case study method of criminology

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Criminology and Criminal Justice Research: Methods

Qualitative research methods.

Unlike quantitative research methods, qualitative approaches are designed to capture life as participants experience it, rather than in categories predetermined by the researcher. These methods typically involve exploratory research questions, inductive reasoning, an orientation to social context and human subjectivity, and the meanings attached by participants to events and to their lives (Schutt). There are a number of distinctive research designs under this paradigm: (1) participant observation, (2) intensive interviewing, (3) focus groups, and (4) case studies and life histories. Each of these will be discussed in turn.

Participant observation. At its most basic level, participant observation involves a variety of strategies in data gathering in which the researcher observes a group by participating, to varying degrees, in the activities of the group (Hagan). Gold discusses four different positions on a continuum of roles that field researchers may play in this regard: (1) complete participant, (2) participant-as-observer, (3) observer-as-participant, and (4) complete observer. Complete participation takes place when the researcher joins in and actually begins to manipulate the direction of group activity. In the participant-as-observer strategy, the researcher usually makes himself known and tries to objectively observe the activities of the group. The observer-as-participant strategy is very much like a one-visit interview, where the interviewees are also short-term participant observers. Typically, these interviews are conducted with individuals who are known to participate in a designated activity. For example, Jacobs interviewed known active drug dealers in order to gain a better understanding of how the crack business actually operates on the streets. Finally, the complete observer strategy relies on sole observation absent participation from the researcher.

Although several issues must be confronted when engaging in this sort of research, two are of vital importance: (1) objectivity, and (2) "going native." The former deals with the researcher's ability to avoid not only overidentification with the study group, but also aversion to it (Hagan). The latter deals with a situation in which the researcher identifies with and becomes a member of the study group, and in the process abandons his or her role as an objective researcher (Hagan). Even with these cautions, a number of important participant observation studies have been undertaken in criminology and criminal justice including Polsky's study of pool hustlers and con artists, as well as Marquart's study of prison life.

Intensive interviewing. Intensive interviewing consists of open-ended, relatively unstructured questioning in which the interviewer seeks in-depth information on the interviewee's feelings, experiences, or perceptions (Schutt, 1999). Unlike the participant observation strategy, intensive interviewing does not require systematic observation of respondents in their natural setting. Typically, interviewing sample members, and identification and interviewing of more sample members, continues until the saturation point is reached, the point when new interviews seems to yield little additional information (Schutt).

A prominent example of the intensive interviewing technique can be found in a series of studies with active residential burglars (Wright and Decker, 1994) and robbers (Wright and Decker, 1997) in St. Louis. These authors have conducted in-depth interviews with active criminals in their natural environment. Some of these interviews have yielded important theoretical insights that perhaps may not have been garnered via traditional survey methods. Other prominent examples may be found in Fagan and Wilkinson's study of gun-related violence in New York and Jacobs's study of crack addicts in St. Louis.

Focus groups. Focus groups are groups of unrelated individuals that are formed by a researcher and then led in group discussions of a topic (Schutt). Typically, the researcher asks specific questions and guides the discussion to ensure that group members address these questions, but the resulting information is qualitative and relatively unstructured (Schutt).

Although generalizations from focus groups to target populations cannot be precise (Maxfield and Babbie), research suggests that focus group information, combined with survey information, can be quite consistent under certain conditions (Ward et al.). One such criminal justice example is provided by Schneider and her colleagues. These authors examined the implementation process and the role of risk/need assessment instruments for decisions about the proper level of supervision among parolees and probationers. Their use of focus group was able to provide a context for a more complete understanding of the survey results from the probation officers interviewed.

Case studies and life histories. In general, case studies and life histories are in-depth, qualitative studies of one or a few illustrative cases (Hagan). Several criminological examples using this approach exist, and a few in particular have produced some of the most important, baseline information in the discipline today. The classic example is Sutherland's The Professional Thief (1937). In this case study, Sutherland's informant, Chic Conwell, described the world of the professional thief. Other examples include Shaw's The Jack-Roller (1930), which tells the autobiographical story of a delinquent's own experiences, influences, attitudes, and values. Finally, Horatio Alger's tale of street life in New York tells the story of Young Dick, a street boy who is involved in a delinquent life but who is also honest and hardworking. Life-history methods generally involve the analysis of diaries, letters, biographies, and autobiographies to obtain a detailed view of either a unique or representative individual (Hagan). A classic example of the life-history method is Teresa and Renner's My Life in the Mafia (1973).

Additional topics

• Criminology and Criminal Justice Research: Methods - Future Of Research Methods In Criminology And Criminal Justice
• Criminology and Criminal Justice Research: Methods - Threats To Validity
• Other Free Encyclopedias

Law Library - American Law and Legal Information Crime and Criminal Law Criminology and Criminal Justice Research: Methods - Quantitative Research Methods, Threats To Validity, Qualitative Research Methods, Future Of Research Methods In Criminology And Criminal Justice

8 Chapter 8: Putting It All Together: Understanding and Assessing Criminal Justice Research

Case study: developing a valid racial profiling benchmark.

Research Study

Testing for Racial Profiling in Traffic Stops from Behind a Veil of Darkness 1

Research Question

Can a valid benchmark for racial profiling be established?

Methodology

As part of an effort to address public concerns about racial profiling, many police departments collect data on the traffic stops that their officers make. For each traffic stop made, the officer documents the race of the driver. The department can then determine what percentage of traffic stops involves white drivers and what percentage involves black drivers. The key problem in testing for racial profiling in traffic stops is identifying a valid benchmark against which to compare the race distribution of the stopped drivers. Departments know the racial breakdown of traffic stops, but what do they compare the numbers to in an effort to assess racial disparities in traffic stops?

A benchmark should approximate the racial composition of the population that could be legitimately stopped by the police, given their patrol deployment patterns and race neutrality in stopping vehicles. 2 Currently, there are two common benchmarks used in racial profiling analysis. First, many studies use residential population data as the benchmark. It is widely recognized that residential population data, obtained through the U.S. Census, provide poor estimates of the population at risk of a traffic stop. In other words, residential population data is not a valid benchmark with which to compare traffic stop data. The residential population includes people who do not drive, and the driving population in many places includes people who are not residents. Second, some police departments have commissioned traffic surveys that then serve as the benchmark to which the agency compares its traffic stop data. Traffic surveys involve hiring trained observers that tally the race distribution of drivers at certain locations within the city. Traffic surveys also have limitations and are costly to carry out. It is estimated that a traffic survey costs $30,000 at a minimum, which few departments can afford. 3

In this study, the researchers propose a new benchmark to test for racial profiling. The approach makes use of what the researchers call the �veil of darkness� hypothesis. This hypothesis asserts that police are less likely to know the race of a motorist before making a stop after dark than they are during daylight. If we assume that racial differences in traffic patterns, driving behavior, and exposure to law enforcement do not vary between daylight and darkness, then we can test for racial profiling by comparing the race distribution of stops made during daylight to the race distribution of stops made after dark. Basically, the racial distribution of traffic stops at night serves as the benchmark that we then compare to the racial distribution of traffic stops during the day. Evidence of racial profiling exists, for example, if black motorists are more likely to be stopped during the day than at night.

The location for this study was Oakland, California. The Oakland Police Department (OPD) had received several complaints by motorists and advocates that OPD officers engaged in racial profiling, discriminating in particular against black drivers. The data provided to substantiate the allegations involved the use of residential population data as the benchmark; 56% of the drivers stopped by the OPD were black, whereas blacks comprised only 35% of the city�s residential population. The OPD entered into a legal settlement agreement with the U.S. Department of Justice requiring that they collect traffic stop data on an ongoing basis and regularly monitor the data to detect racial profiling.

The data analyzed included all reported vehicle stops carried out by OPD officers between June 15 and December 30, 2003, amounting to a total of 7,607 stops. The data included the race of the stopped driver and the time of the stop. The authors defined daylight as extending from sunrise to sunset. The remaining times were considered dark. Of the 7,607 stops in the database, the authors omitted 329 that were made pursuant to a criminal investigation, where the use of race as an identifying factor is explicitly allowed by law. Another 549 stops were lacking race or time information, so they were excluded as well.

Overall, 45% of the drivers stopped were white and 55% were black. When divided by time of day, 51% of the drivers stopped during daylight were white while 49% were black. During dark hours, 35% of the stopped drivers were white while 65% were black. Recall that the racial distribution of traffic stops at night serves as the benchmark that we then compare to the racial distribution of traffic stops during the day. Evidence of racial profiling exists if black motorists are more likely to be stopped during the day than at night. This study found the direct opposite. Black drivers were more likely to be stopped at night (65% of the stops involved black drivers) than during the day (49% of the stops involved black drivers). If anything, the numbers and comparison discussed previously suggest reverse profiling, because it shows that white drivers are disproportionately stopped during daylight when visibility is high.

However, the researchers assumed that racial differences in travel patterns, driving behavior, and exposure to law enforcement do not vary between daylight and darkness, but these assumptions may not be true. The assumption that travel patterns are similar in the day and the night may be inaccurate, because the time of employment is known to vary by race. 4 To deal with this issue, the researchers made use of the natural variation in hours of daylight over the year. In the winter, it is dark by early evening, whereas in the summer it stays light much later. Recall that the data used in this study were from June 15 through December 30, 2003. Limiting the analysis to stops occurring during the intertwilight period (i.e., between roughly 5 and 9 PM), the researchers could test for differences in the racial distribution of traffic stops between night and day, while controlling for racial variation in travel patterns by time of day.

The second analysis done by researchers was of traffic stops that occurred between 5 and 9 PM, which we will refer to as the intertwilight sample. Depending on the date of the stop, some of the stops were made during daylight and some during dark. Using the intertwilight sample, the authors found that 52% of the drivers stopped during daylight hours were black while 57% of the drivers stopped when it was dark were black. Recall that evidence of racial profiling exists if black motorists are more likely to be stopped during the day than at night. Once again, this analysis provides little evidence of racial profiling in the OPD.

Limitations with the Study Procedure

Although the previous results suggest there is no racial profiling in traffic stops in the OPD, those results hinge on the assumptions that racial differences in travel patterns, driving behavior, and exposure to law enforcement do not vary between daylight and darkness. As noted previously, the assumptions may not be true. The researchers were able to control for differences in travel patterns between daylight and darkness by limiting their analysis to only those traffic stops that occurred between 5 PM and 9 PM (i.e., intertwilight sample). However, the researchers were unable to control for any racial differences in driving behavior and exposure to law enforcement between daylight and darkness. If the assumptions are not true, then the results can be questioned.

Despite the terms of the court settlement that require data collection on every traffic stop conducted by the OPD, there is evidence of a substantial non-reporting problem in the data. An audit of the traffic stop reports led the OPD�s Independent Monitoring Team to estimate that as many as 70% of all motor vehicle stops were not reported in the early phases of this study. Court-ordered oversight and increased officer sanctions for noncompliance raised the number of completed stop forms, especially in October, November, and December. Therefore, the data are not a reflection of all traffic stops but just those that were documented by the officer who made the stop. The extent to which there were racial disparities in reporting (i.e., officers were more likely to not provide documentation on stops of black drivers), then the results can be questioned.

FIGURE 8.1 | Jurisdictions Currently Collecting Traffic Stop Data�2012

In order to validate the proposed benchmark, replication is required. No one study can by itself establish a sufficient base of knowledge to validate this benchmark. As of the middle of 2012, only four studies utilizing this methodology have been done, so we have a long way to go in validating the veil of darkness as a benchmark in racial profiling research. 5

Impact on Criminal Justice

Police agencies throughout the country collect information on the race of drivers stopped by police (see Figure 8.1). As of 2012, 25 states had enacted legislation requiring racial profiling data collection by law enforcement agencies in the state. 6 Another 21 states and the District of Columbia have some police agencies that voluntarily collect data on traffic stops for racial profiling analysis. Only the states of Hawaii, Mississippi, North Dakota, and Vermont do not have any known police agencies that collect traffic stop information for racial profiling assessment purposes. 7

There is plenty of data collection on racial profiling happening throughout the country. This data is then analyzed by the police agency or researchers to determine if racial profiling is occurring within the agency. As is clear from the preceding research article, the problem is there is no valid benchmark for racial profiling assessments. Without a valid benchmark, the traffic stop data cannot be used to make a determination if a police agency is engaging in racial profiling.

The veil of darkness method described in this article might be the right approach. There is still plenty of work that needs to be done to demonstrate that the veil of darkness method is a valid benchmark for racial profiling analysis, but this approach is currently the most useful, cost-effective benchmark yet devised. 8

In This Chapter You Will Learn

The steps in the research process

The structure of research articles and reports

What questions to ask and answer about each section of a research article

About external indicators of research quality

How to assess the internal indicators of research quality

How to critique a research article

Introduction

We hope your adventure through research methods has been an enjoyable one. It is now time to put the material you have learned into practice. In this chapter, we will revisit the steps in the research process covered in Chapter 1. Since the past several chapters have focused on specific research tools, it is important to once again see the big picture of research methods, so we will review the steps in the research process once again. After this, we will discuss the structure of research articles and reports so you will be prepared to read research articles. Understanding the structure of these documents will greatly assist you as you move forward as an educated consumer of research. Along with an overview of the structure of research articles and reports, a set of questions that you should ask as you read each section of a research article will be presented. The questions will serve as a helpful guide as you move forward in evaluating research documents and putting what you have learned in this book and in your class into practice.

The next two sections of this chapter will discuss how to determine the quality of a research article. In other words, how do you know if a research article is �good� and how do you go about assessing the specific details provided in research articles? This section is the culmination of your efforts throughout this semester. Now that you have the knowledge necessary to be an educated consumer of research, this section will provide you the specific tools necessary to know what questions to ask and what documentation to look for as you review and assess research articles. The sections are divided into two categories: external indictors of quality research and internal indicators of quality research. Finally, the last section of this chapter will provide an example of a research article critique. Using experimental design as the template, we will ask and answer a set of questions regarding the Minneapolis Domestic Violence Experiment (also covered in Chapter 5). The questions and answers will allow you to make an educated decision regarding the quality of the research. This will serve as a practical example of what you can do in the future as you put your knowledge of research methods into practice in both your academic and professional careers and your personal life.

The Research Process

Although this section was previously covered in Chapter 1, it is important to, once again, review the steps in the research process. Over the past several chapters, we have reviewed several specific research tools, designs, and methods. As you studied the specifics of research methods in each separate chapter, you may have lost focus of the �big picture� and how these different pieces fit together to form a comprehensive understanding of research methods. At the beginning of this chapter, it is important once again to look at the �big picture� to see how all these different tools, designs, and methods come together in the research process. When you read this information the first time in Chapter 1, you were in your first week of class and still may have been quite anxious about understanding this material. Now that you have almost completed the course, the steps should be easy to understand. What was once possibly a foggy understanding of the steps in the research process in Chapter 1 should now be crystal clear.

One of the nice things about studying research methods is it is about learning a process. Research methods can be seen as a sequential process with the first step being followed by the second step, and so on. There are certainly times when the order of the steps may be modified, but researchers typically follow the same process for each research study they complete regardless of the research topic. Very simply, a research problem or question is identified, and a methodology is selected, developed, and implemented to answer the research question. This sequential process is one of the advantages of understanding research methods, because once you understand the process, you can apply that process to any research question that interests you. In addition, research methods are the same across disciplines. So, sampling is the same in business as it is in health education as it is in criminal justice. Certainly the use of a particular method will be more common in one discipline in comparison to another, but the protocol for implementing the method to complete the research study is the same. For example, field research (discussed in Chapter 6) is used much more frequently in anthropology than in criminal justice. However, the research protocol to implement field research is the same whether you are studying an indigenous Indian tribe in South America in anthropology or a group of heroin users in St. Louis in criminal justice.

Some authors have presented the research process as a wheel or circle, with no specific beginning or end. Typically, the research process begins with the selection of a research problem and the development of research questions or hypotheses (discussed in Chapter 2). It is common for the results of previous research to generate new research questions and hypotheses for the researcher. This suggests that research is cyclical, a vibrant and continuous process. When a research study answers one question, the result is often the generation of additional questions, which plunges the researcher right back into the research process to complete additional research to answer these new questions.

In this section, a brief overview of the research process will be presented. Although you will probably not be expected to conduct a research study on your own, it is important for an educated consumer of research to understand the steps in the research process. The steps are presented in chronological order and appear neatly presented. In practice, the researcher can go back and forth between the steps in the research process.

Step 1: Select a Topic and Conduct a Literature Review

The first step in the research process is typically the identification of a problem or topic that the researcher is interested in studying. Research topics can arise from a wide variety of sources, including the findings of a current study, a question that a criminal justice agency needs to have answered, or the result of intellectual curiosity. Once the researcher has identified a particular problem or topic, the researcher assesses the current state of the literature related to the problem or topic. The researcher will often spend a considerable amount of time in determining what the existing literature has to say about the topic. Has the topic already been studied to the point that the questions in which the researcher is interested have been sufficiently answered? If so, can the researcher approach the subject from a previously unexamined perspective? Many times, research topics have been previously explored but not brought to completion. If this is the case, it is certainly reasonable to examine the topic again. It is even appropriate to replicate a previous study to determine whether the findings reported in the prior research continue to be true in different settings with different participants. This step in the research process was discussed in Chapter 2.

Step 2: Develop a Research Question

After a topic has been identified and a comprehensive literature review has been completed on the topic, the next step is the development of a research question or questions. The research question marks the beginning of your research study and is critical to the remaining steps in the research process. The research question determines the research plan and methodology that will be employed in the study, the data that will be collected, and the data analysis that will be performed. Basically, the remaining steps in the process are completed in order to answer the research question or questions established in this step. The development of research questions was discussed in Chapter 2.

Step 3: Develop a Hypothesis

After the research questions have been established, the next step is the formulation of hypotheses, which are statements about the expected relationship between two variables. For example, a hypothesis may state that there is no relationship between heavy metal music preference and violent delinquency. The two variables stated in the hypothesis are music preference and violent delinquency. Hypothesis development was discussed in Chapter 2.

Step 4: Operationalize Concepts

Operationalization involves the process of giving the concepts in your study a working definition and determining how each concept in your study will be measured. For example, in Step 3, the variables were music preference and violent delinquency. The process of operationalization involves determining how music preference and violent delinquency will be measured. Operationalization was discussed in Chapter 2.

Step 5: Develop the Research Plan and Methodology

The next step is to develop the methodology that will be employed to answer the research questions and test the hypotheses. The research methodology is the blueprint for the study, which outlines how the research is to be conducted. The research questions will determine the appropriate methodology for the study. The research design selected should be driven by the research questions asked. In other words, the research questions dictate the methods used to answer them. The methodology is basically a research plan on how the research questions will be answered and will detail:

1. What group, subjects, or population will be studied and selected? Sampling was discussed in Chapter 3.

2. What research design will be used to collect data to answer the research questions? Various research designs were covered in Chapters 4�7.

You need to have familiarity with all research designs so that you can become an educated consumer of research. A survey cannot answer all research questions, so knowing a lot about surveys but not other research designs will not serve you well as you assess research studies. There are several common designs used in criminal justice and criminology research, and brief descriptions of some of them are presented next. At this point in the semester, you should be completely familiar with each of these designs since they have been detailed in prior chapters.

Survey Research is one of the most common research designs employed in criminal justice research. It obtains data directly from research participants by asking them questions and is often conducted through self-administered questionnaires and personal interviews. For example, a professor might have her students complete a survey during class to understand the relationship between drug use and self-esteem. Survey research was discussed in Chapter 4.

Experimental Design s are used when researchers are interested in determining whether a program, policy, practice, or intervention is effective. For example, a researcher may use an experimental design to determine if boot camps are effective at reducing juvenile delinquency. Experimental designs were discussed in Chapter 5.

Field Research involves researchers studying individuals or groups of individuals in their natural environment. The researcher is observing closely or acting as part of the group under study and is able to describe in depth not only the subject�s behaviors, but also consider the motivations that drive their behaviors. For example, if a researcher wanted to learn more about gangs and their activities, he may �hang out� with a gang in order to observe their behavior. Field research was discussed in Chapter 6.

Case Studies A case study is an in-depth analysis of one or a few illustrative cases. This design allows the story behind an individual, a particular offender, to be told, and then information from cases studied can be extrapolated to a larger group. Often these studies require the review and analysis of documents such as police reports and court records and interviews with the offender and others. For example, a researcher may explore the life history of a serial killer to try and understand why the offender killed. Case studies were discussed in Chapter 6.

Secondary Data Analysis occurs when researchers obtain and reanalyze data that was originally collected for a different purpose. This can include reanalyzing data collected from a prior research study, using criminal justice agency records to answer a research question, or conducting historical research. For example, a researcher using secondary data analysis may analyze inmate files from a nearby prison to understand the relationship between custody level assignment and disciplinary violations inside prison. Secondary data analysis was discussed in Chapter 7.

Content Analysis requires the assessment of content contained in mass communication outlets such as newspapers, television, magazines, and the like. In this research design, documents, publications, or presentations are reviewed and analyzed. For example, a researcher utilizing content analysis might review true crime books involving murder to see how the characteristics of the offender and victim in the true crime books match reality as depicted in the FBI�s Supplemental Homicide Reports. Content analysis was discussed in Chapter 7.

Despite the options these designs offer, other research designs are available and were discussed in previous chapters. Ultimately, the design used will depend on the nature of the study and the research questions asked.

RESEARCH IN THE NEWS

Road Rage Common Among Commuters 9

A recent survey found that almost 60% of the respondents who drive to work said they experience road rage at times while traveling to and from the office. These findings are similar to the results found in 2006, which was the last time the study was conducted. Nearly one in ten (9%) workers who drive to work have gotten into a fight with another commuter. While incidents of road rage are more prevalent among those with long commutes, workers with short trips to their jobs are not immune. Of workers with commutes of less than 5 minutes, 37% said they experience road rage from time to time. The same goes for 54% of workers with commutes of less than 10 minutes.

Women are more apt to feel road rage; 61% compared to 56% of men. In terms of age groups, workers ages 25 to 34 were the most likely to experience road rage at 68%, while workers 55 and older were the least likely to experience road rage at 47%. The survey was completed online by 3,892 U.S. workers who were employed full-time. Workers who were self-employed or worked for the government were excluded from the survey. The survey was completed by workers 18 years of age and older and was conducted between May 14 and June 4, 2012.

Step 6: Execute the Research Plan and Collect Data

The next step in the research process is the collection of the data based on the research design developed. For example, if a survey is developed to study the relationship between gang membership and violent delinquency, the distribution and collection of surveys from a group of high school students would occur in this step. Data collection was discussed in several chapters throughout this text.

Step 7: Analyze Data

After the data have been collected, the next phase in the research process involves analyzing the data through various and appropriate statistical techniques. The most common means for data analysis today is through the use of a computer and statistically oriented software. Data analysis and statistics are discussed in Chapter 9.

Step 8: Report Findings, Results, and Limitations

Reporting and interpreting the results of the study are the final steps in the research process. The findings and results of the study can be communicated through reports, journals, or books. At this step, the results are reported and the research questions are answered. In addition, an assessment is made regarding the support or lack of support for the hypotheses tested. It is also at this stage that the researcher can pose additional research questions that may now need to be answered as a result of the research study. In addition, the limitations of the study will be described by the researcher as well as the impact the limitations may have on the results of the study. All research has limitations, so it is incumbent on the researcher to identify those limitations for the reader.

Structure of Research Articles and Reports

As noted in the prior section, research methods can be seen as a sequential process as depicted in the steps in the research process. The question then becomes, what do researchers do with all the data and information they collect in their research projects? The answer is they write journal articles, research reports, and books. One of the advantages of reading research articles is their structures are usually very similar. It is helpful as an educated consumer of research to understand the common structure of research articles and reports. You will be able to easily identify these sections as you review research articles and reports in the future.

Before we discuss the structure of research articles and reports, it is necessary to mention the three main publication outlets for research articles. First, a common outlet for a researcher�s study and results is a journal article. Journal articles appear in thousands of journals covering the gamut of academic disciplines from accounting to zoology. Researchers write manuscripts based on their research projects and then submit them to journals for publication. Later in this section, we will discuss how to assess the quality of a journal. For now, it is important to recognize that journals are a critical outlet for research articles. Second, another place to find research is in reports that are published by government agencies, private companies, and businesses. For our specific purposes, this includes government documents produced by state and federal agencies such as the U.S. Department of Justice and local, state, and federal criminal justice agencies. Thousands of documents each year are published as reports with many available online. Reports are similar in structure to journal articles; however, reports are usually more detailed than journal articles, which have limited space for details such as the research methods used in the study and the results. Furthermore, reports typically do not include a literature review. Due to these similarities, reports can be evaluated in much the same way as journal articles. Third, books are sometimes used as a primary source to document a research study. Due to the magnitude of the study, a book-length manuscript is developed to document the research methodology and findings. University presses (e.g., Cornell University Press and University of Texas Press) commonly print research projects and their results as books.

Most published research follows a basic format, which will be reviewed in this section. Although the structure described next will vary slightly depending on the research methods utilized and will vary by discipline and the requirements of the publication outlet, most research reports that are published follow a similar format. Consumers of research grow accustomed to seeing the same basic information in each published research article. By knowing the structure of a research article and the general information that is included in each of the sections, research consumers can be less anxious about reading published research. This format also provides a structure for researchers to follow when writing up their research. This format includes a title, abstract, introduction, literature review, methodology, findings, discussion, conclusion, and references. Each will be described next along with questions that an educated consumer of research should ask regarding each part of a research article.

Titles help research consumers quickly identify if the journal, article, or book may be of interest to them. The title should provide the research consumer with a general idea of the article topic and perhaps the main variables assessed in the study. Some evaluative questions to ask regarding the title of a research article include:

1. Is the title concise and specific?

2. Are the main variables and research subjects included in the title?

3. Is the title free of jargon and acronyms that may not be generally recognized by research consumers? 10

The abstract is typically limited to 150�200 words, depending on the publication outlet. The abstract gives a short synopsis of the article, including the topic covered, the methodology, and the major findings of the research. The abstract provides a quick way for the research consumer to get an overview of the research study to see if more in-depth exploration is warranted. Some evaluative questions to ask regarding the abstract of a research article include:

1. Is the purpose of the study clearly stated in the abstract?

2. Does the abstract include the main points of the methodology used?

3. Does the abstract include the main findings? 11

In the introduction, the researcher should establish for the reader the importance of the research topic, the historical background of the problem, and the need for research in the area. For example, several strategies have been developed to reduce recidivism among convicted sex offenders (e.g., sex offender registration, community notification, residency restrictions, and civil commitment). This is obviously an important topic, and researchers want to find out which strategy works best at reducing recidivism. After the researcher has introduced the topic and its significance, the introduction should be narrowed down to the specific research project discussed in the article. Some evaluative questions to ask about the introduction include:

1. Does the researcher identify a specific problem area in the introduction?

2. Does the researcher establish the importance of the problem area?

3. Does the introduction start broadly and then narrow down to the specific research topic?

Literature Review

The literature review section provides a framework for the research by assessing the prior studies that have already been conducted on the topic. Basically, the literature review includes the pertinent prior studies that have addressed the topic of your research and have answered your research questions. The literature review provides a compilation of what is currently known about the topic under study. The literature review should also be critical and note the limitations in the prior research and identify the gaps in the literature where adequate research has not been conducted. The literature review should contain the most recent research studies on the topic as well. However, the literature review should not dismiss history, but instead should discuss the seminal studies on the topic. For example, if you are conducting a study on the factors that impact the decisions of police officers to arrest juvenile offenders, you would definitely want to include the article, discussed later in this chapter, by Piliavin and Briar: the seminal work on police discretion and juveniles.

The review of the literature may also include a description of the theoretical framework that was used for the study. The theoretical framework can put the development of the researchers� hypotheses into context. To demonstrate the link between the theoretical framework and hypothesis construction, some publications will place the hypotheses at the end of the literature review instead of at the beginning of the methodology section. Some evaluative questions to ask about the literature review include:

1. Does the literature review include current as well as seminal citations?

2. Is the literature review critical of the prior literature by noting its limitations?

3. Have gaps in the current literature been identified in the literature review? 15

WHAT RESEARCH SHOWS: IMPACTING CRIMINAL JUSTICE OPERATIONS

Civil Commitment of Sex Offenders: Are the Right Offenders Identified and Public Safety Increased? 12

In response to a growing perceived need to protect the public from sexual offenses, numerous public policies have been developed to manage and track convicted sex offenders. Although the most widely known of these initiatives are sex offender registration and community notification laws, many states have recently also enacted sex offender civil management laws (also commonly referred to as civil confinement/commitment laws or sexually violent predator [SVP] laws). These civil management laws are designed to protect the public while offering treatment to the offender, by allowing the civil confinement of those sex offenders deemed to be at high risk for sexual recidivism after they have completed their criminal justice sentences for certain sexual crimes. Twenty-two jurisdictions (20 states, District of Columbia, and the federal government) have enacted such laws.

New York is one of these states. In 2007, the State of New York enacted its Sex Offender Management and Treatment Act (SOMTA) to civilly manage those sex offenders deemed to be at high risk for sexual recidivism. Specifically, SOMTA allows the state to civilly manage sex offenders about to be released from state supervision who have mental abnormalities that predispose them to engage in repeated sex offenses, by either:

a. placing the offenders in the community on strict and intensive supervision and treatment (SIST); or

b. civilly confining those offenders deemed to be dangerous (i.e., unable to control their sexual offending behavior).

The study sought to inform the SOMTA review process by answering the following research questions:

1. Which variables are most influential in the SOMTA review process? And

2. Is the sex offender civil management process in New York correctly identifying high-risk offenders (and, therefore, likely increasing public safety)?

To answer the first research question, the researchers obtained data on all offenders reviewed for possible civil management from April 13, 2007, to November 12, 2008 (N = 1,991). Since SOMTA had only been enacted a year and a half before the study, a sufficient length of time had not yet passed for the sexual recidivism rates of the 1,991 offenders screened under SOMTA to be adequately judged. To overcome this challenge, the researchers created a historical cohort of New York sex offenders before the enactment of SOMTA. Offenders in the historical cohort were matched (on variables found to be important to the SOMTA review process) to those offenders actually reviewed under SOMTA. In other words, the offenders used to answer the second research question (i.e., the recidivism analysis) were never reviewed under SOMTA but were matched on risk factors to SOMTA-reviewed offenders. A total of 1,546 offenders were included in the matched historical cohort.

To answer the first research question, the researchers identified the demographic, criminal history, and victim variables that contributed most significantly to being deemed high risk and receiving a psychiatric exam. The greatest increase in the odds of an offender receiving a psychiatric exam was associated with the offender�s Static-99 score. The Static-99 is the most widely used instrument to conduct male sex offender risk assessments and has been found to be reliable and valid. Three other variables that made the SOMTA review process likely were having a male victim, age of the offender (with older offenders more likely to be reviewed), and number of prior sexual convictions. To answer the second research question, the researchers used the matched historical cohort. The data analysis revealed an overall 5-year sexual rearrest rate of 7.2%.

Taken as a whole, the results of the study supported the efficacy of the risk assessment process used in New York to identify those offenders most likely to recidivate sexually. The factors identified by the research most likely to be associated with an offender being high risk are the same ones identified in prior literature (i.e., Static-99 score, male victim, older offender, and number of prior sexual convictions). The researchers concluded that the results of the current study indicate that sex offender civil management is successful and is likely increasing public safety. This is important to the operation of the criminal justice system because the growing body of research indicates little, no, and sometimes even negative impacts on public safety resulting from sex offender registration and community notification, 13 as well as sex offender residency restrictions. 14 Thus, unlike sex offender registries, community notification, and residency restrictions, sex offender civil management appears from this study to be reducing sexual victimizations.

The methods section is where the material discussed in the prior chapters of this text is put into action to let readers know the details of how the research was conducted. It should provide details on the methods used by the researchers to gather data and answer the research questions and/or test the hypotheses. The methodology section includes a description of the research design, data sources, sampling strategy, variables and how they were measured, and data collection instruments used. Methods sections are often longer in quantitative studies than in qualitative studies. Explicit details of the methods used should be provided, because this section of the article provides much of the material needed by the consumer of research to evaluate the quality of the article. Unfortunately, this detail is not always provided, which leaves the consumer to make assumptions about the methods and their limitations.

Depending on the publication outlet, the limitations of the research study may also be included in the methods section of the research article. If the limitations are not discussed in the methods section, then they will be reviewed in the discussion or conclusion section. Complete transparency and full candor are expected as the researcher shows the reader that he acknowledges the limitations of the research and has thought through how the limitations can impact the results. For example, if the experimental design had several participants drop out of the program between the pre-test and the post-test, then the researcher needs to discuss how subject mortality can influence the results of the study. Similarly, if the survey researcher discovers some wording issues with one of the questions on the survey, then he should address this reliability issue and how it may impact the results of the study. No research is perfect, so it is incumbent upon the researcher to state the limitations and flaws in the research and to provide the information needed by the educated consumer of researcher to decide the magnitude of the limitations and their cumulative impact on the research findings.

In the methods section, the researcher should also discuss the statistical analysis of the data to be performed and reported in the results section of the article. Although the statistical tests performed can become quite technical and complex, it is important for the researcher to present information about the statistical tests so the consumer can become familiar with the techniques used in analyzing the data. Statistics will be discussed in Chapter 9.

It is impossible to develop a single checklist of the topics that need to be addressed in a methods section because the details that need to be provided depend on the methods used. For example, the response rate only needs to be included in the methods section when a survey has been conducted. Likewise, the sampling protocol is frequently a component of the methods section, but sampling is irrelevant when a case study is completed. Specific evaluative questions about the methodology section will not be presented here, but instead will be provided when the internal indicators of research quality are presented later in this chapter.

Results/Findings

The results section is a straightforward discussion of the research findings, but it is frequently the most difficult part of a research article to understand due to the statistical tests that may be used, especially for a newly educated consumer of research. At the beginning of the results section, a discussion of the sample is provided, along with appropriate statistical description, so the reader can understand the characteristics of the research subjects. The results section presents the findings of the research and answers each research question and/or tests each hypothesis.

For quantitative studies, the statistical analysis presented in the results section is typically presented in tables, charts, and graphs as well as described in the text. The tables often provide greater detail than what is described in words and also allow the reader to follow the description of the results provided in the article. In the results section, the researchers will also state whether there were any unexpected findings or findings that have not been discovered in the prior literature. The researcher will wait until the discussion section to discuss the reasons for the anomaly in detail, but she will typically point out the interesting finding when it is initially presented in the results section.

The presentation of data flows logically and a straightforward discussion of the main findings and their significance are presented in the results section. In qualitative research, the data are organized in a manner that illustrates a line of reasoning or tells a story. Some evaluative questions to ask about the results include:

1. What findings are statistically significant? (discussed in Chapter 9)

2. Does the author answer each research question and/ or address each hypothesis?

3. If there are tables, are the highlights discussed in the narrative of the results?

4. Are the results of qualitative studies adequately supported with examples of quotations or descriptions of observations? 16

Some research articles combine the discussion section with the results section, while others combine the discussion section with the conclusion section, while still others keep all three sections separate. We will present them as separate sections. In the discussion section of the article, the researcher is expected to interpret the findings of the research study and discuss their implications. The major findings are discussed and examined for agreement or disagreement with prior research findings as presented in the literature review portion of the article.

The researchers basically answer the following question: �Did the findings support the results of prior literature?� If yes, the author will note that his findings are consistent with prior research. If the answer is no, then the researcher will identify potential reasons for the unexpected finding. The unexpected finding may be due to a research limitation or the researcher may provide an analytical or theoretical framework to explain the odd finding. In a sense, the research article is presented in a circular manner. The literature review is presented followed by the methods and results section, and then in the discussion section, the findings are tied back to the prior literature presented in the literature review.

Depending on the type of research completed, the researchers will present in the discussion section the implications of the findings for prior literature, theory development, and policy and practice in the criminal justice system. Depending on the publication outlet, some research articles may include a few paragraphs on the policy implications of the research findings. Some evaluative questions to ask about the discussion include:

1. Do the researchers acknowledge specific methodological limitations and their potential impact on the findings (limitations may be covered in methods section)?

2. Are the results discussed in terms of the literature cited in the literature review?

3. Are the results discussed in terms of any relevant theories? 17

4. Does the author offer speculations about what the results may mean and their implications?

In the conclusion, the researchers will first briefly summarize the research problem addressed in the study, the major results, and any significant unexpected findings. Then, the researchers provide the reader a broad perspective on the research findings and put the findings into context by demonstrating where the study results fit into the larger literature. The researchers will explain the benefits derived from the research and identify areas in need of further research.

Also, the researcher will discuss the generalizability of the findings. Can the findings be generalized to other populations, other settings, and other contexts? If so, the researcher will justify why the findings can be generalized within the selected parameters. If not, the researcher will discuss this limitation and its causes along with providing an explanation of what research needs to be done in the future to improve the generalizability of the results. Some evaluative questions to ask about the conclusion include:

1. Are specific implications discussed?

2. Are suggestions for future research specified?

3. Does the research extend the boundaries of the knowledge on a topic? 18

4. Do the researcher�s conclusions concur with the results that were reported or does the author overgeneralize the findings?

The reference section of a research article gives the reader complete information about the previous research that was used in the study. Researchers need to provide citations for each source that was used in the research article. Many of the sources will have been used in the literature review section. The reader can use the reference list to obtain additional primary sources on the research topic. If you compare the references of several research articles on the same topic, you will be able to determine what seminal and critical articles exist on the research topic.

Some evaluative questions to ask about the references include:

1. Has the most recent research on the topic been included in the references?

2. Have the seminal articles on the topic been included in the references?

External Indicators of Research Quality

This section will focus on the external indicators of research quality. The external indicators can be identified without reading the research article. It is important to recognize that reading the article and identifying the internal indicators of research quality, which will be discussed in the next section, is a more valid measure of, and therefore a better way to assess, research quality. However, the external indicators can serve as a shortcut method to determine if the research article is worth further attention and assessment.

As previously discussed, the three main publication outlets for research articles are journal articles, reports, and books. Most of the focus of this section will be on journal articles since academic journals are the primary way that researchers disseminate the results of their research. Some of the indicators discussed next, such as university affiliation and researcher reputation, apply equally to journal articles, books, and reports, but a few comments about the indicators of quality books and reports are necessary before we delve into those topics.

For this section, we are referring to books used as a primary source to document a research study. In other words, due to the magnitude of the study, a book-length manuscript is developed to document the research methodology and findings. Secondary sources include textbooks, encyclopedias, and news reports. Secondary sources usually involve summaries of primary source work and, while they may offer some information related to the research methods used in the study, they often do not provide the detail you need to assess the quality of the research article without tracking down the original article (i.e., primary source).

For books as a primary source, one of the main factors to consider when determining the quality of research reported is to look at the book�s publisher. Books published by university presses (e.g., Cornell University Press and University of Texas Press) are typically high-quality manuscripts involving high-quality research. University presses, similar to some of the academic journals discussed next, have stringent manuscript review processes, so only the best manuscripts are printed by these publishers.

Similarly, for reports, you need to look at what organization published the research. If the report is published by a federal agency such as the U.S. Department of Justice, then it should be considered high quality. The U.S. Department of Justice and other federal agencies have full-time researchers that write research reports on data obtained by the agency, so the research is conducted and written by trained researchers. The same can be said for reports published by state agencies. There are also private companies (e.g., Rand Corporation) that routinely conduct research in criminal justice agencies and then publish the reports, which are frequently available on their websites. Much of this work completed by respected companies is high quality as well because trained, full-time researchers are conducting the research and reporting the results. The theme is that if the research is completed by a full-time researcher, then it is probably a quality piece of research. Of course, there will be exceptions to the general rule, but it is a good piece of information to remember as you move forward in assessing research articles.

You should be more skeptical of research reports completed by city or county criminal justice agencies. Most of these agencies do not have full-time researchers, so there is concern about the capabilities of the person who completed the research. That does not mean that a report completed by a county or city criminal justice agency cannot be high quality but rather that you should not assume it to be high quality based on the agency that produced it. These reports need further assessment to determine their quality. We will discuss three external indicators of quality research: researcher reputation, institutional reputation, and journal quality.

Researcher Reputation

Some researchers consistently produce top-quality research, so the research articles they write�whether as a book, report, or journal article�can be assumed to be high quality. There are researchers that are the best in their particular area of expertise and everything they produce is high quality. Often, the largest body of research in a particular area is done by the same person or the same group of people at a few different institutions. We will not name specific researchers who meet these requirements, but maybe your professor will. If you or your professor does not know the researcher, you can search for information about her on the Internet. You should be able to easily find the researcher�s curriculum vita (like a resume) online and look at her prior publications to see if she has written in this area before and where the prior research articles have been published.

Institutional Reputation

Another external indicator is the institutional affiliation of the researcher and its reputation. Just like journals discussed in the following section, some universities are better than others when it comes to research. Researchers who work at top-ranked research universities are going to have strict requirements to produce high-quality research and high-quality publications in order to maintain their employment. Although even the top-ranked research universities have some deadwood (we definitely are not going to name names), institutional reputation is a quick way to determine if the research article is high quality.

Journal Quality

As previously stated, academic journals are the primary way that researchers disseminate the results of their research. The journals vary in quality though. One measure of the quality of a journal is their manuscript review process. There are two types of journals: refereed and nonrefereed journals. Refereed journals use a peer-review process to review manuscripts. Peer review is a form of quality control most commonly related to academic journals. If a journal follows a peer review process, when a manuscript is submitted to the journal, it is sent out to be reviewed by two or more experts in the field to determine whether the manuscript is suitable for publication. The review is almost always a blind review, which means the reviewer does not know the name of the researcher who wrote the manuscript. This limits bias in the review process.

When a manuscript is submitted to a refereed journal, the journal editor will review the manuscript to see if it is of sufficient quality to send out for external review. Those that are not of sufficient quality are rejected by the journal editor and returned to the author. For those that are good enough to be externally reviewed, the editor will send the manuscript to two or more reviewers. Sometimes, these reviewers are members of the journal�s editorial board. Each reviewer evaluates the article, provides written comments to the editor, and recommends to either accept, reject, or send the manuscript back to the authors for revisions and reassessment after the revisions are made (commonly called �revise and resubmit�). After the reviews are completed, the editor makes the final decision on whether the manuscript will be accepted for publication, rejected, or sent back to the authors with a request to �revise and resubmit.�

Nonrefereed journals do not utilize the peer review process. The articles in nonrefereed journals will be reviewed by the journal editor and published in the order in which they are received or according to a fee that the author pays. Journals that are not peer reviewed do not garner as much respect from fellow researchers as there is less quality control of the material published. If you are not familiar with a particular journal, you can usually determine if it is a peer-reviewed journal by reading the material at the front of the journal. There is a section at the beginning of the journal (sometimes it is in the back) that will be titled something like �information for potential contributors,� which will provide information on the manuscript review process for the journal.

As an external indicator of research quality, research articles appearing in refereed journals will be higher quality than articles appearing in nonrefereed journals. Of course, there are exceptions to this statement, but it is a good principle to remember as you move forward as an educated consumer of research.

You have identified that the journal utilizes a peer-review process and so it is a refereed journal. Now what? Well, all refereed journals are not the same quality; some are better than others. So, how do you determine if the refereed journal is a high-quality journal? One indicator is the journal�s acceptance rate. The acceptance rate is the number of manuscripts accepted for publication divided by the number of manuscripts submitted to the journal for publication consideration. The lower the acceptance rate, presumably the better the quality of the journal. The acceptance rate can be difficult to obtain without directly contacting the journal editor, so it is not always available to the consumer of research.

Another indicator of the quality of the journal is the reputation of the journal editor. As stated previously regarding the reputation of the researcher, if the journal editor is one of the top researchers in the area covered by the journal, then that is an indication that the journal is high quality as well. Similarly, the reader can review the names of the editorial board members listed at the beginning of the journal. The better the reputations of the editorial board members, the better the reputation of the journal. In addition, the university affiliation of each editorial board member will be presented in the journal. If the journal has several editorial board members that come from major research universities, then this is an indication that the journal is of high quality. These three indicators (acceptance rate, editor reputation, and editorial board composition) are used by research consumers to assess the quality of the journal, but a new indicator has been developed in recent years to measure journal quality: the impact factor.

Impact Factor The impact factor is a measure of the frequency with which the average article in a journal has been citied in a particular year. It is an evaluation tool that is annually provided by the company Thomson Reuters in the Journal Citation Reports. A journal�s impact factor is the average number of times articles from the journal, published in the past two years, have been cited. The latest year available at the time of this writing is 2011. The impact factor for 2011 was calculated as the number of citations in 2011 to articles published in the journal in 2009 and 2010 divided by the number of articles published in the journal in 2009 and 2010. The higher the impact factor, the higher the journal quality. The idea behind the impact factor is that if other researchers are citing the material from the journal�s articles, then this is an indication that the journal�s articles are high quality and thus the journal is a quality venue for published research.

The top-ranked journals of the 2011 Journal Citation Reports in the criminology and penology category which is where criminal justice and criminology journals are ranked, are:

1. Trauma Violence and Abuse (impact factor�3.265);

2. Criminology (impact factor�2.467);

3. Journal of Research in Crime and Delinquency (impact factor�2.231);

4. Crime and Justice: A Review of Research (impact factor�2.188), and;

5. British Journal of Criminology (impact factor�2.130)

A list of the top 50 journals in criminal justice and criminology are presented in Figure 8�2. You can assume that the articles in the higher ranked journals are high quality before you even begin to read the journal article.

When judging the quality of a research article using external indicators, the bottom line is to look at it from as many different perspectives as possible, including the author�s credentials, the author�s professional affiliation, and where the work is published.

FIGURE 8.2 | Criminal Justice and Criminology Journal Rankings by Impact Factor�2011

Are Parents Creating Einsteins or Homer Simpsons? 19

In a 2007 study on the effects of popular videos such as the �Baby Einstein� and �Brainy Baby� series, researchers found that these products may be doing more harm than good and may actually delay language development in toddlers. Parents aiming to put their babies on the fast track, even if they are still working on walking, spend hundreds of millions of dollars each year on the videos.

The study was conducted by researchers from the University of Washington. The data was obtained through telephone interviews with 1,008 parents of children age 2 months to 24 months. Each telephone interview took about 45 minutes to complete. Questions were asked about child and parent demographics, child-parent interactions, and child�s viewing of several content types of television and DVDs/videos. Parents were also asked to complete the short form of the MacArthur-Bates Communicative Development Inventory (CDI), which measures infant language development and has been shown to be both reliable and valid. The associations between CDI scores and media exposure were evaluated using multivariate regression (see Chapter 9), controlling for parent and child demographics and parent-child interactions. 20 Among infants (age 8 to 16 months), each hour per day of viewing baby DVDs/videos was associated with a 17-point decrease in the CDI score. Infants who watched videos learned six to eight fewer new vocabulary words than babies who never watched the videos. Among toddlers (age 17 to 24 months), there were no significant associations between any type of media exposure and CDI scores. 21 In fact, the American Academy of Pediatrics has recommended no television for children under 24 months.

The University of Washington press release 22 regarding the study led to a letter from Bob Iger, the CEO of Disney and proprietor of Baby Einstein, to Mark Emmert, the president of the University of Washington, calling the press statement �misleading, irresponsible, and derogatory� 23 and claiming the �methodology [used in the study] is doubtful, its data seem anomalous and the inferences it posits unreliable.� 24 In response, President Emmert stated �The Journal of Pediatrics is a prestigious, peer-reviewed journal. Papers submitted to this journal undergo a rigorous review by experts in the field before they are accepted for publication. This process ensures that the work represented in the paper meets high standards of scientific inquiry required by the editors of the journal and its editorial panel of distinguished scientists�. The University of Washington will not retract its news release.� 25

Internal Indicators of Research Quality

Although the external indicators of research quality serve as a quick screening mechanism for research articles, it is not a substitute for a detailed, internal review of the article. Even though many journals utilize a peer-review process and some have low manuscript acceptance rates, articles within those journals will vary in quality, so an internal assessment of research quality is essential. A reader who critically assesses a research article will evaluate the methodology used by the researcher, assess the analysis performed, and verify that the conclusions drawn by the authors are supported by the research findings. When we reviewed the structure of research articles earlier in the chapter, we provided evaluative questions you should ask about the title, abstract, introduction, literature review, results, discussion, conclusion, and references. We did not provide any evaluative questions for the methods section at the time, but now we�re ready to address those in this section, in which the internal indicators of research quality will be presented. These indicators will assist in answering the question �How good is this research article?� We will focus on the methods section of the article.

Throughout this book you have been provided with the tools necessary to critically evaluate research. We have covered a comprehensive list of research methods topics and have consistently discussed issues and challenges faced by researchers when conducting research. For example, in Chapter 3 we discussed probability and non-probability sampling and the issues of representativeness, generalizability, sampling error, and sample size. In Chapter 4, we discussed surveys and issues such as nonresponse, social desirability, ensuring truthful responses, and ensuring consistent question meaning for all respondents. We also provided a comprehensive discussion of reliability and validity, focusing on mechanisms to assess and increase each. In Chapter 5, we discussed experimental and quasi-experimental designs, focusing on the critical importance of the pretest, control group, and random assignment. In addition, we discussed several threats to internal validity that may impact the results found utilizing these designs. In Chapter 6, we discussed field research and the issues of going native, reactivity and the Hawthorne Effect, maintaining objectivity, and ethical dilemmas faced by field researchers. We also discussed case studies and the issues of generalizability and researcher bias. In Chapter 7, we discussed unobtrusive measures, such as secondary data analysis and the issues of having no control over the original data collection and problems with the validity of agency records. We also discussed the use of archival data and the reliability and validity issues that arise from this method, along with content analysis and the challenge of interrater reliability.

At this point, you may be thinking that no piece of research is going to withstand the rigors set forth in this chapter and book. We have stated it before, but it should be clear after the last paragraph that there is no perfect research. Researchers make a series of decisions when conducting a research study and not everyone will agree with those decisions. Each decision creates the potential for error, and each step in the research process creates the potential for error as well. There is plenty of high-quality research, though. The issue is not whether the research has limitations but how the flaws impact the research results. Are the errors of the magnitude that they can significantly impact the results of the study, which then leads you to question the results?

Your ability to read and critically evaluate research articles will improve with practice by reading many journal articles, books, and reports, but it does take practice. Remember, research involves a process and research articles are structured in a similar manner each time. Once you are comfortable with the process for conducting research and the structure of research articles, your review of articles will become easier and more routine. Once you have developed your ability to critically assess research articles, those skills will remain with you forever. You will not have to relearn the research process and evaluative issues every five years in order to maintain your skills. The reality is research methods do not change that much. Yes, it is true that new techniques are developed (e.g., Internet and e-mail surveys), but the foundation of research methods developed decades ago will be the same foundation in 100 years.

We will present several evaluative questions next. As you put your research methods knowledge into practice and review research articles, revisit the earlier chapters. But, do not think of research quality as a dichotomy of good and bad. In reality, research quality should be reflected as a continuum, and every research article can be placed somewhere on the continuum.

Questions to Ask about Research Articles

Following are some evaluative questions you should ask about a research article. Some of the questions will differentially apply, depending on the methods used in the research study. The questions will be categorized by chapter so you can easily refer back to the chapter for additional information.

Evaluative Questions from Chapter 2 Material�Ethics and Terminology

What is/are the basic research question(s)?

What were the major concepts in the research study?

How were the concepts operationalized and measured?

Would other measurements have been better? Why or why not?

What were the independent and dependent variables in the study?

Were any hypotheses stated?

Were these hypotheses justified adequately in terms of prior research?

Did the study seem consistent with current ethical standards? Explain how ethical standards were upheld.

Did the author adequately represent the findings in the discussion and/or conclusions sections?

Did the researcher overgeneralize the findings? If yes, how?

Evaluative Questions from Chapter 3 Material-Sampling In the methods section of a research article, the researcher should describe the sampling procedures used in the study and describe the subjects who participated in the research. When you are reading about the sampling procedures, be sure to evaluate who the research subjects were, taking into account available demographic characteristics such as age, race, ethnicity, and gender. Be sure to assess whether the composition of the sample will limit the generalizability of the results. Some evaluative questions about sampling follow.

Was a sample or the entire population used in the study?

What type of sampling method was employed?

Was a probability sampling method used?

If a non-probability sampling method was used, does the researcher justify its use and discuss its limitations?

Did the authors think the sample was generally representative of the population from which it was drawn? Why or why not?

Do you think the sample was generally representative of the population from which it was drawn? Why or why not?

Was the sample size large enough? Why or why not?

Overall, is the sample appropriate for generalizing to the population?

Evaluative Questions from Chapter 4 Material�Surveys, Validity, and Reliability

Was survey research used? Was this design suited to the research question posed? Why or why not?

Was the response rate reported? If yes, what was it?

Does it appear likely that those who did not respond or participate were markedly different from those who did participate? Why or why not?

What is the likelihood that characteristics of the nonrespondents introduced bias into the results? Did the authors adequately discuss this issue?

What evidence did the authors provide to show the representativeness/generalizability of the sample to the population? What comparisons between the respondents, sample, and population were presented?

Did the survey used, the measures of the variables, seem valid and reliable? Why or why not?

How did the author attempt to establish the validity of the survey?

When delving into sensitive matters (e.g., past victimization or criminal/delinquent history), is there reason to believe that accurate data were obtained?

Do you believe that social desirability is an issue in the study? Why or why not?

How did the author attempt to establish the reliability of the survey?

If an index was used in the survey, does it have adequate internal consistency?

How did the researcher ensure consistent meaning of the questions?

How was the survey distributed? What factors influenced the author�s decision to distribute the survey in this manner?

Evaluative Questions from Chapter 5 Material�Experimental and Quasi-Experimental Designs

What type of research design was used in this study?

What were the parameters/criteria for inclusion in the study?

What cases were excluded from the study?

What was/were the treatment(s)?

What was/were the dependent variable(s)?

What pre-test(s) was/were conducted? Be sure to discuss how each dependent variable was measured and the time frame.

What post-test(s) was/were conducted? Be sure to discuss how each dependent variable was measured and the time frame.

What was/were the experimental/treatment group(s)?

What was/were the control/comparison group(s)? Was the control/comparison group adequate?

Were the groups established through randomization or matching? Be sure to discuss the procedures used to establish and monitor equivalence.

What threats to internal validity could impact the results of this study? For each threat to internal validity identified, define the threat, describe how it applies to this study, and explain how it could impact the results of this study.

Were any causal assertions made or implied in the hypotheses or in subsequent discussion? If yes, were all three criteria for establishing causal relationships addressed? How did the author establish the existence of the three criteria for causality? What, if any, variables were controlled in the analysis to reduce the risk of spurious relationships?

Evaluative Questions from Chapter 6 Material�Field Research and Case Studies

Was field research or a case study used in this study? Was the design suited to the research question posed? Why or why not?

How much interaction was present between the researcher and the research subjects?

What steps were taken to keep the researcher from influencing the behavior of the research subjects?

Were any ethical dilemmas faced by the researcher? If yes, how did the researcher handle the dilemmas?

Did the researcher maintain objectivity? If not, how did this influence the results of the study?

Did the researcher acknowledge any biases or reactivity in the study? If so, how did they impact the results?

Did the researcher discuss the generalizability of the findings?

Did the instruments used, the measures of the variables, seem valid and reliable? Why or why not?

How did the author attempt to establish the reliability of the measurement?

How did the author attempt to establish the validity of the measurement?

What more could have been done in the study to establish reliability and validity?

Evaluative Questions from Chapter 7 Material�Unobtrusive Methods

Was an unobtrusive method such as secondary data analysis used? Was this design suited to the research question posed? Why or why not?

CLASSICS IN CJ RESEARCH

Factors that Influence Police Decisions Regarding Juveniles

Research Study 26

In the mid-1960s, very few research studies had been conducted on police discretion. The use of police discretion was recognized by researchers and law enforcement personnel at the time, but few studies had addressed the factors that police consider when making decisions to arrest. Piliavin and Briar were the first to assess the factors that impact police decisions regarding juveniles.

What factors influence police decisions regarding juveniles?

The setting for the research was a metropolitan police department in the United States serving an industrial city with approximately 450,000 residents. Data for this study came from observations of police officers on the street over a 9-month period and interviews with these same officers (27 of the 30 officers were interviewed). Utilizing field research, systematic data were collected on police encounters with 76 juveniles. Observations took place on a variety of days and shifts, but more observations occurred in the evenings and on weekends when police officers were more likely to interact with juveniles.

The subjects under study were 30 police officers assigned to the Juvenile Bureau. These police officers were responsible for delinquency prevention as well as law enforcement for the police department. In the field, juvenile officers operated essentially as patrol officers. They were assigned to beats, answered calls for service, and although concerned primarily with juvenile offenders, frequently had occasion to arrest adults. The study is limited to police interaction with juveniles though. The researchers had an opportunity to observe all officers in the Bureau during the study, but their observations were concentrated on those who had been working in the Bureau for a minimum of one year. The officers were observed in the course of their regular patrol shifts. Observations were completed for the following encounters with juveniles:

1. Encounters taking place at or near the scene of offenses reported to the police department; and

2. Encounters occurring as the result of officers� directly observing youths either committing offenses or in suspicious circumstances.

For these encounters, officers could choose among five dispositional alternatives:

1. Outright release;

2. Release and submission of a field interrogation report briefly describing the circumstances surrounding the police-juvenile encounter;

3. Official reprimand and release to parents or guardian;

4. Citation to juvenile court; and

5. Arrest and confinement in juvenile detention.

Dispositions 3, 4, and 5 involved the juvenile being taken to the police station and resulted in an official record for the juvenile because his name was officially recorded in Bureau files as a juvenile violator.

For purposes of this analysis, each youth�s demeanor in the encounter was classified as either cooperative or uncooperative. The data used for the classification of demeanor were the written records of observations made by the researchers. The classifications were made by an independent assessor not associated with this study. In classifying a youth�s demeanor as cooperative or uncooperative, particular attention was paid to: 1) the youth�s responses to police officers� questions and requests; 2) the respect and deference, or lack of these qualities, shown by the youth toward police officers, and 3) police officers assessments of the youth�s demeanor.

The researchers reported several results. First, the researchers found that broad discretion was exercised by police officers in dealing with juvenile offenders. All offenses, even serious ones, received each of the five dispositional alternatives previously discussed. Therefore, the commission of a serious offense did not automatically result in arrest.

Second, the exercise of discretion was affected by a few readily observable criteria, including the seriousness of the current offense, the juveniles� prior offense record, race, and demeanor. The first two criteria (i.e., seriousness of offense and prior record) are legal factors and are expected to be taken into consideration by the police when making decisions.

However, the demeanor of the youth was identified as a major factor in determining what police disposition he would be given. Overall, 67% of the juveniles who were categorized as uncooperative in their interaction with police were arrested while less than 5% of the juveniles who were deemed cooperative were arrested. During interviews, officers estimated that 50�60% of dispositions for first-time juvenile offenders were based on the demeanor of the juvenile. Besides legal factors like seriousness of the offense and prior record, demeanor of the juvenile was the most important factor influencing the decisions of officers.

Third, the differential in arrest and apprehension rates between blacks and whites was not simply a consequence of a greater offense rate among blacks. To some extent, the differential was due to the fact that blacks more often than whites were viewed as uncooperative. Blacks were more likely to receive one of the more severe outcomes. This finding was attributed to police officer prejudice against blacks. Researchers interviewed 27 of the officers assigned to the Juvenile Bureau, and 18 of them candidly expressed their disapproval of blacks.

Piliavin and Briar offered one of the first empirical studies of police discretion by observing police encounters with juveniles. They based their conclusions, however, on a small sample of police observations (i.e., 76 total observations were made in a 9-month period). Also, the 76 observations were not randomly selected. These limitations, small sample size and non-random sample, bring the generalizability of the findings into question. What the researchers observed in this particular city with these officers may not apply in other jurisdictions with different officers.

There are possible reliability issues with how demeanor was coded for the research. Whether or not the juvenile was cooperative and respectful to the police could be a highly subjective decision. The researchers did use an independent assessor to categorize the data on demeanor, but the assessor�s interpretation of the data may have been different from another person�s interpretation. Utilizing an interrater reliability protocol where two independent assessors categorize the data on demeanor and then the two assessments are compared would have improved the reliability of the categorization.

In Piliavin and Briar�s study, the researchers� role of observer as participant (discussed in Chapter 6) was known to the police officers being studied. The police knew exactly who the researchers were and that their encounters with juveniles were being examined. A potential source of bias with this type of observational research is known as the Hawthorne Effect (see Chapter 6). When research subjects are aware that their behavior is being observed, the observation itself may influence their behavior. The extent to which the police officers in Piliavin and Briar�s study altered their behavior because they were being observed was unknown. However, the candor shown by the officers in their interviews with the investigators and the use of officially frowned-upon practices while under observation provide some assurance that the observations were valid and reflected the typical activities of the police officers studied.

Piliavin and Briar were among the first to conduct an empirical study that explored the influence of demeanor on police decision-making. Their systematic observations of police-juvenile encounters revealed that the police were more likely to arrest uncooperative juveniles. Over the past half century, numerous studies of police discretion have demonstrated the relationship between suspect demeanor and arrest. Piliavin and Briar also observed that police unfairly targeted black juveniles because they fit a stereotype held by the police that most delinquents were black. Today, the influence of race and police discretion centers on the topic of racial profiling as discussed in the chapter opening case study.

Article Critique: Minneapolis Domestic Violence Experiment

Sherman, Lawrence W., and Richard A. Berk. (1984). �The specific deterrent effects of arrest for domestic assault.� American Sociological Review. 49, 261�272. Portions of the article are included in Appendix A.

As the final section in this chapter, we will present an example of an article critique utilizing the internal indicators of research quality discussed in the previous section. Recall that it is impossible to develop a single checklist of the topics that need to be addressed in a methods section of a research article, because the details that need to be provided depend on the methods used. Similarly, it is impossible to develop a single set of questions that can be asked and answered to comprehensively assess every research article, because the questions depend on the methods used in the article. Therefore, we will present an example of an article critique tailored to the experimental and quasi-experimental designs discussed in Chapter 5. We selected the Minneapolis Domestic Violence Experiment (MDVE) as the example, because it is probably the best known piece of research in criminal justice and criminology. You not only hear about the results of the MDVE (arrest is most effective in reducing domestic violence recidivism) in research methods, but also hear about it in policing classes and policy courses. The MDVE is to research methods what Miranda v. Arizona is to criminal procedure: the most recognized example on the topic.

Next, we ask and answer several questions regarding the MDVE. Portions of the article are in Appendix A. You can review the article to see where we obtained the information to answer each question. This is the type of activity you will be able to perform, although probably not as structured as the questions and answers that follow, as you begin to apply your knowledge as an educated consumer of research.

1. In one sentence, state the purpose of this study.

The purpose of the MDVE was to determine which of three police responses (arrest, separation, or mediation) produced the lowest recidivism rates for domestic violence offenders.

2. What type of research design was used in this study?

A randomized experimental design was used in the MDVE.

3. What were the parameters/criteria for inclusion in the study?

In order to be included in the study, the calls for police service had to involve a misdemeanor (simple) domestic assault, and both the suspect and the victim had to be present when the police arrived.

4. What cases were excluded from the study?

The following cases were excluded from the study: (1) cases involving felony domestic assaults; (2) cases where both parties were not present when the police arrived; (3) cases where the suspect attempted to assault police officers; (4) cases where a victim persistently demanded an arrest, and (5) cases involving injuries to both parties.

5. What was/were the treatments)?

The treatment was the police response to domestic violence, which included arrest, separation, or mediation.

6. What was/were the dependent variable(s)?

The dependent variable was repeat domestic violence (i.e., recidivism).

7. What pre-test(s) was/were conducted? Be sure to discuss how each dependent variable was measured and the time frame.

Since the dependent variable was recidivism, no pre-test was conducted in the MDVE.

8. What post-test(s) was/were conducted? Be sure to discuss how each dependent variable was measured and the time frame.

The post-test involved a 6-month follow-up period to measure the frequency and seriousness of domestic violence after each police intervention of arrest, separation, or mediation. The dependent variable (i.e., repeat domestic violence) was measured in two ways. First, the researchers obtained police offense and arrest reports for domestic violence that mentioned the suspect�s name during the 6-month follow-up period. Second, victim interviews were completed 2 weeks after the police intervention and every 2 weeks thereafter for 24 weeks. The first victim interview was face-to-face while each subsequent interview was conducted over the telephone. The victim interviews allowed researchers to examine domestic violence offenses that may have occurred but did not come to the official attention of police.

9. What was/were the experimental group(s)?

Since three interventions were used in the MDVE, there are three different groups of people, totaling 314 cases. There were two experimental groups. First, the 136 people arrested during the study comprised one experimental group. Second, the 89 people separated during the study comprised the second experimental group.

10. What was/were the control group(s)?

Since the common police practice at the time for cases of misdemeanor domestic violence was to advise and mediate the situation, leaving both parties at the location, the control group was the 89 people advised/mediated during the domestic violence calls for service.

11. How was random assignment established? Be sure to discuss the procedures used to establish and monitor equivalence.

The three different police actions were randomly distributed based on color-coded report forms carried by the officers. Upon a misdemeanor domestic violence call with both parties present, the officer�s action (arrest, separation, or mediation) was predetermined by the order of report forms in the officer�s notebook. The colored report forms were randomly ordered in the officer�s notebook and the color on the form determined the officer response at the scene. All colored report forms were randomly ordered through a lottery assignment method. The result was that all police officer actions in misdemeanor domestic violence calls were randomly assigned. To ensure the random assignment was carried out as planned, research staff participated in ride-alongs with officers to ensure that officers did not skip the order of randomly ordered forms. In addition, the research staff logged the domestic violence reports in the order received to make sure the sequence corresponded to the original assignment of police interventions. Table 1 in the research article located in Appendix A shows the degree to which the treatments were delivered as designed.

12. Identify two threats to internal validity that may impact the results of this study. For each threat to internal validity identified, define the threat, describe how it applies to this study, and explain how it may impact the results of this study.

The first threat to internal validity is selection bias. As depicted in Table 1 in the article in Appendix A, the officers did not always follow the random assignment protocol. For example, some officers decided to violate the random assignment protocol, which violated the randomized experimental design, because they found the upcoming treatment inappropriate for the situation. The officers did not always follow the randomly assigned action (arrest, separation, or mediation) as a result of other circumstances that occurred at the scene. In fact, some officers simply ignored the assigned action if they felt a particular call for domestic violence required another action. Selection bias generally indicates that the experimental group is somehow different from the control group on a factor that could influence the post-test results. Since the officers violated the random assignment protocol and self-selected some subjects for arrest, the arrested group may be different from the other two groups on factors that may impact repeat domestic violence.

The second threat to internal validity is attrition or subject mortality. Attrition refers to differential loss in the number or type of subjects between the experimental and control groups. In the MDVE, attrition occurred with the victim interviews. Only 205 of the victims (65% response rate) could be located and initial interviews obtained two weeks after the police intervention. Only 161 victims (51% response rate) provided all 12 follow-up interviews over the 6-month follow-up period. The question then is, �Are there differences between the respondents and the nonrespondents that could then impact the results of the MDVE?� We do not know how the two groups differed so are unable to adequately answer the question. We do know from Chapter 4 that as the response rate decreases, it becomes more likely that the nonrespondents will differ from the survey respondents. When there are significant differences between respondents and nonrespondents, each group represents biased subgroups of the total population. Bias means that in some systematic way the individuals responding to a survey are different from the overall population. Therefore, the results based on the survey respondents are not reflective of the overall population.

Chapter Summary

In this chapter, we reviewed the steps in the research process to provide the �big picture� of research endeavors. We also reviewed the structure of research articles. It is helpful as an educated consumer of research to understand the common structure of research articles and reports. You will be able to easily identify these sections as you review research articles and reports in the future. We specifically discussed three external indicators of research quality, including researcher reputation, institutional reputation, and journal quality. The external indicators can serve as a short-cut method to determine if the research article is worth further attention and assessment. Although the external indicators of research quality serve as a quick screening mechanism for research articles, it is not a substitute for a detailed, internal review of the article. A reader who critically assesses a research article will evaluate the methodology used by the researcher, assess the analysis performed, and verify that the conclusions drawn by the authors are supported by the research findings. We reviewed the internal indicators of research quality in this chapter. The discussion was a culmination of the tools provided throughout this book to critically evaluate research. Finally, this chapter provided an example of a research article critique to demonstrate how the internal indicators of research quality can be used to assess a research article. Now that you have finished this chapter, you have the tools necessary to thoroughly review and evaluate research, with one exception: statistics. Statistics will be covered in the next chapter.

Critical Thinking Questions

1. What are the steps in the research process, and what activities occur at each step?

2. What are the primary sections of a research article, and what material is covered in each section?

3. What are the three main external indicators of research quality? How is journal quality determined?

4. How would you apply the internal indicators of research quality to a research article? Be sure to provide the types of questions you would ask in your assessment.

1 Grogger, Jeffrey, and Greg Ridgeway. (2006). �Testing for racial profiling in traffic stops from behind a veil of darkness.� Journal of the American Statistical Association 101, 878�887.

2 Worden, Robert E., Sarah J. McLean, and Andrew R Wheeler. (2012). �Testing for racial profiling with the veil-of-darkness method.� Police Quarterly 15, 92�111.

4 Hamermesh, D. S. (1996). Workdays, workhours, and work schedules: Evidence for the United States and Germany. Kalamazoo, MI: W. E. Upjohn Institute for Employment Research.

5 Worden, et al., 2012.

6 http://www.racialprofilinganalysis.neu.edu/background/ jurisdictions.php. Retrieved on July 28, 2012.

8 Worden, et al., 2012.

9 http://www.forbes.com/sites/jacquelynsmith/2012/07/20/ how-road-rage-endangers-your-commute-and-how-to-prevent-it-in-yourself/; http://www.careerbuilder.com/ share/aboutus/pressreleasesdetail.aspx?sd=7/l8/2012&id=pr708&ed=12/31/2012

10 Pyrczak, Fred. (2008). Evaluating research in academic journals: A practical guide to realistic evaluation. Glendale, CA: Pyrczak Publishing.

12 McReynolds, Larkin S., and Jeffrey C. Sandler. (2012). �Evaluating New York State�s Sex Offender Management and Treatment Act: A matched historical cohort analysis.� Criminal Justice Policy Review 23, 164�185.

13 Sandler, J. C., N. J. Freeman, and K. M. Socia. (2008). �Does a watched pot boil? A time-series analysis of New York State�s sex offender registration and notification.� Psychology, Public Policy, and Law 14, 284�302; Zgoba, K., P. Witt, M. Dalessandro, and B. Veysey. (2008). Meghan � s Law: Assessing the practical and monetary efficacy. Washington, D.C.: U.S. Department of Justice.

14 Duwe, G., W. Donnay, and R. Tewksbury. (2008). �Does residential proximity matter? A geographic analysis of sex offense recidivism.� Criminal Justice and Behavior 35, 484�504.

15 Pyrczak, 2008.

19 Dance, Amber. (August 7, 2007). �Videos as a baby brain drain: A study finds infants who view some popular educational products learn fewer words.� Los Angeles Times. http://articles.latimes.com/2007/aug/07/science/ sci-babyeinstein7. Retrieved on July 28, 2012; Park, Alice. (August 6, 2007). �Baby Einsteins: Not so smart after all.� Time Science. http://www.time.com/time/ health/article/0,8599,1650352,00.html. Retrieved on July 28, 2012.

20 Zimmerman, Frederick J., Dimitri A. Christakis, & Andrew N. Meltzoff. (2007). �Associations between media viewing and language development in children under age 2 years.� Journal of Pediatrics 151, 364�368.

22 http://www.washington.edu/alumni/uwnewslinks/200709/ videos.html. Retrieved on July 28, 2012.

23 http://www.seattlepi.com/local/article/The-full-text-of -Walt-Disney-Co-s-letter-1246455.php. Retrieved on July 28, 2012.

25 uwnews.washington.edu/ni/article.asp?articleID=36148. Retrieved on July 28, 2012.

26 Piliavin, Irving, and Scott Briar. (1964). �Police encounters with juveniles.� American Journal of Sociology 70, 206�214. This study was also included in Amy B. Thistlethwaite and John D. Wooldredge. (2010). Forty studies that changed criminal justice: Explorations into the history of criminal justice research. Upper Saddle River, NJ: Prentice Hall.

Applied Research Methods in Criminal Justice and Criminology Copyright © 2022 by University of North Texas is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License , except where otherwise noted.

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Methods of Criminology and Criminal Justice Research: Volume 24

Table of contents

Introduction: measuring crime and criminal justice, part i: general patterns and trends, is crime rising or falling a comparison of police-recorded crime and victimization surveys.

Purpose – Statistics about the level of crime continue to attract public and political attention but are often presented in conflicting ways. In England and Wales, police-recorded crimes are no longer considered “national statistics” and, instead, the crime survey of England and Wales (CSEW) is used. However, it is not clear why partial population data (e.g., police-recorded crime) are considered less reliable or valid for measuring temporal crime trends in society than inferential statistical estimation models that are based on samples such as CSEW. This is particularly the case for approximating rare events like high-harm violence and specific harmful modus operandi (e.g., knife crime and firearms). In this chapter, the authors cross-reference victim survey and police-recorded data to determine similarities and contradictions in trends.

Methods – Using police data and CSEW estimates, the authors contrast variance and logarithmic trend lines since 1981 across a range of data categories and then triangulate the results with assault records from hospital consultations.

Findings – Change in crime rates in recent years is neither as unique nor extreme as promulgated in media coverage of crime. Moreover, analyses show conflicting narratives with a host of plausible but inconclusive depictions of the “actual” amount of crime committed in the society. The authors also conclude that neither source of data can serve as the benchmark of the other. Thus, both data systems suffer from major methodological perils, and the estimated crime means in CSEW, inferred from samples, are not necessarily more valid or accurate than police-recorded data (particularly for low-frequency and high-harm crimes). On the other hand police-recorded data are susceptible to variations in recording practices. As such, the authors propose a number of areas for further research, and a revised taxonomy of crime classifications to assist with future public interpretations of crime statistics.

Originality – There is much public and academic discourse about different sources of crime measurement yet infrequent analysis of the precise similarities and differences between the methods. This chapter offers a new perspective on long-term trends and highlights an issue of much contemporaneous concern: rising violent crime.

Using Freedom of Information Requests in Socio-Legal Studies, Criminal Justice Studies, and Criminology

Purpose – The chapter explores the use of freedom of information (ATI/FOI) requests in social science research, with specific focus on using ATI/FOI requests in socio-legal studies, criminal justice studies, and criminology.

Methodology/approach – ATI/FOI requests constitute a novel method of data collection that has methodological and also epistemological implications for researchers.

Findings – The chapter explains how to use ATI/FOI requests in social science as well as how to navigate challenges and barriers ATI/FOI users regularly face.

Originality/value – There is a paucity of writings on use of ATI/FOI requests in socio-legal studies, criminal justice studies, and criminology. The chapter reveals the value of using ATI/FOI in social science and the originality of the data that ATI/FOI requests can result in.

Criminal Group Dynamics and Network Methods

Purpose – Criminal groups have long been central to explanations of crime and deviance. Yet, challenges in measuring their dynamic and transient nature meant that group-level explanations were often displaced in favor of individual-level ones. This chapter outlines how network methods provide a powerful tool for modeling the dynamic nature of criminal groups.

Approach – The chapter starts by providing a brief introduction to social network analysis, including key concepts and terminology. The chapter then focuses on the types of relational data available to study criminal groups, and how network methods can be used to delineate group boundaries. The chapter concludes by presenting a framework for understanding group dynamics from a network perspective, describing the contributions of network analysis to theories of group processes.

Findings – Network methods have provided meaningful advances to the study of group dynamics, leading scholars to revisit assumptions about the impact of group’ structure on delinquent behavior. Network studies of group dynamics have primarily focused on the cohesion–delinquency link (within-group structure) and the social contagion of conflict (between-group structure), highlighting important opportunities for the intersection of these two inquiries.

Value – Network methods provide a means to revisit and extend theories of crime and delinquency with a focus on social structure. The unique affinity between group dynamics and network methods highlights immense opportunities for expanding the knowledge of collective trajectories.

Part II: Special Groups and Problems

Innovative methods of gathering survey data on violence against women.

Purpose – This chapter presents some innovative ways in which researchers can collect survey data on various types of violence against women.

Methodology/approach – The suggestions made here are drawn from over 30 years of national, international, and local survey research.

Findings – The methods described in this chapter minimize underreporting, produce theoretically relevant data, and have meaningful policy consequences.

Originality/value – The research techniques reviewed here have made many important contributions to the field and the data they uncovered have helped raise public awareness about one of the world’s most compelling social problems.

Methods of Male Sex Work Research: Recommendations and Future Research Opportunities

Purpose – Exploration of the methodological aspects of male sex work is rather limited. Without a strong methodological toolkit to draw from, research in male sex work will not be able to accurately capture changes in the dynamic sex work environment. Thus, the author provides a comprehensive review of methods in male sex work along with a broad spectrum of methodological insights through which future research can be advanced.

Methodology/approach – Drawing from two studies that the author conducted in the male independent escorting space, this chapter provides a range of methodological insights and offers avenues for future research.

Findings – This chapter reviews the methods used in male sex work research over the years and details the lack of research on methodological inquiry in the field.

Originality/value – With the increasing normalization and dynamism of male sex work, it is necessary for the research to provide methodological guidance for the next wave of studies in the field. The recommendations and research directions proposed herein are hoped to have implications for research in the larger sex work context.

Employing Mixed Methods: The Case of Elder Financial Exploitation

Purpose – This chapter will demonstrate the usefulness of mixed methods research in an understudied area of criminology and criminal justice, namely elder financial exploitation.

Methodology/approach – The data and research methodology described in this chapter come from a recently completed comprehensive case study of elder financial exploitation in Florida.

Findings – Elder financial exploitation is a growing social problem in the United States and there is little theoretical or empirical research available regarding the prevalence, risk factors, protective factors, and consequences. Given that the current status of the research literature is largely fragmented and discontinuous, conducting a survey aimed at validation was not possible. Through the mixed method case study involving a literature review, focus group discussions, and interview questions, the authors have developed a theoretical framework for elder financial exploitation that can be quantitatively validated.

Originality/value – This chapter provides justification for the expanded use of mixed methods research for other understudied topic areas within criminology and criminal justice and provides the foundation for the development of a comprehensive theoretical framework for explaining elder financial exploitation.

Perceptions of School Safety in the Aftermath of a Shooting: Challenge to Internal Validity?

Purpose – In the midst of the second wave of data collection for a Comprehensive School Safety Initiative (CSSI) research project, a mass shooting occurred at Marjory Stoneman Douglas High School in Parkland, Florida. This tragic incident provoked responses across the United States, including intense political discourse, organized student protests, and active shooter drills. In order to assess the potential influence of a major threat to school safety on the perceptions of adolescents, this chapter analyzes the survey responses of middle and high school students in St. Louis County.

Methodology/approach – Approximately one-third of the sample was surveyed prior to the shooting and the remaining students completed surveys within three months after the shooting. The authors examines the potential influence of the shooting on students’ reports on a number of school safety issues, including fear and perceived risk of victimization, likelihood of reporting guns on campus, and engaging in avoidance behaviors.

Findings – Results indicate that the shooting significantly influenced students’ perceptions of school disorder and likelihood of reporting a weapon at school, especially in white, less disadvantaged schools. The results also reflect meaningful effects based on the timing of data collection post-shooting, with many of the significant changes appearing within three weeks after February 14, 2018.

Originality/value – This study explores how external events may influence student perceptions of school safety. Moreover, this study offers a methodological contribution by demonstrating an assessment of the Parkland shooting as a potential threat to internal validity.

Part III: Crossing Boundaries

Methodological challenges in collaborative research with immigrant women experiencing intimate partner violence in canada.

Purpose – The chapter explores the methodological challenges in doing community-based participatory research (CBPR) in social science investigations with immigrant women experiencing intimate partner violence (IPV) in Canada.

Methodology/approach – The methodological comments, observations, and challenges discussed in this chapter result from research funded by the Social Science and Humanities Council, a branch of the Canadian Federal Tri-Council. The research that the authors conducted was both quantitative and qualitative in nature. The sample consisted of three groups of women: (1) immigrant women in Canada >10 years, (2) immigrant women in Canada <10 years, and (3) visible minority women born in Canada.

Findings – The chapter highlights some of the lessons learned in conducting CBPR research in the context of immigrant survivors of IPV. This discussion can be relevant to both academics and non-profit/advocacy agencies interested in pursuing community partnership research on interpersonal violence.

Originality/value – There is a paucity of writings on CBPR research in the social science and the challenges. This chapter reveals the methodological challenges that the researchers experienced in doing CBPR with racialized immigrant women who are survivors of IPV. This discussion can be relevant to both academics and non-profit/advocacy agencies interested in pursuing community partnership research on interpersonal violence.

The Uses and Limits of Photovoice in Research on Life After Immigration Detention and Deportation

Purpose – This chapter critically reflects on the author’s failed attempt to incorporate visual methods in follow-up research on immigration detention and deportation in Britain. In particular, it considers the uses and limits of participant-generated visuals, and the specific method of photovoice, which were originally conceived as a means to explore themes of home, identity, and belonging in and through practices of detention and release or expulsion.

Methodology/approach – This chapter discusses the visual method of photovoice to consider the uses and limits of participant-generated visuals.

Findings – Drawing on the notion of research “failure,” this chapter highlights the challenges and limitations of photovoice in follow-up research with individuals who were detained and/or deported, pointing to various methodological, logistical, ethical, and political issues pertaining to the method itself and the use of the visual in criminological research.

Originality/value – Criminologists are increasingly considering the visual and the power of photographic images within criminological research, both as objects of study and through the use of visual methodologies. This shift toward the examination, as well as integration, of images raises a number of important methodological, ethical, and political questions worthy of consideration, including instances where visual methods like photovoice are unsuccessful in a research project.

Agency Records as a Method for Examining Human Trafficking

Purpose – The purpose of this chapter is to examine the ways in which human trafficking has been measured through the use of agency record data.

Approach – The authors review the state of previous research on human trafficking using agency record data and the challenges that are important to consider when using agency records in the study of human trafficking.

Findings – Researchers have used agency records in a wide variety of ways to measure human trafficking victimization, perpetration, and patterns or case characteristics. Agency data provide unique contributions to understand human trafficking including the scope of the problem, predictors of victimization, and public perceptions of this crime. The authors describe the efforts to use agency records to estimate the prevalence of human trafficking in a statewide study.

Value – This chapter provides an overview of how agency records have been used in human trafficking research in recent years. Furthermore, this chapter includes a case study and methodological reflection on the use of agency records in a statewide human trafficking prevalence study. The authors conclude with a methodological reflection and considerations moving forward for future use of agency data in human trafficking research.

Searching for Extremist Content Online Using the Dark Crawler and Sentiment Analysis

Purpose – This chapter examines how sentiment analysis and web-crawling technology can be used to conduct large-scale data analyses of extremist content online.

Methods/approach – The authors describe a customized web-crawler that was developed for the purpose of collecting, classifying, and interpreting extremist content online and on a large scale, followed by an overview of a relatively novel machine learning tool, sentiment analysis, which has sparked the interest of some researchers in the field of terrorism and extremism studies. The authors conclude with a discussion of what they believe is the future applicability of sentiment analysis within the online political violence research domain.

Findings – In order to gain a broader understanding of online extremism, or to improve the means by which researchers and practitioners “search for a needle in a haystack,” the authors recommend that social scientists continue to collaborate with computer scientists, combining sentiment analysis software with other classification tools and research methods, as well as validate sentiment analysis programs and adapt sentiment analysis software to new and evolving radical online spaces.

Originality/value – This chapter provides researchers and practitioners who are faced with new challenges in detecting extremist content online with insights regarding the applicability of a specific set of machine learning techniques and research methods to conduct large-scale data analyses in the field of terrorism and extremism studies.

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Criminal Justice

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Criminology research methods.

This section provides an overview of various research methods used in criminology and criminal justice. It covers a range of approaches from quantitative research methods such as crime classification systems, crime reports and statistics, citation and content analysis, crime mapping, and experimental criminology, to qualitative methods such as edge ethnography and fieldwork in criminology. Additionally, we explore two particular programs for monitoring drug abuse among arrestees, namely, the Drug Abuse Warning Network (DAWN) and Arrestee Drug Abuse Monitoring (ADAM). Finally, the article highlights the importance of criminal justice program evaluation in shaping policy decisions. Overall, this overview demonstrates the significance of a multidisciplinary approach to criminology research, and the need to combine both qualitative and quantitative research methods to gain a comprehensive understanding of crime and its causes.

I. Introduction

• Brief overview of criminology research methods • Importance of understanding different research methods in criminology

II. Drug Abuse Warning Network (DAWN) and Arrestee Drug Abuse Monitoring (ADAM)

• Definition and purpose of DAWN and ADAM • Methodology and data collection process • Significance of DAWN and ADAM data in criminology research

III. Crime Classification Systems: NCVS, NIBRS, and UCR

• Overview and purpose of each system • Differences between the systems • Advantages and limitations of each system

IV. Crime Reports and Statistics

• Sources of crime data and statistics • Limitations of crime data and statistics • Use of crime data and statistics in criminology research

V. Citation and Content Analysis

• Definition and purpose of citation and content analysis • Methodology and data collection process • Applications of citation and content analysis in criminology research

VI. Crime Mapping

• Definition and purpose of crime mapping • Methodology and data collection process • Applications of crime mapping in criminology research

VII. Edge Ethnography

• Definition and purpose of edge ethnography • Methodology and data collection process • Applications of edge ethnography in criminology research

VIII. Experimental Criminology

• Definition and purpose of experimental criminology • Methodology and data collection process • Applications of experimental criminology in criminology research

IX. Fieldwork in Criminology

• Definition and purpose of fieldwork in criminology • Methodology and data collection process • Applications of fieldwork in criminology research

X. Criminal Justice Program Evaluation

• Definition and purpose of criminal justice program evaluation • Methodology and data collection process • Applications of criminal justice program evaluation in criminology research

XI. Quantitative Criminology

• Definition and purpose of quantitative criminology • Methodology and data collection process • Applications of quantitative criminology in criminology research

XII. Conclusion

• Importance of understanding different research methods in criminology • Future directions for criminology research methods

Criminology research methods are crucial for understanding the causes and patterns of crime, as well as developing effective strategies for prevention and intervention. There are various methods used in criminological research, each with its own strengths and limitations. Understanding the different research methods is essential for conducting high-quality research that can inform policies and practices aimed at reducing crime and promoting public safety. This overview provides an overview of some of the most commonly used criminology research methods, including the Drug Abuse Warning Network (DAWN) and Arrestee Drug Abuse Monitoring (ADAM), crime classification systems such as the National Crime Victimization Survey (NCVS), National Incident-Based Reporting System (NIBRS), and Uniform Crime Reporting (UCR), crime reports and statistics, citation and content analysis, crime mapping, edge ethnography, experimental criminology, fieldwork in criminology, and quantitative criminology. The survey highlights the importance of understanding these methods and their applications in criminology research.

The Drug Abuse Warning Network (DAWN) and Arrestee Drug Abuse Monitoring (ADAM) are two important research methods used in criminology to collect data on drug use and abuse among the population.

DAWN is a national public health surveillance system that tracks drug-related emergency department visits and deaths in the United States. The system collects data on drug-related medical emergencies and deaths from a variety of sources, including hospitals, medical examiners, and coroners. The purpose of DAWN is to provide information on drug use trends and the impact of drug use on public health and safety.

ADAM, on the other hand, is a research program that collects data on drug use and drug-related criminal activity among individuals who have been arrested and booked into jail. The program is designed to provide information on the prevalence of drug use and abuse among individuals involved in the criminal justice system.

Both DAWN and ADAM use similar methodology and data collection processes. Data is collected through interviews with individuals who have been involved in drug-related incidents, and through the analysis of drug-related data collected from medical and criminal justice records.

The significance of DAWN and ADAM data in criminology research is twofold. First, the data provides valuable information on drug use trends and patterns, which can inform the development of drug prevention and treatment programs. Second, the data can be used to understand the relationship between drug use and criminal behavior, and to inform criminal justice policies related to drug offenses.

Overall, the use of DAWN and ADAM in criminology research has contributed significantly to our understanding of drug use and abuse among the population, and has helped inform public health and criminal justice policies related to drug offenses.

The classification of crimes is an essential component of criminology research. The three main crime classification systems used in the United States are the National Crime Victimization Survey (NCVS), the National Incident-Based Reporting System (NIBRS), and the Uniform Crime Reporting (UCR) Program.

The NCVS is a victimization survey that collects data on the frequency and nature of crimes that are not reported to law enforcement. The survey is conducted by the Bureau of Justice Statistics and includes a sample of households and individuals. The NCVS provides valuable insights into crime victimization patterns and trends.

The NIBRS, on the other hand, is a more detailed crime reporting system that provides a comprehensive view of crime incidents. It captures more data than the UCR, including information on the victim, offender, and the circumstances surrounding the crime. The NIBRS is being adopted by law enforcement agencies across the country and is expected to replace the UCR as the primary crime reporting system.

The UCR is the longest-running and most widely used crime reporting system in the United States. It collects data on seven index crimes, including murder, rape, robbery, aggravated assault, burglary, larceny-theft, and motor vehicle theft. The UCR provides an overview of crime trends and patterns at the national, state, and local levels.

Each system has its advantages and limitations. For example, the NCVS provides valuable information on crime victimization that is not captured by the UCR or NIBRS. The NIBRS provides more detailed information on crimes than the UCR but requires more resources to implement. The UCR is widely used and provides long-term trends but does not capture detailed information on each crime incident.

Understanding the differences and similarities between these classification systems is important for criminology research and policy development.

Crime reports and statistics are essential sources of data for criminology research. Law enforcement agencies, criminal justice systems, and government agencies collect and analyze crime data to develop policies and strategies to reduce crime rates. However, crime data and statistics have several limitations that researchers should consider when interpreting and using them in research.

One limitation of crime data and statistics is that they rely on the accuracy and completeness of reported crimes. Not all crimes are reported to law enforcement, and those that are reported may not be accurately recorded. Additionally, the police may have biases in their reporting practices, which can affect the accuracy of the data.

Another limitation of crime data and statistics is that they do not always provide a complete picture of crime. For example, crime data may not capture crimes that occur in private places or are committed by people who are not typically considered criminals, such as white-collar criminals.

Despite these limitations, crime data and statistics are still valuable sources of information for criminology research. They can help researchers identify patterns and trends in crime rates and understand the factors that contribute to criminal behavior. Crime data can also be used to evaluate the effectiveness of criminal justice policies and programs.

Researchers should be cautious when using crime data and statistics in their research and acknowledge the limitations of these sources. They should also consider using multiple sources of data to triangulate their findings and develop a more comprehensive understanding of crime trends and patterns.

Citation and content analysis are research methods that are increasingly used in criminology. Citation analysis involves the systematic examination of citations in published works to determine patterns of authorship, influence, and intellectual relationships within a given field. Content analysis, on the other hand, involves the systematic examination of written or visual material to identify patterns or themes in the content.

In criminology research, citation and content analysis can be used to study a wide range of topics, including the evolution of criminological theories, the impact of specific research studies, and the representation of crime and justice issues in the media. These methods can also be used to identify gaps in the literature and to develop new research questions.

The methodology for citation analysis involves gathering data on citations from published works, including books, articles, and other sources. This data is then analyzed to determine patterns in the citations, such as which works are cited most frequently and by whom. Content analysis involves the systematic examination of written or visual material, such as news articles or social media posts, to identify patterns or themes in the content. This process may involve coding the content based on specific categories or themes, or using machine learning algorithms to identify patterns in the data.

Citation and content analysis are important tools in criminology research because they provide a way to examine the influence of research and ideas over time, as well as the representation of crime and justice issues in the media. However, these methods also have limitations, such as the potential for bias in the selection of sources or the coding of content.

Overall, citation and content analysis are valuable research methods in criminology that can provide insights into the evolution of criminological theories, the impact of specific research studies, and the representation of crime and justice issues in the media.

Crime mapping is a criminology research method that visualizes the spatial distribution of crime incidents. Crime mapping involves the use of Geographic Information Systems (GIS) and other digital mapping tools to display crime data. The purpose of crime mapping is to provide researchers and law enforcement agencies with a better understanding of the spatial patterns of criminal activity in a given area.

Methodology and data collection process for crime mapping involve the collection of crime data and the use of GIS software to display the data in a visual format. Crime data can be collected from a variety of sources, such as police reports, victim surveys, and self-report surveys. Once the data is collected, it is geocoded, or assigned a geographic location, using a global positioning system (GPS) or address information.

The applications of crime mapping in criminology research are numerous. Crime mapping can be used to identify crime hotspots, or areas with a high concentration of criminal activity, which can help law enforcement agencies allocate resources more effectively. Crime mapping can also be used to identify crime patterns and trends over time, which can help researchers and law enforcement agencies develop strategies to prevent crime. Additionally, crime mapping can be used to evaluate the effectiveness of crime prevention and intervention strategies.

In conclusion, crime mapping is a valuable criminology research method that can provide researchers and law enforcement agencies with important insights into the spatial patterns of criminal activity. By using GIS and other digital mapping tools, crime mapping can help researchers and law enforcement agencies develop effective crime prevention and intervention strategies.

Edge ethnography is a criminology research method that focuses on studying the behaviors and social interactions of people on the fringes of society. It is often used to explore deviant or criminal behaviors in subcultures and marginalized groups. Edge ethnography involves immersive fieldwork, where the researcher actively participates in the activities of the group being studied to gain a deeper understanding of their values, beliefs, and practices.

The data collection process in edge ethnography involves participant observation, in-depth interviews, and document analysis. The researcher spends a considerable amount of time in the field to gain the trust and respect of the group members and to observe their behaviors and social interactions in a naturalistic setting. The researcher may also collect artifacts, such as photos and videos, to provide additional insights into the group’s activities.

Edge ethnography has many applications in criminology research. It can be used to explore the social and cultural contexts of criminal behaviors, as well as the experiences of marginalized groups in the criminal justice system. It can also be used to identify emerging trends and subcultures that may be associated with criminal activities.

However, edge ethnography also has limitations. It can be time-consuming and resource-intensive, requiring the researcher to spend a considerable amount of time in the field. It may also raise ethical concerns, particularly if the researcher is studying criminal activities or subcultures that engage in illegal behaviors. Therefore, it is important for researchers to carefully consider the ethical implications of their research and to take steps to protect the privacy and safety of their subjects.

Experimental criminology refers to the use of scientific experimentation to test theories related to crime and deviance. The goal is to isolate the effects of specific factors on criminal behavior by manipulating one variable while holding others constant. Experimental criminology can involve lab experiments, field experiments, and quasi-experiments.

The methodology involves randomly assigning participants to different groups, manipulating the independent variable, and measuring the dependent variable. The data collected can be both quantitative and qualitative.

Experimental criminology has been used to test a variety of theories related to crime, including deterrence theory, social learning theory, and strain theory. It has also been used to evaluate the effectiveness of criminal justice interventions, such as drug treatment programs and community policing initiatives.

Despite the potential benefits of experimental criminology, there are limitations to its use. For example, it can be difficult to generalize the findings of a lab experiment to real-world situations, and ethical concerns may arise when manipulating variables related to criminal behavior. However, experimental criminology remains a valuable tool in the criminology research arsenal.

Fieldwork is an integral part of criminology research that involves researchers immersing themselves in the settings they are studying to gather firsthand information about the social and cultural dynamics of the phenomenon being studied. Fieldwork in criminology can be conducted through various methods such as participant observation, ethnography, case studies, and interviews.

The purpose of fieldwork in criminology is to gain a deeper understanding of the social and cultural factors that contribute to criminal behavior, victimization, and the criminal justice system. Fieldwork also provides insights into the lived experiences of those involved in the criminal justice system and how they perceive and experience law enforcement, punishment, and rehabilitation.

The methodology and data collection process in fieldwork in criminology involve a range of activities, including developing research questions, selecting research sites, building relationships with research participants, conducting observations and interviews, collecting data, and analyzing data. Researchers may also use various tools such as field notes, audio and video recordings, photographs, and maps to document their observations and experiences.

Fieldwork in criminology has various applications, including exploring the social and cultural dynamics of crime and criminal justice, evaluating criminal justice programs and policies, and understanding the experiences of victims, offenders, and criminal justice professionals. Fieldwork is particularly useful in gaining insights into the perspectives and experiences of marginalized and vulnerable populations, such as those living in poverty, incarcerated individuals, and communities that experience high rates of crime.

Overall, fieldwork in criminology is a valuable research method that provides rich and detailed information about the social and cultural dynamics of crime, victimization, and the criminal justice system. It allows researchers to gain insights into the experiences and perspectives of those involved in the criminal justice system and provides opportunities to evaluate and improve criminal justice policies and programs.

Criminal justice program evaluation refers to the systematic assessment of programs and policies implemented within the criminal justice system to determine their effectiveness in achieving their intended goals. The evaluation process involves collecting and analyzing data to assess the program’s impact, cost-effectiveness, and efficiency. Program evaluation is an essential tool for policymakers and practitioners to make informed decisions about criminal justice policies and programs.

The methodology used in program evaluation varies depending on the program or policy being evaluated. However, the process typically involves identifying the program’s goals and objectives, determining the program’s theory of change, identifying the target population, developing measures to evaluate the program, collecting and analyzing data, and reporting the findings.

Criminal justice program evaluation can be used to assess a wide range of programs, including correctional programs, law enforcement initiatives, and community-based programs. Evaluation findings can be used to determine the effectiveness of the program in reducing recidivism, improving public safety, or achieving other goals.

In recent years, criminal justice program evaluation has gained increasing attention as policymakers and practitioners seek evidence-based solutions to address the challenges facing the criminal justice system. The use of program evaluation has been instrumental in identifying effective interventions and programs, as well as those that are ineffective or even counterproductive.

Overall, criminal justice program evaluation is a critical tool for improving the effectiveness of criminal justice policies and programs. By providing policymakers and practitioners with evidence-based information, program evaluation can help to ensure that resources are used efficiently and effectively to promote public safety and reduce crime.

Quantitative criminology is a research method that involves the use of statistical data and techniques to analyze and understand crime patterns and behavior. It focuses on measuring and analyzing crime trends and patterns, identifying risk factors, and evaluating the effectiveness of crime prevention and intervention programs.

Quantitative criminology involves the use of numerical data to understand crime and its correlates. The purpose of this research method is to test theories and hypotheses about the causes and consequences of crime, identify patterns and trends, and evaluate the effectiveness of criminal justice policies and programs.

Quantitative criminology uses a variety of research methods and data collection techniques, including surveys, experiments, observations, and secondary data analysis. Researchers use statistical analysis to identify patterns, trends, and relationships among variables, such as crime rates, demographic characteristics, and socioeconomic factors.

Quantitative criminology has been used to study a wide range of topics, including the relationship between crime and social inequality, the effectiveness of community policing programs, and the impact of incarceration on recidivism. It has also been used to develop and test theories of crime, such as social disorganization theory and strain theory.

Quantitative criminology has contributed significantly to our understanding of crime and criminal behavior. It has provided valuable insights into the causes and consequences of crime and helped to inform the development of effective crime prevention and intervention programs.

The study of criminology is a complex field that requires a variety of research methods to understand and analyze the causes and patterns of crime. This article has provided an overview of several important criminology research methods, including the Drug Abuse Warning Network (DAWN) and Arrestee Drug Abuse Monitoring (ADAM), crime classification systems such as NCVS, NIBRS, and UCR, crime reports and statistics, citation and content analysis, crime mapping, edge ethnography, experimental criminology, fieldwork, and criminal justice program evaluation. Each research method has its unique strengths and limitations, making it important for criminologists to choose the appropriate method for their research question.

As the field of criminology continues to evolve, it is important for researchers to consider new and innovative research methods. Future directions in criminology research may include advances in technology, such as the use of big data analytics and machine learning algorithms, as well as an increased emphasis on interdisciplinary collaborations between criminologists and experts in fields such as psychology, sociology, and public health.

Overall, the study of criminology requires a diverse range of research methods to fully understand the complex nature of crime and its causes. By utilizing these methods and continuing to explore new avenues for research, criminologists can make important contributions to our understanding of crime and help inform policies and interventions aimed at reducing crime and promoting public safety.

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Comparative Criminology and White-Collar Crime

• First Online: 14 February 2022

Cite this chapter

• Adam K. Ghazi-Tehrani 4 &
• Henry N. Pontell 5  

Part of the book series: Springer Series on Asian Criminology and Criminal Justice Research ((SSACCJR))

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Despite the importance and centrality of comparative criminological research, there are still substantial methodological impediments to its development. This chapter discusses the general framework used in the current study and issues related to comparative criminology and white-collar crime research. It reviews relevant literatures on the case study method in comparative research, and on comparative analyses of white-collar and corporate crime. The current parallel study of China and the United States, which have the largest economies in the world, elaborates on the perspective put forth by Zimring and Johnson on the comparative study of corruption as a special subcategory of white-collar crime. The chapter concludes by reviewing both theories and patterns of white-collar and corporate crimes found in studies in the East and the West, including those relating to endemic and costly financial debacles in China and the United States. The dynamics of non-issue making are discussed to provide a more robust model for understanding white-collar and corporate crime in cross-national perspective, including overcoming problems in searching out best practices for prevention. Even considering its much larger size, China’s reported problem of corruption and white-collar crime appears far greater than that of other developed nations.

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Ghazi-Tehrani, A.K., Pontell, H.N. (2022). Comparative Criminology and White-Collar Crime. In: Wayward Dragon. Springer Series on Asian Criminology and Criminal Justice Research. Springer, Cham. https://doi.org/10.1007/978-3-030-90704-4_2

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Annual Review of Criminology

Volume 5, 2022, review article, open access, analytic criminology: mechanisms and methods in the explanation of crime and its causes.

• Per-Olof H. Wikström 1 , and Clemens Kroneberg 2
• View Affiliations Hide Affiliations Affiliations: 1 Institute of Criminology, University of Cambridge, Cambridge CB3 9DA, United Kingdom; email: [email protected] 2 Institute of Sociology and Social Psychology, University of Cologne, 50923 Köln, Germany; email: [email protected]
• Vol. 5:179-203 (Volume publication date January 2022) https://doi.org/10.1146/annurev-criminol-030920-091320
• First published as a Review in Advance on September 23, 2021
• Copyright © 2022 Per-Olof H. Wikström & Clemens Kroneberg. This work is licensed under a Creative Commons Attribution 4.0 International License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. See credit lines of images or other third-party material in this article for license information

Criminology is a smorgasbord of disparate theory and poorly integrated research findings. Theories tend to focus either on people's crime propensity or the criminogenic inducements of environments; rarely are these two main approaches effectively combined in the analysis of crime and its causes. Criminological research often either avoids questions of causation and explanation (e.g., risk factor approach) or is based on research designs that yield highly partial accounts (e.g., place-oriented experimental work). To advance knowledge about crime and its causes and prevention, we argue that there is a need for an analytic criminology that allows key theoretical insights and central empirical findings about people's crime propensities and environments’ criminogenic inducements and their combination to be integrated based on an adequate action theory. In this review, we outline this approach and its main methodological implications and discuss how its focus on why and how questions leads to a characteristic integration of theory development, methods, and research.

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A Case for the Case Study

Joe R. Feagin

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Criminology encompasses a number of disciplines , drawing on methods and techniques developed in both the natural and the social sciences. As do other disciplines, criminology distinguishes between pure and applied research and between statistical and intuitive ways of thinking. More than most other disciplines, however, criminological research depends upon the willing cooperation of governmental agencies and other public authorities for the provision of essential data.

The manner and extent of data collection differ considerably from country to country and even within countries that have federal systems. Variables include how often data are collected and published, what items are given importance, whether the choice is between complete listings or sample surveys, and what the ratio between governmental and private research is. These differences, combined with differences in law and legal administration and in popular views and habits, have made it difficult to devise a meaningful system of international criminal statistics and to compare national statistics that are collected separately.

The most common data used in criminological research are official statistics, which are collected as part of the operation of criminal justice agencies. For example, police collect data on the crimes they know about and on the people they arrest for committing those crimes; courts collect data on the cases that are brought to them and on the outcomes of those cases, including convictions; and prisons and jails, as well as probation and parole agencies, collect data on the people under their jurisdiction . In all cases the usefulness of official criminal statistics depends on human factors such as the willingness of private individuals to report criminal events to the police, of the police to officially respond to the criminal event, and of court officials to prosecute the case. Because these decisions depend on a variety of factors—including whether the criminal laws at issue are popular or unpopular, whether the criminal event occurs in a high-crime or low-crime area, and whether the victim or offender is a member of a minority group—they are not very reliable as a measure of the amount of crime in a society or of changes in the amount of crime over time.

To overcome problems with official statistics, researchers in many countries have utilized victimization surveys, in which random samples of the population are generally asked whether they have been victims of crime within a specified period of time. Although these surveys have methodological problems (e.g., they rely entirely on the memory of victims), they have generally been more accurate than official statistics in displaying trends in crime over time. These surveys have often been conducted by governmental agencies, such as the U.S. Census Bureau , which began its annual survey in 1972. Many other countries later implemented victim surveys, including Britain, France, Germany, Sweden, Canada, Israel, and New Zealand; the United Nations also sponsors an international crime victim survey.

Criminologists supplement the official statistics with self-report surveys, in which people are asked if they have committed any offenses of a particular kind. Usually conducted by individual criminologists rather than by government agencies, these studies generally survey juveniles rather than adults, and they typically ask respondents about relatively minor criminal events rather than very serious ones. Nevertheless, the combined information from self-report surveys, victimization surveys, and official statistics will generally provide a more accurate description of crime.

The case study , also called the individual case history , concentrates on the career or life of one individual or group of individuals and is the method used primarily, though not exclusively, by psychologists, psychiatrists, and psychoanalysts. Although the method has some shortcomings, such histories can provide insights into the personalities and motives of criminals. The number of criminological case studies has grown steadily, but their reliability is sometimes suspect: their publication is comparatively rare; professional ethics often forbid the exposure of details given confidentially; and those studies actually published may be atypical of the general subject they attempt to explore. In a similar vein, autobiographies and other books written by criminals can cast light on criminal motives and acts. Despite their considerable human and scientific interest, however, such works generally suffer from significant disadvantages—including a lack of objectivity.

Typologies involve classifying offenses or offenders according to some criteria of relatedness or similarity. For example, criminologists have made many attempts to arrange offenders into categories such as “normal” or “abnormal” and “habitual” or “professional” and to develop a continuum of criminals that would extend from the “insane” at one extreme through various career criminals, petty offenders, and white-collar criminals to “organized” or “professional” criminals at the other extreme. The typological method, while broader than the case study, is not so broad as the statistical method, being less impersonal and heterogeneous than that method and less individual or specific than the case study. The method, developed initially in Germany and Austria, has been criticized because it attempts to reduce complex phenomena to simple terms while tending to ignore important individual differences. Despite its considerable intuitive appeal, its problems seem to outweigh its benefits, and it is consequently not often used.

A controlled experiment involves taking two closely related situations or groups, subjecting one of them to a specific stimulus, and comparing the subsequent characteristics of both. In the past, so-called experiments by judicial, penal, and reformatory institutions were not really controlled or even experimental in the scientific sense, because public agencies considered themselves bound by the idea of justice to give equal treatment to equals rather than one kind of treatment to one group and another kind to another group. By the 1980s, however, public criminal justice agencies were more willing to engage in experimental research. Police in Minneapolis, Minn., for example, participated in a controlled random experiment on the use of arrest in domestic violence situations. When police encountered domestic violence, the decision of whether to arrest the offender was determined by random assignment, and these events were recorded for the next six months. The results indicated that, if the offender was arrested and spent one night in jail, the incidence of repeat domestic violence against the same victim in the next six months was halved. The research had a significant impact on police policies regarding domestic violence throughout the United States , and, because of such significant results, experimental research became more common in criminology and criminal justice.

Such experimentation is nonetheless criticized by justice officials and the public, largely because they continue to believe that equal treatment should be accorded to equals. Nevertheless, its use has been spreading, largely because it seems to be the most effective means of determining whether police policies actually produce their intended effects.

Criminological prediction attempts to forecast the future conduct of persons under certain conditions. Whether based on statistics, case histories, or a combination of both, the predictions indicate the likelihood that a specific individual or group will be affected by certain conditions or treatments. Thus, for example, some people who commit some kinds of crimes, such as drug and sex offenses, are considered fairly likely to recidivate, while people who commit crimes such as murder are considered fairly unlikely to recidivate. Although statistical prediction can never be conclusive and can merely show certain probabilities, the method can be valuable in supplementing the inevitably limited personal experience of judges and administrators. In the last decades of the 20th century, prediction research became a very popular criminological method.

Action research, which is often contrasted with experimental research, consists of drawing upon the observations of field-workers and other persons directly involved with delinquents, potential delinquents, or prisoners. For example, social workers have attempted to help children and adolescents living in slums cope with their problems and at the same time have studied their delinquent behaviour, related it to their environment , and evaluated the results of youth clubs or other services offered. Action research attempts to achieve practical results through collaboration with field-workers. Trying to build a bridge between abstract theories and practical work, it often dispenses with formal hypotheses and simply aims at identifying and implementing tactics and activities that will help prevent delinquent behaviour. The best known and perhaps most successful example was Clifford Shaw’s Chicago Area Project, carried out during the 1920s and ’30s, which applied the ecological theories of University of Chicago sociologists Robert Park and Ernest Burgess in an attempt to motivate local residents to deal with the social problems of their neighbourhoods.

In the late 20th century, criminology increasingly focused on cross-cultural approaches. Some cross-cultural studies have emphasized comparisons between descriptive statistics (e.g., two studies of delinquency in Philadelphia birth cohorts—persons born in the same year—were replicated with similar cohorts in Puerto Rico and China). Other studies have attempted to determine the individual characteristics associated with the increased likelihood of committing crime. For example, a study comparing youths born in Dunedin, N.Z., with youths born in Pittsburgh found that crime-prone youths in both countries tended to combine impulsivity with “negative emotionality” (e.g., anger, anxiety, and irritability). Still other studies explored the characteristics of societies that led to higher or lower crime rates; one such study found that the rates of lethal violence in the United States in the 1980s were five times greater than in other industrialized countries but that rates of other types of crimes were similar or even lower. Researchers have attempted to explain why this pattern existed and have also recommended policies designed to reduce lethal violence.

• Open access
• Published: 10 August 2024

How can health systems approach reducing health inequalities? An in-depth qualitative case study in the UK

• Charlotte Parbery-Clark 1 ,
• Lorraine McSweeney 2 ,
• Joanne Lally 3 &
• Sarah Sowden 4  

BMC Public Health volume  24 , Article number:  2168 ( 2024 ) Cite this article

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Addressing socioeconomic inequalities in health and healthcare, and reducing avoidable hospital admissions requires integrated strategy and complex intervention across health systems. However, the understanding of how to create effective systems to reduce socio-economic inequalities in health and healthcare is limited. The aim was to explore and develop a system’s level understanding of how local areas address health inequalities with a focus on avoidable emergency admissions.

In-depth case study using qualitative investigation (documentary analysis and key informant interviews) in an urban UK local authority. Interviewees were identified using snowball sampling. Documents were retrieved via key informants and web searches of relevant organisations. Interviews and documents were analysed independently based on a thematic analysis approach.

Interviews ( n  = 14) with wide representation from local authority ( n  = 8), NHS ( n  = 5) and voluntary, community and social enterprise (VCSE) sector ( n  = 1) with 75 documents (including from NHS, local authority, VCSE) were included. Cross-referenced themes were understanding the local context, facilitators of how to tackle health inequalities: the assets, and emerging risks and concerns. Addressing health inequalities in avoidable admissions per se was not often explicitly linked by either the interviews or documents and is not yet embedded into practice. However, a strong coherent strategic integrated population health management plan with a system’s approach to reducing health inequalities was evident as was collective action and involving people, with links to a “strong third sector”. Challenges reported include structural barriers and threats, the analysis and accessibility of data as well as ongoing pressures on the health and care system.

We provide an in-depth exploration of how a local area is working to address health and care inequalities. Key elements of this system’s working include fostering strategic coherence, cross-agency working, and community-asset based approaches. Areas requiring action included data sharing challenges across organisations and analytical capacity to assist endeavours to reduce health and care inequalities. Other areas were around the resilience of the system including the recruitment and retention of the workforce. More action is required to embed reducing health inequalities in avoidable admissions explicitly in local areas with inaction risking widening the health gap.

Highlights:

• Reducing health inequalities in avoidable hospital admissions is yet to be explicitly linked in practice and is an important area to address.

• Understanding the local context helps to identify existing assets and threats including the leverage points for action.

• Requiring action includes building the resilience of our complex systems by addressing structural barriers and threats as well as supporting the workforce (training and wellbeing with improved retention and recruitment) in addition to the analysis and accessibility of data across the system.

Peer Review reports

Introduction

The health of our population is determined by the complex interaction of several factors which are either non-modifiable (such as age, genetics) or modifiable (such as the environment, social, economic conditions in which we live, our behaviours as well as our access to healthcare and its quality) [ 1 ]. Health inequalities are the avoidable and unfair systematic differences in health and healthcare across different population groups explained by the differences in distribution of power, wealth and resources which drive the conditions of daily life [ 2 , 3 ]. Essentially, health inequalities arise due to the systematic differences of the factors that influence our health. To effectively deal with most public health challenges, including reducing health inequalities and improving population health, broader integrated approaches [ 4 ] and an emphasis on systems is required [ 5 , 6 ] . A system is defined as ‘the set of actors, activities, and settings that are directly or indirectly perceived to have influence in or be affected by a given problem situation’ (p.198) [ 7 ]. In this case, the ‘given problem situation' is reducing health inequalities with a focus on avoidable admissions. Therefore, we must consider health systems, which are the organisations, resources and people aiming to improve or maintain health [ 8 , 9 ] of which health services provision is an aspect. In this study, the system considers NHS bodies, Integrated Care Systems, Local Authority departments, and the voluntary and community sector in a UK region.

A plethora of theories [ 10 ], recommended policies [ 3 , 11 , 12 , 13 ], frameworks [ 1 , 14 , 15 ], and tools [ 16 ] exist to help understand the existence of health inequalities as well as provide suggestions for improvement. However, it is reported that healthcare leaders feel under-skilled to reduce health inequalities [ 17 ]. A lack of clarity exists on how to achieve a system’s multi-agency coherence to reduce health inequalities systematically [ 17 , 18 ]. This is despite some countries having legal obligations to have a regard to the need to attend to health and healthcare inequalities. For example, the Health and Social Care Act 2012 [ 19 ], in England, mandated Clinical Commissioning Groups (CCGs), now transferred to Integrated Care Boards (ICBs) [ 20 ], to ‘have a regard to the need to reduce inequalities between patients with respect to their ability to access health services, and reduce inequalities between patients with respect to the outcomes achieved for them by the provision of health services’. The wider determinants of health must also be considered. For example, local areas have a mandatory requirement to have a joint strategic needs assessment (JSNA) and joint health and wellbeing strategy (JHWS) whose purpose is to ‘improve the health and wellbeing of the local community and reduce inequalities for all ages' [ 21 ] This includes addressing the wider determinants of health [ 21 ]. Furthermore, the hospital care costs to the NHS associated with socioeconomic inequalities has been previously reported at £4.8 billion a year due to excess hospitalisations [ 22 ]. Avoidable emergency admissions are admissions into hospital that are considered to be preventable with high-quality ambulatory care [ 23 ]. Both ambulatory care sensitive conditions (where effective personalised care based in the community can aid the prevention of needing an admission) and urgent care sensitive conditions (where a system on the whole should be able to treat and manage without an admission) are considered within this definition [ 24 ] (encompassing more than 100 International Classification of Diseases (ICD) codes). The disease burden sits disproportionately with our most disadvantaged communities, therefore highlighting the importance of addressing inequalities in hospital pressures in a concerted manner [ 25 , 26 ].

Research examining one component of an intervention, or even one part of the system, [ 27 ] or which uses specific research techniques to control for the system’s context [ 28 ] are considered as having limited use for identifying the key ingredients to achieve better population health and wellbeing [ 5 , 28 ]. Instead, systems thinking considers how the system’s components and sub-components interconnect and interrelate within and between each other (and indeed other systems) to gain an understanding of the mechanisms by which things work [ 29 , 30 ]. Complex interventions or work programmes may perform differently in varying contexts and through different mechanisms, and therefore cannot simply be replicated from one context to another to automatically achieve the same outcomes. Ensuring that research into systems and systems thinking considers real-world context, such as where individuals live, where policies are created and interventions are delivered, is vital [ 5 ]. How the context and implementation of complex or even simple interventions interact is viewed as becoming increasingly important [ 31 , 32 ]. Case study research methodology is founded on the ‘in-depth exploration of complex phenomena in their natural, or ‘real-life’, settings’ (p.2) [ 33 ]. Case study approaches can deepen the understanding of complexity addressing the ‘how’, ‘what’ and ‘why’ questions in a real-life context [ 34 ]. Researchers have highlighted the importance of engaging more deeply with case-based study methodology [ 31 , 33 ]. Previous case study research has shown promise [ 35 ] which we build on by exploring a systems lens to consider the local area’s context [ 16 ] within which the work is implemented. By using case-study methodology, our study aimed to explore and develop an in-depth understanding of how a local area addresses health inequalities, with a focus on avoidable hospital admissions. As part of this, systems processes were included.

Study design

This in-depth case study is part of an ongoing larger multiple (collective [ 36 ]) case study approach. An instrumental approach [ 34 ] was taken allowing an in-depth investigation of an issue, event or phenomenon, in its natural real-life context; referred to as a ‘naturalistic’ design [ 34 ]. Ethics approval was obtained by Newcastle University’s Ethics Committee (ref 13633/2020).

Study selection

This case study, alongside the other three cases, was purposively [ 36 ] chosen considering overall deprivation level of the area (Indices of Multiple Deprivation (IMD) [ 37 ]), their urban/rural location, differing geographical spread across the UK (highlighted in patient and public feedback and important for considering the North/South health divide [ 38 ]), and a pragmatic judgement of likely ability to achieve the depth of insight required [ 39 ]. In this paper, we report the findings from one of the case studies, an urban local authority in the Northern region of the UK with high levels of socioeconomic disadvantage. This area was chosen for this in-depth case analysis due to high-level of need, and prior to the COVID-19 pandemic (2009-2018) had experienced a trend towards reducing socioeconomic inequalities in avoidable hospital admission rates between neighbourhoods within the local area [ 40 ]. Thereby this case study represents an ‘unusual’ case [ 41 ] to facilitate learning regarding what is reported and considered to be the key elements required to reduce health inequalities, including inequalities in avoidable admissions, in a local area.

Semi-structured interviews

The key informants were identified iteratively through the documentary analysis and in consultation with the research advisory group. Initially board level committee members (including lay, managerial, and clinical members) within relevant local organisations were purposively identified. These individuals were systems leaders charged with the remit of tackling health inequalities and therefore well placed to identify both key personnel and documents. Snowball sampling [ 42 ] was undertaken thereafter whereby interviewees helped to identify additional key informants within the local system who were working on health inequalities, including avoidable emergency admissions, at a systems level. Interview questions were based on an iteratively developed topic guide (supplementary data 1), informed from previous work’s findings [ 43 ] and the research advisory network’s input. A study information sheet was emailed to perspective interviewees, and participants were asked to complete an e-consent form using Microsoft Forms [ 42 ]. Each interviewee was interviewed by either L.M. or C.P.-C. using the online platforms Zoom or Teams, and lasted up to one hour. Participants were informed of interviewers’ role, workplace as well as purpose of the study. Interviewees were asked a range of questions including any work relating to reducing health inequalities, particularly avoidable emergency admissions, within the last 5 years. Brief notes were taken, and the interviews were recorded, transcribed verbatim and anonymised.

Documentary analysis

The documentary analysis followed the READ approach [ 44 ]. Any documents from the relevant local/regional area with sections addressing health inequalities and/or avoidable emergency admissions, either explicitly stated or implicitly inferred, were included. A list of core documents was chosen, including the local Health and Wellbeing Strategy (Table 1 ). Subsequently, other documents were identified by snowballing from these core documents and identification by the interviewees. All document types were within scope if produced/covered a period within 5 years (2017-2022), including documents in the public domain or not as well as documents pertaining to either a regional, local and neighbourhood level. This 5-year period was a pragmatic decision in line with the interviews and considered to be a balance of legacy and relevance. Attempts were made to include the final version of each document, where possible/applicable, otherwise the most up-to-date version or version available was used.

An Excel spreadsheet data extraction tool was adapted with a priori criteria [ 44 ] to extract the data. This tool included contextual information (such as authors, target area and document’s purpose). Also, information based on previous research on addressing socioeconomic inequalities in avoidable emergency admissions, such as who stands to benefit, was extracted [ 43 ]. Additionally, all documents were summarised according to a template designed according to the research’s aims. Data extraction and summaries were undertaken by L.M. and C.P.-C. A selection was doubled coded to enhance validity and any discrepancies were resolved by discussion.

Interviews and documents were coded and analysed independently based on a thematic analysis approach [ 45 ], managed by NVivo software. A combination of ‘interpretive’ and ‘positivist’ stance [ 34 , 46 ] was taken which involved understanding meanings/contexts and processes as perceived from different perspectives (interviewees and documents). This allowed for an understanding of individual and shared social meanings/reasonings [ 34 , 36 ]. For the documentary analysis, a combination of both content and thematic analysis as described by Bowen [ 47 ] informed by Braun and Clarke’s approach to thematic analysis [ 45 ] was used. This type of content analysis does not include the typical quantification but rather a review of the document for pertinent and meaningful passages of text/other data [ 47 ]. Both an inductive and deductive approach for the documentary analysis’ coding [ 46 , 47 ] was chosen. The inductive approach was developed a posteriori; the deductive codes being informed by the interviews and previous findings from research addressing socioeconomic inequalities in avoidable emergency admissions [ 43 ]. In line with qualitative epistemological approach to enquiry, the interview and documentary findings were viewed as ‘truths’ in themselves with the acceptance that multiple realities can co-exist [ 48 ]. The analysis of each set of themes (with subthemes) from the documentary analysis and interviews were cross-referenced and integrated with each other to provide a cohesive in-depth analysis [ 49 ] by generating thematic maps to explore the relationships between the themes. The codes, themes and thematic maps were peer-reviewed continually with regular meetings between L.M., C.P.-C., J.L. and S.S. Direct quotes are provided from the interviews and documentary analysis. Some quotes from the documents are paraphrased to protect anonymity of the case study after following a set process considering a range of options. This involved searching each quote from the documentary analysis in Google and if the quote was found in the first page of the result, we shortened extracts and repeated the process. Where the shortened extracts were still identifiable, we were required to paraphrase that quote. Each paraphrased quote and original was shared and agreed with all the authors reducing the likelihood of inadvertently misinterpreting or misquoting. Where multiple components over large bodies of text were present in the documents, models were used to evidence the broadness, for example, using Dahlgren’s and Whitehead’s model of health determinants [ 1 ]. Due to the nature of the study, transcripts and findings were not shared with participants for checking but will be shared in a dissemination workshop in 2024.

Patient and public involvement and engagement

Four public contributors from the National Institute for Health and Care Research (NIHR) Research Design Service (RDS) North East and North Cumbria (NENC) Public and Patient Involvement (PPI) panel have been actively engaged in this research from its inception. They have been part of the research advisory group along with professional stakeholders and were involved in the identification of the sampling frame’s key criteria. Furthermore, a diverse group of public contributors has been actively involved in other parts of the project including developing the moral argument around action by producing a public facing resource exploring what health inequalities mean to people and public views of possible solutions [ 50 ].

Semi-structured interviews: description

Sixteen participants working in health or social care, identified through the documentary analysis or snowballing, were contacted for interview; fourteen consented to participate. No further interviews were sought as data sufficiency was reached whereby no new information or themes were being identified. Participant roles were broken down by NHS ( n  = 5), local authority/council ( n  = 8), and voluntary, community and social enterprise (VSCE) ( n  = 1). To protect the participants’ anonymity, their employment titles/status are not disclosed. However, a broad spectrum of interviewees with varying roles from senior health system leadership (including strategic and commissioner roles) to roles within provider organisations and the VSCE sector were included.

Documentary analysis: description

75 documents were reviewed with documents considering regional ( n  = 20), local ( n  = 64) or neighbourhood ( n  = 2) area with some documents covering two or more areas. Table 2 summarises the respective number of each document type which included statutory documents to websites from across the system (NHS, local government and VSCE). 45 documents were named by interviewees and 42 documents were identified as either a core document or through snowballing from other documents. Of these, 12 documents were identified from both. The timescales of the documents varied and where possible to identify, was from 2014 to 2031.

Integrative analysis of the documentary analysis and interviews

The overarching themes encompass:

Understanding the local context

Facilitators to tacking health inequalities: the assets

Emerging risks and concerns

Figure 1 demonstrates the relationships between the main themes identified from the analysis for tackling health inequalities and improving health in this case study.

Diagram of the relationship between the key themes identified regarding tackling health inequalities and improving health in a local area informed by 2 previous work [ 14 , 51 ]. NCDs = non-communicable diseases; HI = health inequalities

Understanding the local context was discussed extensively in both the documents and the interviews. This was informed by local intelligence and data that was routinely collected, monitored, and analysed to help understand the local context and where inequalities lie. More bespoke, in-depth collection and analysis were also described to get a better understanding of the situation. This not only took the form of quantitative but also considered qualitative data with lived experience:

‛So, our data comes from going out to talk to people. I mean, yes, especially the voice of inequalities, those traditional mechanisms, like surveys, don't really work. And it's about going out to communities, linking in with third sector organisations, going out to communities, and just going out to listen…I think the more we can bring out those real stories. I mean, we find quotes really, really powerful in terms of helping people understand what it is that matters.’ (LP16).

However, there were limitations to the available data including the quality as well as having enough time to do the analysis justice. This resulted in difficulties in being able to fully understand the context to help identify and act on the required improvements.

‘A lack of available data means we cannot quantify the total number of vulnerable migrants in [region]’ (Document V).

‛So there’s lots of data. The issue is joining that data up and analysing it, and making sense of it. That’s where we don’t have the capacity.’ (LP15).

Despite the caveats, understanding the context and its data limitations were important to inform local priorities and approaches on tackling health inequalities. This understanding was underpinned by three subthemes which were understanding:

the population’s needs including identification of people at higher risk of worse health and health inequalities

the driving forces of those needs with acknowledgement of the impact of the wider determinants of health

the threats and barriers to physical and mental health, as well as wellbeing

Firstly, the population’s needs, including identification of people at higher risk of worse health and health inequalities, was important. This included considering risk factors, such as smoking, specific groups of people and who was presenting with which conditions. Between the interviews and documents, variation was seen between groups deemed at-risk or high-risk with the documents identifying a wider range. The groups identified across both included marginalised communities, such as ethnic minority groups, gypsy and travellers, refugees and asylum seekers as well as people/children living in disadvantaged area.

‘There are significant health inequalities in children with asthma between deprived and more affluent areas, and this is reflected in A&E admissions.' (Document J).

Secondly, the driving forces of those needs with acknowledgement of the impact of the wider determinants of health were described. These forces mapped onto Dahlgren’s and Whitehead’s model of health determinants [ 1 ] consisting of individual lifestyle factors, social and community networks, living and working conditions (which include access to health care services) as well as general socio-economic, cultural and environmental conditions across the life course.

…. at the centre of our approach considering the requirements to improve the health and wellbeing of our area are the wider determinants of health and wellbeing, acknowledging how factors, such as housing, education, the environment and economy, impact on health outcomes and wellbeing over people’s lifetime and are therefore pivotal to our ambition to ameliorate the health of the poorest the quickest. (Paraphrased Document P).

Thirdly, the threats and barriers to health included environmental risks, communicable diseases and associated challenges, non-communicable conditions and diseases, mental health as well as structural barriers. In terms of communicable diseases, COVID-19 predominated. The environmental risks included climate change and air pollution. Non-communicable diseases were considered as a substantial and increasing threat and encompassed a wide range of chronic conditions such as diabetes, and obesity.

‛Long term conditions are the leading causes of death and disability in [case study] and account for most of our health and care spending. Cases of cancer, diabetes, respiratory disease, dementia and cardiovascular disease will increase as the population of [case study] grows and ages.’ (Document A).

Structural barriers to accessing and using support and/or services for health and wellbeing were identified. These barriers included how the services are set up, such as some GP practices asking for proof of a fixed address or form of identification to register. For example:

Complicated systems (such as having to make multiple calls, the need to speak to many people/gatekeepers or to call at specific time) can be a massive barrier to accessing healthcare and appointments. This is the case particularly for people who have complex mental health needs or chaotic/destabilized circumstances. People who do not have stable housing face difficulties in registering for GP and other services that require an address or rely on post to communicate appointments. (Paraphrased Document R).

A structural threat regarding support and/or services for health and wellbeing was the sustainability of current funding with future uncertainty posing potential threats to the delivery of current services. This also affected the ability to adapt and develop the services, or indeed build new ones.

‛I would say the other thing is I have a beef [sic] [disagreement] with pilot studies or new innovations. Often soft funded, temporary funded, charity funded, partnership work run by enthusiasts. Me, I've done them, or supported people doing many of these. And they're great. They can make a huge impact on the individuals involved on that local area. You can see fantastic work. You get inspired and you want to stand up in a crowd and go, “Wahey, isn't this fantastic?” But actually the sad part of it is on these things, I've seen so many where we then see some good, positive work being done, but we can't make it permanent or we can't spread it because there's no funding behind it.’ (LP8).

Facilitators to tackling health inequalities: the assets

The facilitators for improving health and wellbeing and tackling health inequalities are considered as assets which were underpinned by values and principles.

Values driven supported by four key principles

Being values driven was an important concept and considered as the underpinning attitudes or beliefs that guide decision making [ 52 ]. Particularly, the system’s approach was underpinned by a culture and a system's commitment to tackle health inequalities across the documents and interviews. This was also demonstrated by how passionately and emotively some interviewees spoke about their work.

‛There's a really strong desire and ethos around understanding that we will only ever solve these problems as a system, not by individual organisations or even just part of the system working together. And that feels great.’ (LP3).

Other values driving the approach included accountability, justice, and equity. Reducing health inequalities and improving health were considered to be the right things to do. For example:

We feel strongly about social justice and being inclusive, wishing to reflect the diversity of [case study]. We campaign on subjects that are important to people who are older with respect and kindness. (Paraphrased Document O).

Four key principles were identified that crosscut the assets which were:

Shared vision

Strong partnership

Asset-based approaches

Willingness and ability to act on learning

The mandated strategy, identifying priorities for health and wellbeing for the local population with the required actions, provided the shared vision across each part of the system, and provided the foundations for the work. This shared vision was repeated consistently in the documents and interviews from across the system.

[Case study] will be a place where individuals who have the lowest socioeconomic status will ameliorate their health the quickest. [Case study] will be a place for good health and compassion for all people, regardless of their age. (Paraphrased Document A).

‛One thing that is obviously becoming stronger and stronger is the focus on health inequalities within all of that, and making sure that we are helping people and provide support to people with the poorest health as fast as possible, so that agenda hasn’t shifted.’ (LP7).

This drive to embed the reduction of health inequalities was supported by clear new national guidance encapsulated by the NHS Core20PLUS5 priorities. Core20PLUS5 is the UK's approach to support a system to improve their healthcare inequalities [ 53 ]. Additionally, the system's restructuring from Clinical Commissioning Groups (CCGs) to Integrated Care Boards (ICBs) and formalisation of the now statutory Integrated Care Systems (ICS) in England was also reported to facilitate the driving of further improvement in health inequalities. These changes at a regional and local level helped bring key partners across the system (NHS and local government among others) to build upon their collective responsibility for improving health and reducing health inequalities for their area [ 54 ].

‛I don’t remember the last time we’ve had that so clear, or the last time that health inequalities has had such a prominent place, both in the NHS planning guidance or in the NHS contract. ’ (LP15). ‛The Health and Care Act has now got a, kind of, pillar around health inequalities, the new establishment of ICPs and ICBs, and also the planning guidance this year had a very clear element on health inequalities.’ (LP12)

A strong partnership and collaborative team approach across the system underpinned the work from the documents and included the reoccurrence of the concept that this case study acted as one team: ‘Team [case study]'.

Supporting one another to ensure [case study] is the best it can be: Team [case study]. It involves learning, sharing ideas as well as organisations sharing assets and resources, authentic partnerships, and striving for collective impact (environmental and social) to work towards shared goals . (Paraphrased Document B).

This was corroborated in the interviews as working in partnership to tackle health inequalities was considered by the interviewees as moving in the right direction. There were reports that the relationship between local government, health care and the third sector had improved in recent years which was still an ongoing priority:

‘I think the only improvement I would cite, which is not an improvement in terms of health outcomes, but in terms of how we work across [case study] together has moved on quite a lot, in terms of teams leads and talking across us, and how we join up on things, rather than see ourselves all as separate bodies' (LP15).

‘I think the relationship between local authorities and health and the third sector, actually, has much more parity and esteem than it had before.' (LP11)

The approaches described above were supported by all health and care partners signing up to principles around partnership; it is likely this has helped foster the case study's approach. This also builds on the asset-based approaches that were another key principle building on co-production and co-creation which is described below.

We begin with people : instead of doing things to people or for them, we work with them, augmenting the skills, assets and strength of [case study]’s people, workforce and carers. We achieve : actions are focused on over words and by using intelligence, every action hones in on the actual difference that we will make to ameliorate outcomes, quality and spend [case study]’s money wisely; We are Team [case study ]: having kindness, working as one organisation, taking responsibility collectively and delivering on what we agreed. Problems are discussed with a high challenge and high support attitude. (Paraphrased Document D).

At times, the degree to which the asset-based approaches were embedded differed from the documents compared to the interviews, even when from the same part of the system. For example, the documents often referred to the asset-based approach as having occurred whilst interviewees viewed it more as a work in progress.

‘We have re-designed many of our services to focus on needs-led, asset-based early intervention and prevention, and have given citizens more control over decisions that directly affect them .’ (Document M).

‘But we’re trying to take an asset-based approach, which is looking at the good stuff in communities as well. So the buildings, the green space, the services, but then also the social capital stuff that happens under the radar.’ (LP11).

A willingness to learn and put in action plans to address the learning were present. This enables future proofing by building on what is already in place to build the capacity, capability and flexibility of the system. This was particularly important for developing the workforce as described below.

‘So we’ve got a task and finish group set up, […] So this group shows good practice and is a space for people to discuss some of the challenges or to share what interventions they are doing around the table, and also look at what other opportunities that they have within a region or that we could build upon and share and scale.’ (LP12).

These assets that are considered as facilitators are divided into four key levels which are the system, services and support, communities and individuals, and workforce which are discussed in turn below.

Firstly, the system within this case study was made up of many organisations and partnerships within the NHS, local government, VSCE sector and communities. The interviewees reported the presence of a strong VCSE sector which had been facilitated by the local council's commitment to funding this sector:

‘Within [case study], we have a brilliant third sector, the council has been longstanding funders of infrastructure in [case study], third sector infrastructure, to enable those links [of community engagement] to be made' (LP16).

In both the documents and interviews, a strong coherent strategic integrated population health management plan with a system’s approach to embed the reduction of health inequalities was evident. For example, on a system level regionally:

‘To contribute towards a reduction in health inequalities we will: take a system wide approach for improving outcomes for specific groups known to be affected by health inequalities, starting with those living in our most deprived communities….’ (Document H).

This case study’s approach within the system included using creative solutions and harnessing technology. This included making bold and inventive changes to improve how the city and the system linked up and worked together to improve health. For example, regeneration work within the city to ameliorate and transform healthcare facilities as well as certain neighbourhoods by having new green spaces, better transport links in order to improve city-wide innovation and collaboration (paraphrased Document F) were described. The changes were not only related to physical aspects of the city but also aimed at how the city digitally linked up. Being a leader in digital innovation to optimise the health benefits from technology and information was identified in several documents.

‘ Having the best connected city using digital technology to improve health and wellbeing in innovative ways.’ (Document G).

The digital approaches included ongoing development of a digitalised personalised care record facilitating access to the most up-to-date information to developing as well as having the ‘ latest, cutting edge technologies’ ( Document F) in hospital care. However, the importance of not leaving people behind by embedding digital alternatives was recognised in both the documents and interviews.

‘ We are trying to just embed the culture of doing an equity health impact assessment whenever you are bringing in a digital solution or a digital pathway, and that there is always an alternative there for people who don’t have the capability or capacity to use it. ’ (LP1).

The successful one hundred percent [redacted] programme is targeting some of our most digitally excluded citizens in [case study]. For our city to continue to thrive, we all need the appropriate skills, technology and support to get the most out of being online. (Paraphrased Document Q)

This all links in with the system that functions in a ‘place' which includes the importance of where people are born, grow, work and live. Working towards this place being welcoming and appealing was described both regionally and locally. This included aiming to make the case study the place of choice for people.

‘Making [case study] a centre for good growth becoming the place of choice in the UK to live, to study, for businesses to invest in, for people to come and work.’ (Document G).

Services and support

Secondly, a variety of available services and support were described from the local authority, NHS, and voluntary community sectors. Specific areas of work, such as local initiatives (including targeted work or campaigns for specific groups or specific health conditions) as well as parts of the system working together with communities collaboratively, were identified. This included a wide range of work being done such as avoiding delayed discharges or re-admissions, providing high quality affordable housing as well as services offering peer support.

‘We have a community health development programme called [redacted], that works with particular groups in deprived communities and ethnically diverse communities to work in a very trusted and culturally appropriate way on the things that they want to get involved with to support their health.’ (LP3 ).

It is worth noting that reducing health inequalities in avoidable admissions was not often explicitly specified in the documents or interviews. However, either specified or otherwise inferred, preventing ill health and improving access, experience, and outcomes were vital components to addressing inequalities. This was approached by working with communities to deliver services in communities that worked for all people. Having co-designed, accessible, equitable integrated services and support appeared to be key.

‘Reducing inequalities in unplanned admissions for conditions that could be cared for in the community and access to planned hospital care is key.’ (Document H)

Creating plans with people: understanding the needs of local population and designing joined-up services around these needs. (Paraphrased Document A).

‘ So I think a core element is engagement with your population, so that ownership and that co-production, if you're going to make an intervention, don't do it without because you might miss the mark. ’ (LP8).

Clear, consistent and appropriate communication that was trusted was considered important to improve health and wellbeing as well as to tackle health inequalities. For example, trusted community members being engaged to speak on the behalf of the service providers:

‘The messenger is more important than the message, sometimes.’ (LP11).

This included making sure the processes are in place so that the information is accessible for all, including people who have additional communication needs. This was considered as a work in progress in this case study.

‘I think for me, things do come down to those core things, of health, literacy, that digital exclusion and understanding the wider complexities of people.’ (LP12)

‘ But even more confusing if you've got an additional communication need. And we've done quite a lot of work around the accessible information standard which sounds quite dry, and doesn't sound very- but actually, it's fundamental in accessing health and care. And that is, that all health and care organisations should record your communication preferences. So, if I've got a learning disability, people should know. If I've got a hearing impairment, people should know. But the systems don’t record it, so blind people are getting sent letters for appointments, or if I've got hearing loss, the right provisions are not made for appointments. So, actually, we're putting up barriers before people even come in, or can even get access to services.’ (LP16).

Flexible, empowering, holistic care and support that was person-centric was more apparent in the documents than the interviews.

At the centre of our vision is having more people benefiting from the life chances currently enjoyed by the few to make [case study] a more equal place. Therefore, we accentuate the importance of good health, the requirement to boost resilience, and focus on prevention as a way of enabling higher quality service provision that is person-centred. [Paraphrased Document N).

Through this [work], we will give all children and young people in [case study], particularly if they are vulnerable and/or disadvantaged, a start in life that is empowering and enable them to flourish in a compassionate and lively city. [Paraphrased Document M].

Communities and individuals

Thirdly, having communities and individuals at the heart of the work appeared essential and viewed as crucial to nurture in this case study. The interconnectedness of the place, communities and individuals were considered a key part of the foundations for good health and wellbeing.

In [case study], our belief is that our people are our greatest strength and our most important asset. Wellbeing starts with people: our connections with our friends, family, and colleagues, our behaviour, understanding, and support for one another, as well as the environment we build to live in together . (Paraphrased Document A).

A recognition of the power of communities and individuals with the requirement to support that key principle of a strength-based approach was found. This involved close working with communities to help identify what was important, what was needed and what interventions would work. This could then lead to improved resilience and cohesion.

‛You can't make effective health and care decisions without having the voice of people at the centre of that. It just won't work. You won't make the right decisions.’ (LP16).

‘Build on the strengths in ourselves, our families, carers and our community; working with people, actively listening to what matters most to people, with a focus on what’s strong rather than what’s wrong’ (Document G).

Meaningful engagement with communities as well as strengths and asset-based approaches to ensure self-sufficiency and sustainability of communities can help communities flourish. This includes promoting friendships, building community resilience and capacity, and inspiring residents to find solutions to change the things they feel needs altering in their community . (Paraphrased Document B).

This close community engagement had been reported to foster trust and to lead to improvements in health.

‘But where a system or an area has done a lot of community engagement, worked really closely with the community, gained their trust and built a programme around them rather than just said, “Here it is. You need to come and use it now,” you can tell that has had the impact. ' (LP1).

Finally, workforce was another key asset; the documents raised the concept of one workforce across health and care. The key principles of having a shared vision, asset-based approaches and strong partnership were also present in this example:

By working together, the Health and Care sector makes [case study] the best area to not only work but also train for people of all ages. Opportunities for skills and jobs are provided with recruitment and engagement from our most disadvantaged communities, galvanizing the future’s health and care workforce. By doing this, we have a very skilled and diverse workforce we need to work with our people now as well as in the future. (Paraphrased Document E).

An action identified for the health and care system to address health inequalities in case study 1 was ‘ the importance of having an inclusive workforce trained in person-centred working practices ’ (Document R). Several ways were found to improve and support workforce skills development and embed awareness of health inequalities in practice and training. Various initiatives were available such as an interactive health inequalities toolkit, theme-related fellowships, platforms and networks to share learning and develop skills.

‛We've recently launched a [redacted] Fellowship across [case study’s region], and we've got a number of clinicians and managers on that………. We've got training modules that we've put on across [case study’s region], as well for health inequalities…we've got learning and web resources where we share good practice from across the system, so that is our [redacted] Academy.’ (LP2).

This case study also recognised the importance of considering the welfare of the workforce; being skilled was not enough. This had been recognised pre-pandemic but was seen as even more important post COVID-19 due to the impact that COVID-19 had on staff, particularly in health and social care.

‛The impacts of the pandemic cannot be underestimated; our colleagues and services are fatigued and still dealing with the pressures. This context makes it even more essential that we share the responsibility, learn from each other at least and collaborate with each other at best, and hold each other up to be the best we can.’ (Document U).

Concerns were raised such as the widening of health inequalities since the pandemic and cost of living crisis. Post-pandemic and Brexit, recruiting health, social care and third sector staff was compounding the capacity throughout this already heavily pressurised system.

In [case study], we have seen the stalling of life expectancy and worsening of the health inequality gap, which is expected to be compounded by the effects of the pandemic. (Paraphrased Document T)

‘I think key barriers, just the immense pressure on the system still really […] under a significant workload, catching up on activity, catching up on NHS Health Checks, catching up on long-term condition reviews. There is a significant strain on the system still in terms of catching up. It has been really difficult because of the impact of COVID.’ (LP7).

‘Workforce is a challenge, because the pipelines that we’ve got, we’ve got fewer people coming through many of them. And that’s not just particular to, I don't know, nursing, which is often talking talked [sic] about as a challenged area, isn't it? And of course, it is. But we’ve got similar challenges in social care, in third sector.’ (LP5).

The pandemic was reported to have increased pressures on the NHS and services not only in relation to staff capacity but also regarding increases in referrals to services, such as mental health. Access to healthcare changed during the pandemic increasing barriers for some:

‘I think people are just confused about where they're supposed to go, in terms of accessing health and care at the moment. It's really complex to understand where you're supposed to go, especially, at the moment, coming out of COVID, and the fact that GPs are not the accessible front door. You can't just walk into your GP anymore.’ (LP16).

‘Meeting this increased demand [for work related to reducing ethnic inequalities in mental health] is starting to prove a challenge and necessitates some discussion about future resourcing.’ (Document S)

Several ways were identified to aid effective adaptation and/or mitigation. This included building resilience such as developing the existing capacity, capability and flexibility of the system by learning from previous work, adapting structures and strengthening workforce development. Considerations, such as a commitment to Marmot Principles and how funding could/would contribute, were also discussed.

The funding’s [linked to Core20PLUS5] purpose is to help systems to ensure that health inequalities are not made worse when cost-savings or efficiencies are sought…The available data and insight are clear and [health inequalities are] likely to worsen in the short term, the delays generated by pandemic, the disproportionate effect of that on the most deprived and the worsening food and fuel poverty in all our places. (Paraphrased Document L).

Learning from the pandemic was thought to be useful as some working practices had altered during COVID-19 for the better, such as needing to continue to embed how the system had collaborated and resist old patterns of working:

‘So I think that emphasis between collaboration – extreme collaboration – which is what we did during COVID is great. I suppose the problem is, as we go back into trying to save money, we go back into our old ways of working, about working in silos. And I think we’ve got to be very mindful of that, and continue to work in a different way.’ (LP11).

Another area identified as requiring action, was the collection, analysis, sharing and use of data accessible by the whole system.

‘So I think there is a lot of data out there. It’s just how do we present that in such a way that it’s accessible to everyone as well, because I think sometimes, what happens is that we have one group looking at data in one format, but then how do we cascade that out?’ (LP12)

We aimed to explore a system’s level understanding of how a local area addresses health inequalities with a focus on avoidable emergency admissions using a case study approach. Therefore, the focus of our research was strategic and systematic approaches to inequalities reduction. Gaining an overview of what was occurring within a system is pertinent because local areas are required to have a regard to address health inequalities in their local areas [ 20 , 21 ]. Through this exploration, we also developed an understanding of the system's processes reported to be required. For example, an area requiring action was viewed as the accessibility and analysis of data. The case study described having health inequalities ‘at the heart of its health and wellbeing strategy ’ which was echoed across the documents from multiple sectors across the system. Evidence of a values driven partnership with whole systems working was centred on the importance of place and involving people, with links to a ‘strong third sector ’ . Working together to support and strengthen local assets (the system, services/support, communities/individuals, and the workforce) were vital components. This suggested a system’s committed and integrated approach to improve population health and reduce health inequalities as well as concerted effort to increase system resilience. However, there was juxtaposition at times with what the documents contained versus what interviewees spoke about, for example, the degree to which asset-based approaches were embedded.

Furthermore, despite having a priori codes for the documentary analysis and including specific questions around work being undertaken to reduce health inequalities in avoidable admissions in the interviews with key systems leaders, this explicit link was still very much under-developed for this case study. For example, how to reduce health inequalities in avoidable emergency admissions was not often specified in the documents but could be inferred from existing work. This included work around improving COVID-19 vaccine uptake in groups who were identified as being at high-risk (such as older people and socially excluded populations) by using local intelligence to inform where to offer local outreach targeted pop-up clinics. This limited explicit action linking reduction of health inequalities in avoidable emergency admissions was echoed in the interviews and it became clear as we progressed through the research that a focus on reduction of health inequalities in avoidable hospital admissions at a systems level was not a dominant aspect of people’s work. Health inequalities were viewed as a key part of the work but not necessarily examined together with avoidable admissions. A strengthened will to take action is reported, particularly around reducing health inequalities, but there were limited examples of action to explicitly reduce health inequalities in avoidable admissions. This gap in the systems thinking is important to highlight. When it was explicitly linked, upstream strategies and thinking were acknowledged as requirements to reduce health inequalities in avoidable emergency admissions.

Similar to our findings, other research have also found networks to be considered as the system’s backbone [ 30 ] as well as the recognition that communities need to be central to public health approaches [ 51 , 55 , 56 ]. Furthermore, this study highlighted the importance of understanding the local context by using local routine and bespoke intelligence. It demonstrated that population-based approaches to reduce health inequalities are complex, multi-dimensional and interconnected. It is not about one part of the system but how the whole system interlinks. The interconnectedness and interdependence of the system (and the relevant players/stakeholders) have been reported by other research [ 30 , 57 ], for example without effective exchange of knowledge and information, social networks and systems do not function optimally [ 30 ]. Previous research found that for systems to work effectively, management and transfer of knowledge needs to be collaborative [ 30 ], which was recognised in this case study as requiring action. By understanding the context, including the strengths and challenges, the support or action needed to overcome the barriers can be identified.

There are very limited number of case studies that explore health inequalities with a focus on hospital admissions. Of the existing research, only one part of the health system was considered with interviews looking at data trends [ 35 ]. To our knowledge, this research is the first to build on this evidence by encompassing the wider health system using wider-ranging interviews and documentary analysis. Ford et al. [ 35 ] found that geographical areas typically had plans to reduce total avoidable emergency admissions but not comprehensive plans to reduce health inequalities in avoidable emergency admissions. This approach may indeed widen health inequalities. Health inequalities have considerable health and costs impacts. Pertinently, the hospital care costs associated with socioeconomic inequalities being reported as £4.8 billion a year, mainly due to excess hospitalisations such as avoidable admissions [ 58 ] and the burden of disease lies disproportionately with our most disadvantaged communities, addressing inequalities in hospital pressures is required [ 25 , 26 ].

Implications for research and policy

Improvements to life expectancy have stalled in the UK with a widening of health inequalities [ 12 ]. Health inequalities are not inevitable; it is imperative that the health gap between the deprived and affluent areas is narrowed [ 12 ]. This research demonstrates the complexity and intertwining factors that are perceived to address health inequalities in an area. Despite the evidence of the cost (societal and individual) of avoidable admissions, explicit tackling of inequality in avoidable emergency admissions is not yet embedded into the system, therefore highlights an area for policy and action. This in-depth account and exploration of the characteristics of ‘whole systems’ working to address health inequalities, including where challenges remain, generated in this research will be instrumental for decision makers tasked with addressing health and care inequalities.

This research informs the next step of exploring each identified theme in more detail and moving beyond description to develop tools, using a suite of multidimensional and multidisciplinary methods, to investigate the effects of interventions on systems as previously highlighted by Rutter et al. [ 5 ].

Strengths and limitations

Documentary analysis is often used in health policy research but poorly described [ 44 ]. Furthermore, Yin reports that case study research is often criticised for not adhering to ‘systematic procedures’ p. 18 [ 41 ]. A clear strength of this study was the clearly defined boundary (in time and space) case as well as following a defined systematic approach, with critical thought and rationale provided at each stage [ 34 , 41 ]. A wide range and large number of documents were included as well as interviewees from across the system thereby resulting in a comprehensive case study. Integrating the analysis from two separate methodologies (interviews and documentary analysis), analysed separately before being combined, is also a strength to provide a coherent rich account [ 49 ]. We did not limit the reasons for hospital admission to enable a broad as possible perspective; this is likely to be a strength in this case study as this connection between health inequalities and avoidable hospital admissions was still infrequently made. However, for example, if a specific care pathway for a health condition had been highlighted by key informants this would have been explored.

Due to concerns about identifiability, we took several steps. These included providing a summary of the sectors that the interviewees and document were from but we were not able to specify which sectors each quote pertained. Additionally, some of the document quotes required paraphrasing. However, we followed a set process to ensure this was as rigorous as possible as described in the methods section. For example, where we were required to paraphrase, each paraphrased quote and original was shared and agreed with all the authors to reduce the likelihood to inadvertently misinterpreting or misquoting.

The themes are unlikely to represent an exhaustive list of the key elements requiring attention, but they represent the key themes that were identified using a robust methodological process. The results are from a single urban local authority with high levels of socioeconomic disadvantage in the North of England which may limit generalisability to different contexts. However, the findings are still generalisable to theoretical considerations [ 41 ]. Attempts to integrate a case study with a known framework can result in ‘force-fit’ [ 34 ] which we avoided by developing our own framework (Fig. 1 ) considering other existing models [ 14 , 59 ]. The results are unable to establish causation, strength of association, or direction of influence [ 60 ] and disentangling conclusively what works versus what is thought to work is difficult. The documents’ contents may not represent exactly what occurs in reality, the degree to which plans are implemented or why variation may occur or how variation may affect what is found [ 43 , 61 ]. Further research, such as participatory or non-participatory observation, could address this gap.

Conclusions

This case study provides an in-depth exploration of how local areas are working to address health and care inequalities, with a focus on avoidable hospital admissions. Key elements of this system’s reported approach included fostering strategic coherence, cross-agency working, and community-asset based working. An area requiring action was viewed as the accessibility and analysis of data. Therefore, local areas could consider the challenges of data sharing across organisations as well as the organisational capacity and capability required to generate useful analysis in order to create meaningful insights to assist work to reduce health and care inequalities. This would lead to improved understanding of the context including where the key barriers lie for a local area. Addressing structural barriers and threats as well as supporting the training and wellbeing of the workforce are viewed as key to building resilience within a system to reduce health inequalities. Furthermore, more action is required to embed reducing health inequalities in avoidable admissions explicitly in local areas with inaction risking widening the health gap.

Availability of data and materials

Individual participants’ data that underlie the results reported in this article and a data dictionary defining each field in the set are available to investigators whose proposed use of the data has been approved by an independent review committee for work. Proposals should be directed to [email protected] to gain access, data requestors will need to sign a data access agreement. Such requests are decided on a case by case basis.

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Acknowledgements

Thanks to our Understanding Factors that explain Avoidable hospital admission Inequalities - Research study (UNFAIR) PPI contributors, for their involvement in the project particularly in the identification of the key criteria for the sampling frame. Thanks to the research advisory team as well.

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This research was funded by the National Institute for Health and Care Research (NIHR), grant number (ref CA-CL-2018-04-ST2-010). The funding body was not involved in the study design, collection of data, inter-pretation, write-up, or submission for publication. The views expressed are those of the authors and not necessarily those of the NIHR, the Department of Health and Social Care or Newcastle University.

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Lorraine McSweeney

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Conceptualization - J.L. and S.S.; methodology - C.P.-C., J.L. & S.S.; formal analysis - C. P.-C. & L.M.; investigation- C. P.-C. & L.M., resources, writing of draft manuscript - C.P.-C.; review and editing manuscript L.M., J.L., & S.S.; visualization including figures and tables - C.P.-C.; supervision - J.L. & S.S.; project administration - L.M. & S.S.; funding acquisition - S.S. All authors have read and agreed to the published version of the manuscript.

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Parbery-Clark, C., McSweeney, L., Lally, J. et al. How can health systems approach reducing health inequalities? An in-depth qualitative case study in the UK. BMC Public Health 24 , 2168 (2024). https://doi.org/10.1186/s12889-024-19531-5

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DOI : https://doi.org/10.1186/s12889-024-19531-5

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Evaluation of a desalination system combining photovoltaic and membrane technology: a case study on the benefit analysis of an apple orchard.

1. Introduction

2. material, 3. technology and analytical methods, 3.1. desalination device, 3.2. photovoltaic device, 3.3. economic evaluation, 4. results and discussion, 5. conclusions, author contributions, data availability statement, conflicts of interest, nomenclature.

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Yang, Y.; Sun, Z.; Zhai, C. Evaluation of a Desalination System Combining Photovoltaic and Membrane Technology: A Case Study on the Benefit Analysis of an Apple Orchard. Water 2024 , 16 , 2306. https://doi.org/10.3390/w16162306

Yang Y, Sun Z, Zhai C. Evaluation of a Desalination System Combining Photovoltaic and Membrane Technology: A Case Study on the Benefit Analysis of an Apple Orchard. Water . 2024; 16(16):2306. https://doi.org/10.3390/w16162306

Yang, Yang, Zhilin Sun, and Chaoqun Zhai. 2024. "Evaluation of a Desalination System Combining Photovoltaic and Membrane Technology: A Case Study on the Benefit Analysis of an Apple Orchard" Water 16, no. 16: 2306. https://doi.org/10.3390/w16162306

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