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• Starting the research process
• 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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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 it works

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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• How It Works

Problem Statement

Published November 22, 2021. Updated December 13, 2021.

How to write an effective problem statement

A problem statement is a succinct explanation of a problem or concern that a research study seeks to address. It identifies both the current and the desired state of a process or a product and the gap between them, i.e. it highlights the gaps in the current knowledge base and why they need to be addressed.

A problem statement acts as a communication tool among the people working on a study. It helps them identify a problem and its import to the field of study, and gives a direction for how to solve it. A problem statement aims to offer an elaborate method for problem solving and provides recommendations on how the problem can be prevented in the future.

When to write a problem statement

Problem statements are commonly associated with academic research. A researcher can contextualize and understand the consequences of a research problem by writing a problem statement. It can serve as a basis for a research proposal, an introduction to a research paper, or a thesis.

Problem statements have also become a tool in business proposals. They help professionals break down a complex problem into small achievable goals that can be communicated throughout an organization.  A problem statement can be useful in finding and employing effective solutions to a problem.

How to write a problem statement

Once a research problem has been identified, the next step is to write a problem statement. A problem statement should be clear and accurate. This can be achieved by providing a brief description of the extent of the problem and the resources required for solving the problem. An outline for writing problem statements is given below:

Step 1: Provide context to the problem

This step helps in presenting a clear picture of the problem. While giving a background of the problem, it helps to understand the reach and urgency of the issue. This step should address:

• What is known about the issue
• Where and when does the problem take place
• Who is affected by the problem
• What has been done to solve the problem

Step 2: Elucidate the relevance of the problem

This section explains the problem and identifies why it is important to solve it. It helps to communicate the seriousness of the problem and the potential issues that may arise if the problem remains unresolved. This step should address:

• Who will be affected by the problem
• How will problem solving benefit the future
• Does the problem have relevance in other fields of study
• Why is it important to solve the problem

Step 3: Propose the aims and objectives of the study

After investigating the problem thoroughly, the next step is to propose how the problem can be addressed. While it is not necessary to identify a specific solution to the problem, it is important to determine the reasons for the problem and the effective approaches that can be adopted to understand and tackle the problem effectively.

The aim of a research study is the rationale behind the study. It can be written as one of the following:

• The study aims to determine/establish/verify…
• The aim of this study is to examine/test/evaluate…
• The study seeks to explore/investigate/inspect…

The objectives of a research study are the actions that will be taken to achieve the goal(s) of the study:

• Surveys/interviews/questionnaires will be used to collect data on…
• Qualitative methods will be used to identify/classify data on…
• Using various statistical tools, the study will measure…

Examples of problem statements

Though a problem statement can differ depending on the issue being addressed, they are formulated using a similar process. The following is an example of addressing a practical research problem:

Problem : The poverty levels of the people of one region have been increasing while in the rest of the country they are decreasing.

Background : Surveys show that the poverty levels are highest among families with more than four children and families who rely on female breadwinners. While other parts of the country have provided incentives to similar groups and succeeded in reducing poverty, similar solutions have shown no results in the region of concern.

Relevance : Lower poverty levels are associated with lower disposable income levels, higher crime rates, and higher infant mortality rates. When people remain under poverty levels for a continuous period, they lose trust in government policies. Addressing this problem will help improve the condition of the people in the region and help to prevent a similar situation from arising in different regions of the country.

Objectives : This research aims to examine proactive poverty alleviation strategies to decrease poverty levels among the people of the region. It will identify the most significant factors contributing to increasing poverty levels through surveys and interviews, and conduct experiments to evaluate the efficiency of different strategies to solve the issue.

While the above example considers a practical research problem, let’s look at how a problem statement appears for a theoretical research problem:

Problem : Domestic violence seems to coincide with one or more alcoholoic partners within a household. This needs to be investigated.

Background : In the past few years, cases of partner violence under the influence of alcohol have been on the rise. Females below the age of 30 and those with poor education backgrounds are the prime victims. Research on consequences of drinking such as increased cases of road accidents, theft, and associated substance abuse has been conducted. However, there has been little work done to investigate the relationship between alcohol consumption and partner violence.

Relevance : In published literature, partner violence is understood to be a means of displaying power and dominance. To gain a fuller understanding of the behavioral tendencies and thought processes under the influence of alcohol, in-depth qualitative research is needed. Focusing on the experiences of alcoholics and their domestic violence victims can help develop theories on and solutions to this behavior.

Objectives: This research aims to understand the relationship between the consumption of alcohol and partner violence. Qualitative methods will be used to gain detailed knowledge about the behavior of alcoholics and the experiences of their domestic violence victims. This data will be examined along with a review of the recent published literature on partner violence.

Key takeaways

• A problem statement is a succinct explanation of a problem or concern that a research study seeks to address.
• A problem statement aims to offer a detailed method for problem solving and provides recommendations on how the problem can be avoided in the future.
• The aim of a research study is the rationale behind the study. The objectives of a research study are the actions that will be taken to achieve the aim of the study.
• Problem statements are used as communication tools by businesses and organizations to improve functionality.
• A problem statement helps contextualize a problem, elucidate its relevance, and set up the aims and objectives of a research study to address it.

Research Process

For more details, visit these additional research guides .

Understand the Research Process

• Research process
• Research questions
• Operationalization
• Research problem
• Statement of the problem
• Background research
• Research hypothesis
• Generalization

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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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• 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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