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Research Process – Steps, Examples and Tips

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Research Process

Definition:

Research Process is a systematic and structured approach that involves the collection, analysis, and interpretation of data or information to answer a specific research question or solve a particular problem.

Research Process Steps

Research Process Steps are as follows:

Identify the Research Question or Problem

This is the first step in the research process. It involves identifying a problem or question that needs to be addressed. The research question should be specific, relevant, and focused on a particular area of interest.

Conduct a Literature Review

Once the research question has been identified, the next step is to conduct a literature review. This involves reviewing existing research and literature on the topic to identify any gaps in knowledge or areas where further research is needed. A literature review helps to provide a theoretical framework for the research and also ensures that the research is not duplicating previous work.

Formulate a Hypothesis or Research Objectives

Based on the research question and literature review, the researcher can formulate a hypothesis or research objectives. A hypothesis is a statement that can be tested to determine its validity, while research objectives are specific goals that the researcher aims to achieve through the research.

Design a Research Plan and Methodology

This step involves designing a research plan and methodology that will enable the researcher to collect and analyze data to test the hypothesis or achieve the research objectives. The research plan should include details on the sample size, data collection methods, and data analysis techniques that will be used.

Collect and Analyze Data

This step involves collecting and analyzing data according to the research plan and methodology. Data can be collected through various methods, including surveys, interviews, observations, or experiments. The data analysis process involves cleaning and organizing the data, applying statistical and analytical techniques to the data, and interpreting the results.

Interpret the Findings and Draw Conclusions

After analyzing the data, the researcher must interpret the findings and draw conclusions. This involves assessing the validity and reliability of the results and determining whether the hypothesis was supported or not. The researcher must also consider any limitations of the research and discuss the implications of the findings.

Communicate the Results

Finally, the researcher must communicate the results of the research through a research report, presentation, or publication. The research report should provide a detailed account of the research process, including the research question, literature review, research methodology, data analysis, findings, and conclusions. The report should also include recommendations for further research in the area.

Review and Revise

The research process is an iterative one, and it is important to review and revise the research plan and methodology as necessary. Researchers should assess the quality of their data and methods, reflect on their findings, and consider areas for improvement.

Ethical Considerations

Throughout the research process, ethical considerations must be taken into account. This includes ensuring that the research design protects the welfare of research participants, obtaining informed consent, maintaining confidentiality and privacy, and avoiding any potential harm to participants or their communities.

Dissemination and Application

The final step in the research process is to disseminate the findings and apply the research to real-world settings. Researchers can share their findings through academic publications, presentations at conferences, or media coverage. The research can be used to inform policy decisions, develop interventions, or improve practice in the relevant field.

Research Process Example

Following is a Research Process Example:

Research Question : What are the effects of a plant-based diet on athletic performance in high school athletes?

Step 1: Background Research Conduct a literature review to gain a better understanding of the existing research on the topic. Read academic articles and research studies related to plant-based diets, athletic performance, and high school athletes.

Step 2: Develop a Hypothesis Based on the literature review, develop a hypothesis that a plant-based diet positively affects athletic performance in high school athletes.

Step 3: Design the Study Design a study to test the hypothesis. Decide on the study population, sample size, and research methods. For this study, you could use a survey to collect data on dietary habits and athletic performance from a sample of high school athletes who follow a plant-based diet and a sample of high school athletes who do not follow a plant-based diet.

Step 4: Collect Data Distribute the survey to the selected sample and collect data on dietary habits and athletic performance.

Step 5: Analyze Data Use statistical analysis to compare the data from the two samples and determine if there is a significant difference in athletic performance between those who follow a plant-based diet and those who do not.

Step 6 : Interpret Results Interpret the results of the analysis in the context of the research question and hypothesis. Discuss any limitations or potential biases in the study design.

Step 7: Draw Conclusions Based on the results, draw conclusions about whether a plant-based diet has a significant effect on athletic performance in high school athletes. If the hypothesis is supported by the data, discuss potential implications and future research directions.

Step 8: Communicate Findings Communicate the findings of the study in a clear and concise manner. Use appropriate language, visuals, and formats to ensure that the findings are understood and valued.

Applications of Research Process

The research process has numerous applications across a wide range of fields and industries. Some examples of applications of the research process include:

Scientific research: The research process is widely used in scientific research to investigate phenomena in the natural world and develop new theories or technologies. This includes fields such as biology, chemistry, physics, and environmental science.
Social sciences : The research process is commonly used in social sciences to study human behavior, social structures, and institutions. This includes fields such as sociology, psychology, anthropology, and economics.
Education: The research process is used in education to study learning processes, curriculum design, and teaching methodologies. This includes research on student achievement, teacher effectiveness, and educational policy.
Healthcare: The research process is used in healthcare to investigate medical conditions, develop new treatments, and evaluate healthcare interventions. This includes fields such as medicine, nursing, and public health.
Business and industry : The research process is used in business and industry to study consumer behavior, market trends, and develop new products or services. This includes market research, product development, and customer satisfaction research.
Government and policy : The research process is used in government and policy to evaluate the effectiveness of policies and programs, and to inform policy decisions. This includes research on social welfare, crime prevention, and environmental policy.

Purpose of Research Process

The purpose of the research process is to systematically and scientifically investigate a problem or question in order to generate new knowledge or solve a problem. The research process enables researchers to:

Identify gaps in existing knowledge: By conducting a thorough literature review, researchers can identify gaps in existing knowledge and develop research questions that address these gaps.
Collect and analyze data : The research process provides a structured approach to collecting and analyzing data. Researchers can use a variety of research methods, including surveys, experiments, and interviews, to collect data that is valid and reliable.
Test hypotheses : The research process allows researchers to test hypotheses and make evidence-based conclusions. Through the systematic analysis of data, researchers can draw conclusions about the relationships between variables and develop new theories or models.
Solve problems: The research process can be used to solve practical problems and improve real-world outcomes. For example, researchers can develop interventions to address health or social problems, evaluate the effectiveness of policies or programs, and improve organizational processes.
Generate new knowledge : The research process is a key way to generate new knowledge and advance understanding in a given field. By conducting rigorous and well-designed research, researchers can make significant contributions to their field and help to shape future research.

Tips for Research Process

Here are some tips for the research process:

Start with a clear research question : A well-defined research question is the foundation of a successful research project. It should be specific, relevant, and achievable within the given time frame and resources.
Conduct a thorough literature review: A comprehensive literature review will help you to identify gaps in existing knowledge, build on previous research, and avoid duplication. It will also provide a theoretical framework for your research.
Choose appropriate research methods: Select research methods that are appropriate for your research question, objectives, and sample size. Ensure that your methods are valid, reliable, and ethical.
Be organized and systematic: Keep detailed notes throughout the research process, including your research plan, methodology, data collection, and analysis. This will help you to stay organized and ensure that you don’t miss any important details.
Analyze data rigorously: Use appropriate statistical and analytical techniques to analyze your data. Ensure that your analysis is valid, reliable, and transparent.
I nterpret results carefully : Interpret your results in the context of your research question and objectives. Consider any limitations or potential biases in your research design, and be cautious in drawing conclusions.
Communicate effectively: Communicate your research findings clearly and effectively to your target audience. Use appropriate language, visuals, and formats to ensure that your findings are understood and valued.
Collaborate and seek feedback : Collaborate with other researchers, experts, or stakeholders in your field. Seek feedback on your research design, methods, and findings to ensure that they are relevant, meaningful, and impactful.

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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Research Process Steps: What they are + How To Follow

There are various approaches to conducting basic and applied research. This article explains the research process steps you should know. Whether you are doing basic research or applied research, there are many ways of doing it. In some ways, each research study is unique since it is conducted at a different time and place.

Conducting research might be difficult, but there are clear processes to follow. The research process starts with a broad idea for a topic. This article will assist you through the research process steps, helping you focus and develop your topic.

Research Process Steps

The research process consists of a series of systematic procedures that a researcher must go through in order to generate knowledge that will be considered valuable by the project and focus on the relevant topic.

To conduct effective research, you must understand the research process steps and follow them. Here are a few steps in the research process to make it easier for you:

Step 1: Identify the Problem

Finding an issue or formulating a research question is the first step. A well-defined research problem will guide the researcher through all stages of the research process, from setting objectives to choosing a technique. There are a number of approaches to get insight into a topic and gain a better understanding of it. Such as:

A preliminary survey
Case studies
Interviews with a small group of people
Observational survey

Step 2: Evaluate the Literature

A thorough examination of the relevant studies is essential to the research process . It enables the researcher to identify the precise aspects of the problem. Once a problem has been found, the investigator or researcher needs to find out more about it.

This stage gives problem-zone background. It teaches the investigator about previous research, how they were conducted, and its conclusions. The researcher can build consistency between his work and others through a literature review. Such a review exposes the researcher to a more significant body of knowledge and helps him follow the research process efficiently.

Step 3: Create Hypotheses

Formulating an original hypothesis is the next logical step after narrowing down the research topic and defining it. A belief solves logical relationships between variables. In order to establish a hypothesis, a researcher must have a certain amount of expertise in the field.

It is important for researchers to keep in mind while formulating a hypothesis that it must be based on the research topic. Researchers are able to concentrate their efforts and stay committed to their objectives when they develop theories to guide their work.

Step 4: The Research Design

Research design is the plan for achieving objectives and answering research questions. It outlines how to get the relevant information. Its goal is to design research to test hypotheses, address the research questions, and provide decision-making insights.

The research design aims to minimize the time, money, and effort required to acquire meaningful evidence. This plan fits into four categories:

Exploration and Surveys
Data Analysis
Observation

Step 5: Describe Population

Research projects usually look at a specific group of people, facilities, or how technology is used in the business. In research, the term population refers to this study group. The research topic and purpose help determine the study group.

Suppose a researcher wishes to investigate a certain group of people in the community. In that case, the research could target a specific age group, males or females, a geographic location, or an ethnic group. A final step in a study’s design is to specify its sample or population so that the results may be generalized.

Step 6: Data Collection

Data collection is important in obtaining the knowledge or information required to answer the research issue. Every research collected data, either from the literature or the people being studied. Data must be collected from the two categories of researchers. These sources may provide primary data.

Questionnaire

Secondary data categories are:

Literature survey
Official, unofficial reports
An approach based on library resources

Step 7: Data Analysis

During research design, the researcher plans data analysis. After collecting data, the researcher analyzes it. The data is examined based on the approach in this step. The research findings are reviewed and reported.

Data analysis involves a number of closely related stages, such as setting up categories, applying these categories to raw data through coding and tabulation, and then drawing statistical conclusions. The researcher can examine the acquired data using a variety of statistical methods.

Step 8: The Report-writing

After completing these steps, the researcher must prepare a report detailing his findings. The report must be carefully composed with the following in mind:

The Layout: On the first page, the title, date, acknowledgments, and preface should be on the report. A table of contents should be followed by a list of tables, graphs, and charts if any.
Introduction: It should state the research’s purpose and methods. This section should include the study’s scope and limits.
Summary of Findings: A non-technical summary of findings and recommendations will follow the introduction. The findings should be summarized if they’re lengthy.
Principal Report: The main body of the report should make sense and be broken up into sections that are easy to understand.
Conclusion: The researcher should restate his findings at the end of the main text. It’s the final result.

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3 The research process

In Chapter 1, we saw that scientific research is the process of acquiring scientific knowledge using the scientific method. But how is such research conducted? This chapter delves into the process of scientific research, and the assumptions and outcomes of the research process.

Paradigms of social research

Our design and conduct of research is shaped by our mental models, or frames of reference that we use to organise our reasoning and observations. These mental models or frames (belief systems) are called paradigms . The word ‘paradigm’ was popularised by Thomas Kuhn (1962) [1] in his book The structure of scientific r evolutions , where he examined the history of the natural sciences to identify patterns of activities that shape the progress of science. Similar ideas are applicable to social sciences as well, where a social reality can be viewed by different people in different ways, which may constrain their thinking and reasoning about the observed phenomenon. For instance, conservatives and liberals tend to have very different perceptions of the role of government in people’s lives, and hence, have different opinions on how to solve social problems. Conservatives may believe that lowering taxes is the best way to stimulate a stagnant economy because it increases people’s disposable income and spending, which in turn expands business output and employment. In contrast, liberals may believe that governments should invest more directly in job creation programs such as public works and infrastructure projects, which will increase employment and people’s ability to consume and drive the economy. Likewise, Western societies place greater emphasis on individual rights, such as one’s right to privacy, right of free speech, and right to bear arms. In contrast, Asian societies tend to balance the rights of individuals against the rights of families, organisations, and the government, and therefore tend to be more communal and less individualistic in their policies. Such differences in perspective often lead Westerners to criticise Asian governments for being autocratic, while Asians criticise Western societies for being greedy, having high crime rates, and creating a ‘cult of the individual’. Our personal paradigms are like ‘coloured glasses’ that govern how we view the world and how we structure our thoughts about what we see in the world.

Paradigms are often hard to recognise, because they are implicit, assumed, and taken for granted. However, recognising these paradigms is key to making sense of and reconciling differences in people’s perceptions of the same social phenomenon. For instance, why do liberals believe that the best way to improve secondary education is to hire more teachers, while conservatives believe that privatising education (using such means as school vouchers) is more effective in achieving the same goal? Conservatives place more faith in competitive markets (i.e., in free competition between schools competing for education dollars), while liberals believe more in labour (i.e., in having more teachers and schools). Likewise, in social science research, to understand why a certain technology was successfully implemented in one organisation, but failed miserably in another, a researcher looking at the world through a ‘rational lens’ will look for rational explanations of the problem, such as inadequate technology or poor fit between technology and the task context where it is being utilised. Another researcher looking at the same problem through a ‘social lens’ may seek out social deficiencies such as inadequate user training or lack of management support. Those seeing it through a ‘political lens’ will look for instances of organisational politics that may subvert the technology implementation process. Hence, subconscious paradigms often constrain the concepts that researchers attempt to measure, their observations, and their subsequent interpretations of a phenomenon. However, given the complex nature of social phenomena, it is possible that all of the above paradigms are partially correct, and that a fuller understanding of the problem may require an understanding and application of multiple paradigms.

Two popular paradigms today among social science researchers are positivism and post-positivism. Positivism , based on the works of French philosopher Auguste Comte (1798–1857), was the dominant scientific paradigm until the mid-twentieth century. It holds that science or knowledge creation should be restricted to what can be observed and measured. Positivism tends to rely exclusively on theories that can be directly tested. Though positivism was originally an attempt to separate scientific inquiry from religion (where the precepts could not be objectively observed), positivism led to empiricism or a blind faith in observed data and a rejection of any attempt to extend or reason beyond observable facts. Since human thoughts and emotions could not be directly measured, they were not considered to be legitimate topics for scientific research. Frustrations with the strictly empirical nature of positivist philosophy led to the development of post-positivism (or postmodernism) during the mid-late twentieth century. Post-positivism argues that one can make reasonable inferences about a phenomenon by combining empirical observations with logical reasoning. Post-positivists view science as not certain but probabilistic (i.e., based on many contingencies), and often seek to explore these contingencies to understand social reality better. The post-positivist camp has further fragmented into subjectivists , who view the world as a subjective construction of our subjective minds rather than as an objective reality, and critical realists , who believe that there is an external reality that is independent of a person’s thinking but we can never know such reality with any degree of certainty.

Burrell and Morgan (1979), [2] in their seminal book Sociological p aradigms and organizational a nalysis , suggested that the way social science researchers view and study social phenomena is shaped by two fundamental sets of philosophical assumptions: ontology and epistemology. Ontology refers to our assumptions about how we see the world (e.g., does the world consist mostly of social order or constant change?). Epistemology refers to our assumptions about the best way to study the world (e.g., should we use an objective or subjective approach to study social reality?). Using these two sets of assumptions, we can categorise social science research as belonging to one of four categories (see Figure 3.1).

If researchers view the world as consisting mostly of social order (ontology) and hence seek to study patterns of ordered events or behaviours, and believe that the best way to study such a world is using an objective approach (epistemology) that is independent of the person conducting the observation or interpretation, such as by using standardised data collection tools like surveys, then they are adopting a paradigm of functionalism . However, if they believe that the best way to study social order is though the subjective interpretation of participants, such as by interviewing different participants and reconciling differences among their responses using their own subjective perspectives, then they are employing an interpretivism paradigm. If researchers believe that the world consists of radical change and seek to understand or enact change using an objectivist approach, then they are employing a radical structuralism paradigm. If they wish to understand social change using the subjective perspectives of the participants involved, then they are following a radical humanism paradigm.

Four paradigms of social science research

To date, the majority of social science research has emulated the natural sciences, and followed the functionalist paradigm. Functionalists believe that social order or patterns can be understood in terms of their functional components, and therefore attempt to break down a problem into small components and studying one or more components in detail using objectivist techniques such as surveys and experimental research. However, with the emergence of post-positivist thinking, a small but growing number of social science researchers are attempting to understand social order using subjectivist techniques such as interviews and ethnographic studies. Radical humanism and radical structuralism continues to represent a negligible proportion of social science research, because scientists are primarily concerned with understanding generalisable patterns of behaviour, events, or phenomena, rather than idiosyncratic or changing events. Nevertheless, if you wish to study social change, such as why democratic movements are increasingly emerging in Middle Eastern countries, or why this movement was successful in Tunisia, took a longer path to success in Libya, and is still not successful in Syria, then perhaps radical humanism is the right approach for such a study. Social and organisational phenomena generally consist of elements of both order and change. For instance, organisational success depends on formalised business processes, work procedures, and job responsibilities, while being simultaneously constrained by a constantly changing mix of competitors, competing products, suppliers, and customer base in the business environment. Hence, a holistic and more complete understanding of social phenomena such as why some organisations are more successful than others, requires an appreciation and application of a multi-paradigmatic approach to research.

Overview of the research process

So how do our mental paradigms shape social science research? At its core, all scientific research is an iterative process of observation, rationalisation, and validation. In the observation phase, we observe a natural or social phenomenon, event, or behaviour that interests us. In the rationalisation phase, we try to make sense of the observed phenomenon, event, or behaviour by logically connecting the different pieces of the puzzle that we observe, which in some cases, may lead to the construction of a theory. Finally, in the validation phase, we test our theories using a scientific method through a process of data collection and analysis, and in doing so, possibly modify or extend our initial theory. However, research designs vary based on whether the researcher starts at observation and attempts to rationalise the observations (inductive research), or whether the researcher starts at an ex ante rationalisation or a theory and attempts to validate the theory (deductive research). Hence, the observation-rationalisation-validation cycle is very similar to the induction-deduction cycle of research discussed in Chapter 1.

Most traditional research tends to be deductive and functionalistic in nature. Figure 3.2 provides a schematic view of such a research project. This figure depicts a series of activities to be performed in functionalist research, categorised into three phases: exploration, research design, and research execution. Note that this generalised design is not a roadmap or flowchart for all research. It applies only to functionalistic research, and it can and should be modified to fit the needs of a specific project.

The first phase of research is exploration . This phase includes exploring and selecting research questions for further investigation, examining the published literature in the area of inquiry to understand the current state of knowledge in that area, and identifying theories that may help answer the research questions of interest.

The first step in the exploration phase is identifying one or more research questions dealing with a specific behaviour, event, or phenomena of interest. Research questions are specific questions about a behaviour, event, or phenomena of interest that you wish to seek answers for in your research. Examples include determining which factors motivate consumers to purchase goods and services online without knowing the vendors of these goods or services, how can we make high school students more creative, and why some people commit terrorist acts. Research questions can delve into issues of what, why, how, when, and so forth. More interesting research questions are those that appeal to a broader population (e.g., ‘how can firms innovate?’ is a more interesting research question than ‘how can Chinese firms innovate in the service-sector?’), address real and complex problems (in contrast to hypothetical or ‘toy’ problems), and where the answers are not obvious. Narrowly focused research questions (often with a binary yes/no answer) tend to be less useful and less interesting and less suited to capturing the subtle nuances of social phenomena. Uninteresting research questions generally lead to uninteresting and unpublishable research findings.

The next step is to conduct a literature review of the domain of interest. The purpose of a literature review is three-fold: one, to survey the current state of knowledge in the area of inquiry, two, to identify key authors, articles, theories, and findings in that area, and three, to identify gaps in knowledge in that research area. Literature review is commonly done today using computerised keyword searches in online databases. Keywords can be combined using Boolean operators such as ‘and’ and ‘or’ to narrow down or expand the search results. Once a shortlist of relevant articles is generated from the keyword search, the researcher must then manually browse through each article, or at least its abstract, to determine the suitability of that article for a detailed review. Literature reviews should be reasonably complete, and not restricted to a few journals, a few years, or a specific methodology. Reviewed articles may be summarised in the form of tables, and can be further structured using organising frameworks such as a concept matrix. A well-conducted literature review should indicate whether the initial research questions have already been addressed in the literature (which would obviate the need to study them again), whether there are newer or more interesting research questions available, and whether the original research questions should be modified or changed in light of the findings of the literature review. The review can also provide some intuitions or potential answers to the questions of interest and/or help identify theories that have previously been used to address similar questions.

Since functionalist (deductive) research involves theory-testing, the third step is to identify one or more theories can help address the desired research questions. While the literature review may uncover a wide range of concepts or constructs potentially related to the phenomenon of interest, a theory will help identify which of these constructs is logically relevant to the target phenomenon and how. Forgoing theories may result in measuring a wide range of less relevant, marginally relevant, or irrelevant constructs, while also minimising the chances of obtaining results that are meaningful and not by pure chance. In functionalist research, theories can be used as the logical basis for postulating hypotheses for empirical testing. Obviously, not all theories are well-suited for studying all social phenomena. Theories must be carefully selected based on their fit with the target problem and the extent to which their assumptions are consistent with that of the target problem. We will examine theories and the process of theorising in detail in the next chapter.

The next phase in the research process is research design . This process is concerned with creating a blueprint of the actions to take in order to satisfactorily answer the research questions identified in the exploration phase. This includes selecting a research method, operationalising constructs of interest, and devising an appropriate sampling strategy.

Operationalisation is the process of designing precise measures for abstract theoretical constructs. This is a major problem in social science research, given that many of the constructs, such as prejudice, alienation, and liberalism are hard to define, let alone measure accurately. Operationalisation starts with specifying an ‘operational definition’ (or ‘conceptualization’) of the constructs of interest. Next, the researcher can search the literature to see if there are existing pre-validated measures matching their operational definition that can be used directly or modified to measure their constructs of interest. If such measures are not available or if existing measures are poor or reflect a different conceptualisation than that intended by the researcher, new instruments may have to be designed for measuring those constructs. This means specifying exactly how exactly the desired construct will be measured (e.g., how many items, what items, and so forth). This can easily be a long and laborious process, with multiple rounds of pre-tests and modifications before the newly designed instrument can be accepted as ‘scientifically valid’. We will discuss operationalisation of constructs in a future chapter on measurement.

Simultaneously with operationalisation, the researcher must also decide what research method they wish to employ for collecting data to address their research questions of interest. Such methods may include quantitative methods such as experiments or survey research or qualitative methods such as case research or action research, or possibly a combination of both. If an experiment is desired, then what is the experimental design? If this is a survey, do you plan a mail survey, telephone survey, web survey, or a combination? For complex, uncertain, and multifaceted social phenomena, multi-method approaches may be more suitable, which may help leverage the unique strengths of each research method and generate insights that may not be obtained using a single method.

Researchers must also carefully choose the target population from which they wish to collect data, and a sampling strategy to select a sample from that population. For instance, should they survey individuals or firms or workgroups within firms? What types of individuals or firms do they wish to target? Sampling strategy is closely related to the unit of analysis in a research problem. While selecting a sample, reasonable care should be taken to avoid a biased sample (e.g., sample based on convenience) that may generate biased observations. Sampling is covered in depth in a later chapter.

At this stage, it is often a good idea to write a research proposal detailing all of the decisions made in the preceding stages of the research process and the rationale behind each decision. This multi-part proposal should address what research questions you wish to study and why, the prior state of knowledge in this area, theories you wish to employ along with hypotheses to be tested, how you intend to measure constructs, what research method is to be employed and why, and desired sampling strategy. Funding agencies typically require such a proposal in order to select the best proposals for funding. Even if funding is not sought for a research project, a proposal may serve as a useful vehicle for seeking feedback from other researchers and identifying potential problems with the research project (e.g., whether some important constructs were missing from the study) before starting data collection. This initial feedback is invaluable because it is often too late to correct critical problems after data is collected in a research study.

Having decided who to study (subjects), what to measure (concepts), and how to collect data (research method), the researcher is now ready to proceed to the research execution phase. This includes pilot testing the measurement instruments, data collection, and data analysis.

Pilot testing is an often overlooked but extremely important part of the research process. It helps detect potential problems in your research design and/or instrumentation (e.g., whether the questions asked are intelligible to the targeted sample), and to ensure that the measurement instruments used in the study are reliable and valid measures of the constructs of interest. The pilot sample is usually a small subset of the target population. After successful pilot testing, the researcher may then proceed with data collection using the sampled population. The data collected may be quantitative or qualitative, depending on the research method employed.

Following data collection, the data is analysed and interpreted for the purpose of drawing conclusions regarding the research questions of interest. Depending on the type of data collected (quantitative or qualitative), data analysis may be quantitative (e.g., employ statistical techniques such as regression or structural equation modelling) or qualitative (e.g., coding or content analysis).

The final phase of research involves preparing the final research report documenting the entire research process and its findings in the form of a research paper, dissertation, or monograph. This report should outline in detail all the choices made during the research process (e.g., theory used, constructs selected, measures used, research methods, sampling, etc.) and why, as well as the outcomes of each phase of the research process. The research process must be described in sufficient detail so as to allow other researchers to replicate your study, test the findings, or assess whether the inferences derived are scientifically acceptable. Of course, having a ready research proposal will greatly simplify and quicken the process of writing the finished report. Note that research is of no value unless the research process and outcomes are documented for future generations—such documentation is essential for the incremental progress of science.

Common mistakes in research

The research process is fraught with problems and pitfalls, and novice researchers often find, after investing substantial amounts of time and effort into a research project, that their research questions were not sufficiently answered, or that the findings were not interesting enough, or that the research was not of ‘acceptable’ scientific quality. Such problems typically result in research papers being rejected by journals. Some of the more frequent mistakes are described below.

Insufficiently motivated research questions. Often times, we choose our ‘pet’ problems that are interesting to us but not to the scientific community at large, i.e., it does not generate new knowledge or insight about the phenomenon being investigated. Because the research process involves a significant investment of time and effort on the researcher’s part, the researcher must be certain—and be able to convince others—that the research questions they seek to answer deal with real—and not hypothetical—problems that affect a substantial portion of a population and have not been adequately addressed in prior research.

Pursuing research fads. Another common mistake is pursuing ‘popular’ topics with limited shelf life. A typical example is studying technologies or practices that are popular today. Because research takes several years to complete and publish, it is possible that popular interest in these fads may die down by the time the research is completed and submitted for publication. A better strategy may be to study ‘timeless’ topics that have always persisted through the years.

Unresearchable problems. Some research problems may not be answered adequately based on observed evidence alone, or using currently accepted methods and procedures. Such problems are best avoided. However, some unresearchable, ambiguously defined problems may be modified or fine tuned into well-defined and useful researchable problems.

Favoured research methods. Many researchers have a tendency to recast a research problem so that it is amenable to their favourite research method (e.g., survey research). This is an unfortunate trend. Research methods should be chosen to best fit a research problem, and not the other way around.

Blind data mining. Some researchers have the tendency to collect data first (using instruments that are already available), and then figure out what to do with it. Note that data collection is only one step in a long and elaborate process of planning, designing, and executing research. In fact, a series of other activities are needed in a research process prior to data collection. If researchers jump into data collection without such elaborate planning, the data collected will likely be irrelevant, imperfect, or useless, and their data collection efforts may be entirely wasted. An abundance of data cannot make up for deficits in research planning and design, and particularly, for the lack of interesting research questions.

Kuhn, T. (1962). The structure of scientific revolutions . Chicago: University of Chicago Press. ↵
Burrell, G. & Morgan, G. (1979). Sociological paradigms and organisational analysis: elements of the sociology of corporate life . London: Heinemann Educational. ↵

Social Science Research: Principles, Methods and Practices (Revised edition) Copyright © 2019 by Anol Bhattacherjee is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

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Stages in the research process

Affiliation.

1 Faculty of Health, Social Care and Education, Anglia Ruskin University, Cambridge, England.
PMID: 25736674
DOI: 10.7748/ns.29.27.44.e8745

Research should be conducted in a systematic manner, allowing the researcher to progress from a general idea or clinical problem to scientifically rigorous research findings that enable new developments to improve clinical practice. Using a research process helps guide this process. This article is the first in a 26-part series on nursing research. It examines the process that is common to all research, and provides insights into ten different stages of this process: developing the research question, searching and evaluating the literature, selecting the research approach, selecting research methods, gaining access to the research site and data, pilot study, sampling and recruitment, data collection, data analysis, and dissemination of results and implementation of findings.

Keywords: Clinical nursing research; nursing research; qualitative research; quantitative research; research; research ethics; research methodology; research process; sampling.

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The Research Process | Steps, How to Start & Tips

Introduction

Basic steps in the research process, conducting a literature review, designing the research project, collecting and analyzing data.

Interpretation, conclusion and presentation of findings

Key principles for conducting research

The research process is a systematic method used to gather information and answer specific questions. The process ensures the findings are credible, high-quality, and applicable to a broader context. It can vary slightly between disciplines but typically follows a structured pathway from initial inquiry to final presentation of results.

What is the research process?

At its core, the research process involves several fundamental activities: identifying a topic that needs further investigation, reviewing existing knowledge on the subject, forming a precise research question , and designing a method to investigate it. This is followed by collecting and analyzing data , interpreting the results, and reporting the findings. Each step is crucial and builds upon the previous one, requiring meticulous attention to detail and rigorous methodology.

The research process is important because it provides a scientific basis for decision-making. Whether in academic, scientific, or commercial fields, research helps us understand complex issues, develop new tools or products, and improve existing practices. By adhering to a structured research process , researchers can produce results that are not only insightful but also transparent so that others can understand how the findings were developed and build on them in future studies. The integrity of the research process is essential for advancing knowledge and making informed decisions that can have significant social, economic, and scientific impacts.

The research process fosters critical thinking and problem-solving skills. It demands a clear articulation of a problem, thorough investigation, and thoughtful interpretation of data, all of which are valuable skills in any professional field. By following this process, researchers are better equipped to tackle complex questions and contribute meaningful solutions to real-world problems.

From finding the key theoretical concepts to presenting the research findings in a report, every step in the research process forms a cohesive pathway that supports researchers in systematically uncovering deep insights and generating meaningful knowledge, which is crucial for the success of any qualitative investigation.

Identifying key theoretical concepts

The first step in the research process involves finding the key theoretical concepts or words that specify the research topic and are always included in the title of the investigation. Without a definition, these words have no sense or meaning (Daft, 1995). To identify these concepts, a researcher must ask which theoretical keywords are implicit in the investigation. To answer this question a researcher should identify the logical relationships among the two words that catch the focus of the investigation. It is also crucial that researchers provide clear definitions for their theoretical keywords. The title of the research can then include these theoretical keywords and signal how they are being studied.

A piece of useful advice is to draw a conceptual map to visualize the direct or indirect relationships between the key theoretical words and choose a relationship between them as the focus of the investigation.

Developing a research question

One of the most important steps in the research endeavor is identifying a research question. Research questions answer aspects of the topic that need more knowledge or shed light on information that has to be prioritized before others. It is the first step in identifying which participants or type of data collection methods. Research questions put into practice the conceptual framework and make the initial theoretical concepts more explicit.

A research question carries a different implicit meaning depending on how it is framed. Questions starting with what, who, and where usually identify a phenomenon or elements of one, while how, why, when and how much describe, explain, predict or control a phenomenon.

Overall, research questions must be clear, focused and complex. They must also generate knowledge relevant to society and the answers must pose a comprehensive understanding that contributes to the scientific community.

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A literature review is the synthesis of the existing body of research relevant to a research topic . It allows researchers to identify the current state of the art of knowledge of a particular topic. When conducting research, it is the foundation and guides the researcher to the knowledge gaps that need to be covered to best contribute to the scientific community.

Common methodologies include miniaturized or complete reviews, descriptive or integrated reviews, narrative reviews, theoretical reviews, methodological reviews and systematic reviews.

When navigating through the literature, researchers must try to answer their research question with the most current peer-reviewed research when finding relevant data for a research project. It is important to use the existing literature in at least two different databases and adapt the key concepts to amplify their search. Researchers also pay attention to the titles, summaries and references of each article. It is recommended to have a research diary for useful previous research as it could be the researcher´s go-to source when writing the final report.

A good research design involves data analysis methods suited to the research question, and where data collection generates appropriate data for the analysis method (Willig, 2001).

Designing a qualitative study is a critical step in the research process, serving as the blueprint for the research study. This phase is a fundamental part of the planning process, ensuring that the chosen research methods align perfectly with the research's purpose. During this stage, a researcher decides on a specific approach—such as narrative , phenomenological , grounded theory , ethnographic , or case study —tailoring the design to the unique research problem and needs of the research project. By carefully selecting the research method and planning how to approach the data, researchers can ensure that their work remains focused and relevant to the intended study area.

A well-constructed research design is vital for maintaining the integrity and credibility of the study. It guides the researcher through the research process steps, from data collection to analysis, helping to manage and mitigate potential interpretations and errors. This detailed planning is crucial, particularly in qualitative studies, where the depth of understanding and interpretive nature of analysis can significantly influence outcomes.

The design of a qualitative study is more than a procedural formality; it is a strategic component of the research that enhances the quality of the results. It requires thoughtful consideration of the research question, ensuring that every aspect of the methodology contributes effectively to the overarching goals of the project.

Collecting data

Gathering data can involve various methods tailored to the study's specific needs. To collect data , techniques may include interviews , focus groups, surveys and observations , each chosen for its ability to target a specific group relevant to the research population. For example, focus groups might explore attitudes within a specific age group, while observations might analyze behaviours in a community for population research projects. Data may also come from secondary sources with quantitative and qualitative approaches such as library resources, market research, customer feedback or employee evaluations.

Effective data management is crucial, ensuring that primary data from direct collection and secondary data from sources like public health records are organized and maintained properly. This step is vital for maintaining the integrity of the data throughout the research process steps, supporting the overall goal of conducting thorough and coherent research.

Analyzing data

Once research data has been collected, the next critical step is to analyze the data. This phase is crucial for transforming raw data into high-quality information for meaningful research findings.

Analyzing qualitative data often involves coding and thematic analysis , which helps identify patterns and themes within the data. While qualitative research typically does not focus on drawing statistical conclusions, integrating basic statistical methods can sometimes add depth to the data interpretation, especially in mixed-methods research where quantitative data complements qualitative insights.

In each of the research process steps, researchers utilize various research tools and techniques to conduct research and analyze the data systematically. This may include computer-assisted qualitative data analysis software (CAQDAS) such as ATLAS.ti, which assists in organizing, sorting, and coding the data efficiently. It can also host the research diary and apply analysis methods such as word frequencies and network visualizations.

Interpretation, conclusion and presentation of research findings

Interpreting research findings.

By meticulously following systematic procedures and working through the data, researchers can ensure that their interpretations are grounded in the actual data collected, enhancing the trustworthiness and credibility of the research findings.

The interpretation of data is not merely about extracting information but also involves making sense of the data in the context of the existing literature and research objectives. This step is not only about what the data is, but what it means in the broader context of the study, enabling researchers to draw insightful conclusions that contribute to the academic and practical understanding of the field.

Concluding and presenting research findings

The final step is concluding and presenting the research data which are crucial for transforming analyzed data into meaningful insights and credible findings.

The results are typically shared in a research report or academic paper, detailing the findings and contextualizing them within the broader field. This document outlines how the insights contribute to existing knowledge, suggests areas for future research, and may propose practical applications.

Effective presentation is key to ensuring that these findings reach and impact the intended audience. This involves not just articulating the conclusions clearly but also using engaging formats and visual aids to enhance comprehension and engagement with the research.

The research process is a dynamic journey, characterized by a series of systematic research process steps designed to guide researchers successfully from inception to conclusion. Each step—from designing the study and collecting data to analyzing results and drawing conclusions—plays a critical role in ensuring the integrity and credibility of the research.

Qualitative research is guided by key principles designed to ensure the rigour and depth of the research study. Credibility is crucial, achieved through accurate representations of participant experiences, often verified by peer-review revision. Transferability is addressed by providing rich context, allowing others to evaluate the applicability of findings to similar settings. Dependability emphasizes the stability and consistency of data, maintained through detailed documentation of the research process (such as in a research diary), facilitating an audit trail. This aligns with confirmability, where the neutrality of the data is safeguarded by documenting researcher interpretations and decisions, ensuring findings are shaped by participants and not researcher predispositions.

Ethical integrity is paramount, upholding standards like informed consent and confidentiality to protect participant rights throughout the research journey. Qualitative research also strives for a richness and depth of data that captures the complex nature of human experiences and interactions, often exploring these phenomena through an iterative learning process. This involves cycles of data collection and analysis, allowing for ongoing adjustments based on emerging insights. Lastly, a holistic perspective is adopted to view phenomena in their entirety, considering all aspects of the context and environment, which enriches the understanding and relevance of the research outcomes. Together, these principles ensure qualitative research is both profound and ethically conducted, yielding meaningful and applicable insights.

Daft, R. L. (1995). Organization Theory and Design. West Publishing Company.

Willig, C. (2001). Introducing Qualitative Research in Psychology: Adventures in Theory and Method. McGraw-Hill Companies, Incorporated.

Whatever your research objectives, make it happen with ATLAS.ti. Download a free trial today.

Key Steps in the Research Process - A Comprehensive Guide

Embarking on a research journey can be both thrilling and challenging. Whether you're a student, journalist, or simply inquisitive about a subject, grasping the research process steps is vital for conducting thorough and efficient research. In this all-encompassing guide, we'll navigate you through the pivotal stages of what is the research process, from pinpointing your topic to showcasing your discoveries.

We'll delve into how to formulate a robust research question, undertake preliminary research, and devise a structured research plan. You'll acquire strategies for gathering and scrutinizing data, along with advice for effectively disseminating your findings. By adhering to these steps in the research process, you'll be fully prepared to confront any research endeavor that presents itself.

Step 1: Identify and Develop Your Topic

Identifying and cultivating a research topic is the foundational first step in the research process. Kick off by brainstorming potential subjects that captivate your interest, as this will fuel your enthusiasm throughout the endeavor.

Employ the following tactics to spark ideas and understand what is the first step in the research process:

Review course materials, lecture notes, and assigned readings for inspiration
Engage in discussions with peers, professors, or experts in the field
Investigate current events, news pieces, or social media trends pertinent to your field of study to uncover valuable market research insights.
Reflect on personal experiences or observations that have sparked your curiosity

Once you've compiled a roster of possible topics, engage in preliminary research to evaluate the viability and breadth of each concept. This initial probe may encompass various research steps and procedures to ensure a comprehensive understanding of the topics at hand.

Scanning Wikipedia articles or other general reference sources for an overview
Searching for scholarly articles, books, or media related to your topic
Identifying key concepts, theories, or debates within the field
Considering the availability of primary sources or data for analysis

While amassing background knowledge, begin to concentrate your focus and hone your topic. Target a subject that is specific enough to be feasible within your project's limits, yet expansive enough to permit substantial analysis. Mull over the following inquiries to steer your topic refinement and address the research problem effectively:

What aspect of the topic am I most interested in exploring?
What questions or problems related to this topic remain unanswered or unresolved?
How can I contribute new insights or perspectives to the existing body of knowledge?
What resources and methods will I need to investigate this topic effectively?

Step 2: Conduct Preliminary Research

Having pinpointed a promising research topic, it's time to plunge into preliminary research. This essential phase enables you to deepen your grasp of the subject and evaluate the practicality of your project. Here are some pivotal tactics for executing effective preliminary research using various library resources:

Literature Review

To effectively embark on your scholarly journey, it's essential to consult a broad spectrum of sources, thereby enriching your understanding with the breadth of academic research available on your topic. This exploration may encompass a variety of materials.

Online catalogs of libraries (local, regional, national, and special)
Meta-catalogs and subject-specific online article databases
Digital institutional repositories and open access resources
Works cited in scholarly books and articles
Print bibliographies and internet sources
Websites of major nonprofit organizations, research institutes, museums, universities, and government agencies
Trade and scholarly publishers
Discussions with fellow scholars and peers
Identify Key Debates

Engaging with the wealth of recently published materials and seminal works in your field is a pivotal part of the research process definition. Focus on discerning the core ideas, debates, and arguments that define your topic, which will in turn sharpen your research focus and guide you toward formulating pertinent research questions.

Narrow Your Focus

Hone your topic by leveraging your initial findings to tackle a specific issue or facet within the larger subject, a fundamental step in the research process steps. Consider various factors that could influence the direction and scope of your inquiry.

Subtopics and specific issues
Key debates and controversies
Timeframes and geographical locations
Organizations or groups of people involved

A thorough evaluation of existing literature and a comprehensive assessment of the information at hand will pinpoint the exact dimensions of the issue you aim to explore. This methodology ensures alignment with prior research, optimizes resources, and can bolster your case when seeking research funding by demonstrating a well-founded approach.

Step 3: Establish Your Research Question

Having completed your preliminary research and topic refinement, the next vital phase involves formulating a precise and focused research question. This question, a cornerstone among research process steps, will steer your investigation, keeping it aligned with relevant data and insights. When devising your research question, take into account these critical factors:

Initiate your inquiry by defining the requirements and goals of your study, a key step in the research process steps. Whether you're testing a hypothesis, analyzing data, or constructing and supporting an argument, grasping the intent of your research is crucial for framing your question effectively.

Ensure that your research question is feasible, given your constraints in time and word count, an important consideration in the research process steps. Steer clear of questions that are either too expansive or too constricted, as they may impede your capacity to conduct a comprehensive analysis.

Your research question should transcend a mere 'yes' or 'no' response, prompting a thorough engagement with the research process steps. It should foster a comprehensive exploration of the topic, facilitating the analysis of issues or problems beyond just a basic description.

Researchability

Ensure that your research question opens the door to quality research materials, including academic books and refereed journal articles. It's essential to weigh the accessibility of primary data and secondary data that will bolster your investigative efforts.

When establishing your research question, take the following steps:

Identify the specific aspect of your general topic that you want to explore
Hypothesize the path your answer might take, developing a hypothesis after formulating the question
Steer clear of certain types of questions in your research process steps, such as those that are deceptively simple, fictional, stacked, semantic, impossible-to-answer, opinion or ethical, and anachronistic, to maintain the integrity of your inquiry.
Conduct a self-test on your research question to confirm it adheres to the research process steps, ensuring it is flexible, testable, clear, precise, and underscores a distinct reason for its importance.

By meticulously formulating your research question, you're establishing a solid groundwork for the subsequent research process steps, guaranteeing that your efforts are directed, efficient, and yield productive outcomes.

Step 4: Develop a Research Plan

Having formulated a precise research question, the ensuing phase involves developing a detailed research plan. This plan, integral to the research process steps, acts as a navigational guide for your project, keeping you organized, concentrated, and on a clear path to accomplishing your research objectives. When devising your research plan, consider these pivotal components:

Project Goals and Objectives

Articulate the specific aims and objectives of your research project with clarity. These should be in harmony with your research question and provide a structured framework for your investigation, ultimately aligning with your overarching business goals.

Research Methods

Select the most appropriate research tools and statistical methods to address your question effectively. This may include a variety of qualitative and quantitative approaches to ensure comprehensive analysis.

Quantitative methods (e.g., surveys, experiments)
Qualitative methods (e.g., interviews, focus groups)
Mixed methods (combining quantitative and qualitative approaches)
Access to databases, archives, or special collections
Specialized equipment or software
Funding for travel, materials, or participant compensation
Assistance from research assistants, librarians, or subject matter experts
Participant Recruitment

If your research involves human subjects, develop a strategic plan for recruiting participants. Consider factors such as the inclusion of diverse ethnic groups and the use of user interviews to gather rich, qualitative data.

Target population and sample size
Inclusion and exclusion criteria
Recruitment strategies (e.g., flyers, social media, snowball sampling)
Informed consent procedures
Instruments or tools for gathering data (e.g., questionnaires, interview guides)
Data storage and management protocols
Statistical or qualitative analysis techniques
Software or tools for data analysis (e.g., SPSS, NVivo)

Create a realistic project strategy for your research project, breaking it down into manageable stages or milestones. Consider factors such as resource availability and potential bottlenecks.

Literature review and background research
IRB approval (if applicable)
Participant recruitment and data collection
Data analysis and interpretation
Writing and revising your findings
Dissemination of results (e.g., presentations, publications)

By developing a comprehensive research plan, incorporating key research process steps, you'll be better equipped to anticipate challenges, allocate resources effectively, and ensure the integrity and rigor of your research process. Remember to remain flexible and adaptable to navigate unexpected obstacles or opportunities that may arise.

Step 5: Conduct the Research

With your research plan in place, it's time to dive into the data collection phase. As you conduct your research, adhere to the established research process steps to ensure the integrity and quality of your findings.

Conduct your research in accordance with federal regulations, state laws, institutional SOPs, and policies. Familiarize yourself with the IRB-approved protocol and follow it diligently, as part of the essential research process steps.

Roles and Responsibilities

Understand and adhere to the roles and responsibilities of the principal investigator and other research team members. Maintain open communication lines with all stakeholders, including the sponsor and IRB, to foster cross-functional collaboration.

Data Management

Develop and maintain an effective system for data collection and storage, utilizing advanced research tools. Ensure that each member of the research team has seamless access to the most up-to-date documents, including the informed consent document, protocol, and case report forms.

Quality Assurance

Implement comprehensive quality assurance measures to verify that the study adheres strictly to the IRB-approved protocol, institutional policy, and all required regulations. Confirm that all study activities are executed as planned and that any deviations are addressed with precision and appropriateness.

Participant Eligibility

As part of the essential research process steps, verify that potential study subjects meet all eligibility criteria and none of the ineligibility criteria before advancing with the research.

To maintain the highest standards of academic integrity and ethical conduct:

Conduct research with unwavering honesty in all facets, including experimental design, data generation, and analysis, as well as the publication of results, as these are critical research process steps.
Maintain a climate conducive to conducting research in strict accordance with good research practices, ensuring each step of the research process is meticulously observed.
Provide appropriate supervision and training for researchers.
Encourage open discussion of ideas and the widest dissemination of results possible.
Keep clear and accurate records of research methods and results.
Exercise a duty of care to all those involved in the research.

When collecting and assimilating data:

Use professional online data analysis tools to streamline the process.
Use metadata for context
Assign codes or labels to facilitate grouping or comparison
Convert data into different formats or scales for compatibility
Organize documents in both the study participant and investigator's study regulatory files, creating a central repository for easy access and reference, as this organization is a pivotal step in the research process.

By adhering to these guidelines and upholding a commitment to ethical and rigorous research practices, you'll be well-equipped to conduct your research effectively and contribute meaningful insights to your field of study, thereby enhancing the integrity of the research process steps.

Step 6: Analyze and Interpret Data

Embarking on the research process steps, once you have gathered your research data, the subsequent critical phase is to delve into analysis and interpretation. This stage demands a meticulous examination of the data, spotting trends, and forging insightful conclusions that directly respond to your research question. Reflect on these tactics for a robust approach to data analysis and interpretation:

Organize and Clean Your Data

A pivotal aspect of the research process steps is to start by structuring your data in an orderly and coherent fashion. This organizational task may encompass:

Creating a spreadsheet or database to store your data
Assigning codes or labels to facilitate grouping or comparison
Cleaning the data by removing any errors, inconsistencies, or missing values
Converting data into different formats or scales for compatibility
Calculating measures of central tendency (mean, median, mode)
Determining measures of variability (range, standard deviation)
Creating frequency tables or histograms to visualize the distribution of your data
Identifying any outliers or unusual patterns in your data
Perform Inferential Analysis

Integral to the research process steps, you might engage in inferential analysis to evaluate hypotheses or extrapolate findings to a broader demographic, contingent on your research design and query. This analytical step may include:

Selecting appropriate statistical tests (e.g., t-tests, ANOVA, regression analysis)
As part of the research process steps, establishing a significance threshold (e.g., p < 0.05) is essential to gauge the likelihood of your results being a random occurrence rather than a significant finding.
Interpreting the results of your statistical tests in the context of your research question
Considering the practical significance of your findings, in addition to statistical significance

When interpreting your data, it's essential to:

Look for relationships, patterns, and trends in your data
Consider alternative explanations for your findings
Acknowledge any limitations or potential biases in your research design or data collection
Leverage data visualization techniques such as graphs, charts, and infographics to articulate your research findings with clarity and impact, thereby enhancing the communicative value of your data.
Seek feedback from peers, mentors, or subject matter experts to validate your interpretations

It's important to recognize that data interpretation is a cyclical process that hinges on critical thinking, inventiveness, and the readiness to refine your conclusions with emerging insights. By tackling data analysis and interpretation with diligence and openness, you're setting the stage to derive meaningful and justifiable inferences from your research, in line with the research process steps.

Step 7: Present the Findings

After meticulous analysis and interpretation of your research findings, as dictated by the research process steps, the moment arrives to disseminate your insights. Effectively presenting your research is key to captivating your audience and conveying the importance of your findings. Employ these strategies to create an engaging and persuasive presentation:

Organize Your Findings :

Use the PEEL method to structure your presentation:

Point: Clearly state your main argument or finding
Evidence: Present the data and analysis that support your point
Explanation: Provide context and interpret the significance of your evidence
Link: Connect your findings to the broader research question or field
Tailor Your Message

Understanding your audience is crucial to effective communication. When presenting your research, it's important to tailor your message to their background, interests, and level of expertise, effectively employing user personas to guide your approach.

Use clear, concise language and explain technical terms
Highlight what makes your research unique and impactful
Craft a compelling narrative with a clear structure and hook
Share the big picture, emphasizing the significance of your findings
Engage Your Audience : Make your presentation enjoyable and memorable by incorporating creative elements:
Use visual aids, such as tables, charts, and graphs, to communicate your findings effectively
To vividly convey your research journey, consider employing storytelling techniques, such as UX comics or storyboards, which can make complex information more accessible and engaging.
Injecting humor and personality into your presentation can be a powerful tool for communication. Utilize funny messages or GIFs to lighten the mood, breaking up tension and refocusing attention, thereby enhancing the effectiveness of humor in communication.

By adhering to these strategies, you'll be well-prepared to present your research findings in a manner that's both clear and captivating. Ensure you follow research process steps such as citing your sources accurately and discussing the broader implications of your work, providing actionable recommendations, and delineating the subsequent phases for integrating your findings into broader practice or policy frameworks.

The research process is an intricate journey that demands meticulous planning, steadfast execution, and incisive analysis. By adhering to the fundamental research process steps outlined in this guide, from pinpointing your topic to showcasing your findings, you're setting yourself up for conducting research that's both effective and influential. Keep in mind that the research journey is iterative, often necessitating revisits to certain stages as fresh insights surface or unforeseen challenges emerge.

As you commence your research journey, seize the chance to contribute novel insights to your field and forge a positive global impact. By tackling your research with curiosity, integrity, and a dedication to excellence, you're paving the way towards attaining your research aspirations and making a substantial difference with your work, all while following the critical research process steps.

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A Getting Started Guide

What is research, stages of the research process, how do i start writing a college paper, annotated bibliographies.

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Articles and Journals
Citation Guide

The Research Process

Welcome to The Research Process! Throughout your college career, many of your assignments will involve doing research. You can use this guide to find definitions of key terms related to doing research, learn about the many stages of the research process, and explore resources to help you succeed at each stage.

Before getting started on your own research, it is important to know what research is and why we do it.

Research is inquiry : When we research a topic, we are asking questions and investigating that topic to learn more about it.
Research is continuous : Learning about a topic often requires finding and incorporating new information, which can lead to asking new questions.
Research is iterative : As we move through the various stages of the research process, we may have to repeat steps we completed earlier.

How to get started with the Research Process

Step 1: Start by asking yourself some questions:

1. What does the assignment require? Read the assignment guidelines carefully for requirements such as length, formatting (single or double spaced, indentations, etc.) and citation style.

2. What will your topic be? If you were given a general topic, you'll need to narrow it down so you can cover all relevant information but not so much that you won't find enough information to enable a rich discussion.

3. Can you summarize what your paper will be about in a sentence or two? You may need to do some preliminary research to be able to do this. If you're having trouble, try paraphrasing your topic as a question then answer that question (this may become your thesis statement).

4. Do you have an open mind and are you willing to change directions based on your research?

5. Do you know where to find supporting evidence?

Step 2: Familiarize yourself with the process and stages of research:

Anna Eisen, 2014

Background Knowledge = What you already know about it and what you find during initial research.

Topic = Assigned (video says, "Gaps in Research", but your professor assigned certain topics for a reason), Professional interest (related to your career or academic interests), Societal interest (What are people talking about or worried about), or Personal interes t.

Research Question = Topic + Question + Significance

1. Picking your topic IS research!

2. Get Background Information.

Background information provides a general overview of the topic including terms, concepts, relevant names of people or places, and dates of specific events. Gathering background information can help you confirm what you know, or answer questions you may have about the topic. This can also help you identify keywords for searching databases and refining your topic in the next stages of the research process.

Before you search for background information, you should ask yourself:

What do I already know about this topic?
What do I still need to learn about this topic?
What do I need to know about this topic for this assignment?

Answering these questions will give you a good idea of what kinds of background information you need to find.

3. Refine your topic.

At any point during the research process you may need to make some adjustments to your chosen topic. You may realize that your topic is too broad and you need to narrow the topic to something more specific. Or your topic could be too narrow and you need to widen your focus so you can find more relevant information. This page provides ideas for refining your topic in a way that will help you then transform your topic into a workable research question.

If your topic is too narrow, you may have trouble finding any relevant information in a library database. Think more broadly about the topic and what interests you. Ask yourself:

What are the larger concepts or ideas that my topic falls under?

While gathering background information on your topic. you may have found too many results. You will need to narrow your topic by focusing on a specific aspect of that topic. Ask yourself:

What elements of this topic are most interesting to me?
What about this topic do I want to know more?

This broadening and narrowing of your original idea can help refine and focus your topic.

Broader Concept	Narrower Concept	Refined Topic
Mental health	Mental health of teenagers	Teenagers and depression
Equality in sports	Gender equality in soccer	Equal pay for men and women soccer teams

4. Create Search

Now that you know what you are looking for, it's time to get searching! Creating an effective search also involves generating keywords and refining results using search tool limiters to find appropriate, relevant resources wherever you are searching.

Where to search:

When doing a project or research paper, using a variety of sources helps create a more interesting result. Different topics may require the use of different sources, but in general, you should use:

Library Databases
Books and eBooks (check the library catalog)
Reference books--encyclopedias and dictionaries (The CREDO database has a ton of these)
Scholarly Journals (free student access to scholarly journals through library databases)
Newspapers (Not Peer-Reviewed, but most current)
government documents
statistical sources

Can't I just Google this?

There is a difference between " searching " and " researching ." Online search engines, like Google or Bing, are for searching but are not designed for researching.

In college, you are expected to research your topic, not just complete a search. Research requires you to actively think about your topic and find the words that best fit your topic. Learning to use databases will turn you into a researcher and critical thinker.

Online search engines merely search, so the information you find may not be reliable or accurate. You will need to use academic evaluation systems to make that determination. Using databases helps you find the information you need without you having to do all the thinking, especially if you choose peer reviewed, academic, or scholarly sources. Instructors will often ask for these types of articles. It is easy to search for these types of articles in databases and will increase your level of research.

Library Collections

Searching in Library databases will connect you with many resources you might not find with a simple internet search. Resources in library collections are specifically selected to support the research needs of all library users and never charge for access. These include academic and scholarly articles, newspapers, books, videos, music, and more. When you access these resources though the library, they are free of charge so you can use them without paying money. Sources found in our databases are NOT internet sources. When your instructor says, "don't use the internet," skip Google and Wikipedia and use the libraries' databases and books.

There are two tabs above and to the left that will link you directly to library resources. The first is the Books, eBooks, and Videos tab. The second is the Articles and Journals tab (this is where you will find databases).

The key to searching the databases is using KEYWORDS . Searching the databases is different than searching the internet. You want to find words, not phrases, that describe your topic. For example, if you are studying the Dust Bowl and the migration west to California you could use the History Reference Center database and use the search terms: Dust Bowl in the first search box and California in the second. Typically, you want to put the broadest term in first and then use the other boxes for terms to narrow your search.

Watch the videos below to learn more about searching. The first video will give you some tips on how to search any database. The second video will give you tips on exploring topics using PPSC resources.

Topic Exploration using PPSC Learning Commons resources:

5. Gather Results

Rough Outline

Make a list of all the important categories and subtopics you need to cover. These will become the foundation of your outline. Arrange them in a logical order, but don’t be afraid to rearrange… it’s better to fix structural problems in the outline phase than later after everything has already been written.

Thesis Statement

A thesis statement conveys the purpose and topic of your paper and will be written into the introduction and usually restated in the conclusion of your paper. It is basically a summarization of what your paper is about written in a sentence or two. Because you may need to do some preliminary research to figure out what categories and subtopics you'll cover within the topic of your paper, it is best to develop your actual thesis statement after developing an outline. If you are having trouble getting your thesis statement down to one or two sentences, try paraphrasing your topic as a question then answer that question.

Refined Outline

Organize your resources within the outline for your paper and showing where you plan to incorporate quotes from your sources. Don't forget about rhetorical devices, or modes of persuasion, that should be included in any argumentative or persuasive paper or speech. These include:

Ethos, which are appeals to the credibility and trustworthiness of the speaker or writer. Pathos, which are appeals to the emotions and feelings of the audience. Logos, which are appeals to the logic and reason of the audience. and Kairos , which are appeals the timeliness and relevance of the argument.

Think of transition statements between paragraphs and ideas and rearrange your outline if necessary.

Rough Draft

Introduction with Thesis Statement.
Body to include all categories and subtopics with quotes with smooth transitions.
Conclusion as a restatement of your thesis statement, reiteration of your main evidence, and summarization of your findings.

Draft again until final draft with citations (repeat as needed).

From Purdue OWL:

A bibliography is a list of sources (books, journals, web sites, periodicals, etc.) one has used for researching a topic. Bibliographies are sometimes called "References" or "Works Cited" depending on the style format you are using. A bibliography usually just includes the bibliographic information (i.e., the author, title, publisher, etc.).

An annotation is a summary and/or evaluation. Therefore, an annotated bibliography includes a summary and/or evaluation of each of the sources. Depending on your project or the assignment, your annotations may do one or more of the following.

For more help, see our handout on paraphrasing sources.

For more help, see our handouts on evaluating resources .

Reflect : Once you've summarized and assessed a source, you need to ask how it fits into your research. Was this source helpful to you? How does it help you shape your argument? How can you use this source in your research project? Has it changed how you think about your topic?

Your annotated bibliography may include some of these, all of these, or even others. If you're doing this for a class, you should get specific guidelines from your instructor.

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10 A step-by-step approach to the research process

Published: May 2017
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This chapter maps the four stages involved in a research process, giving an overview of each one and providing sources for more in-depth information such as specific research methods books. The first stage involves developing the idea for a research study, including identifying a research problem, developing research questions and hypotheses, developing a theory, assessing the feasibility of an intervention, choosing a study team, and involving patients and the public. The second stage involves designing a research study, including deciding on a research design and selecting the research methods. The third stage involves running the research study and assessing whether it has been run with enough fidelity to the initial plan to provide viable data. The fourth stage is the outcome of the research study, including deciding how to report results, how to disseminate findings, and whether findings can lead to further implementation of the intervention or further research.

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Research Process

Dissertation markers expect you to include the explanation of research process in methodology chapter. A typical research process comprises the following stages:

1. Selecting the research area . Your dissertation marker expects you to state that you have selected the research area due to professional and personal interests in the area and this statement must be true. Students often underestimate the importance of this first stage in the research process. If you find a research area and research problem that is genuinely interesting to you it is for sure that the whole process of writing your dissertation will be much easier. Therefore, it is never too early to start thinking about the research area for your dissertation.

2. Formulating research aim, objectives and research questions or developing hypotheses . The choice between the formulation of research questions and the development of hypotheses depends on your research approach as it is discussed further below in more details. Appropriate research aims and objectives or hypotheses usually result from several attempts and revisions.

Accordingly, you need to mention in your dissertation that you have revised your research aims and objectives or hypotheses during the research process several times to get their final versions. It is critically important that you get confirmation from your supervisor regarding your research questions or hypotheses before moving forward with the work.

3. Conducting the literature review . Literature review is usually the longest stage in the research process. Actually, the literature review starts even before the formulation of research aims and objective. This is because you have to check if exactly the same research problem has been addressed before and this task is a part of the literature review. Nevertheless, you will conduct the main part of the literature review after the formulation of research aim and objectives. You have to use a wide range of secondary data sources such as books, newspapers, magazines, journals, online articles etc.

4. Selecting data collection methods . Data collection method(s) need to be selected on the basis of critically analyzing advantages and disadvantages associated with several alternative methods. In studies involving primary data collection, you need to write about advantages and disadvantages of selected primary data collection method(s) in detailed manner in methodology.

5. Collecting the primary data . You will have to start primary data collection only after detailed preparation. Sampling is an important element of this stage. You may have to conduct pilot data collection if you chose questionnaire primary data collection method. Primary data collection is not a compulsory stage for all dissertations and you will skip this stage if you are conducting a desk-based research.

6. Data analysis . Analysis of data plays an important role in the achievement of research aim and objectives. This stage involves an extensive editing and coding of data. Data analysis methods vary between secondary and primary studies, as well as, between qualitative and quantitative studies. In data analysis coding of primary data plays an instrumental role to reduce sample group responses to a more manageable form for storage and future processing. Data analysis is discussed in Chapter 6 in great details.

7. Reaching conclusions . Conclusions relate to the level of achievement of research aims and objectives. In this final part of your dissertation you will have to justify why you think that research aims and objectives have been achieved. Conclusions also need to cover research limitations and suggestions for future research .

8. Completing the research . Following all of the stages described above, and organizing separate chapters into one file leads to the completion of the first draft. You need to prepare the first draft of your dissertation at least one month before the submission deadline. This is because you will need to have sufficient amount of time to address feedback to be provided by your supervisor.

Individual stages in the research process outlined above are interdependent and the sequence has to be maintained. Moreover, the process of any research tends to be iterative, meaning that you may have to return back to the previous stages of the research process several times for revisions and improvement. In other words, no stage of the research process is fully completed until the whole dissertation is completed.

John Dudovskiy

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Knowledge Base
Starting the research process

A Beginner's Guide to Starting the Research Process

When you have to write a thesis or dissertation , it can be hard to know where to begin, but there are some clear steps you can follow.

The research process often begins with a very broad idea for a topic you’d like to know more about. You do some preliminary research to identify a problem . After refining your research questions , you can lay out the foundations of your research design , leading to a proposal that outlines your ideas and plans.

This article takes you through the first steps of the research process, helping you narrow down your ideas and build up a strong foundation for your research project.

Step 1: choose your topic, step 2: identify a problem, step 3: formulate research questions, step 4: create a research design, step 5: write a research proposal, other interesting articles.

First you have to come up with some ideas. Your thesis or dissertation topic can start out very broad. Think about the general area or field you’re interested in—maybe you already have specific research interests based on classes you’ve taken, or maybe you had to consider your topic when applying to graduate school and writing a statement of purpose .

Even if you already have a good sense of your topic, you’ll need to read widely to build background knowledge and begin narrowing down your ideas. Conduct an initial literature review to begin gathering relevant sources. As you read, take notes and try to identify problems, questions, debates, contradictions and gaps. Your aim is to narrow down from a broad area of interest to a specific niche.

Make sure to consider the practicalities: the requirements of your programme, the amount of time you have to complete the research, and how difficult it will be to access sources and data on the topic. Before moving onto the next stage, it’s a good idea to discuss the topic with your thesis supervisor.

>>Read more about narrowing down a research topic

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So you’ve settled on a topic and found a niche—but what exactly will your research investigate, and why does it matter? To give your project focus and purpose, you have to define a research problem .

The problem might be a practical issue—for example, a process or practice that isn’t working well, an area of concern in an organization’s performance, or a difficulty faced by a specific group of people in society.

Alternatively, you might choose to investigate a theoretical problem—for example, an underexplored phenomenon or relationship, a contradiction between different models or theories, or an unresolved debate among scholars.

To put the problem in context and set your objectives, you can write a problem statement . This describes who the problem affects, why research is needed, and how your research project will contribute to solving it.

>>Read more about defining a research problem

Next, based on the problem statement, you need to write one or more research questions . These target exactly what you want to find out. They might focus on describing, comparing, evaluating, or explaining the research problem.

A strong research question should be specific enough that you can answer it thoroughly using appropriate qualitative or quantitative research methods. It should also be complex enough to require in-depth investigation, analysis, and argument. Questions that can be answered with “yes/no” or with easily available facts are not complex enough for a thesis or dissertation.

In some types of research, at this stage you might also have to develop a conceptual framework and testable hypotheses .

>>See research question examples

The research design is a practical framework for answering your research questions. It involves making decisions about the type of data you need, the methods you’ll use to collect and analyze it, and the location and timescale of your research.

There are often many possible paths you can take to answering your questions. The decisions you make will partly be based on your priorities. For example, do you want to determine causes and effects, draw generalizable conclusions, or understand the details of a specific context?

You need to decide whether you will use primary or secondary data and qualitative or quantitative methods . You also need to determine the specific tools, procedures, and materials you’ll use to collect and analyze your data, as well as your criteria for selecting participants or sources.

>>Read more about creating a research design

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Finally, after completing these steps, you are ready to complete a research proposal . The proposal outlines the context, relevance, purpose, and plan of your research.

As well as outlining the background, problem statement, and research questions, the proposal should also include a literature review that shows how your project will fit into existing work on the topic. The research design section describes your approach and explains exactly what you will do.

You might have to get the proposal approved by your supervisor before you get started, and it will guide the process of writing your thesis or dissertation.

>>Read more about writing a research proposal

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

Methodology

Sampling methods
Simple random sampling
Stratified sampling
Cluster sampling
Likert scales
Reproducibility

Statistics

Null hypothesis
Statistical power
Probability distribution
Effect size
Poisson distribution

Research bias

Optimism bias
Cognitive bias
Implicit bias
Hawthorne effect
Anchoring bias
Explicit bias

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Stages in the research process

Stage 1: create ideas, networking and collaboration.

Find a supervisor
UC Research Profile
Research specialties
R&I Business Development team

Keeping up to date

Keeping current

Literature review

Doing a literature review
Systematic reviews
Find theses
UC archives and art collections
Google Scholar

Developing a research question

Māori research methodology
Pasifika research
Starting your research
Subject and specialist librarians by subject

Stage 2: Plan and fund

Finding funding.

Applying for external funding
Research funding opportunities

Agreements (MOUs, NDAs, IP)

Research & Innovation (R&I) team

Data management

Research data management
Isilon research data storage
R&I Research Support Programme
Library research workshops
Facilities and equipment

Stage 3: Do research

Conduct research.

SAGE Research Methods
Statistical resources
Use Qualtrics for surveys
Transcription
UC statistical consulting

Form conclusions

You're on your own
Thesis formatting
Referencing

Stage 4: Publish and share

Strategic publishing
Open access
Prepaid open access agreements
UC Research Repository
UC journal publishing

Copyright/rights

Stage 5: make impact.

Measure impact

Knowledge transfer

Stage 6: manage and preserve, data storage and preservation.

Intellectual property policy
Comparing reference software
Real world research impact

Bibliometrics and altmetrics

Impact metrics explained

The Research Process

First Online: 18 July 2019

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Stormy M. Monks 6 &
Rachel Bailey 7

Part of the book series: Comprehensive Healthcare Simulation ((CHS))

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Research is a process that requires not only time but considerable effort. Research is intended to answer a specific question that is pertinent to a field of study. The research question or study purpose determines the type of research approach taken. Prior to conducting research, it is important to determine if the research must be approved by an institutional review board to ensure that it is being conducted in an ethically sound manner. After the study implementation, the researcher has the obligation to write about the research process. This assists other researchers by providing additional knowledge to the literature surrounding the research topic.

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Research Design and Methodology

Research Questions and Research Design

Research: Meaning and Purpose

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Huang X, Lin J, Demner-Fushman D, editors. Evaluation of PICO as a knowledge representation for clinical questions. AMIA annual symposium proceedings, American Medical Informatics Association; 2006.

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Rocco TS, Hatcher TG. The handbook of scholarly writing and publishing. New York: Wiley; 2011.

Schulz KF, Altman DG, Moher D. CONSORT 2010 statement: updated guidelines for reporting parallel group randomised trials. BMC Med. 2010;8(1):18.

Gastel B, Day RA. How to write and publish a scientific paper. Santa Barbara: ABC-CLIO; 2016.

Collaborative Institutional Training Initiative (CITI) Program. 2000. Available from: https://www.citiprogram.org/

US Department of Health and Human Services. The Belmont Report: Ethical Principles and Guidelines for the Protection of Human Subjects of Research, National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research, 45. Washington, DC: US Government Printing Office; 1979.

Bem D. Writing the empirical journal article. In: Darley JM, Zanna MP, Roediger III HL, editors. The compleat academic: a practical guide for the beginning social scientist. 2nd ed. Washington, DC: American Psychological Association (APA); 2004.

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Monks, S.M., Bailey, R. (2019). The Research Process. In: Crawford, S., Baily, L., Monks, S. (eds) Comprehensive Healthcare Simulation: Operations, Technology, and Innovative Practice. Comprehensive Healthcare Simulation. Springer, Cham. https://doi.org/10.1007/978-3-030-15378-6_8

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Research process refers to the systematic and organized series of steps taken to investigate and study a specific topic or problem in order to gain knowledge and find answers to questions. It is a methodical approach followed by researchers to collect, analyze, and interpret data to arrive at meaningful conclusions and contribute to the existing body of knowledge in a particular field.

The chart shows that the research process consists of several activities marked from I to VII. These activities are closely related and often overlap instead of following a strict order. Sometimes, the first step determines how the last step will be done. If certain important steps are not considered early on, it can cause serious problems and even stop the research from being completed.

It’s essential to understand that the steps involved in the research process are not completely separate from each other. They do not always follow a fixed order, and the researcher needs to be prepared for the requirements of the next steps at each stage of the research process.

Interpret data to arrive at meaningful conclusions and contribute to the existing body of knowledge in a particular field.

The research process typically involves the following key steps:

Formulating the Research Problem: Identifying and defining the research question or problem that needs to be addressed.
Literature Review: Conducting a thorough review of existing literature and research related to the topic to understand what has already been studied and discovered.
Developing the Hypothesis: Creating a clear and testable statement that predicts the relationship between variables in the research.
Research Design: Planning the overall structure and approach of the study, including selecting the research methods and data collection techniques.
Sample Design: Determining the sample size and selecting the participants or subjects that will be part of the study.
Data Collection: Gathering relevant data through various methods, such as surveys, interviews, experiments, or observations.
Execution of the Project: Implementing the research plan and collecting the data as per the designed approach.
Data Analysis: Analyzing the collected data using appropriate statistical or qualitative techniques to draw meaningful conclusions.
Hypothesis Testing: Evaluating the hypothesis based on the analysis to determine whether it is supported or rejected.
Generalizations and Interpretation: Making broader connections and interpretations of the findings in the context of the research problem.
Conclusion and Recommendations: Summarizing the research results, drawing conclusions, and suggesting potential future research or practical implications.

Throughout the research process, researchers must maintain objectivity, rigor, and ethical considerations to ensure the validity and reliability of the results. Each step contributes to a comprehensive understanding of the research topic and the generation of new knowledge in the field.

Getting Started with Research: The Research Process

The Research Process
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In College, Research Matters!

As a college student, conducting research effectively will be required in order for you to succeed in your classes. Whether you're asked to write a speech, a paper, or something else entirely, odds are you're going to need to know how to do some research in order to complete the assignment. Sometimes, though, research can be daunting -- it feels too time-consuming, unclear, or stressful. Luckily, it's a process that gets much easier with practice and a solid strategy. This guide will provide you with an overview of the research process and provide you with some tools and resources for getting started.

Printable Resources

SIRS Research Guide This worksheet, designed by SIRS Knowledge Source, will guide you through the research process step by step, providing helpful tips, asking questions to help you best understand your topic, and leading you to creating a thesis statement.
Writing a Research Paper This in-depth overview, designed by Points of View Reference Center, guides you through the research & paper-writing process, providing many useful tips and recommended timelines for completing the steps so you can plan ahead.
Writing a Research Paper This short guide, developed by Issues & Controversies, summarizes the necessary steps for writing a research paper, including choosing a topic & thesis statement and conducting research, and provides useful starting points for these steps.

Online Course - Research Basics

This free online course, developed by JSTOR, will help you get familiar with basic research concepts needed for successful college-level research. It contains three modules made up of short lessons and practice quizzes, and ends with an assessment to test your knowledge. Check it out here .

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How to make an outline.

Developed by Gale, these are some basic aids to guide you through this specific part of the research paper process.

How to Make an Outline Tip Sheet
How to Make an Outline Worksheet

An Overview

Download the Overview

Short Overview of the Research Process This is a downloadable PDF version of the above infographic.

Online Resources

The Undergraduate Research Process -- Pikes Peak State College Full of tips, video tutorials, and lots of excellent information and advice for every stage of the research process, this guide from Pikes Peak State College is an excellent, in-depth resource.
Research Tips & Search Strategies -- Lambton College A subsection of Lambton College's How to Research LibGuide, this page offers best practices for starting research and helpful search strategies.
Research Skills for Students Textbook Full of detailed chapters on dozens of topics pertaining to developing research skills, this comprehensive guide by University of Galway's Academic Skills Team equips students with the essential knowledge needed to conduct thorough and ethical research via practical advice and illustrative examples.
Library Research for College Students: Step-by-Step -- Western Technical College This LibGuide from Western Technical College provides you with a step-by-step in-depth start to finish guide through the research process.

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Making Sense of Research in Nursing, Health and Social Care

Student resources, 3. overview of the research process.

Reflective Exercise

Look at the journal papers listed below and think about:

What are the sub-headings used in the paper?
How to they relate to the stages of the research process?
What are the stages of the research process used in each approach?

SUGGESTED SAGE ONLINE JOURNALS FOR USE

A review of the literature

Smith, S., Brick, A., O’Hara, S. and Normand, C. (2013). Evidence of cost and cost-effectiveness of palliative care: A literature review. Palliative Medicine . Available at: http://journals.sagepub.com/doi/pdf/10.1177/0269216313493466

A qualitative study

Keiski, P. Flinck, A. Kaunonen, M. Paavilainen, E. (2016). Women’s experiences of perpetrating family violence: a qualitative study. 21 (5–6), 417–429. Available at: http://journals.sagepub.com/doi/pdf/10.1177/1744987116653439

A randomised-controlled trial

Shaw, P. Tancy, W. Wesby, L. Ulrich, V. Troxel, A. Huffman, D. Fotser, G. Vollp, K. (2017). The design and conduct of Keep it Off: an online randomized trial of financial incentives for weight loss maintenance. Clinical Trials , 14 (1). Available at:

http://journals.sagepub.com/doi/pdf/10.1177/1740774516669679

ADDITIONAL MATERIALS

The Journal of Advanced Nursing website could be used to review the way research is presented: http://onlinelibrary.wiley.com/journal/10.1111/(ISSN)1365-2648

The three stages of the research process.

Contexts in source publication

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Published: 12 September 2024

Research on failure mechanism of landslide with retaining-wall-like locked segment and instability prediction by inverse velocity method

Jia-Xing Chen 1 ,
Han-Dong Liu 2 , 3 ,
Zhi-Fei Guo 4 ,
Jing-Jing Liu 2 , 3 ,
Ling-Yun Feng 2 , 3 &
Shuai Liu 2 , 3

Scientific Reports volume 14 , Article number: 21359 ( 2024 ) Cite this article

Metrics details

Environmental sciences
Natural hazards

The locked segment is critical for determining the stability of locked segment-type landslides. Research indicates that the volume expansion point marks the transition from the secondary creep stage to the tertiary creep stage in a landslide’s evolution, and also separates the stable crack growth stage from the unstable crack growth stage in the locked segment. Identifying the volume expansion point is essential for early warning and predicting locked segment-type landslides. A series of instruments (resistance strain gauges, acoustic emission system, piezoelectric acceleration sensors, etc.) were used to conduct physical model tests of the landslide with retaining-wall-like locked segment under external load on the landslide’s trailing edge. The evolution process of this landslide was analyzed through changes in slope shape and stress response characteristics. The experimental results reveal the failure mechanism of the landslide with retaining-wall-like locked segment: the upper part of the landslide thrusts and slides, the middle part squeezes and uplifts, the retaining-wall-like locked segment produces a locking effect, and compression-shear fracture of the retaining-wall-like locked segment leads to landslide failure. Based on the deformation and acoustic emission characteristics of the locked segment, a method for identifying the volume expansion point was established. This point was used as the onset of acceleration point in the inverse velocity method to predict the failure time of the locked segment-type landslides, incorporating the three-stage creep model and Fukumoto’s theory.

Experimental study on tilting deformation and a new method for landslide prediction with retaining-wall locked segment

Novel evaluation method based on critical arch height as instability criterion for sustaining arch locked-segment-type slopes

Study on deformation and failure characteristics of oblique-cut locked rock slope under rainfall conditions

Introduction.

Many scientists have confirmed the existence of locked segments in many large-scale landslides 1 , 2 , 3 , 4 , 5 , 6 , 7 , 8 . Large-scale landslides are generally accompanied by the sudden brittle failure of a locked segment on the sliding surface 3 , 9 . Landslides can be divided into two types depending on whether there are locked segments that control stability: locked segment type and non-locked segment type 10 . The key to resolving landslide early warning and prediction is to investigate the evolution of the locked segment's deformation process. Therefore, it is critical to carry out physical model tests to study how landslides with a retaining-wall-like locked segment fail and deform. This research helps in early identification, warning, and prevention of landslide disasters 11 , 12 , 13 , 14 , 15 .

Locked segment-type landslides can be divided into five types based on the occurrence characteristics of locked segments: “cross-layer shear,” “bedding direct shear,” “homogeneous rock bridge,” “retaining wall,” and “supporting arch” 14 . The evolution mechanism and deformation characteristics of locked segment-type landslides vary 16 , 17 , 18 , 19 , 20 . Rock bridges play an anti-shear role in slopes with rock bridge-locked segments, and the stability of slopes is mainly controlled by the rock bridges 21 . There have been many studies on the mechanical properties of rock masses with rock bridge-locked segments 22 , 23 , 24 , giving rise to rock bridge failure theory 25 , 26 , 27 . Liu et al. 8 proposed that the locked segment-type landslides in western Henan Province, China, mainly include "bedding direct shear type," "cross-layer shear type," and "retaining wall type" based on the area's geological evolution, environmental conditions, and engineering geological characteristics. They chose the Dongmiaojia landslide as a typical example of a landslide with retaining-wall-like locked segment. Zhong et al. 28 used the limit equilibrium analysis method to theoretically study the stability of retaining-wall-like locked segments during shear failure mode. Liu et al. 29 carried out physical model tests of landslides with retaining-wall-like locked segments under rainfall conditions. They revealed the catastrophic process and macroscopic deformation instability characteristics of these landslides when subjected to rainfall.

The slope’s creep process is divided into three stages (Fig. 1 a): (1) primary creep, (2) secondary creep, and (3) tertiary creep. The tertiary creep stage is a key criterion of slope instability 14 . Researchers have studied the brittle failure behavior of locked segments and established a connection between the creep process of locked segment-type landslides and the deformation and failure of the locked segment (Fig. 1 ) 14 , 30 , 31 , 32 , 33 . The deformation and failure process of the locked segment can be divided into five stages (Fig. 1 b): (I) crack closure (OA), (II) elastic deformation (AB), (III) stable crack growth (BC), (IV) unstable crack growth (CD), and (V) post-peak failure (DE). The volume expansion point (point C in Fig. 1 b) of the locked segment marks the transition from the secondary creep stage to the tertiary creep stage in the slope's evolution. It also indicates the shift from stable crack growth to unstable crack growth in the locked segment 31 , 32 , 34 . Xue et al. 10 used the Weibull distribution and renormalization group theory to establish a relationship between shear displacement along the sliding surface and key points like the volume expansion point, peak strength point, and residual strength point, with displacement being the main parameter. They developed a physical prediction model for slopes with locked segments. Once the locked segment is damaged to the volume expansion point, internal cracks rapidly and spontaneously develop, eventually leading to macroscopic fracture 35 , 36 , after which sliding and instability occur on the locked segment-type slope. Thus, damage reaching the volume expansion point in the locked segment can serve as the precursor information for the locked segment fracture and the failure of the locked segment-type landslide. There is, however, no systematic or effective method for determining the volume expansion point of locked segments.

( a ) Typical creep curve and ( b ) the deformation and failure process of a rock specimen or locked segment subjected to compressive or shear loading. The symbols (1), (2) and (3) in ( a ) indicate the primary, secondary and tertiary creep stages, respectively 14 .

Many researchers believe that the study of landslide failure prediction began in the 1960s, with the Japanese scholar Saito. After decades of development, there are now dozens of landslide failure prediction models, such as the Verhulst model 37 , grey theory model 38 , 39 , 40 , catastrophe theory model 41 , Markov chain theory model 42 , and inverse velocity prediction model 43 . The inverse velocity (INV) method considers that the logarithm of the surface displacement velocity is proportional to the logarithm of the surface displacement acceleration during the tertiary creep stage of a landslide 43 .

where A and α are parameters to be calibrated according to the displacement–time curve; \(\Omega\) is the displacement; \(\dot{\Omega }\) and \(\ddot{\Omega }\) represent velocity and acceleration, respectively.

Fukuzono (1985) concluded that the inverse velocity of a slope exhibits concave, convex, and linear relationships with time, based on the analysis of slope displacement monitoring data obtained in laboratory experiments. When \(\alpha\) ˃ 1, the inverse velocity can be expressed as follows:

where v is velocity; t is time; and t f is landslide time. When α = 2, the inverse velocity model is linear. The predicted landslide failure time can be obtained by fitting Eq. ( 2 ) based on the measured data.

Research shows that when the parameter α equals 2, the linear relationship between inverse velocity and time is a straightforward and effective method for predicting landslides. Many landslide failure predictions have confirmed that linear fitting can achieve better prediction results 44 , 45 , 46 . Due to its simple characteristics, the INV method is the most widely employed for landslide failure prediction. To improve the accuracy of results, the INV method requires the inverse velocity and time curve after the onset of acceleration (OOA) point, but the accurate determination of the OOA point remains to be studied further. Carlà introduced a method for identifying the OOA point in the INV method. This point is determined by finding where the short-term simple moving average (v-SMA) of velocity intersects with the long-term simple moving average (v-LMA) of velocity 47 , 48 , 49 . Some researchers suggested that when predicting slope failure using the inverse velocity method, the starting point (SP) for data analysis should be reset after identifying the OOA point. However, they did not specify a method for doing this 47 , 50 .

The volume expansion of rock is caused by the increase in inelastic volumetric strain after the elastic stage. At the microscopic level, the volume expansion of rock is caused by the accelerated initiation and tensile expansion of micro-cracks caused by differential stress. Acoustic emission (AE) technology shows that the occurrence of cracks in rock is accompanied by a sharp increase in AE events and energy 51 , 52 . Locked segment-type landslides are accompanied by the sudden brittle failure of the locked segment. Studies have shown that the AE events and energy increase significantly before the brittle failure of a rock mass. The volume expansion point marks the transition from the secondary creep stage to the tertiary creep stage in slope evolution. Therefore, AE technology can be used to identify the volume expansion point of the locked segment and the OOA point in the INV method 53 , 54 .

Based on the above analysis, current research has conducted some theoretical and physical model tests on locked segment-type landslides, yielding useful scientific results. However, there are only a few studies on the failure mechanisms and instability prediction of landslides with retaining-wall-like locked segments. This paper investigates two key issues: the failure mechanisms and instability prediction of landslides with retaining-wall-like locked segments using the INV method. A series of physical model tests on landslide evolution are carried out using a self-developed testing device designed specifically for these experiments. This study analyzed the deformation evolution process of landslides with retaining-wall-like locked segments under external load on the landslide’s trailing edge and summarized the deformation and AE characteristics of these locked segments. Methods for identifying the volume expansion point, OOA point, and SP point using AE are proposed. The study further reveals the failure mechanism of landslides with retaining-wall-like locked segments, which is crucial for effective slope monitoring and landslide early warning.

Materials and methods

Experimental apparatus.

This study used a self-developed physical model test device (Fig. 2 ) to carry out a series of experiments on landslides with retaining-wall-like locked segment under external load. The physical model test device includes a loading system and a model box. The loading system is connected to a DHS 3816 acquisition instrument via a pressure sensor for load measurements. The size of the model box is 1.15 m × 0.5 m × 0.8 m (length × width × height).

Experimental equipment.

Experimental materials

The test model mainly includes a sliding mass, a sliding belt, and a retaining-wall-like locked segment. The sliding mass is made of silt, and the sliding belt is composed of silty clay. The mechanical parameters of the sliding mass and sliding belt were obtained by indoor direct shear tests (Table 1 ).

The size of the retaining-wall-like locked segment in the model test was 49 cm × 19 cm × 1 cm (length × height × thickness). The angle between the retaining-wall-like locked segment and the sliding belt was 90° (Fig. 2 ). The retaining-wall-like locked segment was created through complete mixing of gypsum, fine sand, and water. The ratio of water: gypsum: sand was 1:0.8:1. Cylindrical samples, with a sample size of φ50 mm × 100 mm were created. The uniaxial compressive strength was 1.1 MPa as determined by a YAW6206 electro-hydraulic servo pressure testing machine (Fig. 3 ). The bedrock of the model was fashioned from a combination of gypsum, brick, and mortar, thereby causing it to have a sufficiently high strength and preventing it from deforming.

Uniaxial compressive strength curve.

Experimental measurements

The model tests used micro earth pressure sensors to measure the change in the model’s earth pressure. The earth pressure sensor was of the DMTY type; it was 22 mm in diameter and 6.5 mm thick, with a measuring range of 0–20 kPa and a precision of ≤ 0.5% full scale (FS). During the tests, DHS 3816 recorded the changes in earth pressure inside the slope with an acquisition frequency of 1 Hz. In these model tests, three earth pressure sensors were placed along the central axis of the landslide: one on the trailing edge, one on the retaining-wall-like locked segment, and one on the front edge of the landslide (Fig. 4 , drawn by Rhinoceros 6 software, Robert McNeel & Associates, CO, USA).

Layout of sensors.

Resistance strain gauges, acoustic emission systems, and piezoelectric acceleration sensors were used in the model tests to study the displacement and deformation characteristics of the locked segment. Three resistance strain gauges were arranged at the interface between the retaining-wall-like locked segment and the bedrock. The resistance strain gauge was of the BF120-20AA-X30 type, with a sensitivity coefficient of 2.0% and a resistance value of 120.0 Ω. Two piezoelectric acceleration sensors and two acoustic emission sensors were arranged at different positions of the retaining-wall-like locked segment. The piezoelectric acceleration sensor was of the YD-34D type, with a sensitivity of 0.01 V/ms −2 , a range of 500 ms −2 , and a resolution of 0.002 ms −2 . The acoustic emission equipment used was a PCI-II device with R6 acoustic emission probes, and the test surface was made of ceramic material. The preamplifier adopted a 40 dB gain adjustable amplifier, the sampling frequency was 2 MHZ, and the threshold voltage was 100 MV. The model tests employed a data acquisition instrument to dynamically collect data from the strain gauges and acceleration sensors at an acquisition frequency of 100 Hz (Fig. 4 ). The sensors were calibrated before installation to ensure their sensitivity and accuracy.

The FARO X330 3D laser scanner was used to record the change in the slope’s shape during the evolution and instability of the landslide. The scanning accuracy is ± 1 mm. During the test, the slope surface was scanned once under each load, and the slope shape at different stages was recorded using three-dimensional point cloud data. Then, three-dimensional digital terrain models of the slope shape at different stages were constructed using Surfer (Golden Software, Golden, CO, USA). The deformation characteristics of the slope’s surface during the evolutionary instability process of the landslide with the retaining-wall-like locked segment were studied using the three-dimensional terrain models at different stages. To capture the formation and evolution of landslide cracks, a high-definition camera was used to take regular photographs of the slope surface (Fig. 5 ).

Landslide model and layout of instruments.

Results and analysis

Stress response and slope deformation characteristics.

The model tests were conducted using a self-developed physical model test loading device designed specifically for locked segment-type landslides (Fig. 2 ). The average loading rate was 200 N/s.

According to the earth pressure and loading process curves (Fig. 6 ), the landslide was gradually pushed and squeezed from back to front due to the external load, causing the earth pressure to increase as the load increased. During the first loading, the landslide was mainly compacted and consolidated from the retaining-wall-like locked segment towards the trailing edge. The slope shape (Fig. 7 ) and displacement cloud map (Fig. 8 ) show that the area from the retaining-wall-like locked segment to the trailing edge was extruded and uplifted due to the external load, with the maximum displacement reaching approximately 1.5 cm.

Curves of earth pressure and load with time.

Evolution of the landslide with retaining-wall-like locked segment.

Cumulative vertical displacement cloud maps of the landslide with retaining-wall-like locked segment.

As the load was continuously applied, the earth pressure sensor EPS-1 recorded a decrease at 441 s during the second loading process (Fig. 6 ). The decrease in earth pressure at EPS-1 indicated that failure occurred in the upper part of the landslide and shear cracks appeared in the trailing edge (Fig. 7 ).

According to the slope shape (Fig. 7 ) and displacement cloud map (Fig. 8 ), the landslide was gradually pushed and squeezed from back to front due to the external load, and the sliding mass from the retaining wall-like locked segment to the trailing edge was extruded and uplifted. With increasing load, the upper part of the landslide was destroyed during the second loading. After the shear failure of the upper part, the irresistible load was gradually transferred to the retaining-wall-like locked segment. The retaining-wall-like locked segment undertook most of the external load, and its vertical displacement was the largest (about 1.5–3 cm).

During the third loading, the landslide was pushed forward under the external load, and the load on the retaining wall-like locked segment gradually increased. The earth pressure at EPS-2 on the retaining wall-like locked segment decreased at 722 s, indicating that compression-shear fracture failure occurred at the retaining-wall-like locked segment under external load. Subsequently, the earth pressure at EPS-3 decreased, and the sliding mass sheared out from the leading edge, forming shear cracks (Fig. 7 ). This led to the overall failure of the landslide.

According to the vertical displacement cloud map (Fig. 8 ), after the shear failure of the upper part, the irresistible load was gradually transferred to the retaining-wall-like locked segment. The retaining-wall-like locked segment undertook most of the external load, and the sliding mass at the retaining-wall-like locked segment was extruded and uplifted under the external load. With continuous loading, the retaining-wall-like locked segment reached its shear strength in the third loading process, and the retaining-wall-like locked segment suffered compression-shear fracture failure. The energy stored in the retaining-wall-like locked segment was released after fracturing, resulting in landslide instability and sliding. The landslide displacement increased, and the maximum displacement was about 2–4 cm. At the same time, the sliding mass sheared out from the leading edge, forming shear cracks.

Deformation characteristics of the retaining-wall-like locked segment

The creep process of a landslide is divided into three stages: primary creep, secondary creep, and tertiary creep 14 . Studies have categorized the deformation and failure process of the locked segment into the crack closure stage, elastic deformation stage, stable crack growth stage, unstable crack growth stage, and post-peak failure stage. These studies have established the relationship between the creep process of locked segment-type landslides and the different stages of deformation and failure in the locked segment (Fig. 1 ) 14 , 30 , 31 , 32 . Building on existing research, this paper summarizes the deformation, acoustic emission, and acceleration characteristics at each stage of the locked segment. It further divides the unstable crack growth stage into two sub-stages: the fracture cluster stage and the energy accumulation stage.

Primary creep stage (oa)

In the early stage of the model test, the landslide was pushed and squeezed under the external load. The retaining-wall-like locked segment was in the compaction stage and the internal cracks were closed. According to the curves of displacement, acceleration, and AE ringing count rate over time (Fig. 9 ), the locked segment displacement was small at this stage. In the primary creep stage, the locked segment produced a small number of micro-cracks under external load. At this point, there was no discernible change in the locked segment's acceleration, and the acceleration fluctuated slightly when cracks appeared within the locked segment.

Curves of displacement, acceleration, and AE ringing count rate of the retaining-wall-like locked segment with time.

Secondary creep stage (ac)

According to the deformation rate, this stage can be further divided into the elastic deformation stage (ab) and the stable crack growth stage (bc).

Elastic deformation stage (ab)

After the primary creep stage, the landslide was pushed forward from the trailing edge under the external load. The locked segment displacement curve (Figs. 9 , 10 ) shows that the displacement of the locked segment increased steadily under external load, but the growth rate was slow. In the elastic deformation stage, with the continuous application of external load, a small amount of AE events occurred, and the acceleration changed little.

Curves of displacement, AE ringing count, and energy rate of the retaining-wall-like locked segment.

Stable crack growth stage (bc)

After the failure of the upper part of the landslide, the irresistible load was gradually transferred to the retaining-wall-like locked segment. The locked segment undertook most of the external loads, and the displacement growth rate of the locked segment increased (Fig. 10 ). The near-linear turning point of the displacement curve is the dividing point b from the elastic deformation stage to the stable crack growth stage. The cracks in the locked segment developed during the stable crack growth stage as a result of the external load, and the cumulative ringing count curve rose.

After the secondary creep stage, the landslide entered the tertiary creep stage. The volume expansion point marks the transition from the secondary creep stage to the tertiary creep stage and also serves as the boundary between the stable and unstable crack growth stages of the locked segment 31 , 32 , 34 . Identifying the volume expansion point is a key focus in these model tests. Based on the displacement time curve, Carlà et al. 48 proposed that the OOA point in the INV method can be found where the short-term simple moving average (v-SMA) of velocity intersects with the long-term simple moving average (v-LMA) of velocity. This OOA point is usually regarded as the beginning of the tertiary creep stage. Microscopic mechanisms reveal that the volume expansion of rock results from the rapid formation and tensile growth of micro-cracks due to differential stress. AE technology indicates that the occurrence of cracks in rock is accompanied by an increase in AE events and energy 51 . Therefore, AE technology can be used to identify the volume expansion point. This paper introduces using the ratio of AE accumulative ringing count to accumulative energy ( ΣN/ΣE ) and the b value to more precisely identify the volume expansion point.

In the damage evolution process of the retaining-wall-like locked segment, ΣN/ΣE is inversely proportional to the cumulative energy. The increase in ΣN/ΣE indicates a large number of low-energy AE events associated with crack propagation in the retaining-wall-like locked segment. The decrease in ΣN/ΣE indicates that a small number of high-energy AE events occurred in the locked segment, with the possibility of fracture failure becoming greater. The b value reflects the inhomogeneity of the rock. ΣN/ΣE shows that during the deformation and failure of the locked segment, a large number of low-energy AE events occurred in the early stage, and ΣN/ΣE did not decrease significantly. At 716.2 s, the ratio of cumulative acoustic emission ringing count to cumulative energy ( ΣN/ΣE ) decreased, and the b value also decreased, reaching its lowest point at the time of the locked segment's fracture (Fig. 11 ). Using the method proposed by Carlà et al. 48 to identify OOA points (Fig. 12 ), the v-SMA curve crosses above the v-LMA curve at 716.0 s. Based on the displacement time curve and this analysis, the volume expansion point (point c) of the locked segment in the model test is at 716.2 s.

Volume expansion point identification method.

Velocity short term moving average (SMA) and velocity long term moving average (LMA).

Tertiary creep stage (ce)

After the volume expansion point (point c) was reached, the damage to the locked segment progressed to the unstable crack growth stage, while the landslide progressed to the tertiary creep stage. The unstable crack growth stage can be further subdivided into the fracture cluster stage (cd) and the energy accumulation stage (de) based on ringing counting rate and energy rate curves (Fig. 10 ). In the fracture cluster stage (cd), micro-cracks in the locked segment developed densely, releasing a significant amount of energy (point c). This was accompanied by a sharp increase in the cumulative ringing count curve. In the energy accumulation stage (de), the energy released by the internal cracks in the retaining-wall-like locked segment was low, indicating a "quiet period" with minimal energy release. After the energy accumulation stage, the retaining-wall-like locked segment reached its shear strength under external load, and brittle fracture occurred (point e). The energy stored in the locked segment was released, and the energy rate reached its peak (Fig. 10 ). At the same time, when the retaining-wall-like locked segment fractured, the acceleration at the retaining-wall-like locked segment reached its peak (Fig. 13 ). After brittle fracture of the locked segment, the deformation rate dropped sharply (Fig. 11 ).

Curves of displacement, acceleration, and AE cumulative ringing count of the locked segment (tertiary creep stage).

Landslide failure prediction using the inverse velocity method

Based on the previous analysis, a decrease in the AE b value and ΣN/ΣE can be used as criteria for identifying the volume expansion point. For locked segment-type landslides, the volume expansion point is the beginning of the tertiary creep stage, which can be used as the OOA point for predicting failure time using the inverse velocity method.

After determining the volume expansion point and the OOA point, the displacement data following the OOA point were used to predict the failure time using the inverse velocity (INV) method. This was done by applying the velocity, v-SMA, and v-LMA methods individually (Fig. 14 ).

Linear fitting by the inverse velocity method.

The predicted failure time obtained by linear fitting using the INV method (Table 2 ) shows that it is close to the actual failure time. The failure time obtained by the three methods, however, has a certain amount of lag.

Landslide failure mechanism

This study analyzed the deformation and stress response characteristics of a landslide with a retaining-wall-like locked segment under external load on the landslide’s trailing edge through physical model tests. The evolution process of the landslide with the retaining-wall-like locked segment can be summarized as follows. Under the action of external load, the trailing edge of the landslide with the retaining-wall-like locked segment gets compacted and compressed, and then gradually pushes forward and gets squeezed. Shear failure and shear cracks appear at the upper part of the landslide. After the failure of the upper part, the sliding mass is gradually pushed and squeezed to the locked segment due to the external loads. Then, the sliding mass transfers the irresistible load to the retaining-wall-like locked segment. The locking effect causes the sliding mass at the trailing edge of the retaining-wall-like locked segment to be squeezed and raised. As the load continues to increase, the sliding mass at the trailing edge of the locked segment pushes and squeezes the retaining-wall-like locked segment, which results in compression-shear fracture failure. Failure of the locked segment leads to the overall failure of the landslide.

The failure mechanism of the landslide with the retaining-wall-like locked segment under external load is as follows: the upper part of the landslide thrusts and slides, the middle part extrudes and uplifts, the retaining-wall-like locked segment produces a locking effect, and compression-shear fracture of the locked segment leads to landslide occurrence.

This paper discusses the evolution process of a landslide with retaining-wall-like locked segment under external load and summarizes the deformation and AE characteristics of the locked segment. A method for identifying the volume expansion point and the OOA point in locked segment-type landslides is established. Additionally, the inverse velocity (INV) method is used to predict the landslide failure time. Based on the above research, the failure mechanism of a landslide with retaining-wall-like locked segment under external load is revealed.

The locked segment plays an important role in controlling the stability of locked segment-type landslides. For locked segment-type landslides, the volume expansion point is the beginning of the tertiary creep stage 31 , 32 , 34 , which can be used as the OOA point to predict the time of failure using the INV method. After the OOA point is determined, the failure time can be predicted using the INV method (Table 2 ). The results show that the failure time prediction of the INV method, using displacement data after the OOA point, is close to the actual failure time, but there is still a certain degree of lag. To address this issue, Bozzano et al. 47 proposed that the inverse velocity method should re-select the data starting point (SP) after the OOA point when predicting the landslide time. To address this, a gradual approximation method was used to predict the failure time, starting from the OOA point. The first step involves predicting the failure time using displacement data from after the OOA point at 716.2 s, resulting in a predicted failure time of 721.73 s. The second step uses data from after 716.3 s, leading to a predicted failure time of 721.74 s. The failure time prediction curve is derived by stepwise approximation (Fig. 15 ). According to this predicted failure time curve (Fig. 15 ) and the acoustic emission ringing count and energy rate curves (Fig. 10 ), the predicted failure time aligns with the actual failure time during the energy accumulation stage.

SP point identification.

The energy accumulation stage (719.6 s) was taken as the SP of the INV method. With the update of the monitoring displacement data, the predicted failure time continuously approached the actual failure time (Table 3 ). The predicted failure time after 721.0 s was consistent with the actual failure time.

Conclusions

This study analyzed the evolution process and failure mechanism of the landslide with retaining-wall-like locked segment under external load based on physical model tests. This study investigates the identification method for the volume expansion point of retaining-wall-like locked segments and uses the inverse velocity method to predict failure time, based on the deformation and acoustic emission characteristics of the locked segment. It also discusses methods for selecting the SP in the inverse velocity method. The main conclusions are summarized as follows.

The failure mechanism of the landslide with retaining-wall-like locked segment under external load is revealed based on experimental results: the upper part of the landslide thrusts and slides, the middle part extrudes and uplifts, the retaining-wall-like locked segment produces a locking effect, and compression-shear fracture of the locked segment leads to landslide failure.

Based on the deformation and acoustic emission characteristics of the retaining-wall-like locked segment, this study explains the deformation and instability stages of the retaining-wall-like locked segment. The secondary creep stage in the deformation evolution process of the locked segment is divided into the elastic deformation stage and the stable crack growth stage. The tertiary creep stage is divided into the fracture cluster stage and the energy accumulation stage.

Using acoustic emission data from the deformation and failure of the locked segment, this study establishes methods for identifying the volume expansion point and the OOA point in the inverse velocity method. A decrease in the acoustic emission b value and ΣN/ΣE , along with acoustic emission events with higher energy levels, can be employed as criteria to identify the volume expansion point. For locked segment-type landslides, the volume expansion point marks the transition from the secondary creep stage to the tertiary creep stage. This point can be used as the OOA point in the inverse velocity method. Accurately identifying the volume expansion point is crucial for providing effective early warnings and preventing locked segment-type landslides.

Failure time predictions using the inverse velocity method based on the volume expansion point (OOA point) have a certain degree of lag. To address this, predictions were made based on the deformation and acoustic emission characteristics of the locked segment. The energy accumulation stage was used as the SP point in the inverse velocity method. These predictions were consistent with the actual failure time.

Data availability

All data generated or analysed during this study are included in this article and its Supplementary information files.

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Acknowledgements

This study was supported by the Henan Provincial Science and Technology Research Project, China (No. 242102320035) and the National Key R&D Program of China (No. 2019YFC1509704). The authors particularly appreciate the valuable comments made by the editors and reviewers to make a substantial improvement to this manuscript.

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Jia-Xing Chen

College of Geosciences and Engineering, North China University of Water Resources and Electric Power, Zhengzhou, 450045, China

Han-Dong Liu, Jing-Jing Liu, Ling-Yun Feng & Shuai Liu

Henan Key Laboratory of Geomechanics and Structure Engineering, Zhengzhou, 450045, China

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Contributions

J.X.C. wrote the main manuscript text, Z.F.G. and J.J.L. analyzed the data, L.Y.F. and S.L. drew the figures and charts, and H.D.L. revised the manuscript.

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Correspondence to Jia-Xing Chen .

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Chen, JX., Liu, HD., Guo, ZF. et al. Research on failure mechanism of landslide with retaining-wall-like locked segment and instability prediction by inverse velocity method. Sci Rep 14 , 21359 (2024). https://doi.org/10.1038/s41598-024-72154-z

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DOI : https://doi.org/10.1038/s41598-024-72154-z

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Landslide with retaining-wall-like locked segment
Physical model test
Failure mechanism
Instability prediction
Inverse velocity method

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Research Process – Steps, Examples and Tips

Research Process

Research Process Steps

Identify the Research Question or Problem

Conduct a Literature Review

Formulate a Hypothesis or Research Objectives

Design a Research Plan and Methodology

Collect and Analyze Data

Interpret the Findings and Draw Conclusions

Communicate the Results

Review and Revise

Ethical Considerations

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