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• How to Write a Problem Statement | Guide & Examples

How to Write a Problem Statement | Guide & Examples

Published on November 6, 2022 by Shona McCombes and Tegan George. Revised on November 20, 2023.

A problem statement is a concise and concrete summary of the research problem you seek to address. It should:

• Contextualize the problem. What do we already know?
• Describe the exact issue your research will address. What do we still need to know?
• Show the relevance of the problem. Why do we need to know more about this?
• Set the objectives of the research. What will you do to find out more?

Table of contents

When should you write a problem statement, step 1: contextualize the problem, step 2: show why it matters, step 3: set your aims and objectives.

Problem statement example

Other interesting articles

Frequently asked questions about problem statements.

There are various situations in which you might have to write a problem statement.

In the business world, writing a problem statement is often the first step in kicking off an improvement project. In this case, the problem statement is usually a stand-alone document.

In academic research, writing a problem statement can help you contextualize and understand the significance of your research problem. It is often several paragraphs long, and serves as the basis for your research proposal . Alternatively, it can be condensed into just a few sentences in your introduction .

A problem statement looks different depending on whether you’re dealing with a practical, real-world problem or a theoretical issue. Regardless, all problem statements follow a similar process.

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The problem statement should frame your research problem, giving some background on what is already known.

Practical research problems

For practical research, focus on the concrete details of the situation:

• Where and when does the problem arise?
• Who does the problem affect?
• What attempts have been made to solve the problem?

Theoretical research problems

For theoretical research, think about the scientific, social, geographical and/or historical background:

• What is already known about the problem?
• Is the problem limited to a certain time period or geographical area?
• How has the problem been defined and debated in the scholarly literature?

The problem statement should also address the relevance of the research. Why is it important that the problem is addressed?

Don’t worry, this doesn’t mean you have to do something groundbreaking or world-changing. It’s more important that the problem is researchable, feasible, and clearly addresses a relevant issue in your field.

Practical research is directly relevant to a specific problem that affects an organization, institution, social group, or society more broadly. To make it clear why your research problem matters, you can ask yourself:

• What will happen if the problem is not solved?
• Who will feel the consequences?
• Does the problem have wider relevance? Are similar issues found in other contexts?

Sometimes theoretical issues have clear practical consequences, but sometimes their relevance is less immediately obvious. To identify why the problem matters, ask:

• How will resolving the problem advance understanding of the topic?
• What benefits will it have for future research?
• Does the problem have direct or indirect consequences for society?

Finally, the problem statement should frame how you intend to address the problem. Your goal here should not be to find a conclusive solution, but rather to propose more effective approaches to tackling or understanding it.

The research aim is the overall purpose of your research. It is generally written in the infinitive form:

• The aim of this study is to determine …
• This project aims to explore …
• This research aims to investigate …

The research objectives are the concrete steps you will take to achieve the aim:

• Qualitative methods will be used to identify …
• This work will use surveys to collect …
• Using statistical analysis, the research will measure …

The aims and objectives should lead directly to your research questions.

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See an example

You can use these steps to write your own problem statement, like the example below.

Step 1: Contextualize the problem A family-owned shoe manufacturer has been in business in New England for several generations, employing thousands of local workers in a variety of roles, from assembly to supply-chain to customer service and retail. Employee tenure in the past always had an upward trend, with the average employee staying at the company for 10+ years. However, in the past decade, the trend has reversed, with some employees lasting only a few months, and others leaving abruptly after many years.

Step 2: Show why it matters As the perceived loyalty of their employees has long been a source of pride for the company, they employed an outside consultant firm to see why there was so much turnover. The firm focused on the new hires, concluding that a rival shoe company located in the next town offered higher hourly wages and better “perks”, such as pizza parties. They claimed this was what was leading employees to switch. However, to gain a fuller understanding of why the turnover persists even after the consultant study, in-depth qualitative research focused on long-term employees is also needed. Focusing on why established workers leave can help develop a more telling reason why turnover is so high, rather than just due to salaries. It can also potentially identify points of change or conflict in the company’s culture that may cause workers to leave.

Step 3: Set your aims and objectives This project aims to better understand why established workers choose to leave the company. Qualitative methods such as surveys and interviews will be conducted comparing the views of those who have worked 10+ years at the company and chose to stay, compared with those who chose to leave.

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

Methodology

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

 Statistics

• Null hypothesis
• Statistical power
• Probability distribution
• Effect size
• Poisson distribution

Research bias

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

Once you’ve decided on your research objectives , you need to explain them in your paper, at the end of your problem statement .

Keep your research objectives clear and concise, and use appropriate verbs to accurately convey the work that you will carry out for each one.

I will compare …

All research questions should be:

• Focused on a single problem or issue
• Researchable using primary and/or secondary sources
• Feasible to answer within the timeframe and practical constraints
• Specific enough to answer thoroughly
• Complex enough to develop the answer over the space of a paper or thesis
• Relevant to your field of study and/or society more broadly

Research objectives describe what you intend your research project to accomplish.

They summarize the approach and purpose of the project and help to focus your research.

Your objectives should appear in the introduction of your research paper , at the end of your problem statement .

Your research objectives indicate how you’ll try to address your research problem and should be specific:

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How to Write a Statement of a Problem in Research with Steps

Published by Grace Graffin at August 11th, 2021 , Revised On October 3, 2023

Research is a systematic investigation to find new techniques, products or processes to solve problems. Apart from being systematic, research is empirical in nature: it’s based on observations and measurement of those observations.

It’s what comes before the development. Impacts and policies that are born in society are borne out of the research.

The most important step to perform any research is to identify a problem that needs to be solved. Therefore, it is necessary to define a research problem before starting the actual research process. Once a research problem has been identified, the next step is to write a problem statement.

Philosopher Kaoru Ishikawa said: “You will have a problem half-solved by defining it correctly on the first day.”

This quote perfectly reflects the importance of a problem statement in research. Before writing a problem statement, it is essential to pinpoint a specific problem, the difficulties you can expect to face as you try to solve it and the research gaps you aim to fill with your research.

The last part—how your research aims to fill a gap in the existing literature—will act as a springboard to the solution(s) that policy makers, for instance, might eventually take to solve that problem.

Filling a gap, therefore, is very important towards solving an existing problem.

What is a Problem Statement?

A problem statement is a clear and concise description of an issue or challenge that needs to be addressed. It typically outlines the existing gap between the current state (what currently is) and the desired state (what should be). Crafting a well-defined problem statement is critical for problem-solving, research, or project planning, as it serves as a guidepost and sets the direction for the subsequent steps.

Research Problem and Research Method – A Cyclical Process

The type of research strategy used in research determines whether you will be analysing theoretical problems to add value to existing knowledge, discussing practical issues to become an agent of change for an organisation or industry or looking at both aspects in relation to any given problem.

However, the kind of problem you aim to tackle with your research, to begin with, will also help you narrow down which research design , method or strategy to opt for.

This is therefore a cyclical process. Your research aim guides your research design can help you focus on a specific kind of research gap/problem.

However, generally, your research will focus on one or the other.

Here is all you need to know about how to write a statement of the problem in research, also called problem statement by some research writers .

Why do you Need a Statement of the Problem, to Begin with?

You need a statement of the problem to transform a generalised problem into a well-defined, brief, targeted statement to perform research in the decision-making process. The problem statement helps the researcher to identify the purpose of the ongoing research.

The problem statement in the dissertation is the pillar of the introduction chapter through which the reader can understand the research questions and scope of the project. If you do not define the problem statement properly, the results might become unmanageable.

Writing Problem Statement for a Business or Organisation

In the business world, problem statements provide the basis for the enhancement and refinement of projects. Without identifying and understanding the problem, it will be hard to find and effectively implement solutions.

A stand-alone document that solely provides an in-depth and detailed problem statement is usually the answer for organisations and businesses when it becomes imperative to find the solution to a problem.

Writing Problem Statement for Academic Research

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Problem Statement – How to Write it

Ask yourself the following questions before writing the problem statement:

• What is wrong in the research area/subarea XYZ?
• Where did it happen?
• When did it happen?
• To what extent (how much)?
• I know that because…(evidence)

‘What’ always defines the defect of the problem at hand and explains why it matters? ‘Where’ defines the geological location of the problem. ‘When’ defines the history and the pattern of the problem, the goal of the stated problem and the scope of research.

‘How much’ defines the trend of the problem as to how many objects are facing the same defect and to what extent. The last part, ‘I know this because…’, will help the researcher identify the standard(s) that he must meet.

Step 1: Understanding the Problem

The problem statement should provide a clear and concise background to the research problem you are investigating. Before starting your research , review the literature about the specific problem and find a gap to fill with your own research.

Practical Research Problem Statement

If you are doing experimental research , you can identify problems by talking to people working in a relevant field, studying research reports, and reviewing previous research. Here are some examples of practical research problems:

• A problem that hinders the efficiency of a company
• An institutional process that needs interventions
• An area of concern in your field/sub-field of interest
• Members of a society facing a specific difficulty

The problem statement should focus on the details related to the problem, such as:

• When and where was the problem observed?
• Who is/are affected by it?
• What research has been conducted and what practical steps have been taken to resolve the problem?

Example of Practical Research Problem Statement

The production of a company is low for the months of July and August every year. Initial research has been conducted by the company, which revealed poor production in July and August is due to the unavailability of local raw material.

The company has made some effective attempts at engaging the local suppliers to ensure an uninterrupted supply of the raw material, but these efforts are yet to have any significant impact on the production levels.

Theoretical Research Problem Statement

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

The theoretical research indirectly contributes to the change by identifying the problem, expanding knowledge and improving understanding. The researcher can find a specific problem by brainstorming the topic and reviewing already published theories and research.

When writing a problem statement based on a theoretical research problem , it is important to recognise the historical, geographical, social and scientific background. Here are the elements of the theoretical problem statement framework that you should consider:

• What are the facts about the problem?
• Does the problem relate to a certain geographical area or time period?
• How is the problem discussed and explained in the existing literature?

Example of Theoretical Research Problem Statement

The production of a company is low for July and August every year. Initial research has been conducted by the company, which revealed poor production in July and August is due to the unavailability of local raw material. The company has made some effective attempts to engage the local suppliers to ensure an uninterrupted raw material supply. Still, these efforts are yet to have any significant impact on the production levels.

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Step 2 – Show why it’s Important and Relevant

By discussing the importance of the problem under investigation, you are demonstrating the relevance of your research. However, this does not mean that you will end up discovering something unimaginable or extraordinary.

The objective here is to clearly state how and why your research problem is relevant in your chosen area of study and why it requires further research.

As indicated previously, practical research deals with a problem affecting society, social group, firm or organisation on a broader scale. To elaborate on why it is important to solve this problem and why your research is significant, you could consider the following questions:

• What will be the consequences if the problem remains unsolved?
• Who do these consequences have the most implications for?
• What is the wider relevance of the problem being investigated?

Low production in July and August negatively affects the company’s marketing capital, thereby becoming an area of deep concern for the directors and stakeholders. The marketing budget cut in July and August is hindering its ability to promote its products uninterruptedly.

Addressing this problem will have practical benefits for the company and help establish the reasons for disruption in raw material supply.

The relevance of all theoretical issues may not be too obvious, even though most theoretical problems do have practical implications. Here are some questions for you to ponder to establish the importance of your research problem:

• Will your research help to advance understanding of the topic under investigation?
• Are there any benefits of you resolving the problem for other researchers who wish to explore this topic further in the future?
• What are the direct or indirect implications (s) of the problem you are trying to solving?

The new forms of employment such as freelance, contract-based work and zero-hour work arrangements are recognised as either a manipulative last option or a flexible active choice. It is necessary to conduct comprehensive qualitative research to uncover why fresh graduates take up these types of employment in the gig economy. There is a need to advance more vigorous concepts relating to instability and flexibility in modern forms of employment from employees’ perspectives, which will also help shape future policies.

Also see: How to Write the Abstract for Dissertation

Step 3 – Declaring the Problem

Before you jump on to state your research’s problem statements, it’s important to devote a sentence or two to let your readers know the precise, narrowed-down research problem you will be discussing about.

For language clarity purposes, here are some strong opening statements to achieve this step:

• Recently, there has been growing interest in …
• The possibility of…has generated wide interest in …
• The development of…is a classic problem in…
• The development of…has led to the hope that …
• The…has become a favourite topic for analysis …
• Knowledge of…has great importance for …
• The study of…has become an important aspect of …
• A central issue in…is…
• The…has been extensively studied in recent years.
• Many investigators have recently turned to …
• The relationship between…has been investigated by many researchers.
• Many recent studies have found out…

Step 4 – Establishing Aim and Objectives

The last step in writing a problem statement is to provide a framework for solving the problem. This will help you, the researcher, stay focused on your research aims and not stray; it will also help you readers keep in mind the reason as to why you conducted this study, to begin with.

A good problem statement does not provide the exact solution to any problem. Rather, it focuses more on how to effectively understand or tackle a problem by establishing the possible causes.

The aim of a research study is its end goal or overall purpose. Following are some examples of how you can craft your research aim statements:

• This research study aims to investigate…
• This paper is aimed at exploring…
• This research aims to identify…

On the other hand, objectives are the smaller steps that a researcher must take to address the aim of the research. Once you have laid out the research problem your research will deal with, it’s important to next mention the how behind that. Objectives are mostly imperative statements, often beginning with transitive verbs like ‘to analyse,’ ‘to investigate,’ etc.

Some more examples are:

• Statistical analysis will be conducted to determine…
• Both quantitative and qualitative research methods will be employed to probe…
• Face-to-face interviews will be carried out with the participants to establish…

Practical Research Aim and Objectives

This project aims to identify the causes of disturbed supply of raw material in the region, which resulted in low production for the company in July and August. This will be achieved by conducting interviews and surveys with the suppliers to understand why the supply is unpredictable in those two months and what can be done to ensure orderliness. Practical experiments will also be conducted to observe the effectiveness of proposed solutions.

Theoretical Research Aim and Objectives

This study aims to understand and unearth the experiences of fresh graduates in the modern economy. The sample population will participate in this study through qualitative research methods, which are expected to provide a deeper insight into the perceptions and motives of these fresh graduates working as freelancers and contract-based employees. The data collected from this exercise and the existing literature on the topic will be analysed in statistical analysis software.

TIP: Search the common themes of the problem statement in your field of research before writing a problem statement.

Also see: Argumentative Essay Writing Service

Problem Statement versus Significance of the Study

Even though both may sound similar, the statement of the problem and the significance of your study are going to be different. The latter does develop upon and from the former, though.

The problem statement tells your readers what’s wrong, whereas the significance of the study will tell them how your research contributed to that problem. You can’t have a significance of a study without mentioning the problem statement first.

Furthermore, signifying your study implies mentioning 4 key points related to it:

• How your study will further develop the theory behind the existing problem
• Practical solutions that might be implemented to solve the problem (especially in field research work)
• Whether your study or research will pave way for innovative methods to solve the existing problem.
• How your study can help in policy making and implementation, impact studies, etc.

Problem statement in research is the description of an existing issue that needs to be addressed. The problem statement is a focal point of any research and a bridge between the  literature review  and the  research methodology .

Problem statement often has three elements; the problem itself, the method of solving the problem, and the purpose. There are five aspects of every problem: What, Where, When, to what extent, and what defects you know about the topic. Here is an  example of a problem statement in a research proposal  for your better understanding.

If you wish to know more about how to start your research process, then you might want to take a look at the “ Starting the Research Process ” section on our website, which has several articles relating to a  research problem , problem statement, research aim and objectives, and  research proposal .

ResearchProspect is a UK-registered business that offers academic support and assistance to students across the globe. Our writers can help you with individual chapters of your dissertation or the full dissertation writing service , no matter how urgent or complex your requirements might be.

Frequently Asked Questions

Is it necessary to write a problem statement.

Yes, the most important step to perform any research is to identify a problem that needs to be solved. Therefore, it is necessary to define a research problem before starting the actual research process .

How is a problem statement different from a problem statement written for an organisation?

In the business world, problem statements provide the basis for the enhancement and refinement of projects. Whereas, in academic research, A problem statement helps researchers understand and realise organised the significance of a research problem .

What is a practical research problem?

Doing experimental research can identify problems by talking to people working in a relevant field, studying research reports, and reviewing previous research. 

What is a theoretical research problem?

A theoretical research problem is when the researcher finds a specific problem by brainstorming and reviewing already published theories and research.

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What is a Problem Statement in Research? How to Write It with Examples

The question, “What is a research problem statement?” is usually followed by “Why should I care about problem statements, and how can it affect my research?” In this article, we will try to simplify the concept so that you not only grasp its meaning but internalize its importance and learn how to craft a problem statement.

To put it simply, a “problem statement” as the name implies is any statement that describes a problem in research. When you conduct a study, your aim as a researcher is to answer a query or resolve a problem. This learned information is then typically disseminated by writing a research paper that details the entire process for readers (both for experts and the general public). To better grasp this concept, we’ll try to explain what a research problem statement is from the viewpoint of a reader. For the purpose of clarity and brevity the topic is divided into subsections.

Table of Contents

What is a research problem?

A research problem is a clearly defined issue in a particular field of study that requires additional investigation and study to resolve. Once identified, the problem can be succinctly stated to highlight existing knowledge gaps, the importance of solving the research problem, and the difference between a current situation and an improved state.

But why is it important to have a research problem ready? Keep in mind that a good research problem helps you define the main concepts and terms of research that not only guide your study but help you add to or update existing literature. A research problem statement should ideally be clear, precise, and tangible enough to assist you in developing a framework for establishing the objectives, techniques, and analysis of the research project. Hence, any research project, if it is to be completed successfully,  must start with a well-defined research problem.

What is research problem statement?

A research problem statement in research writing is the most crucial component of any study, which the researcher must perfect for a variety of reasons, including to get funding and boost readership. We’ve already established that a research article’s “research problem” is a sentence that expresses the specific problem that the research is addressing. But first, let’s discuss the significance of the problem statement in research and how to formulate one, using a few examples.

Do you recall the thoughts that went through your head the last time you read a study article? Have you ever tried to quickly scan the introduction or background of the research article to get a sense of the context and the exact issue the authors were attempting to address through the study? Were you stuck attempting to pinpoint the key sentence(s) that encapsulates the background and context of the study, the motivation behind its initial conduct, and its goals? A research problem statement is the descriptive statement which conveys the issue a researcher is trying to address through the study with the aim of informing the reader the context and significance of performing the study at hand . The research problem statement is crucial for researchers to focus on a particular component of a vast field of study, and for readers to comprehend the significance of the research. A well-defined problem allows you to create a framework to develop research objectives or hypotheses.

Now that we are aware of the significance of a problem statement in research, we can concentrate on creating one that is compelling. Writing a problem statement is a fairly simple process; first, you select a broad topic or research area based on your expertise and the resources at your disposal. Then, you narrow it down to a specific research question or problem relevant to that area of research while keeping the gaps in existing knowledge in mind. To give you a step-by-step instruction on how to write a problem statement for research proposal we’ve broken the process down into sections discussing individual aspects.

When to write a problem statement?

The placement of the research problem in the research project is another crucial component when developing a problem statement. Since the research problem statement is fundamental to writing any research project, it is best to write it at the start of the research process, before experimental setup, data collection, and analysis. Without identifying a specific research problem, you don’t know what exactly you are trying to address through the research so it would not be possible for you to set up the right conditions and foundation for the research project.

It is important to describe the research problem statement at the beginning of the research process to guide the research design and methodology. Another benefit of having a clear and defined research problem early on is that it helps researchers stay on track and focus on the problem at hand without deviating into other trajectories. Writing down the research problem statement also ensures that the current study is relevant, fitting, and fills a knowledge gap. However, note that a research statement can be refined or modified as the research advances and new information becomes available. This could be anything from further deconstructing a specific query to posing a fresh query related to the selected topic area. In fact, it is common practice to revise the problem statement in research to maintain specificity and clarity and to allow room to reflect advancement in the research field.

Bonus point:

A well-defined research problem statement that is referenced in the proper position in the research proposal/article is crucial to effectively communicate the goal and significance of the study to all stakeholders concerned with the research. It piques the reader’s interest in the research area, which can advance the work in several ways and open up future partnerships and even employment opportunities for authors.

What does a research problem statement include?

If you have to create a problem statement from scratch, follow the steps/important aspects listed below to create a well-defined research problem statement.

• Describe the wide-ranging research topics

To put things in perspective, it is important to first describe the background of the research issue, which derives from a broad area of study or interest that the research project is concerned with.

• Talk about the research problem/issue

As mentioned earlier, it’s important to state the problem or issues that the research project seeks to address in a clear, succinct manner, preferably in a sentence or two to set the premise of the entire study.

• Emphasize the importance of the issue

After defining the problem your research will try to solve, explain why it’s significant in the larger context and how your study aims to close the knowledge gap between the current state of knowledge and the ideal scenario.

• Outline research questions to address the issue

Give a brief description of the list of research questions your study will use to solve the problem at hand and explain how these will address various components of the problem statement.

• Specify the key goals of the research project

Next, carefully define a set of specific and measurable research objectives that the research project aims to address.

• Describe the experimental setup

Be sure to include a description of the experimental design, including the intended sample (population/size), setting, or context in the problem statement.

• Discuss the theoretical framework

Mention the numerous theoretical ideas and precepts necessary to comprehend the study issue and guide the research activity in this section.

• Include the research methodology

To provide a clear and concise research framework, add a brief description of the research methodologies, including collection and analysis of data, which will be needed to address the research questions and objectives.

Characteristics of a research problem statement

It is essential for a research statement to be clear and concise so that it can guide the development of the research project. A good research statement also helps other stakeholders in comprehending the scope and relevance of the research, which could further lead to opportunities for collaboration or exploration. Here is a list of the key characteristics of a research problem that you should keep in mind when writing an effective research problem statement.

• The “need” to resolve the issue must be present.

It is not enough to choose a problem in your area of interest and expertise; the research problem should have larger implications for a population or a specific subset. Unless the significance of the research problem is elaborated in detail, the research is not deemed significant. Hence, mentioning the “need” to conduct the research in the context of the subject area and how it will create a difference is of utmost importance.

• The research problem needs to be presented rationally and clearly

The research statement must be written at the start and be simple enough for even researchers outside the subject area to understand. The two fundamental elements of a successful research problem statement are clarity and specificity. So, check and rewrite your research problem statement if your peers have trouble understanding it. Aim to write in a straightforward manner while addressing all relevant issues and coherent arguments.

• The research issue is supported by facts and evidence

Before you begin writing the problem statement, you must collect all relevant information available to gain a better understanding of the research topic and existing gaps. A thorough literature search will give you an idea about the current situation and the specific questions you need to ask to close any knowledge gaps. This will also prevent you from asking the questions or identifying issues that have already been addressed. Also, the problem statement should be based on facts and data and should not depend upon hypothetical events.

• The research problem should generate more research questions

Ideally, the research problem should be such that it helps advance research and encourage more questions. The new questions could be specific to the research that highlights different components or aspects of the problem. These questions must also aid in addressing the problem in a more comprehensive manner which provides a solid foundation for the research study.

• The research problem should be tangible

The research issue should be concrete, which means that the study project’s budget and time constraints should be met. The research problem should not call for any actions and experiments that are impractical or outside of your area of competence.

To summarize the main characteristics of a research problem statement, it must:

• Address the knowledge gap
• Be current and relevant
• Aids in advancing the field
• Support future research
• Be tangible and should suit researcher’s time and interest
• Be based on facts and data

  How to write a problem statement in research proposal

The format of a problem statement might vary based on the nature and subject of the research; there is no set format. It is typically written in clear, concise sentences and can range from a few sentences to a few pages. Three considerations must be made when formulating a problem statement for a research proposal:

• Context: The research problem statement needs to be created in the right setting with sufficient background information on the research topic. Context makes it easier to distinguish between the current state and the ideal one in which the issue would not exist. In this section, you can also include instances of any prior attempts and significant roadblocks to solving the problem.
• Relevance: The main goal of the researcher here is to highlight the relevance of the research study. Explain how the research problem affects society or the field of research and, if the study is conducted to mitigate the issue, what an ideal scenario would look like. Who your study will most affect if the issue is resolved and how it can impact future research are other arguments that might be made in this section.
• Strategy: Be sure to mention the goals and objectives of your research, and your approach to solve the problem. The purpose of this section is to lay out the research approach for tackling various parts of the research subject.

Examples of problem statement in research proposal

To put what we learned into practice, let’s look at an example of a problem statement in a research report. Suppose you decide to conduct a study on the topic of attention span of different generations. After a thorough literature search you concluded that the attention span of university students is reducing over generations compared to the previous one, even though there are many websites and apps to simplify tasks and make learning easy . This decrease in attention span is attributed to constant exposure to digital content and multiple screens.

In this scenario, the problem statement could be written as – “The problem this study addresses is the lack of regulative measures to control consumption of digital content by young university students, which negatively impacts their attention span”. The research’s goals and objectives, which may employ strategies to increase university students’ attention span by limiting their internet exposure, can then be described in more detail in subsequent paragraphs.

Frequently asked questions

What is a problem statement.

A problem statement is a succinct and unambiguous overview of the research issue that the study is trying to solve.

What is the difference between problem statement and thesis statement?

A problem statement is different from a thesis statement in that the former highlights the main points of a research paper while emphasizing the hypothesis, whilst the latter identifies the issue for which research is being done.

Why is a problem statement needed in a research proposal?

A problem statement identifies the specific problem that the researchers are trying to solve through their research. It is necessary to establish a framework for the project, focus the researcher’s attention, and inform stakeholders of the study’s importance.

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• Chapter 1: Home
• Narrowing Your Topic
• Problem Statement
• Purpose Statement

Alignment of Problem, Purpose, and Questions

Alignment of the quantitative research components, the quantitative general and specific problem, alignment of the qualitative research components, the qualitative phenomenon and specific problem.

• Conceptual Framework
• Theoretical Framework
• Quantitative Research Questions This link opens in a new window
• Qualitative Research Questions This link opens in a new window
• Qualitative & Quantitative Research Support with the ASC This link opens in a new window
• Library Research Consultations This link opens in a new window

In a dissertation, alignment of problem, purpose, and questions is key.  To help check alignment, some students find the following activity to be helpful.

• Activity - Aligning Problem, Purpose, and Questions Download this activity to check the alignment of your problem, purpose, and questions.

Instructions for completing the activity:

• Copy each segment of your specific problem statement into a cell in the first column.
• Then copy the corresponding segment of your purpose statement into the second column.
• Finally, copy the related questions into the third column.
• Read across to note any discrepancies.

Activity example:

For information: Please visit the NU ASC website and view the resources on constructing a problem statement. 

The problem of your study can be determined by gaps in the literature; HOWEVER, a gap in the literature is not the problem. A problem is a clear and distinct problem that can be empirically verified and has a consequence. NOTE: A problem statement does not suggest any action to be taken nor does it ask a question. 

Example: “My car has a flat tire, so I cannot go to work and my livelihood is affected.” (This is a statement of fact and can be verified.)

As soon as  an action is noted, it becomes a purpose statement – “I need to investigate why I have a flat tire.”

If you ask a question, it is no longer a problem statement either – “How does my flat tire affect my livelihood?”   

Your general and specific problem statements should have at least two to three current (within three years) citations.

An example problem statement format is provided below. Please use the information and templates below to construct each component based on the quantitative research design selected earlier.

Constructing the General problem and Specific Problem Statements using the Funnel Approach

The premise is that the “funnel” approach to constructing the problem statement funnels from a general problem to a specific one. 

The general problem statement. Using the funnel approach to write a problem statement, the first component developed is the general problem. The general problem represents a situation that exists that can be directly attributed to a specific problem that is the focus of the dissertation. 

Exercise #1.

Based on the type of problem addressed by the dissertation, write the general problem statement below.

"The general problem is (describe the situation linked to the negative outcome) (two-three citations)."

The Specific Problem Statement

Once again, using the funnel approach to write a problem statement (see Problem Statement webinar on the NU ASC website at http://www.viddler.com/v/a70ecc81), the second  component developed is the “specific problem.” The specific problem represents an undesirable or negative outcome that can be researched, and is directly attributable to the general problem.

Exercise #2

With the type of problem in mind, write the specific problem addressed by the proposed project below.

"The specific problem to be studied is when the (study population/site/program) experience/results in/causes (the general problem), (state the negative outcome) (two to three citations."

Following the Problem Statement is the Purpose Statement. The purpose should directly align with the problem.

The Purpose Statement.

The purpose statement describes the aim of the dissertation and includes the project design, method, and variables. 

Based on the design the purpose statement can be constructed slightly differently.

Correlational Design Purpose Statement

The purpose of this quantitative correlational Dissertation is to examine if there is a relationship between (variable 1) and (variable 2). 

Causal Comparative Design Purpose Statement

The purpose of this quantitative causal-comparative dissertation is to examine the difference in (dependent variable) between (group 1) and (group2). 

NOTE:  The groups represent the independent variable. For example, you could be investigating the difference between high school and college students, so the independent variable is education level.

Exercise #3

Based on the design write the purpose statement for the proposed dissertation below.

"The purpose of this quantitative (design) dissertation is to examine (connection) of (variables)."

Dissertation Research Questions

The type and number of research questions are dependent upon the design and purpose of the dissertation.

Visit the following site to identify the appropriate structure for the proposed project: http://dissertation.laerd.com/how-to-structure-quantitative-research-questions.php

• Causal Comparative Research Questions

RQ1.  What is the difference in (dependent variable) between (group 1)? (group 2), (group…n)? OR RQ1. How are/is (group 1) different from (group 2) in terms of (dependent variable) for (participants) at (research location)?

• Correlational Research Questions

Q1. What is the relationship of (variable 1)to ( variable 2) for (participants) at (research location)?

Exercise #4

Write the appropriate number research question(s) based on the project design and purpose of the proposed Dissertation.

Research Question: RQ1. (see examples above to complete)

Hypotheses For each research question there should be a null and alternative hypothesis.

Causal Comparative Hypotheses H10. There is no difference in (dependent variable between (group 1) and (group 2). H1A. There is a statistically significant difference in (dependent variable between (group 1) and (group 2). Correlational Hypotheses H10. There is no relationship between (variable 1) and (variable 2). H1A. There is a relationship between (variable 1) and (variable 2).

Visit Please review the following site to properly construct hypotheses: https://statistics.laerd.com/statistical-guides/hypothesis-testing-3.php

Exercise #6.

Write the appropriate hypotheses for the proposed dissertation below.

H10. (see examples above to complete)     H1A. (see examples above to complete)

For information: Please visit the NU ASC website and view the webinar about constructing a problem statement. 

As soon as an action is noted, it becomes a purpose statement – “I need to investigate why I have a flat tire.”

If you ask a question, it is no longer a problem statement either – “How does my flat tire affect my livelihood?”  

In qualitative studies, the problem is the phenomenon under study.

The General Problem Statement

Using the funnel approach, i.e., moving from a general to a specific problem, to write a problem statement (see Problem Statement webinar, on the NU ASC website at http://www.viddler.com/v/a70ecc81, the first component developed is the “phenomenon,” also known as the general problem. The phenomenon represents a situation that exists that can be directly attributed to a specific problem that is the focus of the proposed Dissertation.

Exercise #1

Use the script below by replacing the italicized text with the appropriate information to write a one-sentence statement representing the phenomenon, and include at least two to three current (within three years) citations to support the statement.

"The general problem is that (describe the phenomenon) (two to three current citations)."

Once again, using the funnel approach to write a problem statement (see Problem Statement webinar on the NU ASC website at http://www.viddler.com/v/a70ecc81), the second component developed is the “specific problem.” The specific problem represents an undesirable or negative outcome that can be researched, and is directly attributable to the phenomenon of the proposed dissertation.

Use the script below by replacing the italicized text with the appropriate information to write a one-sentence statement representing the specific problem, and include at least two to three current (within three years) citations to support the statement.

"The specific problem is when the (dissertation participants) (experience the phenomenon), (negative/undesirable outcome) (two to three current citations)."

Often, it may be more effective to write one overarching problem statement that includes both the general and specific problems.

The Purpose Statement

The purpose statement describes the aim of the proposed dissertation and includes the research methodology and design, phenomenon, and project participants.

Use the script below by replacing the italicized text with the appropriate information to write a one-sentence statement representing the purpose statement.

"The purpose of this qualitative (design) study is to explore (the phenomenon), (as perceived by dissertation participants)."

Research Questions

Often, one question is designed to explore the barriers or challenges related to the phenomenon, and the second question asks about how to improve the phenomenon. However, there can be more than two research questions. The questions can be constructed in several different ways; a few examples are shown in RQ1. And RQ2. The questions should always include the phenomenon and dissertation participants and ask the “How,” “What,” or “Why,” as related to the phenomenon.

Use the script below by replacing the italicized text with the appropriate information to write two one-sentence research questions that together explore the phenomenon as it is perceived by the  (dissertation participants). 

"RQ1.  What are the challenges of the (phenomenon) from the perspectives of the dissertation participants)?" "RQ2.  How can the (phenomenon) be improved, as perceived by the (dissertation participants)?"

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The basics of writing a statement of the problem for your research proposal

Statement of the Problem

Henry Bwisa

• A statement of the problem is used in research work as a claim that outlines the problem addressed by a study.
• A good research problem should address an existing gap in knowledge in the field and lead to further research.
• To write a persuasive problem statement, you need to describe (a) the ideal, (b), the reality, and (c) the consequences.

Research is a systematic investigative process employed to increase or revise current knowledge by discovering new facts. It can be divided into two general categories: (1) Basic research, which is inquiry aimed at increasing scientific knowledge, and (2) Applied research, which is effort aimed at using basic research for solving problems or developing new processes, products, or techniques.

The first and most important step in any research is to identify and delineate the research problem: that is, what the researcher wants to solve and what questions he/she wishes to answer. A research problem may be defined as an area of concern, a gap in the existing knowledge, or a deviation in the norm or standard that points to the need for further understanding and investigation. Although many problems turn out to have several solutions (the means to close the gap or correct the deviation), difficulties arise where such means are either not obvious or are not immediately available. This then necessitates some research to reach a viable solution.

A statement of the problem is used in research work as a claim that outlines the problem addressed by a study. The statement of the problem briefly addresses the question: What is the problem that the research will address?

What are the goals of a statement of the problem?

The ultimate goal of a statement of the problem is to transform a generalized problem (something that bothers you; a perceived lack) into a targeted, well-defined problem; one that can be resolved through focused research and careful decision-making.

Writing a statement of the problem should help you clearly identify the purpose of the research project you will propose. Often, the statement of the problem will also serve as the basis for the introductory section of your final proposal, directing your reader’s attention quickly to the issues that your proposed project will address and providing the reader with a concise statement of the proposed project itself.

A statement of problem need not be long and elaborate: one page is more than enough for a good statement of problem.

A good research problem should have the following characteristics:

• It should address a gap in knowledge.
• It should be significant enough to contribute to the existing body of research
• It should lead to further research
• The problem should render itself to investigation through collection of data
• It should be of interest to the researcher and suit his/her skills, time, and resources
• The approach towards solving the problem should be ethical

What is the format for writing a statement of the problem?

A persuasive statement of problem is usually written in three parts:

Part A (The ideal):  Describes a desired goal or ideal situation; explains how things should be.

Part B (The reality): Describes a condition that prevents the goal, state, or value in Part A from being achieved or realized at this time; explains how the current situation falls short of the goal or ideal.

Part C   (The consequences): Identifies the way you propose to improve the current situation and move it closer to the goal or ideal.

Here is an example:

Statement 1

The Ministry of Youth is dedicated to allocating enterprise development funds to both the youth and women. These funds are made available in order to start entrepreneurial ventures that create and expand employment. (Provide relevant statistics and quote)

Statement 2

One of the main focuses of the ministry is consistency. Unfortunately, consistency in allocating funds to the next generation of recipients requires prior knowledge of previous allocations and established practices. The current continuous disbursement method does not allow for adequate analysis of previous disbursements before a current disbursement is done.

Statement 3

Continuing with this current disbursement method prevents consistency and causes decisions to become grossly political, which in turn inhibits the achievement of the goals of the funds. Developing a more informed disbursement system could help better implement the consistency focus of the ministry and at the same time help the ministry better monitor and evaluate its funds.

This proposed research aspires to explore options for a new funds disbursement system that would focus on consistency. To do this, the researcher will carry out a full stakeholder analysis and use it to propose appropriate policy interventions.

Sample statement of a problem

An established trend in the small business start-up financing in Kenya is to establish funds. Some of these funds include the youth fund and women fund. These funds have helped improve the rate of start-ups in the country. However, after the start-up stage, the ventures start developing problems. First, they face problems in management which lead to a marketing problem and eventually to stagnation and early exit.

A study by the Institute of Development Studies (RoK, 2004) revealed that only 38% of the businesses are expanding while 58% have not added workers. According to the survey, more enterprises are likely to close in their first three years of operation. Four years later the same institute conducted another study in Central Kenya. This study revealed that 57% of small businesses are in stagnation with only 33% of them showing some level of growth.

In our current project, we propose to examine factors that have an impact on small business sustainability. We will employ both qualitative and quantitative approaches to gather both primary and secondary data and information with the objective of determining success factors for the growth of small business in Kenya.

Specifically, we shall employ the product life cycle (PLC) model to identify the needs of a small business at the various stages of the PLC.

Now that you’ve learnt the basics, hone your skills and write an ideal statement of the problem with this advanced course by our expert Prof. Henry Bwisa .

References:

1. RoK, (2008). Economic Survey . Nairobi, Kenya. Government Printer.

2. Nyaga C.N. (2009). Non-financial constraints hindering growth of SMEs in Kenya: The case of plastic manufacturing companies in industrial area in Nairobi county.  (A masters  research thesis, University of Nairobi).

3. Nyagah C.N. (2013).  Non-financial constraints hindering growth of SME’S in Kenya: the case of plastic manufacturing companies in industrial area in Nairobi County  (Doctoral dissertation).

This post is a modified version of the article  Is it problem statement or statement of the problem? published on the website of Mukmik consultants. This post has been modified and republished with the permission of the author.

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Published on: May 15, 2018

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CHAPTER ONE INTRODUCTION AND STATEMENT OF THE PROBLEM

Related Papers

Adrian D Van Breda

Domestic violence is a social problem that has been going on for decades. In Zambia, domestic violence cuts across all cultures and the most affected usually are women and children. This descriptive study was conducted in two communities of Katete district of Zambia with the purpose of understanding men’s and women’s perceptions on domestic violence. To meet the overall purpose of this study, the following objectives were set: 1. To establish what men and women perceive to be domestic violence. 2. To outline the services known to be available to victims of domestic violence. 3. To investigate the barriers to seeking assistance among victims of domestic violence 4. To gather views from respondents on the kinds of strategies that would reduce the prevalence of domestic violence. 5. To provide recommendations to stakeholders and the government on a policy direction for domestic violence. A number of literatures which were in text forms were gathered through the library and various websites. Despite insufficient statistics to justify the occurrence of domestic violence in Zambia, it was indicated through literature that it was a problem. Through some of the literature, the student had adopted an ecological perspective which was instrumental in the provision of various ways of understanding the occurrence of domestic violence. Prior to the data collection, the student obtained permission from the participants. The student interviewed a total of 34 men and women through the use of focus groups as a method of data collection. Through this study, six major themes were identified and broken down into sub-themes or categories which had emerged from the study. The themes had included: (A) men’s and women’s perceptions of domestic violence; (B) dominant types of domestic violence; (C) causes of domestic violence; (D) availability of services for the victims of domestic violence; (E) barriers to seeking help by victims of domestic violence; and (F) strategies to reduce domestic violence. From the findings of this study, various issues emerged, the most critical of which is that women equally contribute to precipitating domestic violence in relationships. Additionally, various barriers that hinder survivors of domestic violence from accessing relevant services were underlined. Nevertheless, participants were able to bring out the positive contributions of some of the services of domestic violence despite the noted challenges in terms of availability and accessibility. In the final chapter, general recommendations were presented which among them included sensitisation on the services of domestic violence by stakeholders, need for facilities for domestic violence victims and psychological support for the victims of domestic violence.

Erick Malambo

Gender based violence (GBV) has negative effects on women and it also goes against human rights, seeing that different forms of violence are inflicted on women. This study used ZDHS data of 2013-14 to conduct a study on the occurrence of GBV among women in the reproductive age (15-49) in Zambia. The types of violence that have been identified are; physical violence, emotional violence and sexual violence. Perpetrators of violence are mainly victims’ husband or partner as well as close family members. A small number of women also perpetrate violence against their partners. With regards to the help seeking behavior of victims, more of them do not seek help and when they do, they usually seek help from their partner’s family or their own family. Factors that contribute to gender based violence include alcohol consumption of perpetrators and also victims’ pre-exposure to violence. This pre-exposure is in terms of violence between parents and also victims coming from a relationship that was abusive. Socio-economic and demographic characteristics of GBV victims that have an influence on occurrence of GBV include age, education and wealth of victims. Therefore, GBV occurs in different types and is perpetrated by people close to the victims.

Yvone Nenga

nopele matafeo

Esther Namisi

Ndabuli T . Mugisho

Domestic violence is a branch of Gender Based Violence (GBV). Domestic violence is directed towards family members, particularly the wife and so it is rampant in the world. This research delves in the beliefs and attitudes towards male domestic violence in South Kivu province of the Democratic Republic of Congo (DRC). It also provides a comprehensive understanding of some different factors, forms, reasons and consequences of such violence in the province. This research used qualitative approach with focus group and in-depth interviews with adult men in the mentioned province. There were organised two focus groups and two in-depth interviews. Fourteen men participated to these interviews. The researcher selected them with the help of the provincial authorities. The dynamism of men’s beliefs and attitudes towards domestic violence in this province is of paramount importance to understand. The research found that South Kivu men believe that asserting power and masculinity in the family in general, particularly to the wife is their right. This connectivity promotes the widespread of GBV in the province. The participants also revealed that society fosters men’s power and masculinity over family members. This actually makes domestic violence become a culture in the area. In combating domestic violence through means of education, awareness raising and law reinforcement and its fair implementation, families can be harmonious. This is possible if society motivates men to use their power and masculinity in a constructive way, and if the victims are helped to restore their self esteem, regain hope and break the silence.

Texila International Journal of Nursing

Texila International Journal

Social and cultural beliefs in different communities of Zambia have continued to perpetrate Gender Based Violence and this has affected victims in many ways. The impact of GBV has led to an increase in morbidity and mortality rates globally after its physical, mental, emotional and social inflictions on the victims. This has placed a cost on the quality of life as lifestyle changes occur. Therefore, the aim of this study was to establish the socio-cultural factors that are associated with Gender Based Violence in Chipata City. This study adopted an explorative mixed method design. The study sequentially collected quantitative and qualitative data. Responses were gotten from 381 respondents. The sample was deduced from 1,922 female victims were registered from 2014 to 2016 at the GBV One Stop Centre. The discussions about the study revealed that and weak community support, poor relationships, alcohol and poverty, are among the major contributing factors to GBV. The major health effects could be either physical implications like a loss of an organ after assault, unwanted pregnancies and STI infections. Most of these findings were attributed to the spouses/partners. Sensitization, in this case, could be the answer to curb the incidences of GBV. In conclusion, the study explored the experiences female survivors in Chipata city have had following Gender Based Violence. Socio-cultural and economic factors have had a major impact in enhancing GBV and victims mentioned that poverty, substance abuse and inactive law enforcement directly fueled the acts of violence. The key recommendation is massive sensitization about GBV and reinforcing laws to strengthen the curbing of violence.

John Hamel , Teri Lambert

This is the table for the research highlighted in the associated manuscript.

Jenny K Morrison

Violence against women has a serious impact not only on those who experience it, but on the country’s social and economic situation as well. To address the serious toll that domestic violence takes on Cambodia, the Royal Government of Cambodia (RGC) has made reducing domestic violence a priority. In particular, the RGC is focused on addressing the Cambodian Millennium Development Goal (CMDG) 3, which aims to “promote gender equality and empower women”; and the overall Target 8 within this goal, which is to “reduce significantly all forms of violence against women and children.” The final report contributes evidence in support of the RGC’s strategy to reduce domestic violence.

Texila International Journal of Public Health

Texila International Journal , Beatrice Banda

Social and cultural beliefs in different communities of Zambia have continued to perpetrate Gender Based Violence and this has affected victims in many ways. The impact of GBV has led to an increase in morbidity and mortality rates globally after its physical, mental, emotional and social inflictions on the victims. This has placed a cost on the quality of life as lifestyle changes occur. Therefore, the aim of this study was to establish the socio-cultural factors that are associated with Gender Based Violence in Chipata City. This study adopted an explorative mixed method design. The study sequentially collected quantitative and qualitative data. Responses were gotten from 381 whose sample was deduced from 1,922 female victims, registered from 2014 to 2016 at the GBV One Stop Centre and Chipata City. The study discussions revealed weak community support, poor relationships, alcohol and poverty as being among the major contributing factors to GBV. Major health effects could either be physical implications like a loss of an organ after assault, unwanted pregnancies and STI infections, whose findings were attributed to spouses/partners. Sensitization, in this case, could help curb the incidences of GBV. On conclusion, the study explored the experiences female survivors in Chipata city have had following Gender Based Violence. Socio-cultural and economic factors fueled GBV and victims mention poverty, substance abuse and inactive law enforcement directly enhancing these acts of violence. The key recommendation is massive sensitization about GBV and reinforcing laws to strengthen the curbing of violence.

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Research Problem Statement — Find out how to write an impactful one!

Table of Contents

What Is a Research Problem Statement?

A research problem statement is a clear, concise, and specific statement that describes the issue or problem that the research project addresses. It should be written in a way that is easily understandable to both experts and non-experts in the field.

To write a research problem statement, you should:

• Identify the general area of interest: Start by identifying the general area of research that interests you.
• Define the specific problem: Narrow down the general area of interest to a specific problem or issue.
• Explain the significance of the problem: Provide context for the problem by explaining why it is important to study and what gap in current knowledge or understanding it fills.
• Provide a clear and concise statement: State the problem in a clear and concise manner, making sure to use language that is easily understood by your intended audience.
• Use a scientific and objective tone: The problem statement should be written in a neutral and objective tone, avoiding any subjective language and personal bias .

An Example of a Research Problem Statement

“The increasing prevalence of obesity in children is a growing public health concern. Despite the availability of information on healthy eating and physical activity, many children are still not engaging in healthy lifestyle behaviors. The problem this study addresses is the lack of understanding of the barriers and facilitators to healthy lifestyle behaviors in children.”

When to Write a Problem Statement in Research?

A research problem statement should be written at the beginning of the research process, before any data collection or analysis takes place. This is because the statement sets the foundation for the entire research project by clearly defining the problem that the research is trying to address.

Writing a problem statement early in the research process helps to guide the research design and methodology , and ensures that the research is focused on addressing the specific problem at hand. It also helps to ensure that the research is relevant and addresses a gap in current knowledge or understanding.

In addition, a well-written problem statement effectively communicates the purpose and significance of the research to potential funders, collaborators, and other stakeholders. It also generates interest and support for the research project.

It’s also important to note that, during the research process, the statement can be refined or updated as new information is discovered or as the research progresses. This is normal and it’s a good idea to revise the statement as needed to ensure that it remains clear and concise and that it accurately reflects the current focus of the research project.

What Does a Research Problem Statement Include?

A research problem statement typically includes the following elements:

1. The research topic:

The general area of interest or field of study that the research project addresses.

2. The specific problem or issue:

A clear and concise statement of the problem or issue that the research project aims to address.

3. The significance of the problem:

A discussion of why the problem is important and what gap in current knowledge or understanding it fills.

4. The research questions:

A set of questions that the research project aims to answer, in order to address the problem or issue.

5. The research objectives:

A set of specific and measurable objectives that the research project aims to achieve.

6. The scope of the research:

A description of the specific population, setting, or context that the research project will focus on.

7. The theoretical framework:

A discussion of the theoretical concepts and principles that inform the research project.

8. The research design:

A description of the research methodologies that will be used to collect and analyze data in order to address the research questions and objectives.

It’s important to note that the problem statement is usually brief and concise, typically a few sentences or a short paragraph. But it should provide enough information to convey the main idea of the research project.

Important Features of Research Problem Statement

The problem statement should be clear and easy to understand. Write it in a way that is accessible to both experts and non-experts in the field.

2. Specificity

The statement should be specific and clearly define the problem or issue that the research project aims to address. It should be narrow enough to be manageable, but broad enough to be of interest to others in the field.

3. Significance

The statement should explain why the problem is important and what gap in current knowledge or understanding it fills. It should provide context for the research project and help to justify its importance.

4. Relevance

The statement should be relevant to the field of study and address an issue that is currently of concern to researchers.

5. Research questions

The statement should include a set of research questions that the research project aims to answer in order to address the problem or issue.

6. Research objectives

The statement should include a set of specific and measurable objectives that the research project aims to achieve.

The statement should define the specific population, setting, or context that the research project will focus on.

8. Theoretical framework

The statement should provide an overview of the theoretical concepts and principles that inform the research project.

9. Research design

The statement should provide an overview of the research methodologies. This will be useful collect and analyze data in order to address the research questions and objectives.

Difference Between a Thesis Statement and a Problem Statement

A thesis statement and a problem statement are related but distinct elements of a research project.

A thesis statement is a statement that summarizes the central argument or claim of a research paper or essay. It presents the main idea of the paper and sets the direction for the rest of the content. It’s usually located at the end of the introduction, and it’s often one sentence.

A problem statement, on the other hand, is a statement that describes a specific problem or issue that the research project aims to address. It sets the foundation for the entire research project by clearly defining the research problem. It is usually located at the beginning of a research paper or proposal, and is of one or a few paragraphs.

In summary, a thesis statement is a summary of the main point or key argument of the research paper. A problem statement describes the specific issue that the research project aims to address. A thesis statement is more focused on the final outcome of the research. While a problem statement is focused on the current state of knowledge and the gap in understanding that the research project aims to fill.

In Conclusion

A problem statement is a critical component of the research project, as it provides a clear and concise roadmap for the research, and helps to ensure that the research is well-designed and addresses a significant and relevant issue.

We hope this blog has clarified your doubts and confusion associated with research problem statement and helps you write an effective statement for your research project!

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A research problem is a definite or clear expression [statement] about an area of concern, a condition to be improved upon, a difficulty to be eliminated, or a troubling question that exists in scholarly literature, in theory, or within existing practice that points to a need for meaningful understanding and deliberate investigation. A research problem does not state how to do something, offer a vague or broad proposition, or present a value question. In the social and behavioral sciences, studies are most often framed around examining a problem that needs to be understood and resolved in order to improve society and the human condition.

Bryman, Alan. “The Research Question in Social Research: What is its Role?” International Journal of Social Research Methodology 10 (2007): 5-20; Guba, Egon G., and Yvonna S. Lincoln. “Competing Paradigms in Qualitative Research.” In Handbook of Qualitative Research . Norman K. Denzin and Yvonna S. Lincoln, editors. (Thousand Oaks, CA: Sage, 1994), pp. 105-117; Pardede, Parlindungan. “Identifying and Formulating the Research Problem." Research in ELT: Module 4 (October 2018): 1-13; Li, Yanmei, and Sumei Zhang. "Identifying the Research Problem." In Applied Research Methods in Urban and Regional Planning . (Cham, Switzerland: Springer International Publishing, 2022), pp. 13-21.

Importance of...

The purpose of a problem statement is to:

• Introduce the reader to the importance of the topic being studied . The reader is oriented to the significance of the study.
• Anchors the research questions, hypotheses, or assumptions to follow . It offers a concise statement about the purpose of your paper.
• Place the topic into a particular context that defines the parameters of what is to be investigated.
• Provide the framework for reporting the results and indicates what is probably necessary to conduct the study and explain how the findings will present this information.

In the social sciences, the research problem establishes the means by which you must answer the "So What?" question. This declarative question refers to a research problem surviving the relevancy test [the quality of a measurement procedure that provides repeatability and accuracy]. Note that answering the "So What?" question requires a commitment on your part to not only show that you have reviewed the literature, but that you have thoroughly considered the significance of the research problem and its implications applied to creating new knowledge and understanding or informing practice.

To survive the "So What" question, problem statements should possess the following attributes:

• Clarity and precision [a well-written statement does not make sweeping generalizations and irresponsible pronouncements; it also does include unspecific determinates like "very" or "giant"],
• Demonstrate a researchable topic or issue [i.e., feasibility of conducting the study is based upon access to information that can be effectively acquired, gathered, interpreted, synthesized, and understood],
• Identification of what would be studied, while avoiding the use of value-laden words and terms,
• Identification of an overarching question or small set of questions accompanied by key factors or variables,
• Identification of key concepts and terms,
• Articulation of the study's conceptual boundaries or parameters or limitations,
• Some generalizability in regards to applicability and bringing results into general use,
• Conveyance of the study's importance, benefits, and justification [i.e., regardless of the type of research, it is important to demonstrate that the research is not trivial],
• Does not have unnecessary jargon or overly complex sentence constructions; and,
• Conveyance of more than the mere gathering of descriptive data providing only a snapshot of the issue or phenomenon under investigation.

Bryman, Alan. “The Research Question in Social Research: What is its Role?” International Journal of Social Research Methodology 10 (2007): 5-20; Brown, Perry J., Allen Dyer, and Ross S. Whaley. "Recreation Research—So What?" Journal of Leisure Research 5 (1973): 16-24; Castellanos, Susie. Critical Writing and Thinking. The Writing Center. Dean of the College. Brown University; Ellis, Timothy J. and Yair Levy Nova. "Framework of Problem-Based Research: A Guide for Novice Researchers on the Development of a Research-Worthy Problem." Informing Science: the International Journal of an Emerging Transdiscipline 11 (2008); Thesis and Purpose Statements. The Writer’s Handbook. Writing Center. University of Wisconsin, Madison; Thesis Statements. The Writing Center. University of North Carolina; Tips and Examples for Writing Thesis Statements. The Writing Lab and The OWL. Purdue University; Selwyn, Neil. "‘So What?’…A Question that Every Journal Article Needs to Answer." Learning, Media, and Technology 39 (2014): 1-5; Shoket, Mohd. "Research Problem: Identification and Formulation." International Journal of Research 1 (May 2014): 512-518.

Structure and Writing Style

I.  Types and Content

There are four general conceptualizations of a research problem in the social sciences:

• Casuist Research Problem -- this type of problem relates to the determination of right and wrong in questions of conduct or conscience by analyzing moral dilemmas through the application of general rules and the careful distinction of special cases.
• Difference Research Problem -- typically asks the question, “Is there a difference between two or more groups or treatments?” This type of problem statement is used when the researcher compares or contrasts two or more phenomena. This a common approach to defining a problem in the clinical social sciences or behavioral sciences.
• Descriptive Research Problem -- typically asks the question, "what is...?" with the underlying purpose to describe the significance of a situation, state, or existence of a specific phenomenon. This problem is often associated with revealing hidden or understudied issues.
• Relational Research Problem -- suggests a relationship of some sort between two or more variables to be investigated. The underlying purpose is to investigate specific qualities or characteristics that may be connected in some way.

A problem statement in the social sciences should contain :

• A lead-in that helps ensure the reader will maintain interest over the study,
• A declaration of originality [e.g., mentioning a knowledge void or a lack of clarity about a topic that will be revealed in the literature review of prior research],
• An indication of the central focus of the study [establishing the boundaries of analysis], and
• An explanation of the study's significance or the benefits to be derived from investigating the research problem.

NOTE :   A statement describing the research problem of your paper should not be viewed as a thesis statement that you may be familiar with from high school. Given the content listed above, a description of the research problem is usually a short paragraph in length.

II.  Sources of Problems for Investigation

The identification of a problem to study can be challenging, not because there's a lack of issues that could be investigated, but due to the challenge of formulating an academically relevant and researchable problem which is unique and does not simply duplicate the work of others. To facilitate how you might select a problem from which to build a research study, consider these sources of inspiration:

Deductions from Theory This relates to deductions made from social philosophy or generalizations embodied in life and in society that the researcher is familiar with. These deductions from human behavior are then placed within an empirical frame of reference through research. From a theory, the researcher can formulate a research problem or hypothesis stating the expected findings in certain empirical situations. The research asks the question: “What relationship between variables will be observed if theory aptly summarizes the state of affairs?” One can then design and carry out a systematic investigation to assess whether empirical data confirm or reject the hypothesis, and hence, the theory.

Interdisciplinary Perspectives Identifying a problem that forms the basis for a research study can come from academic movements and scholarship originating in disciplines outside of your primary area of study. This can be an intellectually stimulating exercise. A review of pertinent literature should include examining research from related disciplines that can reveal new avenues of exploration and analysis. An interdisciplinary approach to selecting a research problem offers an opportunity to construct a more comprehensive understanding of a very complex issue that any single discipline may be able to provide.

Interviewing Practitioners The identification of research problems about particular topics can arise from formal interviews or informal discussions with practitioners who provide insight into new directions for future research and how to make research findings more relevant to practice. Discussions with experts in the field, such as, teachers, social workers, health care providers, lawyers, business leaders, etc., offers the chance to identify practical, “real world” problems that may be understudied or ignored within academic circles. This approach also provides some practical knowledge which may help in the process of designing and conducting your study.

Personal Experience Don't undervalue your everyday experiences or encounters as worthwhile problems for investigation. Think critically about your own experiences and/or frustrations with an issue facing society or related to your community, your neighborhood, your family, or your personal life. This can be derived, for example, from deliberate observations of certain relationships for which there is no clear explanation or witnessing an event that appears harmful to a person or group or that is out of the ordinary.

Relevant Literature The selection of a research problem can be derived from a thorough review of pertinent research associated with your overall area of interest. This may reveal where gaps exist in understanding a topic or where an issue has been understudied. Research may be conducted to: 1) fill such gaps in knowledge; 2) evaluate if the methodologies employed in prior studies can be adapted to solve other problems; or, 3) determine if a similar study could be conducted in a different subject area or applied in a different context or to different study sample [i.e., different setting or different group of people]. Also, authors frequently conclude their studies by noting implications for further research; read the conclusion of pertinent studies because statements about further research can be a valuable source for identifying new problems to investigate. The fact that a researcher has identified a topic worthy of further exploration validates the fact it is worth pursuing.

III.  What Makes a Good Research Statement?

A good problem statement begins by introducing the broad area in which your research is centered, gradually leading the reader to the more specific issues you are investigating. The statement need not be lengthy, but a good research problem should incorporate the following features:

1.  Compelling Topic The problem chosen should be one that motivates you to address it but simple curiosity is not a good enough reason to pursue a research study because this does not indicate significance. The problem that you choose to explore must be important to you, but it must also be viewed as important by your readers and to a the larger academic and/or social community that could be impacted by the results of your study. 2.  Supports Multiple Perspectives The problem must be phrased in a way that avoids dichotomies and instead supports the generation and exploration of multiple perspectives. A general rule of thumb in the social sciences is that a good research problem is one that would generate a variety of viewpoints from a composite audience made up of reasonable people. 3.  Researchability This isn't a real word but it represents an important aspect of creating a good research statement. It seems a bit obvious, but you don't want to find yourself in the midst of investigating a complex research project and realize that you don't have enough prior research to draw from for your analysis. There's nothing inherently wrong with original research, but you must choose research problems that can be supported, in some way, by the resources available to you. If you are not sure if something is researchable, don't assume that it isn't if you don't find information right away--seek help from a librarian !

NOTE:   Do not confuse a research problem with a research topic. A topic is something to read and obtain information about, whereas a problem is something to be solved or framed as a question raised for inquiry, consideration, or solution, or explained as a source of perplexity, distress, or vexation. In short, a research topic is something to be understood; a research problem is something that needs to be investigated.

IV.  Asking Analytical Questions about the Research Problem

Research problems in the social and behavioral sciences are often analyzed around critical questions that must be investigated. These questions can be explicitly listed in the introduction [i.e., "This study addresses three research questions about women's psychological recovery from domestic abuse in multi-generational home settings..."], or, the questions are implied in the text as specific areas of study related to the research problem. Explicitly listing your research questions at the end of your introduction can help in designing a clear roadmap of what you plan to address in your study, whereas, implicitly integrating them into the text of the introduction allows you to create a more compelling narrative around the key issues under investigation. Either approach is appropriate.

The number of questions you attempt to address should be based on the complexity of the problem you are investigating and what areas of inquiry you find most critical to study. Practical considerations, such as, the length of the paper you are writing or the availability of resources to analyze the issue can also factor in how many questions to ask. In general, however, there should be no more than four research questions underpinning a single research problem.

Given this, well-developed analytical questions can focus on any of the following:

• Highlights a genuine dilemma, area of ambiguity, or point of confusion about a topic open to interpretation by your readers;
• Yields an answer that is unexpected and not obvious rather than inevitable and self-evident;
• Provokes meaningful thought or discussion;
• Raises the visibility of the key ideas or concepts that may be understudied or hidden;
• Suggests the need for complex analysis or argument rather than a basic description or summary; and,
• Offers a specific path of inquiry that avoids eliciting generalizations about the problem.

NOTE:   Questions of how and why concerning a research problem often require more analysis than questions about who, what, where, and when. You should still ask yourself these latter questions, however. Thinking introspectively about the who, what, where, and when of a research problem can help ensure that you have thoroughly considered all aspects of the problem under investigation and helps define the scope of the study in relation to the problem.

V.  Mistakes to Avoid

Beware of circular reasoning! Do not state the research problem as simply the absence of the thing you are suggesting. For example, if you propose the following, "The problem in this community is that there is no hospital," this only leads to a research problem where:

• The need is for a hospital
• The objective is to create a hospital
• The method is to plan for building a hospital, and
• The evaluation is to measure if there is a hospital or not.

This is an example of a research problem that fails the "So What?" test . In this example, the problem does not reveal the relevance of why you are investigating the fact there is no hospital in the community [e.g., perhaps there's a hospital in the community ten miles away]; it does not elucidate the significance of why one should study the fact there is no hospital in the community [e.g., that hospital in the community ten miles away has no emergency room]; the research problem does not offer an intellectual pathway towards adding new knowledge or clarifying prior knowledge [e.g., the county in which there is no hospital already conducted a study about the need for a hospital, but it was conducted ten years ago]; and, the problem does not offer meaningful outcomes that lead to recommendations that can be generalized for other situations or that could suggest areas for further research [e.g., the challenges of building a new hospital serves as a case study for other communities].

Alvesson, Mats and Jörgen Sandberg. “Generating Research Questions Through Problematization.” Academy of Management Review 36 (April 2011): 247-271 ; Choosing and Refining Topics. Writing@CSU. Colorado State University; D'Souza, Victor S. "Use of Induction and Deduction in Research in Social Sciences: An Illustration." Journal of the Indian Law Institute 24 (1982): 655-661; Ellis, Timothy J. and Yair Levy Nova. "Framework of Problem-Based Research: A Guide for Novice Researchers on the Development of a Research-Worthy Problem." Informing Science: the International Journal of an Emerging Transdiscipline 11 (2008); How to Write a Research Question. The Writing Center. George Mason University; Invention: Developing a Thesis Statement. The Reading/Writing Center. Hunter College; Problem Statements PowerPoint Presentation. The Writing Lab and The OWL. Purdue University; Procter, Margaret. Using Thesis Statements. University College Writing Centre. University of Toronto; Shoket, Mohd. "Research Problem: Identification and Formulation." International Journal of Research 1 (May 2014): 512-518; Trochim, William M.K. Problem Formulation. Research Methods Knowledge Base. 2006; Thesis and Purpose Statements. The Writer’s Handbook. Writing Center. University of Wisconsin, Madison; Thesis Statements. The Writing Center. University of North Carolina; Tips and Examples for Writing Thesis Statements. The Writing Lab and The OWL. Purdue University; Pardede, Parlindungan. “Identifying and Formulating the Research Problem." Research in ELT: Module 4 (October 2018): 1-13; Walk, Kerry. Asking an Analytical Question. [Class handout or worksheet]. Princeton University; White, Patrick. Developing Research Questions: A Guide for Social Scientists . New York: Palgrave McMillan, 2009; Li, Yanmei, and Sumei Zhang. "Identifying the Research Problem." In Applied Research Methods in Urban and Regional Planning . (Cham, Switzerland: Springer International Publishing, 2022), pp. 13-21.

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Evaluating Federal Research Programs: Research and the Government Performance and Results Act (1999)

Chapter: c h a p t e r 1 statement of the problem.

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

C H A P T E R 1 Statement of the Problem GPRA and Research n 1993, Congress passed the Government Performance and Results I Act (GPRA) with broad bipartisan support. The law is part of a set of budget-reform measures intended to increase the effectiveness and efficiency of government. Both the General Accounting Office (GAO) and the Office of Management and Budget (OMB) testified in favor of the bill, and the President’s National Performance Review advocated its implementation. Unlike several predecessor systems (program planning and budgeting, management by objec- tives, and zero-based budgeting), GPRA is not an executive branch initiative but rather a congressional mandate. It has received a high level of attention in both the Senate and the House of Representa- tives. The specific goal of GPRA is to focus agency and oversight attention on the outcomes of government activities—the results produced for the American public. The approach is to develop measures of outcomes that can be tied to annual budget allocations. To that end, the law requires each agency to produce three docu- ments: a strategic plan, which sets general goals and objectives over a minimal 5-year period; a performance plan, which translates the goals of the strategic plan into annual targets; and a performance report, which demonstrates whether the targets were met. Agencies delivered the first required strategic plans to Congress in Septem- ber 1997 and the first performance plans in the spring of 1998. Performance reports are due in March 2000. The law calls for strategic plans to be updated every 3 years and the other documents annually. 13 

EVALUATING FEDERAL RESEARCH PROGRAMS The general principles of GPRA have been implemented by many state governments and in other countries (for example, Canada, New Zealand, and the U.K.), but implementation by the U.S. federal government is the largest scale application of the concept to date and somewhat different. Over the last 5 years, various states have tried to develop performance measures of their investments. With respect to performance measures of science and technology activities, states tend to rely on an economic-develop- ment perspective with measures reflecting job creation and com- mercialization. Managers struggle to define appropriate measures, and level-of-activity measures dominate their assessments.3 With respect to other countries, our limited review of their experiences showed that most are struggling with the same issues that the United States is concerned with, notably how to measure the results of basic research. Not every aspect of the system worked perfectly the first time around in the United States. Some agencies started the learning process earlier and scaled up faster than others. OMB allowed considerable agency experimentation with different approaches to similar activities, waiting to see what ideas emerged. The expectations of and thus the guidance from the various congressional and executive audiences for strategic and perfor- mance plans have not always been the same and that has made it difficult for agencies to develop plans agreeable to all parties. Groups outside government that are likely to be interested in agency implementation of GPRA have not been consulted as extensively as envisioned. There is general agreement that all relevant parties should be engaged in a continuing learning process, and there are high expectations for improvement in future itera- tions. The development of plans to implement GPRA has been particularly difficult for agencies responsible for research activities supported by the federal government. A report by GAO (GAO, 1997) indicates that measuring performance and results is particu- 14 

Statement of the Problem larly challenging for regulatory programs, scientific research pro- grams, and programs that deliver services to taxpayers through third parties, such as state and local governments. Findings from Workshops From January through June 1998, COSEPUP held a series of workshops to gather information about the implementation of GPRA. The first workshop, cosponsored with the Academy Industry Program, focused on the approaches that industry uses to develop strategic plans and performance assessments. Industry participants emphasized the importance of having a strategic plan that clearly articulates the goals and objectives of the organization. One of the industry participants said that the objective of their industrial research is “knowledge generation with a purpose.” The industry representative indicated that the company must first support world-class research programs that create new ideas; second, relate the new ideas to an important need within the organization or project; and third, build new competence in tech- nologies and people. With respect to performance assessment, many industry participants noted that results of applied research and development programs are more easily quantified than results of basic research. However, even though they might not be able to quantify results of basic research, they nonetheless support it because they believe it important to their business; investments in basic research do pay off over time.4 With respect to assessing basic research, industry represen- tatives indicated that they must rely on the judgment of individuals knowledgeable about the content of the research and the objectives of the organization to evaluate the results of such efforts. Some industry participants stressed the importance of giving careful consideration to any metrics one adopts—whether in industrial or government research. It is important to choose measures well and use them efficiently to minimize non-productive efforts. The metrics used also will change the behavior of the people being 15 

EVALUATING FEDERAL RESEARCH PROGRAMS measured. For example, in basic research, if you measure relatively unimportant indicators, such as the number of publications per researcher instead of the quality of those publications, you will foster activities that may not be very productive or useful to the organization. A successful performance assessment program will both encourage positive behavior and discourage negative behavior. Metrics must be simple, not easily manipulated, and drive the right behavior. Most industry R&D metrics are more applicable to assessing applied research and technology development activities in the mission agencies. The second COSEPUP workshop focused on the strategic and performance plans of 10 federal agencies: the Department of Defense, the Department of Energy, the Department of Transpor- tation, the Department of Agriculture, the National Aeronautics and Space Administration, the National Institutes of Health, the National Science Foundation, the Environmental Protection Agency, the National Institute of Standards and Technology, and the National Oceanic and Atmospheric Administration. As might be expected, most of these organizations use different approaches to translate the goals in their strategic plans into performance goals for scientific and engineering research. Some agencies use qualita- tive, others quantitative, and still others, a combination of qualita- tive and quantitative measures. There was a strong consensus among the agencies that the practical outcomes of basic research cannot be captured by quantitative measures alone. Agency representatives generally agreed that progress in program manage- ment and facility operation can be assigned quantitative values. Agencies with long-term targeted research goals have generally translated them into short-term milestones that can be achieved within a 2-year time horizon for performance planning and reporting. Agencies that seek advances in knowledge in broad fields rather than targeted ones, have not used the milestone approach to performance planning and reporting. 16 

Statement of the Problem Some agencies have had difficulty in implementing GPRA. When preparing GPRA strategic and performance plans, some agencies are more likely than others to highlight research activities. The major variable is the magnitude of research relative to the agency’s other activities. Submersion of research within large agencies makes it impossible for an integrated view of the federal science and technology investment to emerge through the GPRA process and is therefore a matter of concern for COSEPUP. The performance plans of the agencies tend to emphasize short-term applied research with practical outcomes. Some partici- pants expressed concern that this emphasis would skew funding away from long-term research that is difficult to measure against annual milestones. Some participants indicated that a desirable result of GPRA would be to increase teamwork among the agencies, as well as to improve communication between research agencies and oversight entities, including Congress, OMB, and GAO. Another theme that recurred throughout the workshop was that the research community has a low level of awareness and is not strongly involved in the GPRA process. The education and training of graduate and undergraduate students are among the most important duties and durable legacies of the research agencies. Yet human resources was not thoroughly identified or addressed in most agencies’ performance plans. Peer review was identified as the primary method for assessing the quality of research. However, the process by which peer review is applied varies widely among the agencies. Peer review of projects, grants, and contracts differs from peer review of programs and of intramural and extramural research. Those differences led COSEPUP to hold a third workshop focused on peer review and other methods for evaluating research. In its third workshop, COSEPUP discussed the various methods available for evaluating research. As a result of that 17 

EVALUATING FEDERAL RESEARCH PROGRAMS workshop and other discussions, COSEPUP found that the follow- ing methods are currently available for analyzing research: 1. Bibliometric analysis. 2. Economic rate of return. 3. Peer review. 4. Case study. 5. Retrospective analysis. 6. Benchmarking. Each of these methods is briefly described below.5 The pros and cons associated with each technique are summarized in Table 1, later in this chapter. Bibliometric Analysis6 A technique known as bibliometric analysis, which in- cludes publications, citations, and patent counts, is based on the premise that a researcher’s work has value when it is judged by peers to have merit. A manuscript is published in a refereed journal only when expert reviewers and the editor approve its quality; a published work is cited by other researchers as recognition of its authority; and a published work is cited as evidence by a company applying for a patent. By extension, the more times a work is cited, the greater its merit. The primary benefit of bibliometric analysis is its quantitative nature. Furthermore, it correlates well (approxi- mately 60% in one study) with peer review when both methods are used. The primary argument against bibliometric anaylsis is that bibliometric measurements treat all citations as equally important. However, many citations refer to routine methods or statistical designs, modifications of techniques, or standard data or even refute the validity of a paper. Other problems are caused by citing the first-named author of a publication when the customs that deter- mine the order in which authors are listed vary by fields. In 18 

Statement of the Problem TABLE 1: CURRENT METHODS USED FOR EVALUATING RESEARCH Methods Pro Con Bibliometric Quantitative; useful on aggregate At best, measures only quantity; not analysis basis to evaluate quality for useful across all programs & fields; some programs and fields comparisons across fields or countries difficult; can be artificially influenced Economic rate Quantitative; shows economic Measures only financial benefits, not of return benefits of research social benefits (such as health- quality improvements); time sepa- rating research from economic benefit is often long; not useful across all programs and fields Peer review Well-understood method and Focuses primarily on research quality; practices; provides evaluation other elements are secondary; of quality of research and evaluation usually of research sometimes other factors; projects, not programs; great already an existing part of most variance across agencies; concerns federal-agency programs in regarding use of “old boy net- evaluating the quality of work”; results depend on involve- research projects ment of high-quality people in process Case studies Provides understanding of effects Happenstance cases not comparable of institutional, organizational, across programs; focus on cases and technical factors influenc- that might involve many programs ing research process, so or fields making it difficult to assess process can be improved; federal-program benefit illustrates all types of benefits of research process Retrospective Useful for identifying linkages Not useful as a short-term evaluation analysis between federal programs and tool because of long interval innovations over long intervals between research and practical of research investment outcomes Benchmarking Provides a tool for comparison Focused on fields, not federal research across programs and countries programs 19 

EVALUATING FEDERAL RESEARCH PROGRAMS addition, different mores among research communities—whether particular disciplines or countries—can skew results when they are used comparatively (for example, far fewer outlets are available for Russian publications than for U.S. publications). Furthermore, in emphasizing counts, researchers are apt to take actions that artifi- cially increase the number of citations they receive or reduce their research in fields that offer less opportunity of immediate or frequent publication or in critical related fields (such as education) that do not offer publication opportunities. Economic Rate of Return In recent years, economists have developed a number of techniques to estimate the economic benefits (such as rate of return) of research. The primary benefit of this method is that it provides a metric of research outcomes. However, there are a number of difficulties. In particular, the American Enterprise Institute (AEI, 1994) found that existing economic methods and data are sufficient to measure only a subset of important dimensions of the outcomes and impacts of fundamental science. Economic methods are best suited to assessing mission-agency programs and less-well suited to assessing the work of fundamental research agencies, particularly on an annual basis. Furthermore, economists are not able to estimate the benefit-to-cost ratio “at the margin” for fundamental science (that is, the marginal rate of return—or how much economic benefit is received for an additional dollar invest- ment in research), and it is this information that is needed to make policy decisions. Finally, the time that separates the research from its ultimate beneficial outcome is often very long—50-some years is not unusual. Peer Review7 Peer review is the method by which science exercises continuous self-evaluation and correction. It is the centerpiece of 20 

Statement of the Problem many federal agencies’ approach to evaluating proposed, current, and past research in science and engineering. Peer review, like all human judgments, can be affected by self-interest, especially the favoritism of friendship and the preju- dice of antagonism. However, those distortions can be minimized by the rigor of peer selection, the integrity and independence of individual reviewers, and the use of bibliometric analysis and other quantitative techniques to complement the subjective nature of peer review. Peer review is not equally appropriate across the wide span of research performed by federal agencies. We might visualize at one end of the spectrum the fundamental, long-term projects whose ultimate outcomes are unpredictable and at the other end programs of incremental or developmental work whose results are easier to predict within fairly narrow time limits. Projects of the latter type can often be evaluated in a rigorously quantifiable fashion by appropriate metrics. It is for the former kind of research, whose results are not easily quantified, especially while the work is in progress, that peer review of quality and leadership is required and generally effective. Agency managers have the responsibility of designing review techniques that suit the nature of each individual research program being evaluated. Case Studies Historical accounts of the social and intellectual develop- ments that led to key events in science or applications of science illuminate the discovery process in greater depth than other methods. The chief advantage of case studies is that they can be used to understand the effects of institutional, organizational, and technical factors on the research process and can identify important outcomes of the research process that are not purely intellectual, such as the collaboration of other researchers, the training of young researchers, and the development of productive research centers. 21 

EVALUATING FEDERAL RESEARCH PROGRAMS Difficulties of case studies are that they can be expensive, and that the validity of the results and conclusions depends on the objectiv- ity, investigative skills, and scientific knowledge of the persons doing them. Retrospective Analysis Retrospective analyses are related to case studies in that they also try to reconstruct history; however, they focus on multiple scientific or technological innovations rather than just one. The goal is to identify linkages between innovations and particular types of antecedent events (usually either funding or research). Such analysis is usually done by a panel of experts or investigators. This method is most appropriate for assessing a particular type of accountability question (for example, impact of National Science Foundation funding on mathematics research). The primary disadvantage of this type of analysis is that it takes a long time to conduct and thus is not useful as a tool to provide short-term evaluations for improving research policy and management. Benchmarking8 As noted earlier, maintaining leadership across the frontiers of science is a critical element of the nation’s investment strategy for research (COSEPUP, 1993). The question addressed here is, whether an agency’s or the nation’s research and educational programs are at the cutting edge? This assessment is made by a panel of international and national academic and industrial experts in a given field and in related fields on the basis of available quantitative and qualitative data. COSEPUP has conducted a number of experimental efforts on benchmarking the United States’ position in selected fields. Programs can be benchmarked in a similar fashion. 22 

Statement of the Problem NOTES 3. For more information regarding individual states see http://www.gsu.edu/ ~padjem/projects.html.[G-14] 4. For additional information on corporate experience in assessing research and its applicablity to federal research, see Commission on Physical Sciences, Mathemat- ics, and Applications, (1995) Research Restructuring and Assessment, National Academy Press, Washington, D.C. 5. These descriptions were adapted from the National Science and Technol- ogy Council’s (NSTC) Assessing Fundamental Science, 1996. 6. Small, Henry G. “A Co-Citation Model of a Scientific Specialty: A Longitudinal Study of Collagen Research” Social Studies of Science Vol. 7 (1977), 139-66. Anderson, Richard C., F. Narin, Paul McAllister “Publication Ratings versus Peer Ratings of Universities” Journal of the American Society for Information Science March (1978) 91-103. 7. For additional information on peer review, see Atkinson, Richard C. and William A. Blanpied, Peer Review and the Public Interest, Issues in Science and Technology, vol 1. no. 4, 1985; Bozeman, B. and J. Melkers, “Peer Review and Evaluation of R&D Impacts,” Evaluating R&D Impacts, Kluwer Academic Publishers, Norwell, Mass., (1993) 79-98; Cole, J. and S. Cole, Peer Review in the National Science Foundation, Washington, D.C.: National Academy Press, 1981; GAO, Peer Review; Reforms Needed to Ensure Fairness in Federal Agency Grant Selection, June 1984. 8. See COSEPUP, 1997 and COSEPUP, 1998. 23 

The Government Performance and Results Act (GPRA), passed by Congress in 1993, requires that federal agencies write five-year strategic plans with annual performance goals and produce an annual report that demonstrates whether the goals have been met. The first performance reports are due in March 2000.

Measuring the performance of basic research is particularly challenging because major breakthroughs can be unpredictable and difficult to assess in the short term. This book recommends that federal agencies use an "expert review" method to examine the quality of research they support, the relevance of that research to their mission, and whether the research is at the international forefront of scientific and technological knowledge. It also addresses the issues of matching evaluation measurements to the character of the research performed, improving coordination among agencies when research is in the same field, and including a human resource development component in GPRA strategic and performance plans.

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