex multi-component interventions, and focussing on intervention improvement. The most common methods of data collection are document study, (non-) participant observations, semi-structured interviews and focus groups. For data analysis, field-notes and audio-recordings are transcribed into protocols and transcripts, and coded using qualitative data management software. Criteria such as checklists, reflexivity, sampling strategies, piloting, co-coding, member-checking and stakeholder involvement can be used to enhance and assess the quality of the research conducted. Using qualitative in addition to quantitative designs will equip us with better tools to address a greater range of research problems, and to fill in blind spots in current neurological research and practice.
The aim of this paper is to provide an overview of qualitative research methods, including hands-on information on how they can be used, reported and assessed. This article is intended for beginning qualitative researchers in the health sciences as well as experienced quantitative researchers who wish to broaden their understanding of qualitative research.
Qualitative research is defined as “the study of the nature of phenomena”, including “their quality, different manifestations, the context in which they appear or the perspectives from which they can be perceived” , but excluding “their range, frequency and place in an objectively determined chain of cause and effect” [ 1 ]. This formal definition can be complemented with a more pragmatic rule of thumb: qualitative research generally includes data in form of words rather than numbers [ 2 ].
Because some research questions cannot be answered using (only) quantitative methods. For example, one Australian study addressed the issue of why patients from Aboriginal communities often present late or not at all to specialist services offered by tertiary care hospitals. Using qualitative interviews with patients and staff, it found one of the most significant access barriers to be transportation problems, including some towns and communities simply not having a bus service to the hospital [ 3 ]. A quantitative study could have measured the number of patients over time or even looked at possible explanatory factors – but only those previously known or suspected to be of relevance. To discover reasons for observed patterns, especially the invisible or surprising ones, qualitative designs are needed.
While qualitative research is common in other fields, it is still relatively underrepresented in health services research. The latter field is more traditionally rooted in the evidence-based-medicine paradigm, as seen in " research that involves testing the effectiveness of various strategies to achieve changes in clinical practice, preferably applying randomised controlled trial study designs (...) " [ 4 ]. This focus on quantitative research and specifically randomised controlled trials (RCT) is visible in the idea of a hierarchy of research evidence which assumes that some research designs are objectively better than others, and that choosing a "lesser" design is only acceptable when the better ones are not practically or ethically feasible [ 5 , 6 ]. Others, however, argue that an objective hierarchy does not exist, and that, instead, the research design and methods should be chosen to fit the specific research question at hand – "questions before methods" [ 2 , 7 , 8 , 9 ]. This means that even when an RCT is possible, some research problems require a different design that is better suited to addressing them. Arguing in JAMA, Berwick uses the example of rapid response teams in hospitals, which he describes as " a complex, multicomponent intervention – essentially a process of social change" susceptible to a range of different context factors including leadership or organisation history. According to him, "[in] such complex terrain, the RCT is an impoverished way to learn. Critics who use it as a truth standard in this context are incorrect" [ 8 ] . Instead of limiting oneself to RCTs, Berwick recommends embracing a wider range of methods , including qualitative ones, which for "these specific applications, (...) are not compromises in learning how to improve; they are superior" [ 8 ].
Research problems that can be approached particularly well using qualitative methods include assessing complex multi-component interventions or systems (of change), addressing questions beyond “what works”, towards “what works for whom when, how and why”, and focussing on intervention improvement rather than accreditation [ 7 , 9 , 10 , 11 , 12 ]. Using qualitative methods can also help shed light on the “softer” side of medical treatment. For example, while quantitative trials can measure the costs and benefits of neuro-oncological treatment in terms of survival rates or adverse effects, qualitative research can help provide a better understanding of patient or caregiver stress, visibility of illness or out-of-pocket expenses.
Given that qualitative research is characterised by flexibility, openness and responsivity to context, the steps of data collection and analysis are not as separate and consecutive as they tend to be in quantitative research [ 13 , 14 ]. As Fossey puts it : “sampling, data collection, analysis and interpretation are related to each other in a cyclical (iterative) manner, rather than following one after another in a stepwise approach” [ 15 ]. The researcher can make educated decisions with regard to the choice of method, how they are implemented, and to which and how many units they are applied [ 13 ]. As shown in Fig. 1 , this can involve several back-and-forth steps between data collection and analysis where new insights and experiences can lead to adaption and expansion of the original plan. Some insights may also necessitate a revision of the research question and/or the research design as a whole. The process ends when saturation is achieved, i.e. when no relevant new information can be found (see also below: sampling and saturation). For reasons of transparency, it is essential for all decisions as well as the underlying reasoning to be well-documented.
Iterative research process
While it is not always explicitly addressed, qualitative methods reflect a different underlying research paradigm than quantitative research (e.g. constructivism or interpretivism as opposed to positivism). The choice of methods can be based on the respective underlying substantive theory or theoretical framework used by the researcher [ 2 ].
The methods of qualitative data collection most commonly used in health research are document study, observations, semi-structured interviews and focus groups [ 1 , 14 , 16 , 17 ].
Document study (also called document analysis) refers to the review by the researcher of written materials [ 14 ]. These can include personal and non-personal documents such as archives, annual reports, guidelines, policy documents, diaries or letters.
Observations are particularly useful to gain insights into a certain setting and actual behaviour – as opposed to reported behaviour or opinions [ 13 ]. Qualitative observations can be either participant or non-participant in nature. In participant observations, the observer is part of the observed setting, for example a nurse working in an intensive care unit [ 18 ]. In non-participant observations, the observer is “on the outside looking in”, i.e. present in but not part of the situation, trying not to influence the setting by their presence. Observations can be planned (e.g. for 3 h during the day or night shift) or ad hoc (e.g. as soon as a stroke patient arrives at the emergency room). During the observation, the observer takes notes on everything or certain pre-determined parts of what is happening around them, for example focusing on physician-patient interactions or communication between different professional groups. Written notes can be taken during or after the observations, depending on feasibility (which is usually lower during participant observations) and acceptability (e.g. when the observer is perceived to be judging the observed). Afterwards, these field notes are transcribed into observation protocols. If more than one observer was involved, field notes are taken independently, but notes can be consolidated into one protocol after discussions. Advantages of conducting observations include minimising the distance between the researcher and the researched, the potential discovery of topics that the researcher did not realise were relevant and gaining deeper insights into the real-world dimensions of the research problem at hand [ 18 ].
Hijmans & Kuyper describe qualitative interviews as “an exchange with an informal character, a conversation with a goal” [ 19 ]. Interviews are used to gain insights into a person’s subjective experiences, opinions and motivations – as opposed to facts or behaviours [ 13 ]. Interviews can be distinguished by the degree to which they are structured (i.e. a questionnaire), open (e.g. free conversation or autobiographical interviews) or semi-structured [ 2 , 13 ]. Semi-structured interviews are characterized by open-ended questions and the use of an interview guide (or topic guide/list) in which the broad areas of interest, sometimes including sub-questions, are defined [ 19 ]. The pre-defined topics in the interview guide can be derived from the literature, previous research or a preliminary method of data collection, e.g. document study or observations. The topic list is usually adapted and improved at the start of the data collection process as the interviewer learns more about the field [ 20 ]. Across interviews the focus on the different (blocks of) questions may differ and some questions may be skipped altogether (e.g. if the interviewee is not able or willing to answer the questions or for concerns about the total length of the interview) [ 20 ]. Qualitative interviews are usually not conducted in written format as it impedes on the interactive component of the method [ 20 ]. In comparison to written surveys, qualitative interviews have the advantage of being interactive and allowing for unexpected topics to emerge and to be taken up by the researcher. This can also help overcome a provider or researcher-centred bias often found in written surveys, which by nature, can only measure what is already known or expected to be of relevance to the researcher. Interviews can be audio- or video-taped; but sometimes it is only feasible or acceptable for the interviewer to take written notes [ 14 , 16 , 20 ].
Focus groups are group interviews to explore participants’ expertise and experiences, including explorations of how and why people behave in certain ways [ 1 ]. Focus groups usually consist of 6–8 people and are led by an experienced moderator following a topic guide or “script” [ 21 ]. They can involve an observer who takes note of the non-verbal aspects of the situation, possibly using an observation guide [ 21 ]. Depending on researchers’ and participants’ preferences, the discussions can be audio- or video-taped and transcribed afterwards [ 21 ]. Focus groups are useful for bringing together homogeneous (to a lesser extent heterogeneous) groups of participants with relevant expertise and experience on a given topic on which they can share detailed information [ 21 ]. Focus groups are a relatively easy, fast and inexpensive method to gain access to information on interactions in a given group, i.e. “the sharing and comparing” among participants [ 21 ]. Disadvantages include less control over the process and a lesser extent to which each individual may participate. Moreover, focus group moderators need experience, as do those tasked with the analysis of the resulting data. Focus groups can be less appropriate for discussing sensitive topics that participants might be reluctant to disclose in a group setting [ 13 ]. Moreover, attention must be paid to the emergence of “groupthink” as well as possible power dynamics within the group, e.g. when patients are awed or intimidated by health professionals.
As explained above, the school of thought underlying qualitative research assumes no objective hierarchy of evidence and methods. This means that each choice of single or combined methods has to be based on the research question that needs to be answered and a critical assessment with regard to whether or to what extent the chosen method can accomplish this – i.e. the “fit” between question and method [ 14 ]. It is necessary for these decisions to be documented when they are being made, and to be critically discussed when reporting methods and results.
Let us assume that our research aim is to examine the (clinical) processes around acute endovascular treatment (EVT), from the patient’s arrival at the emergency room to recanalization, with the aim to identify possible causes for delay and/or other causes for sub-optimal treatment outcome. As a first step, we could conduct a document study of the relevant standard operating procedures (SOPs) for this phase of care – are they up-to-date and in line with current guidelines? Do they contain any mistakes, irregularities or uncertainties that could cause delays or other problems? Regardless of the answers to these questions, the results have to be interpreted based on what they are: a written outline of what care processes in this hospital should look like. If we want to know what they actually look like in practice, we can conduct observations of the processes described in the SOPs. These results can (and should) be analysed in themselves, but also in comparison to the results of the document analysis, especially as regards relevant discrepancies. Do the SOPs outline specific tests for which no equipment can be observed or tasks to be performed by specialized nurses who are not present during the observation? It might also be possible that the written SOP is outdated, but the actual care provided is in line with current best practice. In order to find out why these discrepancies exist, it can be useful to conduct interviews. Are the physicians simply not aware of the SOPs (because their existence is limited to the hospital’s intranet) or do they actively disagree with them or does the infrastructure make it impossible to provide the care as described? Another rationale for adding interviews is that some situations (or all of their possible variations for different patient groups or the day, night or weekend shift) cannot practically or ethically be observed. In this case, it is possible to ask those involved to report on their actions – being aware that this is not the same as the actual observation. A senior physician’s or hospital manager’s description of certain situations might differ from a nurse’s or junior physician’s one, maybe because they intentionally misrepresent facts or maybe because different aspects of the process are visible or important to them. In some cases, it can also be relevant to consider to whom the interviewee is disclosing this information – someone they trust, someone they are otherwise not connected to, or someone they suspect or are aware of being in a potentially “dangerous” power relationship to them. Lastly, a focus group could be conducted with representatives of the relevant professional groups to explore how and why exactly they provide care around EVT. The discussion might reveal discrepancies (between SOPs and actual care or between different physicians) and motivations to the researchers as well as to the focus group members that they might not have been aware of themselves. For the focus group to deliver relevant information, attention has to be paid to its composition and conduct, for example, to make sure that all participants feel safe to disclose sensitive or potentially problematic information or that the discussion is not dominated by (senior) physicians only. The resulting combination of data collection methods is shown in Fig. 2 .
Possible combination of data collection methods
Attributions for icons: “Book” by Serhii Smirnov, “Interview” by Adrien Coquet, FR, “Magnifying Glass” by anggun, ID, “Business communication” by Vectors Market; all from the Noun Project
The combination of multiple data source as described for this example can be referred to as “triangulation”, in which multiple measurements are carried out from different angles to achieve a more comprehensive understanding of the phenomenon under study [ 22 , 23 ].
To analyse the data collected through observations, interviews and focus groups these need to be transcribed into protocols and transcripts (see Fig. 3 ). Interviews and focus groups can be transcribed verbatim , with or without annotations for behaviour (e.g. laughing, crying, pausing) and with or without phonetic transcription of dialects and filler words, depending on what is expected or known to be relevant for the analysis. In the next step, the protocols and transcripts are coded , that is, marked (or tagged, labelled) with one or more short descriptors of the content of a sentence or paragraph [ 2 , 15 , 23 ]. Jansen describes coding as “connecting the raw data with “theoretical” terms” [ 20 ]. In a more practical sense, coding makes raw data sortable. This makes it possible to extract and examine all segments describing, say, a tele-neurology consultation from multiple data sources (e.g. SOPs, emergency room observations, staff and patient interview). In a process of synthesis and abstraction, the codes are then grouped, summarised and/or categorised [ 15 , 20 ]. The end product of the coding or analysis process is a descriptive theory of the behavioural pattern under investigation [ 20 ]. The coding process is performed using qualitative data management software, the most common ones being InVivo, MaxQDA and Atlas.ti. It should be noted that these are data management tools which support the analysis performed by the researcher(s) [ 14 ].
From data collection to data analysis
Attributions for icons: see Fig. 2 , also “Speech to text” by Trevor Dsouza, “Field Notes” by Mike O’Brien, US, “Voice Record” by ProSymbols, US, “Inspection” by Made, AU, and “Cloud” by Graphic Tigers; all from the Noun Project
Protocols of qualitative research can be published separately and in advance of the study results. However, the aim is not the same as in RCT protocols, i.e. to pre-define and set in stone the research questions and primary or secondary endpoints. Rather, it is a way to describe the research methods in detail, which might not be possible in the results paper given journals’ word limits. Qualitative research papers are usually longer than their quantitative counterparts to allow for deep understanding and so-called “thick description”. In the methods section, the focus is on transparency of the methods used, including why, how and by whom they were implemented in the specific study setting, so as to enable a discussion of whether and how this may have influenced data collection, analysis and interpretation. The results section usually starts with a paragraph outlining the main findings, followed by more detailed descriptions of, for example, the commonalities, discrepancies or exceptions per category [ 20 ]. Here it is important to support main findings by relevant quotations, which may add information, context, emphasis or real-life examples [ 20 , 23 ]. It is subject to debate in the field whether it is relevant to state the exact number or percentage of respondents supporting a certain statement (e.g. “Five interviewees expressed negative feelings towards XYZ”) [ 21 ].
Qualitative methods can be combined with other methods in multi- or mixed methods designs, which “[employ] two or more different methods [ …] within the same study or research program rather than confining the research to one single method” [ 24 ]. Reasons for combining methods can be diverse, including triangulation for corroboration of findings, complementarity for illustration and clarification of results, expansion to extend the breadth and range of the study, explanation of (unexpected) results generated with one method with the help of another, or offsetting the weakness of one method with the strength of another [ 1 , 17 , 24 , 25 , 26 ]. The resulting designs can be classified according to when, why and how the different quantitative and/or qualitative data strands are combined. The three most common types of mixed method designs are the convergent parallel design , the explanatory sequential design and the exploratory sequential design. The designs with examples are shown in Fig. 4 .
Three common mixed methods designs
In the convergent parallel design, a qualitative study is conducted in parallel to and independently of a quantitative study, and the results of both studies are compared and combined at the stage of interpretation of results. Using the above example of EVT provision, this could entail setting up a quantitative EVT registry to measure process times and patient outcomes in parallel to conducting the qualitative research outlined above, and then comparing results. Amongst other things, this would make it possible to assess whether interview respondents’ subjective impressions of patients receiving good care match modified Rankin Scores at follow-up, or whether observed delays in care provision are exceptions or the rule when compared to door-to-needle times as documented in the registry. In the explanatory sequential design, a quantitative study is carried out first, followed by a qualitative study to help explain the results from the quantitative study. This would be an appropriate design if the registry alone had revealed relevant delays in door-to-needle times and the qualitative study would be used to understand where and why these occurred, and how they could be improved. In the exploratory design, the qualitative study is carried out first and its results help informing and building the quantitative study in the next step [ 26 ]. If the qualitative study around EVT provision had shown a high level of dissatisfaction among the staff members involved, a quantitative questionnaire investigating staff satisfaction could be set up in the next step, informed by the qualitative study on which topics dissatisfaction had been expressed. Amongst other things, the questionnaire design would make it possible to widen the reach of the research to more respondents from different (types of) hospitals, regions, countries or settings, and to conduct sub-group analyses for different professional groups.
A variety of assessment criteria and lists have been developed for qualitative research, ranging in their focus and comprehensiveness [ 14 , 17 , 27 ]. However, none of these has been elevated to the “gold standard” in the field. In the following, we therefore focus on a set of commonly used assessment criteria that, from a practical standpoint, a researcher can look for when assessing a qualitative research report or paper.
Assessors should check the authors’ use of and adherence to the relevant reporting checklists (e.g. Standards for Reporting Qualitative Research (SRQR)) to make sure all items that are relevant for this type of research are addressed [ 23 , 28 ]. Discussions of quantitative measures in addition to or instead of these qualitative measures can be a sign of lower quality of the research (paper). Providing and adhering to a checklist for qualitative research contributes to an important quality criterion for qualitative research, namely transparency [ 15 , 17 , 23 ].
While methodological transparency and complete reporting is relevant for all types of research, some additional criteria must be taken into account for qualitative research. This includes what is called reflexivity, i.e. sensitivity to the relationship between the researcher and the researched, including how contact was established and maintained, or the background and experience of the researcher(s) involved in data collection and analysis. Depending on the research question and population to be researched this can be limited to professional experience, but it may also include gender, age or ethnicity [ 17 , 27 ]. These details are relevant because in qualitative research, as opposed to quantitative research, the researcher as a person cannot be isolated from the research process [ 23 ]. It may influence the conversation when an interviewed patient speaks to an interviewer who is a physician, or when an interviewee is asked to discuss a gynaecological procedure with a male interviewer, and therefore the reader must be made aware of these details [ 19 ].
The aim of qualitative sampling is for all variants of the objects of observation that are deemed relevant for the study to be present in the sample “ to see the issue and its meanings from as many angles as possible” [ 1 , 16 , 19 , 20 , 27 ] , and to ensure “information-richness [ 15 ]. An iterative sampling approach is advised, in which data collection (e.g. five interviews) is followed by data analysis, followed by more data collection to find variants that are lacking in the current sample. This process continues until no new (relevant) information can be found and further sampling becomes redundant – which is called saturation [ 1 , 15 ] . In other words: qualitative data collection finds its end point not a priori , but when the research team determines that saturation has been reached [ 29 , 30 ].
This is also the reason why most qualitative studies use deliberate instead of random sampling strategies. This is generally referred to as “ purposive sampling” , in which researchers pre-define which types of participants or cases they need to include so as to cover all variations that are expected to be of relevance, based on the literature, previous experience or theory (i.e. theoretical sampling) [ 14 , 20 ]. Other types of purposive sampling include (but are not limited to) maximum variation sampling, critical case sampling or extreme or deviant case sampling [ 2 ]. In the above EVT example, a purposive sample could include all relevant professional groups and/or all relevant stakeholders (patients, relatives) and/or all relevant times of observation (day, night and weekend shift).
Assessors of qualitative research should check whether the considerations underlying the sampling strategy were sound and whether or how researchers tried to adapt and improve their strategies in stepwise or cyclical approaches between data collection and analysis to achieve saturation [ 14 ].
Good qualitative research is iterative in nature, i.e. it goes back and forth between data collection and analysis, revising and improving the approach where necessary. One example of this are pilot interviews, where different aspects of the interview (especially the interview guide, but also, for example, the site of the interview or whether the interview can be audio-recorded) are tested with a small number of respondents, evaluated and revised [ 19 ]. In doing so, the interviewer learns which wording or types of questions work best, or which is the best length of an interview with patients who have trouble concentrating for an extended time. Of course, the same reasoning applies to observations or focus groups which can also be piloted.
Ideally, coding should be performed by at least two researchers, especially at the beginning of the coding process when a common approach must be defined, including the establishment of a useful coding list (or tree), and when a common meaning of individual codes must be established [ 23 ]. An initial sub-set or all transcripts can be coded independently by the coders and then compared and consolidated after regular discussions in the research team. This is to make sure that codes are applied consistently to the research data.
Member checking, also called respondent validation , refers to the practice of checking back with study respondents to see if the research is in line with their views [ 14 , 27 ]. This can happen after data collection or analysis or when first results are available [ 23 ]. For example, interviewees can be provided with (summaries of) their transcripts and asked whether they believe this to be a complete representation of their views or whether they would like to clarify or elaborate on their responses [ 17 ]. Respondents’ feedback on these issues then becomes part of the data collection and analysis [ 27 ].
In those niches where qualitative approaches have been able to evolve and grow, a new trend has seen the inclusion of patients and their representatives not only as study participants (i.e. “members”, see above) but as consultants to and active participants in the broader research process [ 31 , 32 , 33 ]. The underlying assumption is that patients and other stakeholders hold unique perspectives and experiences that add value beyond their own single story, making the research more relevant and beneficial to researchers, study participants and (future) patients alike [ 34 , 35 ]. Using the example of patients on or nearing dialysis, a recent scoping review found that 80% of clinical research did not address the top 10 research priorities identified by patients and caregivers [ 32 , 36 ]. In this sense, the involvement of the relevant stakeholders, especially patients and relatives, is increasingly being seen as a quality indicator in and of itself.
The above overview does not include certain items that are routine in assessments of quantitative research. What follows is a non-exhaustive, non-representative, experience-based list of the quantitative criteria often applied to the assessment of qualitative research, as well as an explanation of the limited usefulness of these endeavours.
Given the openness and flexibility of qualitative research, it should not be assessed by how well it adheres to pre-determined and fixed strategies – in other words: its rigidity. Instead, the assessor should look for signs of adaptation and refinement based on lessons learned from earlier steps in the research process.
For the reasons explained above, qualitative research does not require specific sample sizes, nor does it require that the sample size be determined a priori [ 1 , 14 , 27 , 37 , 38 , 39 ]. Sample size can only be a useful quality indicator when related to the research purpose, the chosen methodology and the composition of the sample, i.e. who was included and why.
While some authors argue that randomisation can be used in qualitative research, this is not commonly the case, as neither its feasibility nor its necessity or usefulness has been convincingly established for qualitative research [ 13 , 27 ]. Relevant disadvantages include the negative impact of a too large sample size as well as the possibility (or probability) of selecting “ quiet, uncooperative or inarticulate individuals ” [ 17 ]. Qualitative studies do not use control groups, either.
The concept of “interrater reliability” is sometimes used in qualitative research to assess to which extent the coding approach overlaps between the two co-coders. However, it is not clear what this measure tells us about the quality of the analysis [ 23 ]. This means that these scores can be included in qualitative research reports, preferably with some additional information on what the score means for the analysis, but it is not a requirement. Relatedly, it is not relevant for the quality or “objectivity” of qualitative research to separate those who recruited the study participants and collected and analysed the data. Experiences even show that it might be better to have the same person or team perform all of these tasks [ 20 ]. First, when researchers introduce themselves during recruitment this can enhance trust when the interview takes place days or weeks later with the same researcher. Second, when the audio-recording is transcribed for analysis, the researcher conducting the interviews will usually remember the interviewee and the specific interview situation during data analysis. This might be helpful in providing additional context information for interpretation of data, e.g. on whether something might have been meant as a joke [ 18 ].
Being qualitative research instead of quantitative research should not be used as an assessment criterion if it is used irrespectively of the research problem at hand. Similarly, qualitative research should not be required to be combined with quantitative research per se – unless mixed methods research is judged as inherently better than single-method research. In this case, the same criterion should be applied for quantitative studies without a qualitative component.
The main take-away points of this paper are summarised in Table 1 . We aimed to show that, if conducted well, qualitative research can answer specific research questions that cannot to be adequately answered using (only) quantitative designs. Seeing qualitative and quantitative methods as equal will help us become more aware and critical of the “fit” between the research problem and our chosen methods: I can conduct an RCT to determine the reasons for transportation delays of acute stroke patients – but should I? It also provides us with a greater range of tools to tackle a greater range of research problems more appropriately and successfully, filling in the blind spots on one half of the methodological spectrum to better address the whole complexity of neurological research and practice.
Not applicable.
Endovascular treatment
Randomised Controlled Trial
Standard Operating Procedure
Standards for Reporting Qualitative Research
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Busetto, L., Wick, W. & Gumbinger, C. How to use and assess qualitative research methods. Neurol. Res. Pract. 2 , 14 (2020). https://doi.org/10.1186/s42466-020-00059-z
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Peer review is at the heart of the scientific process. With the advent of digitisation, journals started to offer electronic articles or publishing online only. A new philosophy regarding the peer review process found its way into academia: the open peer review. Open peer review as practiced by BioMed Central ( BMC ) is a type of peer review where the names of authors and reviewers are disclosed and reviewer comments are published alongside the article. A number of articles have been published to assess peer reviews using quantitative research. However, no studies exist that used qualitative methods to analyse the content of reviewers’ comments.
A focused mapping review and synthesis (FMRS) was undertaken of manuscripts reporting qualitative research submitted to BMC open access journals from 1 January – 31 March 2018. Free-text reviewer comments were extracted from peer review reports using a 77-item classification system organised according to three key dimensions that represented common themes and sub-themes. A two stage analysis process was employed. First, frequency counts were undertaken that allowed revealing patterns across themes/sub-themes. Second, thematic analysis was conducted on selected themes of the narrative portion of reviewer reports.
A total of 107 manuscripts submitted to nine open-access journals were included in the FMRS. The frequency analysis revealed that among the 30 most frequently employed themes “writing criteria” (dimension II) is the top ranking theme, followed by comments in relation to the “methods” (dimension I). Besides that, some results suggest an underlying quantitative mindset of reviewers. Results are compared and contrasted in relation to established reporting guidelines for qualitative research to inform reviewers and authors of frequent feedback offered to enhance the quality of manuscripts.
This FMRS has highlighted some important issues that hold lessons for authors, reviewers and editors. We suggest modifying the current reporting guidelines by including a further item called “Degree of data transformation” to prompt authors and reviewers to make a judgment about the appropriateness of the degree of data transformation in relation to the chosen analysis method. Besides, we suggest that completion of a reporting checklist on submission becomes a requirement.
Peer Review reports
Peer review is at the heart of the scientific process. Reviewers independently examine a submitted manuscript and then recommend acceptance, rejection or – most frequently – revisions to be made before it gets published [ 1 ]. Editors rely on peer review to make decisions on which submissions warrant publication and to enhance quality standards. Typically, each manuscript is reviewed by two or three reviewers [ 2 ] who are chosen for their knowledge and expertise regarding the subject or methodology [ 3 ]. The history of peer review, often regarded as a “touchstone of modern evaluation of scientific quality” [ 4 ] is relatively short. For example, the British Medical Journal (now the BMJ ) was a pioneer when it established a system of external reviewers in 1893. But it was in the second half of the twentieth century that employing peers as reviewers became custom [ 5 ]. Then, in 1973 the prestigious scientific weekly Nature introduced a rigorous formal peer review system for every paper it printed [ 6 ].
Despite ever-growing concerns about its effectiveness, fairness and reliability [ 4 , 7 ], peer review as a central part of academic self-regulation is still considered the best available practice [ 8 ]. With the advent of digitisation in the late 1990s, scholarly publishing has changed dramatically with many journals starting to offer print as well as electronic articles or publishing online only [ 9 ]. The latter category includes for-profit journals such as BioMed Central ( BMC ) that have been online since their inception in 1999, with an ever evolving portfolio of currently over 300 peer-reviewed journals.
As compared to traditional print journals where individuals or libraries need to pay a fee for an annual subscription or for reading a specific article, open access journals such as BMC, PLoS ONE or BMJ Open are permanently free for everyone to read and download since the cost of publishing is paid by the author or an entity such as the university. Many, but not all, open access journals impose an article processing charge on the author, also known as the gold open access route, to cover the cost of publication. Depending on the journal and the publisher, article processing charges can range significantly between US$100 and US$5200 per article [ 10 , 11 ].
In the digital age, a new philosophy regarding the peer review process found its way into academia, questioning the anonymity of the closed system of peer-review as contrary to the demands for transparency [ 1 ]. The issue of reviewer bias, especially concerning gender and affiliation [ 12 ], led not only to the establishment of double-blind review but also to its extreme opposite: the open peer review system [ 8 ]. Although the term ‘open peer review’ has no standardised definition, scholars use the term to indicate that the identities of the authors and reviewers are disclosed and that reviewer reports are openly available [ 13 ]. In the late 1990s, the BMJ changed from a closed system of peer review to an open system [ 14 , 15 ]. During the same time, other publishers such as some journals in BMC followed the example of opening up their peer review.
While peer review reports have long been hidden from the public gaze [ 16 , 17 ], opening up the closed peer review system allows researchers to access reviewer comments, thus making it possible to study them. Since then, a number of articles have been published to assess reviews using quantitative research methods. For example, Landkroon et al. [ 18 ] assessed the quality of 247 reviews of 119 original articles using a 5-point Likert scale. Similarly, Henly and Dougherty [ 19 ] developed and applied a grading scale to assess the narrative portion of 464 reviews of 203 manuscripts using descriptive statistics. The retrospective cohort study by van Lent et al. [ 20 ] assessed peer review comments on drug trials from 246 manuscripts to investigate whether there is a relationship between the content of these comments and sponsorship using a generalised linear mixed model. Most recently, Davis et al. [ 21 ] evaluated reviewer grading forms for surgical journals with higher impact factors and compared them to surgical journals with lower impact factors using Fisher’s exact test.
Despite the readily available reviewer comments that are published alongside the final article of many open access journals, to the best of our knowledge no studies exist to date that used – besides quantitative methods – also qualitative methods to analyse the content of reviewers’ comments. Identifying (negative) reviewer comments will help authors to pay particular attention to these aspects and assist prospective qualitative researchers to understand the most common pitfalls when preparing their manuscript for submission. Thus, the aim of the study was to appraise the quality and nature of reviewers’ feedback in order to understand how reviewers engage with and influence the development of a qualitative manuscript. Our focus on qualitative research can be explained by the fact that we are passionate qualitative researchers with a history in determining the state of qualitative research in health and social science literature [ 22 ]. The following research questions were answered: (1) What are the frequencies of certain commentary types in manuscripts reporting on qualitative research? and (2) What are the nature of reviewers’ comments made on manuscripts reporting on qualitative research?
We conducted a focused mapping review and synthesis (FMRS) [ 22 , 23 , 24 , 25 ]. Most forms of review aim for breadth and exhaustive searches, but the FMRS searches within specific, pre-determined journals. While Platt [ 26 ] observed that ‘a number of studies have used samples of journal articles’, the distinctive feature of the FMRS is the purposive selection of journals. These are chosen for their likelihood to contain articles relevant to the field of inquiry – in this case qualitative research published in open access journals that operate an open peer-review process that involves posting the reviewer’s reports. It is these reports that we have analysed using thematic analysis techniques [ 27 ].
Currently there are over 70 BMC journals that have adopted open peer-review. The FMRS focused on reviewers’ reports published during the first quarter of 2018. Journals were selected using a three-stage process. First, we produced a list with all BMC journals that operate an open peer review process and will publish qualitative research articles ( n = 62). Second, from this list we selected journals that are general fields of practice and non-disease specific ( n = 15). Third, to ensure a sufficient number of qualitative articles, we excluded journals with less than 25 hits on the search term “qualitative” for the year 2018 (search date: 16 July 2018) because chances were considered too slim to contain sufficient articles of interest. At the end of the selection process, the following nine BMC journals were included in our synthesis: (1) BMC Complementary and Alternative Medicine , (2) BMC Family Practice , (3) BMC Health Services Research , (4) BMC Medical Education , (5) BMC Medical Ethics , (6) BMC Nursing , (7) BMC Public Health , (8) Health Research Policy and Systems , and (9) Implementation Science . Since these journals represent different subjects, a variety of qualitative papers written for different audiences was captured. Every article published within the timeframe was scrutinised against the inclusion and exclusion criteria (Table 1 ).
A validated instrument for the classification of reviewer comments does not exist [ 20 ]. Hence, a detailed classification system was developed and pilot tested considering previous research [ 20 ]. Our newly developed data extraction sheet consists of a 77-item classification system organised according to three dimensions: (1) scientific/technical content, (2) writing criteria/representation, and (3) technical criteria. It represents themes and sub-themes identified by reading reviewer comments from twelve articles published in open peer-review journals. For the development of the data extraction sheet, we randomly selected four articles containing qualitative research from each of the following three journals published between 2017 and 2018: BMC Nursing , BMC Family Practice and BMJ Open . We then analysed the reviews of manuscripts by systematically coding and categorising the reviewers’ free-text comments. Following the recommendation by Shashok [ 28 ], we initially organised the reviewer’s comments along two main dimensions, i.e., scientific content and writing criteria. Shashok [ 28 ] argues that when peer reviewers confuse content and writing, their feedback can be misunderstood by authors who may modify texts in unintentional ways to the detriment of the manuscript.
To check the comprehensiveness of our classification system, provisional themes and sub-themes were piloted using reviewer comments we had previously received from twelve of our own manuscripts that had been submitted to journals that operate blind peer-review. We wanted to account for potential differences in reviewers’ feedback (open vs. blind review). As a result of this quality enhancement procedure, three sub-themes and a further dimension (‘technical criteria’) were added. For reasons of clarity and comprehensibility, the dimension ‘scientific content’ was subdivided following the IMRaD structure. IMRaD is the most common organisational structure of an original research article comprising I ntroduction, M ethods, R esults a nd D iscussion [ 29 ]. Anchoring examples were provided for each theme/sub-theme. To account for reviewer comments unrelated to the IMRaD structure, a sub-category called ‘generic codes’ was created to collect more general comments. When reviewer comments could not be assigned to any of the existing themes/sub-themes, they were noted as “Miscellaneous”. Table 2 shows the final data extraction sheet including anchoring examples.
Data extraction was accomplished by six doctoral students (coders). On average, each coder was allocated 18 articles. After reading the reviews, coders independently classified each comment using the classification system. In line with Day et al. [ 30 ] a reviewer comment was defined as “ a distinct statement or idea found in a review, regardless of whether that statement was presented in isolation or was included in a paragraph that contained several statements. ” Editor comments were not included. Reviewers’ comments were copied and pasted into the most appropriate item of the classification system following a set of pre-defined guidelines. For example, a reviewer comment could only be coded once by assigning it to the most appropriate theme/sub-theme. A separate data extraction sheet was used for each article. For the purpose of calibration, the first completed data extraction sheet from each coder together with the reviewer’s comments was sent to the study coordinator (ORH) who provided feedback on classifying the reviewer comments. The aim of the calibration was to ensure that all coders were working within the same parameters of understanding, to discuss the subtleties of the judgement process and create consensus regarding classifications. Although the assignment to specific themes/sub-themes is, by nature, a subjective process, difficult to assign comments were classified following discussion and agreement between coder and study coordinator to ensure reliability. Once all data extraction was completed, two experienced qualitative researchers (CB-J, JT) independently undertook a further calibration exercise of a random sub-sample of 20% of articles ( n = 22) to ensure consistency across coders. Articles were selected using a random number generator. For these 22 articles, classification discrepancies were resolved by consensus between coders and experienced researchers. Finally, all individual data extraction sheets were collated to create a comprehensive Excel spreadsheet with over 8000 cells that allowed tallying the reviewer’s comments across manuscripts for the purpose of data analysis. For each manuscript, a reviewer could have several remarks related to one type of comment. However, each type of comment was scored only once per category.
Finally, reviewer comments were ‘quantitized’ [ 31 ] by applying programming language (Python) to Jupyter Notebook, an open-source web application, to perform frequency counts of free-text comments regarding the 77 items. Among other data manipulation, we sorted elements of arrays in descending order of frequency using Pandas, counted the number of studies in which a certain theme/sub-theme occurred, conducted distinct word searches using NLTK 3 or grouped data according to certain criteria. The calculation of frequencies is a way to unite the empirical precision of quantitative research with the descriptive precision of qualitative research [ 32 ]. This quantitative transformation of qualitative data allowed extracting more meaning from our spreadsheet through revealing patterns across themes/sub-themes, thus giving indicators about which of them to analyse using thematic analysis.
A total of 109 manuscripts submitted to nine open-access journals were included in the FMRS. When scrutinising the peer review reports, we noticed that on one occasion the reviewer’s comments were missing [ 33 ]. For the remaining 108 manuscripts, reviewer comments were accessible via the journal’s pre-publication history. On close inspection, however, it became apparent that one article did not contain qualitative research, thus leaving ultimately 107 articles to work with ( supplementary file ). Considering that each manuscript could potentially be reviewed by multiple reviewers and underwent at least one round of revision, the total number of reviewer reports analysed amounted to 347 containing collectively 1703 reviewer comments. The level of inter-rater agreement for the 22 articles included in the calibration exercise was 97%. Disagreement was, for example, in relation to coding a comment as “miscellaneous” or as “confirmation/approval (from reviewer)”. For 18 out of 22 articles, there was 100% agreement for all types of comments.
The number of reviewers invited by the editor to review a submitted manuscript varied greatly within and among journals. While the majority of manuscripts across journals had been reviewed by two to three reviewers, there were also significant variations. For example, the manuscript submitted to BMC Medical Education by Burgess et al. [ 34 ] had been reviewed by five reviewers whereas the manuscript submitted to BMC Public Health by Lee and Lee [ 35 ] had been reviewed by one reviewer only. Even within journals there was a huge variation. Among our sample, BMC Public Health had the greatest variance ranging from one to four reviewers. Besides, it was noted that additional reviewers were called in not until the second or even third revision of the manuscript. A summary of key information on journals included in the FMRS is provided in Table 3 .
The frequency analysis revealed that the number of articles in which a certain theme/sub-theme occurred ranged from 1 to 79. Across all 107 articles, the types of comments most frequently reported were in relation to generic themes. Reviewer comments regarding “Adding information/detail/nuances”, “Clarification needed”, “Further explanation required” and “Confirmation/approval (from reviewer)” were used in 79, 79, 66 and 63 articles, respectively. The four most frequently used themes/sub-themes are composed of generic codes from dimension I (“Scientific/technical content”). Leaving all generic codes aside, it became apparent that among the 30 most frequently employed themes “Writing criteria” (dimension II) is the top ranking theme, followed by comments in relation to the “Methods” (dimension I) (Table 4 ).
Subsequently, we present key qualitative findings regarding “Confirmation/approval from reviewers” (generic), “Sampling” and “Analysis process” (methods), “Robust/rich data analysis and “Themes/sub-themes” (results) as well as findings that suggest an underlying quantitative mindset of the reviewers.
The theme “confirmation/approval from reviewers” ranks third among the top 30 categories. A total of 63 manuscripts contained at least one reviewer comment related to this theme. Overall, reviewers maintained a respectful and affirmative rhetoric when providing feedback. The vast majority of reviewers began their report by stating that the manuscript was well written. The following is a typical example:
“Overall, the paper is well written, and theoretically informed.” Article #14.
Reviewers then continued to add explicit praise for aspects or sections that were particularly innovative and/or well constructed before they started to put forward any negative feedback.
Across all 107 articles there were 34 reviewer comments in relation to the sampling technique(s). Two major categories were identified: (1) composition of the sample and (2) identification and justification of selected participants. Regarding the former, reviewers raised several concerns about how the sample was composed. For instance, one reviewer wanted to know the reason for female predominance in the study and why an entire focus group was composed of females only. Another reviewer expressed strong criticism on the composition of the sample since only young, educated and non-minority white British participants were included in the study. The reviewer commented:
“ So a typical patient was young, educated and non-minority White British? The research studies these days should be inclusive of diverse types of patients and excluding patients because of their age and ethnicity is extremely concerning to me. This assumption that these individuals will “find it more difficult to complete questionnaires” is concerning ” Article #40.
This raised concerns of potentially excluding important diverse perspectives – such as extreme or deviant cases – from other participants. Similarly, some reviewers expressed concerns that relevant groups of people were not interviewed, calling into question that the findings were theoretically saturated. In terms of the identification of participants, reviewers raised questions regarding how the authors obtained the necessary characteristics to achieve purposive sampling or why only certain groups of people were included for interviews. Besides that, reviewers criticised that some authors did not mention their inclusion/exclusion criteria for selecting participants or did not specify their sampling method. For example:
“The authors state that they recruited a purposive sample of patients for the interviews. Concerning which variables was this sampling purposive? Are there any studies informing the patient selection process?” Article #61.
Hence, reviewers requested more detailed information on how participants were selected and to clearly state the type of sampling. Apart from the two key categories, reviewers made additional comments in relation to data saturation, transferability of findings, limitations of certain sampling methods and criticised the lack of description of participants who were approached but refused to participate in the study.
In 60 out of 107 articles, reviewers made comments in relation to the data analysis. The vast majority of comments stressed that authors provided scarce information about the analysis process. Hence, reviewers requested a more detailed description of the specific analysis techniques employed so that readers can obtain a better understanding of how the analysis was done to judge the trustworthiness of the findings. To this end, reviewers frequently requested an explicit statement on whether the analysis was inductive or deductive or iterative or sequential. One reviewer wrote the following comment:
“Please elaborate more on the qualitative analysis. The authors indicate that they used ‘iterative’ approaches. While this is certainly laudable, it is important to know how they moved from codes to themes (e.g. inductively? deductively?)” Article #5.
Since there are many approaches to analysing qualitative data, reviewers demanded sufficient detail in relation to the underlying theoretical framework used to develop the coding scheme, the analytic process, the researchers’ background (e.g. profession), the number of coders, data handling, length of interviews and whether data saturation occurred. Over a dozen reviewer comments were specifically in relation to the identification of themes/sub-themes. Reviewers requested a more detailed description on how the themes/sub-themes were derived from codes and whether they were developed by a second researcher working independently from each other.
“I would have liked to read how their themes were generated, what they were and how they assured robust practices in qualitative data analysis”. Article #43.
Besides that, some reviewers were in the opinion that the approach to analysis has led to a surface-level penetration of the data which was reflected in the Results section where themes were underexplored (for more detail see “ Robust/rich data analysis” below). Finally, reviewer comments that occurred infrequently included questions concerning the inter-rater reliability, competing interpretations of data, the use of computer software or the original interview language.
Among the 30 reviewer comments related to this theme/sub-theme, three key facets were observed: (1) greater analytical depth required, (2) suggestions for further analysis, and (3) themes are underexplored. In relation to the first point, reviewers requested more in-depth data analysis to strengthen the quality of the manuscript. Reviewers were in the opinion that authors reproduced interview data (raw data) in a reduced form with minimal or no interpretation, thus leaving the interpretation to the reader. Other reviewers referred to manuscripts as preliminary drafts that need to be further analysed to achieve greater analytical depth of themes, make links between themes or identify variations between respondents. In relation to the second point, several reviewers offered suggestions for further analysis. They provided detailed information on how to further explore the data and what additional results they would like to see in the revised version (e.g. group comparison, gender analysis). The latter aspect goes hand in hand with the third point. Several reviewers pointed out that the findings were shallow, simplistic or superficial at best; lacking the detailed descriptions of complex accounts from participants. For example:
“The results of the study are mostly descriptive and there is limited analysis. There is also absence of thick description, which one would expect in a qualitative study”. Article #34.
Even after the first revision, some manuscripts still lacked detailed analysis as the following comment from the same reviewer illustrates:
“I believe that the results in the revised version are still mostly descriptive and that there is limited analysis”. Article #34, R1.
Other, less frequently mentioned reviewer comments included lack of deviant cases or absence of relationships between themes.
In total, there were 24 reviewer comments in relation to themes/sub-themes. More than half of the comments fell into one of the three categories: (1) themes/sub-themes are not sufficiently supported by data, (2) example/excerpt does not fit the stated theme, and (3) use of insufficient quotes to support theme/sub-theme. In relation to the first category, reviewers largely criticised that the data provided were insufficient to warrant being called a theme. Reviewers requested to provide data “from more than just one participant” to substantiate a certain theme or criticised that only a short excerpt was provided to support a theme. The second category dealt with reviewer comments that questioned whether the excerpts provided actually reflected the essence of a theme/sub-theme presented in the results section. The following reviewer comment exemplifies the issue:
“The data themes seem valid, but the data and narratives used to illustrate that don’t seem to fit entirely under each sub-heading”. Article #99.
Some reviewers provided alternative suggestions on how to call a theme/sub-theme or advised the authors to rethink if excerpts might be better placed under a different theme. The third category concerns themes/sub-themes that are not sufficiently supported by participants’ quotes. Reviewers perceived direct quotes as evidence to support a certain theme or as a means to add strength to the theme as the following example illustrates:
“Please provide at least one quote from each school leader and one quote from children to support this theme, if possible. It would seem that most, if not all, themes should reflect data from each participant group”. Article #88.
Hence, the absence of quotes prompted reviewers to request at least one quote to justify the existence of that theme. The inclusion of a rich set of quotes was perceived as strength of a manuscript. Finally, less frequently raised reviewer comments related to the discrimination of similar themes, the presentation of quotes in tables (rather than under the appropriate theme headings), the lack of defining a theme and reducing the number of themes.
Some reviewers who were appointed by journal editors to review a manuscript containing qualitative research evaluated the quality of the manuscript from a perspective of a quantitative research paradigm. Some reviewers not only used terminology that is attuned to quantitative research, but also their judgements were based on a quantitative mindset. In particular, there were a number of reviewer comments published in BMC Health Services Research , BMC Medical Education and BMC Family Practice that demonstrated an apparent lack of understanding of the principles underlying qualitative inquiry of the person providing the review. First, several reviewers seemed to have confused the concept of generalisability with the concept of representativeness inherently associated with the positivist tradition. For instance, reviewers erroneously raised concerns about whether interviewees were “representative” of the “final target population” and requested the provision of detailed demographic characteristics.
“Need to better describe how the patients are representative of patients with chronic heart failure in the Netherlands generally. The declaration that “a representative group of patients were recruited” would benefit from stating what they were representative of.” Article # 66.
Similarly, another reviewer wanted to know from the authors how they ensured that the qualitative analysis was done objectively.
“The reader would benefit from a detailed description of […] how did the investigators ensure that they were objective in their analysis – objectivity and trustworthiness?” Article #22.
Furthermore, despite the fact that the paradigm wars have largely come to an end, hostility has not ceased on all fronts. In some reviewers the dominance and superiority of the quantitative paradigm over the qualitative paradigm is still present as the following comment illustrates:
“The main question and methods of this article is largely qualitative and does not seem to have significant implications for clinical practice, thus it may not be suitable to publish in this journal.” Article #45.
Finally, one reviewer apologised at the outset of the reviewer’s report for being unable to judge the data analysis due to the absence of sufficient knowledge in qualitative research.
Overall, in this FMRS we found that reviewers maintained a respectful and affirmative rhetoric when providing feedback. Yet, the positive feedback did not overshadow any key negative points that needed to be addressed in order to increase the quality of the manuscript. However, it should not be taken for granted that all reviewers are as courteous and generous as the ones included in our particular review, because as Taylor and Bradbury-Jones [ 36 ] observed there are many examples where reviewers can be unhelpful and destructive in their comments.
A key finding of this FMRS is that reviewers are more inclined to comment on the writing rather than the methodological rigour of a manuscript. This is a matter of concern, because Altman [ 37 ] – the originator of the EQUATOR (Enhancing the Quality and Transparency of Health Research) Network – has pointed out: “Unless methodology is described the conclusions must be suspect”. If we are to advance the quality of qualitative research then we need to encourage clarity and depth in reporting the rigour of research.
When reviewers did comment on the methodological aspects of an article, issues frequently commented on by reviewers were in relation to sampling, data analysis, robust/rich data analysis as reflected in the findings and themes/sub-themes that are insufficiently supported. Considerable work has been undertaken over the past decade trying to improve the reporting standards of qualitative research through the dissemination of qualitatively oriented reporting guidelines such as the ‘Standards for Reporting Qualitative Research’ (SRQR) [ 38 ] or the ‘Consolidated Criteria for Reporting Qualitative Research’ (COREQ) [ 39 ] with the aim of improving transparency of qualitative research. Although these guidelines appear to be comprehensive, some important issues identified in our study are not mentioned or only dealt with somewhat superficially: sampling for example. Neither COREQ nor SRQR shed light on the appropriateness of the sample composition, i.e., to critically question whether all relevant groups of people have been identified as potential participants or whether extreme or deviant cases were sought.
Similarly, lack of in-depth data analysis has been identified as another weakness where uninterpreted (raw) data were presented as if they were findings. However, existing reporting guidelines are not sharp enough to distinguish between findings and data. While findings are researchers’ interpretations of the data they collected, data consist of empirical, uninterpreted material researchers offer as their findings [ 32 ]. Hence, we suggest modifying the current reporting guidelines by including a further item to the checklist called “Degree of data transformation”. The suggested checklist item might prompt both authors and reviewers to make a judgment about the degree to which data have been transformed, i.e., interpretively removed from data as given. The rationale for the new item is to raise authors’ and reviewers’ awareness for the appropriateness of the degree of data transformation in relation to the chosen analysis method. For example, findings derived from content analysis remain close to the data as they were given to the research; they are often organised into surface classification systems and summarised in brief text. Findings derived from grounded theory, however, should offer a coherent model or line of argument which addresses causality or the fundamental nature of events or experiences [ 32 ].
Besides that, some reviewers put forward comments that we refer to as aligning with a ‘quantitative mindset’. Such reviewers did not appear to understand that rather than aspiring to statistical representativeness, in qualitative research participants are selected purposefully for the contribution they can make towards the phenomenon under study [ 40 ]. Hence, the generalisability of qualitative findings beyond an immediate group of participants is judged by similarities between the time, place, people or other social contexts [ 41 ] rather than in relation to the comparability of the demographic variables. It is the fit of the topic or the comparability of the problem that is of concern [ 40 ].
The majority of issues that reviewers picked up on are already mentioned in reporting guidelines, so there is no reason why these were omitted by researchers. Many journals now insist on alignment with COREQ criteria, so there is an important question to be asked as to why this is not always happening. We suggest that completion of an established reporting checklist (e.g. COREQ, SRQR) on submission becomes a requirement.
In this FMRS we have made judgements about fellow peer reviewers and found their feedback to be constructive, but also, among some, we found some lack of grasp of the essence of the qualitative endeavor. Some reviewers did not seem to understand that objectivity and representative sampling are the antithesis of subjectivity, reflexivity and data saturation. We acknowledge though, that individual reviewers might have varying levels of experience and competence both in terms of qualitative research, but also in the reviewing process. We found one reviewer who apologised at the outset of the reviewer’s report for being unable to judge the data analysis due to their absence of sufficient knowledge in qualitative research. In line with Spigt and Arts [ 42 ], we appreciate the honesty of that reviewer for being transparent about their skillset. The lessons here we feel are for more experienced reviewers to offer support and reviewing mentorship to those who are less experienced and for reviewers to emulate the honesty of the reviewer as discussed here, by being open about their capabilities within the review process.
Based on our findings, we have a number of recommendations for both researchers and reviewers. For researchers reporting qualitative studies, we suggest that particular attention is paid to reporting of sampling techniques, both in the characteristics and composition of the sample, and how participants were selected. This is an issue that the reviewers in our FMRS picked up on, so forewarned is forearmed. But it is also crucially important that sampling matters are not glossed over, so this constitutes good practice in research reporting as well. Second, it seems that qualitative researchers do not give sufficient detail about analytic techniques and underlying theoretical frameworks. The latter has been pointed out before [ 25 ], but both these aspects were often the subject of reviewer comments.
Our recommendation for reviewers is simply to be honest. If qualitative research is not an area of expertise, then it is better to decline to undertake the review, than to apply a quantitative lens in the assessment of a qualitative piece of work. It is inappropriate to ask for details about validity and generalisability and shows a lack of respect to qualitative researchers. We are well beyond the arguments about quantitative versus qualitative [ 43 ]. It is totally appropriate to comment on background and findings and any obvious deficiencies. Finally, our recommendation to editors is a difficult one, because as editors ourselves we know how challenging it can be to find willing reviewers. When selecting reviewers however, it is as important to bear in mind the methodological aspects of an article and its subject, and to select reviewers with appropriate methodological expertise. Some journals make it a requirement for quantitative articles to be reviewed by a statistical expert and we think this is good practice. When it comes to qualitative articles however, the methodological expertise of reviewers may not be so stringently noted and applied. Editors could make a difference here and help to push up the quality of qualitative reviews.
Since we had only access to reviewer’s comments of articles that were finally published in open access journals, we are unable to compare them to types of comments related to rejected submissions. Thus, this study was limited to manuscripts that were sent out for external peer review and were finally published. Furthermore, the chosen study design of analysing only reviewer comments of published articles with an open system of peer review did not allow direct comparison with reviewer comments derived from blind-review.
FMRS provides a snap-shot of a particular issue at one particular time [ 23 ]. To that end, findings might be different in another review undertaken in a different time period. However, as a contemporary profile of reviewing within qualitative research, the current findings provide useful insights for authors of qualitative reports and reviewers alike. Further research should focus on comparing reviewer comments taken from an open and closed system of peer review in order to identify similarities and differences between the two models of peer review.
A limitation is that we reviewed open access journals because this was the only way of accessing a range of comments. The alternative that we did consider was to use the feedback provided by reviewers on our own manuscripts. However, this would have lacked the transparency and traceability associated with this current FMRS, which we consider to be a strength. That said, there may be an inherent problem in having reviewed open access peer review comments, where both the author and reviewer are known. Reviewers are unable to ‘hide behind’ the anonymity of blind peer review and this might reflect, at least in part, why their comments as analysed for this review were overwhelmingly courteous and constructive. This is at odds with the comments that one of us has received as part of a blind peer review: ‘silly, silly, silly’ [ 36 ].
This FMRS has highlighted some important issues in the field of qualitative reviewing that hold lessons for authors, reviewers and editors. Authors of qualitative reports are called upon to follow guidelines on reporting and any amendments that these might contain as recommended by the findings of our review. Humility and transparency are required among reviewers when it comes to accepting to undertake a review and an honest appraisal of their capabilities in understanding the qualitative endeavor. Journal editors can assist this by thoughtful and judicious selection of reviewers. Ultimately, all those involved with the publication process can drive up the quality of individual qualitative articles and the synergy is such that this can make a significant impact on quality across the field.
The datasets used and/or analysed during the current study are available from the corresponding author on reasonable request.
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The support of Daniel Rütter in compiling data and providing technical support is gratefully acknowledged. Furthermore, we would like to thank Holger Hönings for applying general-purpose programming language to allow for a quantification of reviewer comments in the MS Excel spreadsheet.
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Institute of General Practice, Centre for Health and Society, Medical Faculty of the Heinrich Heine University Düsseldorf, Moorenstr. 5, 40225, Düsseldorf, Germany
Oliver Rudolf HERBER
School of Nursing, College of Medical and Dental Sciences, University of Birmingham, Birmingham, UK
Caroline BRADBURY-JONES & Julie TAYLOR
Institute of Health and Care Sciences, Sahlgrenska Academy at the University of Gothenburg, Gothenburg, Sweden
Susanna BÖLING
Florence Nightingale Faculty of Nursing, Midwifery & Palliative Care, King’s College London, London, UK
Sarah COMBES
Institute of Applied Nursing Sciences, Department of Health, University of Applied Sciences FHS St.Gallen, St. Gallen, Switzerland
Julian HIRT
Cardiology department, Radboud University Medical Centre, Nijmegen, the Netherlands
Yvonne KOOP
Division of Emergencies and Critical Care, Oslo University Hospital/Institute of Health and Society, Faculty of Medicine, University of Oslo, Oslo, Norway
Ragnhild NYHAGEN
Hogeschool Utrecht, Utrecht, the Netherlands
Jessica D. VELDHUIZEN
Birmingham Women’s and Children’s Hospitals NHS Foundation Trust, Birmingham, UK
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All authors have made an intellectual contribution to this research paper. ORH conducted the qualitative analysis and wrote the first draft of the paper. SB, SC, JH, YK, RN and JDV extracted and classified each comment using the classification system. CB-J and JT independently undertook a calibration exercise of a random sub-sample of articles ( n = 22) to ensure consistency across coders. All co-authors (CB-J, SB, SC, JH, YK, RN, JDV and JT) have input into drafts and have read and approved the final version of the manuscript.
Correspondence to Oliver Rudolf HERBER .
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Additional file 1.
References of all manuscripts included in the analysis ( n = 107).
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HERBER, O.R., BRADBURY-JONES, C., BÖLING, S. et al. What feedback do reviewers give when reviewing qualitative manuscripts? A focused mapping review and synthesis. BMC Med Res Methodol 20 , 122 (2020). https://doi.org/10.1186/s12874-020-01005-y
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In order to make a decision about implementing evidence into practice, nurses need to be able to critically appraise research. Nurses also have a professional responsibility to maintain up-to-date practice. 1 This paper provides a guide on how to critically appraise a qualitative research paper.
Useful terms
Some of the qualitative approaches used in nursing research include grounded theory, phenomenology, ethnography, case study (can lend itself to mixed methods) and narrative analysis. The data collection methods used in qualitative research include in depth interviews, focus groups, observations and stories in the form of diaries or other documents. 3
Title, keywords, authors and abstract.
In a previous paper, we discussed how the title, keywords, authors’ positions and affiliations and abstract can influence the authenticity and readability of quantitative research papers, 4 the same applies to qualitative research. However, other areas such as the purpose of the study and the research question, theoretical and conceptual frameworks, sampling and methodology also need consideration when appraising a qualitative paper.
The topic under investigation in the study should be guided by a clear research question or a statement of the problem or purpose. An example of a statement can be seen in table 2 . Unlike most quantitative studies, qualitative research does not seek to test a hypothesis. The research statement should be specific to the problem and should be reflected in the design. This will inform the reader of what will be studied and justify the purpose of the study. 5
Example of research question and problem statement
An appropriate literature review should have been conducted and summarised in the paper. It should be linked to the subject, using peer-reviewed primary research which is up to date. We suggest papers with a age limit of 5–8 years excluding original work. The literature review should give the reader a balanced view on what has been written on the subject. It is worth noting that for some qualitative approaches some literature reviews are conducted after the data collection to minimise bias, for example, in grounded theory studies. In phenomenological studies, the review sometimes occurs after the data analysis. If this is the case, the author(s) should make this clear.
Most authors use the terms theoretical and conceptual frameworks interchangeably. Usually, a theoretical framework is used when research is underpinned by one theory that aims to help predict, explain and understand the topic investigated. A theoretical framework is the blueprint that can hold or scaffold a study’s theory. Conceptual frameworks are based on concepts from various theories and findings which help to guide the research. 6 It is the researcher’s understanding of how different variables are connected in the study, for example, the literature review and research question. Theoretical and conceptual frameworks connect the researcher to existing knowledge and these are used in a study to help to explain and understand what is being investigated. A framework is the design or map for a study. When you are appraising a qualitative paper, you should be able to see how the framework helped with (1) providing a rationale and (2) the development of research questions or statements. 7 You should be able to identify how the framework, research question, purpose and literature review all complement each other.
There remains an ongoing debate in relation to what an appropriate sample size should be for a qualitative study. We hold the view that qualitative research does not seek to power and a sample size can be as small as one (eg, a single case study) or any number above one (a grounded theory study) providing that it is appropriate and answers the research problem. Shorten and Moorley 8 explain that three main types of sampling exist in qualitative research: (1) convenience (2) judgement or (3) theoretical. In the paper , the sample size should be stated and a rationale for how it was decided should be clear.
Qualitative research encompasses a variety of methods and designs. Based on the chosen method or design, the findings may be reported in a variety of different formats. Table 3 provides the main qualitative approaches used in nursing with a short description.
Different qualitative approaches
The authors should make it clear why they are using a qualitative methodology and the chosen theoretical approach or framework. The paper should provide details of participant inclusion and exclusion criteria as well as recruitment sites where the sample was drawn from, for example, urban, rural, hospital inpatient or community. Methods of data collection should be identified and be appropriate for the research statement/question.
Overall there should be a clear trail of data collection. The paper should explain when and how the study was advertised, participants were recruited and consented. it should also state when and where the data collection took place. Data collection methods include interviews, this can be structured or unstructured and in depth one to one or group. 9 Group interviews are often referred to as focus group interviews these are often voice recorded and transcribed verbatim. It should be clear if these were conducted face to face, telephone or any other type of media used. Table 3 includes some data collection methods. Other collection methods not included in table 3 examples are observation, diaries, video recording, photographs, documents or objects (artefacts). The schedule of questions for interview or the protocol for non-interview data collection should be provided, available or discussed in the paper. Some authors may use the term ‘recruitment ended once data saturation was reached’. This simply mean that the researchers were not gaining any new information at subsequent interviews, so they stopped data collection.
The data collection section should include details of the ethical approval gained to carry out the study. For example, the strategies used to gain participants’ consent to take part in the study. The authors should make clear if any ethical issues arose and how these were resolved or managed.
The approach to data analysis (see ref 10 ) needs to be clearly articulated, for example, was there more than one person responsible for analysing the data? How were any discrepancies in findings resolved? An audit trail of how the data were analysed including its management should be documented. If member checking was used this should also be reported. This level of transparency contributes to the trustworthiness and credibility of qualitative research. Some researchers provide a diagram of how they approached data analysis to demonstrate the rigour applied ( figure 1 ).
Example of data analysis diagram.
The study’s validity is reliant on the statement of the question/problem, theoretical/conceptual framework, design, method, sample and data analysis. When critiquing qualitative research, these elements will help you to determine the study’s reliability. Noble and Smith 11 explain that validity is the integrity of data methods applied and that findings should accurately reflect the data. Rigour should acknowledge the researcher’s role and involvement as well as any biases. Essentially it should focus on truth value, consistency and neutrality and applicability. 11 The authors should discuss if they used triangulation (see table 2 ) to develop the best possible understanding of the phenomena.
In qualitative research no hypothesis is tested, therefore, there is no specific result. Instead, qualitative findings are often reported in themes based on the data analysed. The findings should be clearly linked to, and reflect, the data. This contributes to the soundness of the research. 11 The researchers should make it clear how they arrived at the interpretations of the findings. The theoretical or conceptual framework used should be discussed aiding the rigour of the study. The implications of the findings need to be made clear and where appropriate their applicability or transferability should be identified. 12
The discussion should relate to the research findings as the authors seek to make connections with the literature reviewed earlier in the paper to contextualise their work. A strong discussion will connect the research aims and objectives to the findings and will be supported with literature if possible. A paper that seeks to influence nursing practice will have a recommendations section for clinical practice and research. A good conclusion will focus on the findings and discussion of the phenomena investigated.
Qualitative research has much to offer nursing and healthcare, in terms of understanding patients’ experience of illness, treatment and recovery, it can also help to understand better areas of healthcare practice. However, it must be done with rigour and this paper provides some guidance for appraising such research. To help you critique a qualitative research paper some guidance is provided in table 4 .
Some guidance for critiquing qualitative research
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Background: The qualitative systematic review is a rapidly developing area of nursing research. In order to present trustworthy, high-quality recommendations, such reviews should be based on a review protocol to minimize bias and enhance transparency and reproducibility. Although there are a number of resources available to guide researchers in developing a quantitative review protocol, very few resources exist for qualitative reviews.
Aims: To guide researchers through the process of developing a qualitative systematic review protocol, using an example review question.
Methodology: The key elements required in a systematic review protocol are discussed, with a focus on application to qualitative reviews: Development of a research question; formulation of key search terms and strategies; designing a multistage review process; critical appraisal of qualitative literature; development of data extraction techniques; and data synthesis. The paper highlights important considerations during the protocol development process, and uses a previously developed review question as a working example.
Implications for research: This paper will assist novice researchers in developing a qualitative systematic review protocol. By providing a worked example of a protocol, the paper encourages the development of review protocols, enhancing the trustworthiness and value of the completed qualitative systematic review findings.
Linking evidence to action: Qualitative systematic reviews should be based on well planned, peer reviewed protocols to enhance the trustworthiness of results and thus their usefulness in clinical practice. Protocols should outline, in detail, the processes which will be used to undertake the review, including key search terms, inclusion and exclusion criteria, and the methods used for critical appraisal, data extraction and data analysis to facilitate transparency of the review process. Additionally, journals should encourage and support the publication of review protocols, and should require reference to a protocol prior to publication of the review results.
Keywords: guidelines; meta synthesis; qualitative; systematic review protocol.
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As role substitution models gain prominence in healthcare, understanding the factors shaping their effectiveness is paramount. This study aimed to investigate factors that impact the implementation and performance evaluation of professional role substitution models in healthcare, with a focus on understanding the variables that determine their success or failure in adoption, execution, continuity, and outcomes.
The exploratory qualitative study used semi-structured interviews with key opinion leaders, decision makers, facilitators, recipients, and frontline implementers, who had influence and involvement in the implementation of professional role substitution models. Data analysis was guided by the Consolidated Framework for Implementation Research (CFIR).
Between November 2022 and April 2023, 39 stakeholders were interviewed. Factors influencing implementation and evaluation of allied health professional role substitution models of care aligned with the five core CFIR domains (innovation, outer setting, inner setting, individuals, implementation process) and outcome domain incorporating implementation and innovation outcomes. The six themes identified within these CFIR domains were, respectively; i) Examining the dynamics of innovation catalysts, evidence, advantages, and disadvantages; ii) Navigating the complex landscape of external factors that influence implementation and evaluation; iii) Impact of internal structural, political, and cultural contexts; iv) The roles and contributions of individuals in the process; v) Essential phases and strategies for effective implementation; and vi) The assessment of outcomes derived from allied health professional role substitution models.
The study highlights the complex interplay of contextual and individual factors that influence the implementation and performance evaluation of professional role substitution models. It emphasises the need for collaboration among diverse stakeholders to navigate the challenges and leverage the opportunities presented by expanded healthcare roles. Understanding these multifaceted factors can contribute to the development of an empowered workforce and a healthcare system that is more efficient, effective, safe, and sustainable, ultimately benefiting patients.
Peer Review reports
• There is limited understanding of the complex interplay of contextual and individual factors that influence implementation and performance evaluation of professional role substitution models of care.
• This study provides comprehensive guidance on successful implementation and evaluation of new models of care which influences efficient use of resources in healthcare.
• This study contributes to recognised gaps in literature, seeking to demonstrate value proposition of professional role substitution models of care. This study has identified outcome measures that can determine the successful implementation and impact of these models of care
The healthcare sector plays a crucial role in ensuring the well-being of individuals and society, but it is facing challenges due to a growing and ageing population. The demand for high-quality healthcare has increased significantly, while the shortage of healthcare workers has become a pressing concern [ 1 , 2 ]. Workforce reforms are now being prioritised in healthcare to shape the future of healthcare delivery. These reforms include initiatives to increase the number of healthcare workers, enhance the quality and duration of healthcare education and training, and diversify the healthcare workforce.
One key strategy to address healthcare challenges is the expanded scope of practice for non-medical healthcare professionals [ 3 ]. This expansion entails a discrete knowledge and skill base beyond the recognised scope of practice within a specific jurisdiction's regulatory framework [ 4 ]. It empowers healthcare practitioners such as nurse practitioners, allied health professionals, and physician assistants to practice to the full extent of their training and education, or to extend their scope of practice beyond traditional boundaries [ 5 , 6 , 7 ]. Consequently, they can perform a broader range of tasks, including those previously reserved for medical doctors.
Professional role substitution models have improved patients' access to healthcare services [ 8 , 9 , 10 ]. Moreover, there is a growing body of evidence suggesting that these alternative healthcare delivery models can provide safe and effective care that patients find acceptable. Nurse practitioners and advanced nurses in the US, Canada, the UK, and Australia expand primary care roles, including diagnosis, prescribing, patient education, managing long-term conditions, and minor surgeries [ 9 , 11 , 12 , 13 ]. Physician assistants (PAs) in countries like the US, Canada, and the Netherlands work closely with physicians, conducting assessments, diagnosing, treating common illnesses, and providing patient education. PAs improve healthcare access, especially in underserved and rural areas with physician shortages [ 14 , 15 , 16 ].
In developing countries with limited healthcare resources, professional role substitution models are vital for addressing shortages of skilled healthcare providers and improving access to essential services. For instance, in sub-Saharan Africa, task shifting from physicians to nurses and community health workers addresses the scarcity of skilled providers [ 17 , 18 ]. Community health workers, trained to deliver basic healthcare services and education, play crucial roles in preventive and promotive interventions, particularly in rural and underserved areas [ 18 ]. Nurse-led clinics have also proven successful in delivering comprehensive primary care services, such as antenatal care and family planning, alleviating pressure on strained healthcare systems [ 19 , 20 , 21 ].
Allied health professionals, encompassing disciplines such as speech pathology, pharmacy, dietetics, physiotherapy, occupational therapy, radiography, sonography, psychology, and social work, are increasingly vital in diverse healthcare settings. Supported by mounting evidence of their effectiveness, their role continues to expand [ 10 , 22 ]. Despite substantial growth, particularly notable in Australia where they rank as the second-largest healthcare group, [ 23 ] the implementation of professional role substitution within allied health is relatively new compared to fields like nursing and physician assistants [ 24 ].
The successful implementation of all professional role substitution models including allied health is complex and contingent on various factors which are not currently well understood or defined [ 10 , 22 , 25 ]. To ensure success, it is essential to consider the impact on patients, healthcare professionals, and the healthcare system [ 25 ]. This must be approached from a multi-stakeholder perspective, involving experts in the field, key opinion leaders, healthcare leaders, decision makers, policy makers, recipients, and frontline implementers.
Research into the expanded scope of practice within allied health disciplines, including implementation and performance evaluation, is crucial [ 6 , 23 , 25 , 26 ]. Previous studies have highlighted patients' perceptions and experiences of healthcare quality in role substitution models [ 27 , 28 ]. While clinicians express support for performance evaluation, there's a gap between support and effective implementation [ 29 ]. There's also a lack of agreed-upon approaches for measuring performance [ 25 , 29 ]. Collaborative efforts involving multiple stakeholders are essential for understanding robust evaluation methods and optimising alternative models of care for healthcare transformation and sustainability [ 25 ].
To address this gap in knowledge and practice, this study aimed to describe the individual and contextual factors that influence the implementation and performance evaluation of allied health professional role substitution models from a multi-stakeholder perspective. Furthermore, the study aimed to identify outcome measures that can demonstrate the successful implementation and impact of these models of care.
An exploratory qualitative approach was used to explore expectations, perceptions, and experiences of stakeholders involved in the implementation and performance evaluation of professional role substitution models of care. Semi-structured interviews were chosen as the primary method of data collection to allow for flexible exploration of specific topics and issues, maximising the richness of the data [ 30 ]. The study adhered to the Consolidated Criteria for Reporting Qualitative Research (COREQ) guidelines [ 31 ]. Please see Additional file 1
This study was conducted within the public healthcare system of the State of Queensland, Australia. This comprises 16 hospital and health services and approximately 35,000 allied health professionals [ 32 ]. Queensland initiated an allied health strategy in 2014 to expand professionals' scope of practice, resulting in the establishment of 133 distinct models of care by 2019 [ 24 , 33 , 34 ]. Examining this system offers valuable insights into implementing and evaluating professional role substitution models, providing practical understanding within a specific healthcare context.
A purposeful sampling strategy was employed to recruit key stakeholders at various levels of the healthcare system who were involved in some way in the implementation and performance evaluation of allied health professional role substitution models of care. Participants included experts in the field, key opinion leaders, decision makers, recipients, and frontline implementers, implementation facilitators and support teams. A sampling matrix was used to consider factors such as location, affiliation, organisational role, tenure, and profession ensuring diversity and representation across the different dimension of the healthcare system. While a specific target number of participants was not predetermined, our aim was to achieve saturation in the sample, ensuring comprehensive coverage of perspectives and experiences relevant to our research objectives. Email invitations were sent to potential participants/participant groups, along with study information and consent forms. Those who agreed to participate contacted the principal investigator to arrange a suitable interview time.
The research team comprised individuals with diverse backgrounds and roles, including experts in professional role substitution, health services research, economics, qualitative study methodology, and healthcare management.
This study was performed in line with the principles of the Declaration of Helsinki with approval granted by Gold Coast Hospital and Health Service (HREC/2020/QGC/62104) and Griffith University (GU Ref No: 2020/876). All participants provided written informed consent.
An interview guide was developed by the research team to ensure coverage of the study aims and objectives (Additional file 2). The guide was pilot tested with three eligible participants, resulting in minor wording adjustments for clarity. Interviews were conducted either face-to-face or via video conferencing with only interviewer and participant present. The semi-structured interviews were designed to elicit open-ended responses from participants, with the interviewer using prompts and probing techniques as needed. Data collection continued until data saturation was reached, indicating that no new themes were emerging [ 35 ]. All interviews were audio-recorded, transcribed, and supplemented with field notes for additional context and consistency. Each participant was allocated an anonymous identifier, comprising their participant number along with a descriptor of their role or professional background. (e.g., P34, Workforce and Education). Participants were offered the opportunity to check their transcript.
Descriptive statistics were used to analyse demographic data, such as participants' time in their current role, age, gender, and education level. Exploration of contextual influences on implementation and performance evaluation was guided by the Consolidated Framework for Implementation Research (CFIR) [ 36 ]. The CFIR is a comprehensive framework that focuses on understanding and improving the implementation and evaluation of health innovations. Its adaptability enables integration into various contexts, fostering analysis and facilitating cross-study comparisons. This versatility supports a systematic approach to evaluating implementation processes and outcomes, thereby enriching our understanding of innovation dynamics across diverse settings [ 36 ].
It consists of six domains: 1. Innovation domain (the model of care being implemented), 2. Outer setting (the healthcare system in which the inner setting exists) 3. Inner setting (the site in which the model of care is implemented e.g., hospital) 4. Individuals (the roles and characteristics of individuals involved in the implementation process), 5. Implementation process (the activities and strategies used to implement the model of care), 6. Implementation outcomes (perceptions and measures of implementation success or failure), and Innovation outcomes (outcomes that capture success or failure of model of care) [ 36 , 37 , 38 ].
A reflexive thematic approach was taken for qualitative analysis [ 39 ]. The analysis began deductively with codes derived from the CFIR, followed by inductive coding to identify additional categories. These codes were assigned using CFIR definitions, inclusion/exclusion criteria, and appropriate quote examples. NVivo V10 software (QSR International Ltd.) was used to facilitate data management.
Investigator triangulation was employed, with the principal researcher (R.N.M) coding all interviews and 20% of the interviews coded by a second researcher (R.L.A) to enhance reliability and provide different perspectives [ 40 ]. All authors participated in summarising codes prioritised for analysis and interpreting the results. A matrix was created to compare the ratings of each CFIR construct, focusing on any differences among stakeholders. Data extracts were selected to illustrate themes and subthemes, incorporating multiple perspectives for interpretation.
A total of 39 stakeholders from various hospital and health services across Queensland were interviewed. The stakeholders represented a broad spectrum of positions and roles within the healthcare system, categorised into eight groups: allied health clinicians, medical practitioners/general practitioners, nursing staff, allied health leadership, hospital and health services/statewide leadership, recipients, implementation support personnel, workforce and education. Table 1 provides demographic details of the participants.
Participants had been in their roles on average 11 years, (range 1-27 years). Interviews had an average duration of 32 minutes (range 15-59 minutes). Five interviews were conducted face to face with the remainder ( n =34) conducted through video conferencing.
Six themes were identified which aligned with the five CFIR domains and the outcomes domain. Twenty-seven underlying constructs and subconstructs of the CFIR were identified as factors influencing implementation of professional role substitution in our analysis. Ten constructs were identified in the implementation and innovation outcome categories. Main domains and constructs are illustrated in Fig. 1 .
Key implementation and evaluation constructs for professional role substitution models of care
Examining the dynamics of innovation catalysts, evidence, advantages, and disadvantages in allied health professional role substitution models of care.
The following section delineates the three primary constructs aligning with CFIR domains and an additional domain, namely "relative disadvantage." These constructs were identified from the perspectives of participants regarding professional role substitution models of care as an innovative approach.
Participants recognised healthcare system strain due to workforce shortages, rising costs, and increased needs with policies now prioritising workforce reform as a key healthcare strategy. The 2006 Australian Productivity Commission review, focusing on optimising scope, competencies, and job redesign was frequently cited by interviewees as the catalyst for change. The Ministerial Taskforce on Health Practitioner Expanded Scope of Practice (Queensland), alongside similar taskforces nationwide, played a vital role in implementing allied-health professional role substitution models of care. “There were a broad range of stakeholders involved in the task force across Queensland Health and external to Queensland in 2014. There was a number of recommendations in the report with overall endorsement from the Minister.” (P34, Workforce and Education)
Furthermore, the Allied Health Professions' Office supported these efforts by funding care models, addressing legislative barriers, developing training, supporting research, monitoring progress, and sharing achievements. A participant explained, ‘The office was charged with implementing the recommendations and to test these models of care. Particularly things like requesting and interpreting forms for diagnostic imaging and requesting pathology.” ( P34, Workforce and Education)
Participants expressed varying perspectives on the evidence base for professional role substitution models of care. Some noted a reliance on grey literature or information from pilots, highlighting the limited evidence supporting certain models. Conversely, others believed the evidence base was robust and questioned the need for further piloting. “It should be business as usual and that’s something we’ve tried to promote where we’ve got evidence from other jurisdictions and internationally. There should then be efforts to implement and try and replicate those results and take it to scale.” (P34, Workforce and Education).
Established services in other countries and professions influenced the implementation in Australia. Clinician leads or facilitators with prior experience in allied health models were identified as key enablers of this process. One participant shared their experience stating, “I was involved with that over there in the UK and so I came with that mentality to Queensland. When I worked as a fellow, I was surprised that there wasn’t that model, and I advocated for it and was told we don’t do that here. So, we ended up running extra clinics as fellows to see the long-wait patients when I knew that back in the UK it would have been [allied health discipline ].” (P19, Medical Specialist)
Participants, healthcare professional and patients alike identified several advantages of allied health professional role substitution models. These models improved access to care, particularly benefiting underserved areas, and boosted efficiency by “streamlining decision-making and minimising duplication” (P19, Medical specialist). A patient shared their positive experience, stating, “If anything, I thought I was really special. I got pushed ahead really. I didn’t have to wait so long, and I wasn’t made to feel silly for my symptoms and they were investigated. The whole experience was positive.” ( P39, Consumer/Recipient)
While considered cost-effective by those interviewed due to reduced reliance on specialists in resource-limited settings, many highlighted the need for further cost-effectiveness data. One participant mentioned,
“You can get comparable or sometimes a better service at a lower cost using alternate models of care.” (P17, Medical Specialist)
Participants indicated that these models enabled allied health professionals to provide comprehensive, patient-centred care, enhancing overall healthcare experiences and patient satisfaction. Another viewpoint shared was, “ It's about getting patients to clinicians with holistic skill sets rather than just the medical model. Traditionally, patients wait a long time to see a medical professional, only to be referred back to the same clinician “, ( P15, Implementation Support). Additionally, clinicians working in these roles noted , “So, they’re kind of getting that one stop assessment, where the speech pathologist looks at the functional component, as well as pathology or organic disease” (P13, Allied Health Clinician). Moreover, they promoted professional growth, job satisfaction, and workforce retention through expanded roles and skill development opportunities, fostering collaboration among healthcare professionals from various disciplines for improved patient outcomes. One individual expressed “That responsibility and that extra challenge for me is where I get the buzz. (P 12, Allied Health Clinician )
In addition to the benefits of professional role substitution in healthcare, participants emphasised other key factors. Patient safety and care quality surfaced as paramount concerns. A participant with workforce and education background stated, “There was a lot of the discussion and particularly the negative media coverage around the model of care. I was quite driven to answer the questions, or the concerns raised by the health professionals around safety .” (P29, Workforce and Education)
The imperative of ensuring skill, competence, and appropriate clinical governance was strongly emphasised. In some settings, participants flagged the potential for resistance and conflicts with traditional providers and organisations, driven by apprehensions about expertise encroachment, de-skilling, and role ambiguity. A Medical Specialist (P19) highlighted this, “The risk is that if you promote therapists from being treating therapists to being screening and treating therapists, you’re on the risk of deskilling your (medical) workers.”
Building public and patient trust, especially in unfamiliar models, highlighted the importance of transparent communication and educational efforts, as noted by both consumers and healthcare professionals. A patient shared, “I really didn’t know what to expect because I hadn’t been to a clinic like that before and I didn’t know what they were going to do”. (P39, Consumer/recipient). A healthcare professional suggested, “ Another barrier is patient perception, especially if they are expecting to see a doctor” but went on to add , “In my experience this has often not been the case with patients often reassured once they have had a thorough assessment ” (P13, Allied Health Clinician) Initial challenges in interaction with General Practitioners (GPs), were also highlighted with one participant noting, “ See the problems at the beginning where the GPs would ring up and say, I wanted a specialist opinion, and I got a physiotherapist. But once they were educated, those complaints dropped off especially when the patient satisfaction scores were high” (P19, Medical Specialist).
The implementation of these models often demands additional investments in training and supervision, with a consideration of their economic and logistical impact on the healthcare system required. Lastly, “striking a delicate balance between expanded scopes and core responsibilities” (P 25, Allied Health Leadership) is essential. Another participant noted, “ It is also worth considering the amount of time it takes for this training and to set up these roles. It is also important to consider the cost. Once you have a model of care set up well, what’s my sustainability plan for this model in relation to, succession planning, leave management, etcetera ? “(P15, Implementation Support)
Navigating the complex landscape of external factors that influence implementation and evaluation of allied health professional role substitution models of care, partnerships and connections.
Collaborative care teams and strong referral networks emerged as crucial elements for successful role substitution practice. Participants emphasised the importance of interdisciplinary collaboration, where professionals from various disciplines worked together to provide holistic patient care. Furthermore, partnerships with specialists, hospitals, community resources, and primary care facilities were highlighted as essential for ensuring seamless transitions and continuity of care. This was articulated by one GP, (P7) “I think for me and my style of medicine, it’s helpful. I really enjoyed that sort of team, that real MDT and holistic approach to patient care.”
Implementing professional role substitution and scope extension may require legal and regulatory adjustments, including redefining boundaries and establishing standards which participants noted as a challenge. Variations across jurisdictions, were highlighted emphasising the need for a national approach to align state and federal policies. An occupational therapist identified legislative barriers stating, “Legislation prevents us from ordering imaging, but we all have local agreements with our departments that enable us to order basic radiology. But we want to be able to order that radiology in our general role as well and potentially expand that into other forms of the imaging down the road. This role has expanded even further in the UK to some of those therapists prescribing and referring people for MRIs and CT scans.” (P11, Allied Health Clinician)
Both allied health clinicians and medical doctors expressed concerns about legal accountability in the event of adverse events or complications in professional role substitution models. Stakeholders, including allied health clinicians, medical doctors, and healthcare leaders, emphasised the importance of assurance of indemnity through health services. “We’re protected by public indemnity in this system. And ultimately the directors are responsible for all the patients, even the ones we don’t directly treat. So that model protected our junior doctors and subsequently protects the therapists as well ” (P19, Medical Specialist). Participants also acknowledged the need for regular training and re-assessment of knowledge and skills for medical professionals but were uncertain about the lack of similar scrutiny and regulation mechanisms for allied health clinicians in professional role substitution roles.
Participants had differing perspectives on funding for new models of care. Implementing professional role substitution models of care often relied on short-term funding and grants to pilot services. A participant with an allied health clinician background highlighted complexities in healthcare funding and incentives, pointing out “General practice won’t make money unless the patient sees the GP. They would need to look at some sort of MBS (Medicare Benefits Schedule) item number so that the practice or hospital and health service can generate money from those expanded roles.” (P10, Allied Health Clinician)
Suggestions were made to review Medicare and activity-based funding structures to provide support for professional role substitution models ensuring their viability. A participant who has supported implementation of a professional role substitution model noted, “That’s also based on the fact that with Activity-Based Funding framework, we have to demonstrate that the model can generate enough activity to be viable and valuable.” (P15, Implementation Support).
Additionally, participants emphasised the importance of funding models that prioritise outcomes rather than specific care delivery mechanisms. A healthcare executive highlighted, “W e don’t purchase models of care. I would like to think that we purchase outcomes, and we are quite agnostic in how health services go about achieving those outcomes. We’ve wanted to make sure that the funding model is enabled and that it’s not a barrier to people trying alternative ways using new and different models to achieve those outcomes that we’re interested in.” (P32, Hospital and Health Services/ State-wide Leadership).
Participants acknowledged the challenge of meeting patient waiting time targets set by federal and state governments. This was an enabling factor, with professional role substitution models of care implemented as strategies to reduce specialist outpatient waitlists and improve access to services, aligning with performance targets. “There was a wait list issue for the specialty area. There was a big project to see who else could help see patients and try and reduce the waitlists. They highlighted that the [allied health specialist area clinician] might be something that could help with that.” (P8, Allied Health Clinician).
Impact of internal structural, political, and cultural contexts on the implementation and performance evaluation of allied health professional role substitution models in healthcare, work infrastructure.
Implementing role substitution models had workforce implications, including assessing skills availability and workload management. Sustainability relied on individual commitment, posing threats to the longevity of these models of care. An allied health leader, (P22) noted, “Often the first people you get in are personally passionate about it. It’s hard to find those people all the time, but a succession plan is important for sustainability of extended scope roles.“ These sentiments were echoed by a physician who mentioned, “Workforce and sourcing the right resources and clinicians is something that is a bit of a challenge for the health services moving forward.” (P17, Medical specialist)
Participants identified strong relationships and networks as vital for implementing and sustaining professional role substitution models. Trust between medical doctors and allied health clinicians was essential. As one participant noted: “Most of the time when these models fall down, it’s because the relationships between the allied health and the multidisciplinary team, including the doctors, have broken down. The doctor’s left or there’s been an issue that they couldn’t resolve and then everything falls to pieces.” (P23, Allied Health Leadership) Key roles of advocates and clinical leads were emphasised, but overreliance on individuals was a concern. Building resilience in these models across all levels of leadership was an important consideration as are clear governance structures which include supervision and escalation pathways.
Effective communication was necessary for high-quality care, patient safety, and collaborative relationships in both implementing and sustaining professional role substitution models. Iterative modifications and a willingness to learn were recognised as important. Collaboration involved shared decision-making, regular communication, and joint management of complex cases. Specialist doctors provided guidance and medical expertise, while allied health professionals contributed their specialised skills including ability to provide holistic care. “We still needed to iron out all of the kinks, so each side still needs to continue to learn from each other. So, I would say it probably took a good 12 to 18 months before we felt like we had a system that was working well for both sides and streamlining the process.” (P11, Allied Health Clinician). Additionally, some participants emphasised transitioning from “substitution-focused to team-based approaches” (P27, General Practitioner and Healthcare Executive), promoting interdisciplinary and transdisciplinary care.
For some participants, professional role substitution raised concerns about autonomy with potential for conflicts among healthcare professionals. Cultivating a collaborative culture, renegotiating traditional hierarchies, and addressing professional dynamics were identified as strategies to enable interprofessional collaboration, promoting innovation and excellence in patient care. However, despite the progress made, some participants expressed reservations about barriers that still exist, even in allied health practitioners performing tasks that were within their scope of practice. One executive leader expressed frustration at the slow pace of change stating, “ It’s an imperative at the moment that we actively promote full scope of practice and give more support for our allied health staff to do extended scope of practice qualifications. So, we have a role to ensure that we have a culture that encourages the new models of care, because just to have the old models of care, it’s not simply sustainable, it’s not sustainable, at all. “ (P36, Hospital and Health Services/ State-wide Leadership)
Another participant, an allied health leader (P22), highlighted the positive impact of professional role substitution on organisational culture and the morale of younger professionals, stating, “It’s good for our culture and gives some sort of energy to the younger professionals. It also flows through to junior doctors particularly working alongside a consultant that already holds these clinicians and models of care in high standard.”
In many organisations, clinical demand drove professional role substitution adoption, facilitated by change management teams and frameworks. Professional role substitution models aligned with healthcare organisational goals and objectives, promoting innovation, equity, and sustainable use of resources. As articulated by a Medical Specialist (P19) “We have a limited number of specialists, and training for medical students and junior doctors hasn't significantly increased to meet demand. With advanced technology and reduced working hours, we need to expand services. Having other clinicians who can treat patients without surgery is invaluable.”
Additionally, participants acknowledged their role in healthcare delivery to underserved communities and advancing health equity in First Nations, rural, and regional areas, “ improving access and preventing, fragmented care ,” (P33, Nursing Health Professional). Furthermore, participants discussed the impact of population growth on surgical waitlists, revealing the pressing need for effective solutions to address increasing demand. An allied health clinician (P11) highlighted the challenges posed by population growth, stating, “ There's been a significant increase in people moving to Queensland now for many years and our surgical wait lists were continuing to grow. So, when I started in this role… the waitlist was almost four years long.”
Participants stressed the strategic importance of expanded scope in advancing organisational objectives. An Allied health leadership participant (P25), emphasised the multifaceted benefits of expanded scope, highlighting its alignment with strategic goals and the need to reassess care delivery models: “Expanded scope hits all the strategic goals really. We need to disinvest in some of the low value care because we know that we’re not getting any outcomes. We also need to look at the impact of these models of care.”
Funding for professional role substitution models varied, with some implemented without dedicated funding which posed challenges in attracting skilled clinicians. Stakeholders recognised the benefits of co-locating allied health clinicians and medical doctors for interdisciplinary case discussions but sometimes faced challenges due to high demand for limited space. An allied health clinician (P8) highlighted the impact of dedicated funding on the feasibility and efficiency of implementing such models “They had a certain amount of funding for this project to set it all up. And I think that really made it feasible. So, then we got the right equipment, the right time to set it up. It was a very set process with money attached to it that got it off the ground quicker.”
Clinicians in extended scope roles actively sought professional development opportunities to expand their skills. Local credentialing and on-the-job training were the norm. A workforce development officer highlighted the rigorous process of credentialing for clinicians in such roles. “Our credentialling package is fairly intense. It takes months and months and months to become credentialed in a first point of contact clinic like this and needs [Health Service] approval before a clinician can work in a space like this.” (P29, Workforce and Education). In contrast to nurse practitioner programs offered by universities and specialised training institutions, formal education programs for allied health professionals were scarce. Many participants recommended development of formalised training and credentialing programs to ensure high quality and safe care. “We’re now in the process of developing our own course here in Australia in collaboration with the university in New South Wales so that we can provide that level of education that we need in these advanced scope roles ” (P11, Allied Health Clinician).
The roles and contributions of individuals in the implementation of allied health professional role substitution models of care.
The implementation of allied health professional role substitution models of care heavily relies on the engagement of various individuals who play pivotal roles in the process. Through our interviews, participants identified nine key roles integral to the implementation and evaluation of these alternative healthcare delivery models. These roles, aligned with those in the individuals’ domain of the CFIR, encompassed high-level leaders, mid-level leaders, opinion leaders, implementation facilitators, implementation leads, implementation team members, other implementation support, innovation deliverers, and innovation recipients. Our analysis revealed representation across these roles within our study population, demonstrating the diverse range of contributions.
Participants described the characteristics of these individuals, which we analysed based on the Capability, Opportunity, Motivation-Behaviour (COM-B) theoretical behaviour change model integrated into the CFIR framework. This system evaluates individuals' influence on the implementation process across four constructs: Need, Capability, Opportunity, and Motivation. These constructs assess individuals' deficits addressed by the models of care, their interpersonal competence, availability and power, and commitment and motivation in fulfilling their roles respectively.
Participants emphasised the critical role of medical and executive buy-in for the success of these models. Without their support and commitment, implementation efforts often faced significant hurdles. As one participant stated, " Medical and executive buy-in, if they are not supportive, it doesn’t happen " (P34, Workforce and Education). Furthermore, participants highlighted the importance of strong endorsement from medical professionals and the need for active engagement from allied health clinicians and managers to ensure the sustainability of these models. As articulated by another participant, " Allied health clinicians and even up into the level of our managers, there's certain spheres of influence that we have, but to make something like this come together and to be able to make it sustainable, you really need strong medical endorsement and that real commitment to push it " (P12, Allied Health Clinician).
Moreover, participants identified the Allied Health Office as having a crucial role in facilitating implementation. However, they also expressed the need for greater visibility and recognition of successful implementation efforts. As one participant suggested, " The Allied Health Office has a role to play in that. I think we should certainly see more things up in lights, you know, presentations, success stories et cetera and opportunities for these models to be shared and celebrated more widely across the state " (P15, Implementation Support).
A matrix analysis (Table 2 ) provides detailed insights into the roles and characteristics of individuals within different groups/roles. This elucidates their contributions to the successful implementation of professional role substitution models of care, as perceived by the study participants.
Essential phases and strategies for effective implementation of allied professional role substitution healthcare models.
Participants in our study provided insights into key stages necessary for implementing allied health professional role substitution models of care. We analysed their responses and mapped them to constructs in the implementation process domain of the CFIR, finding alignment with five out of the nine constructs. In the planning phase, participants emphasised the importance of conducting needs assessments and developing comprehensive implementation plans to identify gaps, set objectives, and consider resources and stakeholders' roles. One participant described, "At the start-up of our model of care, we had a series of meetings involving all stakeholders... to develop very clear guidance and pathways for how patients would move through these services " (P13, Allied Health Clinician).
Engaging was highlighted as crucial focused on involving diverse stakeholders, from healthcare providers to patients, forming multi-stakeholder teams to ensure a variety of perspectives and support for long-term sustainability. " There were a broad range of stakeholders involved in the task force across Queensland Health and external to Queensland ." (P34, Workforce and Education) In the doing phase models of care often started as pilot projects, with services developing iteratively.
Reflecting and evaluation Participants stressed the importance of building evaluation into the model of care to ensure sustainability and strategic outcomes. However, challenges such as limited time and funding were acknowledged, as one participant stated, "We don't get the time or the funding in my experienc e" (P1, Allied Health Clinician). Lastly , in adapting , participants recognised the need for continuous learning and tailored strategies to the local context, acknowledging the necessity for flexibility in response to evolving healthcare systems. Moreover, strategies to enhance evaluation included dedicated funding, external evaluation to reduce bias, development of performance frameworks, and tailored technology and digital systems allowing data collection and analysis at the point of care. Collaboration with universities and the use of research frameworks and grants were also seen by participants as facilitators to enhance performance measurement.
The assessment of outcomes derived from allied health professional role substitution models.
In our study, participants highlighted the importance of evaluating healthcare models' success and failure, focusing on both implementation process and innovation outcomes. They identified eight key domains, including implementation aspects such as adoptability, implementability, and sustainability, as well as innovation delivery outcomes like effectiveness, safety, patient-centeredness, healthcare provider experience, access, activity, and economic evaluation. One participant stressed the need for thoughtful measurement, stating , “You do need to think about what you need to measure to prove the value of your service .” (P35, Allied Health Leader). Figure 2 summarises these outcomes and provides examples of measures discussed by participants.
Recommended outcomes and examples to measure the impact of professional role substitution models of care
Participants shared diverse perspectives on implementation success for allied health professional role substitution models, with factors like regulatory environment, financing, medical acceptance, stakeholder engagement, and individual characteristics playing key roles. Sustainability was particularly highlighted, as expressed by a participant, “ You need to know that a service that has been implemented is still running after several years ” (Participant 1, Allied Health Clinician).
Participants emphasised specific outcomes in evaluating the impact of allied health professional role substitution models of care. One participant stressed the importance of measuring performance and demonstrating improved access and cost saving, saying, " I think it is important to measure performance and to show that there is improved access and economic benefits. You know, to show that the service is doing what it was intended to do" (P5, Allied Health Clinician). They also highlighted the need to track activity data, with another participant mentioning, "We basically keep data on all of the occasions of service, how many patients are seen within the service, and how many patients are discharged." (Participant 8, Allied Health Clinician).
Healthcare provider experience, including clinician and patient satisfaction, emerged as essential, with one participant suggesting : "Surveying the general practitioners would be a good way of doing it as well, asking if they are happy with the service" (P36, Executive Leader). Continuity of care and patient centredness were also emphasised. "It's actually quite heartening hearing what our patients value and to see if our services line up with that " (P29, Allied Health Clinician). Participants in the study also stressed the importance of safety as a crucial outcome measure in evaluating allied health professional role substitution models of care. One general practitioner (P7) highlighted this by stating, "We need to know we are providing great healthcare to patients. You know that we are reducing harm, not causing harm, and hopefully not missing diagnoses”.
Finally, participants perceived effectiveness as paramount for assessing the success and impact of the model on patient care experiences and health outcomes. One executive leader (P36) expressed: "Forgetting about everything else, the patients' view of whether or not they've been treated adequately to me is the most important. If there are no outcomes with the model of care, the patients won't be satisfied, and they will say so."
This study investigated factors influencing the implementation and performance evaluation of allied health professional role substitution models of care using the CFIR framework. We identified six overarching themes aligned with CFIR domains and outcomes. These themes covered dynamics such as innovation catalysts, evidence, advantages, and disadvantages; external factors affecting implementation and evaluation; internal structural, political, and cultural contexts; roles and contributions of individuals; essential implementation phases and strategies; and assessment of model outcomes. Our analysis identified twenty-seven underlying constructs and subconstructs within the CFIR framework that influence professional role substitution implementation. Additionally, we identified ten key constructs across implementation and innovation outcome categories: adoptability, sustainability, implementability, effectiveness, safety, patient-centeredness, accessibility, healthcare provider experiences, service delivery metrics, and economic evaluations. These findings addressed critical questions regarding factors influencing implementation and methods for assessing the impact of care models. Overall, this study provides a robust framework for implementing and evaluating allied health professional role substitution models, effectively addressing gaps in literature and practice.
While prior studies have demonstrated the potential benefits of these models in terms of providing safe, effective, and cost-efficient care, [ 10 , 11 ] the current research goes further by exploring stakeholders' perceptions and experiences in depth. Grounded in the Consolidated Framework for Implementation Research (CFIR), [ 36 , 37 , 38 ] it explores the multifaceted factors influencing the adoption and integration of these models within healthcare systems.
Healthcare organisations play a significant role in either facilitating or impeding the implementation of professional role substitution models of care [ 41 ]. Along with previous research , this work underscores the significance of supportive organisational cultures, adequate resources, leadership commitment, and medical endorsement as critical factors for the successful adoption of such models [ 42 ]. Conversely, factors like resistance to change, resource limitations, and insufficient infrastructure can pose significant barriers that must be addressed to ensure successful implementation.
Traditional healthcare structures were once considered conducive to advancing medical sciences [ 43 ]. However, recent reviews have highlighted how entrenched organisational cultures and long-held traditions within healthcare settings may now act as barriers to alternative models of practice and hinder improvements in healthcare access for the community [ 41 ]. Consequently, healthcare organisations must proactively assess their readiness for new models and develop strategies to overcome these barriers. Leveraging the constructs and principles identified in the inner setting domain of this study is essential for cultivating a culture that fosters role substitution and innovation in healthcare delivery.
Stakeholders' perceptions and attitudes play a significant role in shaping the success of professional role substitution models of care, influenced by factors like medical buy-in, leadership support, and engagement strategies [ 41 , 44 , 45 ]. Effective stakeholder engagement strategies, alongside tailored training, communication programs and ongoing support mechanisms, emerge as crucial tools for addressing individual concerns and fostering buy-in from all involved parties. These findings align with similar studies in physiotherapy and nursing, emphasising the universal importance of considering individual perspectives in healthcare implementation efforts [ 41 , 44 , 45 , 46 ].
This research emphasises the importance of incorporating perspectives from patients and innovation recipients to enhance the success of healthcare interactions. Integrating these viewpoints strengthens the potential for sustainable adoption of evidence-based innovations, promoting patient-centred care [ 47 , 48 , 49 ]. Patient involvement in co-designing and evaluating alternative healthcare models improves trust and acceptance, highlighting the significance of collaboration and patient engagement strategies for optimising implementation and evaluation processes [ 27 , 28 , 47 ].
Performance evaluation plays a pivotal role in assessing the implementation of professional role substitution models of care [ 25 ]. Monitoring various factors, including outcomes, patient satisfaction, quality of care, safety, healthcare professionals’ performance, healthcare system efficiency, and cost-effectiveness, can provide valuable insights for ongoing improvement, optimisation, and sustainability of models of care [ 25 , 50 ]. We address gaps highlighted in previous research, particularly concerning the lack of comprehensive evaluations and guidance on outcome measures [ 10 , 22 , 25 ]. Many current frameworks lack specificity in identifying key metrics relevant to professional role substitution models [ 25 , 26 ]. However, this study delineating eight key outcome measures emphasises a data-driven approach to decision-making. This represents an advancement in the field, providing a structured framework for assessing the impact and value of these models.
In combination with existing literature in various alternative healthcare delivery models, this study highlights the shared challenges and opportunities across healthcare professions and settings [ 41 , 45 , 46 ]. Our analysis of implementation considerations, stakeholder perspectives, and outcome measures, advances theoretical understanding and also provides practical guidance for real-world implementation and evaluation. These insights can be extended beyond Australia's healthcare system, with implications for policy development, collaboration, knowledge exchange, and healthcare delivery practices in other regions.
In practice, maximising the effectiveness and sustainability of professional role substitution models necessitates comprehensive training and education initiatives for health professionals. Collaborating with professional bodies and universities can standardise training, provide continuous professional development opportunities, and address individual factors that impact implementation readiness for alternative healthcare delivery models.
Adapting regulatory frameworks to the evolving healthcare landscape is paramount, necessitating clear guidelines and legal frameworks to delineate practice boundaries and facilitate the seamless implementation of expanded roles. Adequate funding is critical to support various aspects, including staffing, infrastructure development, establishment of incentivising reimbursement models, research, evaluation, and ensuring ongoing sustainability. Prioritising evidence-based policy development, informed by comprehensive evaluation of care models, is essential to ensure alignment with best practices and standards of care. Integrating standard outcome measures into evaluation frameworks is crucial for accurately assessing the impact and effectiveness of care models, thereby enabling informed decision-making based on evidence. The research we have conducted supports these assertions, emphasising the importance of these factors for the successful implementation and sustainability of alternative healthcare delivery models.
Our findings may therefore serve as a catalyst for discussion and debate on allied health professional role substitution and other alternative healthcare delivery models, guiding future research endeavours. Exploring longitudinal studies to gauge sustainability and long-term impact, conducting comparative analyses across diverse settings and patient populations, and conducting qualitative inquiries to identify implementation and evaluation facilitators and barriers are critical. Additionally, research in health economics, health information technology, policy analysis, and interprofessional collaboration can provide valuable insights to optimise implementation practices and enhance the applicability of these models across different healthcare systems and cultural contexts.
The strengths of this study lie in the diverse range of stakeholders involved, including key opinion leaders, decision makers, allied health clinicians, medical professionals, policymakers, healthcare administrators, university partners, professional bodies, advocates, and patients. The inclusion of participants with varied experiences enhances the robustness of the findings. Purposeful sampling with maximum variation further improves the transferability of the results.
The use of the COREQ-checklist and independent co-coding and discussions among the research team enhance the credibility, trustworthiness, and transparency of the study [ 31 ]. Another notable strength is the use of the Consolidated Framework for Implementation Research (CFIR) to guide the analysis, which helped identify and organise themes into multi-level intervention principles that influence implementation effectiveness. It should be noted that the CFIR was not used to guide data collection, as is often practiced, [ 38 ] as this may have limited the exploration of qualitative themes relevant to the research question but not explicitly aligned with CFIR domains and constructs.
As the study was conducted in Australia, the generalisability of the findings to other stakeholders or healthcare contexts in different countries and settings may be limited. Additionally, as with any research involving human subjects, the possibility of self-selection bias influencing the results cannot be excluded, and the findings should be interpreted with this in mind. Insights gained from this study may also have broader implications for other countries facing similar challenges in healthcare delivery. By examining similarities and differences in healthcare systems and regulatory environments, countries can however learn from Queensland’s experiences adopting strategies to support the implementation of role substitution models.
In conclusion, this study provides a systematic examination of the key elements and principles influencing the implementation and performance evaluation of professional role substitution models of care. By understanding the multifaceted nature of these factors and addressing the challenges and opportunities associated with expanded healthcare roles, healthcare systems can navigate complexities and capitalise on opportunities. This holistic approach, involving collaboration among stakeholders and considering patient safety, quality of care, and optimal healthcare outcomes will contribute to the development of more efficient, equitable, sustainable, and patient-centred models of care and healthcare systems.
Data is available from corresponding author on reasonable request.
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A special thanks to the participants who gave up their time to share their experiences and perceptions on implementation and performance evaluation of professional role substitution models of care.
This work was supported by the Gold Coast Hospital and Health Service Collaborative Research Grant [grant number RGS20190041].
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Rumbidzai N. Mutsekwa & Rebecca L. Angus
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Rumbidzai N. Mutsekwa, Katrina L. Campbell & Joshua M. Byrnes
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Russell Canavan
School of Health Sciences and Social Work, Griffith University, Gold Coast Campus, 1 Parklands Drive, Southport, Queensland, 4215, Australia
Rebecca L. Angus
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RNM, RC, KC, RLA, LJM, JB contributed to conception and design of the study. RM led the data collection and analysis and wrote the initial draft of the manuscript. RNM, KC, RC, RLA, LJM and JB interpreted results, critically revised the manuscript, and approved the final version.
Correspondence to Rumbidzai N. Mutsekwa .
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This study was performed in line with the principles of the Declaration of Helsinki. Approval was granted by the Gold Coast Hospital and Health Service (HREC/2020/QGC/62104) and Griffith University (GU Ref No: 2020/876) Human Research Ethics Committees
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Mutsekwa, R.N., Campbell, K.L., Canavan, R. et al. Unlocking potential: a qualitative exploration guiding the implementation and evaluation of professional role substitution models in healthcare. Implement Sci Commun 5 , 73 (2024). https://doi.org/10.1186/s43058-024-00611-x
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Implementation of new practices in team-based settings requires teams to work together to respond to new demands and changing expectations. However, team constructs and team-based implementation approaches have received little attention in the implementation science literature. This systematic review summarizes empirical research examining associations between teamwork and implementation outcomes when evidence-based practices and other innovations are implemented in healthcare and human service settings.
We searched MEDLINE, CINAHL, APA PsycINFO and ERIC for peer-reviewed empirical articles published from January 2000 to March 2022. Additional articles were identified by searches of reference lists and a cited reference search for included articles (completed in February 2023). We selected studies using quantitative, qualitative, or mixed methods to examine associations between team constructs and implementation outcomes in healthcare and human service settings. We used the Mixed Methods Appraisal Tool to assess methodological quality/risk of bias and conducted a narrative synthesis of included studies. GRADE and GRADE-CERQual were used to assess the strength of the body of evidence.
Searches identified 10,489 results. After review, 58 articles representing 55 studies were included. Relevant studies increased over time; 71% of articles were published after 2016. We were unable to generate estimates of effects for any quantitative associations because of very limited overlap in the reported associations between team variables and implementation outcomes. Qualitative findings with high confidence were: 1) Staffing shortages and turnover hinder implementation; 2) Adaptive team functioning (i.e., positive affective states, effective behavior processes, shared cognitive states) facilitates implementation and is associated with better implementation outcomes; Problems in team functioning (i.e., negative affective states, problematic behavioral processes, lack of shared cognitive states) act as barriers to implementation and are associated with poor implementation outcomes; and 3) Open, ongoing, and effective communication within teams facilitates implementation of new practices; poor communication is a barrier.
Teamwork matters for implementation. However, both team constructs and implementation outcomes were often poorly specified, and there was little overlap of team constructs and implementation outcomes studied in quantitative studies. Greater specificity and rigor are needed to understand how teamwork influences implementation processes and outcomes. We provide recommendations for improving the conceptualization, description, assessment, analysis, and interpretation of research on teams implementing innovations.
This systematic review was registered in PROSPERO, the international prospective register of systematic reviews. Registration number: CRD42020220168.
Peer Review reports
This paper reviews more than 20 years of research on teams and implementation of new practices in healthcare and human service settings.
We concluded with high confidence that adaptive team functioning is associated with better implementation outcomes and problems in team functioning are associated with poorer implementation outcomes. While not surprising, the implementation science literature has lacked clear empirical evidence for this finding.
Use of the provided recommendations will improve the quality of future research on teams and implementation of evidence-based practices.
Healthcare and human service providers (e.g., clinicians, case managers) often work in team-based settings where professionals work collaboratively with one another and service recipients toward shared goals [ 1 , 2 ]. Team-based care is intended to include multiple professionals with varying skills and expertise [ 1 , 3 ]. It requires shared responsibility for outcomes and increases team members’ dependence on one another to complete work [ 1 , 3 , 4 ]. Effective team-based care and higher quality teamwork are associated with improvements in care access and quality, patient safety, patient satisfaction, clinical outcomes, and costs [ 2 , 4 , 5 , 6 , 7 , 8 , 9 ].
We use the term ‘teamwork’ to refer to an array of team constructs using the input-mediator-outcome-input (IMOI) framework (Fig. 1 ) [ 10 , 11 , 12 ]. The IMOI framework recognizes that team interactions are dynamic and complex, with processes unfolding over time and feedback loops between processes, outcomes, and inputs [ 10 ]. Team inputs include team structure and composition, task demands, and contextual features [ 13 ]. Mediators are aspects of team functioning (i.e., what team members think, feel, and do [ 12 ]) through which inputs influence outcomes. These processes and emergent states may be cognitive, affective, or behavioral [ 5 , 14 , 15 , 16 ]. Team effectiveness outcomes are multidimensional and include team performance as well as team viability and the impact of the team on members’ development [ 12 , 17 , 18 , 19 ].
Conceptual model of team effectiveness and key terminology. Figure adapted from “Advancing research on teams and team effectiveness in implementation science: An application of the Exploration, Preparation, Implementation, Sustainment (EPIS) framework” by E.A. McGuier, D.J. Kolko, N.A. Stadnick, L. Brookman-Frazee, C.B. Wolk, C.T. Yuan, C.S. Burke, & G.A. Aarons, 2023, Implementation Research and Practice , 4 , 26334895231190855. [CC BY-NC]
Implementation of new practices in team-based service settings requires team members to work together to respond to changing demands and expectations. Extensive research has identified barriers and facilitators to implementation of new practices at the individual provider, organization, and system levels; however, the team level has received little empirical attention [ 20 , 21 ]. This is a problem because implementation efforts increasingly rely on teams, and responses to a new practice are likely to be influenced by team characteristics and processes. See McGuier and colleagues [ 20 ] for an overview of team constructs in the context of implementation science and the Exploration, Preparation, Implementation, Sustainment (EPIS) framework [ 22 , 23 ]. Given increasing use of team-based care and interest in implementation strategies targeting teams, examining how teamwork is associated with implementation processes and outcomes is critical. This systematic review identified and summarized empirical research examining associations between teamwork and implementation outcomes when evidence-based practices (EBPs) and other innovations were implemented in healthcare and human service settings.
This systematic review was registered (PROSPERO; registration number: CRD42020220168) and conducted following the published protocol [ 24 ]. The review was conducted in accordance with PRISMA and SWiM guidance [ 25 , 26 ]; relevant checklists are in Additional File 1.
We searched the following databases: MEDLINE (Ovid), CINAHL (Ebsco), APA PsycINFO (Ovid), and ERIC (Ebsco). Database searches were run on August 7, 2020, and again on March 8, 2022. For all searches, a publication date from 2000 to current was applied; there were no language restrictions (see [ 24 ]). An experienced health sciences librarian (MLK) designed the Ovid MEDLINE search and translated that search for use in the other databases (see additional file in [ 24 ]). The search strings consisted of controlled vocabulary (when available) and natural language terms representing concepts of teamwork and implementation science or innovation or evidence-based practice. Results were downloaded to an EndNote (version X9.3.3) library and duplicate records removed [ 27 ]. Additional relevant articles were identified by hand searches of reference lists of included articles, a cited reference search for included articles in the Web of Science (Clarivate) bibliographic database (completed in February 2023), and requests sent to implementation science listservs and centers for suggestions of relevant articles.
We included empirical journal articles describing studies using quantitative, qualitative, or mixed methods. Study protocols, reviews, and commentaries were excluded. All studies were conducted in healthcare or human service settings (e.g., hospitals, clinics, child welfare) and described the implementation of a practice to improve patient care. Studies of interventions to improve teamwork (e.g., team building interventions) and studies of teams created to implement the innovation (e.g., quality improvement teams, implementation support teams) were excluded. Eligible studies assessed at least one team construct and described its influence on implementation processes and outcomes.
Several changes were made from our systematic review protocol (PROSPERO CRD42020220168; [ 24 ]). Specifically, during the full-text review stage, we broadened the scope from team functioning (i.e., processes and states) to include team structure and performance because of the small number of studies that assessed and reported specific processes or states. This change increased the number of included studies. Similarly, because implementation outcomes were often inconsistently defined and poorly reported [ 28 , 29 , 30 ], we broadened our scope to include studies that identified team constructs as implementation determinants (i.e., barriers/facilitators) without explicitly defining and measuring an implementation outcome. Because of changes in university access to bibliographic databases, the cited reference search was performed in the Web of Science only instead of the Web of Science and Scopus. This bibliographic database indexes more than 21,000 scientific journals [ 31 ]. Lastly, because of time and resource constraints, we did not search conference abstracts or contact authors for unreported data.
Title/abstract screening and review of full-text articles were conducted by pairs of trained independent reviewers in DistillerSR. Conflicts were resolved through re-review, discussion between reviewers, and when needed, discussion with a senior team member (EAM). A final review of all included articles was conducted by EAM. Relevant data from each article was extracted into an Excel spreadsheet by one reviewer (AS). A second reviewer (EAM) conducted a line-by-line review and verification. Our data extraction form was informed by existing forms and guides (e.g., [ 32 , 33 ]). For each included study, we extracted information on measures of teamwork and implementation-relevant outcomes, characteristics of the setting, teams, and participants, analysis methods, and results. For quantitative studies, we recorded correlation coefficients and/or regression coefficients as standardized metrics of association. For qualitative studies, we recorded themes [ 33 ].
The Mixed Methods Appraisal Tool (MMAT) [ 34 ] was used to evaluate quality and risk of bias for each included study. Multiple publications from the same study were evaluated separately because they reported different outcomes. Consistent with Powell and colleagues [ 35 ], quality evaluations were only made for the components of the study relevant to our question. Quality evaluations were conducted by two independent reviewers (EAM, MAD) with discrepancies resolved through consensus discussion. After completing the MMAT, the reviewers jointly categorized each article as high, moderate, or low quality. High quality studies were those with affirmative responses to all MMAT questions. Moderate quality studies had at least one minor methodological problem, and low-quality studies had serious flaws (e.g., qualitative studies with poor coherence between data, analysis, and conclusions; quantitative studies with biased samples and/or inappropriate statistical analyses).
We rated the relevance of each publication to our research question as high, moderate, or low. Highly relevant studies reported implementation of a well-defined innovation, thoroughly described team constructs and implementation outcomes, and clearly linked team constructs to implementation outcomes. Most studies rated as low relevance provided very limited information about teamwork and/or implementation outcomes. Studies that only described barriers/facilitators were rated as low or moderate relevance. Ratings were conducted by two independent reviewers (EAM, CBW) with discrepancies resolved through consensus discussion.
We conducted a narrative synthesis of included studies following guidelines for synthesis without meta-analysis (SWiM) [ 36 ]. We prioritized reporting of high quality, highly relevant studies. Studies categorized as low quality and/or low relevance were not included in the synthesis but are included in the description of study characteristics to convey the breadth of the literature. We organized studies based on the IMOI framework (i.e., team inputs, processes/states, and outputs) and organized studies of processes/states by affective, behavioral, and cognitive constructs when possible. Because of the heterogeneity in team constructs and implementation outcomes, we were unable to quantitatively synthesize results using meta-analysis or formally investigate heterogeneity; this challenge is common in implementation science systematic reviews [ 30 ]. We assessed the strength of the overall body of evidence with GRADE for quantitative studies [ 37 ] and GRADE-CERQual for qualitative studies [ 38 , 39 ]. GRADE results in ratings of high, moderate, low, or very low quality of evidence for each outcome of interest. GRADE-CERQual results in ratings of high, moderate, low, or very low confidence in each review finding. GRADE ratings were made independently with discrepancies resolved through consensus discussion; GRADE-CERQual ratings were made through iterative discussions as recommended [ 39 ]. All ratings and decisions were made by the first and senior authors.
Our initial search, after removal of duplicates, yielded 7181 results. The second search (August 2020-March 2022) captured an additional 1341 results. The cited reference search yielded 1961 results. A total of 10,489 results were included in title/abstract review. Figure 2 provides a PRISMA flow diagram for included studies. After full-text review, 58 articles from 55 studies were included in analyses [ 40 , 41 , 42 , 43 , 44 , 45 , 46 , 47 , 48 , 49 , 50 , 51 , 52 , 53 , 54 , 55 , 56 , 57 , 58 , 59 , 60 , 61 , 62 , 63 , 64 , 65 , 66 , 67 , 68 , 69 , 70 , 71 , 72 , 73 , 74 , 75 , 76 , 77 , 78 , 79 , 80 , 81 , 82 , 83 , 84 , 85 , 86 , 87 , 88 , 89 , 90 , 91 , 92 , 93 , 94 , 95 , 96 , 97 ].
PRISMA flow diagram of included articles. From: Page MJ, McKenzie JE, Bossuyt PM, Boutron I, Hoffmann TC, Mulrow CD, et al. The PRISMA 2020 statement: an updated guideline for reporting systematic reviews. BMJ 2021;372:n71. https://doi.org/10.1136/bmj.n71 . For more information, visit: http://www.prisma-statement.org/
As shown in Fig. 3 , publications on teamwork and implementation have increased substantially since 2000. Three articles on this topic (5%) were published between 2000 and 2007, 14 (24%) between 2008 and 2015, and 41 (71%) between 2016 and early 2023.
Included articles by year of publication
Interrater agreement was good for assessment of study quality (81% agreement on MMAT questions) and ratings of relevance (88% agreement). There were 20 high quality articles, 23 moderate quality articles, and 15 low quality articles. Fourteen articles were rated as high relevance, 22 as moderate, and 22 as low relevance. Only 4 were rated as both high quality and high relevance. We report study characteristics for all 58 eligible articles. Our narrative synthesis includes 32 articles categorized as moderate/high quality and moderate/high relevance; it excludes 26 articles categorized as low quality and/or relevance.
Studies were conducted in inpatient healthcare ( n = 22), outpatient/ambulatory healthcare ( n = 21), mental health settings ( n = 9), and other settings (e.g., residential facilities, multiple settings; n = 6). There were 33 qualitative, 15 quantitative, and 10 mixed methods studies. All quantitative studies were descriptive observational studies.
Most studies examined team processes/states ( n = 53); fewer examined team inputs ( n = 27). Only two studies examined a team effectiveness outcome. The most common implementation outcomes were fidelity ( n = 16) and other specified implementation outcomes (e.g., “extent of use,” “implementation success”) ( n = 15). Less frequently identified implementation outcomes included adoption ( n = 5), sustainment ( n = 4), reach ( n = 4), and perceptions of the innovation (e.g., acceptability, appropriateness, feasibility; n = 3). Approximately one-third of studies ( n = 21) did not report specific implementation outcomes but described implementation determinants (i.e., barriers and facilitators).
Team inputs examined in studies included team stability/instability and staffing shortages, aspects of team structure and composition, interdependence, and hierarchy and professional roles. Quantitative findings are presented in Table 1 . A CERQual Summary of Qualitative Findings related to team inputs is shown in Table 2 . A CERQual Evidence Profile is provided in Additional File 2 (Table A1).
Team stability/instability (i.e., consistency in membership over time) was examined in one mixed methods study [ 48 , 49 ] and three qualitative studies [ 70 , 81 , 94 ]. A study of surgical teams found variations in membership stability but no association between stability and “implementation success” (i.e., composite measure based on number of uses of new technique, proportion of uses, and changes in use) [ 48 , 49 ]. The authors suggested that stability facilitates the development of team coordination but that selecting small and exclusive teams may limit the spread of innovations within the organization. Another study found that a dedicated and stable team in which members were selected and trained together in the use of a new surgical technique led to quicker uptake and better integration into practice, theorizing that dedicated and stable teams increased trust, motivation, and collaborative problem-solving [ 81 ]. However, dedicated teams were difficult to sustain, and some sites instead used rotating team members from a larger pool of trained staff. In rural primary care, stability of team members facilitated sustainment of memory care clinics [ 70 ]. Lastly, another study in primary care found mixed perceptions of stable vs. rotating staff when adding a new team role (i.e., health coach); some team members liked rotating through different roles while others wanted more stability [ 94 ]. Across studies, we found that dedicated and stable team members facilitate implementation while instability in team membership is a barrier to implementation (moderate confidence).
Qualitative studies identified staffing shortages and turnover on teams as barriers to implementation [ 50 , 67 , 75 , 78 , 92 ]. In Veterans Health Administration (VA) clinics, “inadequate staffing posed an insurmountable barrier,” hindering communication and delivery of optimal care during the implementation of the patient-centered medical home (PCMH) model [ 92 ]. Similarly, staff shortages, turnover, and high workloads hindered guideline implementation in Kenyan hospitals [ 75 ]. Two studies found negative impacts of staffing shortages and turnover on sustainment. Staff turnover contributed to discontinuity in Dialectical Behavior Therapy (DBT) team members [ 78 ], and appropriate staffing (i.e., ensuring manageable workloads) and blocking time for team members were identified as critical to sustainment of a team-based model in the VA [ 67 ]. We found that staffing shortages and turnover hinder implementation (high confidence).
Studies examined multiple aspects of team structure and composition, specifically team size, workload, longevity (i.e., how long team members had worked together), history of change, and team member characteristics. Team size was examined in two studies of DBT. In a mixed methods study, team size was positively correlated with fidelity, and qualitative data suggested that team size may increase as a result of successful implementation [ 47 ]. In contrast, another study found that DBT team size was not associated with the number of DBT components adopted and was negatively associated with reach, suggesting reach may reflect high workloads [ 72 ]. In VA mental health clinics, team workload (i.e., number of patients seen) was negatively associated with sustainment of trauma-focused therapies [ 68 ]. In these studies, team longevity and history of change were not associated with implementation outcomes [ 47 , 68 ]. Team member characteristics, specifically team member competency/expertise, experience, and commitment/engagement, were identified as facilitators of implementation in some qualitative studies [ 40 , 70 , 81 , 84 , 95 ].
Overall, few findings could be made from quantitative studies examining team structure and composition. Two studies of team size found mixed results, and workload, longevity, and history of change were examined in only one study each. Across qualitative studies, we found team member competency/expertise, experience, and commitment/engagement facilitate implementation (moderate confidence).
One quantitative study examined team interdependence [ 65 ]. In multidisciplinary child abuse teams implementing a mental health screening/referral protocol, task interdependence (i.e., reliance on team members to share resources and coordinate workflows) was positively associated with reach but not time to adoption. Outcome interdependence (i.e., extent to which outcomes are evaluated at the team vs. individual level) was significantly negatively correlated with time to adoption but not reach. Neither task nor outcome interdependence were associated with team members’ perceptions of acceptability, appropriateness, or feasibility of the innovation [ 65 ]. Because only one study examined interdependence, no review findings were made.
Hierarchy, power distributions, and rigid roles were identified as barriers to implementation in several qualitative studies [ 50 , 53 , 74 , 97 ]. Flatter hierarchies (i.e., more equal distribution of power and authority) supported guideline implementation in pediatric primary care; practices with low compliance to guidelines had more hierarchical relationships while practices with high compliance had more shared decision-making [ 97 ]. In a setting with hierarchy and rigid division of roles, nurses trained in an innovation reported concern that their decisions would be questioned by physicians without expertise in the innovation but more authority [ 74 ]. Similarly, in surgical teams, rigid professional roles and a hierarchical team culture constrained open discussion and created contention over how and when a “time-out” should be completed, resulting in inconsistent use and poor fidelity [ 50 , 53 ]. Across studies, we found that in multidisciplinary settings, rigid professional roles, hierarchical relationships, and power differentials are barriers to implementation (moderate confidence).
There was no overlap among team input variables and implementation outcomes examined in quantitative studies (Table 1 ). Accordingly, we were unable to generate estimates of effects or ratings of evidence quality. Qualitative review findings are shown in Table 2 . We found: 1) Dedicated and stable team members facilitate implementation while instability in team membership is a barrier to implementation (moderate confidence); 2) Staffing shortages and turnover hinder implementation (high confidence); 3) Team member competency/expertise, experience, and commitment/engagement facilitate implementation (moderate confidence); and 4) In multidisciplinary settings, rigid professional roles, hierarchical relationships, and power differentials are barriers to implementation (moderate confidence).
Studies examined overall team functioning as well as specific affective states, behavioral processes, and cognitive states. Quantitative findings are presented in Table 3 , and a GRADE Evidence Profile is provided in Additional File 2 (Table A2). A CERQual Summary of Qualitative Findings related to team processes and states is shown in Table 4 . A CERQual Evidence Profile is provided in Additional File 2 (Table A3).
Nine studies examined quantitative associations between overall team functioning and implementation outcomes. Team functioning was positively associated with intervention fidelity in 2 of 3 studies. One study examined implementation of transition programs for adolescents with chronic health conditions in 29 teams. More positive team climate, measured by the Team Climate Inventory (i.e., shared vision, participative safety, task orientation, support for innovation), at study start was associated with greater improvements in quality of chronic care delivery one year later [ 45 ]. Additionally, improvements in team climate were associated with greater improvement in care delivery [ 45 ]. These findings were consistent across teams working with different patient populations, suggesting the influence of team climate generalizes across teams and settings [ 45 ]. Greater team climate for innovation was also associated with greater fidelity (i.e., implementation of more program elements) among DBT teams [ 47 ]. In contrast, no significant associations were found between team climate and fidelity to a multifaceted cardiovascular disease management intervention, with qualitative data suggesting variation in the influence of teamwork across practices [ 77 ]. There was no overlap in the metrics of association reported in these studies; therefore, we were unable to generate an estimate of the effect of team functioning on fidelity. The quality of the evidence for fidelity was rated very low because of serious methodological limitations, serious inconsistency, and very serious imprecision due to the small number of studies.
Three studies examined associations between teamwork and adoption, with no significant associations found. The first study found that teamwork climate (i.e., perceived quality of collaboration between personnel) was not significantly associated with adoption of a comprehensive safety program in intensive care units, although there were associations between adoption and organizational constructs (e.g., lower safety climate, more management support) [ 59 ]. In a study of DBT teams, neither positive nor negative team functioning was associated with the number of DBT modes adopted [ 72 ]. The third study assessed relational coordination (i.e., shared goals, communication, respect) in primary care practices implementing patient engagement strategies. Relational coordination was high across practices initially and did not differ for practices with high vs. low adoption, although it increased over time in practices with high adoption [ 83 ]. There was no overlap in the metrics of association reported in these studies; therefore, we were unable to generate an estimate of the effect of team functioning on adoption. The quality of the evidence was rated very low because of serious methodological limitations and very serious imprecision due to the small number of studies.
Reach and sustainment were each examined in one quantitative study. DBT teams with more negative functioning had greater reach, suggesting that reach may reflect high workloads; positive functioning was not associated with reach [ 72 ]. In VA mental health clinics, team functioning was positively correlated with sustainment of evidence-based trauma-focused psychotherapies and significantly associated with sustainment after controlling for covariates [ 68 ]. Two studies examined other implementation outcomes. One found that better team functioning was associated with greater implementation of changes to improve access to care in VA clinics [ 62 ]. In the other, primary care practices reporting better teamwork were more likely to be in later stages of transformation to PCMHs than practices with poorer teamwork [ 88 ]. Because of the small number of studies examining reach, sustainment, and other implementation outcomes, we were unable to generate estimates of effects or ratings of evidence quality for these outcomes.
Our qualitative review findings are based on 12 studies describing how team functioning influenced implementation processes and outcomes. There was considerable variation across studies in how team functioning was defined and what implementation outcomes were examined. Most findings were based on relatively thin and superficial data. Studies occurred in a variety of healthcare settings with varying resources and implemented diverse interventions. We found with high confidence that 1) Adaptive team functioning, characterized by positive affective states (e.g., trust, mutual respect, belonging), effective behavior processes (e.g., frequent communication and coordination), and shared cognitive states (e.g., clear roles, shared mental models of how to provide care), facilitates implementation and is associated with better implementation outcomes; and 2) Problems in team functioning, including negative affective states (e.g., tension, lack of trust), problematic behavioral processes (e.g., conflict, competition, poor communication), and a lack of shared cognitive states (e.g., unclear roles, lack of shared awareness, competing goals), act as barriers to implementation and are associated with poor implementation outcomes.
Specific affective states were examined in one quantitative study, three mixed methods studies, and one qualitative study. There was no overlap in the associations between affective states and implementation outcomes reported in quantitative studies (Table 3 ). In a study of multidisciplinary teams responding to child abuse, affective integration (i.e., liking, trust, respect) was positively associated with acceptability, appropriateness, and feasibility but not time to adoption or reach [ 65 ]. In DBT teams, cohesion was associated with fidelity, and qualitative data indicated that liking one’s team members and having a shared team identity were critical to effective implementation [ 47 ]. Another study of DBT teams described conflicts and lack of safety and trust within teams resulting in their dissolution [ 78 ].
Edmondson and colleagues found that psychological safety and ease of speaking up (i.e., interpersonal climate that allows members to share questions and concerns) were associated with implementation success [ 48 , 49 ]. In teams with low psychological safety, lower-status team members were hesitant to speak up, hindering change and proficiency in the new practice [ 49 ]. Psychological safety was closely related to learning behavior within the team, including speaking up with questions and concerns [ 48 , 49 ]. From the mixed methods and qualitative studies, we found that trust, cohesion, and psychological safety within teams facilitate implementation by contributing to team members’ willingness to speak up and share experiences and feedback. Negative affective states, fear of judgment, conflict, and lack of safety hinder implementation (moderate confidence).
Specific behavioral processes, including communication, learning behavior, and coordination, were examined in two quantitative studies, two mixed methods studies, and five qualitative studies. There was no overlap in the associations between behavioral processes and implementation outcomes reported in quantitative studies (Table 3 ).
Only one study reported quantitative findings for communication. Communication in DBT teams was positively associated with fidelity [ 47 ]. Qualitative studies frequently identified communication as a determinant of implementation (Table 4 ). From qualitative studies, we found that open, ongoing, and effective communication within teams facilitates implementation of new practices; poor communication is a barrier (high confidence).
Quantitative associations between team learning behavior and implementation outcomes were reported in three studies. Team learning behavior in child abuse teams was positively correlated with acceptability and feasibility; it was not associated with appropriateness, time to adoption, or reach [ 65 ]. Learning behavior was positively associated with knowledge and use of innovations in nursing teams [ 91 ] and with implementation success in surgical teams [ 48 ]. Because each of these studies examined different implementation outcomes, we were unable to generate an estimate of the effect of learning behavior or rate evidence quality.
Inter-team communication, specifically speaking up and learning from other teams (i.e., boundary spanning), was identified as a critical part of team learning processes associated with successful implementation [ 48 ]. Communication beyond the team was also identified as a facilitator of implementation in two qualitative studies [ 47 , 75 ]. We found that communication beyond the team facilitates implementation by providing opportunities for team learning (low confidence).
Lastly, two qualitative studies examined coordination among healthcare teams [ 40 , 95 ]. Findings were somewhat ambiguous and based on thin data. We found with low confidence that poor coordination among healthcare professionals interferes with providing high-quality care and can be a barrier to implementation of new approaches (low confidence).
Specific cognitive states were examined in two quantitative studies. There was no overlap in the associations between cognitive states and implementation outcomes reported (Table 3 ). The first study found no significant associations between shared goals and implementation outcomes [ 65 ]. The second study found that greater team knowledge and skills were associated with greater implementation of key changes to improve access to care; team problem recognition was not associated with implementation [ 62 ].
Two studies reported qualitative findings related to shared goals. In VA mental health teams, shared mission differentiated teams with sustained high reach of EBPs from those with low reach [ 84 ]. Commitment to a shared goal consistent with the EBP supported sustainment [ 84 ]. Similarly, shared goals and vision were identified as a facilitator of DBT programs [ 47 ]. We found that shared goals, mission, and vision within teams facilitate implementation and sustainment (low confidence).
There was very little overlap in the reported associations between team processes/states and implementation outcomes (Table 3 ). We were unable to generate estimates of effects for any associations. When there was sufficient overlap to rate evidence quality, the evidence was rated very low quality (Table A2, Additional File 2).
Qualitative review findings are shown in Table 4 . We found the following: 1) Adaptive team functioning, characterized by positive affective states (e.g., trust, mutual respect, belonging), effective behavior processes (e.g., frequent communication and coordination), and shared cognitive states (e.g., clear roles, shared mental models of how to provide care), facilitates implementation and is associated with better implementation outcomes (high confidence); 2) Problems in team functioning, including negative affective states (e.g., tension, lack of trust), problematic behavioral processes (e.g., conflict, competition, poor communication), and a lack of shared cognitive states (e.g., unclear roles, lack of shared awareness, competing goals), act as barriers to implementation and are associated with poor implementation outcomes (high confidence); 3) Trust, cohesion, and psychological safety within teams facilitate implementation by contributing to team members’ willingness to speak up and openly share experiences and feedback. Negative affective states, fear of judgment, conflict, and lack of safety hinder implementation (moderate confidence); 4) Open, ongoing, and effective communication within teams facilitates implementation of new practices; poor communication is a barrier (high confidence); 5) Communication beyond the team facilitates implementation by providing opportunities for team learning (low confidence); 6) Poor coordination among healthcare professionals interferes with providing high-quality care and can be a barrier to implementation of new approaches (low confidence); and 7) Shared goals, mission, and vision within teams facilitate implementation and sustainment (low confidence).
Team effectiveness outcomes are multidimensional and include performance (i.e., productivity, efficiency, and quality of the team’s work), team viability, and the impact of the team on members’ development [ 12 , 17 , 18 , 19 ]. Only two studies examined associations between team effectiveness and implementation outcomes. Quantitative findings are presented in Table 5 . One quantitative study found that team members’ ratings of team performance were associated with innovation acceptability, appropriateness, and feasibility; performance was not associated with time to adoption or reach [ 65 ]. One qualitative study found that positive outcomes for team members (e.g., increased comfort working together, greater knowledge) were associated with sustainment [ 70 ]. No studies examined associations of team viability and implementation outcomes.
Only one quantitative study examined associations between a dimension of team effectiveness and implementation outcomes (Table 5 ). Accordingly, we were unable to generate ratings of evidence quality or estimates of any effects. Similarly, because there was only one qualitative study, we were unable to make a review finding.
This systematic review summarizes over 20 years of empirical literature on the associations between teamwork and implementation outcomes in the context of implementation of new practices in health and human services. Consistent with increased attention to teams and reliance on team-based models of care, as well as the growth of implementation science, studies increased substantially over time. We included studies that used quantitative, qualitative, or mixed methods, yielding a total of 58 articles representing 55 studies. Included studies spanned naturalistic implementation evaluations and planned implementation research.
Key findings with high confidence were: 1) Staffing shortages and turnover hinder implementation, 2) Adaptive team functioning, characterized by positive affective states, effective behavior processes, and shared cognitive states, facilitates implementation and is associated with better implementation outcomes. Problems in team functioning, including negative affective states, problematic behavioral processes, and a lack of shared cognitive states, act as barriers to implementation and are associated with poor implementation outcomes, and 3) Open, ongoing, and effective communication within teams facilitates implementation of new practices; poor communication is a barrier. Our results generally align with conventional wisdom and scientific research outside of healthcare, increasing confidence in the findings. Team effectiveness and change management research in other types of organizations and settings (e.g., military, aviation, space exploration) [ 98 , 99 , 100 , 101 , 102 , 103 ] is largely converging.
Overall, the literature was heterogeneous, and many studies lacked specificity regarding team composition and implementation activities and outcomes. Teamwork was defined and measured inconsistently and with limited precision across studies, which hindered our ability to draw conclusions about how teams influence implementation processes and outcomes. There was also poor measurement and reporting of implementation outcomes in many studies, consistent with a recent review of research on implementation outcomes [ 28 , 29 ]. Many studies used broad measures encompassing multiple dimensions of teamwork. Among studies that assessed specific team processes and states, there was very little overlap across constructs assessed. Qualitative studies identified a rich array of specific team processes and states; research to confirm the presence of these factors in other settings and determine their associations with implementation outcomes is needed.
In Table 6 , we summarize the limitations of existing research on teams and implementation and provide recommendations for future research. Notably, increased specificity and rigor in how teamwork is conceptualized and assessed is needed to advance our understanding of how teamwork affects implementation processes and outcomes. Limited inclusion of teams and team constructs in implementation theories, models, and frameworks has likely contributed to the neglect of teams in implementation science [ 20 ]. Updates to theories, models, and framework should consider integrating teams and team-level constructs [ 20 ]. In addition, there are well-established theories of team effectiveness that could inform hypotheses about how specific team constructs affect implementation [ 104 , 105 , 106 , 107 ].
There is considerable room for improvement in the definition and description of teams and analysis of data from teams. Describing the structure and purpose of teams, as well as interdependencies within the team, can help differentiate teams from groups of individuals who do not constitute a team, an important conceptual distinction that can be difficult to discern in study descriptions. Reporting of sampling and recruitment procedures for teams and team-level response rates is needed. For quantitative studies, use of standardized, validated measures of teamwork constructs is recommended. Researchers should be careful to base inferences about teams on team-level data. Lastly, future research should follow recommendations for improving measurement and reporting of implementation outcomes [ 29 , 108 ] and consider the multilevel context of teams in theory, measurement, analysis, and interpretation of results [ 109 ].
As with all systematic reviews, it is possible that we failed to identify some relevant articles or data. We did not search gray literature or conference abstracts or contact authors for unreported data. Our organization of studies by the IMOI framework is likely imperfect given the broad array of team constructs included and poor reporting in many studies. We included diverse innovations intended to improve patient care, including specific EBPs, clinical practice guidelines, models of care, care bundles, procedural changes, and technological innovations. This diversity in objects of implementation reflects ongoing debates about the necessary strength of evidence for objects of implementation and varying thresholds in different contexts [ 110 ]. In this review, high quality studies tended to involve clinical interventions with strong research evidence (e.g., DBT) and clinics in structured and often team-based healthcare systems (e.g., VA). Diversity of innovations and settings provides greater external validity for our findings but may mask some findings specific to certain innovations or settings.
We only included studies of existing teams providing clinical services, however, many studies provided limited descriptions of teams, and in some cases the distinction between clinical teams and implementation/quality improvement teams was unclear. There is increasing attention to use of teams in implementation frameworks [ 20 , 111 ] and evidence that functioning of implementation teams matters [ 112 , 113 ]. Research on the composition and functioning of implementation teams is an important area for future research.
Our systematic review findings indicate that teamwork matters for implementation. However, greater specificity and rigor are needed to advance our understanding of how teamwork influences implementation processes and outcomes. We provide recommendations for improving the conceptualization, description, assessment, analysis, and interpretation of research on teams implementing new practices.
All data cited in this review came from published papers and are therefore already available. The data created as part of the review process are included in this published article and its supplementary information files.
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Thank you to Ikzzui Chu, Jamie Feldman, Grace Kinkler, Rachael Park, and Jaely Wright for their assistance with article screening.
This work was supported by the National Institute of Mental Health grants MH123729 (EAM), MH124914 (DJK), and MH126231 (GAA), the National Cancer Institute U01CA275118 (GAA), National Institute on Drug Abuse R01DA049891 (GAA), the Agency for Healthcare Research and Quality grant R18HS026862 (CBW), and the Collaboration and Conflict Research Lab at Carnegie Mellon University Tepper School of Business. The content of this manuscript does not represent the views of funding agencies and is solely the responsibility of the authors.
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McGuier, E.A., Kolko, D.J., Aarons, G.A. et al. Teamwork and implementation of innovations in healthcare and human service settings: a systematic review. Implementation Sci 19 , 49 (2024). https://doi.org/10.1186/s13012-024-01381-9
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Working with researchers, four companies used a data-driven approach to balance who was doing the office housework and who was getting promotion-making assignments.
The gender and racial disparity in access to high-profile, career-enhancing work has been widely overlooked. Research across industries has shown that 81% to 85% of white men report fair access to desirable assignments, while that number falls to 50% for women of color. At the same time, women tend to be burdened with more non-promotable “office housework,” such as scheduling meetings, cleaning up, or being the peacemaker. The authors ran bias training workshops and fair distribution strategies in four companies, leading to noticeable improvements in the equitable allocation of both office housework and high-profile assignments.
Lack of access to high-profile work — the kind that sets you up for promotion and leadership opportunities — is a key reason people leave their organization. The costs of employee attrition are well-known and expensive — up to twice an employee’s annual salary.
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Edward barroga.
1 Department of General Education, Graduate School of Nursing Science, St. Luke’s International University, Tokyo, Japan.
2 Department of Biological Sciences, Messiah University, Mechanicsburg, PA, USA.
The development of research questions and the subsequent hypotheses are prerequisites to defining the main research purpose and specific objectives of a study. Consequently, these objectives determine the study design and research outcome. The development of research questions is a process based on knowledge of current trends, cutting-edge studies, and technological advances in the research field. Excellent research questions are focused and require a comprehensive literature search and in-depth understanding of the problem being investigated. Initially, research questions may be written as descriptive questions which could be developed into inferential questions. These questions must be specific and concise to provide a clear foundation for developing hypotheses. Hypotheses are more formal predictions about the research outcomes. These specify the possible results that may or may not be expected regarding the relationship between groups. Thus, research questions and hypotheses clarify the main purpose and specific objectives of the study, which in turn dictate the design of the study, its direction, and outcome. Studies developed from good research questions and hypotheses will have trustworthy outcomes with wide-ranging social and health implications.
Scientific research is usually initiated by posing evidenced-based research questions which are then explicitly restated as hypotheses. 1 , 2 The hypotheses provide directions to guide the study, solutions, explanations, and expected results. 3 , 4 Both research questions and hypotheses are essentially formulated based on conventional theories and real-world processes, which allow the inception of novel studies and the ethical testing of ideas. 5 , 6
It is crucial to have knowledge of both quantitative and qualitative research 2 as both types of research involve writing research questions and hypotheses. 7 However, these crucial elements of research are sometimes overlooked; if not overlooked, then framed without the forethought and meticulous attention it needs. Planning and careful consideration are needed when developing quantitative or qualitative research, particularly when conceptualizing research questions and hypotheses. 4
There is a continuing need to support researchers in the creation of innovative research questions and hypotheses, as well as for journal articles that carefully review these elements. 1 When research questions and hypotheses are not carefully thought of, unethical studies and poor outcomes usually ensue. Carefully formulated research questions and hypotheses define well-founded objectives, which in turn determine the appropriate design, course, and outcome of the study. This article then aims to discuss in detail the various aspects of crafting research questions and hypotheses, with the goal of guiding researchers as they develop their own. Examples from the authors and peer-reviewed scientific articles in the healthcare field are provided to illustrate key points.
A research question is what a study aims to answer after data analysis and interpretation. The answer is written in length in the discussion section of the paper. Thus, the research question gives a preview of the different parts and variables of the study meant to address the problem posed in the research question. 1 An excellent research question clarifies the research writing while facilitating understanding of the research topic, objective, scope, and limitations of the study. 5
On the other hand, a research hypothesis is an educated statement of an expected outcome. This statement is based on background research and current knowledge. 8 , 9 The research hypothesis makes a specific prediction about a new phenomenon 10 or a formal statement on the expected relationship between an independent variable and a dependent variable. 3 , 11 It provides a tentative answer to the research question to be tested or explored. 4
Hypotheses employ reasoning to predict a theory-based outcome. 10 These can also be developed from theories by focusing on components of theories that have not yet been observed. 10 The validity of hypotheses is often based on the testability of the prediction made in a reproducible experiment. 8
Conversely, hypotheses can also be rephrased as research questions. Several hypotheses based on existing theories and knowledge may be needed to answer a research question. Developing ethical research questions and hypotheses creates a research design that has logical relationships among variables. These relationships serve as a solid foundation for the conduct of the study. 4 , 11 Haphazardly constructed research questions can result in poorly formulated hypotheses and improper study designs, leading to unreliable results. Thus, the formulations of relevant research questions and verifiable hypotheses are crucial when beginning research. 12
Excellent research questions are specific and focused. These integrate collective data and observations to confirm or refute the subsequent hypotheses. Well-constructed hypotheses are based on previous reports and verify the research context. These are realistic, in-depth, sufficiently complex, and reproducible. More importantly, these hypotheses can be addressed and tested. 13
There are several characteristics of well-developed hypotheses. Good hypotheses are 1) empirically testable 7 , 10 , 11 , 13 ; 2) backed by preliminary evidence 9 ; 3) testable by ethical research 7 , 9 ; 4) based on original ideas 9 ; 5) have evidenced-based logical reasoning 10 ; and 6) can be predicted. 11 Good hypotheses can infer ethical and positive implications, indicating the presence of a relationship or effect relevant to the research theme. 7 , 11 These are initially developed from a general theory and branch into specific hypotheses by deductive reasoning. In the absence of a theory to base the hypotheses, inductive reasoning based on specific observations or findings form more general hypotheses. 10
Research questions and hypotheses are developed according to the type of research, which can be broadly classified into quantitative and qualitative research. We provide a summary of the types of research questions and hypotheses under quantitative and qualitative research categories in Table 1 .
Quantitative research questions | Quantitative research hypotheses |
---|---|
Descriptive research questions | Simple hypothesis |
Comparative research questions | Complex hypothesis |
Relationship research questions | Directional hypothesis |
Non-directional hypothesis | |
Associative hypothesis | |
Causal hypothesis | |
Null hypothesis | |
Alternative hypothesis | |
Working hypothesis | |
Statistical hypothesis | |
Logical hypothesis | |
Hypothesis-testing | |
Qualitative research questions | Qualitative research hypotheses |
Contextual research questions | Hypothesis-generating |
Descriptive research questions | |
Evaluation research questions | |
Explanatory research questions | |
Exploratory research questions | |
Generative research questions | |
Ideological research questions | |
Ethnographic research questions | |
Phenomenological research questions | |
Grounded theory questions | |
Qualitative case study questions |
In quantitative research, research questions inquire about the relationships among variables being investigated and are usually framed at the start of the study. These are precise and typically linked to the subject population, dependent and independent variables, and research design. 1 Research questions may also attempt to describe the behavior of a population in relation to one or more variables, or describe the characteristics of variables to be measured ( descriptive research questions ). 1 , 5 , 14 These questions may also aim to discover differences between groups within the context of an outcome variable ( comparative research questions ), 1 , 5 , 14 or elucidate trends and interactions among variables ( relationship research questions ). 1 , 5 We provide examples of descriptive, comparative, and relationship research questions in quantitative research in Table 2 .
Quantitative research questions | |
---|---|
Descriptive research question | |
- Measures responses of subjects to variables | |
- Presents variables to measure, analyze, or assess | |
What is the proportion of resident doctors in the hospital who have mastered ultrasonography (response of subjects to a variable) as a diagnostic technique in their clinical training? | |
Comparative research question | |
- Clarifies difference between one group with outcome variable and another group without outcome variable | |
Is there a difference in the reduction of lung metastasis in osteosarcoma patients who received the vitamin D adjunctive therapy (group with outcome variable) compared with osteosarcoma patients who did not receive the vitamin D adjunctive therapy (group without outcome variable)? | |
- Compares the effects of variables | |
How does the vitamin D analogue 22-Oxacalcitriol (variable 1) mimic the antiproliferative activity of 1,25-Dihydroxyvitamin D (variable 2) in osteosarcoma cells? | |
Relationship research question | |
- Defines trends, association, relationships, or interactions between dependent variable and independent variable | |
Is there a relationship between the number of medical student suicide (dependent variable) and the level of medical student stress (independent variable) in Japan during the first wave of the COVID-19 pandemic? |
In quantitative research, hypotheses predict the expected relationships among variables. 15 Relationships among variables that can be predicted include 1) between a single dependent variable and a single independent variable ( simple hypothesis ) or 2) between two or more independent and dependent variables ( complex hypothesis ). 4 , 11 Hypotheses may also specify the expected direction to be followed and imply an intellectual commitment to a particular outcome ( directional hypothesis ) 4 . On the other hand, hypotheses may not predict the exact direction and are used in the absence of a theory, or when findings contradict previous studies ( non-directional hypothesis ). 4 In addition, hypotheses can 1) define interdependency between variables ( associative hypothesis ), 4 2) propose an effect on the dependent variable from manipulation of the independent variable ( causal hypothesis ), 4 3) state a negative relationship between two variables ( null hypothesis ), 4 , 11 , 15 4) replace the working hypothesis if rejected ( alternative hypothesis ), 15 explain the relationship of phenomena to possibly generate a theory ( working hypothesis ), 11 5) involve quantifiable variables that can be tested statistically ( statistical hypothesis ), 11 6) or express a relationship whose interlinks can be verified logically ( logical hypothesis ). 11 We provide examples of simple, complex, directional, non-directional, associative, causal, null, alternative, working, statistical, and logical hypotheses in quantitative research, as well as the definition of quantitative hypothesis-testing research in Table 3 .
Quantitative research hypotheses | |
---|---|
Simple hypothesis | |
- Predicts relationship between single dependent variable and single independent variable | |
If the dose of the new medication (single independent variable) is high, blood pressure (single dependent variable) is lowered. | |
Complex hypothesis | |
- Foretells relationship between two or more independent and dependent variables | |
The higher the use of anticancer drugs, radiation therapy, and adjunctive agents (3 independent variables), the higher would be the survival rate (1 dependent variable). | |
Directional hypothesis | |
- Identifies study direction based on theory towards particular outcome to clarify relationship between variables | |
Privately funded research projects will have a larger international scope (study direction) than publicly funded research projects. | |
Non-directional hypothesis | |
- Nature of relationship between two variables or exact study direction is not identified | |
- Does not involve a theory | |
Women and men are different in terms of helpfulness. (Exact study direction is not identified) | |
Associative hypothesis | |
- Describes variable interdependency | |
- Change in one variable causes change in another variable | |
A larger number of people vaccinated against COVID-19 in the region (change in independent variable) will reduce the region’s incidence of COVID-19 infection (change in dependent variable). | |
Causal hypothesis | |
- An effect on dependent variable is predicted from manipulation of independent variable | |
A change into a high-fiber diet (independent variable) will reduce the blood sugar level (dependent variable) of the patient. | |
Null hypothesis | |
- A negative statement indicating no relationship or difference between 2 variables | |
There is no significant difference in the severity of pulmonary metastases between the new drug (variable 1) and the current drug (variable 2). | |
Alternative hypothesis | |
- Following a null hypothesis, an alternative hypothesis predicts a relationship between 2 study variables | |
The new drug (variable 1) is better on average in reducing the level of pain from pulmonary metastasis than the current drug (variable 2). | |
Working hypothesis | |
- A hypothesis that is initially accepted for further research to produce a feasible theory | |
Dairy cows fed with concentrates of different formulations will produce different amounts of milk. | |
Statistical hypothesis | |
- Assumption about the value of population parameter or relationship among several population characteristics | |
- Validity tested by a statistical experiment or analysis | |
The mean recovery rate from COVID-19 infection (value of population parameter) is not significantly different between population 1 and population 2. | |
There is a positive correlation between the level of stress at the workplace and the number of suicides (population characteristics) among working people in Japan. | |
Logical hypothesis | |
- Offers or proposes an explanation with limited or no extensive evidence | |
If healthcare workers provide more educational programs about contraception methods, the number of adolescent pregnancies will be less. | |
Hypothesis-testing (Quantitative hypothesis-testing research) | |
- Quantitative research uses deductive reasoning. | |
- This involves the formation of a hypothesis, collection of data in the investigation of the problem, analysis and use of the data from the investigation, and drawing of conclusions to validate or nullify the hypotheses. |
Unlike research questions in quantitative research, research questions in qualitative research are usually continuously reviewed and reformulated. The central question and associated subquestions are stated more than the hypotheses. 15 The central question broadly explores a complex set of factors surrounding the central phenomenon, aiming to present the varied perspectives of participants. 15
There are varied goals for which qualitative research questions are developed. These questions can function in several ways, such as to 1) identify and describe existing conditions ( contextual research question s); 2) describe a phenomenon ( descriptive research questions ); 3) assess the effectiveness of existing methods, protocols, theories, or procedures ( evaluation research questions ); 4) examine a phenomenon or analyze the reasons or relationships between subjects or phenomena ( explanatory research questions ); or 5) focus on unknown aspects of a particular topic ( exploratory research questions ). 5 In addition, some qualitative research questions provide new ideas for the development of theories and actions ( generative research questions ) or advance specific ideologies of a position ( ideological research questions ). 1 Other qualitative research questions may build on a body of existing literature and become working guidelines ( ethnographic research questions ). Research questions may also be broadly stated without specific reference to the existing literature or a typology of questions ( phenomenological research questions ), may be directed towards generating a theory of some process ( grounded theory questions ), or may address a description of the case and the emerging themes ( qualitative case study questions ). 15 We provide examples of contextual, descriptive, evaluation, explanatory, exploratory, generative, ideological, ethnographic, phenomenological, grounded theory, and qualitative case study research questions in qualitative research in Table 4 , and the definition of qualitative hypothesis-generating research in Table 5 .
Qualitative research questions | |
---|---|
Contextual research question | |
- Ask the nature of what already exists | |
- Individuals or groups function to further clarify and understand the natural context of real-world problems | |
What are the experiences of nurses working night shifts in healthcare during the COVID-19 pandemic? (natural context of real-world problems) | |
Descriptive research question | |
- Aims to describe a phenomenon | |
What are the different forms of disrespect and abuse (phenomenon) experienced by Tanzanian women when giving birth in healthcare facilities? | |
Evaluation research question | |
- Examines the effectiveness of existing practice or accepted frameworks | |
How effective are decision aids (effectiveness of existing practice) in helping decide whether to give birth at home or in a healthcare facility? | |
Explanatory research question | |
- Clarifies a previously studied phenomenon and explains why it occurs | |
Why is there an increase in teenage pregnancy (phenomenon) in Tanzania? | |
Exploratory research question | |
- Explores areas that have not been fully investigated to have a deeper understanding of the research problem | |
What factors affect the mental health of medical students (areas that have not yet been fully investigated) during the COVID-19 pandemic? | |
Generative research question | |
- Develops an in-depth understanding of people’s behavior by asking ‘how would’ or ‘what if’ to identify problems and find solutions | |
How would the extensive research experience of the behavior of new staff impact the success of the novel drug initiative? | |
Ideological research question | |
- Aims to advance specific ideas or ideologies of a position | |
Are Japanese nurses who volunteer in remote African hospitals able to promote humanized care of patients (specific ideas or ideologies) in the areas of safe patient environment, respect of patient privacy, and provision of accurate information related to health and care? | |
Ethnographic research question | |
- Clarifies peoples’ nature, activities, their interactions, and the outcomes of their actions in specific settings | |
What are the demographic characteristics, rehabilitative treatments, community interactions, and disease outcomes (nature, activities, their interactions, and the outcomes) of people in China who are suffering from pneumoconiosis? | |
Phenomenological research question | |
- Knows more about the phenomena that have impacted an individual | |
What are the lived experiences of parents who have been living with and caring for children with a diagnosis of autism? (phenomena that have impacted an individual) | |
Grounded theory question | |
- Focuses on social processes asking about what happens and how people interact, or uncovering social relationships and behaviors of groups | |
What are the problems that pregnant adolescents face in terms of social and cultural norms (social processes), and how can these be addressed? | |
Qualitative case study question | |
- Assesses a phenomenon using different sources of data to answer “why” and “how” questions | |
- Considers how the phenomenon is influenced by its contextual situation. | |
How does quitting work and assuming the role of a full-time mother (phenomenon assessed) change the lives of women in Japan? |
Qualitative research hypotheses | |
---|---|
Hypothesis-generating (Qualitative hypothesis-generating research) | |
- Qualitative research uses inductive reasoning. | |
- This involves data collection from study participants or the literature regarding a phenomenon of interest, using the collected data to develop a formal hypothesis, and using the formal hypothesis as a framework for testing the hypothesis. | |
- Qualitative exploratory studies explore areas deeper, clarifying subjective experience and allowing formulation of a formal hypothesis potentially testable in a future quantitative approach. |
Qualitative studies usually pose at least one central research question and several subquestions starting with How or What . These research questions use exploratory verbs such as explore or describe . These also focus on one central phenomenon of interest, and may mention the participants and research site. 15
Hypotheses in qualitative research are stated in the form of a clear statement concerning the problem to be investigated. Unlike in quantitative research where hypotheses are usually developed to be tested, qualitative research can lead to both hypothesis-testing and hypothesis-generating outcomes. 2 When studies require both quantitative and qualitative research questions, this suggests an integrative process between both research methods wherein a single mixed-methods research question can be developed. 1
Research questions followed by hypotheses should be developed before the start of the study. 1 , 12 , 14 It is crucial to develop feasible research questions on a topic that is interesting to both the researcher and the scientific community. This can be achieved by a meticulous review of previous and current studies to establish a novel topic. Specific areas are subsequently focused on to generate ethical research questions. The relevance of the research questions is evaluated in terms of clarity of the resulting data, specificity of the methodology, objectivity of the outcome, depth of the research, and impact of the study. 1 , 5 These aspects constitute the FINER criteria (i.e., Feasible, Interesting, Novel, Ethical, and Relevant). 1 Clarity and effectiveness are achieved if research questions meet the FINER criteria. In addition to the FINER criteria, Ratan et al. described focus, complexity, novelty, feasibility, and measurability for evaluating the effectiveness of research questions. 14
The PICOT and PEO frameworks are also used when developing research questions. 1 The following elements are addressed in these frameworks, PICOT: P-population/patients/problem, I-intervention or indicator being studied, C-comparison group, O-outcome of interest, and T-timeframe of the study; PEO: P-population being studied, E-exposure to preexisting conditions, and O-outcome of interest. 1 Research questions are also considered good if these meet the “FINERMAPS” framework: Feasible, Interesting, Novel, Ethical, Relevant, Manageable, Appropriate, Potential value/publishable, and Systematic. 14
As we indicated earlier, research questions and hypotheses that are not carefully formulated result in unethical studies or poor outcomes. To illustrate this, we provide some examples of ambiguous research question and hypotheses that result in unclear and weak research objectives in quantitative research ( Table 6 ) 16 and qualitative research ( Table 7 ) 17 , and how to transform these ambiguous research question(s) and hypothesis(es) into clear and good statements.
Variables | Unclear and weak statement (Statement 1) | Clear and good statement (Statement 2) | Points to avoid |
---|---|---|---|
Research question | Which is more effective between smoke moxibustion and smokeless moxibustion? | “Moreover, regarding smoke moxibustion versus smokeless moxibustion, it remains unclear which is more effective, safe, and acceptable to pregnant women, and whether there is any difference in the amount of heat generated.” | 1) Vague and unfocused questions |
2) Closed questions simply answerable by yes or no | |||
3) Questions requiring a simple choice | |||
Hypothesis | The smoke moxibustion group will have higher cephalic presentation. | “Hypothesis 1. The smoke moxibustion stick group (SM group) and smokeless moxibustion stick group (-SLM group) will have higher rates of cephalic presentation after treatment than the control group. | 1) Unverifiable hypotheses |
Hypothesis 2. The SM group and SLM group will have higher rates of cephalic presentation at birth than the control group. | 2) Incompletely stated groups of comparison | ||
Hypothesis 3. There will be no significant differences in the well-being of the mother and child among the three groups in terms of the following outcomes: premature birth, premature rupture of membranes (PROM) at < 37 weeks, Apgar score < 7 at 5 min, umbilical cord blood pH < 7.1, admission to neonatal intensive care unit (NICU), and intrauterine fetal death.” | 3) Insufficiently described variables or outcomes | ||
Research objective | To determine which is more effective between smoke moxibustion and smokeless moxibustion. | “The specific aims of this pilot study were (a) to compare the effects of smoke moxibustion and smokeless moxibustion treatments with the control group as a possible supplement to ECV for converting breech presentation to cephalic presentation and increasing adherence to the newly obtained cephalic position, and (b) to assess the effects of these treatments on the well-being of the mother and child.” | 1) Poor understanding of the research question and hypotheses |
2) Insufficient description of population, variables, or study outcomes |
a These statements were composed for comparison and illustrative purposes only.
b These statements are direct quotes from Higashihara and Horiuchi. 16
Variables | Unclear and weak statement (Statement 1) | Clear and good statement (Statement 2) | Points to avoid |
---|---|---|---|
Research question | Does disrespect and abuse (D&A) occur in childbirth in Tanzania? | How does disrespect and abuse (D&A) occur and what are the types of physical and psychological abuses observed in midwives’ actual care during facility-based childbirth in urban Tanzania? | 1) Ambiguous or oversimplistic questions |
2) Questions unverifiable by data collection and analysis | |||
Hypothesis | Disrespect and abuse (D&A) occur in childbirth in Tanzania. | Hypothesis 1: Several types of physical and psychological abuse by midwives in actual care occur during facility-based childbirth in urban Tanzania. | 1) Statements simply expressing facts |
Hypothesis 2: Weak nursing and midwifery management contribute to the D&A of women during facility-based childbirth in urban Tanzania. | 2) Insufficiently described concepts or variables | ||
Research objective | To describe disrespect and abuse (D&A) in childbirth in Tanzania. | “This study aimed to describe from actual observations the respectful and disrespectful care received by women from midwives during their labor period in two hospitals in urban Tanzania.” | 1) Statements unrelated to the research question and hypotheses |
2) Unattainable or unexplorable objectives |
a This statement is a direct quote from Shimoda et al. 17
The other statements were composed for comparison and illustrative purposes only.
To construct effective research questions and hypotheses, it is very important to 1) clarify the background and 2) identify the research problem at the outset of the research, within a specific timeframe. 9 Then, 3) review or conduct preliminary research to collect all available knowledge about the possible research questions by studying theories and previous studies. 18 Afterwards, 4) construct research questions to investigate the research problem. Identify variables to be accessed from the research questions 4 and make operational definitions of constructs from the research problem and questions. Thereafter, 5) construct specific deductive or inductive predictions in the form of hypotheses. 4 Finally, 6) state the study aims . This general flow for constructing effective research questions and hypotheses prior to conducting research is shown in Fig. 1 .
Research questions are used more frequently in qualitative research than objectives or hypotheses. 3 These questions seek to discover, understand, explore or describe experiences by asking “What” or “How.” The questions are open-ended to elicit a description rather than to relate variables or compare groups. The questions are continually reviewed, reformulated, and changed during the qualitative study. 3 Research questions are also used more frequently in survey projects than hypotheses in experiments in quantitative research to compare variables and their relationships.
Hypotheses are constructed based on the variables identified and as an if-then statement, following the template, ‘If a specific action is taken, then a certain outcome is expected.’ At this stage, some ideas regarding expectations from the research to be conducted must be drawn. 18 Then, the variables to be manipulated (independent) and influenced (dependent) are defined. 4 Thereafter, the hypothesis is stated and refined, and reproducible data tailored to the hypothesis are identified, collected, and analyzed. 4 The hypotheses must be testable and specific, 18 and should describe the variables and their relationships, the specific group being studied, and the predicted research outcome. 18 Hypotheses construction involves a testable proposition to be deduced from theory, and independent and dependent variables to be separated and measured separately. 3 Therefore, good hypotheses must be based on good research questions constructed at the start of a study or trial. 12
In summary, research questions are constructed after establishing the background of the study. Hypotheses are then developed based on the research questions. Thus, it is crucial to have excellent research questions to generate superior hypotheses. In turn, these would determine the research objectives and the design of the study, and ultimately, the outcome of the research. 12 Algorithms for building research questions and hypotheses are shown in Fig. 2 for quantitative research and in Fig. 3 for qualitative research.
Research questions and hypotheses are crucial components to any type of research, whether quantitative or qualitative. These questions should be developed at the very beginning of the study. Excellent research questions lead to superior hypotheses, which, like a compass, set the direction of research, and can often determine the successful conduct of the study. Many research studies have floundered because the development of research questions and subsequent hypotheses was not given the thought and meticulous attention needed. The development of research questions and hypotheses is an iterative process based on extensive knowledge of the literature and insightful grasp of the knowledge gap. Focused, concise, and specific research questions provide a strong foundation for constructing hypotheses which serve as formal predictions about the research outcomes. Research questions and hypotheses are crucial elements of research that should not be overlooked. They should be carefully thought of and constructed when planning research. This avoids unethical studies and poor outcomes by defining well-founded objectives that determine the design, course, and outcome of the study.
Disclosure: The authors have no potential conflicts of interest to disclose.
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By Oni Blackstock and Whitney C. Irie July 22, 2024
I n the midst of an “out of control” epidemic of sexually transmitted infections (STIs) in the United States, a newly recommended tool for preventing these infections has emerged. Sadly, this novel prevention strategy is not yet available to everyone who might benefit from it due to the insufficiently participatory and inclusive nature of the research used to study it.
In June 2024, the federal Centers for Disease Control and Prevention released eagerly awaited clinical guidelines for a strategy that significantly reduces the risk of sexually transmitted infections. These guidelines advise health care providers to counsel cisgender men (cisgender is when one’s current gender identity is the same as their assigned sex at birth) and transgender women who have sex with men about using doxycycline post-exposure prophylaxis (doxy PEP) if they have had a bacterial STI in the past year.
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Doxy PEP involves taking a dose of doxycycline, an oral antibiotic, within 72 hours after a potentially high-risk sexual exposure. The goal is to decrease the risk of bacterial STIs: chlamydia, syphilis, and gonorrhea.
Following shared decision-making, in which providers and patients work together to make a clinical care decision, providers can prescribe doxy PEP — but at least for now, only to cisgender men and transgender women who have sex with men, groups for which doxy PEP has been shown to be highly effective.
Doxy PEP also has the potential to substantially benefit cisgender women, transgender men, and other people assigned female at birth, but these groups must wait to see if doxy PEP will be officially available to them. And health care providers are once again forced to tell cisgender women that they must wait for more studies and to tell transgender men and other people assigned female at birth that there is no doxy PEP data in these groups because they were not included in initial doxy PEP studies.
The limited reach of a novel STI prevention tool such as doxy PEP is a missed opportunity because cisgender women in the U.S. and globally have the highest rates of chlamydia. Along with other people assigned female at birth, they bear the burden of long-term health problems related to chlamydia and gonorrhea, such as pelvic inflammatory disease, ectopic pregnancy, and infertility. Rates of syphilis among cisgender women and congenital syphilis in their babies have reached record highs over the past decade. Notably, STIs can also facilitate the transmission and acquisition of HIV.
In the U.S., the epidemic of sexually transmitted infections has been marked by stark racial inequities in rates and access to screening, testing, and treatment, with Black, Latinx, and Indigenous communities being disproportionately affected.
The persistent void in generalizable knowledge about strategies for preventing STIs and HIV for cisgender women, transgender men, and other people assigned female at birth highlights the critical and urgent need for participatory and inclusive research design in clinical trials.
Participatory research involves the meaningful collaboration of community members, especially those from the population of focus, in all phases of the research, including designing the clinical trial. This helps to ensure, in part, that recruitment of participants as well as planned measures to help keep participants in the study and using the intervention are responsive to the social and structural context in which the clinical trial is taking place.
To be fair, researchers did conduct a clinical trial of doxy PEP in cisgender women , but its outcomes were affected by the same issue that plagued early clinical trials of HIV pre-exposure prophylaxis (PrEP) among cisgender women. Doxy PEP was not effective at preventing bacterial STIs among cisgender women likely because many of those randomized to receive the treatment did not use it.
This echoes findings from early HIV PrEP trials among cisgender women in sub-Saharan Africa , where oral PrEP did not appear to be effective in preventing HIV because most women in the trial did not take the medication as prescribed. A follow-up qualitative study found that participants had concerns about the investigational nature of the treatment and potential side effects, and were discouraged from taking PrEP by peers, partners, and community members. Some participants also enrolled in the study to access quality health care which would not have been available them otherwise.
Using a participatory approach to designing STI and HIV biomedical prevention clinical trials in the U.S. as well as globally could help to ensure greater buy-in among potential participants and community members for the intervention being studied as well as for the overall clinical trial.
In the case of the doxy PEP clinical trial among cisgender women, an example of a more participatory approach would be working in close collaboration with community members to plan and conduct in-depth interviews and focus groups, or even listening sessions, with community members, particularly from the population of focus, during the trial’s design phase. This could have helped to identify the reasons that might compel women to take (or not take) the antibiotic.
Although the researchers had likely hoped to mitigate any adherence-related issues by enrolling women already using oral HIV PrEP, a comprehensive understanding of their motivations for taking doxy PEP, how these motivations may differ from those for taking oral PrEP, as well as existing social support from peers, partners, and the community for doxy PEP would have been advantageous.
When research questions originate from outside the community, where priorities may be different, formative research in collaboration with community input is essential so community priorities are considered and centered in the clinical trial design.
While strides have been made to at least include cisgender women in these types of clinical trials, transgender men, transmasculine, non-binary, and other people assigned female at birth have been largely left out, despite studies demonstrating a critical need for interventions among these groups.
For example, one U.S.-based study found that, compared with cisgender men, transgender men who have sex with men are less likely to have been tested for HIV or STIs. Another study found that the prevalence of HIV among transmasculine individuals who have sex with men is higher than in the general population.
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The lack of inclusion of transgender men and other people assigned female at birth in clinical trials limits the options available to these groups to protect themselves from HIV and STIs, and further compounds an already existing scarcity of gender-affirming care for them. An inclusive approach means designing clinical trials to ensure that all groups who could benefit from an intervention are included, particularly those that have been historically excluded.
Researchers can help to broaden access to available STI and HIV prevention options for marginalized communities as we work towards ending the STI and HIV epidemics by leveraging a participatory and inclusive approach to biomedical prevention clinical trials. Meaningful and in-depth collaboration with the community in developing and implementing clinical trials, especially in the planning phases, is key to accurately determining an intervention’s efficacy.
Future clinical trials must be intentional in their inclusion of transgender men and other people assigned female at birth. It is encouraging to see this is beginning to happen. A recent clinical trial of twice-yearly injectable lenacapavir for HIV PrEP in cisgender women was stopped early after showing it was 100% effective. An ongoing trial of this same approach includes transgender men and gender non-binary individuals who have sex with partners assigned male at birth.
It is no longer tenable to simply tell our patients that we don’t have the data. Wider use of participatory and inclusive research would mean we don’t have to.
Oni J. Blackstock, M.D., M.H.S., is a primary care and HIV physician and researcher, and founder and executive director of Health Justice, a racial and health equity consulting firm. Whitney C. Irie, Ph.D., M.S.W., is a social scientist and assistant professor at Boston College’s School of Social Work, a lecturer on population medicine in the Department of Population Medicine at Harvard Medical School, and an adjunct faculty member at The Fenway Institute.
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BMC Nursing volume 23 , Article number: 477 ( 2024 ) Cite this article
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The aim of this study was to describe grandmothers’ experiences of taking care of their grandchildren in terms of their care-giving tasks, motivations and emotions.
A qualitative phenomenological study was conducted. Purposive sampling was used, based on the relevance of the research question. Seventeen participants were included, women ≥ 65 years old, grandmothers who care for their grandchildren at least 10 h per week and who attended the Nursing units of the Primary Care Health Centers (Madrid Public Health Service). Seventeen in-depth interviews were conducted. The interviews were audio-recorded, transcribed verbatim and thematic analysis was carried out from the perspective of hermeneutic phenomenology. For the analysis, the Excel program was used to organize and share the coding process. Also, we followed COREQ guidelines.
Four main themes were identified: (a) Care out of obligation, where participants feel an obligation to help their children by caring for grandchildren, regardless of their number, and prefer to do so voluntarily; (b) Care out of responsibility, where grandmothers see their role as a responsibility that includes saving costs by caring for grandchildren and facilitating their children’s work life balance; (c) Care as a social duty, reflecting a moral commitment inherited from their mothers to help future generations; and (d) Construction of care from a gender perspective, where grandmothers, as women, primarily assume the care and upbringing of grandchildren.
Our results contribute to increase knowledge about childcare provided by grandmothers to their grandchildren. Grandmothers become fundamental pillars of families by helping their children balance family and work. Behind this care there is a strong sense of obligation, duty and generational responsibility. Grandmothers’ help presents differences in the distribution of tasks and care by sex. Identifying factors that motivate grandmothers to care for their grandchildren helps nurses to perform higher quality comprehensive care.
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Aging populations as well as social and demographic change have led to the modification and reorganization of family relationships and particularly those taking place between grandparents and their grandchildren [ 1 ]. Previous studies [ 2 , 3 , 4 ] show increased involvement of grandmothers in the care of grandchildren, a shared experience among the elderly. [ 2 , 3 , 4 ].
Grandparents have always played a fundamental role in the transmission of values to their grandchildren. But this role has changed as they have taken over the care, upbringing and education of their grandchildren [ 5 ]. Grandmothers/grandfathers have become family welfare providers in a context of economic and social crisis [ 6 ]. In recent decades, the percentage of grandparents aged 65 or older who report caring for their grandchildren has doubled [ 7 ]. In their work on grandparents’, [ 8 ] Gleeson et al. [ 8 ] show how commitment to caring for grandchildren has increased from 11% in 2010 to 17% in 2018. Similarly, The Survey of Health, Ageing and Retirement in Europe [ 9 ] describes how 22.07% of grandparents care for their grandchildren. This same report found Spain to be the country where there are fewer grandparent caregivers, but those who do provide care, do so with greater intensity than grandparents in other European countries. Spanish grandmothers devote an average of 7.1 h a day to caregiving (including weekends), compared to 4.9 h a day in Europe. Moreover, this care is provided on a voluntary basis [ 10 ].
Voluntariness is sometimes experienced by grandmothers as an obligation, influenced by the values and education they have received and acquired during their lives [ 11 ]. In addition, there are gender differences in the distribution of caregiving tasks and responsibilities among grandmothers and grandfathers [ 12 ]. Grandmothers assume the main responsibility for caregiving and adopt the role of the caregiver, while grandfathers take on a secondary or complementary caregiver role [ 12 ]. Thus, unequal distribution of caregiving responsibilities during their own parenthood is perpetuated in the care of grandchildren [ 13 ].
Previous qualitative studies [ 7 ] have described how grandmothers who cared for their grandchildren were actively involved in their socialization and education. Lee & Blitz [ 14 ] note how grandmothers take on a greater burden because of their greater involvement in caring for grandchildren. Despite this burden, the reasons that influence them to accept the care of their grandchildren are based on the voluntariness of the care, and the acquired gender role [ 15 ]. Sometimes this decision is made jointly with the children’s parents or in response to a sense of obligation [ 16 ].
In contrast, the evidence regarding grandmother caregiving is scarce. Therefore, what are the lived experiences of grandmothers with grandchildren’s care? What are the reasons for this care? The objective of the present study was to describe the lived experiences of grandmothers who take care of their grandchildren regarding their care, motivations, and feelings.
A qualitative phenomenological study was conducted based on Husserl’s framework [ 17 , 18 , 19 , 20 ]. In the field of qualitative studies, phenomenology attempts to understand other people’s lived experiences by using first-person narratives and other sources such as personal letters, diaries and drawings [ 21 , 22 , 23 ]. Thus, in phenomenology, two approaches in particular are influential in healthcare: (a) descriptive phenomenology has the closest connection with Husserl’s original conception of phenomenology and focuses on creating detailed descriptions of the specific experiences of others [ 24 , 25 , 26 ] (ref) and (b) interpretative or hermeneutic phenomenology, which seeks to understand the nature of human beings and the meanings they bestow upon the world by examining language in its cultural context [ 22 ]. Husserl indicates the need to “retain” beliefs (bracketing) which, using the phenomenological reduction approach, would allow a critical examination of the phenomena without the influence of the researcher’s own beliefs [ 23 ]. In our study, bracketing was achieved by carefully recording the positions taken by the researchers beforehand and by using in-depth interviews as the main data collection tool [ 19 , 21 ]. In this way, we sought to avoid the researcher’s influence on the data and reveal the nature of the phenomenon through the patients’ accounts [ 23 ].
This study was carried out according to the Consolidated Criteria for Reporting Qualitative Research [ 27 ]. The study protocol was approved by the Ethical Committee of the Universidad Rey Juan Carlos (code: 01/2015) and the Local Ethical Committee of South Research-Madrid Health Service (code: 08/2012).
All participants provided oral informed consent prior to their inclusion. All eight participating researchers (five women) were research nurses and university professors, experienced in health science investigation. The study protocol was audited by an external researcher.
Prior to the study, the positioning of the researchers (Table 1 ) was established through two briefing sessions addressing the theoretical framework, the context, their prior experience and their motivation for the research [ 21 ]. Los investigadores no tenían conflicto de intereses con las participantes.
Purposive sampling was used, based on relevance to the research question (not clinical representativeness [ 28 ]. In phenomenology, it is necessary to include those people who experienced the phenomenon under study [ 20 , 29 ]. In this case, participants who had relevant information about the phenomenon (caring for grandchildren) were included.
Sampling and data collection was pursued until the researchers achieved information redundancy, at which point no new information emerged from the data analysis [ 28 ], and/or when the information collected did not contribute anything new to the development of the properties and dimensions of the analysis [ 28 ]. In our study, this situation occurred after including 17 participants.
The study subjects included females ≥ 65 years old, grandmothers who care for their grandchildren at least 10 h per week, are retired from formal employment and do not live in the same household as their grandchildren. Exclusion criteria were grandmothers who cared for their grandchildren less than two days a week and/or less than one hour a day. The inclusion criterion determined by hours is based on the report “Productive ageing: Grandparents’ provision of care to grandchildren. Implications for their health and well-being” for the Institute of Elderly and Social Services (IMSERSO) of the Spanish Ministry of Labor and Social Affairs of 2008 [ 30 ], where it reflects that grandmothers who provide prolonged and intense care with great dedication to their grandchildren exceed at least 10 h per week.
The recruitment process of the participants consisted of an initial phase, where the Heads of Nursing and Centre Directors of the Health Centers of Pinto (Madrid) were contacted and a presentation of the project was made. The Heads of Nursing provided the telephone numbers of the grandparents recruited by Nursing and Medical professionals from the health centers in order to subsequently establish contact with the participants, thus guaranteeing a less invasive entry into the study by the researcher. The interviews were carried out in the Aula of the health center for two months, with all participants attending alone.
Based on the phenomenological design, first-person data collection tools (in-depth interviews) and researchers field notes were used simultaneously [ 20 ]. Unstructured in-depth interviews were used as the main tool for data collection. The interview started with an open question: ‘What is your experience with the care of your grandchildren? Thereafter, the researchers listened carefully, noted key words and topics identified in the subjects’ responses and used their answers to ask for and clarify content [ 20 ]. The interviews followed a guide created exclusively for this study (supplementary material- Appendix 1 ). In this way, relevant information was collected from the perspective of the participants. Researchers also used prompts or probes during the interviews: (a) to encourage the participants to provide more detail (‘Can you tell me a bit more about that?’), (b) to encourage the participant to keep talking (‘Have you experienced the same thing since?’), (c) to resolve confusion (paraphrasing of something that the patient had said) and (d) to show full attention by the researcher (‘That’s really interesting, please tell me more’) [ 20 ].
All interviews were tape-recorded and transcribed verbatim. Each of them ranged from 45 to 75 min (mean 57.85; SD 5.60). No third party was present in the interviews.
First, a complete and literal transcription of each interview and the researchers’ field notes was drafted. Subsequently, an inductive analysis of the data was conducted [ 20 ] by two researchers (JMMD, DPC). During the data analysis stage, a model proposed by Amedeo Giorgi was used [ 31 ] which distinguishes 5 stages of data processing: (1) data collection; (2) reading literal transcription of the interviews; (3) breaking down the descriptions into separate units in order to identify the relevant meaning units for the phenomenon under study; (4) data organization and listing from the perspective of the discipline using an encoding process and, finally, (5) data synthesis and summarisation in order to communicate these to the scientific community. The breaking down and encoding process consisted of identifying the most descriptive content in order to obtain meaningful units and then reducing and identifying the most common meaningful groups. In this manner, groups of meaning units were formed, i.e., similar points or content allowing for emergence of themes that described the study participants’ experience Fig. 1 .
Example of analysis and coding procedure
For clarity, a matrix was built with results obtained from the analysis. Joint team meetings were held to display, combine, integrate, and identify themes. In case of difference of opinions, theme identification was based on consensus among research team members. No qualitative software was used to analyse the data. The Excel program (Microsoft Corp, Redmond, WA) was used to organize and share the coding process. In addition, researchers used the same Excel template shared through OneDrive (Microsoft Corp, Redmond, WA) to modify, highlight, and extract the results of the coding process simultaneously as part of a network.
The Lincoln and Guba criteria were used (Table 2 ) to establish data trustworthiness [ 32 ].
Seventeen grandmothers participated in this study. The mean age was 67.5 years (SD 3.79). The mean number of hours spent per week caring for grandchildren was 24.6 (SD 3.4). In addition, the mean number of days per week spent caring for grandchildren was 5.8 (SD 1.2). See Table 3 : Descriptive characteristics of the participants.
Four main themes were identified: (a) Caregiving out of obligation, (b) Caregiving out of responsibility, (c) Caregiving as a social duty, and (d) Constructing caregiving from a gender perspective (Fig. 2 ). In addition, examples of narratives obtained from participants are included in Appendix 2 , presented by themes and meaning clusters.
Map of themes and Common meaning groups
Participants described feeling a sense of obligation to help their children by caring for their grandchildren. This obligation to provide care applies to all the grandchildren, regardless of the number, understanding that the duty to help all their children is equal. This feeling of duty to help all their children equally, without discrimination, makes them unable to refuse even in the presence of physical limitations.
The grandmothers´ feeling of duty and obligation also appears when it is necessary to take their grandchild to a day care center and/or caregivers outside the family. The reasons for taking care of the grandchildren themselves are that they offer better, more exhaustive and individualized care than a day care center and provide love and affection. Also, avoiding the use of these day care centers saves money. In addition, they do not allow their grandchildren to be taken to a daycare center while they are available.
“I think I take better care of them. Because in a day care center there are many children , I think they don’t take care of them as well as I do. Also , I can’t consent to them putting her in daycare while I’m there.” (P7) .
Duty and obligation are experienced more satisfactorily if the grandmothers voluntarily choose to care for their grandchildren. Voluntary care combined with the feeling of duty to help the family means that it is not perceived as a sacrifice and that the experience is positive. Although grandmothers invest part of “their life” in caring for their grandchildren, understood as the loss of their leisure time and routines, they feel that they have “fulfilled their duty”. On the contrary, it is experienced negatively when the grandmother does not want to do it and it is imposed as “obligatory”.
“It is a job I have to do , it is a feeling , not of obligation , but that they are part of your life. They are your grandchildren , and your daughter is working and what are you going to do , we have to make do. And if we have to give up our activities , we do. It pays off for me” (P9).
The grandmothers described how they have “a responsibility” of generational support. Their help or support have certain purposes such as achieving economic savings for their children by caring for the grandchildren, thus avoiding the hire of external personnel or day care centers. Another purpose is to help their children balance work and family life by helping out with the grandchildren. On occasions, the grandmothers were satisfied to report how their help was instrumental in complementing the family salary and reconciling their working hours and shifts. Still another goal for the grandmothers is that of feeding their grandchildren with which they feel they guarantee a healthy, wholesome and balanced diet for them. And finally, grandmothers aim to educate their grandchildren; the transmission of values is considered a great responsibility.
“ My daughter works and , in addition , she is studying. Dedication to her work and her child is impossible for her. If I can help my family in any way , I must do it and I feel satisfied.” (P11).
The grandmothers narrated how their role becomes prominent in difficult and crisis situations, in which they do not hesitate to take care of their grandchildren as they feel responsible to help and support the family. Examples of crises are the onset of illness (grandchildren/children), and/or separation/divorce.
“ I started taking care of my granddaughter after a divorce. The child was frightened , scared and , well , how hard it is for children at that time. Your daughter is at home , you have to protect her more , she is divorced , her income has dropped by half. You have to help them ” (P1).
The participants described how they have a social duty, a moral debt acquired when their own mothers took care of their own children. They believe they should reciprocate by helping the following generations. Our participants perceive “their grandmother figure” as a socially accepted and sought-after figure between mothers and daughters. It has always existed, and they contribute to generational continuity through their caregiving. Our participants narrated how their mothers and mothers-in-law were an important help in reconciling their work and personal lives and now want to “pay back” that generational debt.
“I was working when I had my daughter , so my mother took care of her. My mother put her to bed , fed her , dressed her , how can I not do it now for my daughter?” (P3).
Helping out is not only focused on taking care of the grandchildren, but also includes housework and cleaning. In the majority of the participants, caregiving is mainly provided for the children of the grandmothers ‘daughters, i.e., the maternal lineage. This behavior is a shared norm, which is maintained and perpetuated generationally (from mother to daughter). Greater intimacy and trust between mother and daughter are given as reasons by our participants.
“ I think that in the case of women there is always a tendency towards her mother. I guess it will be because of the trust. Right now , the girl I have belongs to my daughter , and I have more confidence to tell her “don’t put those clothes on the girl” and with my daughters-in-law I have kept quiet and have not said anything to them” (P8).
Our participants recounted how the burden of caring for grandchildren falls to them, that is, on the women. Grandmothers take care of their grandchildren, supervise their activities and are ultimately responsible for their upbringing. While grandmothers perform household chores and manage the feeding and hygiene of the grandchildren, the supervisory role may sometimes be relinquished to the grandfather. Grandmothers consider the grandfather to be a “helper” in caring for the grandchildren, but the grandmothers themselves, are ultimately responsible for childcare.
“He is at home , but managing the granddaughter is my job. I take care of everything , making the food , washing the clothes , sewing , ironing. Of course , he doesn’t do those things , because he doesn’t know how. There is a lot of difference between what grandmothers do and what grandfathers do (P9).
The grandfathers’ participation is centered on leisure-entertainment activities and transportation to school, and their tasks are related to leisure, play and entertainment (going out to the park to play), doing homework. There are also differences in the distribution of tasks by gender in relation to activities outside and inside the home. While grandmothers stay closer to home and take care of activities inside the home, grandfathers are in charge of everything that involves going out of the home with their grandchildren.
“I do see differences between us and grandfathers They have had that upbringing from our time. They have not been at home like us , who are more accustomed to the house and to taking care of things , and we manage it better. Because at home , I am so comfortable and he is so bored” (P5).
Our participants recognize that there are gender differences in the distribution of tasks and responsibilities in the care of their grandchildren. They feel they play a mayor and leading role, while grandfathers take on an “auxiliary” role.
Grandmothers feel that they have a duty and obligation to care for their grandchildren in order to help their children. This feeling of duty appears in the work of Badenes & López [ 33 ] in which they describe how grandparents feel an obligation to help rather than accept that their grandchildren be cared for by strangers. In situations where their children need outside help to care for their grandchildren, grandmothers feel a deep-rooted sense of responsibility, family commitment and obligation. However, this does not mean that there are no consequences. Previous studies [ 14 , 33 , 34 ] noted that grandparents experience emotional exhaustion when caring for their grandchildren for many hours and they give up other activities or wishes that would be appropriate for an older person. The voluntary aspect of caregiving is described by our participants. Authors such as Broese van Groenou & De Boer [ 10 ] and Buchanan & Rotkirch [ 1 ], point out that caring for grandchildren is experienced differently depending on whether it derives from a voluntary choice or an obligation. When childcare is not a voluntary choice, previous studies show that the experience can negatively affect the physical and emotional health of grandmothers [ 10 ]. Buchanan & Rotkirch [ 1 ] observe that caregiving produces satisfaction when it is chosen. But when it is an “imposition” by their children, against their will, or truncates life projects such as retirement, then it becomes a key factor in the presence of feelings of overload. Margolis &Verdery [ 35 ] and Lakomý & Kreidl [ 36 ] found that grandmothers play a key role in their children´s ability to balance their careers with family life. This help is an attempt by grandmothers to protect the family and support their children in advancing their careers or keeping their jobs. In Spain, Noriega et al. [ 7 ] show how grandmothers help many young couples to balance work and family life and also become a significant source of economic support.
Our results coincide with previous studies [ 14 , 37 , 38 ], where grandparents adopt the role of caregivers of their grandchildren, as a tool to help their children prevail over difficulties in reconciling work and family life. The results of the present study also coincide with Bordone et al. [ 39 ] who find that this help coming from grandmothers is accentuated in crisis situations such as children’s illnesses, separations, divorces or unemployment. Furthermore, Danielsbacka et al. [ 40 ] point out that grandparents perceive themselves as part of a generation whose dedication to the family contributes to the balance and economic sustainability of society. Leeson [ 41 ] depicts the role of the grandmother as a fundamental pillar for the maintenance of the family unit. They perform mediation functions in conflicts between their children and grandchildren and serve as a refuge from crisis situations in the family. Lee & Blitz [ 14 ] observed that grandmothers not only fulfill the role of helpers in the family. They feel they are “grandmothers for everything”, as they say, because their children resort to the saving figure of grandmothers as the only way to maintain their socioeconomic status and quality of life in the face of any difficulty that may come up.
The helping role to fulfill a debt has been described previously in the work of Di Gessa et al. [ 9 ], who identified how grandmothers’ helping role derived from their own observation and past experience with their mothers and their own grandmothers. These authors state that the helping role of grandmothers is progressively constructed as they imitate the role played by their own grandmothers, mothers and mothers-in-law. The involvement of grandmothers in helping families has facilitated the maintenance of their children’s work or professional development. Hill [ 42 ] proposes the incorporation of women into the labor market and aging of the population as factors leading grandmothers to take on childcare of their grandchildren. These authors argue that grandparents live longer, have acceptable health and are available to care for their grandchildren. On the other hand, Margolis & Verdery [ 35 ] identify the incorporation of both parents into the labor market, inflexible work schedules and the absence of social policies aimed at helping to balance family life and careers as factors that have contributed to the incorporation of grandmothers as an essential resource for families. The presence of generational duty between mothers and daughters is a form of intergenerational family solidarity. For Hank et al. [ 43 ] that solidarity consists of providing care and help among family members. Family solidarity is consolidated as fundamental social capital for the well-being of people, in which grandmothers become a key support as they come to the aid of their children and grandchildren in times of need.
Our results detect a gender distribution of tasks between grandmothers and grandfathers in caring for grandchildren. The burden of care and the final responsibility falls to grandmothers, who play a leading role, while the grandfather is an assistant. Our results coincide with Notter [ 13 ], who observes that household chores and childcare fall mainly to older women. This means that feminization of old age may perpetuate gender-based caregiving inequities. Differences in the distribution of activities between grandmothers and grandfathers continue to exist today and are based on the social construction that defines his or her roles and participation as caregivers [ 5 ]. The participants in the present study point out their importance as protagonists in the care of their grandchildren. Several authors such as Broese van Groenou & De Boer [ 10 ] and Notter [ 13 ] have observed how greater involvement of grandmothers in caregiving tasks for grandchildren leads to greater satisfaction with the role of caregiver. This factor may explain the grandmothers’ feeling of self-importance, as opposed to the “auxiliary” role assigned to the grandfather. Moreover, Perry & Daly [ 12 ] have identified differences between grandmothers and grandfathers as to the performance of caregiving tasks and degree of dedication to and involvement with their grandchildren. These authors have found that grandmothers are the first figure to be asked for help by their children in caring for their grandchildren. In this way, the grandfather becomes a secondary or complementary caregiver.
One of the strengths of this study was to obtain a profile of our participants, which could be used to explore other dimensions (emotions, feelings, etc.) in other research. This profile consists of women over 65 years of age, with an average age of 68 years, living with their partner, and devoting a large part of their time per week to caring for the grandchildren (25 h and/or 6 days per week on average). The current study has not included the experience of grandfathers. The authors believe it would be of interest to strengthen the present study to include the perspective of grandfathers in order to comprehend the distribution of grandparenting tasks from a gender perspective.
There are different proposals in qualitative research [ 29 ]. Specifically, in this study we have focused on studying the lived experience through phenomenology. But it would be an important aspect of future research to study the cultural aspects of care in this group of participants using ethnography, and to analyse in depth the process of caring for grandchildren, which agents are involved (inside and outside the family) in which contexts and circumstances using grounded theory [ 29 , 32 ].
Our results would be of interest to develop support programs for grandmothers aiming to prevent fatigue and exhaustion and support them in caring for their grandchildren. In addition, from policy view it would be necessary to develop studies with a gender perspective on the care provided by grandmothers and grandfathers. It is also essential to promote awareness in various public institutions about the development of intergenerational policies and programmes between grandparents and grandchildren by developing psycho-educational and support programmes where grandparents are helped to: (a) recognise the valuable role of grandparents in today’s society (b) foster social and family cohesion (c) facilitate the transmission of values and strengthen family ties (d) promote active ageing through social participation.
This research adds knowledge about grandmothers’ experiences of caring for their grandchildren, in terms of their caregiving, motivations, and feelings. Grandmothers are a fundamental pillar of families, enabling the balancing of family and work through their help in caring for grandchildren. Grandmothers embrace the role of caregivers of their grandchildren due to a strong sense of duty, obligation and generational responsibility. However, caregiving tasks were found to be assigned to grandparents according to gender.
These results may help us understand the informal care provided by grandmothers within families and how this caregiving facilitates family life and work for the children’s parents. Knowing and understanding the motivations and experiences of grandmothers in caring for grandchildren will enable the application of comprehensive care. Furthermore, the study of grandmothers’ care of grandchildren and the knowledge of the construction and transmission of care between generations (grandmothers-mothers and daughters) would allow us to understand not only the grandmothers’ experiences, but also to identify the cultural and social factors involved, and how these may influence health and the gender perspective of care.
The data that support the findings of the study are available on request from the corresponding author, upon reasonable request. The data are not public due to ethics restrictions.
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We thank Primary Care Management of Servicio Madrileño de Salud for allowing us to carry out this study. We would also like to thank all our fellow nurses for their help.
This research did not receive any specific grant from funding agencies in the public, commercial, or not-for-profit sectors.
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Department of Nursing, Faculty of Biomedical and Health Sciences, European University of Madrid, Madrid, Spain
José Miguel Mansilla-Domínguez, Ana María Recio-Vivas, Laura Lorenzo-Allegue, José Miguel Cachón-Pérez & Laura Esteban-Gonzalo
Departament of Nursing, Universidad Complutense de Madrid, Madrid, Spain
Laura Esteban-Gonzalo
Research Group of Humanities and Qualitative Research in Health Science, Department of Physical Therapy, Occupational Therapy, Physical Medicine and Rehabilitation, Universidad Rey Juan Carlos (Hum&QRinHS), Alcorcón, Spain
Domingo Palacios-Ceña
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All authors have made substantial contributions to the paper: JMMD and DPC conception and design of the work; JMMD, DPC and JMCP the acquisition, analysis and interpretation of dataJMMD, ARV, LLA, JMCP, LEG and DPC have drafted the work or substantively revised it and have approved the submitted version.All authors have agreed both to be personally accountable for the author’s own contributions and to ensure that questions related to the accuracy or integrity of any part of the work, even ones in which the author was not personally involved, are appropriately investigated, resolved, and the resolution documented in the literature.
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All methods were carried out in accordance with the relevant guidelines and regulations. In order to carry out this study, approval was requested from the Research Commission in charge of guaranteeing the scientific quality of the research studies carried out at this center, and the execution of what is established in the Declaration of Helsinki in those cases in which the research requires the participation of people. The study protocol was approved by the Ethical Committee of the Universidad Rey Juan Carlos (code: 01/2015) and the Local Ethical Committee of South Research-Madrid Health Service (code: 08/2012). Informed consent was obtained from all participants involved in this study. The permission for oral informed consent was obtained from the approving ethics committee.
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Mansilla-Domínguez, J.M., Recio-Vivas, A.M., Lorenzo-Allegue, L. et al. The role of duty, gender and intergenerational care in grandmothers’ parenting of grandchildren: a phenomenological qualitative study. BMC Nurs 23 , 477 (2024). https://doi.org/10.1186/s12912-024-02151-0
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Received : 17 November 2023
Accepted : 05 July 2024
Published : 15 July 2024
DOI : https://doi.org/10.1186/s12912-024-02151-0
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This review aims to synthesize a published set of evaluative criteria for good qualitative research. The aim is to shed light on existing standards for assessing the rigor of qualitative research encompassing a range of epistemological and ontological standpoints. Using a systematic search strategy, published journal articles that deliberate criteria for rigorous research were identified. Then ...
In this article we offer guidance for readers on how to assess a study that uses qualitative research methods by providing six key questions to ask when reading qualitative research (box 1). However, the thorough assessment of qualitative research is an interpretive act and requires informed reflective thought rather than the simple application ...
The aim of qualitative research is to understand meaning rather than assuming that there is a singular truth or reality. A good qualitative researcher recognizes that the way they make sense of and attach meaning to the data is partly shaped by the characteristics of the researcher (i.e. age, gender, social class, ethnicity, professional status ...
While many books and articles guide various qualitative research methods and analyses, there is currently no concise resource that explains and differentiates among the most common qualitative approaches. We believe novice qualitative researchers, students planning the design of a qualitative study or taking an introductory qualitative research course, and faculty teaching such courses can ...
This paper aims to provide an overview of the use and assessment of qualitative research methods in the health sciences. Qualitative research can be defined as the study of the nature of phenomena and is especially appropriate for answering questions of why something is (not) observed, assessing complex multi-component interventions, and focussing on intervention improvement.
The purpose of this article is to outline what a qualitative systematic review is and explore what it can contribute to our understanding of pain. A qualitative systematic review brings together research on a topic, systematically searching for research evidence from primary qualitative studies and drawing the findings together.
The best reviews synthesize studies to draw broad theoretical conclusions about what a literature means, linking theory to evidence and evidence to theory. This guide describes how to plan, conduct, organize, and present a systematic review of quantitative (meta-analysis) or qualitative (narrative review, meta-synthesis) information.
In The Literature Review: A Step-by-Step Guide for Students, Ridley presents that literature reviews serve several purposes (2008, p. 16-17).Included are the following points: Historical background for the research; Overview of current field provided by "contemporary debates, issues, and questions;"
particular how these papers should be peer reviewed by drawing on the work of several scholars and journals.2,6,9,11-24 How to do qualitative research,25-29 the relatives merits of qualitative and quantitative health research,30-34 and a more involved discussion of the quality debate1,5,6,7,16,35-37 are published elsewhere. Readers of the general
research. Part 2: quaiitative researcii Frances Ryan, Michael Coughlan, Patricia Cronin Al>stract As with a quantitative study, critical analysis of a qualitative study involves an in-depth review of how each step of the research was undertaken. Qualitative and quantitative studies are, however, fundamentally different approaches to research ...
As a second phase of our research we searched within nine major sociological journals (American Journal of Sociology, Sociological Theory, American Sociological Review, Contemporary Sociology, Sociological Forum, Sociological Theory, Qualitative Research, Qualitative Sociology and Qualitative Sociology Review) for articles also published during ...
Yet, qualitative researchers agree regarding the fundamental importance of collecting rich data (Charmaz, 2014; Lune and Berg, 2016), most commonly via personal interviews (Tjora, 2018).However, while the literature asserts that rich data are the result of the initial rigorous design of the research procedure—for example, by careful preparation of the interview guide and the wording of ...
To summarize research ethics review experiences in a study about the research ethics review process Online feedback form of researcher's data It is necessary to increase transparency of the review process, consistent application of federal guidelines, and a more collaborative review approach to improve the trust of qualitative researchers
This paper aims to provide an overview of the use and assessment of qualitative research methods in the health sciences. Qualitative research can be defined as the study of the nature of phenomena and is especially appropriate for answering questions of why something is (not) observed, assessing complex multi-component interventions, and focussing on intervention improvement. The most common ...
Background Peer review is at the heart of the scientific process. With the advent of digitisation, journals started to offer electronic articles or publishing online only. A new philosophy regarding the peer review process found its way into academia: the open peer review. Open peer review as practiced by BioMed Central (BMC) is a type of peer review where the names of authors and reviewers ...
Current methodological issues in qualitative case study research. The future of qualitative research will be influenced and constructed by the way research is conducted, and by what is reviewed and published in academic journals (Morse, Citation 2011).If case study research is to further develop as a principal qualitative methodological approach, and make a valued contribution to the field of ...
As mentioned previously, there are a number of existing guidelines for literature reviews. Depending on the methodology needed to achieve the purpose of the review, all types can be helpful and appropriate to reach a specific goal (for examples, please see Table 1).These approaches can be qualitative, quantitative, or have a mixed design depending on the phase of the review.
In order to make a decision about implementing evidence into practice, nurses need to be able to critically appraise research. Nurses also have a professional responsibility to maintain up-to-date practice.1 This paper provides a guide on how to critically appraise a qualitative research paper. Qualitative research concentrates on understanding phenomena and may focus on meanings, perceptions ...
Findings - Most qualitative research articles can be divided into four major parts: the frontend, the methods, the findings, and the backend. ... literature review, in a paragraph or a few ...
Background: The qualitative systematic review is a rapidly developing area of nursing research. In order to present trustworthy, high-quality recommendations, such reviews should be based on a review protocol to minimize bias and enhance transparency and reproducibility. Although there are a number of resources available to guide researchers in ...
The exploratory qualitative study used semi-structured interviews with key opinion leaders, decision makers, facilitators, recipients, and frontline implementers, who had influence and involvement in the implementation of professional role substitution models. Data analysis was guided by the Consolidated Framework for Implementation Research ...
This systematic review examines the adaptability, scalability, and sustainability (ASaS) of complex health interventions (CHIs), which are increasingly used in public health, clinical research, and education to alleviate global disease burdens [].The effectiveness of CHIs depends on various factors, including health resources, education levels, and economic status [2, 3].
Interviews were conducted between September 2022 and July 2023. This work was reviewed by the Air Force Research Laboratory Institutional Review Board at Wright-Patterson Air Force Base and designated as exempt research, FWR20220103E, and by the USAF Survey Office and granted the approval number AF22-110AFMC. ... Basics of Qualitative Research ...
Thus, to capture a snapshot of the current state of qualitative research and qualitative data analysis practices in HRD, we conducted a review of Human Resource Development Quarterly (HRDQ) between 1990 and the current issue (Volume 33, Issue 3) in 2019 and identified 59 qualitative articles. The types of qualitative research included: 24 case ...
Implementation of new practices in team-based settings requires teams to work together to respond to new demands and changing expectations. However, team constructs and team-based implementation approaches have received little attention in the implementation science literature. This systematic review summarizes empirical research examining associations between teamwork and implementation ...
The gender and racial disparity in access to high-profile, career-enhancing work has been widely overlooked. Research across industries has shown that 81% to 85% of white men report fair access to ...
INTRODUCTION. Scientific research is usually initiated by posing evidenced-based research questions which are then explicitly restated as hypotheses.1,2 The hypotheses provide directions to guide the study, solutions, explanations, and expected results.3,4 Both research questions and hypotheses are essentially formulated based on conventional theories and real-world processes, which allow the ...
Participatory research involves the meaningful collaboration of community members, especially those from the population of focus, in all phases of the research, including designing the clinical trial.
This study was conducted at El-Sabahia Research Station (latitude 31°12′ N, longitude 29°58′ E) in Alexandria, Egypt to evaluate the effect of Spirulina platensis algae extract on the growth, yield, and juice quality of four sugarcane genotypes during the 2020/2021 and 2021/2022 seasons. The sugarcane genotypes tested (G.T. 54-9, G. 2003-47, G. 84-47, and G. 2004-27) were treated with ...
Objectives The aim of this study was to describe grandmothers' experiences of taking care of their grandchildren in terms of their care-giving tasks, motivations and emotions. Methods A qualitative phenomenological study was conducted. Purposive sampling was used, based on the relevance of the research question. Seventeen participants were included, women ≥ 65 years old, grandmothers who ...