how to write the background section of a research paper

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

Table of Contents

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

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

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

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

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

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

What is the background of the study?

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

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

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

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

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

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

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

Difference between background and introduction

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

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

What is the relevance of the background of the study?

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

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

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

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

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

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

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

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

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

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

Identify the research problem

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

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

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

Provide context

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

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

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

Literature review

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

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

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

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

Highlight the research gap

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

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

How can you efficiently highlight the research gap?

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

State your objectives

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

How to state your objectives?

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

Discuss the significance

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

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

How do we effectively discuss the significance?

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

Summarize your points

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

How to summarize your study?

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

Include examples for better understanding

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

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

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

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

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

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

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

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

Example of an effective background of the study

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

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

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

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

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

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

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

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

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

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

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

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

Frequently Asked Questions

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

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

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

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

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

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

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

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

Table of Contents

What is the background of a study ?  

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

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

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

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

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

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

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

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

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

Creating an effective background of a study structure  

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

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

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

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

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

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

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

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

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How to avoid mistakes in writing the background of a study  

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

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

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

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

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

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

Frequently Asked Questions (FAQs) on background of the study

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

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

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

Q: Does the background of the study need citation?

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

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

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

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

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Table of Contents

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

What is the background of a study?

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

How is a background different from the introduction?

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

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

How should one write the background of a research paper?

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

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

Avoid these mistakes while writing the background:

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

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

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Writing a Research Paper Introduction | Step-by-Step Guide

Published on September 24, 2022 by Jack Caulfield . Revised on March 27, 2023.

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

• Present your topic and get the reader interested
• Provide background or summarize existing research
• Position your own approach
• Detail your specific research problem and problem statement
• Give an overview of the paper’s structure

The introduction looks slightly different depending on whether your paper presents the results of original empirical research or constructs an argument by engaging with a variety of sources.

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Table of contents

Step 1: introduce your topic, step 2: describe the background, step 3: establish your research problem, step 4: specify your objective(s), step 5: map out your paper, research paper introduction examples, frequently asked questions about the research paper introduction.

The first job of the introduction is to tell the reader what your topic is and why it’s interesting or important. This is generally accomplished with a strong opening hook.

The hook is a striking opening sentence that clearly conveys the relevance of your topic. Think of an interesting fact or statistic, a strong statement, a question, or a brief anecdote that will get the reader wondering about your topic.

For example, the following could be an effective hook for an argumentative paper about the environmental impact of cattle farming:

A more empirical paper investigating the relationship of Instagram use with body image issues in adolescent girls might use the following hook:

Don’t feel that your hook necessarily has to be deeply impressive or creative. Clarity and relevance are still more important than catchiness. The key thing is to guide the reader into your topic and situate your ideas.

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This part of the introduction differs depending on what approach your paper is taking.

In a more argumentative paper, you’ll explore some general background here. In a more empirical paper, this is the place to review previous research and establish how yours fits in.

Argumentative paper: Background information

After you’ve caught your reader’s attention, specify a bit more, providing context and narrowing down your topic.

Provide only the most relevant background information. The introduction isn’t the place to get too in-depth; if more background is essential to your paper, it can appear in the body .

Empirical paper: Describing previous research

For a paper describing original research, you’ll instead provide an overview of the most relevant research that has already been conducted. This is a sort of miniature literature review —a sketch of the current state of research into your topic, boiled down to a few sentences.

This should be informed by genuine engagement with the literature. Your search can be less extensive than in a full literature review, but a clear sense of the relevant research is crucial to inform your own work.

Begin by establishing the kinds of research that have been done, and end with limitations or gaps in the research that you intend to respond to.

The next step is to clarify how your own research fits in and what problem it addresses.

Argumentative paper: Emphasize importance

In an argumentative research paper, you can simply state the problem you intend to discuss, and what is original or important about your argument.

Empirical paper: Relate to the literature

In an empirical research paper, try to lead into the problem on the basis of your discussion of the literature. Think in terms of these questions:

• What research gap is your work intended to fill?
• What limitations in previous work does it address?
• What contribution to knowledge does it make?

You can make the connection between your problem and the existing research using phrases like the following.

Now you’ll get into the specifics of what you intend to find out or express in your research paper.

The way you frame your research objectives varies. An argumentative paper presents a thesis statement, while an empirical paper generally poses a research question (sometimes with a hypothesis as to the answer).

Argumentative paper: Thesis statement

The thesis statement expresses the position that the rest of the paper will present evidence and arguments for. It can be presented in one or two sentences, and should state your position clearly and directly, without providing specific arguments for it at this point.

Empirical paper: Research question and hypothesis

The research question is the question you want to answer in an empirical research paper.

Present your research question clearly and directly, with a minimum of discussion at this point. The rest of the paper will be taken up with discussing and investigating this question; here you just need to express it.

A research question can be framed either directly or indirectly.

• This study set out to answer the following question: What effects does daily use of Instagram have on the prevalence of body image issues among adolescent girls?
• We investigated the effects of daily Instagram use on the prevalence of body image issues among adolescent girls.

If your research involved testing hypotheses , these should be stated along with your research question. They are usually presented in the past tense, since the hypothesis will already have been tested by the time you are writing up your paper.

For example, the following hypothesis might respond to the research question above:

The final part of the introduction is often dedicated to a brief overview of the rest of the paper.

In a paper structured using the standard scientific “introduction, methods, results, discussion” format, this isn’t always necessary. But if your paper is structured in a less predictable way, it’s important to describe the shape of it for the reader.

If included, the overview should be concise, direct, and written in the present tense.

• This paper will first discuss several examples of survey-based research into adolescent social media use, then will go on to …
• This paper first discusses several examples of survey-based research into adolescent social media use, then goes on to …

Full examples of research paper introductions are shown in the tabs below: one for an argumentative paper, the other for an empirical paper.

• Argumentative paper
• Empirical paper

Are cows responsible for climate change? A recent study (RIVM, 2019) shows that cattle farmers account for two thirds of agricultural nitrogen emissions in the Netherlands. These emissions result from nitrogen in manure, which can degrade into ammonia and enter the atmosphere. The study’s calculations show that agriculture is the main source of nitrogen pollution, accounting for 46% of the country’s total emissions. By comparison, road traffic and households are responsible for 6.1% each, the industrial sector for 1%. While efforts are being made to mitigate these emissions, policymakers are reluctant to reckon with the scale of the problem. The approach presented here is a radical one, but commensurate with the issue. This paper argues that the Dutch government must stimulate and subsidize livestock farmers, especially cattle farmers, to transition to sustainable vegetable farming. It first establishes the inadequacy of current mitigation measures, then discusses the various advantages of the results proposed, and finally addresses potential objections to the plan on economic grounds.

The rise of social media has been accompanied by a sharp increase in the prevalence of body image issues among women and girls. This correlation has received significant academic attention: Various empirical studies have been conducted into Facebook usage among adolescent girls (Tiggermann & Slater, 2013; Meier & Gray, 2014). These studies have consistently found that the visual and interactive aspects of the platform have the greatest influence on body image issues. Despite this, highly visual social media (HVSM) such as Instagram have yet to be robustly researched. This paper sets out to address this research gap. We investigated the effects of daily Instagram use on the prevalence of body image issues among adolescent girls. It was hypothesized that daily Instagram use would be associated with an increase in body image concerns and a decrease in self-esteem ratings.

The introduction of a research paper includes several key elements:

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

and your problem statement

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

Don’t feel that you have to write the introduction first. The introduction is often one of the last parts of the research paper you’ll write, along with the conclusion.

This is because it can be easier to introduce your paper once you’ve already written the body ; you may not have the clearest idea of your arguments until you’ve written them, and things can change during the writing process .

The way you present your research problem in your introduction varies depending on the nature of your research paper . A research paper that presents a sustained argument will usually encapsulate this argument in a thesis statement .

A research paper designed to present the results of empirical research tends to present a research question that it seeks to answer. It may also include a hypothesis —a prediction that will be confirmed or disproved by your research.

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Home » Research Paper – Structure, Examples and Writing Guide

Research Paper – Structure, Examples and Writing Guide

Table of Contents

Research Paper

Definition:

Research Paper is a written document that presents the author’s original research, analysis, and interpretation of a specific topic or issue.

It is typically based on Empirical Evidence, and may involve qualitative or quantitative research methods, or a combination of both. The purpose of a research paper is to contribute new knowledge or insights to a particular field of study, and to demonstrate the author’s understanding of the existing literature and theories related to the topic.

Structure of Research Paper

The structure of a research paper typically follows a standard format, consisting of several sections that convey specific information about the research study. The following is a detailed explanation of the structure of a research paper:

The title page contains the title of the paper, the name(s) of the author(s), and the affiliation(s) of the author(s). It also includes the date of submission and possibly, the name of the journal or conference where the paper is to be published.

The abstract is a brief summary of the research paper, typically ranging from 100 to 250 words. It should include the research question, the methods used, the key findings, and the implications of the results. The abstract should be written in a concise and clear manner to allow readers to quickly grasp the essence of the research.

Introduction

The introduction section of a research paper provides background information about the research problem, the research question, and the research objectives. It also outlines the significance of the research, the research gap that it aims to fill, and the approach taken to address the research question. Finally, the introduction section ends with a clear statement of the research hypothesis or research question.

Literature Review

The literature review section of a research paper provides an overview of the existing literature on the topic of study. It includes a critical analysis and synthesis of the literature, highlighting the key concepts, themes, and debates. The literature review should also demonstrate the research gap and how the current study seeks to address it.

The methods section of a research paper describes the research design, the sample selection, the data collection and analysis procedures, and the statistical methods used to analyze the data. This section should provide sufficient detail for other researchers to replicate the study.

The results section presents the findings of the research, using tables, graphs, and figures to illustrate the data. The findings should be presented in a clear and concise manner, with reference to the research question and hypothesis.

The discussion section of a research paper interprets the findings and discusses their implications for the research question, the literature review, and the field of study. It should also address the limitations of the study and suggest future research directions.

The conclusion section summarizes the main findings of the study, restates the research question and hypothesis, and provides a final reflection on the significance of the research.

The references section provides a list of all the sources cited in the paper, following a specific citation style such as APA, MLA or Chicago.

How to Write Research Paper

You can write Research Paper by the following guide:

• Choose a Topic: The first step is to select a topic that interests you and is relevant to your field of study. Brainstorm ideas and narrow down to a research question that is specific and researchable.
• Conduct a Literature Review: The literature review helps you identify the gap in the existing research and provides a basis for your research question. It also helps you to develop a theoretical framework and research hypothesis.
• Develop a Thesis Statement : The thesis statement is the main argument of your research paper. It should be clear, concise and specific to your research question.
• Plan your Research: Develop a research plan that outlines the methods, data sources, and data analysis procedures. This will help you to collect and analyze data effectively.
• Collect and Analyze Data: Collect data using various methods such as surveys, interviews, observations, or experiments. Analyze data using statistical tools or other qualitative methods.
• Organize your Paper : Organize your paper into sections such as Introduction, Literature Review, Methods, Results, Discussion, and Conclusion. Ensure that each section is coherent and follows a logical flow.
• Write your Paper : Start by writing the introduction, followed by the literature review, methods, results, discussion, and conclusion. Ensure that your writing is clear, concise, and follows the required formatting and citation styles.
• Edit and Proofread your Paper: Review your paper for grammar and spelling errors, and ensure that it is well-structured and easy to read. Ask someone else to review your paper to get feedback and suggestions for improvement.
• Cite your Sources: Ensure that you properly cite all sources used in your research paper. This is essential for giving credit to the original authors and avoiding plagiarism.

Research Paper Example

Note : The below example research paper is for illustrative purposes only and is not an actual research paper. Actual research papers may have different structures, contents, and formats depending on the field of study, research question, data collection and analysis methods, and other factors. Students should always consult with their professors or supervisors for specific guidelines and expectations for their research papers.

Research Paper Example sample for Students:

Title: The Impact of Social Media on Mental Health among Young Adults

Abstract: This study aims to investigate the impact of social media use on the mental health of young adults. A literature review was conducted to examine the existing research on the topic. A survey was then administered to 200 university students to collect data on their social media use, mental health status, and perceived impact of social media on their mental health. The results showed that social media use is positively associated with depression, anxiety, and stress. The study also found that social comparison, cyberbullying, and FOMO (Fear of Missing Out) are significant predictors of mental health problems among young adults.

Introduction: Social media has become an integral part of modern life, particularly among young adults. While social media has many benefits, including increased communication and social connectivity, it has also been associated with negative outcomes, such as addiction, cyberbullying, and mental health problems. This study aims to investigate the impact of social media use on the mental health of young adults.

Literature Review: The literature review highlights the existing research on the impact of social media use on mental health. The review shows that social media use is associated with depression, anxiety, stress, and other mental health problems. The review also identifies the factors that contribute to the negative impact of social media, including social comparison, cyberbullying, and FOMO.

Methods : A survey was administered to 200 university students to collect data on their social media use, mental health status, and perceived impact of social media on their mental health. The survey included questions on social media use, mental health status (measured using the DASS-21), and perceived impact of social media on their mental health. Data were analyzed using descriptive statistics and regression analysis.

Results : The results showed that social media use is positively associated with depression, anxiety, and stress. The study also found that social comparison, cyberbullying, and FOMO are significant predictors of mental health problems among young adults.

Discussion : The study’s findings suggest that social media use has a negative impact on the mental health of young adults. The study highlights the need for interventions that address the factors contributing to the negative impact of social media, such as social comparison, cyberbullying, and FOMO.

Conclusion : In conclusion, social media use has a significant impact on the mental health of young adults. The study’s findings underscore the need for interventions that promote healthy social media use and address the negative outcomes associated with social media use. Future research can explore the effectiveness of interventions aimed at reducing the negative impact of social media on mental health. Additionally, longitudinal studies can investigate the long-term effects of social media use on mental health.

Limitations : The study has some limitations, including the use of self-report measures and a cross-sectional design. The use of self-report measures may result in biased responses, and a cross-sectional design limits the ability to establish causality.

Implications: The study’s findings have implications for mental health professionals, educators, and policymakers. Mental health professionals can use the findings to develop interventions that address the negative impact of social media use on mental health. Educators can incorporate social media literacy into their curriculum to promote healthy social media use among young adults. Policymakers can use the findings to develop policies that protect young adults from the negative outcomes associated with social media use.

References :

• Twenge, J. M., & Campbell, W. K. (2019). Associations between screen time and lower psychological well-being among children and adolescents: Evidence from a population-based study. Preventive medicine reports, 15, 100918.
• Primack, B. A., Shensa, A., Escobar-Viera, C. G., Barrett, E. L., Sidani, J. E., Colditz, J. B., … & James, A. E. (2017). Use of multiple social media platforms and symptoms of depression and anxiety: A nationally-representative study among US young adults. Computers in Human Behavior, 69, 1-9.
• Van der Meer, T. G., & Verhoeven, J. W. (2017). Social media and its impact on academic performance of students. Journal of Information Technology Education: Research, 16, 383-398.

Appendix : The survey used in this study is provided below.

Social Media and Mental Health Survey

• How often do you use social media per day?
• Less than 30 minutes
• 30 minutes to 1 hour
• 1 to 2 hours
• 2 to 4 hours
• More than 4 hours
• Which social media platforms do you use?
• Others (Please specify)
• How often do you experience the following on social media?
• Social comparison (comparing yourself to others)
• Cyberbullying
• Fear of Missing Out (FOMO)
• Have you ever experienced any of the following mental health problems in the past month?
• Do you think social media use has a positive or negative impact on your mental health?
• Very positive
• Somewhat positive
• Somewhat negative
• Very negative
• In your opinion, which factors contribute to the negative impact of social media on mental health?
• Social comparison
• In your opinion, what interventions could be effective in reducing the negative impact of social media on mental health?
• Education on healthy social media use
• Counseling for mental health problems caused by social media
• Social media detox programs
• Regulation of social media use

Thank you for your participation!

Applications of Research Paper

Research papers have several applications in various fields, including:

• Advancing knowledge: Research papers contribute to the advancement of knowledge by generating new insights, theories, and findings that can inform future research and practice. They help to answer important questions, clarify existing knowledge, and identify areas that require further investigation.
• Informing policy: Research papers can inform policy decisions by providing evidence-based recommendations for policymakers. They can help to identify gaps in current policies, evaluate the effectiveness of interventions, and inform the development of new policies and regulations.
• Improving practice: Research papers can improve practice by providing evidence-based guidance for professionals in various fields, including medicine, education, business, and psychology. They can inform the development of best practices, guidelines, and standards of care that can improve outcomes for individuals and organizations.
• Educating students : Research papers are often used as teaching tools in universities and colleges to educate students about research methods, data analysis, and academic writing. They help students to develop critical thinking skills, research skills, and communication skills that are essential for success in many careers.
• Fostering collaboration: Research papers can foster collaboration among researchers, practitioners, and policymakers by providing a platform for sharing knowledge and ideas. They can facilitate interdisciplinary collaborations and partnerships that can lead to innovative solutions to complex problems.

When to Write Research Paper

Research papers are typically written when a person has completed a research project or when they have conducted a study and have obtained data or findings that they want to share with the academic or professional community. Research papers are usually written in academic settings, such as universities, but they can also be written in professional settings, such as research organizations, government agencies, or private companies.

Here are some common situations where a person might need to write a research paper:

• For academic purposes: Students in universities and colleges are often required to write research papers as part of their coursework, particularly in the social sciences, natural sciences, and humanities. Writing research papers helps students to develop research skills, critical thinking skills, and academic writing skills.
• For publication: Researchers often write research papers to publish their findings in academic journals or to present their work at academic conferences. Publishing research papers is an important way to disseminate research findings to the academic community and to establish oneself as an expert in a particular field.
• To inform policy or practice : Researchers may write research papers to inform policy decisions or to improve practice in various fields. Research findings can be used to inform the development of policies, guidelines, and best practices that can improve outcomes for individuals and organizations.
• To share new insights or ideas: Researchers may write research papers to share new insights or ideas with the academic or professional community. They may present new theories, propose new research methods, or challenge existing paradigms in their field.

Purpose of Research Paper

The purpose of a research paper is to present the results of a study or investigation in a clear, concise, and structured manner. Research papers are written to communicate new knowledge, ideas, or findings to a specific audience, such as researchers, scholars, practitioners, or policymakers. The primary purposes of a research paper are:

• To contribute to the body of knowledge : Research papers aim to add new knowledge or insights to a particular field or discipline. They do this by reporting the results of empirical studies, reviewing and synthesizing existing literature, proposing new theories, or providing new perspectives on a topic.
• To inform or persuade: Research papers are written to inform or persuade the reader about a particular issue, topic, or phenomenon. They present evidence and arguments to support their claims and seek to persuade the reader of the validity of their findings or recommendations.
• To advance the field: Research papers seek to advance the field or discipline by identifying gaps in knowledge, proposing new research questions or approaches, or challenging existing assumptions or paradigms. They aim to contribute to ongoing debates and discussions within a field and to stimulate further research and inquiry.
• To demonstrate research skills: Research papers demonstrate the author’s research skills, including their ability to design and conduct a study, collect and analyze data, and interpret and communicate findings. They also demonstrate the author’s ability to critically evaluate existing literature, synthesize information from multiple sources, and write in a clear and structured manner.

Characteristics of Research Paper

Research papers have several characteristics that distinguish them from other forms of academic or professional writing. Here are some common characteristics of research papers:

• Evidence-based: Research papers are based on empirical evidence, which is collected through rigorous research methods such as experiments, surveys, observations, or interviews. They rely on objective data and facts to support their claims and conclusions.
• Structured and organized: Research papers have a clear and logical structure, with sections such as introduction, literature review, methods, results, discussion, and conclusion. They are organized in a way that helps the reader to follow the argument and understand the findings.
• Formal and objective: Research papers are written in a formal and objective tone, with an emphasis on clarity, precision, and accuracy. They avoid subjective language or personal opinions and instead rely on objective data and analysis to support their arguments.
• Citations and references: Research papers include citations and references to acknowledge the sources of information and ideas used in the paper. They use a specific citation style, such as APA, MLA, or Chicago, to ensure consistency and accuracy.
• Peer-reviewed: Research papers are often peer-reviewed, which means they are evaluated by other experts in the field before they are published. Peer-review ensures that the research is of high quality, meets ethical standards, and contributes to the advancement of knowledge in the field.
• Objective and unbiased: Research papers strive to be objective and unbiased in their presentation of the findings. They avoid personal biases or preconceptions and instead rely on the data and analysis to draw conclusions.

Advantages of Research Paper

Research papers have many advantages, both for the individual researcher and for the broader academic and professional community. Here are some advantages of research papers:

• Contribution to knowledge: Research papers contribute to the body of knowledge in a particular field or discipline. They add new information, insights, and perspectives to existing literature and help advance the understanding of a particular phenomenon or issue.
• Opportunity for intellectual growth: Research papers provide an opportunity for intellectual growth for the researcher. They require critical thinking, problem-solving, and creativity, which can help develop the researcher’s skills and knowledge.
• Career advancement: Research papers can help advance the researcher’s career by demonstrating their expertise and contributions to the field. They can also lead to new research opportunities, collaborations, and funding.
• Academic recognition: Research papers can lead to academic recognition in the form of awards, grants, or invitations to speak at conferences or events. They can also contribute to the researcher’s reputation and standing in the field.
• Impact on policy and practice: Research papers can have a significant impact on policy and practice. They can inform policy decisions, guide practice, and lead to changes in laws, regulations, or procedures.
• Advancement of society: Research papers can contribute to the advancement of society by addressing important issues, identifying solutions to problems, and promoting social justice and equality.

Limitations of Research Paper

Research papers also have some limitations that should be considered when interpreting their findings or implications. Here are some common limitations of research papers:

• Limited generalizability: Research findings may not be generalizable to other populations, settings, or contexts. Studies often use specific samples or conditions that may not reflect the broader population or real-world situations.
• Potential for bias : Research papers may be biased due to factors such as sample selection, measurement errors, or researcher biases. It is important to evaluate the quality of the research design and methods used to ensure that the findings are valid and reliable.
• Ethical concerns: Research papers may raise ethical concerns, such as the use of vulnerable populations or invasive procedures. Researchers must adhere to ethical guidelines and obtain informed consent from participants to ensure that the research is conducted in a responsible and respectful manner.
• Limitations of methodology: Research papers may be limited by the methodology used to collect and analyze data. For example, certain research methods may not capture the complexity or nuance of a particular phenomenon, or may not be appropriate for certain research questions.
• Publication bias: Research papers may be subject to publication bias, where positive or significant findings are more likely to be published than negative or non-significant findings. This can skew the overall findings of a particular area of research.
• Time and resource constraints: Research papers may be limited by time and resource constraints, which can affect the quality and scope of the research. Researchers may not have access to certain data or resources, or may be unable to conduct long-term studies due to practical limitations.

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What is the Background in a Research Paper?

An effective Background section in your manuscript establishes the context for your study. And while original research requires novel findings, providing the necessary background information for these findings may be just as important. It lets your readers know that your findings are novel, important, and worthy of their time and attention.

Updated on October 3, 2022

A good Background section explains the history and nature of your research question in relation to existing literature – a “state of the art.” This section, along with the rationale, helps readers understand why you chose to study this problem and why your study is worthwhile. This article will show you how to do this.

Read on to better understand the:

• Real purpose of the Background section
• Typical length of a Background section and its placement
• Elements of an effective Background

What is the Background section of a research paper?

The Background section is an essential element of every study, answering:

• What do we already know about the topic?
• How does your study relate to what's been done so far in your field?
• What is its scope?
• Why does the topic warrant your interest and their interest?
• How did you develop the research question that you'll later introduce?

In grant writing, a Background section is often referred to as the “state of the art,” and this is a useful term to have in mind when writing this part of your paper.

What comes next?

After you make the above points,

• Formulate your research question/hypothesis . Research aims and objectives should be closely related to how you'll fill the gap you've identified in the literature. Your research gap is the central theme of your article and why people should read it.
• Summarize how you'll address it in the paper . Your methodology needs to be appropriate for addressing the “problem” you've identified.
• Describe the significance of your study . Show how your research fits into the bigger picture.

Note that the Background section isn't the same as the research rationale. Rather, it provides the relevant information the reader needs so they can follow your rationale. For example, it

• Explains scientific terms
• Provides available data and statistics on the topic
• Describes the methods used so far on your topic. Especially if these are different from what you're going to do. Take special care here, because this is often where peer reviewers focus intently.

This is a logical approach to what comes after the study's background. Use it and the reader can easily follow along from the broader information to the specific details that come later. Crucially, they'll have confidence that your analysis and findings are valid.

Where should the background be placed in a research paper?

Usually, the background comes after the statement of the problem, in the Introduction section. Logically, you need to provide the study context before discussing the research questions, methodology, and results.

The background can be found in:

The abstract

The background typically forms the first few sentences of the abstract. Why did you do the study? Most journals state this clearly. In an unstructured (no subheadings) abstract, it's the first sentence or two. In a structured abstract, it might be called the Introduction, Background, or State-of-the-Art.

PLOS Medicine , for example, asks for research article abstracts to be split into three sections: Background, Methods and Findings, and Conclusions. Journals in the humanities or social sciences might not clearly ask for it because articles sometimes have a looser structure than STEM articles.

The first part of the Introduction section

In the journal Nature , for example, the Introduction should be around 200 words and include

• Two to three sentences giving a basic introduction to the field.
• The background and rationale of the study are stated briefly.
• A simple phrase “Here we show ...”, or “In this study, we show ....” (to round out the Introduction).

The Journal of Organic Chemistry has similar author guidelines.

The Background as a distinct section

This is often the case for research proposals or some types of reports, as discussed above. Rather than reviewing the literature, this is a concise summary of what's currently known in the field relevant to the question being addressed in this proposed study.

How long should the Background section be?

As mentioned, there's no set length for the Background section. It generally depends on the journal and the content of your manuscript. Check the journal's author guidelines, the research center, granting agency, etc. If it's still not clear or if the instructions are contradictory, email or phone them directly.

The length of your background will depend on:

The manuscript length and content

A book-length study needs a more extensive Background than a four-page research article. Exploring a relatively unknown method or question might also need a longer Background.

For example, see this Frontiers article on the applications of artificial intelligence for developing COVID-19 vaccines. It has a seven-paragraph long Background (1,200 words) in a separate section. The authors need to discuss earlier successful uses of machine learning for therapy discovery to make a convincing case.

An academic paper published in an international journal is usually around 5,000 words. Your paper needs to be balanced, with appropriate text lengths used for the different sections: It would make no sense to have a 300-word introduction and then 4,000 words for the methods, for example. In a 5,000-word manuscript, you'll be able to use about 1,500 for the introduction, which includes the background.

How much you need to show your understanding of the topic

A lengthy grant application might need a longer Background (sub-)section. That's because if they're going to grant you money, they need a very good reason to. You'll need to show that the work is both interesting and doable. The Background is where you can do this.

What should the Background of a research manuscript include?

The Background of a research paper needs to show two things:

The study's territory ( scope )

First, provide a general overview of the field. Scientists in most disciplines should find it relatively easy to understand. Be broad, keep it interesting. Don't go into the specifics of your particular study.

Let's look at two examples:

• one from basic research (seeking to generate new knowledge)
• one from applied research (trying to solve or improve existing processes or products)

Applied research

This Frontiers in Artificial Intelligence article explores how AI can help discover treatments for COVID-19.

The background of the study can be found (i) in the abstract and (ii) in a separate section discussed at the end of this article. The abstract starts with this general overview: “SARS-COV-2 has roused the scientific community with a call to action to combat the growing pandemic.” ( Arshadi et al., 2020 ). This is broad, and it's interesting. This is a topic that many researchers (even from outside this specific area) may want to learn more about.

Think of any theories, models, concepts, or terms (maybe borrowed from different disciplines) that may be unfamiliar to your reader. Be sure to clarify them in plainer language, if necessary.

For example, this systematic review looks at the connections of physician burnout with career engagement and quality of patient care. The Background is in the Introduction section. It starts by defining what burnout is:

• “Burnout is defined as a syndrome related to work that involves three key dimensions.” ( Hodkinson et al., 2022 )

The authors go on to explain its three aspects: emotional exhaustion, depersonalization, and a sense of reduced personal accomplishment.

Basic research

Imagine you're investigating how universities' moves to online teaching during the COVID-19 pandemic impacted students' learning outcomes in the United Kingdom. The overview could be:

• The COVID-19 pandemic and the ensuing lockdown generated tremendous challenges across the higher education sector. University campuses were forced to close. Face-to-face teaching and assessment transitioned into a virtual format.

2. The niche in the field (motivation)

To establish the niche in your field, describe what drove you to explore this specific topic.

• Explain how (un)successfully previous studies have investigated the problem.
• Note the knowledge gap or present a problem with a currently used process/practice/product.

After setting the stage, the abstract of the Frontiers in Artificial Intelligence article identifies a problem:

• “At the time of this writing, there are as yet no novel antiviral agents or approved vaccines available for deployment as a frontline defense.” ( Arshadi et al., 2020 )

The authors need to support their claim that computational methods can help discover new COVID-19 treatments. They do so by referring to previous research findings:

• “In the last decade, machine learning-based models, trained on specific biomolecules, have offered inexpensive and rapid implementation methods for the discovery of effective viral therapies.” ( Arshadi et al., 2020 )

Going back to the study on students' learning outcomes after universities introduced e-learning. The background section will next identify and describe the current knowledge gap and your proposed method of fixing it. It may be something like:

• Existing literature and studies by the UK Department for Education reveal x + y changes and effects on teaching and learning. Yet they provide little to no information on students' learning outcomes. Understanding the impact of online teaching and assessments on student outcomes is key to adopting future teaching practices and ensuring students from disadvantaged backgrounds are not left behind.

How is the background different from the literature review?

Both the background and literature review sections compile previous studies that are relevant and important to the topic.

Despite their similarities, they're different in scope and aims.

Overall, the research background could be seen as a small part of the detailed critical discussion in the literature review. Almost always, primary research articles do not include a detailed literature review.

How is the Background different from the Introduction section?

Although often part of the Introduction, the Background differs from the Introduction in scope and aim.

Breakdown of the Background in published articles

Consider this systematic review looking at the connections of physician burnout with career engagement and quality of patient care.

The Background is placed in the Introduction section. It's critical, consistent, and logically structured, moving from general to specific information.

You can also check out the summary paragraph breakdown provided by Nature. (Nature's “summary paragraph” is essentially an abstract.)

And if you're looking for some help, or have an article that's finished but needs a pre-submission review click here to connect with one of our expert AJE editors.

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Organizing Academic Research Papers: Background Information

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• Acknowledgements

Background information identifies and describes the history and nature of a well-defined research problem with reference to the existing literature. Background information in your Introduction should indicate the root of the problem being studied, its scope, and the extent to which previous studies have successfully investigated the problem, noting, in particular, where gaps exist that your study attempts to address.  Introductory background information differs from a literature review in that it places the research problem in proper context rather than thoroughly examining pertinent literature.

Importance of Having Enough Background Information

Background information expands upon the key points stated in your introduction but is not the main focus of the paper. Sufficient background information helps your reader determine if you have a basic understanding of the research problem being investigated and promotes confidence in the overall quality of your analysis and findings.

Background information provides the reader with the essential context needed to understand the research problem . Depending on the topic being studied, forms of contextualization may include:

• Cultural -- the issue placed within the learned behavior of specific groups of people.
• Economic -- of or relating to systems of production and management of material wealth and/or business activities.
• Historical -- the time in which something takes place or was created and how that influences how you interpret it.
• Philosophical -- clarification of the essential nature of being or of phenomena as it relates to the research problem.
• Physical/Spatial -- reflects the space around something and how that influences how you see it.
• Political -- concerns the environment in which something is produced indicating it's public purpose or agenda.
• Social -- the environment of people that surrounds something's creation or intended audience, reflecting how the people around something use and interpret it.
• Temporal -- reflects issues or events of, relating to, or limited by time.

Background information can also include summaries of important, relevant research studies . The key is to summarize for the reader what is known about the specific research problem before you conducted your analysis. This is accomplished with a general review of the foundational research literature (with citations) that report findings that inform your study's aims and objectives.

NOTE : Research studies cited as part of the background information of your introduction should not include very specific, lengthy explanations. This should be discussed in greater detail in your literature review section.

Background of the Problem Section: What do you Need to Consider? Anonymous. Harvard University; Hopkins, Will G. How to Write a Research Paper . SPORTSCIENCE, Perspectives/Research Resources. Department of Physiology and School of Physical Education, University of Otago, 1999; Green, L. H. How to Write the Background/Introduction Section. Physics 499 Powerpoint slides. University of Illinois; Woodall, W. Gill. Writing the Background and Significance Section. Senior Research Scientist and Professor of Communication. Center on Alcoholism, Substance Abuse, and Addictions. University of New Mexico.  

Structure and Writing Style

Providing background information in the Introduction of a research paper serves as a bridge that links the reader to the topic of your study . But precisely how long and in-depth this bridge should be is largely dependent upon how much information you think the reader will need in order to understand the research problem being discussed and to appreciate why the issues you are investigating are important.

From another perspective, the length and detail of background information also depends on the degree to which you need to demonstrate to your professor how much you understand the topic. Keep this in mind because providing succinct background information can be an effective way to show that you have a clear grasp of key issues and concepts underpinning your overall study. Don't try to show off, though!

Given that the structure and writing style of your background information can vary depending upon the complexity of your research and/or the nature of the assignment, here are some questions to consider while writing :

• Are there concepts, terms, theories, or ideas that may be unfamiliar to the reader and, thus, require additional explanation?
• Are there historical elements that need to be explored in order to add needed context, to highlight specific people, issues, or events, or to lay a foundation for understanding the emergence of a current issue or event?
• Is the research study unusual in some way that requires additional explanation, such as, a) your study uses a method never applied before to the research problem you are investigating; b) your study investigates a very esoteric or complex research problem; or, c) your study relies upon analyzing unique texts or documents, such as archival materials or primary documents like diaries or personal letters, that do not represent the established body of source literature on the topic.

Background of the Problem Section: What do you Need to Consider? Anonymous. Harvard University; Hopkins, Will G. How to Write a Research Paper . SPORTSCIENCE, Perspectives/Research Resources. Department of Physiology and School of Physical Education, University of Otago, 1999; Green, L. H. How to Write the Background/Introduction Section. Physics 499 Powerpoint slides. University of Illinois; Woodall, W. Gill. Writing the Background and Significance Section. Senior Research Scientist and Professor of Communication. Center on Alcoholism, Substance Abuse, and Addictions. University of New Mexico.

Writing Tip

Background Information vs. the Literature Review

Incorporating background information into the Introduction is intended to provide the reader with critical information about the topic being studied, such as highlighting and expanding upon foundational studies conducted in the past, important historical events that inform why and in what ways the research problem exists, or defining key components of your study [concepts, people, places, things]. Although in social sciences research introductory background information can often blend into the literature review portion of the paper, basic background information should not be considered a substitute for a comprehensive review and synthesis of relevant research literature.

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What Is Background in a Research Paper?

So you have carefully written your research paper  and probably ran it through your colleagues ten to fifteen times. While there are many elements to a good research article, one of the most important elements for your readers is the background of your study.

What is Background of the Study in Research

The background of your study will provide context to the information discussed throughout the research paper . Background information may include both important and relevant studies. This is particularly important if a study either supports or refutes your thesis.

Why is Background of the Study Necessary in Research?

The background of the study discusses your problem statement, rationale, and research questions. It links  introduction to your research topic  and ensures a logical flow of ideas.  Thus, it helps readers understand your reasons for conducting the study.

Providing Background Information

The reader should be able to understand your topic and its importance. The length and detail of your background also depend on the degree to which you need to demonstrate your understanding of the topic. Paying close attention to the following questions will help you in writing background information:

• Are there any theories, concepts, terms, and ideas that may be unfamiliar to the target audience and will require you to provide any additional explanation?
• Any historical data that need to be shared in order to provide context on why the current issue emerged?
• Are there any concepts that may have been borrowed from other disciplines that may be unfamiliar to the reader and need an explanation?

Related: Ready with the background and searching for more information on journal ranking? Check this infographic on the SCImago Journal Rank today!

Is the research study unique for which additional explanation is needed? For instance, you may have used a completely new method

How to Write a Background of the Study

The structure of a background study in a research paper generally follows a logical sequence to provide context, justification, and an understanding of the research problem. It includes an introduction, general background, literature review , rationale , objectives, scope and limitations , significance of the study and the research hypothesis . Following the structure can provide a comprehensive and well-organized background for your research.

Here are the steps to effectively write a background of the study.

1. Identify Your Audience:

Determine the level of expertise of your target audience. Tailor the depth and complexity of your background information accordingly.

2. Understand the Research Problem:

Define the research problem or question your study aims to address. Identify the significance of the problem within the broader context of the field.

3. Review Existing Literature:

Conduct a thorough literature review to understand what is already known in the area. Summarize key findings, theories, and concepts relevant to your research.

4. Include Historical Data:

Integrate historical data if relevant to the research, as current issues often trace back to historical events.

5. Identify Controversies and Gaps:

Note any controversies or debates within the existing literature. Identify gaps , limitations, or unanswered questions that your research can address.

6. Select Key Components:

Choose the most critical elements to include in the background based on their relevance to your research problem. Prioritize information that helps build a strong foundation for your study.

7. Craft a Logical Flow:

Organize the background information in a logical sequence. Start with general context, move to specific theories and concepts, and then focus on the specific problem.

8. Highlight the Novelty of Your Research:

Clearly explain the unique aspects or contributions of your study. Emphasize why your research is different from or builds upon existing work.

Here are some extra tips to increase the quality of your research background:

Example of a Research Background

Here is an example of a research background to help you understand better.

The above hypothetical example provides a research background, addresses the gap and highlights the potential outcome of the study; thereby aiding a better understanding of the proposed research.

What Makes the Introduction Different from the Background?

Your introduction is different from your background in a number of ways.

• The introduction contains preliminary data about your topic that  the reader will most likely read , whereas the background clarifies the importance of the paper.
• The background of your study discusses in depth about the topic, whereas the introduction only gives an overview.
• The introduction should end with your research questions, aims, and objectives, whereas your background should not (except in some cases where your background is integrated into your introduction). For instance, the C.A.R.S. ( Creating a Research Space ) model, created by John Swales is based on his analysis of journal articles. This model attempts to explain and describe the organizational pattern of writing the introduction in social sciences.

Points to Note

Your background should begin with defining a topic and audience. It is important that you identify which topic you need to review and what your audience already knows about the topic. You should proceed by searching and researching the relevant literature. In this case, it is advisable to keep track of the search terms you used and the articles that you downloaded. It is helpful to use one of the research paper management systems such as Papers, Mendeley, Evernote, or Sente. Next, it is helpful to take notes while reading. Be careful when copying quotes verbatim and make sure to put them in quotation marks and cite the sources. In addition, you should keep your background focused but balanced enough so that it is relevant to a broader audience. Aside from these, your background should be critical, consistent, and logically structured.

Writing the background of your study should not be an overly daunting task. Many guides that can help you organize your thoughts as you write the background. The background of the study is the key to introduce your audience to your research topic and should be done with strong knowledge and thoughtful writing.

The background of a research paper typically ranges from one to two paragraphs, summarizing the relevant literature and context of the study. It should be concise, providing enough information to contextualize the research problem and justify the need for the study. Journal instructions about any word count limits should be kept in mind while deciding on the length of the final content.

The background of a research paper provides the context and relevant literature to understand the research problem, while the introduction also introduces the specific research topic, states the research objectives, and outlines the scope of the study. The background focuses on the broader context, whereas the introduction focuses on the specific research project and its objectives.

When writing the background for a study, start by providing a brief overview of the research topic and its significance in the field. Then, highlight the gaps in existing knowledge or unresolved issues that the study aims to address. Finally, summarize the key findings from relevant literature to establish the context and rationale for conducting the research, emphasizing the need and importance of the study within the broader academic landscape.

The background in a research paper is crucial as it sets the stage for the study by providing essential context and rationale. It helps readers understand the significance of the research problem and its relevance in the broader field. By presenting relevant literature and highlighting gaps, the background justifies the need for the study, building a strong foundation for the research and enhancing its credibility.

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How to Write a Background for a Research Paper

• What is the background
• Background structure
• Literature review vs background
• Step-by-step writing guide
• Tips to avoid mistakes

Background information example

The background of any academic paper is the academic backbone it relates to. Thus, you must carefully write the first section to keep the end goal clear for your reader.

We’ve got you covered if you need more time or writing skills to create a solid study paper! This article will provide the necessary information to write a background for a research paper. Let’s go!

What is the background of the study in research?

The research paper background refers to the section, component, or thesis that provides context and justification for conducting the study. It outlines the existing knowledge, gaps, and limitations in the field or topic you currently investigate.

The definition of “background” says it should begin with a general introduction to the subject matter, providing an overview of the broader scientific area. It aims to familiarize the reader with the topic and establish its significance and relevance in the existing body of knowledge.

Furthermore, the background of the study highlights the specific problem or knowledge gap that the current study aims to address. It emphasizes the need for further investigation, highlighting the unanswered questions or areas where you have to conduct an additional examination.

The background of the study also plays a crucial role in shaping the study objectives, questions, and hypotheses . By reviewing the existing literature and identifying gaps, academic associates can formulate clearer goals and design appropriate methodologies to address the specific problems.

The background of the study structure

The background statement can vary depending on the scientific field and the paper or thesis requirements. However, it generally follows a logical flow and includes several key components. Here is a standard structure for the background structure:

• Introduction: Begin with a brief introduction that provides an overview of the chosen topic and its importance. This section should capture the reader’s interest and establish the context for the study.
• Current problem: As an academic author, you must clearly identify the scientif problem or gap in the existing knowledge the study aims to address. Please explain why this problem is significant and why it requires further investigation.
• Literature review: Review the relevant literature related to the research topic. Summarize critical theories, concepts, and findings from previous studies directly relevant to the research problem. Discuss the existing knowledge and highlight any limitations or gaps the current study aims to fill.
• Research questions/objectives/hypotheses: To write background information, you should clearly state the research questions, objectives, or assumptions that guide the study. These should be directly derived from the research problem and align with the gaps identified in the literature review.
• Study rationale: Explain the potential contributions and implications of the study. Discuss how the findings may advance knowledge, address practical issues, or have broader impacts in the field or society. Justify why the study is worth conducting and how it adds value to the existing body of knowledge.
• Scope and limitations: Define the size of the study by outlining the boundaries and specific aspects you will cover. Discuss any limits or constraints impacting the study’s findings or generalizability.
• Summary: Provide a concise summary or conclusion of the background section of a research paper, emphasizing the research problem, significance, and the need for further investigation.

It’s important to note that you can imply changes to the structure based on your requirements and the specific guidelines provided by your college advisor.

Difference between literature review and background

The literature review and the background of the study are two distinct components of a research paper or thesis, although they are closely related. Let’s explore the differences between these two sections:

Steps to write a good background section

When writing a background section for a research paper, you can follow these three steps to ensure a clear and compelling presentation:

Identify the Research Problem

• Begin by clearly identifying and defining the research problem or gap in the existing knowledge that your study aims to address.
• Consider the significance and relevance of the problem within your research field or discipline.
• Briefly explain why the problem is essential and how addressing it can contribute to the existing body of knowledge.

Review the Relevant Literature

• Conduct a thorough literature review to gather relevant information and understand the current state of knowledge on your research topic.
• Summarize critical theories, concepts, and findings from previous studies that directly relate to your research problem.
• Highlight any gaps, controversies, or limitations in the existing literature that your study aims to address.
• Organize the literature review logically, either by themes, sub-topics, or chronologically, depending on what they mean for your research.

Provide Rationale and Objectives

• Provide a clear rationale for conducting your study based on the research problem and the gaps identified in the literature review.
• Explain why your research is essential and how it will contribute to filling the identified gaps or advancing knowledge in the field.
• State the specific research objectives or questions your study aims to answer.
• Align the objectives with the research problem and the gaps identified in the literature, demonstrating how your study will address those gaps.

Following these steps, you can create a well-structured and coherent background section that establishes your research’s context, significance, and rationale. Remember to provide sufficient background information and be concise yet informative in your presentation.

The main tips to avoid mistakes

Here are a few tips to help you avoid common mistakes when writing background paragraphs:

• Focus on the research topic;
• Be concise and clear;
• Use credible and up-to-date sources;
• Provide a logical flow;
• Avoid excessive jargon and technical terms;
• Balance breadth and depth;
• Use citations appropriately;
• Revise and proofread.

By following these tips, you can enhance the quality of your background section, ensuring that it effectively sets the stage for your research and engages the reader from the beginning of your paper.

To write the background of a research paper, you must understand the overall structure and know exactly how this section should look.

Let’s see an excellent example of a background section for a research paper on the topic of “The Impact of Social Media on Mental Health”:

“The rapid rise of social media platforms in recent years has transformed how people communicate, connect, and share information. Platforms such as Facebook, Instagram, Twitter, and Snapchat have become integral parts of daily life for millions of individuals worldwide. 

While social media offers numerous benefits, including increased social connectivity and access to diverse perspectives, concerns have been raised regarding its potential impact on mental health.

Numerous studies have investigated the relationship between social media use and mental health outcomes, focusing on depression, anxiety, and body image dissatisfaction. 

This study seeks to contribute to the existing knowledge by employing a longitudinal design and examining a broad range of mental health outcomes among a diverse sample of adults aged 18-45.

Research has shown that excessive use of social media and constant exposure to carefully curated and idealized representations of others’ lives can contribute to feelings of inadequacy, social comparison, and low self-esteem. 

Additionally, cyberbullying has emerged as a significant concern, as individuals may experience harassment, negative comments, and exclusion within the online environment”.

Brief Summary

You have to be very concise and clear to write a background paragraph. Remember that it often serves as the first point of contact between your research and the reader. As a result, the background section has to focus on the study, explaining the significance and relevance of the research problem.

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Writing Research Background

Research background is a brief outline of the most important studies that have been conducted so far presented in a chronological order. Research background part in introduction chapter can be also headed ‘Background of the Study.” Research background should also include a brief discussion of major theories and models related to the research problem.

Specifically, when writing research background you can discuss major theories and models related to your research problem in a chronological order to outline historical developments in the research area.  When writing research background, you also need to demonstrate how your research relates to what has been done so far in the research area.

Research background is written after the literature review. Therefore, literature review has to be the first and the longest stage in the research process, even before the formulation of research aims and objectives, right after the selection of the research area. Once the research area is selected, the literature review is commenced in order to identify gaps in the research area.

Research aims and objectives need to be closely associated with the elimination of this gap in the literature. The main difference between background of the study and literature review is that the former only provides general information about what has been done so far in the research area, whereas the latter elaborates and critically reviews previous works.

John Dudovskiy

PROCEDURE FOR WRITING A BACKGROUND STUDY FOR A RESEARCH PAPER -WITH A PRACTICAL EXAMPLE BY DR BENARD LANGO

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• Jomo Kenyatta University of Agriculture and Technology

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The methods section describes actions taken to investigate a research problem and the rationale for the application of specific procedures or techniques used to identify, select, process, and analyze information applied to understanding the problem, thereby, allowing the reader to critically evaluate a study’s overall validity and reliability. The methodology section of a research paper answers two main questions: How was the data collected or generated? And, how was it analyzed? The writing should be direct and precise and always written in the past tense.

Kallet, Richard H. "How to Write the Methods Section of a Research Paper." Respiratory Care 49 (October 2004): 1229-1232.

Importance of a Good Methodology Section

You must explain how you obtained and analyzed your results for the following reasons:

• Readers need to know how the data was obtained because the method you chose affects the results and, by extension, how you interpreted their significance in the discussion section of your paper.
• Methodology is crucial for any branch of scholarship because an unreliable method produces unreliable results and, as a consequence, undermines the value of your analysis of the findings.
• In most cases, there are a variety of different methods you can choose to investigate a research problem. The methodology section of your paper should clearly articulate the reasons why you have chosen a particular procedure or technique.
• The reader wants to know that the data was collected or generated in a way that is consistent with accepted practice in the field of study. For example, if you are using a multiple choice questionnaire, readers need to know that it offered your respondents a reasonable range of answers to choose from.
• The method must be appropriate to fulfilling the overall aims of the study. For example, you need to ensure that you have a large enough sample size to be able to generalize and make recommendations based upon the findings.
• The methodology should discuss the problems that were anticipated and the steps you took to prevent them from occurring. For any problems that do arise, you must describe the ways in which they were minimized or why these problems do not impact in any meaningful way your interpretation of the findings.
• In the social and behavioral sciences, it is important to always provide sufficient information to allow other researchers to adopt or replicate your methodology. This information is particularly important when a new method has been developed or an innovative use of an existing method is utilized.

Bem, Daryl J. Writing the Empirical Journal Article. Psychology Writing Center. University of Washington; Denscombe, Martyn. The Good Research Guide: For Small-Scale Social Research Projects . 5th edition. Buckingham, UK: Open University Press, 2014; Lunenburg, Frederick C. Writing a Successful Thesis or Dissertation: Tips and Strategies for Students in the Social and Behavioral Sciences . Thousand Oaks, CA: Corwin Press, 2008.

Structure and Writing Style

I.  Groups of Research Methods

There are two main groups of research methods in the social sciences:

• The e mpirical-analytical group approaches the study of social sciences in a similar manner that researchers study the natural sciences . This type of research focuses on objective knowledge, research questions that can be answered yes or no, and operational definitions of variables to be measured. The empirical-analytical group employs deductive reasoning that uses existing theory as a foundation for formulating hypotheses that need to be tested. This approach is focused on explanation.
• The i nterpretative group of methods is focused on understanding phenomenon in a comprehensive, holistic way . Interpretive methods focus on analytically disclosing the meaning-making practices of human subjects [the why, how, or by what means people do what they do], while showing how those practices arrange so that it can be used to generate observable outcomes. Interpretive methods allow you to recognize your connection to the phenomena under investigation. However, the interpretative group requires careful examination of variables because it focuses more on subjective knowledge.

II.  Content

The introduction to your methodology section should begin by restating the research problem and underlying assumptions underpinning your study. This is followed by situating the methods you used to gather, analyze, and process information within the overall “tradition” of your field of study and within the particular research design you have chosen to study the problem. If the method you choose lies outside of the tradition of your field [i.e., your review of the literature demonstrates that the method is not commonly used], provide a justification for how your choice of methods specifically addresses the research problem in ways that have not been utilized in prior studies.

The remainder of your methodology section should describe the following:

• Decisions made in selecting the data you have analyzed or, in the case of qualitative research, the subjects and research setting you have examined,
• Tools and methods used to identify and collect information, and how you identified relevant variables,
• The ways in which you processed the data and the procedures you used to analyze that data, and
• The specific research tools or strategies that you utilized to study the underlying hypothesis and research questions.

In addition, an effectively written methodology section should:

• Introduce the overall methodological approach for investigating your research problem . Is your study qualitative or quantitative or a combination of both (mixed method)? Are you going to take a special approach, such as action research, or a more neutral stance?
• Indicate how the approach fits the overall research design . Your methods for gathering data should have a clear connection to your research problem. In other words, make sure that your methods will actually address the problem. One of the most common deficiencies found in research papers is that the proposed methodology is not suitable to achieving the stated objective of your paper.
• Describe the specific methods of data collection you are going to use , such as, surveys, interviews, questionnaires, observation, archival research. If you are analyzing existing data, such as a data set or archival documents, describe how it was originally created or gathered and by whom. Also be sure to explain how older data is still relevant to investigating the current research problem.
• Explain how you intend to analyze your results . Will you use statistical analysis? Will you use specific theoretical perspectives to help you analyze a text or explain observed behaviors? Describe how you plan to obtain an accurate assessment of relationships, patterns, trends, distributions, and possible contradictions found in the data.
• Provide background and a rationale for methodologies that are unfamiliar for your readers . Very often in the social sciences, research problems and the methods for investigating them require more explanation/rationale than widely accepted rules governing the natural and physical sciences. Be clear and concise in your explanation.
• Provide a justification for subject selection and sampling procedure . For instance, if you propose to conduct interviews, how do you intend to select the sample population? If you are analyzing texts, which texts have you chosen, and why? If you are using statistics, why is this set of data being used? If other data sources exist, explain why the data you chose is most appropriate to addressing the research problem.
• Provide a justification for case study selection . A common method of analyzing research problems in the social sciences is to analyze specific cases. These can be a person, place, event, phenomenon, or other type of subject of analysis that are either examined as a singular topic of in-depth investigation or multiple topics of investigation studied for the purpose of comparing or contrasting findings. In either method, you should explain why a case or cases were chosen and how they specifically relate to the research problem.
• Describe potential limitations . Are there any practical limitations that could affect your data collection? How will you attempt to control for potential confounding variables and errors? If your methodology may lead to problems you can anticipate, state this openly and show why pursuing this methodology outweighs the risk of these problems cropping up.

NOTE:   Once you have written all of the elements of the methods section, subsequent revisions should focus on how to present those elements as clearly and as logically as possibly. The description of how you prepared to study the research problem, how you gathered the data, and the protocol for analyzing the data should be organized chronologically. For clarity, when a large amount of detail must be presented, information should be presented in sub-sections according to topic. If necessary, consider using appendices for raw data.

ANOTHER NOTE: If you are conducting a qualitative analysis of a research problem , the methodology section generally requires a more elaborate description of the methods used as well as an explanation of the processes applied to gathering and analyzing of data than is generally required for studies using quantitative methods. Because you are the primary instrument for generating the data [e.g., through interviews or observations], the process for collecting that data has a significantly greater impact on producing the findings. Therefore, qualitative research requires a more detailed description of the methods used.

YET ANOTHER NOTE:   If your study involves interviews, observations, or other qualitative techniques involving human subjects , you may be required to obtain approval from the university's Office for the Protection of Research Subjects before beginning your research. This is not a common procedure for most undergraduate level student research assignments. However, i f your professor states you need approval, you must include a statement in your methods section that you received official endorsement and adequate informed consent from the office and that there was a clear assessment and minimization of risks to participants and to the university. This statement informs the reader that your study was conducted in an ethical and responsible manner. In some cases, the approval notice is included as an appendix to your paper.

III.  Problems to Avoid

Irrelevant Detail The methodology section of your paper should be thorough but concise. Do not provide any background information that does not directly help the reader understand why a particular method was chosen, how the data was gathered or obtained, and how the data was analyzed in relation to the research problem [note: analyzed, not interpreted! Save how you interpreted the findings for the discussion section]. With this in mind, the page length of your methods section will generally be less than any other section of your paper except the conclusion.

Unnecessary Explanation of Basic Procedures Remember that you are not writing a how-to guide about a particular method. You should make the assumption that readers possess a basic understanding of how to investigate the research problem on their own and, therefore, you do not have to go into great detail about specific methodological procedures. The focus should be on how you applied a method , not on the mechanics of doing a method. An exception to this rule is if you select an unconventional methodological approach; if this is the case, be sure to explain why this approach was chosen and how it enhances the overall process of discovery.

Problem Blindness It is almost a given that you will encounter problems when collecting or generating your data, or, gaps will exist in existing data or archival materials. Do not ignore these problems or pretend they did not occur. Often, documenting how you overcame obstacles can form an interesting part of the methodology. It demonstrates to the reader that you can provide a cogent rationale for the decisions you made to minimize the impact of any problems that arose.

Literature Review Just as the literature review section of your paper provides an overview of sources you have examined while researching a particular topic, the methodology section should cite any sources that informed your choice and application of a particular method [i.e., the choice of a survey should include any citations to the works you used to help construct the survey].

It’s More than Sources of Information! A description of a research study's method should not be confused with a description of the sources of information. Such a list of sources is useful in and of itself, especially if it is accompanied by an explanation about the selection and use of the sources. The description of the project's methodology complements a list of sources in that it sets forth the organization and interpretation of information emanating from those sources.

Azevedo, L.F. et al. "How to Write a Scientific Paper: Writing the Methods Section." Revista Portuguesa de Pneumologia 17 (2011): 232-238; Blair Lorrie. “Choosing a Methodology.” In Writing a Graduate Thesis or Dissertation , Teaching Writing Series. (Rotterdam: Sense Publishers 2016), pp. 49-72; Butin, Dan W. The Education Dissertation A Guide for Practitioner Scholars . Thousand Oaks, CA: Corwin, 2010; Carter, Susan. Structuring Your Research Thesis . New York: Palgrave Macmillan, 2012; Kallet, Richard H. “How to Write the Methods Section of a Research Paper.” Respiratory Care 49 (October 2004):1229-1232; Lunenburg, Frederick C. Writing a Successful Thesis or Dissertation: Tips and Strategies for Students in the Social and Behavioral Sciences . Thousand Oaks, CA: Corwin Press, 2008. Methods Section. The Writer’s Handbook. Writing Center. University of Wisconsin, Madison; Rudestam, Kjell Erik and Rae R. Newton. “The Method Chapter: Describing Your Research Plan.” In Surviving Your Dissertation: A Comprehensive Guide to Content and Process . (Thousand Oaks, Sage Publications, 2015), pp. 87-115; What is Interpretive Research. Institute of Public and International Affairs, University of Utah; Writing the Experimental Report: Methods, Results, and Discussion. The Writing Lab and The OWL. Purdue University; Methods and Materials. The Structure, Format, Content, and Style of a Journal-Style Scientific Paper. Department of Biology. Bates College.

Writing Tip

Statistical Designs and Tests? Do Not Fear Them!

Don't avoid using a quantitative approach to analyzing your research problem just because you fear the idea of applying statistical designs and tests. A qualitative approach, such as conducting interviews or content analysis of archival texts, can yield exciting new insights about a research problem, but it should not be undertaken simply because you have a disdain for running a simple regression. A well designed quantitative research study can often be accomplished in very clear and direct ways, whereas, a similar study of a qualitative nature usually requires considerable time to analyze large volumes of data and a tremendous burden to create new paths for analysis where previously no path associated with your research problem had existed.

To locate data and statistics, GO HERE .

Another Writing Tip

Knowing the Relationship Between Theories and Methods

There can be multiple meaning associated with the term "theories" and the term "methods" in social sciences research. A helpful way to delineate between them is to understand "theories" as representing different ways of characterizing the social world when you research it and "methods" as representing different ways of generating and analyzing data about that social world. Framed in this way, all empirical social sciences research involves theories and methods, whether they are stated explicitly or not. However, while theories and methods are often related, it is important that, as a researcher, you deliberately separate them in order to avoid your theories playing a disproportionate role in shaping what outcomes your chosen methods produce.

Introspectively engage in an ongoing dialectic between the application of theories and methods to help enable you to use the outcomes from your methods to interrogate and develop new theories, or ways of framing conceptually the research problem. This is how scholarship grows and branches out into new intellectual territory.

Reynolds, R. Larry. Ways of Knowing. Alternative Microeconomics . Part 1, Chapter 3. Boise State University; The Theory-Method Relationship. S-Cool Revision. United Kingdom.

Yet Another Writing Tip

Methods and the Methodology

Do not confuse the terms "methods" and "methodology." As Schneider notes, a method refers to the technical steps taken to do research . Descriptions of methods usually include defining and stating why you have chosen specific techniques to investigate a research problem, followed by an outline of the procedures you used to systematically select, gather, and process the data [remember to always save the interpretation of data for the discussion section of your paper].

The methodology refers to a discussion of the underlying reasoning why particular methods were used . This discussion includes describing the theoretical concepts that inform the choice of methods to be applied, placing the choice of methods within the more general nature of academic work, and reviewing its relevance to examining the research problem. The methodology section also includes a thorough review of the methods other scholars have used to study the topic.

Bryman, Alan. "Of Methods and Methodology." Qualitative Research in Organizations and Management: An International Journal 3 (2008): 159-168; Schneider, Florian. “What's in a Methodology: The Difference between Method, Methodology, and Theory…and How to Get the Balance Right?” PoliticsEastAsia.com. Chinese Department, University of Leiden, Netherlands.

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Dissertation Background Writing Guide

Introduction.

The background and history section of your dissertation highlights the empirical foundations of the topic that you have chosen and this can comprise of five or six per cent of the total word limit.

The ‘background’ section or chapter is often considered the ‘other half’ of the introduction section or chapter and it may be incorporated within it or as a separate chapter. While the introduction deals with the thematic structure of your work, the background deals with the academic ‘history’ of your work.

Purpose of the Dissertation Background

The purpose of a dissertation background/history section is to give the reader the relevant facts about your chosen dissertation topic so that they understand the material or case that you will write about later and how it links to your theoretical question.

It aims to contextualise your study and to explain its relevance. The background chapter will explain how your work adds to and builds upon existing academic studies.

Choosing Your Information

In this chapter, it is important to select information carefully. It is tempting to write all you know about a subject, but it is more important to tell the reader what they need to know before they continue reading your dissertation.

This section doesn’t just provide the general context, but it also directs the readers’ attention to the empirical details through which your research topic and questions are lived and made relevant. This will illustrate the need for, and the importance of, your research.

Requirements of the Background Chapter

It’s important your work is viewed as academically contextualised, and so the background chapter will show your grounding in academic theory, and how your research will take a fresh look at an issue.

It first needs to explain the general background to the existing research in the area that you are studying by mentioning previous studies that have been written on the subject. You may not find work that very specifically addresses your topic, but you will find literature that is comparable or is linked to it in some way.

Secondly, you need to explain how your study builds upon the existing studies by offering something new. The background chapter is a rationale for your study and in the same way that the introduction introduces the ‘key themes’ of the chapters, the background acts as a precursor to the literature review and (depending upon the subject matter) the methodology.

Top 3 Dissertation Background Writing Tips

There are three simple overlapping concepts to keep in mind when writing your background or history section.

• Engage your readers with broader themes and topics that illustrate your concepts, questions, and theory and demonstrate your knowledge and passion. The history should be easy to read and compelling both for its relevance and for its fresh approach. Be sure to connect smaller details to larger concepts, rather than leaving them as additional information that seems irrelevant. For example, few people want to read the details of textile handicrafts in southern Mississippi simply to learn about weaving. If, on the other hand, you show how this craft is linked to a history of racial tensions, changing economic conditions, or gender relations, the details of handicraft cooperatives and techniques can be engrossing and make the reader want to know more.
• The dissertation background/history should illustrate your concepts, questions, and theory. Your background section should relate to your research topic in question; this requires you to make explicit links between the stories you tell and the questions and theoretical approaches you are using. To do this, try to ensure a tight fit between this and the proposal’s other sections. Your history should be the empirical embodiment of your theoretical section. If, for example, you are writing on indigenous land rights struggles in Bolivia, you should not just include a history of events, but a history that is tightly linked to your theoretical concerns and the research question you are asking. Trace the major actors, sources of change, and point to potential outcomes. If you do this, your history section offers a chance to expound on (for the benefit of others’ understanding) the broader topic through the details of your story.
• The dissertation history/background should demonstrate your experience, knowledge, and passion. What you write about and how you write can reveal a great deal about your knowledge and interest in your subject. This is true in all parts of your proposal, but perhaps most so in this section. Use the background section as an occasion to show the depths of your knowledge of the topic by demonstrating your fluency in accepted understandings and literature as well as your fresh insights and approaches.

You may also use this review to implicitly reveal what has drawn you to the topic in the first place. Doing this well will help convince the reader that your interest in the topic is justified and that you are likely to sustain that interest over the time required to complete the project.

As with the theoretical review, the historical and background section must be precise and measured. A piece that is too passionate, too political, or too lengthy a historical review may cause some readers to lose focus or question your capacity to be detached and analytical.

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How to Write the Rationale of the Study in Research (Examples)

What is the Rationale of the Study?

The rationale of the study is the justification for taking on a given study. It explains the reason the study was conducted or should be conducted. This means the study rationale should explain to the reader or examiner why the study is/was necessary. It is also sometimes called the “purpose” or “justification” of a study. While this is not difficult to grasp in itself, you might wonder how the rationale of the study is different from your research question or from the statement of the problem of your study, and how it fits into the rest of your thesis or research paper. 

The rationale of the study links the background of the study to your specific research question and justifies the need for the latter on the basis of the former. In brief, you first provide and discuss existing data on the topic, and then you tell the reader, based on the background evidence you just presented, where you identified gaps or issues and why you think it is important to address those. The problem statement, lastly, is the formulation of the specific research question you choose to investigate, following logically from your rationale, and the approach you are planning to use to do that.

Table of Contents:

How to write a rationale for a research paper , how do you justify the need for a research study.

• Study Rationale Example: Where Does It Go In Your Paper?

The basis for writing a research rationale is preliminary data or a clear description of an observation. If you are doing basic/theoretical research, then a literature review will help you identify gaps in current knowledge. In applied/practical research, you base your rationale on an existing issue with a certain process (e.g., vaccine proof registration) or practice (e.g., patient treatment) that is well documented and needs to be addressed. By presenting the reader with earlier evidence or observations, you can (and have to) convince them that you are not just repeating what other people have already done or said and that your ideas are not coming out of thin air. 

Once you have explained where you are coming from, you should justify the need for doing additional research–this is essentially the rationale of your study. Finally, when you have convinced the reader of the purpose of your work, you can end your introduction section with the statement of the problem of your research that contains clear aims and objectives and also briefly describes (and justifies) your methodological approach. 

When is the Rationale for Research Written?

The author can present the study rationale both before and after the research is conducted. 

• Before conducting research : The study rationale is a central component of the research proposal . It represents the plan of your work, constructed before the study is actually executed.
• Once research has been conducted : After the study is completed, the rationale is presented in a research article or  PhD dissertation  to explain why you focused on this specific research question. When writing the study rationale for this purpose, the author should link the rationale of the research to the aims and outcomes of the study.

What to Include in the Study Rationale

Although every study rationale is different and discusses different specific elements of a study’s method or approach, there are some elements that should be included to write a good rationale. Make sure to touch on the following:

• A summary of conclusions from your review of the relevant literature
• What is currently unknown (gaps in knowledge)
• Inconclusive or contested results  from previous studies on the same or similar topic
• The necessity to improve or build on previous research, such as to improve methodology or utilize newer techniques and/or technologies

There are different types of limitations that you can use to justify the need for your study. In applied/practical research, the justification for investigating something is always that an existing process/practice has a problem or is not satisfactory. Let’s say, for example, that people in a certain country/city/community commonly complain about hospital care on weekends (not enough staff, not enough attention, no decisions being made), but you looked into it and realized that nobody ever investigated whether these perceived problems are actually based on objective shortages/non-availabilities of care or whether the lower numbers of patients who are treated during weekends are commensurate with the provided services.

In this case, “lack of data” is your justification for digging deeper into the problem. Or, if it is obvious that there is a shortage of staff and provided services on weekends, you could decide to investigate which of the usual procedures are skipped during weekends as a result and what the negative consequences are. 

In basic/theoretical research, lack of knowledge is of course a common and accepted justification for additional research—but make sure that it is not your only motivation. “Nobody has ever done this” is only a convincing reason for a study if you explain to the reader why you think we should know more about this specific phenomenon. If there is earlier research but you think it has limitations, then those can usually be classified into “methodological”, “contextual”, and “conceptual” limitations. To identify such limitations, you can ask specific questions and let those questions guide you when you explain to the reader why your study was necessary:

Methodological limitations

• Did earlier studies try but failed to measure/identify a specific phenomenon?
• Was earlier research based on incorrect conceptualizations of variables?
• Were earlier studies based on questionable operationalizations of key concepts?
• Did earlier studies use questionable or inappropriate research designs?

Contextual limitations

• Have recent changes in the studied problem made previous studies irrelevant?
• Are you studying a new/particular context that previous findings do not apply to?

Conceptual limitations

• Do previous findings only make sense within a specific framework or ideology?

Study Rationale Examples

Let’s look at an example from one of our earlier articles on the statement of the problem to clarify how your rationale fits into your introduction section. This is a very short introduction for a practical research study on the challenges of online learning. Your introduction might be much longer (especially the context/background section), and this example does not contain any sources (which you will have to provide for all claims you make and all earlier studies you cite)—but please pay attention to how the background presentation , rationale, and problem statement blend into each other in a logical way so that the reader can follow and has no reason to question your motivation or the foundation of your research.

Background presentation

Since the beginning of the Covid pandemic, most educational institutions around the world have transitioned to a fully online study model, at least during peak times of infections and social distancing measures. This transition has not been easy and even two years into the pandemic, problems with online teaching and studying persist (reference needed) . 

While the increasing gap between those with access to technology and equipment and those without access has been determined to be one of the main challenges (reference needed) , others claim that online learning offers more opportunities for many students by breaking down barriers of location and distance (reference needed) .  

Rationale of the study

Since teachers and students cannot wait for circumstances to go back to normal, the measures that schools and universities have implemented during the last two years, their advantages and disadvantages, and the impact of those measures on students’ progress, satisfaction, and well-being need to be understood so that improvements can be made and demographics that have been left behind can receive the support they need as soon as possible.

Statement of the problem

To identify what changes in the learning environment were considered the most challenging and how those changes relate to a variety of student outcome measures, we conducted surveys and interviews among teachers and students at ten institutions of higher education in four different major cities, two in the US (New York and Chicago), one in South Korea (Seoul), and one in the UK (London). Responses were analyzed with a focus on different student demographics and how they might have been affected differently by the current situation.

How long is a study rationale?

In a research article bound for journal publication, your rationale should not be longer than a few sentences (no longer than one brief paragraph). A  dissertation or thesis  usually allows for a longer description; depending on the length and nature of your document, this could be up to a couple of paragraphs in length. A completely novel or unconventional approach might warrant a longer and more detailed justification than an approach that slightly deviates from well-established methods and approaches.

Consider Using Professional Academic Editing Services

Now that you know how to write the rationale of the study for a research proposal or paper, you should make use of Wordvice AI’s free AI Grammar Checker , or receive professional academic proofreading services from Wordvice, including research paper editing services and manuscript editing services to polish your submitted research documents.

You can also find many more articles, for example on writing the other parts of your research paper , on choosing a title , or on making sure you understand and adhere to the author instructions before you submit to a journal, on the Wordvice academic resources pages.

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What Is a White Paper?

Purpose of a white paper, how to write a white paper, the bottom line.

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White Paper: Types, Purpose, and How to Write One

Adam Hayes, Ph.D., CFA, is a financial writer with 15+ years Wall Street experience as a derivatives trader. Besides his extensive derivative trading expertise, Adam is an expert in economics and behavioral finance. Adam received his master's in economics from The New School for Social Research and his Ph.D. from the University of Wisconsin-Madison in sociology. He is a CFA charterholder as well as holding FINRA Series 7, 55 & 63 licenses. He currently researches and teaches economic sociology and the social studies of finance at the Hebrew University in Jerusalem.

Thomas J Catalano is a CFP and Registered Investment Adviser with the state of South Carolina, where he launched his own financial advisory firm in 2018. Thomas' experience gives him expertise in a variety of areas including investments, retirement, insurance, and financial planning.

Investopedia / Michela Buttignol

A white paper is an informational document issued by a company or not-for-profit organization to promote or highlight the features of a solution, product, or service that it offers or plans to offer.

White papers are also used as a method of presenting government policies and legislation and gauging public opinion.

Key Takeaways

• A white paper promotes a certain product, service, or methodology to influence current and prospective customer or investor decisions.
• Three main types of white papers include backgrounders, numbered lists, and problem/solution white papers.
• A white paper provides persuasive and factual evidence that a particular offering is a superior product or method of solving a problem.
• White papers are commonly designed for business-to-business (B2B) marketing purposes between a manufacturer and a wholesaler, or between a wholesaler and a retailer.

White papers are sales and marketing documents used to entice or persuade potential customers to learn more about a particular product, service, technology, or methodology.

White papers are commonly designed for business-to-business (B2B) marketing purposes between a manufacturer and a wholesaler , or between a wholesaler and a retailer. It can provide an in-depth report or guide about a specific product or topic and is meant to educate its readers.

The facts presented in white papers are often backed by research and statistics from reliable sources and can include charts, graphs, tables, and other ways of visualizing data. A white paper can communicate an organization’s philosophy or present research findings related to an industry.

Types of White Papers

A startup , large corporation, or government agency will use white papers differently. There are three main types of white papers: backgrounders, numbered lists, and problem/solution white papers.

Backgrounders detail the technical features of a new product or service. Designed to simplify complicated technical information, they are used to:

• Support a technical evaluation
• Launch a product
• Promote a product or industry leader

Numbered lists highlight the key takeaways of a new product or service, and are often formatted with headings and bullet points such as the following familiar format:

• 3 Questions to Ask
• 5 Things You Need to Know

Problem/solution papers identify specific problems faced by potential customers and suggest a data-driven argument about how a featured product or service provides a solution to:

• Generate new sales
• Educate salespeople on product characteristics
• Build industry interest

White papers differ from other marketing materials, such as brochures. Brochures and traditional marketing materials might be flashy and obvious, but a white paper is intended to provide persuasive and factual evidence that solves a problem or challenge.

White papers are commonly at least 2,500 words in length and written in an academic style.

A white paper should provide well-researched information that is not found with a simple Internet search and has a compelling narrative to keep the reader’s attention. The author of a white paper should:

• Research and fully define the topic
• Create an accurate outline of information
• Write an attention-grabbing introduction
• Format the paper for easy reading
• Revise and proofread

What Is an Example of a White Paper?

All of the documents listed below, publicly available on Microsoft’s website, focus on aspects of the company’s suite of cloud services. In contrast with brochures, these white papers don’t have a clear sales pitch. Instead, they dive into relevant topics, such as cloud security, hybrid clouds, and the economic benefits of adopting cloud computing.

• Digital Transformation and the Art of the Possible
• Harvard Business Review Analytic Services: Drive Agility and Innovation with ERP in the Cloud
• IDC: The Business Value of Migrating and Modernizing with Azure

How Have New Industries Used White Papers?

Cryptocurrencies have also been known to publish white papers during initial coin offerings (ICOs) and frequently issued white papers to entice users and “investors” to their projects.

Bitcoin famously launched a few months after the pseudonymous Satoshi Nakamoto issued its famous white paper online in October 2008.

Why Is It Called a White Paper?

White papers may have developed from the use of “Blue Papers” in 19th century Britain, where a Parliament report cover was blue. When a topic for the government was less serious, the blue cover was discarded and published with white covers. These reports were called White Papers. In the United States, the use of government white papers often means a background report or guidance on a specific issue.

A white paper is an informational document issued by a company, government agency, or not-for-profit organization to promote the features of a solution, product, or service that it offers or plans to offer. The facts presented in white papers are often backed by research and statistics from reliable sources and are commonly written in one of three formats: backgrounders, numbered lists, and problem/solution papers.

Bitcoin.org. " Bitcoin: A Peer-to-Peer Electronic Cash System ."

Michigan State University. " Finding British Parliamentary Papers in the M.S.U. Libraries, Collections Guide No. 6 (Advanced): Parliamentary, or Sessional Papers--Discussion ."

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How to cite ChatGPT

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We, the APA Style team, are not robots. We can all pass a CAPTCHA test , and we know our roles in a Turing test . And, like so many nonrobot human beings this year, we’ve spent a fair amount of time reading, learning, and thinking about issues related to large language models, artificial intelligence (AI), AI-generated text, and specifically ChatGPT . We’ve also been gathering opinions and feedback about the use and citation of ChatGPT. Thank you to everyone who has contributed and shared ideas, opinions, research, and feedback.

In this post, I discuss situations where students and researchers use ChatGPT to create text and to facilitate their research, not to write the full text of their paper or manuscript. We know instructors have differing opinions about how or even whether students should use ChatGPT, and we’ll be continuing to collect feedback about instructor and student questions. As always, defer to instructor guidelines when writing student papers. For more about guidelines and policies about student and author use of ChatGPT, see the last section of this post.

Quoting or reproducing the text created by ChatGPT in your paper

If you’ve used ChatGPT or other AI tools in your research, describe how you used the tool in your Method section or in a comparable section of your paper. For literature reviews or other types of essays or response or reaction papers, you might describe how you used the tool in your introduction. In your text, provide the prompt you used and then any portion of the relevant text that was generated in response.

Unfortunately, the results of a ChatGPT “chat” are not retrievable by other readers, and although nonretrievable data or quotations in APA Style papers are usually cited as personal communications , with ChatGPT-generated text there is no person communicating. Quoting ChatGPT’s text from a chat session is therefore more like sharing an algorithm’s output; thus, credit the author of the algorithm with a reference list entry and the corresponding in-text citation.

When prompted with “Is the left brain right brain divide real or a metaphor?” the ChatGPT-generated text indicated that although the two brain hemispheres are somewhat specialized, “the notation that people can be characterized as ‘left-brained’ or ‘right-brained’ is considered to be an oversimplification and a popular myth” (OpenAI, 2023).

OpenAI. (2023). ChatGPT (Mar 14 version) [Large language model]. https://chat.openai.com/chat

You may also put the full text of long responses from ChatGPT in an appendix of your paper or in online supplemental materials, so readers have access to the exact text that was generated. It is particularly important to document the exact text created because ChatGPT will generate a unique response in each chat session, even if given the same prompt. If you create appendices or supplemental materials, remember that each should be called out at least once in the body of your APA Style paper.

When given a follow-up prompt of “What is a more accurate representation?” the ChatGPT-generated text indicated that “different brain regions work together to support various cognitive processes” and “the functional specialization of different regions can change in response to experience and environmental factors” (OpenAI, 2023; see Appendix A for the full transcript).

Creating a reference to ChatGPT or other AI models and software

The in-text citations and references above are adapted from the reference template for software in Section 10.10 of the Publication Manual (American Psychological Association, 2020, Chapter 10). Although here we focus on ChatGPT, because these guidelines are based on the software template, they can be adapted to note the use of other large language models (e.g., Bard), algorithms, and similar software.

The reference and in-text citations for ChatGPT are formatted as follows:

• Parenthetical citation: (OpenAI, 2023)
• Narrative citation: OpenAI (2023)

Let’s break that reference down and look at the four elements (author, date, title, and source):

Author: The author of the model is OpenAI.

Date: The date is the year of the version you used. Following the template in Section 10.10, you need to include only the year, not the exact date. The version number provides the specific date information a reader might need.

Title: The name of the model is “ChatGPT,” so that serves as the title and is italicized in your reference, as shown in the template. Although OpenAI labels unique iterations (i.e., ChatGPT-3, ChatGPT-4), they are using “ChatGPT” as the general name of the model, with updates identified with version numbers.

The version number is included after the title in parentheses. The format for the version number in ChatGPT references includes the date because that is how OpenAI is labeling the versions. Different large language models or software might use different version numbering; use the version number in the format the author or publisher provides, which may be a numbering system (e.g., Version 2.0) or other methods.

Bracketed text is used in references for additional descriptions when they are needed to help a reader understand what’s being cited. References for a number of common sources, such as journal articles and books, do not include bracketed descriptions, but things outside of the typical peer-reviewed system often do. In the case of a reference for ChatGPT, provide the descriptor “Large language model” in square brackets. OpenAI describes ChatGPT-4 as a “large multimodal model,” so that description may be provided instead if you are using ChatGPT-4. Later versions and software or models from other companies may need different descriptions, based on how the publishers describe the model. The goal of the bracketed text is to briefly describe the kind of model to your reader.

Source: When the publisher name and the author name are the same, do not repeat the publisher name in the source element of the reference, and move directly to the URL. This is the case for ChatGPT. The URL for ChatGPT is https://chat.openai.com/chat . For other models or products for which you may create a reference, use the URL that links as directly as possible to the source (i.e., the page where you can access the model, not the publisher’s homepage).

Other questions about citing ChatGPT

You may have noticed the confidence with which ChatGPT described the ideas of brain lateralization and how the brain operates, without citing any sources. I asked for a list of sources to support those claims and ChatGPT provided five references—four of which I was able to find online. The fifth does not seem to be a real article; the digital object identifier given for that reference belongs to a different article, and I was not able to find any article with the authors, date, title, and source details that ChatGPT provided. Authors using ChatGPT or similar AI tools for research should consider making this scrutiny of the primary sources a standard process. If the sources are real, accurate, and relevant, it may be better to read those original sources to learn from that research and paraphrase or quote from those articles, as applicable, than to use the model’s interpretation of them.

We’ve also received a number of other questions about ChatGPT. Should students be allowed to use it? What guidelines should instructors create for students using AI? Does using AI-generated text constitute plagiarism? Should authors who use ChatGPT credit ChatGPT or OpenAI in their byline? What are the copyright implications ?

On these questions, researchers, editors, instructors, and others are actively debating and creating parameters and guidelines. Many of you have sent us feedback, and we encourage you to continue to do so in the comments below. We will also study the policies and procedures being established by instructors, publishers, and academic institutions, with a goal of creating guidelines that reflect the many real-world applications of AI-generated text.

For questions about manuscript byline credit, plagiarism, and related ChatGPT and AI topics, the APA Style team is seeking the recommendations of APA Journals editors. APA Style guidelines based on those recommendations will be posted on this blog and on the APA Style site later this year.

Update: APA Journals has published policies on the use of generative AI in scholarly materials .

We, the APA Style team humans, appreciate your patience as we navigate these unique challenges and new ways of thinking about how authors, researchers, and students learn, write, and work with new technologies.

American Psychological Association. (2020). Publication manual of the American Psychological Association (7th ed.). https://doi.org/10.1037/0000165-000

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Open Access

Peer-reviewed

Research Article

On the possible use of hydraulic force to assist with building the step pyramid of saqqara

Roles Conceptualization, Data curation, Investigation, Methodology, Project administration, Resources, Supervision, Validation, Visualization, Writing – original draft, Writing – review & editing

* E-mail: [email protected] , [email protected]

Affiliation Paleotechnic., Paris, France

Roles Conceptualization, Data curation, Formal analysis, Investigation, Methodology, Project administration, Software, Validation, Visualization, Writing – original draft, Writing – review & editing

Affiliation Univ. Grenoble Alpes, INRAE, CNRS, IRD, Grenoble INP, IGE, Grenoble, France

Roles Conceptualization, Investigation, Methodology, Software, Visualization

Affiliation Sicame Group, Arnac-Pompadour, France

Roles Conceptualization, Investigation, Methodology, Validation, Writing – review & editing

Affiliation CEDETE—Centre d’études sur le Développement des Territoires et l’Environnement, Université d’Orléans, Orléans, France

Roles Conceptualization, Investigation, Methodology, Validation

Roles Conceptualization, Investigation, Methodology, Visualization

Affiliation AtoutsCarto, Bourges, France

Roles Methodology, Project administration

Affiliation Verilux International, Brienon-sur-Armançon, France

Roles Conceptualization, Investigation, Validation, Writing – review & editing

Roles Conceptualization, Data curation, Formal analysis, Investigation, Methodology, Software, Validation

Roles Conceptualization, Investigation, Methodology, Supervision, Validation

• Xavier Landreau, 
• Guillaume Piton, 
• Guillaume Morin, 
• Pascal Bartout, 
• Laurent Touchart, 
• Christophe Giraud, 
• Jean-Claude Barre, 
• Cyrielle Guerin, 
• Alexis Alibert, 
• Charly Lallemand

• Published: August 5, 2024
• https://doi.org/10.1371/journal.pone.0306690
• Reader Comments

The Step Pyramid of Djoser in Saqqara, Egypt, is considered the oldest of the seven monumental pyramids built about 4,500 years ago. From transdisciplinary analysis, it was discovered that a hydraulic lift may have been used to build the pyramid. Based on our mapping of the nearby watersheds, we show that one of the unexplained massive Saqqara structures, the Gisr el-Mudir enclosure, has the features of a check dam with the intent to trap sediment and water. The topography beyond the dam suggests a possible ephemeral lake west of the Djoser complex and water flow inside the ’Dry Moat’ surrounding it. In the southern section of the moat, we show that the monumental linear rock-cut structure consisting of successive, deep compartments combines the technical requirements of a water treatment facility: a settling basin, a retention basin, and a purification system. Together, the Gisr el-Mudir and the Dry Moat’s inner south section work as a unified hydraulic system that improves water quality and regulates flow for practical purposes and human needs. Finally, we identified that the Step Pyramid’s internal architecture is consistent with a hydraulic elevation mechanism never reported before. The ancient architects may have raised the stones from the pyramid centre in a volcano fashion using the sediment-free water from the Dry Moat’s south section. Ancient Egyptians are famous for their pioneering and mastery of hydraulics through canals for irrigation purposes and barges to transport huge stones. This work opens a new line of research: the use of hydraulic force to erect the massive structures built by Pharaohs.

Citation: Landreau X, Piton G, Morin G, Bartout P, Touchart L, Giraud C, et al. (2024) On the possible use of hydraulic force to assist with building the step pyramid of saqqara. PLoS ONE 19(8): e0306690. https://doi.org/10.1371/journal.pone.0306690

Editor: Joe Uziel, Israel Antiquities Authority, ISRAEL

Received: December 7, 2023; Accepted: June 22, 2024; Published: August 5, 2024

Copyright: © 2024 Landreau et al. This is an open access article distributed under the terms of the Creative Commons Attribution License , which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited.

Data Availability: All relevant data are within the manuscript and its Supporting Information files. The computer codes are available upon request.

Funding: The Sicame Group, The Atoutscarto Company and The Verilux Company provided support in the form of salaries for GM, CG and J-CM, respectively. The specific roles of these authors are articulated in the ‘author contributions’ section.

Competing interests: The authors have read the journal’s policy and have the following competing interests: GM, CG and J-CM are paid employees of The Sicame Group, The Atoutscarto Company and The Verilux Company, respectively. There are no patents, products in development or marketed products associated with this research to declare. This does not alter our adherence to PLOS ONE policies on sharing data and materials.

1 Introduction

The funerary complex of King Djoser, built at Saqqara in Egypt around 2680 B.C., is considered a significant milestone in monumental architecture. It is the first to disclose two crucial innovations: a pyramid shape for the pharaoh’s grave and the exclusive use of fully dressed stones for masonry. In practice, it is also revolutionary in the ability to extract and raise stones by millions before stacking them with precision [ 1 ]. Djoser’s complex visible achievements are such that its architect, Vizier, and Great Priest of Ra, Imhotep, was deified by the New Kingdom.

The knowledge and innovations implemented in the Djoser mortuary complex profoundly influenced future developments and were widely perfected throughout the Old Kingdom’s III rd and IV th Dynasties, i . e . circa 2680–2460 B.C. These developments resulted in a substantial increase in the megaliths’ size [ 2 ], leading to pyramids of spectacular dimensions, such as those of the Meidum, Dahshur, and Giza plateaus. In less than 150 years, the average weight of the typical large stones was thus multiplied by ≈8 and went from ≈300 kg for Djoser’s pyramid to more than 2.5 tons for Chephren’s pyramid’s structural blocks [ 3 ]. For the largest lintels, the weight increases by two orders of magnitude, with several blocks of ≈50 – 100 tons for Cheops’ pyramid. On this short timeframe on the scale of human history, Egyptians carried and raised some 25 million tons of stones [ 4 ] to build seven monumental pyramids. Assuming an annual work schedule of 300 days at a rate of 10 hours/day, meaning 450,000 hours spread over less than 150 years, this requires a technical and logistical organization capable, on average, of cutting, moving, and adjusting about 50 tons of stone blocks per hour. Even if one admits that not every pyramid’s blocks are fitted with millimeter precision, the amount of work accomplished is truly remarkable. Interestingly, the pyramids later built in Egypt tended to be smaller with time and never reached the volume of the Old Kingdom’s monumental structures again.

As authentic sources from the working sphere of pyramid architects are currently lacking, no generally accepted wholistic model for pyramid construction exists yet. Although many detailed publications dedicated to pyramid-building procedures have given tangible elements [ 5 , 6 ], they usually explain more recent, better documented, but also smaller pyramids [ 7 ]. These techniques could include ramps, cranes, winches, toggle lifts, hoists, pivots, or a combination of them [ 8 – 10 ]. Studies of the pyramid’s construction sites also revealed a high level of expertise in managing the hydraulic and hydrological environment, such as utilizing waterways to deliver materials, constructing ports and locks, or setting up irrigation systems [ 11 , 12 ]. These achievements have led some scholars to refer to ancient Egypt as an ‘early hydraulic civilization [ 11 ].’ However, there is actually very little multidisciplinary analysis combining the rich archaeological findings on pyramids with other disciplines such as hydrology, hydraulics, geotechnics, paleoclimatology, or civil engineering [ 9 ]. Therefore, the topic of water force in the context of pyramid construction remains insufficiently addressed in the academic literature.

Moreover, a second question accentuates the enigma: the Pharaohs who built these pyramids are missing. Until now, neither written record nor physical evidence reports the discovery of one of the III rd and IV th Dynasties’ Pharaohs. Old Kingdom’s ‘big’ pyramids’ rooms were allegedly plundered [ 13 – 15 ] during the millennia that followed the construction of the pyramids, leaving little evidence behind [ 12 ]. The III rd and IV th Dynasties’ rooms present little or no funerary attributes, such as those observed in other high-dignitary figures’ tombs contemporary to the period [ 16 , 17 ], with no King’s remains found inside. In addition, the walls of the pyramids’ chambers do not exhibit any hieroglyphs, paintings, engravings, or drawings, which would allow us to qualify them as funerary with certainty. Despite this lack of evidence, many authors [ 18 ] still support that these rooms can be attributed to Pharaohs’ burials mainly based on royal cartouches or Kings’ names found elsewhere within the pyramid or nearby temples.

Over the recent years, Dormion & Verd’Hurt [ 19 , 20 ], Hamilton [ 21 – 24 ] or others [ 1 , 25 ] were among the first to consider possible non-funerary functions of pyramids’ internal layouts by pointing out some architectural inconsistencies and highlighting the high degree of complexity of several structures, irrelevant for a burial chamber. Their analysis provided both chambers and gallery systems with a technical dimension, emphasizing a level of engineering on the part of the ancient builders that is quite remarkable and sometimes challenges any apparent explanation. This technical level is at once reflected in the geometry of the rooms and ducts, as well as in the stonework, which includes materials selection, extraction, cutting, and then assembling with exceptional accuracy [ 20 ]. This precision involved several advanced sub-techniques, such as inter-block mortar joint realization [ 26 – 29 ] or stone polishing with flatness and roughness values that reach levels of contemporary know-how. Apart from surfaces and interfaces, the builders’ technical ability is also evident throughout sophisticated mechanical systems set up in the pyramids [ 30 ], as swivel stone flaps’ designs in the Meidum and Bent pyramids [ 21 , 24 ] or tilted portcullises found in the Bent pyramid, as well as at Giza [ 20 ]. These elements suggest that, rather than an aesthetic rendering or a funerary use for these layouts, ancient Egyptians intended technical functions for some walls, tunnels, corridors, shafts, and chambers where more straightforward existing techniques were insufficient.

In summary, the analysis of the pyramids’ construction and the investigation of their internal layouts seem to require more research to provide a wholistic explanation to their purpose. This study aims to provide a fresh look at these topics by applying an alternative, multi-disciplinary, wholistic approach. It revisits the Old Kingdom’s pyramids’ construction methodology and seeks to explain the significance of internal layouts during construction. Based on current archaeological knowledge, we demonstrate that the Saqqara’s topography and the layout of several structures are consistent with the hypothesis that a hydraulic system was used to build the pyramid. The paper is divided into three main sections that analyze the current scientific literature to address the following inquiries: (i) Was the plateau of Saqqara supplied with water? (ii) If so, how was it possibly stored and treated? and (iii) How was it used to build the pyramid? A discussion and some concluding remarks and perspectives follow.

2 The saqqara’s hydrologic network

Our study began with the postulate that the larger Cheops’ and Chephren’s pyramids of Giza plateau were the outcomes of technical progress from previous pyramids, with the Step Pyramid as a technological precursor. While many literature studies focus on the construction of Cheops’ pyramid, we found it more relevant to examine the building techniques used for the Step Pyramid first. This would provide insight into the processes used by ancient builders that were later refined in subsequent pyramids. As a first approach, we analyzed potential reasons for the specific building of King Djoser’s Complex on the Saqqara Plateau.

2.1 Water resource from the desert wadis

Although detailed measurements of the Nile flood levels have been reported since the V th Dynasty (2480 B.C.) [ 31 – 33 ], there is very little information available about the hydrology of its desert tributaries, known as ’wadis’, in ancient Egypt. Sedimentological evidence of heavy rainfalls and flash floods exists [ 31 , 34 ] but little is known beyond that.

Determining the rainfall regime that the Saqqara region experienced about 4,700 years B.P. is challenging and uncertain. Past studies demonstrated that, from about 11,000 to 5,000 B.P, during the so-called ‘Green Sahara’ period, the whole Sahara was much wetter than today, and the landscape was savannah rather than desert [ 35 , 36 ]. Around 4500–4800 years B.P. too, the Eastern Mediterranean region was wetter than it is now, despite drying up later [ 37 – 39 ]. A range of annual precipitation value of 50–150 mm/year is assumed in the following calculation to perform crude computations of water resource. It covers the range between the >150 mm/year suggested by Kuper & Kropelin [ 40 ] for the end of the Green Sahara period, before the subsequent drier period, during which rainfall decreased to <50 mm/year. The range of variability, i . e . 50 to 150 mm/yr is also consistent with the typical inter-annual rainfall variability observed in the region [ 38 ].

Then, current hydrological monitoring on Egyptian wadis located further to the north and experiencing comparable annual rainfall ( i . e ., 100–200 mm/yr) showed that only 1–3% of this mean annual precipitation was measured as runoff, i.e., surface flows [ 41 ]. This average range is hereafter used for conservative, first-order estimations of available water volume, referred hereafter to as the ‘water resource’. Note that the infrequent, most intense events can reach 50 mm of rainfall and trigger devastating flash floods where the runoff coefficients have been measured up to 30%, i . e ., one order of magnitude higher than the mean annual [ 41 – 43 ]. Note that these water resource and flash flood hydrology estimates neglect that the soils were probably richer in clay and silt just after the Green Sahara period, with several millennia of a wetter climate and savannah landscape [ 35 , 36 ], which would increase the runoff coefficient and available surface water resource in the wadis.

2.2 The Saqqara site: a plateau with a water supply

The Saqqara necropolis is located on a limestone plateau on the west bank of the Nile River, about 180 km from the Mediterranean Sea ( Fig 1 ). The entire site lies in the desert, less than two kilometers from the plateau’s edge (elevation 40–55 m ASL— Above Sea Level ), which overlooks the Nile floodplain (height ≈ 20 m ASL). Further to the west, the desert rises gently for about 20 km (hills’ top elevation ≈ 200–300 m ASL).

• PPT PowerPoint slide
• PNG larger image
• TIFF original image

(Satellite image: Airbus Pléiades, 2021-07-02, reprinted from Airbus D&S SAS library under a CC BY license, with permission from Michael Chemouny, original copyright 2021).

https://doi.org/10.1371/journal.pone.0306690.g001

The reasons behind the construction of the Djoser complex at Saqqara remain unclear. The contribution of economic, socio-political, and religious factors was previously highlighted [ 44 , 45 ], but environmental factors were also possibly influential. In 2020, Wong provided evidence that the climate, geology, and hydrology would have influenced building choices and may have contributed to, or perhaps accelerated, the emergence of stone architecture on the Saqqara plateau [ 37 ].

From a geological standpoint, the layered structure of the limestone at Saqqara was indeed stressed as a favorable factor for excavating large amounts of construction stones [ 46 , 47 ]. These layers, which consist of 30–60 cm thick sand-rich calcareous beds alternated with calcareous clay and marl layers, made it easy to extract the limestone blocks from their parent beds by vertical cuttings, the original thickness being reflected in the building stones’ thickness of Djoser’s complex.

From a hydrological standpoint, the Abusir wadi is considered a second environmental factor that strongly influenced the Early Dynastic development of the Saqqara necropolis at least [ 45 , 48 – 50 ]. The Abusir wadi is the ephemeral stream draining the hills west of Saqqara ( Fig 1 ) . Before this study, academic research mainly focused on the downstream part of the wadi [ 45 , 48 – 50 ], namely the Abusir Lake [ 51 ] located north of Saqqara Plateau. However, the upstream portion has remained undocumented.

In order to analyze the relationships between the Abusir wadi and the Step Pyramid’s construction project, the drainage networks west of the Saqqara area were mapped for the first time to the best of our knowledge, using various satellite imagery ( Fig 1 ) and Digital Elevation Models (see S1 Fig in S2 File ).

A paleo-drainage system can be identified upstream of the Gisr el-Mudir structure as the origin of the Abusir wadi ( Fig 1 , pink line). The boundaries of this runoff system form a catchment area never reported so far, although easily recognizable from the geomorphological imprints of surface paleochannels in the desert and on historical maps [ 52 ]. Although it currently has a 15 km 2 surface area, we cannot rule out the possibility that the drainage divides shifted and changed due to land alterations and aeolian sand deposits over the past 4,500 years.

The current catchment summit is about 110 m ASL, giving the Abusir wadi a 1% average slope over its slightly more than 6 km length. In the field of hydrology, a 1% gradient is described as ‘rather steep’. With such steep slopes, transportation of sand and gravel is expected during flashfloods, which can cause severe downstream damage (scouring or burying of structures, filling of excavations and ponding areas). In comparison, irrigation channels are rather at least ten times less steep (about 0.1%), and the Nile slope is less than 0.01% (less than 200m of elevation gain between Aswan and Cairo).

2.3 The Wadi Taflah: A possible complementary water supply

Reported since the early 1800s, a former tributary to the Nile called the Bahr Bela Ma [ 53 , 54 ] or ‘ Wadi Taflah’ flowed parallel to the Abusir wadi catchment, less than two kilometers south of the Saqqara plateau. From satellite imagery, we identified that the Wadi Taflah arises from a drainage area of almost 400 km 2 and consists of three main branches ( Fig 2 , numbered black dots) still visible from the desert’s geomorphological marks. This network is also visible on the radar imagery provided by Paillou [ 55 ] that can penetrate multiple meters of sand ( S2 Fig in S2 File ). The similarity of the optical and radar drainage patterns confirms the existence and old age of this hydrological network.

https://doi.org/10.1371/journal.pone.0306690.g002

Although no canal was detected from the satellite data, the close proximity of Abusir wadi with the Wadi Taflah ( Fig 2 ) is intriguing and raises the question about a potential ancient, artificial connection between them. According to the 18 th -century maps published by Savary [ 54 ], the Wadi Taflah was ‘closed by an ancient King of Egypt.’ Such a testimony, although imprecise, could suggest the construction of a water diversion by a former ruler. A geophysical investigation could help to find such a structure if existing. The drainage area of Wadi Taflah covers nearly 400 km 2 at an elevation >58 m ASL. This elevation is high enough to allow the diversion of the drainage area toward the Abusir wadi. This would result in an increase in the drained area and associated availability of water resources by a factor of >25 times. Based on the hydrological conditions described in section 2.1, the estimated water resource from Abusir wadi and Wadi Taflah is crudely between 7,500 to 68,000 m 3 /year and 200,000 to 1,800,000 m 3 /year, respectively.

2.4 The Abusir wadi: A structural element in the early dynastic Saqqara’s development

According to the Saqqara topography ( Fig 3 ), the Abusir wadi flowed through the Gisr el-Mudir enclosure before heading north towards the Nile floodplain, where it used to feed an oxbow lake, the Abusir Lake [ 51 ]. With such a localization, the Gisr el-Mudir walls literally dam the Abusir wadi valley’s entire width. The sparse vegetation only growing in the valley bottom upstream of Gisr el-Mudir and not elsewhere in the area evidences this damming and interception of surface and subsurface flows ( Fig 4A , green line). This slight moist area is dominated by plants commonly found in desert margins and wadis, such as Panicum thurgidum and Alhagi graecorum [ 56 ], and is typical of hypodermal flows.

Contour lines extracted from the 1:5,000 topographical map [ 52 ] “Le Caire, sheet H22”.

https://doi.org/10.1371/journal.pone.0306690.g003

a. The Gisr el-Mudir check dam (Satellite image: Airbus Pléiades, 2021-07-02, reprinted from Airbus D&S SAS library under a CC BY license, with permission from Michael Chemouny, original copyright 2021); b.: Digital Elevation Model generated from the 1:5,000 topographical map “Le Caire, sheet H22”.

https://doi.org/10.1371/journal.pone.0306690.g004

Downstream of the Gisr el-Mudir, the Abusir wadi joins the Saqqara Plateau. Its boundaries are defined to the south by an outcropping limestone ridge and to the east by the Sekhemkhet and Djoser’s enclosures ( Fig 3 ).

The landform of this area seems inconsistent with a pure fluvial formation. Instead, the very flat topography on about 2–2.5 km 2 , according to the Saqqara Geophysics Survey Project (SGSP) [ 57 – 60 ] and possibly allowed some ephemeral ponding water which may have resulted in an episodic upper Abusir lake after the most intense rainfalls. However, due to the several-meter deep wind-blown and alluvial sand cover accumulated over the past millennia [ 57 ], the riverbed altitudes during Djoser’s reign are challenging to establish without further investigations, and only broad patterns can be determined from the local topography [ 52 ].

As with many other small wadis, the Early Dynastic hydrology of the Abusir wadi remains largely unknown. According to fluvial sediment analysis in the Abusir Lake area, the Abusir wadi was probably a perennial stream during the Old Kingdom period [ 51 ]. Although the climate is hot and arid nowadays, several studies support a more humid environment during the Old Kingdom [ 34 ] . Multiple strands of evidence indeed suggest that Egypt experienced considerable rainfalls around the reign of Djoser, resulting in frequent flooding and heavy runoffs on the Saqqara Plateau. This climatic feature is supported by sedimentary deposits resulting from flowing water of ‘considerable kinetic force’ contemporary to Djoser’s reign [ 61 , 62 ] . According to Trzciński et al.[ 34 ], the strongly cemented structure L3 found in the Great Trench surrounding the Djoser Complex was due to cyclical watering while the high content of Fe3+ indicates that the region experienced intensive weathering in a warm and humid environment. In 2020, Wong concluded that the ‘ intriguing possibility that the Great Trench that surrounds the Djoser complex may have been filled with water ’ during Djoser’s reign [ 37 ]. If so, this might explain why tombs were built on the northern part of the Saqqara plateau which has a higher altitude [ 45 ] and nothing was constructed inside the Trench until the reign of Userkaf and Unas (V th Dynasty).

3. The saqqara’s water management system

3.1 the gisr el-mudir check dam.

Reported at least since the 18 th century [ 63 ] and extensively described within a decade of a geophysical survey by Mathieson et al ., see also [ 45 ] for a summary, the Gisr el-Mudir is a rectangular enclosure located a few hundred meters west of the Djoser’s complex ( Fig 3 , Fig 4A & 4B ). This monumental structure has a footprint of about 360 m x 620 m, i . e ., larger than the Djoser complex (545 m x 277 m). The walls have an estimated volume of >100,000 m 3 (SGSP, 1992–1993 report), meaning about one-third of the Step Pyramid’s volume. Field inspection and geophysical results from the SGSP [ 57 ] found no construction inside except for a couple of more recent, small graves, thus confirming that the enclosure is mainly empty. Moreover, several elements in the building suggest that this structure predated the Step Pyramid’s complex and was tentatively dated to the late II nd or early III rd Dynasty [ 57 , 64 ], which might turn it into the oldest substantial stone structure in Egypt discovered so far.

Before this study, several conflicting theories about the Gisr el-Mudir’s purpose were put forward [ 59 ]: e . g ., an unfinished pyramid complex (but the lack of a central structure made it improbable to be a funerary monument), a guarded fortress [ 65 ] protecting the Saqqara necropolis from nomadic Bedouin incursions, an embankment to raise a monument to a higher level [ 66 ], a celebration arena [ 64 , 67 ], or even a cattle enclosure. However, given the low level of exploratory work afforded to the structure, no generally accepted explanation exists yet, and its purpose has remained more conjectural than substantiated.

In light of the upstream watershed and its transversal position across the Abusir River, the Gisr el-Mudir’s western wall meets the essential criteria of a check dam, i . e ., a dam intending to manage sediment and water fluxes [ 68 , 69 ]. This comparison is particularly striking regarding its cross-section ( Fig 5 ). According to Mathieson et al . [ 59 ], the basic structure of this wall consists of a hollow construction of two rough-hewn limestone masonry skin-walls, ≈3.2 m high, separated by a 15 m interspace filled with three layers of materials extracted from the surrounding desert bedrock [ 70 ] and cunningly arranged. The first layer ( Fig 5 , ‘ A ’ dot) is made of roughly laid local limestone blocks forming a buttress against the inside of the facing blocks. The secondary fill ( B ) comprises coarse sand and medium to large limestone fragments. Then, the third fill ( C ) consists of rough to fine sand and silt, small limestone fragments, and chippings with pebble and flint nodules. Finally, these A, B, and C backfill layers are positioned symmetrically to the median axis of the wall.

Figure adapted from [ 58 ].

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Civil engineering was used during the Old Kingdom to protect settlements from flash floods, such as the Heit el-Ghurab (’Wall of the Crow’) safeguarding the village of the pyramid builders at Giza [ 71 ]. Regarding the Gisr el-Mudir structure, the abovementioned elements strikingly echo the transversal profile and slope protection of another famous Old Kingdom structure: the Sadd el-Kafara dam built on the Wadi al-Garawi , a colossal building found to be contemporary to that of the Gisr el-Mudir [ 72 – 74 ]. Both structures present the technical signature of zoned earthen dams: a wide embankment made of a central impervious core surrounded by transition filters, i . e ., filling material with coarser grain size, preventing erosion, migration, and potential piping of the core fine material due to seepage. The semi-dressed limestone walls stabilized the inner material and protected it against erosion when water flowed against and above the dam. Both dams have much broader profiles than modern dams. This oversizing could be due to the unavailability of contemporary compaction systems or an empirical and conservative structural design. They both have narrower cores of fine material at the bottom of the dam than at their crest, contradicting modern design [ 75 ]. This can be attributed to the construction phasing that would have started by raising the sidewalls buttressed against the coarse and intermediate filling ( B and C fills in Fig 5 ), followed by a phase of filling the wide core with finer, compacted material [ 72 ].

Finally, the eastern wall’s north-south profile ( Fig 6 , line A-B ) presents a parabolic profile relevant to guide the flows to the basin’s center formed by Gisr el-Mudir. This guidance would have prevented the dam failure by outflanking during flooding events when the dam outlet was saturated. We estimate that the accumulated water crossed the dam through an outlet likely located at the valley’s lowest elevation, i . e ., near 48.7 m ASL ( G1 in Figs 4B and Fig 6 ). In summary, the Gisr el-Mudir’s western wall likely acted as a first check dam to the Abusir wadi flows.

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The excavations performed on the eastern wall of the Gisr el-Mudir highlighted a lower structural quality [ 45 ]. Its shape is similar to that of the western wall, with a distinctive parabolic profile ( Fig 6 , line C-D ). Furthermore, it discloses two topographical singularities: first, its overall altitude is a few meters lower than the western wall ( Fig 7A ). Then, in the southern part of the eastern wall, a geophysics anomaly ( G2 in Figs 4B and Fig 6 ) was found to be a series of massive, roughly cut, ‘L’-shaped megaliths [ 45 , 66 ]. Before our study, these megaliths were thought to possibly be the remains of a monumental gateway–due to their similarities with the Djoser’s complex enclosure’s entrance–but their purpose was not specified [ 66 ]. According to our analysis, these megaliths could be the side elements of the water outlets, possibly slit openings [ 76 ] that were likely closed off by wood beams but could be opened to drain the basin. They are consistently found near a trench that is 2.2 m deep [ 45 ], which we believe is possibly the canal that guided outflowing water. In a nutshell, the eastern wall likely acted as a second check dam to the Abusir flows.

a. West-east elevation profile of the Gisr el-Mudir structure. b: Schematic reconstitution of the profile with water flow.

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In addition to the two dams formed by the western and eastern walls, the Gisr el-Mudir enclosure forms a basin ( Fig 4 ). It is closed to the north by another wall made of limestone blocks, though not very tall (likely <2m) because it is built on a natural ridge [ 45 ]. The basin’s southern boundary is also mostly made of a natural ridge. The possible absence of a masonry wall on certain portions on this side was unexplained by previous analyses [ 45 ]. However, it makes perfect sense when considering a reservoir function. Anchoring dams against side slopes is indeed the standard approach to guide flows and prevent outflanking [ 68 ].

In essence, the Gisr el-Mudir enclosure exhibits the defining features of a check dam ( Fig 7B ). The catchment it intercepts is large enough (15 km 2 ), plus eventual water derivation from the Wadi Taflah to produce flash floods transporting significant amounts of gravel, sand, mud, and debris due to its slope during intense rainfalls. The valley upstream of the western wall likely served as a first reservoir where the coarsest gravels tended to deposit. The overflowing water then filled the inner basin of the Gisr el-Mudir, where coarse sand would again deposit. Assuming a storage depth between 1 and 2 meters, the retention capacity of the basin would be approximately 220,000–440,000 m 3 . This volume is in line with the overall water volume of a flash flood that could be produced by the Abusir wadi, which is estimated to be about 75,000–225,000 m 3 , assuming 50 mm of rainfall and a 0.30 runoff coefficient. This key, first structure of the Saqqara hydraulic system would have then delivered clear water downstream in normal time, as well as muddy water with an eventually suspended load of fine sand and clay during rainfall events.

3.2 The deep Trench’s water treatment system

3.2.1 general configuration..

The Djoser’s Complex is surrounded by a vast excavation area, commonly referred to as the ’Dry Moat’ since Swelim spotted its outlines [ 77 , 78 ] ( Fig 3 , blue strip). The Dry Moat is alleged to be a continuous trench cut in the bedrock, up to 50 m wide and ≈3 km long, enclosing an area of ≈600 m by ≈750 m around the Djoser complex [ 77 , 79 , 80 ]. When considering an average depth of 20 m for the four sides of the trench [ 61 ], the total excavated volume is estimated at ≈3.5 Mm 3 , approximately ten times the Step Pyramid‘s volume. Due to the thick cover of sand and debris [ 61 ] accumulated over the past millennia, its precise geometry is incompletely characterized. The moat’s east and south channels are particularly debated [ 61 ].

According to Swelim, the moat’s south channel probably split into two parts, known as the Inner and Outer south channels [ 78 ] ( Fig 8 , blue strips). The Inner south channel is relatively shallow (5–7 m deep), 25–30 m wide, and spans approximately 350 m parallel to the southern wall of Djoser’s complex.

Water from the Abusir Lake can follow two parallel circuits.

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The ‘Deep Trench’ [ 81 ] ( Fig 8 , red rectangles and dotted lines) is built inside the Inner south channel, along its south wall. It is a ≈27 m-deep, 3 m-wide, and hundreds of meter-long rock-cut channel with several ‘compartments’. So far, only about 240 m [ 78 ] of its probable 410 m length have been subject to archaeological excavations in 1937–1938 [ 78 ], 1937–1945 [ 81 ], and 1975 [ 82 ]. Consequently, approximately 170 m remains unexplored, mainly due to the presence of the later Old Kingdom two groups of mastabas built above the trench and at risk of collapse if submitted to underground excavation (transparent grey parts in Fig 8 ).

Generally, two leading theories are highlighted in the literature to explain the purpose of the trench: (i) a quarry for the Djoser’s complex [ 47 , 83 ], or (ii) a spiritual function [ 78 , 84 , 85 ]. However, over recent years, authors have pointed out several specificities in the trench’s architectural layout, which seem irrelevant in a religious or mining context [ 1 , 86 , 87 ]. In particular, on the mining aspect, several authors estimate [ 45 , 86 ] that the form of the track suggests that the extraction of stones was not its sole or even primary function, as it does not match with the ancient Egyptian quarrying methods. Reader also considers that some parts of the trench which are ~27 m deep and covered with a rocky ceiling, are wholly unrealistic for quarrying operations and unlikely to have required the paving found near the trench’s bottom [ 45 ]. This point is further emphasized by the narrow width of the excavated Deep Trench (3m), which is impractical in a mining scenario.

On the spiritual aspect, Kuraszkiewicz suggests that the trench may have developed a ritual significance as a gathering place for the souls of the nobles to serve the dead King [ 86 ]. Monnier [ 1 ] considers that the discovery of several niches in the channel does not fully demonstrate the moat’s religious purpose and considers it secondary. The trench’s ritual significance is also regarded as secondary by Reader [ 45 ], who suggests the ritual aspects developed only after the complex’s construction and do not reflect the original function of the structure.

In 2020, based on the archaeological, geological, and climatic evidence, Wong was the first to introduce the idea that the trench may have had a completely different function, being filled with runoff water following downpours [ 37 ]. If so, this would explain why it was not until the reigns of Unas and Userkaf (V th Dynasty) that new graves occupied the moat. The onset of drier climatic conditions [ 31 , 88 ] around the end of the IV th Dynasty would have created more favorable conditions for new constructions inside the moat. Despite the potential impact of Wong’s assumption, it did not receive much attention in the literature. Nonetheless, the current authors believe that Wong’s conclusions make sense when considering Saqqara’s downstream localization of a watershed.

3.2.2 The deep Trench: A series of rock-cut compartments built in a hydrological corridor.

The Inner south channel and the Deep Trench are built inside the Unas Valley, a hydrological corridor connecting the Abusir wadi plain to the Nile floodplain ( Fig 3 ). Both were thus possibly submitted to (un)controlled flooding [ 34 , 61 ] from the Abusir wadi plain.

The Deep Trench connects at least three massive subterranean compartments [ 45 , 47 ] ( Fig 8 , red parts) meticulously carved out with precisely cut surfaces [ 78 ] ( Fig 9 ) and joined by a tunnel [ 77 ] . A fourth compartment, retroactively named compartment-0 ( Fig 10 ), likely exists [ 45 , 78 ]. On a large scale, the perfect geometric alignment of these compartments is remarkable, as well as their parallelism with the Djoser’s complex and their bottom level similar to those of the southern and northern shafts (≈27 m ASL). These spatial relationships have led some authors to consider that the trench was created as a part of Djoser’s Complex [ 86 , 89 , 90 ]. This assumption has been reinforced by Deslandes’ discoveries of at least two east-west pipes, about 80 m long, connecting the Djoser’s Complex’s subterranean layouts to the Dry Moat’s eastern side [ 91 ].

a: View from the west; b: View from the east. The workers in the background provide a sense of the structure’s immense scale and technicity.

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View of the south face.

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Taken together, the Deep Trench architecture highlights technical proficiency and suggests that the ancient Egyptians intended a technical function rather than a spiritual one. Surprisingly, despite the available clues, the Deep Trench has never undergone detailed engineering studies to analyze its features and identify its purpose. The following sections suggest a hydraulic rationale behind the trench’s internal layout (more details in the Supplement ).

3.2.3 Consistency of the Deep Trench architecture with a water treatment system.

Being largely described in the literature [ 77 , 86 , 92 ] , the compartments’ layouts are presented in detail in the Supplement . Considering its architecture and geographical location, the Dry Moat’s southern section combines the technical requirements of a water treatment system, including sedimentation, retention, and purification. Fig 10 illustrates a comprehensive outline of the installation’s functioning process. Similarly to the Gisr el-Mudir, we found that the Deep Trench compartments likely served to transfer water with low suspended sediment concentration to the downstream compartments by overflowing. The process of using a series of connected tanks to filter water and remove sediment is an ancient technique that has been extensively documented in archaeological and scientific literature [ 93 – 96 ]. This method has been employed for centuries to clean water and has played a significant role in the development of water treatment practices.

Compartment-0 presents the minimum requirements of a settling basin (considerable length and width, low entry slope, position at the entry of Unas hydrological corridor) whose purpose is to facilitate the coarse particles’ settling that would overflow from Gisr el-Mudir during heavy rainfalls. The descending ramp along the south wall identified by Swelim [ 97 ] may have permitted workers to dredge the basin and remove the accumulated sediments along the east wall ( Fig 10 ) . The very probable connection [ 45 , 97 ] between compartment-0 and compartment-1, blocked with rough masonry ( Fig 9B and S3 Fig in S2 File ), is consistent with an outlet overflowing structure. Additionally, when the flow rate in compartment-0 was too high, the tunnel or even the northern portion of the trench may have been used as a spillway bypass to evacuate excess water toward the eastern portion of the Unas wadi valley ( Fig 8 , safety circuit).

Compartment-1 is then consistent with a retention basin with > 3000 m 3 capacity ( Fig 10 , left part). The bottom stone paving with mortar joints probably limited water seepage through the bedrock. Its eastern end could go until the compartment-2 [ 45 ] to form a single compartment, but this point remains debated [ 78 , 97 ] .

Compartment-2’s is, unfortunately, largely unexplored ( Fig 10 ). Its downstream position might indicate a second retention basin or possibly an extension [ 45 ] of the first one. The western part of this compartment (stairs area) perfectly aligns with the base levels of the Djoser’s complex south and north shafts, which points towards a connection between the three [ 86 ] . If so, it would be aligned with the recently discovered pipe of a 200 m-long tunnel linking the bottom of Djoser’s Complex’s southern and northern shafts [ 91 ] (see next section, Fig 11 ). Compartment-2 would then be another, or an extended, retention basin equipped with a water outlet toward the north.

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Compartment-3 ( Fig 10 , right part) is likely a side purification basin for drinking water. Its position as an appendix of the primary water circuit connecting Gisr el-Mudir to Djoser’s complex seems optimal to minimize water circulation and maximize water-settling time, thus increasing its purification. The second and third sections likely allowed further settling of particles and would have served as reservoirs during dry periods. The relatively smooth walls of the whole structure would have hindered the growth of microbes, plants, and other contaminants, thereby helping maintain the water’s cleanliness [ 98 ] . Four surface wells allowed access to the end of the last compartment where the water, kept clear and fresh in the shadow of this subterranean monumental cistern, could be used by the building site workforce [ 99 ] .

The excavated volume of the Deep Trench is greater than 14,000 m 3 [ 77 , 86 , 92 ]. If we assume that most of the water available in the Wadi Taflah was diverted toward Saqqara, this volume could be filled about a dozen to more than one hundred times per year on average. We hypothesize a typical filling level of 45 m ASL in the Deep Trench, but an accurate topographical survey is lacking, and the maximum water level could vary between 40–52 m ASL, according to the surrounding terrain elevation.

In essence, we discovered and highlighted for the first time that the Deep Trench’s position and design are consistent with possible use as a water treatment and storage system capable of cleaning and storing thousands of cubic meters of water.

4. The central hydraulic lift system

4.1 overview of the djoser’s complex’ substructure.

The internal and external architecture of the Djoser’s Complex is thoroughly documented [ 1 , 3 , 100 , 101 ]. The Supplement provides an overview of this structure. Basically, the six-step Step Pyramid itself stands slightly off-center in a rectangular enclosure toward the south and reaches a height of approximately 60 m ( Fig 11 ). The pyramid consists of more than 2.3 million limestone blocks, each weighing, on average [ 2 ], 300 kg, resulting in a total estimated weight of 0.69 million tons and a volume of ≈330,400 m 3 .

The substructure features at least 13 shafts, including two significantly sizeable twin shafts located at the north and south of the complex ( Fig 11 , insets 3&4), and an extensive and well-organized network of galleries descending up to 45 m below ground level [ 102 ]. The north shaft is surrounded by four comb-shaped structures distributed on each side and angled 90° apart. Ground Penetrating Radar (GPR) revealed that the twin shaft layouts are connected [ 91 , 102 ] by a 200 m-long tunnel. Moreover, at least two of the twelve shafts on the pyramid’s east side are connected to the supposed eastern section of the Dry Moat by two 80 m long pipes ( Fig 11 and Supplement ).

From our 3D models, we estimate that ancient architects extracted more than 30,000 tons of limestone from the bedrock to dig the whole underground structure. The total length of the tunnels and subterranean rooms combined is ~6.8 km. However, its layout and purpose remain primarily poorly known and debated [ 6 ].

4.2 The connected twin shafts

The ‘north shaft’ is located under the pyramid of Djoser and is almost aligned with its summit. This shaft is ≈28 m deep and has a square shape with 7 m sides. Its bottom part widens to ≈10 m on the last, deepest 6 m, forming a chamber ( Fig 12 and S6 Fig in S2 File ). On its upper part, the shaft extends above the ground level by at least four meters inside the Step Pyramid in the shape of a hemispherical vault that was recently reinforced ( Fig 11 , inset 5 ). This upper part inside the pyramid body remains unexplored. However, as noticed by Lauer, the shaft sides above ground level display comparable masonry to that of the southern shaft, indicating a possible upward extension [ 3 ]. On the pyramid’s north side, a steep trench with stairs provides access to the shaft.

a.: Granite box of Djoser’s complex north shaft serving as an opening-closing system for the water flow coming from side tunnels -source: [ 113 ]. b.: Limestone piles supporting the box - source: [ 3 ]. c: Diagram of the North Shaft plug system. Redrawn from Lauer sketches [ 108 ].

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The ‘south shaft’ is located ~200 m south of the north shaft, close to the Deep Trench ( Fig 11 , inset 1 ). Its dimensions and internal layout are broadly similar to the north shaft’s. The substructure of the south shaft is entered through a west-facing tunnel-like corridor with a staircase that descends about 30 m before opening up inside the shaft. The staircase then continues east and leads to a network of galleries whose layout imitates the blue chambers below the Step Pyramid. As mentioned earlier, a 200 m-long tunnel connects the lower part of the north and south shafts ( Fig 11 , orange pipe). A series of deep niches located on the south face of the south shaft [ 97 ], the shape of which resembles that of the Deep Trench’s compartments 1 and 2, might indicate a former connection between both. This point remains to be confirmed by additional investigation.

The south shaft is connected to a rectangular shaft to the west via a tunnel-like corridor with a staircase that descends approximately 30 meters before opening up into the south shaft ( Fig 11 , inset 2 ). At the corridor level, a chamber has been cut into the bedrock parallel to the descending passage [ 3 ], towards the south. This chamber features several incompletely excavated niches on its south wall, which could extend under the south wall of the Djoser complex ( Fig 8 ). Pending further excavations, they might indicate a connection with the Deep Trench.

4.3 The twin shafts’ internal layout: two plug-systems topped with maneuvering chambers

The initial purpose of the twin shafts’ granite boxes has been largely debated [ 15 , 100 ]. The presence of two shafts with two similar granite boxes and almost identical substructures was previously explained as a separation of the body and spirit of Djoser [ 100 ]. However, the Pharaoh’s body is actually missing and was not found during modern excavations. Several authors and explorers excluded the possibility of King Djoser’s burial in the north shaft [ 15 , 103 ]. Vyse claimed [ 15 ] that the box’s internal volume was too narrow for moving a coffin without breaking the body. Firth and Quibell considered [ 103 ] the fragments found by Gunn and Lauer [ 104 ] to be of mummies of ‘late date’, possibly belonging to the Middle or New Kingdom. Finally, a thorough radiocarbon dating [ 105 ] on almost all retrieved remains [ 104 , 106 , 107 ] located near the granite box excluded the possibility that ‘ even a single one of them ’[ 105 ] could have belonged to King Djoser. Therefore, although the northern shaft had clear funerary significance much later, its original purpose during the time of Djoser may have been different.

Unfortunately, the main part of the materials that filled the twin shafts was removed during past archaeological excavations, mainly in the 1930s [ 108 ], leaving only the two granite boxes at their bottom ( Fig 11 , insets 3 and 4 ). Therefore, the shafts’ internal layout description is mainly based on the explorers’ archaeological reports and testimonies[ 109 – 111 ].

The two granite boxes are broadly similar in shape and dimensions. Both are made of four layers of granite blocks and present top orifices closed by plugs that weigh several tons ( Fig 12A ). The southern box is slightly smaller, with a plug made of several pieces, making it less versatile. The north box does not lay directly on the underlying bedrock but is perched on several piles of limestone blocks supporting the lower granite beams ( Fig 12B ), tentatively attributed to robbers by Lauer [ 3 ]. The space around the box is connected with four tunnels arranged perpendicularly on each side of the shaft (see Supplement ). This space was filled with several successive layers [ 108 ] ( Fig 12C , grey parts). The lowermost layer consisted of coarse fragments of limestone waste and alabaster, making it permeable. Meanwhile, the upper layer, going up to the box ceiling’s level, was made of limestone jointed with clay mortar [ 108 ], i . e ., less permeable [ 112 ]. This ceiling was itself covered by a 1.50 m thick layer of alabaster and limestone fragments plus overlying filling ( Fig 12C , blue part), except around the plug hole, which was encircled by a diorite lining, a particularly solid rock ( Fig 12C , green part).

Directly above the granite boxes were ‘maneuvering chambers [ 108 ]’ that enabled the plug to be lifted. The plug closing the north shaft’s box has four vertical side grooves, 15 cm in diameter, intended for lifting ropes ( Fig 12C ) and a horizontal one, possibly for sealing. Below the chamber ceiling and just above the orifice, an unsheathed wooden beam was anchored in the east and west walls ( Fig 12C ). This beam likely supported ropes to lift the plug, similar to those found in the south shaft with friction traces [ 108 ].

Interestingly, the granite stones forming the granite box ceiling were bounded by mortar ( Fig 12A ), creating an impermeable barrier with the shaft’s lower part and leaving the plug’s hole as the only possible connection between the shaft and the inside of the box. Conversely, most joints between the box’s side and bottom stones, connected with the permeable bottom layer, were free from mortar.

These details, thoroughly documented during Lauer’s excavation [ 3 , 108 ] and visible on pictures ( Fig 12A and 12B ), clearly point to technical rather than symbolic application. Taken together, the granite box’s architecture and its removable plug surrounded by limestone clay-bound blocks present the technical signature of a water outlet mechanism.

When opened, such a plug system would have allowed the north shaft to be filled with water from the Deep Trench or, in another scenario, from the Dry Moat’s eastern section. The permeable surrounding filling would have permitted water discharge control from the four side tunnels. Then, the water could only seep through the granite box’s lower joints. This design would have prevented water from rushing through the system at high speed and with pressure shocks.

Considering water coming from the Deep Trench (elevation delta: 10–20 m), the retaining walls and the many layers’ cumulated weight stacked over the granite box acted as a lateral blockage and would have prevented the box ceiling from being lifted due to the underlying water pressure.

4.4 Consistency of the internal architecture of the Djoser’s complex with a hydraulic lift mechanism

After gathering all the elements of this study, we deduce that the northern shaft’s layout is consistent with a hydraulic lift mechanism to transport materials and build the pyramid. Elements at our disposal indicate that the south and north shafts could be filled with water from the Dry Moat. A massive float inside the north shaft could then raise stones, allowing the pyramid’s construction from its center in a ‘volcano’ fashion ( Fig 13 ).

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Although a connection between the Compartment -2 and the Djoser shafts has yet to be identified, it is highly probable that sediment-free water from the Deep Trench was used in this system ( Fig 13 , disk ‘ 1 ’). This water quality would have reduced the risk of fouling and malfunction because it minimizes the presence of sand and clay that feed into the north shaft. This would prevent the deposition and progressive filling in the tunnels and connections, as well as the clogging of the joints between the bottom and side granite blocks of the box. The 200 m-long underground pipe [ 91 ] that connects the north and south shafts is then consistent with the transfer of water from the Deep Trench’s water treatment system to the north shaft, possibly via the south shaft.

Furthermore, there is a proven connection between the tunnels surrounding the north shaft and the Dry Moat through the Deslandes’ pipes [ 91 ] on the eastern side of the complex ( Figs 11 and 13 ). Pending further investigation, we hypothesize that the water inlet was located to the south ( Fig 13 , disk ‘ 1 ’), with the outlet(s) sending water toward the east through two juxtaposed pipes (disk ‘ 2 ’). Several horizontal galleries connected to these two pipes were acacia-cased [ 3 ], a technique commonly used to safeguard the walls in hydraulic works in ancient Egypt. A large stone portcullis [ 108 ] found in one of these galleries may have served as a versatile gate closed during the water filling of the north shaft.

In another scenario, the Deslandes’ juxtaposed pipes ( Fig 13 , disk ‘ 2 ’) could be considered as a water inlet for unfiltered water.

Finally, we hypothesize that a hydraulic lift, a massive float that was possibly made of wood and weighed several tons (see Supplement ), should run slowly inside the shaft to prevent instabilities and friction with the sides. The stones could have been elevated by filling and emptying cycles, allowing the lift to move up and down with stones ( Fig 13 ). These stones could have passed along the northern entrance until the central shaft. Recent discoveries have shown that this gallery was kept open until the very end of the pyramid’s construction, after which it was closed [ 1 , 91 ]. In our scenario, the stones could have been transported directly at ground level, corresponding to the pyramid’s first course, or slightly higher through a ramp penetrating in a (currently sealed) corridor some meters above the ground level. This configuration would have had the particular advantage of minimizing the elevation gain for which the hydraulic lift would be required. The stones could have been transported via the so-called ‘Saite gallery [ 114 ]’ in a final scenario. Although Firth [ 114 ] considers this gallery to postdate the III rd Dynasty, it remains possible that it was recut on the basis of an earlier gallery.

4.5 Modelling the hydraulic lift mechanism

We developed a simple numerical model of the hydraulic lift to study its water consumption and loading capacity (see Supplement ). The model was kept as simple as possible to be easily checked and only intended to give relevant orders of magnitudes.

The hydraulic lift is modelled as a float loaded with stones to build the pyramid and with a vertical extension to raise this material at the necessary level. Based on the initial altitude of the lift, Z m , which cannot be below 17m from ground level (the bottom of the shaft was filled with the box and overlying rocks, see Fig 12C ), and assuming a loading of the material on the lift at the ground level, the maximum height that can be reached in one cycle is <17m. To achieve greater heights, we hypothesize that the lift platform was blocked during the float descent, e . g ., using beams (see Fig 14 ). This modification would have allowed the platform to reach higher altitudes by adding or unfolding an extension. For the top of the pyramid, the float could be conversely used as a counterweight when descending, pulling on ropes that would haul the platform after passing over pulleys above the shaft head. A dual-use method involving hauling during shaft draining and elevating during water filling would have been the optimal management approach.

The lift platform (red line), and extension support (orange line) during the unfolding of the lower element are represented. The associated holes are to be localized in further excavation of the upper part of the shaft.

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The beginning of the pyramid building was most probably performed using ramps prolonging the path from the local quarry, possibly the Dry Moat [ 44 ]. To provide an upper bound of water consumption, we modelled the pyramid building using the hydraulic lift from the first layer at ground level. Our model suggests that this upper bound value is 18 Mm 3 of water required to build the whole pyramid using the float to lift stones only when the shaft is filled (see Supplement ). A few million were required to build the first 20 m and could be saved if ramps were used instead. The total amount of water needed would have been reduced by about one-third if the float had been used as a counterweight, pulling on ropes to haul stones on a platform suspended in the top part of the shaft rather than being located on a wooden frame extension attached to the float. Finally, if both lifting (when filling the shaft) and hauling (when draining the shaft) were used, the water consumption would decrease by two-thirds. If the loading was not performed at ground level but rather through a ramp and gallery above ground level, about one-quarter of the water would be saved if, for instance, using a 5 m-high ramp and 43% for a 10 m-high ramp. Further investigation above the vault and on the pyramid sides could help to identify such an eventual gallery. If, conversely, the loading was performed about 13 m below ground level in the top part of the northern gallery ( S6 Fig in S2 File ), the water consumption would typically increase by two-thirds.

On the other hand, through our research and calculations, we have determined that the Wadi Taflah catchment had the capacity to supply 4–54 Mm 3 over 20–30 years of construction, therefore not enough when assuming only pessimistic values (lower bound for rainfall and runoff coefficient, fast construction and sub-optimal use of the lift just using it when water rose), but sufficient when assuming intermediate values, and eight-times enough water to meet this demand when assuming optimistic values (upper bounds of parameters and dual lifting-hauling functioning). If further research demonstrates that the higher clay and silt content possibly present at that time shortly after the Green Sahara period probably led to increased runoff coefficients by a factor of 2–3 or even more, the resource would be increased by the same factor.

The climatological conditions on the Saqqara plateau during the III rd Dynasty are still not well understood [ 37 ]. As a first assumption, we estimate that the water supply may have been continuous even without an upper Abusir lake’s permanent existence, thanks to the flow from the wadi Abusir and, more significantly, through a probable derivation system from the nearby Wadi Taflah, assuming this large catchment had a more perennial runoff regime. Pedological investigations would be worthwhile in the plateau area and in the talweg of both wadis to look for evidence of more frequent water flow.

As a result, the hydraulic mechanism may have only been usable when sufficient water supply was available, so it may have only been used periodically. Other techniques, such as ramps and levees, were likely used to bring the stones from the quarries and adjust their positions around the lifting mechanism or when it was not in operation.

5. Discussion

A unified hydraulic system.

Based on a transdisciplinary analysis, this study provides for the first time an explanation of the function and building process of several colossal structures found at the Saqqara site. It is unique in that it aligns with the research results previously published in the scientific literature in several research areas: hydrology, geology, geotechnics, geophysics, and archaeology. In summary, the results show that the Gisr el-Mudir enclosure has the feature of a check dam intended to trap sediment and water, while the Deep Trench combines the technical requirements of a water treatment facility to remove sediments and turbidity. Together, these two structures form a unified hydraulic system that enhances water purity and regulates flow for practical uses and vital needs. Among the possible uses, our analysis shows that this sediment-free water could be used to build the pyramid by a hydraulic elevator system.

By its scale and level of engineering, this work is so significant that it seems beyond just building the Step Pyramid. The architects’ geographical choices reflect their foresight in meeting various civil needs, making the Saqqara site suitable for settling down and engaging in sedentary activities, such as agriculture, with access to water resources and shelter from extreme weather conditions. This included ensuring adequate water quality and quantity for both consumption and irrigation purposes and for transportation, navigation, or construction. Additionally, after its construction, the moat may have represented a major defensive asset, particularly if filled with water, ensuring the security of the Saqqara complex [ 115 ].

The hydraulic lift mechanism seems to be revolutionary for building stone structures and finds no parallel in our civilization. This technology showcases excellent energy management and efficient logistics, which may have provided significant construction opportunities while reducing the need for human labor. Furthermore, it raises the question of whether the other Old Kingdom pyramids, besides the Step Pyramid, were constructed using similar, potentially upgraded processes, a point deserving further investigation.

Overall, the hydraulic lift could have been a complementary construction technique to those in the literature for the Old Kingdom [ 8 , 10 ]. Indeed, it is unlikely that a single, exclusive building technique was used by the ancient architects but that a variety of methods were employed in order to adapt to the various constraints or unforeseen circumstances of a civil engineering site, such as a dry spell. Therefore, the beginning of the pyramid building was most probably performed using ramps prolonging the path from the local quarry. According to petrographic studies [ 47 ], the main limestone quarry of the Saqqara site could correspond to the Dry Moat that encircles the Djoser Complex, providing access on the four sides of the pyramid for the extracted blocks and reducing the average length of the ramps.

An advanced technical and technological level

By their technical level and sheer scale, the Saqqara engineering projects are truly impressive. When considering the technical implications of constructing a dam, water treatment facility, and lift, it is clear that such work results from a long-standing technical tradition. Beyond the technical aspects, it reflects modernity through the interactions between various professions and expertise. Even though basic knowledge in the hydraulics field existed during the early Dynastic period, this work seems to exceed the technical accomplishments mentioned in the literature of that time, like the Foggaras or smaller dams. Moreover, the designs of these technologies, such as the Gisr el-Mudir check-dam, indicate that well-considered choices were made in anticipation of their construction. They suggest that the ancient architects had some empirical and theoretical understanding of the phenomena occurring within these structures.

…questioning the historical line

The level of technological advancement displayed in Saqqara also raises questions about its place in history. When these structures were built remains the priority question to answer . Were all the observed technologies developed during the time of Djoser, or were they present even earlier? Without absolute dating of these works, it is essential to approach their attribution and construction period with caution. Because of the significant range of techniques used to build the Gisr el-Mudir, Reader estimates [ 70 ] that the enclosure may have been a long-term project developed and maintained over several subsequent reigns, a point also supported by the current authors. The water treatment facility follows a similar pattern, with the neatly cut stones being covered and filled with rougher later masonry. Finally, the Djoser Step Pyramid also presents a superposition of perfectly cut stones, sometimes arranged without joints with great precision and covered by other rougher and angular stones [ 3 ]. Some of these elements led some authors [ 6 , 100 ] to claim that Djoser’s pyramid had reused a pre-existing structure.

Some remaining questions

The Deep Trench was intentionally sealed off at some point in history, as evidenced by the pipe blockage between Compartment-0 and Compartment-1. The reasons are unknown and speculative, ranging from a desire to construct buildings (such as the Khenut, Nebet, or Kairer mastabas) above the trench to a technical malfunction or shutdown due to a water shortage. This sealing might also have been done for other cultural or religious purposes.

The current topography of the land around the Djoser complex, although uncertain given the natural or anthropogenic changes that have occurred over the last five millennia, does not support the existence of a trench to the east side. Therefore, our observations join those of Welc et al. [ 61 ] and some of the first explorers [ 63 ], reasonably attributing only three sections to the Dry Moat.

6 Materials and methods

• High-resolution commercial satellite images (Airbus PLEIADES, 50 cm resolution) and digital elevation models (DEM) were computed and analyzed to identify Abusir wadi’s palaeohydrological network impact on Djoser’s construction project. The processing sequence to generate DEM was mainly achieved using the Micmac software [ 116 ] developed by the French National Geographic Institute (IGN) and the open-source cross-platform geographic information system QGIS 3 . 24 . 3 . Tisler .
• Geospatial data analysis was performed using the open-source WebGL-based point cloud renderer Potree 1.8.1 and QGIS 3 . 24 . 3 . Tisler .
• The 2D CAD profiles of the Step Pyramid Complex presented throughout this article were produced using Solidworks 2020 SP5 (Dassault Systems) , Sketchup Pro 2021 (Trimble) , Blender (Blender Foundation) , and Unreal Engine 5 (Epic Games) , mainly based on dimensions collected by successive archaeological missions during the last two centuries reported in the literature.
• The Wadi Taflah watershed and the catchment area west of Gisr el-Mudir have been identified and characterized using QGIS 3 . 24 . 3 . This was done with the help of the Geomeletitiki Basin Analysis Toolbox plugin, developed by Lymperis Efstathios for Geomeletitiki Consulting Engineers S . A . based in Greece.
• The modeling of the hydraulic lift mechanism was performed using the open-source programming software RStudio 2022 . 07 . 2 .

7. Concluding remarks and perspectives

This article discloses several discoveries related to the construction of the Djoser complex, never reported before:

• The authors presented evidence suggesting that the Saqqara site and the Step Pyramid complex have been built downstream of a watershed. This watershed, located west of the Gisr el-Mudir enclosure, drains a total area of about 15 km 2 . It is probable that this basin was connected to a larger one with an estimated area of approximately 400 km 2 . This larger basin once formed the Bahr Bela Ma River , also known as Wadi Taflah , a Nile tributary.
• Thorough technical analysis demonstrates that the Gisr el-Mudir enclosure seems to be a massive sediment trap (360 m x 620 m, with a wall thickness of ~15 m, 2 km long) featuring an open check dam. Given its advanced geotechnical design, we estimate that such work results from a technical tradition that largely predates this dam construction. To gain an accurate understanding of the dam’s operating period, the current authors consider it a top priority to conduct geological sampling and analysis both inside and outside the sediment trap. This process would also provide valuable information about the chronological construction sequence of the main structures found on the Saqqara plateau.
• The hydrological and topographical analysis of the dam’s downstream area reveals the potential presence of a dried-up, likely ephemeral lake, which we call Upper Abusir Lake, located west of the Djoser complex. The findings suggest a possible link between this lake and the Unas hydrological corridor, as well as with the ‘Dry Moat’ surrounding the Djoser complex.
• The ‘Dry Moat’ surrounding the Djoser complex is likely to have been filled with water from the Upper Abusir Lake, making it suitable for navigation and material transportation. Our first topographical analysis attributes only three sections to this moat (West, North, and South).
• The Dry Moat’s inner south section is located within the Unas hydrological corridor. The linear rock-cut structure built inside this area, called ‘Deep Trench,’ consisting of successive compartments connected by a rock conduit, combines the technical requirements of a water treatment system: a settling basin, a retention basin, and a purification system.
• Taken as a whole, the Gisr el-Mudir and the Deep Trench form a unified hydraulic system that enhances water purity and regulates flow for practical uses and vital needs.
• We have uncovered a possible explanation for how the pyramids were built involving hydraulic force. The internal architecture of the Step Pyramid is consistent with a hydraulic elevation device never reported before. The current authors hypothesize that the ancient architects could have raised the stones from inside the pyramid, in a volcano fashion. The granite stone boxes at the bottom of the north and south shafts above the Step Pyramid, previously considered as two Djoser’s graves, have the technical signature of an inlet/outlet system for water flow ( Fig 15 ). A simple modeling of the mechanical system was developed to study its water consumption and loading capacity. Considering the estimated water resources of the Wadi Taflah catchment area during the Old Kingdom, the results indicate orders of magnitude consistent with the construction needs for the Step Pyramid.

Graphical conclusion

North Saqqara map showing the relation between the Abusir water course and the Step Pyramid construction process (Inset). The arrows figuring the flow directions are approximate and given for illustrative purposes based on the Franco-Egyptian SFS/IGN survey [ 52 ]. Satellite image: Airbus Pléiades, 2021-07-02, reprinted from Airbus D&S SAS library under a CC BY license, with permission from Michael Chemouny, original copyright 2021.

https://doi.org/10.1371/journal.pone.0306690.g015

Supporting information

https://doi.org/10.1371/journal.pone.0306690.s001

https://doi.org/10.1371/journal.pone.0306690.s002

https://doi.org/10.1371/journal.pone.0306690.s003