examples of statement of the problem in qualitative research

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How to Write an Effective Problem Statement for Your Research Paper

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Table of Contents

The problem statement usually appears at the beginning of an article, making it one of the first things readers encounter. An excellent problem statement not only explains the relevance and importance of the research but also helps readers quickly determine if the article aligns with their interests by clearly defining the topic. Therefore, the problem statement plays a unique role in the widespread dissemination of the paper and enhancing the researcher’s academic influence.  

In this article, we will focus on writing ideas, structure, and practical examples of the problem statement, helping researchers easily write an excellent problem statement.  

Basic Writing Strategies for the Problem Statement  

The problem statement aims to highlight the pressing issue the research intends to address. It should be concise and to the point. Researchers can follow a two-step approach: first, think about the content of the problem statement, and then organize the writing framework.  

Before writing, clarify the following points¹ :  

• What is the reader’s level of understanding of the research topic?  
• How can the significance of the research be effectively conveyed to the reader?  

After addressing these two questions, you can organize the content according to the following structure:  

• Clarify what you aim to achieve with your research.  
• Explore why the problem exists and explain how solving it helps reach the goal.  
• Outline the potential impact of the research, such as possible outcomes, challenges, and benefits.  
• Recommend a plan for your experiment that follows the rules of science.  
• Explain the potential consequences if the problem is not resolved (if applicable).  

Three Important Parts of the Problem Statement  

The content and length of the problem statement can vary depending on the type of research. Although there’s no fixed format, it’s helpful to include these three key parts:  

  Research Background:  

Explain clearly what problem your research focuses on. Describe how things would be better if this problem didn’t exist. Also, talk about what other researchers have tried to do about this problem and what still needs to be figured out.  

  Research Significance:  

Clarify the impact of the problem on the research field and society, and analyze the cause of the problem. Explain who will benefit from solving the problem, thus demonstrating the relevance of the research and its contribution to the existing research system.²  To illustrate the relevance, consider aspects such as the geographical location or process where the problem occurs, the time period during which it exists, and the severity of the problem.  

Solution:  

Describe the research objective and the expected solution or results.  

Understanding the Writing Method Through Examples  

To further explore the writing method of the problem statement, let’s look at the following case.  

Research Topic: 

The benefits of vitamin D supplementation on the immune system.  

Problem Statement: 

• Review existing research on the role of vitamin D in the immune system, emphasizing the potential impacts of vitamin D deficiency on the human body.  
• List the obstacles encountered when trying to increase vitamin D levels in the body through supplements, and briefly mention the physiological or molecular mechanisms behind these obstacles.  
• Clarify feasible ways to overcome these obstacles, such as new methods to promote the absorption of vitamin D in the intestine. Then, focus on the benefits of these methods, such as helping postmenopausal women with breast cancer improve their blood vitamin D levels.   

Points to Note: 

When crafting your problem statement, focus on essential details and avoid unnecessary information. Additionally, absolute terms such as “must” should be avoided.  

( The examples in this article are used only to illustrate writing points, and the academic views contained therein are not for reference. )  

By mastering these techniques and methods, you can enhance the clarity and impact of their problem statements. This not only makes the articles more engaging for reviewers and readers but also increases the likelihood of broader dissemination.  

For efficient and professional assistance, consider reaching out to Elsevier Language Services. Our team of expert editors, who are native English speakers across various disciplines, can help refine every aspect of your article, including the problem statement. Our goal is to ensure your research achieves efficient publication and has wide-reaching impact, supporting your academic journey in the long term.  

Type in wordcount for Plus Total: USD EUR JPY Follow this link if your manuscript is longer than 9,000 words. Upload

References:  

• SURF Workshop Resources: Problem Statements – Purdue OWL® – Purdue University. (n.d.). https://owl.purdue.edu/owl/subject_specific_writing/writing_in_the_purdue_surf_program/surf_workshop_resources_problem_statements/index.html
• Problem Statement | A practical guide to delivering results. (n.d.). Copyright (C)2024 a Practical Guide to Delivering Results. All Rights Reserved. https://deliveringresults.leeds.ac.uk/delivering-results-lifecycle/problem-statement/

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How to Write a Problem Statement in Research with Examples

What is a Research Problem Statement?

A research problem statement is a concise statement describing the problem or issue addressed by the research study. The research problem should be composed in a way that both experts and non-experts in the field can understand.

Every research paper describes the investigation of a problem: by adding knowledge to the existing literature, revisiting known observations, or finding concrete solutions. What contribution your publication makes to your field or the scientific community at large depends on whether your research is “basic” (i.e., mainly interested in providing further knowledge that researchers can later apply to specific problems) or “applied” (i.e., developing new techniques, processes, and products).

In any case, a research proposal or research paper must clearly identify and describe the “problem” that is being investigated, so that the reader understands where the research comes from, why the study is relevant, if the applied methods are appropriate, and if the presented results are valid and answer the stated questions. This is known as the “statement of the problem.”

Table of Contents:

• What is a Research Problem?

How to Write a Problem Statement in a Research Paper

• Statement of the Problem Example 
• Where Does the Problem Statement Go in Your Paper?

Consider Using Professional Editing Services

Understanding how to write a research problem.

Your research problem defines the gap in existing knowledge you want to address (e.g., global warming causes), an issue with a certain process (e.g., voter registration) or practices (e.g., patient treatment) that is known and well documented and needs a solution, or some surprising phenomena or earlier findings that point to the need for further investigation. Your approach can be theoretical or practical, and the specific type of problem you choose to address depends on the type of research you want to do. 

In any case, your paper should not repeat what other studies have already said. It also should not ask a question that is too broad in scope to be answered within your study, nor should it be so vague that your reader cannot grasp your motivation or focus. To avoid such problems, you need to clearly define your research question, put it into context, and emphasize its significance for your field of research, the wider research community, or even the general public.

When including your statement of the research problem, several key factors must be considered in order to make a statement that is clear, concise, relevant, and convincing to readers. Think about the following elements not as “steps” to writing your problem statement, but as necessary conditions on which your statement can be firmly grounded and stand out.

Provide context for your study

Putting your research problem in context means providing the reader with the background information they need to understand why you want to study or solve this particular problem and why it is relevant. If there have been earlier attempts at solving the problem or solutions that are available but seem imperfect and need improvement, include that information here.

If you are doing applied research, this part of the problem statement (or “research statement”) should tell the reader where a certain problem arises and who is affected by it. In basic or theoretical research, you make a review of relevant literature on the topic that forms the basis for the current work and tells the reader where your study fits in and what gap in existing knowledge you are addressing.

Establish the relevance of this research

The problem statement also needs to clearly state why the current research matters, or why future work matters if you are writing a research proposal. Ask yourself (and tell your readers) what will happen if the problem continues and who will feel the consequences the most. If the solution you search for or propose in your study has wider relevance outside the context of the subjects you have studied, then this also needs to be included here. In basic research, the advancement of knowledge does not always have clear practical consequences—but you should clearly explain to the reader how the insights your study offers fit into the bigger picture, and what potential future research they could inspire.

Define specific aims and Objectives

Now that the reader knows the context of your research and why it matters, briefly introduce the design and the methods you used or are planning to use. While describing these, you should also formulate your precise aims more clearly, and thereby bring every element in your paper together so that the reader can judge for themselves if they (a) understand the rationale behind your study and (b) are convinced by your approach.

This last part could maybe be considered the actual “statement of the problem” of your study, but you need to prepare the reader by providing all the necessary details before you state it explicitly. If the background literature you cite is too broad and the problem you introduced earlier seems a bit vague, then the reader will have trouble understanding how you came up with the specific experiments you suddenly describe here. Make sure your readers can follow the logical structure of your presentation and that no important details are left out.   

Research Problem Statement Example

The following is a sample statement of the problem for a practical research study on the challenges of online learning. Note that your statement might be much longer (especially the context section where you need to explain the background of the study) and that you will need to provide sources for all the claims you make and the earlier literature you cite. You will also not include the headers “context”, “relevance” and “aims and objectives” but simply present these parts as different paragraphs. But if your problem statement follows this structure, you should have no problem convincing the reader of the significance of your work.

Providing context: Since the beginning of the Covid pandemic, most educational institutions around the world have transitioned to a fully online study model, at least during peak times of infections and social distancing measures. This transition has not been easy and even two years into the pandemic, problems with online teaching and studying persist (reference needed) . While the increasing gap between those with access to technology and equipment and those without access has been determined to be one of the main challenges (reference needed) , others claim that online learning offers more opportunities for many students by breaking down barriers of location and distance (reference needed) .  

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

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

Where Does the Problem Statement Go in Your Paper? 

If you write a statement of the problem for a research proposal, then you could include it as a separate section at the very beginning of the main text (unless you are given a specific different structure or different headings, however, then you will have to adapt to that). If your problem statement is part of a research paper manuscript for publication in an academic journal, then it more or less constitutes your introduction section , with the context/background being the literature review that you need to provide here.

If you write the introduction section after the other parts of your paper, then make sure that the specific research question and approach you describe here are in line with the information provided in the research paper abstract , and that all questions you raise here are answered at the end of the discussion section —as always, consistency is key. Knowing where to put the research question can depend on several important contextual factors.

Receive instant editing with Wordvice AI, our automated AI Grammar Checker . Then hand over your manuscript or paper to a professional English editing service for paper editing , thesis editing , or other academic editing services .

And if you need advice on how to write the other parts of your research paper , on how to make a research paper outline if you are struggling with putting everything you did together, or on how to come up with a good research question in case you are not even sure where to start, then head over to the Wordvice academic resources website where we have a lot more articles and videos for you.

The Research Problem & Statement

What they are & how to write them (with examples)

By: Derek Jansen (MBA) | Expert Reviewed By: Eunice Rautenbach (DTech) | March 2023

If you’re new to academic research, you’re bound to encounter the concept of a “ research problem ” or “ problem statement ” fairly early in your learning journey. Having a good research problem is essential, as it provides a foundation for developing high-quality research, from relatively small research papers to a full-length PhD dissertations and theses.

In this post, we’ll unpack what a research problem is and how it’s related to a problem statement . We’ll also share some examples and provide a step-by-step process you can follow to identify and evaluate study-worthy research problems for your own project.

Overview: Research Problem 101

What is a research problem.

• What is a problem statement?

Where do research problems come from?

• How to find a suitable research problem
• Key takeaways

A research problem is, at the simplest level, the core issue that a study will try to solve or (at least) examine. In other words, it’s an explicit declaration about the problem that your dissertation, thesis or research paper will address. More technically, it identifies the research gap that the study will attempt to fill (more on that later).

Let’s look at an example to make the research problem a little more tangible.

To justify a hypothetical study, you might argue that there’s currently a lack of research regarding the challenges experienced by first-generation college students when writing their dissertations [ PROBLEM ] . As a result, these students struggle to successfully complete their dissertations, leading to higher-than-average dropout rates [ CONSEQUENCE ]. Therefore, your study will aim to address this lack of research – i.e., this research problem [ SOLUTION ].

A research problem can be theoretical in nature, focusing on an area of academic research that is lacking in some way. Alternatively, a research problem can be more applied in nature, focused on finding a practical solution to an established problem within an industry or an organisation. In other words, theoretical research problems are motivated by the desire to grow the overall body of knowledge , while applied research problems are motivated by the need to find practical solutions to current real-world problems (such as the one in the example above).

As you can probably see, the research problem acts as the driving force behind any study , as it directly shapes the research aims, objectives and research questions , as well as the research approach. Therefore, it’s really important to develop a very clearly articulated research problem before you even start your research proposal . A vague research problem will lead to unfocused, potentially conflicting research aims, objectives and research questions .

What is a research problem statement?

As the name suggests, a problem statement (within a research context, at least) is an explicit statement that clearly and concisely articulates the specific research problem your study will address. While your research problem can span over multiple paragraphs, your problem statement should be brief , ideally no longer than one paragraph . Importantly, it must clearly state what the problem is (whether theoretical or practical in nature) and how the study will address it.

Here’s an example of a statement of the problem in a research context:

Rural communities across Ghana lack access to clean water, leading to high rates of waterborne illnesses and infant mortality. Despite this, there is little research investigating the effectiveness of community-led water supply projects within the Ghanaian context. Therefore, this study aims to investigate the effectiveness of such projects in improving access to clean water and reducing rates of waterborne illnesses in these communities.

As you can see, this problem statement clearly and concisely identifies the issue that needs to be addressed (i.e., a lack of research regarding the effectiveness of community-led water supply projects) and the research question that the study aims to answer (i.e., are community-led water supply projects effective in reducing waterborne illnesses?), all within one short paragraph.

Need a helping hand?

Wherever there is a lack of well-established and agreed-upon academic literature , there is an opportunity for research problems to arise, since there is a paucity of (credible) knowledge. In other words, research problems are derived from research gaps . These gaps can arise from various sources, including the emergence of new frontiers or new contexts, as well as disagreements within the existing research.

Let’s look at each of these scenarios:

New frontiers – new technologies, discoveries or breakthroughs can open up entirely new frontiers where there is very little existing research, thereby creating fresh research gaps. For example, as generative AI technology became accessible to the general public in 2023, the full implications and knock-on effects of this were (or perhaps, still are) largely unknown and therefore present multiple avenues for researchers to explore.

New contexts – very often, existing research tends to be concentrated on specific contexts and geographies. Therefore, even within well-studied fields, there is often a lack of research within niche contexts. For example, just because a study finds certain results within a western context doesn’t mean that it would necessarily find the same within an eastern context. If there’s reason to believe that results may vary across these geographies, a potential research gap emerges.

Disagreements – within many areas of existing research, there are (quite naturally) conflicting views between researchers, where each side presents strong points that pull in opposing directions. In such cases, it’s still somewhat uncertain as to which viewpoint (if any) is more accurate. As a result, there is room for further research in an attempt to “settle” the debate.

Of course, many other potential scenarios can give rise to research gaps, and consequently, research problems, but these common ones are a useful starting point. If you’re interested in research gaps, you can learn more here .

How to find a research problem

Given that research problems flow from research gaps , finding a strong research problem for your research project means that you’ll need to first identify a clear research gap. Below, we’ll present a four-step process to help you find and evaluate potential research problems.

If you’ve read our other articles about finding a research topic , you’ll find the process below very familiar as the research problem is the foundation of any study . In other words, finding a research problem is much the same as finding a research topic.

Step 1 – Identify your area of interest

Naturally, the starting point is to first identify a general area of interest . Chances are you already have something in mind, but if not, have a look at past dissertations and theses within your institution to get some inspiration. These present a goldmine of information as they’ll not only give you ideas for your own research, but they’ll also help you see exactly what the norms and expectations are for these types of projects.

At this stage, you don’t need to get super specific. The objective is simply to identify a couple of potential research areas that interest you. For example, if you’re undertaking research as part of a business degree, you may be interested in social media marketing strategies for small businesses, leadership strategies for multinational companies, etc.

Depending on the type of project you’re undertaking, there may also be restrictions or requirements regarding what topic areas you’re allowed to investigate, what type of methodology you can utilise, etc. So, be sure to first familiarise yourself with your institution’s specific requirements and keep these front of mind as you explore potential research ideas.

Step 2 – Review the literature and develop a shortlist

Once you’ve decided on an area that interests you, it’s time to sink your teeth into the literature . In other words, you’ll need to familiarise yourself with the existing research regarding your interest area. Google Scholar is a good starting point for this, as you can simply enter a few keywords and quickly get a feel for what’s out there. Keep an eye out for recent literature reviews and systematic review-type journal articles, as these will provide a good overview of the current state of research.

At this stage, you don’t need to read every journal article from start to finish . A good strategy is to pay attention to the abstract, intro and conclusion , as together these provide a snapshot of the key takeaways. As you work your way through the literature, keep an eye out for what’s missing – in other words, what questions does the current research not answer adequately (or at all)? Importantly, pay attention to the section titled “ further research is needed ”, typically found towards the very end of each journal article. This section will specifically outline potential research gaps that you can explore, based on the current state of knowledge (provided the article you’re looking at is recent).

Take the time to engage with the literature and develop a big-picture understanding of the current state of knowledge. Reviewing the literature takes time and is an iterative process , but it’s an essential part of the research process, so don’t cut corners at this stage.

As you work through the review process, take note of any potential research gaps that are of interest to you. From there, develop a shortlist of potential research gaps (and resultant research problems) – ideally 3 – 5 options that interest you.

Step 3 – Evaluate your potential options

Once you’ve developed your shortlist, you’ll need to evaluate your options to identify a winner. There are many potential evaluation criteria that you can use, but we’ll outline three common ones here: value, practicality and personal appeal.

Value – a good research problem needs to create value when successfully addressed. Ask yourself:

• Who will this study benefit (e.g., practitioners, researchers, academia)?
• How will it benefit them specifically?
• How much will it benefit them?

Practicality – a good research problem needs to be manageable in light of your resources. Ask yourself:

• What data will I need access to?
• What knowledge and skills will I need to undertake the analysis?
• What equipment or software will I need to process and/or analyse the data?
• How much time will I need?
• What costs might I incur?

Personal appeal – a research project is a commitment, so the research problem that you choose needs to be genuinely attractive and interesting to you. Ask yourself:

• How appealing is the prospect of solving this research problem (on a scale of 1 – 10)?
• Why, specifically, is it attractive (or unattractive) to me?
• Does the research align with my longer-term goals (e.g., career goals, educational path, etc)?

Depending on how many potential options you have, you may want to consider creating a spreadsheet where you numerically rate each of the options in terms of these criteria. Remember to also include any criteria specified by your institution . From there, tally up the numbers and pick a winner.

Step 4 – Craft your problem statement

Once you’ve selected your research problem, the final step is to craft a problem statement. Remember, your problem statement needs to be a concise outline of what the core issue is and how your study will address it. Aim to fit this within one paragraph – don’t waffle on. Have a look at the problem statement example we mentioned earlier if you need some inspiration.

Key Takeaways

We’ve covered a lot of ground. Let’s do a quick recap of the key takeaways:

• A research problem is an explanation of the issue that your study will try to solve. This explanation needs to highlight the problem , the consequence and the solution or response.
• A problem statement is a clear and concise summary of the research problem , typically contained within one paragraph.
• Research problems emerge from research gaps , which themselves can emerge from multiple potential sources, including new frontiers, new contexts or disagreements within the existing literature.
• To find a research problem, you need to first identify your area of interest , then review the literature and develop a shortlist, after which you’ll evaluate your options, select a winner and craft a problem statement .

Psst... there’s more!

This post was based on one of our popular Research Bootcamps . If you're working on a research project, you'll definitely want to check this out ...

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How to Write a Statement of the Problem in Research

Table of Contents

The problem statement is a foundation of academic research writing , providing a precise representation of an existing gap or issue in a particular field of study.

Crafting a sharp and focused problem statement lays the groundwork for your research project.

• It highlights the research's significance .
• Emphasizes its potential to influence the broader academic community.
• Represents the initial step for you to make a meaningful contribution to your discipline.

Therefore, in this article, we will discuss what is a statement of the problem in research and how to craft a compelling research problem statement.

What is a research problem statement?

A research problem statement is a concise, clear, and specific articulation of a gap in current knowledge that your research aims to bridge. It not only sets forth the scope and direction of your research but also establishes its relevance and significance.

Your problem statement in your research paper aims to:

• Define the gap : Clearly identify and articulate a specific gap or issue in the existing knowledge.
• Provide direction : Serve as a roadmap, guiding the course of your research and ensuring you remain focused.
• Establish relevance : Highlight the importance and significance of the problem in the context of your field or the broader world.
• Guide inquiry :  Formulate the research questions or hypotheses you'll explore.
• Communicate intent : Succinctly convey the core purpose of your research to stakeholders, peers, and any audience.
• Set boundaries : Clearly define the scope of your research to ensure it's focused and achievable.

When should you write a problem statement in research?

Initiate your research by crafting a clear problem statement. This should be done before any data collection or analysis, serving as a foundational anchor that clearly identifies the specific issue you aim to address.

By establishing this early on, you shape the direction of your research, ensuring it targets a genuine knowledge gap.

Furthermore, an effective and a concise statement of the problem in research attracts collaborators, funders, and supporters, resonating with its clarity and purpose. Remember, as your research unfolds, the statement might evolve, reflecting new insights and staying pertinent.

But how do you distinguish between a well-crafted problem statement and one that falls short?

Effective vs. ineffective research problem statements

Imagine a scenario where medical researchers aim to tackle a new strain of virus. Their effective problem statement wouldn't merely state the existence of the virus. Instead, it would delve into the specifics — the regions most affected, the demographics most vulnerable, and the current limitations in medical interventions.

Whereas an ineffective research problem statement is vague, overly broad, or ambiguous, failing to provide a clear direction for the research. It may not be rooted in existing literature, might lack clarity on its significance, or could be framed in a way that makes the research objectives unachievable or irrelevant.

To understand it better, let's consider the topic of “Remote work and employee productivity.”

Effective problem statement

“Over the past decade, there has been a 70% increase in organizations adopting remote work policies. While some studies suggest remote work enhances employee productivity, others indicate potential declines due to distractions at home.

However, there’s a lack of comprehensive research examining the specific factors in a remote environment that influence productivity. This study aims to identify and analyze these factors, providing organizations with actionable insights to optimize remote work policies.”

Why is this statement of a problem in research effective?

• Specificity : The statement provides a clear percentage to highlight the rise in remote work.
• Context : It acknowledges existing research and the conflicting findings.
• Clear gap identification : It points out the lack of comprehensive research on specific factors affecting productivity in remote work.
• Purpose : The statement concludes with a clear aim for the research.

Ineffective problem statement

"People are working from home a lot now, especially since there are so many internet tools. Some say it's good; others say it's not that great. This research will just look into the whole work-from-home thing and see what's up."

Why is this statement of a problem in research ineffective?

• Informal language : Phrases like "what's up" and "the whole work-from-home thing" are not suitable for academic writing.
• Vagueness : The statement doesn't provide any specific data or context about the rise of remote work.
• Lack of clear focus : It's unclear what aspect of remote work the research will address.
• Ambiguous purpose : The statement doesn't specify the research's objectives or expected outcomes.

After gaining an understanding of what an effective research problem statement looks like, let's dive deeper into how to write one.

How to write a problem statement in research?

Drafting your research problem statement at the onset of your research journey ensures that your research remains anchored. That means by defining and articulating the main issue or challenge you intend to address at the very beginning of your research process; you provide a clear focus and direction for the entire study.

Here's a detailed guide to how you can write an effective statement of the problem in research.

Identify the research area : Before addressing a specific problem, you need to know the broader domain or field of your study. This helps in contextualizing your research and ensuring it aligns with existing academic disciplines.

Example: If you're curious about the effects of digital technology on human behavior, your broader research area might be Digital Sociology or Media Studies.

Conduct preliminary literature review : Familiarize yourself with existing research related to your topic. This will help you understand what's already known and, more importantly, identify gaps or unresolved questions in the existing knowledge. This step also ensures you're advancing upon existing work rather than replicating it.

Example: Upon reviewing literature on digital technology and behavior, you find many studies on social media's impact on youth but fewer on its effects on the elderly.

Read how to conduct an effective literature review .

Define the specific problem : After thoroughly reviewing the literature, pinpoint a particular issue that your research will address. Ensure that this chosen issue is not only of substantial importance in its field but also realistically approachable given your resources and expertise. To define it precisely, you might consider:

• Highlighting discrepancies or contradictions in existing literature.
• Emphasizing the real-world implications of this gap.
• Assessing the feasibility of exploring this issue within your means and timeframe.

Example: You decide to investigate how digital technology, especially social media, affects the mental well-being of the elderly, given the limited research in this area.

Articulate clearly and concisely : Your problem statement should be straightforward and devoid of jargon. It needs to convey the essence of your research issue in a manner that's understandable to both experts and non-experts.

Example: " The impact of social media on the mental well-being of elderly individuals remains underexplored, despite the growing adoption of digital technology in this age group. "

Highlight the significance : Explain why your chosen research problem matters. This could be due to its real-world implications, its potential to fill a knowledge gap or its relevance to current events or trends.

Example: As the elderly population grows and becomes more digitally connected, understanding the psychological effects of social media on this demographic could inform digital literacy programs and mental health interventions.

Ensure feasibility : Your research problem should be something you can realistically study, given your resources, timeframe, and expertise. It's essential to ensure that you can gather data, conduct experiments, or access necessary materials or participants.

Example: You plan to survey elderly individuals in local community centers about their social media usage and perceived mental well-being, ensuring you have the means to reach this demographic.

Seek feedback : Discuss your preliminary problem statement with peers, mentors, or experts in the field. They can provide insights, point out potential pitfalls, or suggest refinements.

Example: After discussing with a gerontologist, you decide to also consider the role of digital training in moderating the effects of social media on the elderly.

Refine and Revise : Based on feedback and further reflection, revise and improve your problem statement. This iterative process ensures clarity, relevance, and precision.

Example: Your refined statement reads: Despite the increasing digital connectivity of the elderly, the effects of social media on their mental well-being, especially in the context of digital training, remain underexplored.

By following these detailed steps, you can craft a research problem statement that is both compelling and academically rigorous.

Having explored the details of crafting a research problem statement, it's crucial to distinguish it from another fundamental element in academic research: the thesis statement.

Difference between a thesis statement and a problem statement

While both terms are central to research, a thesis statement presents your primary claim or argument, whereas a problem statement describes the specific issue your research aims to address.

Think of the thesis statement as the conclusion you're driving towards, while the problem statement identifies a specific gap in current knowledge.

For instance, a problem statement might highlight the rising mental health issues among teenagers, while the thesis statement could propose that increased screen time is a significant contributor.

Refer to the comparison table between what is a thesis and a problem statement in the research below:

Common mistakes to avoid in writing statement of the problem in research

Mistakes in the research problem statement can lead to a domino effect, causing misalignment in research objectives, wasted resources, and even inconclusive or irrelevant results.

Recognizing and avoiding these pitfalls not only strengthens the foundation of your research but also ensures that your efforts concede impactful insights.

Here's a detailed exploration of frequent subjective, qualitative, quantitative and measurable mistakes and how you can sidestep them.

Being too broad or too narrow

A problem statement that's too broad can lack focus, making it challenging to derive specific research questions or objectives. Conversely, a statement that's too narrow might limit the scope of your research or make it too trivial.

Example of mistake: "Studying the effects of diet on health" is too broad, while "Studying the effects of eating green apples at 3 pm on heart health" is overly narrow.

You can refine the scope based on preliminary research. The correct way to write this problem statement will be "Studying the effects of a high-fiber diet on heart health in adults over 50." This statement is neither too broad nor too narrow, and it provides a clear direction for the research.

Using unnecessary jargon or technical language

While academic writing often involves academic terms, overloading your problem statement with jargon can alienate readers and obscure the actual problem.

Example of Mistake: "Examining the diurnal variations in macronutrient ingestion vis-à-vis metabolic homeostasis."

To ensure it’s not complicated, you can simplify and clarify. "Examining how daily changes in nutrient intake affect metabolic balance" conveys the same idea more accessible.

Not emphasizing the "Why" of the problem

It's not enough to state a problem; you must also convey its significance. Why does this problem matter? What are the implications of not addressing it?

Example of Mistake: "Many students are not engaging with online learning platforms."

You can proceed with the approach of highlighting the significance here. "Many students are not engaging with online learning platforms, leading to decreased academic performance and widening educational disparities."

Circular reasoning and lack of relevance

Your problem statement should be grounded in existing research or observed phenomena. Avoid statements that assume what they set out to prove or lack a clear basis in current knowledge.

Example of Mistake: "We need to study X because not enough research has been done on X."

Instead, try grounding your statement based on already-known facts. "While several studies have explored Y, the specific impact of X remains unclear, necessitating further research."

Being overly ambitious

While it's commendable to aim high, your problem statement should reflect a challenge that's achievable within your means, timeframe, and resources.

Example of Mistake: "This research will solve world hunger."

Here, you need to be realistic and focused. "This research aims to develop sustainable agricultural techniques to increase crop yields in arid regions."

By being mindful of these common mistakes, you can craft a problem statement that is clear, relevant and sets a solid foundation for your research.

Over-reliance on outdated data

Using data that is no longer relevant can mislead the direction of your research. It's essential to ensure that the statistics or findings you reference are current and pertinent to the present scenario.

Example of Mistake: "According to a 1995 study, only 5% of the population uses the internet for daily tasks."

You always cross-check the dates and relevance of the data you're using. For a contemporary study on internet usage, you'd want to reference more recent statistics.

Not specifying the sample size or demographic

A problem statement should be clear about the population or sample size being studied, especially when making generalizations or claims.

Example of Mistake: "People prefer online shopping to in-store shopping."

Here, you would benefit from specifying the demographic or sample size when presenting data to avoid overgeneralization. " In a survey of 1,000 urban residents aged 18-35, 70% expressed a preference for online shopping over in-store shopping. "

Ignoring conflicting data

Cherry-picking data that supports your hypothesis while ignoring conflicting data can lead to a biased problem statement.

Example of Mistake: "Research shows that all students benefit from online learning."

You’ve to ensure a balanced view by considering all relevant data, even if it contradicts your hypothesis. " While many studies highlight the advantages of online learning for students, some research points to challenges such as decreased motivation and lack of face-to-face interaction. "

Making unsubstantiated predictions

Projecting future trends without solid data can weaken the credibility of your problem statement.

Example of Mistake: "The demand for electric cars will increase by 500% in the next year."

Base your predictions on current trends and reliable data sources, avoiding hyperbolic or unsupported claims. " With the current growth rate and recent advancements in battery technology, there's potential for a significant rise in the demand for electric cars. "

Wrapping Up

A well-crafted problem statement ensures that your research is focused, relevant, and contributes meaningfully to the broader academic community.

However, the consequences of an incorrect or poorly constructed problem statement can be severe. It can lead to misdirected research efforts, wasted resources, compromised credibility, and even ethical concerns. Such pitfalls underscore the importance of dedicating time and effort to craft a precise and impactful problem statement.

So, as you start your research journey , remember that a well-defined problem statement is not just a starting point; it guides your entire research journey, ensuring clarity, relevance, and meaningful contributions to your field.

Frequently Asked Questions

A problem statement is a clear, concise and specific articulation of a gap in current knowledge that your research aims to bridge.

The Problem Statement should highlight existing gaps in current knowledge and also the significance of the research. It should also include the research question and purpose of the research.

Clear articulation of the problem and establishing relevance; Working thesis (methods to solve the problem); Purpose and scope of study — are the 3 parts of the problem statement.

While the statement of the problem articulates and delineates a particular research problem, Objectives designates the aims, purpose and strategies to address the particular problem.

Here’s an example — “The study aims to identify and analyze the specific factors that impact employee productivity, providing organizations with actionable insights to optimize remote work policies.”

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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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How To Write a Solid Problem Statement

Introduction

The basic research process, what is an example of a problem statement, how does writing problem statements help, types of problem statements, how do i write a problem statement.

A well-defined problem statement is one of the key elements of a rigorously designed research project. It is based on your literature review and informs your study design in a manner that facilitates the creation of a proposed solution through the data analysis .

This article looks at the concept of problem statements, their role in a research project, and how to write a problem statement for conducting effective research.

While data collection and data analysis get most of the attention in any given primary research project, research relies a great deal on the amount of effort placed in the preparation of the research design. This preparation involves demonstrating a thorough understanding of the current research in order to assess the value and novelty of the new research being presented.

To ensure that the primary research and its underlying research questions are novel and interesting in their contributions to scientific knowledge, the overall study is supported by a robust and rigorous literature review . This review should provide a comprehensive survey of the conceptual and empirical knowledge relevant to the study being conducted.

What is the problem statement?

A problem statement bridges the literature review and the resulting study. It synthesizes the salient points and gaps in the existing research and makes an argument about the kind of research that should be conducted to generate new knowledge.

Why a problem statement is useful

An effective problem statement sets the tone for the rest of the study, in that it identifies what needs to be researched and how. This assertion is based on what existing research has already established, making it clear that new research would make a novel contribution to scholarly knowledge.

When to use a problem statement

A problem statement is a clear declaration of what research should be conducted and what theory should be developed. To that end, a problem statement can provide an explicit description for research audiences, which is useful for just about any research project. A problem statement explains why the larger research study is necessary or expands scientific understanding.

Here is an example of a problem statement that might be found in organizational research in financial services contexts.

The financial services industry suffers from issues arising from poor customer service, and the problem's financial costs continue to rise as the demand for financial services increases. Research and professional literature on the financial services industry have long posited that a business world increasingly dependent on automation and digitization is a root cause negatively affecting the financial service workforce's morale.

However, there is insufficient primary research to provide insights as to how to improve workplace conditions, a prerequisite for implementing solutions to provide better customer care. Further study is required in order to identify how financial service business leaders can create a productive workplace necessary for quality customer service outcomes.

The above problem statement looks at key workplace aspects influencing a financial services company's ability to identify potential solutions to deliver outstanding customer service. It refers to existing discussions in scholarly research and professional publications while asserting that such discussions have yet to illustrate any useful solutions to the problem that needs to be addressed.

The format of a problem statement

A study's own problem statement has three main components: a synthesis or summary of the existing knowledge relevant to the research inquiry, the gaps identified by that review and why those gaps are important, and the kind of research necessary to fill those gaps.

Let's examine the parts of another example problem statement that might belong in a larger study about education:

The contemporary literature has highlighted numerous cases where literacy teachers have elicited detailed and well-supported ideas from their students when asking more open-ended questions.

In the sentence above, the author has pointed to previous research (which should be described and correctly referenced in the literature review ) about the effects of open-ended questions on high school students. In particular, students offer more details for ideas during interaction.

However, previous research has not examined whether the engaging classroom interactions from open-ended questions are related to other learning outcomes.

Here, a lack of empirical evidence illustrates a gap in the research that needs to be filled.

Moreover, any evidence presented thus far has been primarily focused on learning outcomes that can be measured in standarized tests. This leaves other important learning outcomes overlooked, such as students' motivation, comprehension, or creativity.

The problem statement goes further by pointing out a methodological gap in understanding the effects of classroom interaction and why this is important.

Further research that captures students' perceptions and interpretations of being asked open-ended questions by their teachers can meaningfully extend current theory and practice by shedding light on other important learning outcomes.

The last component highlights how the present research makes a novel and interesting contribution to existing literature, thus justifying the research to be presented.

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An effective problem statement sets up the rest of the research inquiry and ensures a rigorous research process. Let's look at each of the particular stages of research influenced by problem statements.

Research question

The problem statement identifies the gaps in knowledge that existing scholarship has yet to address. With these gaps in mind, the study you present will be novel enough to justify the attention paid by your research audience.

Study design

The literature gap can also highlight what types of research should be conducted to contribute to new knowledge. A problem statement that describes a reliance on interview research methods , for example, can justify the use of observations in a new study.

Theoretical framework

A problem statement can highlight a theoretical gap, as in a research field's reliance on one particular theory while overlooking another. In that case, the problem statement can justify a novel theoretical framework to look at data from a new angle.

As the previous section illustrated, there are different kinds of problem statements that can be used to establish the novelty of a study. Three common types of statements are detailed in this section.

Empirical problem statement

In many cases, researchers can argue that scientific theory might lack sufficient evidence. Theory that has been established in one context (e.g., high school classrooms), for example, may not have evidence to be considered applicable to another context (e.g., university classrooms), requiring further research to affirm or challenge that theory.

Theoretical problem statement

A theoretical framework is simply a way of looking at data to generate knowledge. When you change the theory, you change the way you analyze the research . As a result, a problem statement that illustrates a focus on one particular theory can justify the use of another theory, provided it generates meaningful knowledge about your research topic .

Methodological problem statement

Method triangulation is the concept of examining a phenomenon through multiple research methods to gain a sufficiently robust understanding of the knowledge regarding that phenomenon. If the literature prefers one method (e.g., assessments) you can establish research novelty by conducting a study that employs another method (e.g., interviews ) and explaining how this contributes new understanding.

There is an intentional process to writing problem statements, even if it's just a few sentences. This section deals with what things belong and don't belong in a useful problem statement.

Questions to answer when writing a problem statement

As written above, make sure that your problem statement has three essential components:

What does your literature review say? While your background description of the research should be presented in thorough and transparent detail, you need to have a succinct summary of what the existing research says and how it informs your study design.

What is missing in the existing research and why is this important? A sufficiently comprehensive literature review should also allow you to describe what the current research has yet to establish or achieve. It is also important that you explain why this unexplored topic or question is important for theory or practice. This gap illustrates the problem and justifies the proposed solution in the present study that addresses this problem.

What study is required to contribute to scientific knowledge? Identifying the literature gap and explaining how your research address that gap in knowledge will help illustrate the novelty and contribution of the study you want to present.

Note that the overall study should address all of these questions in detail for transparency's sake. However, a succinct problem statement gives your research audience an easy place of reference to identify the salient points of the new research. Variations of your problem statement can be presented in your abstract, introduction, discussion, and conclusion sections.

What not to include in a problem statement

A problem statement should focus primarily on what existing knowledge has already established. Assertions that are not grounded in previously published studies are little more than speculation, and research inquiries that are built on unfounded assertions do not make for meaningful research. A problem statement rooted in a thoroughly-researched literature review mitigates this issue and ensures a robust link from scientific knowledge to new empirical analysis.

A useful problem statement should also focus on justifying the research that is to be presented. To that end, researchers should not assume that merely spotting a gap is sufficient. Rather, it is important to explain the theoretical or practical implications of addressing that gap to more convincingly justify the present research.

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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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Problem Statement

This InfoGuide assists students starting their research proposal and literature review.

• Introduction
• Research Process
• Types of Research Methodology
• Data Collection Methods
• Anatomy of a Scholarly Article
• Finding a topic
• Identifying a Research Problem
• Research Question
• Research Design
• Search Strategies
• Psychology Database Limiters
• Literature Review Search
• Annotated Bibliography
• Writing a Literature Review
• Writing a Research Proposal

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?

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.

Contextualize the problem

The problem statement should frame your research problem, giving 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?

Voter turnout in the Southeast has decreased steadily over the past ten years, in contrast to other areas of the country. According to surveys conducted by local nonprofits, turnout is lowest among those under 25 years of age. There have been some effective attempts at engaging these groups in other regions, and in the last two elections, major parties increased their campaigning efforts. However, these interventions have yet to have any significant effect on turnout.

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 scholarly literature?

In the past ten years, the “gig economy” has become an increasingly important labor market segment. People under 30 are now more likely to engage in freelance arrangements (rather than full-time jobs) than in the past. Research on the reasons for and consequences of this shift has focused on objective measures of income, working hours, and employment conditions. However, there has been little work exploring young people’s subjective experiences of the gig economy.

Show why it matters

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 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?

Low, voter turnout has been shown to affect overall civic engagement negatively. It is becoming an area of increasing concern in many European democracies. When specific groups of citizens lack political representation, they are likely to become more excluded over time, leading to an erosion of trust in democratic institutions. Addressing this problem will have practical benefits for the Southeastern US as well, and will contribute to an understanding of this widespread phenomenon.

Sometimes theoretical issues have clear, practical consequences, but 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?

Literature on the gig economy sometimes characterizes these new forms of employment as a flexible, active choice and sometimes as an exploitative last resort. To understand why young people engage in the gig economy, in-depth qualitative research is required. Focusing on workers’ experiences can help develop more robust theories of flexibility in contemporary employment, as well as potentially inform future policy objectives.

Set your aims and objectives

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:

• This study aims 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 …

Practical research aims and objectives The aim of this research is to investigate effective engagement strategies to increase voter turnout in the Southeast. It will identify the most significant factors in non-voting using surveys and interviews, followed by conducting experiments to measure the effectiveness of different strategies.

Theoretical research aims and objectives This project aims to better understand young people’s experiences in the gig economy. Qualitative methods will be used to gain in-depth insight into the motivations and perceptions of those under 30 engaged in freelance work across various industries. This data will be contextualized by reviewing recent literature on the gig economy and statistical analysis of demographic changes in the workforce.

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

Problem statement example

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 various 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 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, in-depth qualitative research focused on long-term employees is also needed to gain a fuller understanding of why the turnover persists even after the consultant study. 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 understand better why established workers leave the company. Qualitative methods such as surveys and interviews will be conducted by comparing the views of those who have worked 10+ years at the company and chose to stay, compared with those who chose to leave.

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Home » Problem Statement – Writing Guide, Examples and Types

Problem Statement – Writing Guide, Examples and Types

Table of Contents

Problem Statement

Definition:

Problem statement is a clear, concise, and well-defined statement that outlines the issue or challenge that needs to be addressed. It is a crucial element in any project or research as it provides a clear understanding of the problem, its context, and its potential impact.

Types of Problem Statements

There are various types of problem statements, and the type of problem statement used depends on the context and purpose of the project or research. Some common types of problem statements are:

Business Problem Statement

Business Problem Statement identifies a problem or challenge within an organization that needs to be solved. It typically includes the impact of the problem on the organization and its stakeholders, such as customers, employees, or shareholders.

Research Problem Statement

Research Problem Statement outlines the research question or problem that the study aims to address. It describes the research objectives, the significance of the research, and the potential impact of the research findings.

Design Problem Statement

Design Problem Statement defines the problem or challenge that a design project aims to solve. It includes the user’s needs, the design constraints, and the desired outcomes of the design project.

Social Problem Statement

Social Problem Statement describes a problem or challenge in society that needs to be addressed. It typically includes the social, economic, or political impact of the problem and its effect on individuals or communities.

Technical Problem Statement

Technical Problem Statement defines a problem or challenge related to technology or engineering. It includes the technical requirements, constraints, and potential solutions to the problem.

Components of Problem Statement

The components of a problem statement may vary depending on the context and purpose of the project or research, but some common components include:

• Problem description : This component provides a clear and concise description of the problem, its context, and its impact. It should explain what the problem is, who is affected by it, and why it needs to be addressed.
• Background information : This component provides context for the problem by describing the current state of knowledge or practice related to the problem. It may include a review of relevant literature, data, or other sources of information.
• Objectives : This component outlines the specific objectives that the project or research aims to achieve. It should explain what the project or research team hopes to accomplish by addressing the problem.
• Scope : This component defines the boundaries of the problem by specifying what is included and excluded from the problem statement. It should clarify the limits of the project or research and ensure that the team remains focused on the core problem.
• Methodology : This component outlines the approach or methodology that the project or research team will use to address the problem. It may include details about data collection, analysis, or other methods used to achieve the objectives.
• Expected outcomes : This component describes the potential impact or outcomes that the project or research aims to achieve. It should explain how the solution or findings will address the problem and benefit the stakeholders.

How to write Problem Statement

Here are some general steps to follow when writing a problem statement:

• Identify the problem : Clearly identify the problem that needs to be addressed. Consider the context, stakeholders, and potential consequences of the problem.
• Research the problem: Conduct research to gather data and information about the problem. This may involve reviewing literature, analyzing data, or consulting with experts.
• Define the problem: Define the problem clearly and concisely, using specific language and avoiding vague or ambiguous terms. Be sure to include the impact of the problem and the context in which it occurs.
• State the objectives : Clearly state the objectives that the project or research aims to achieve. This should be specific and measurable, with clear outcomes that can be evaluated.
• Identify the scope: Identify the boundaries of the problem, including what is included and excluded from the problem statement. This helps to ensure that the team remains focused on the core problem.
• Outline the methodology : Outline the approach or methodology that the project or research team will use to address the problem. This should be based on research and best practices, and should be feasible and realistic.
• Describe the expected outcomes : Describe the potential impact or outcomes that the project or research aims to achieve. Be specific about how the solution or findings will address the problem and benefit the stakeholders.
• Revise and refine : Review the problem statement and revise it as needed to ensure clarity, accuracy, and completeness.

Applications of Problem Statement

Here are some of the applications of problem statements:

• Research : In academic research, problem statements are used to clearly define the research problem, identify the research question, and justify the need for the study. A well-crafted problem statement is essential for the success of any research project.
• Project management: In project management, problem statements are used to identify the issues or challenges that a project team needs to address. Problem statements help project managers to define project scope, set project goals, and develop project plans.
• Business strategy: In business strategy, problem statements are used to identify business challenges and opportunities. Problem statements help businesses to define their strategic objectives, develop action plans, and allocate resources.
• Product development : In product development, problem statements are used to identify customer needs and develop new products that address those needs. Problem statements help product developers to define product requirements, develop product features, and test product prototypes.
• Policy-making: In public policy-making, problem statements are used to identify social, economic, and environmental issues that require government intervention. Problem statements help policymakers to define policy objectives, develop policy options, and evaluate policy outcomes.

Examples of Problem Statements

Examples of Problem Statements are as follows:

• High student-to-teacher ratios are leading to decreased individualized attention and lower academic achievement.
• Limited funding for extracurricular activities is limiting opportunities for student development and engagement.
• The lack of diversity and inclusion in curriculum is limiting cultural understanding and perpetuating inequalities.
• The need for continuous professional development for teachers is crucial to improving teaching quality and student outcomes.
• Unequal access to education due to socio-economic status, geographical location, or other factors is contributing to disparities in academic achievement.
• The shortage of healthcare professionals is leading to increased patient wait times and decreased quality of care.
• Limited access to mental health services is contributing to the high prevalence of mental health issues and suicides.
• The over-prescription of opioids is contributing to the current opioid epidemic and increasing rates of addiction and overdose.
• Limited access to affordable and nutritious food is leading to poor nutrition and increased rates of chronic diseases.
• The lack of standardized electronic health record systems is limiting coordination of care and leading to medical errors.

Environmental Science

• Pollution from industrial and agricultural practices is contributing to climate change and increased health risks.
• The overexploitation of natural resources is leading to decreased biodiversity and ecological imbalance.
• Limited access to clean water is leading to health issues and affecting agriculture and economic development.
• The destruction of natural habitats is leading to the extinction of many species and disrupting ecosystems.
• Climate change is leading to more frequent and severe natural disasters, causing significant damage to infrastructure and displacement of populations.

Engineering

• The inadequate design and maintenance of bridges and roads is leading to increased accidents and fatalities.
• The lack of reliable and sustainable energy sources is contributing to environmental degradation and limiting economic growth.
• The lack of cybersecurity measures in critical infrastructure is making it vulnerable to cyber attacks and compromising public safety.
• The lack of efficient waste management systems is contributing to pollution and environmental degradation.
• The need for developing technologies that are environmentally friendly and sustainable is crucial to addressing climate change.

Social Work

• The lack of resources for mental health and social services is contributing to homelessness and the need for emergency assistance.
• The high prevalence of child abuse and neglect is leading to long-term physical and emotional harm to children.
• The lack of affordable and accessible childcare is limiting the opportunities for working parents, especially mothers.
• The stigmatization of mental health issues is limiting access to mental health services and perpetuating discrimination.
• The limited access to education, employment, and housing opportunities is contributing to poverty and social inequality.
• The increasing use of ad-blocking software is limiting the effectiveness of traditional digital advertising.
• The lack of transparency in digital advertising is leading to ad fraud and decreased trust in online marketing.
• The need to adapt marketing strategies to changing consumer behaviors and preferences is crucial to reaching target audiences effectively.
• The high competition in the marketplace is making it challenging for small businesses to compete with larger corporations.
• The need to balance marketing goals with ethical considerations is crucial to maintaining consumer trust and avoiding negative publicity.
• The high prevalence of anxiety and depression is leading to decreased productivity and increased healthcare costs.
• The limited access to mental health services in certain geographic areas is limiting access to care and contributing to disparities in mental health outcomes.
• The need for effective prevention and intervention programs for substance abuse and addiction is crucial to reducing rates of addiction and overdose.
• The lack of awareness and understanding of mental health issues is perpetuating stigma and limiting access to care.
• The need for culturally sensitive mental health services that are tailored to the needs of diverse populations is crucial to improving mental health outcomes.

Purpose of Problem Statement

The purpose of a problem statement is to clearly and concisely describe a specific problem or issue that needs to be addressed. It serves as a clear and succinct explanation of the problem, its context, and its importance, providing the necessary information to understand why the problem is worth solving. A well-crafted problem statement also helps to define the scope of the problem, which in turn helps to guide the research or problem-solving process. In essence, a problem statement sets the stage for identifying potential solutions and determining the best approach to solve the problem.

Characteristics of Problem Statement

The characteristics of a good problem statement include:

• Clear and concise : A problem statement should be written in clear and concise language, free of technical jargon, and easily understandable to the intended audience.
• Specific : The statement should clearly define the problem and its scope. It should identify the who, what, where, when, and why of the problem.
• Measurable : A problem statement should be measurable in some way, whether through quantitative or qualitative methods. This allows for objective assessment of progress towards solving the problem.
• Relevant : The problem statement should be relevant to the context in which it is presented. It should relate to the needs and concerns of stakeholders and the broader community.
• Feasible : The problem statement should be realistic and achievable, given the available resources and constraints.
• Innovative: A good problem statement should inspire creative and innovative solutions.
• Actionable : The problem statement should lead to actionable steps that can be taken to address the problem. It should provide a roadmap for moving forward.

Advantages of Problem Statement

Advantages of Problem Statement are as follows:

• Focus : A problem statement helps to clearly define the problem at hand and provides focus to the problem-solving process. It helps to avoid wasting time and resources on issues that are not relevant.
• Alignment : A well-written problem statement ensures that everyone involved in the problem-solving process is on the same page and understands the issue at hand. This alignment helps to ensure that efforts are focused in the right direction and that everyone is working towards the same goal.
• Clarity : A problem statement provides clarity about the nature of the problem and its impact. This clarity helps to facilitate communication and decision-making, making it easier to develop effective solutions.
• Innovation : A well-crafted problem statement can inspire creativity and encourage innovative thinking. By clearly defining the problem, it can help to identify new approaches and solutions that may not have been considered before.
• Measurability : A problem statement that is clear and specific can be used to measure progress and success. It helps to ensure that efforts are focused on addressing the root cause of the problem and that progress towards a solution can be tracked and evaluated.

Limitations of Problem Statement

While problem statements have many advantages, they also have some limitations, such as:

• Limited Scope: A problem statement is usually focused on a specific issue or challenge. As a result, it may not capture the full complexity of a larger problem, which can limit the effectiveness of the solutions developed.
• Lack of Detail : In some cases, problem statements may be too broad or lack sufficient detail, which can make it difficult to develop effective solutions. It’s important to ensure that the problem statement is specific enough to guide the problem-solving process.
• Bias : The way in which a problem statement is written can sometimes reflect the biases or assumptions of the person or group writing it. This can lead to a narrow or incomplete understanding of the problem and limit the effectiveness of the solutions developed.
• Inflexibility : A problem statement may be too rigid or inflexible, which can limit the exploration of alternative solutions. It’s important to keep an open mind and be willing to adapt the problem statement as new information or perspectives emerge.

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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• Section 1: Home
• Narrowing Your Topic

Defining The Problem Statement

How to write the problem statement.

• Purpose Statement
• Conceptual Framework
• Avoiding Common Mistakes
• Synthesis and Analysis in Writing Support This link opens in a new window
• Qualitative Research Questions This link opens in a new window
• Quantitative 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
• Library Guide: Research Process This link opens in a new window
• ASC Guide: Outlining and Annotating This link opens in a new window
• Library Guide: Organizing Research & Citations This link opens in a new window
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• Library Guide: Copyright Information This link opens in a new window

Problem Statement 

The problem needs to be very focused because everything else from the applied doctoral project or dissertation-in-practice logically flows from the problem. If the problem is too big or too vague, it will be difficult to scope out a purpose that is manageable, given the time to execute and finish the project. The problem should be the result of a practical need or an opportunity to further an applicational study or project.

Given the above, the problem statement should do four things: 

Specify and describe the problem (with appropriate citations) 

Provide evidence of the problem’s existence  

Explain the consequences of NOT solving the problem  

Identify what is not known about the problem that should be known.

What is a problem?

Example of a proper, specific, evidence-based, real-life problem: , evidence-based, what are consequences.

Consequences are negative implications experienced by a group of people, organization, profession, or industry as a result of the problem. The negative effects should be of a certain magnitude to warrant research. For example, if fewer than 1% of the stakeholders experience a negative consequence of a problem and that consequence only constitutes a minor inconvenience, research is probably not warranted. Negative consequences that can be measured weigh stronger than those that cannot be put on some kind of scale. 

In the example above, a significant negative consequence is that women face much larger barriers than men when attempting to get promoted to executive jobs; or are 94% less likely than men to get to that level in Corporate America. 

While a problem may be referred to as a gap in traditional research, in a doctoral project or dissertation-in-practice, the problem could be a statement of the situational condition that requires a scholar-practitioner approach. For the applied degree, this may be the part of the program or procedure that is not working. 

NOTE: The applied doctoral project or dissertation-in-practice includes checklists for all sections of the document, including problem statement, purpose statement, and research questions. You should make sure you use these checklists and follow margin instructions. The present document is intended to provide additional help and examples, and also explain the importance of alignment. Alignment enables you to ensure consistency in your language and presentation of information, as well as provide a logical flow of your narrative.

Resource: Ellis, T., & Levy, Y. (2008). Framework of problem-based research: A guide for novice researchers on the development of a research-worthy problem. Informing Science , 11, 17-33.  http://proxy1.ncu.edu/login?url=https://search.ebscohost.com/login.aspx?direct=true&db= a9h&AN=36030721&site=eds-live  

• PDF Template

Option 1: Writing the Problem Statement

Do not exceed 250-300 words.

It is helpful to begin the problem statement with a sentence:  “The problem to be addressed through this project  is…”

Paragraph 1

The problem should be evidenced-based and focus on practice within your perspective field or domain.  Then, fill out the rest of the paragraph with an elaboration of that specific problem, making sure to “document” it, as your doctoral committee will look for evidence that it is indeed a problem (emphasis also on the timeliness of the problem, supported by citations within the last 5 years).  Identify the negative consequences that are occurring as a result of the problem.

Paragraph 2

Next, write a paragraph explaining the consequences of NOT solving the problem. Who will be affected? How will they be affected? How important is it to fix the problem? Again, your doctoral committee will want to see research-based citations and statistics that indicate the negative implications are significant. 

Paragraph 3

In the final paragraph, you will explain what is not known that should be known. What isn’t known about the problem? Presumably, if your problem and purpose are aligned, your research will try to close or minimize this gap by investigating the problem. Have other practitioners investigated the issue? What has their research left unanswered? 

Option 2: Writing the Problem Statement

Another way to tackle the statement of the problem: .

The Statement of the Problem section is a very clear, concise identification of the problem. It must stay within the template guidelines of 250-300 words but more importantly, must contain four elements as outlined below.

A worthy problem should be able to address all of the following points: 

• identification of the problem itself--what is "going wrong" (Ellis & Levy, 2008) 
• who is affected by the problem 
• the consequences that will result from a continuation of the problem 
• a brief discussion of 
• at least 3 authors’ research related to the problem; and 
• their stated suggestion/recommendation for further research related to the problem 

Use the following to work on the Statement of the Problem by first outlining the section as follows: 

One clear, concise statement that tells the reader what is not working in the profession or industry. Be specific and support it with current studies. 

Tell who is affected by the problem identified in #1. 

Briefly tell what will happen if the problem isn’t addressed. 

Find at least 3 current studies and write a sentence or two for each study that 

• briefly discusses the author(s)’ work, what they studied, and 
• state their recommendation for further insight or exploration about the problem 

Option 3: Writing the Problem Statement

Finally, you can follow this simple 3-part outline when writing the statement of the problem section.

Your problem statement is a short (250-300 words), 3 paragraph section, in which you:

Example of a problem statement that follows this 3-part outline (295 words):  

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How to Write a Statement of the Problem for Your Research Proposal

Defining your research problem is essential when conducting an experiment. In this article, you will learn how to write a statement of the problem for your research proposal. Learn about the characteristics of a good statement of the problem and examples of research questions.

Updated on May 17, 2022

You are a great researcher. You are full of ideas and questions as to where to go next with your work. You would not be in this position if you were not good at coming up with interesting questions within your area.

One problem, though, is knowing where to spend your time, energy, and money. Which ideas, questions, and problems are worthwhile?

You need to be able to define a good research problem. A research problem addresses an existing gap in knowledge in your field and leads to further investigations by you and other researchers. Inspiring others with your research problem will lead to citations, enhancing your and your institution's impact.

In order to write a clear and useful problem statement, you need to describe a question and its consequences.

One key way to assess the ‘usefulness' of your research ideas is to learn how to express them as clear problems.

In this article, we will talk about how to write a statement of the problem for your next research proposal. This is important not just for assessing the ‘usefulness' of research ideas, but also for formulating a grant application or proposal. We'll talk about how to explain your research ideas to others in the form of a problem statement in your proposal.

What is a statement of the problem in research?

All research projects should start with a clear problem statement. A problem statement is a formulation of an issue which is usually a ‘gap' within your area. A research gap is an unanswered question, an issue, controversy, or untested hypothesis that has not yet been addressed.

The trick with research problems is working out whether they are actually worth investing the time, energy, and money to figure out. This comes with experience, or you could just read on!

Since a clear problem statement is going to form the basis of your next research project, the question is: How can I write one?

How is this done? The first step is to become familiar with the basic elements of a problem statement in effective research.

Characteristics of a problem statement

A research problem statement has two key attributes:

• The problem must be challenging and original, but also potentially achievable by your team.
• The problem must not be incremental. In other words, don't try to address a small change or advance on an existing study that leads to no new scientific insight. This could be damaging to your and your team's reputation, and will likely not lead to a meaningful publication.

Developing a ‘good' research problem statement, therefore, involves systematic planning and setting time-based, realistic objectives. Your problem has to be achievable.

You'll also need to apply feasible research methods based on an approach that best suits the research question. Your methods have to make sense. They must be usable. In other words, you must be able to acquire statistically sufficient and relevant data that is reproducible.

Finally, the problem you define means you'll need to train team members in this particular research area and methods.

Writing a statement of the problem

Stating a research problem is done by defining it within the general area of your research. This depends on your previous work and experience. It may be an area you want to move into or a topic related to what you have already worked on as a researcher. Examples could include a question in astrophysics within physics, robotics within engineering, nutrition within medicine, or marine biology within ocean and Earth science.

Once you've determined your overall area (and you'll know this already of course), it's time to drill down, decide, and define a research problem within that field.

First , your statement should identify a problem that needs to be addressed within your selected sub-area.

This will almost certainly require literature work, but the idea may arise from:

• Discussions you've had with colleagues;
• Discussions at a conference;
• A paper you've read.

Second , your problem statement should be a “good research problem.” This will require further investigation and reading as you consider “what has been done?” and “what needs to be done?”

Third , search for more information, perhaps by:

• Locating relevant books, papers and other materials;
• Evaluating the quality and authority of the information collected;
• Maintaining a regular literature review throughout the project;
• Making regular notes on background material;
• Deciding how this literature search will be carried out within the research group;
• Deciding how information gained will be disseminated to the group (e.g., via each researcher carrying out a regular literature review in their sub-area and information disseminated at group meetings or via email at regular intervals).

This process may well change or modify how your research problem is stated or formulated.

Once your research problem has been identified, research questions within the problem need to be specified.

How long should your statement of the problem be?

Not too long. One page is more than enough for a clear and effective problem statement.

Research questions within your problem

The first stage of writing your research problem statement involves formulating your questions in a meaningful way. In the context of important questions, we are looking for things that many readers across different disciplines find to be interesting. But at the same time, set your question within your field.

Thus, once a research problem has been established, several questions can be written down. These questions should specify exactly what needs to be determined to address the problem.

These questions should also be specific enough that they can be answered using appropriate available research methods - or methods that could be made available to the research group (e.g. by buying or borrowing equipment).

These questions should require complex in-depth investigation, analysis, and argument. They should not be simple enough that they can be answered easily with well-established facts or yes/no answers.

All research questions should be focused, specific, appropriately complex, and relevant to the overall aims of the project.

Examples of questions and next steps

• How do government regulations prevent companies from polluting water systems?
• What factors have influenced population growth in the fastest growing countries?
• How can a bespoke thermal desorption unit be designed and built for use in detection of trace particulate matter in a polluted environment (e.g., a busy city street)?
• What methods and procedures can be used to understand, and hence control, fundamental chemical processes that occur in flames?
• How can measurement protocols used in mass spectrometry in a university research laboratory be developed and standardized to enable direct comparison with related measurements in a government laboratory?

Once the problem and questions have been identified, the resources required to carry out the research will need to be assessed. This will involve:

• Identifying the equipment needed. Find out what is available and what needs to be purchased.
• Assessing which consumables (e.g., chemicals) are needed for the project, and determining if they can be obtained on a regular basis (i.e., in the right quantities at the appropriate times).
• Identifying the software, data-analyses and other computer support needed. Assess what needs to be purchased.
• Assessing what laboratory and office space is needed. And if more is required, discuss this with the relevant laboratory manager.
• Identifying what support for travel is needed for the group, as well as what resources are required for the group to attend relevant conferences and training of group personnel.

Final thoughts

Defining and writing a clear statement of a problem as the basis of a project is the first - and most important - step in any research. The tips and ideas in this article will help you clearly identify the purpose of the research you are developing.

A clear research problem statement will likely form the skeleton of the Introduction of your final article. If you are able to clearly direct your reader (the most important person in the publishing process) to an important and interesting question, they will likely stay engaged, and use and cite your article in the future.

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• How to Write a Problem Statement for your Research

Every research starts with identifying a problem which is usually an existing gap in your field of study. Once you do this, the next step is to craft a statement of the problem that captures this issue and how you plan to resolve it. A statement of problem forms the basis of every systematic investigation. 

Seeing as a problem statement forms the core of your research, it makes sense to know how to write an effective one. So how do you go about this? First, you need to get acquainted with the features of a good problem statement plus its elements and structure. 

Use this guide to know how to write an effective statement of the problem for your systematic investigation. 

What is the Statement of the Problem in Research?

A statement of problem refers to the critical issue that your research seeks to address. In other words, it captures the existing knowledge gap that your study aims to bridge using reliable results or outcomes. A problem statement can be as little as a few sentences or go all the way to several paragraphs—what matters is it communicates the central focus of your study. 

As your study bridges this gap, it also leaves room for future investigations. The implication is that your problem statement should not be too broad; instead, it should address one specific issue and contribute to the knowledge pool for further research. 

Use for Free: Research Form Templates

What are the Features of a Good Problem Statement?  

A good problem statement captures the core purpose of your study in simple, clear, and direct terms. Some other tell-tale signs of a well-written research statement of problem include: 

• A good problem statement is concrete and concise. It doesn’t capture ideas vaguely or ambiguously.
• It allows you to contextualize the research problem.
• A good problem statement helps you to set the aims and objectives of your systematic investigation. 
• It justifies your research and draws attention to the study’s significance. 

Why is a Problem Statement Important in Research Writing?

Writing a good problem statement serves both the researcher and the readers. For the researcher, the problem statement helps you visualize the scope of your project and outline it accordingly. Also, it allows you to map out specific aims and objectives for your study. 

On the flip side, the problem statement helps the reader identify the core reason for your research and see how your work fits into the existing body of knowledge. It helps them get on the same page as you regarding the importance and significance of your systematic investigation. 

If you require funding for your research, a problem statement can help potential financiers to see why investing in your project is the right move to make. It gives them an overview of the existing problem, your solution, and the impact of your solution on the field of study. 

Elements and Structure of a Problem Statement

In its most basic form, a problem statement comprises three(3) elements which are: 

• The research problem
• The claim or working thesis
• The significance of the study

In other words, it tells the reader what you’re trying to solve, how you plan to solve it, and why you want to solve it. 

1. The Research Problem

Your research problem is the reason for your systematic investigation. It is the gap you identified and planned to fill based on the results of your study. You can also think of this as the primary research question. 

A few questions you should ask yourself here include: 

• Is it clear what’s being described in this problem statement?
• Do I understand the main problem being described here?
• Do I have a good grasp of what the main issue is here?

2. The Claim or Working Thesis 

Your working thesis is the first attempt at asserting your position, and it spells out your stance on the matter at a specific point in time. It’s called a “working” thesis because it is subject to change as your study progresses. In your working thesis, you have the chance to justify your position by providing primary and secondary claims that support your position. 

3. The Significance of the Study 

This is the point where you communicate the value of your research and show readers why it is necessary in the first place. Here, you can discuss the impact of your work and its relevance to your field of study. Don’t forget to highlight the contributions of your work to existing knowledge and how others will benefit from it. 

Read: Research Report: Definition, Types + [Writing Guide]

What is the Difference Between a Thesis Statement and a Problem Statement? 

A problem statement focuses on the specific issue you’ve identified and hope to resolve with your research. It comprises the research problem, claim, or working statement and the significance of your research. On the other hand, a thesis statement makes a specific claim or assertion open for debate. 

For example, the statement “writing is more of a science than an art” is an excellent example of a thesis statement because it proposes an idea that may be true or false. Once you establish the thesis statement for your research, you are expected to provide evidence and build a strong argument that supports this claim.

What are the Steps for Writing a Problem Statement? 

• Define Your Research Context 
• State Why The Problem Matters 
• State the Financial Cost
• Back Up Your Claims
• Propose A Solution
• Conclude By Summarizing the Problem and Solution

1. Define Your Research Context 

The first thing you need to do is build a solid context that makes it easier for readers to understand the problem. A hack for this is to describe an ideal world where the problem doesn’t exist. In other words, help your readers to visualize how different things would be if they didn’t have to deal with this problem in the first place. 

For example, if you’re researching the rise in the number of train accidents in London, start by describing how the process would function if the current problem didn’t exist. When you’ve done this, you can refer to the research problem at the end of your explanation. 

2. State Why the Problem Matters

You should let readers in on why the problem matters and why you must address it at this point. In other words, answer the question, “why is it important that we fix this particular problem?” What difference would it make? 

Your job here is to show the reader why your research problem is the biggest elephant in the room. You may also consider including what attempts have already been made to solve the problem and why they didn’t work out. 

3. State the Financial Cost

If there’s a financial implication of not fixing the problem, then it’s a good idea to state it here. This is more useful if you’re pitching for funding for your research. 

4. Back Up Your Claims

It’s not enough to say that the problem has some negative impact on other people or your organization; you must back up all of these claims with well-researched data. This is the point where you pull up information from relevant secondary data sources and reference them in your work. 

5. Proffer a Solution

Now that we know the problem, the next question is, “what can be done about it”? To answer this, you need to propose a practical solution to the research problem. Take time to demonstrate why this is the most pragmatic solution and why it will work. More importantly, focus on the impact of your solution and hint at its benefits. 

6. Conclude By Summarizing the Problem and Solution

Your conclusion should consist of the problem, why it needs to be fixed, and a summarized argument of why your solution is the best answer to the problem.

Sample Problem Statement 

Problem : The use of hard drugs amongst teenagers in the District of Columbia has increased significantly over the past decade. 

Background : According to the Drug Abuse Statistics Organization data, 50% of teenagers have misused a drug at least once. Teenagers in the District of Columbia are 11.94% more likely to have used drugs in the last month than the average American teen. Existing data shows that this is a significant problem but fails to address the root causes of rising teenage drug abuse in the state. Therefore, more research is required to identify why teenagers in Colombia abuse drugs and proffer solutions to this menace. 

Relevance : Young people who abuse drugs expose themselves to many risks, including life-threatening conditions and mental health-related problems. Drug abuse can impact the brain’s ability to function in the short term and prevent proper growth and development in the long term. Data shows that teenagers who use hard drugs are more likely to be disillusioned. Addressing this problem will give concerned parties the much-needed insights to help them curtail drug abuse. 

Objectives : This research aims to identify the root causes of teenage drug abuse and map out actionable solutions to address this. 

Mistakes to Avoid when Writing Problem Statements  

A good problem statement sets the tone for the rest of your dissertation, so you want to get it right. That said, here are some things you should have at the back of your mind as you craft a problem statement for your research paper. 

1. Make sure your problem statement is straight to the point. Every sentence should reinforce the importance of your study. 

2. Narrow the scope of your problem statement.

3. Avoid unnecessary jargon and highly technical language.

4. Build a logical argument that will convince the reader

5. Emphasize the “why” of the problem 

FAQ About Writing a Statement of the Problem

How do you identify a research problem?

The best way to identify a research problem is to read through existing studies to discover any gaps in knowledge. You can also discover research problems by observing your environment and identifying any contradictions that exist among perspectives. 

Conclusion 

Whether you’re seeking funding for your research or approval from your professor, you need to write a well-defined statement of the problem. A problem statement allows you to pitch the core idea of your study and show others why it is worth being addressed. It should draw attention to the core idea of your research, and convince others to invest in your systematic investigation. 

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• Research process
• How to Write a Problem Statement | Guide & Examples

How to Write a Problem Statement | Guide & Examples

Published on 8 November 2022 by Shona McCombes and Tegan George.

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

• Contextualise 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: contextualise the problem, step 2: show why it matters, step 3: set your aims and objectives.

Problem statement example

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 contextualise 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 organisation, 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.

Learn how to formulate research questions

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

Step 1: Contextualise 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.

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 …

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

They summarise 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 .

A research aim is a broad statement indicating the general purpose of your research project. It should appear in your introduction at the end of your problem statement , before your research objectives.

Research objectives are more specific than your research aim. They indicate the specific ways you’ll address the overarching aim.

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

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

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Methodology

• What Is Qualitative Research? | Methods & Examples

What Is Qualitative Research? | Methods & Examples

Published on June 19, 2020 by Pritha Bhandari . Revised on June 22, 2023.

Qualitative research involves collecting and analyzing non-numerical data (e.g., text, video, or audio) to understand concepts, opinions, or experiences. It can be used to gather in-depth insights into a problem or generate new ideas for research.

Qualitative research is the opposite of quantitative research , which involves collecting and analyzing numerical data for statistical analysis.

Qualitative research is commonly used in the humanities and social sciences, in subjects such as anthropology, sociology, education, health sciences, history, etc.

• How does social media shape body image in teenagers?
• How do children and adults interpret healthy eating in the UK?
• What factors influence employee retention in a large organization?
• How is anxiety experienced around the world?
• How can teachers integrate social issues into science curriculums?

Table of contents

Approaches to qualitative research, qualitative research methods, qualitative data analysis, advantages of qualitative research, disadvantages of qualitative research, other interesting articles, frequently asked questions about qualitative research.

Qualitative research is used to understand how people experience the world. While there are many approaches to qualitative research, they tend to be flexible and focus on retaining rich meaning when interpreting data.

Common approaches include grounded theory, ethnography , action research , phenomenological research, and narrative research. They share some similarities, but emphasize different aims and perspectives.

Note that qualitative research is at risk for certain research biases including the Hawthorne effect , observer bias , recall bias , and social desirability bias . While not always totally avoidable, awareness of potential biases as you collect and analyze your data can prevent them from impacting your work too much.

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Each of the research approaches involve using one or more data collection methods . These are some of the most common qualitative methods:

• Observations: recording what you have seen, heard, or encountered in detailed field notes.
• Interviews:  personally asking people questions in one-on-one conversations.
• Focus groups: asking questions and generating discussion among a group of people.
• Surveys : distributing questionnaires with open-ended questions.
• Secondary research: collecting existing data in the form of texts, images, audio or video recordings, etc.
• You take field notes with observations and reflect on your own experiences of the company culture.
• You distribute open-ended surveys to employees across all the company’s offices by email to find out if the culture varies across locations.
• You conduct in-depth interviews with employees in your office to learn about their experiences and perspectives in greater detail.

Qualitative researchers often consider themselves “instruments” in research because all observations, interpretations and analyses are filtered through their own personal lens.

For this reason, when writing up your methodology for qualitative research, it’s important to reflect on your approach and to thoroughly explain the choices you made in collecting and analyzing the data.

Qualitative data can take the form of texts, photos, videos and audio. For example, you might be working with interview transcripts, survey responses, fieldnotes, or recordings from natural settings.

Most types of qualitative data analysis share the same five steps:

• Prepare and organize your data. This may mean transcribing interviews or typing up fieldnotes.
• Review and explore your data. Examine the data for patterns or repeated ideas that emerge.
• Develop a data coding system. Based on your initial ideas, establish a set of codes that you can apply to categorize your data.
• Assign codes to the data. For example, in qualitative survey analysis, this may mean going through each participant’s responses and tagging them with codes in a spreadsheet. As you go through your data, you can create new codes to add to your system if necessary.
• Identify recurring themes. Link codes together into cohesive, overarching themes.

There are several specific approaches to analyzing qualitative data. Although these methods share similar processes, they emphasize different concepts.

Qualitative research often tries to preserve the voice and perspective of participants and can be adjusted as new research questions arise. Qualitative research is good for:

• Flexibility

The data collection and analysis process can be adapted as new ideas or patterns emerge. They are not rigidly decided beforehand.

• Natural settings

Data collection occurs in real-world contexts or in naturalistic ways.

• Meaningful insights

Detailed descriptions of people’s experiences, feelings and perceptions can be used in designing, testing or improving systems or products.

• Generation of new ideas

Open-ended responses mean that researchers can uncover novel problems or opportunities that they wouldn’t have thought of otherwise.

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Researchers must consider practical and theoretical limitations in analyzing and interpreting their data. Qualitative research suffers from:

• Unreliability

The real-world setting often makes qualitative research unreliable because of uncontrolled factors that affect the data.

• Subjectivity

Due to the researcher’s primary role in analyzing and interpreting data, qualitative research cannot be replicated . The researcher decides what is important and what is irrelevant in data analysis, so interpretations of the same data can vary greatly.

• Limited generalizability

Small samples are often used to gather detailed data about specific contexts. Despite rigorous analysis procedures, it is difficult to draw generalizable conclusions because the data may be biased and unrepresentative of the wider population .

• Labor-intensive

Although software can be used to manage and record large amounts of text, data analysis often has to be checked or performed manually.

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

• Chi square goodness of fit test
• Degrees of freedom
• Null hypothesis
• Discourse analysis
• Control groups
• Mixed methods research
• Non-probability sampling
• Quantitative research
• Inclusion and exclusion criteria

Research bias

• Rosenthal effect
• Implicit bias
• Cognitive bias
• Selection bias
• Negativity bias
• Status quo bias

Quantitative research deals with numbers and statistics, while qualitative research deals with words and meanings.

Quantitative methods allow you to systematically measure variables and test hypotheses . Qualitative methods allow you to explore concepts and experiences in more detail.

There are five common approaches to qualitative research :

• Grounded theory involves collecting data in order to develop new theories.
• Ethnography involves immersing yourself in a group or organization to understand its culture.
• Narrative research involves interpreting stories to understand how people make sense of their experiences and perceptions.
• Phenomenological research involves investigating phenomena through people’s lived experiences.
• Action research links theory and practice in several cycles to drive innovative changes.

Data collection is the systematic process by which observations or measurements are gathered in research. It is used in many different contexts by academics, governments, businesses, and other organizations.

There are various approaches to qualitative data analysis , but they all share five steps in common:

• Prepare and organize your data.
• Review and explore your data.
• Develop a data coding system.
• Assign codes to the data.
• Identify recurring themes.

The specifics of each step depend on the focus of the analysis. Some common approaches include textual analysis , thematic analysis , and discourse analysis .

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This paper is in the following e-collection/theme issue:

Published on 16.8.2024 in Vol 26 (2024)

Factors Influencing the Implementation of Digital Advance Care Planning: Qualitative Interview Study

Authors of this article:

Original Paper

• Andy Bradshaw 1 , BSc, PhD   ; 
• Jacqueline Birtwistle 2 , BSc, MSc   ; 
• Catherine J Evans 1, 3 , BSc, MSc, RGN, SPQDN, PhD   ; 
• Katherine E Sleeman 1 , BSc, MBBS, MRCP, PhD   ; 
• Suzanne Richards 2 , BSc, PhD   ; 
• Robbie Foy 2 , MBChB, MRCGP, MSc, MFPHM, PhD   ; 
• Pablo Millares Martin 4 , LMS, DCS, MSc   ; 
• Paul Carder 5 , BSc   ; 
• Matthew J Allsop 2 , BSc, PhD, CPsychol   ; 
• Maureen Twiddy 6 , BSc, MSc, PhD  

1 Cicely Saunders Institute, Kings College London, London, United Kingdom

2 Leeds Institute of Health Sciences, University of Leeds, Leeds, United Kingdom

3 Sussex Community NHS Foundation Trust, Brighton, United Kingdom

4 Whitehall Surgery, Leeds, United Kingdom

5 NHS West Yorkshire Integrated Care Board, White Rose House, Wakefield, United Kingdom

6 Hull York Medical School, Institute of Clinical and Applied Health Research, Allam Medical Building, University of Hull, Hull, United Kingdom

Corresponding Author:

Matthew J Allsop, BSc, PhD, CPsychol

Leeds Institute of Health Sciences

University of Leeds

Worsley Building

Leeds, LS2 9LU

United Kingdom

Phone: 44 1133434185

Email: [email protected]

Background: Palliative care aims to improve the quality of life for people with life-limiting illnesses. Advance care planning conversations that establish a patient’s wishes and preferences for care are part of a person-centered approach. Internationally, electronic health record systems are digital interventions used to record and share patients’ advance care plans across health care services and settings. They aim to provide tools that support electronic information sharing and care coordination. Within the United Kingdom, Electronic Palliative Care Coordination Systems (EPaCCS) are an example of this. Despite over a decade of policy promoting EPaCCS nationally, there has been limited implementation and consistently low levels of use by health professionals.

Objective: The aim of this study is to explore the factors that influence the implementation of EPaCCS into routine clinical practice across different care services and settings in 2 major regions of England.

Methods: A qualitative interview study design was used, guided by Normalization Process Theory (NPT). NPT explores factors affecting the implementation of complex interventions and consists of 4 primary components (coherence, cognitive participation, collective action, and reflexive monitoring). Health care and social care practitioners were purposively sampled based on their professional role and work setting. Individual web-based semistructured interviews were conducted. Data were analyzed using thematic framework analysis to explore issues which affected the implementation of EPaCCS across different settings at individual, team, organizational, and technical levels.

Results: Participants (N=52) representing a range of professional roles were recruited across 6 care settings (hospice, primary care, care home, hospital, ambulatory, and community). In total, 6 themes were developed which mapped onto the 4 primary components of NPT and represented the multilevel influences affecting implementation. At an individual level, these included (1) EPaCCS providing a clear and distinct way of working and (2) collective contributions and buy-in. At a team and organizational level, these included (3) embedding EPaCCS into everyday practice and (4) championing driving implementation. At a technical level, these included (5) electronic functionality, interoperability, and access. Breakdowns in implementation at different levels led to variations in (6) confidence and trust in EPaCCS in terms of record accuracy and availability of access.

Conclusions: EPaCCS implementation is influenced by individual, organizational, and technical factors. Key challenges include problems with access alongside inconsistent use and engagement across care settings. EPaCCS, in their current format as digital advance care planning systems are not consistently facilitating electronic information sharing and care coordination. A redesign of EPaCCS is likely to be necessary to determine configurations for their optimal implementation across different settings and locations. This includes supporting health care practitioners to document, access, use, and share information across multiple care settings. Lessons learned are relevant to other forms of digital advance care planning approaches being developed internationally.

Introduction

Palliative care aims to improve the quality of life for people with life-limiting illnesses through a person-centered, multidisciplinary, and holistic approach [ 1 ]. The focus on person-centeredness is reflected in health policy both within the United Kingdom and internationally [ 2 - 5 ]. Key to facilitating person-centered care in palliative services is the concept of advance care planning. This involves having planned conversations with a patient around their individual goals, wishes, and preferences for their current and future care [ 6 ]. If a person’s preferences are documented and shared, there is evidence of beneficial outcomes. Advance care planning has been associated with better quality of care, helping people to be cared for and die in their usual place of residence, and preventing unplanned hospital admissions [ 7 - 9 ]. However, other studies indicate that it has no impact on patient outcomes or quality of life [ 10 - 12 ]. Despite this uncertainty, advance care planning has been adopted by health care systems internationally as a key feature of person-centered care.

While there are benefits associated with advance care planning, delivery of palliative care requires the involvement of, and communication between, multiprofessional services across different settings of care (ie, hospice, general practice, community-based care, out-of-hours services, hospitals, emergency services, care homes, and social care) [ 13 , 14 ]. To overcome the need for information sharing across multiple health care providers and settings, electronic health record systems are increasingly being used to document and share advance care planning information. This approach has been reported across countries that include the United States [ 15 , 16 ], Australia [ 17 ], and the United Kingdom. In the United Kingdom, the use of electronic health record systems for documenting and sharing advance care plans are called Electronic Palliative Care Coordination Systems, often referred to using the acronym EPaCCS.

EPaCCS emerged in response to the Department of Health’s 2008 End of Life Care Strategy, which advocated for improved coordination of care at the end of life for people with life-limiting conditions (ie, cancer and noncancer conditions, including dementia) [ 18 ]. Policy drivers for the widespread use of electronic systems (such as EPaCCS) across health and social care providers have continued to the present day [ 19 , 20 ]. This includes, for example, an expectation that care records for all people living with a long-term condition should include a person’s care needs and preferences, and should be shared with all those involved in their care [ 19 ]. The development of EPaCCS sought to overcome challenges arising through the fragmentation of health systems that can lead to patients not receiving person-centered care at the right time and in the right place [ 21 , 22 ]. This can result in patient needs not being met, unplanned and avoidable hospital admissions, and patients not being cared for, or dying in a place of their choice [ 23 - 25 ].

EPaCCS have been developed across the United Kingdom since 2008 and multiple variants have arisen. These include standalone web-based electronic registers such as Coordinate my Care which was implemented in London [ 26 ], and template forms integrated into already-existing electronic patient records, such as in Leeds [ 27 ] and the Key Information Summary in Scotland [ 28 ]. Regardless of the mode used for implementing EPaCCS locally across regions, the Palliative and End of Life Care Information Standard specifies the core content that should be recorded and shared (eg, demographic information, diagnosis, medication, advance care planning information, Do Not Attempt Cardiopulmonary Resuscitation decisions, and preferred places of care and death) [ 29 ]. The expectation is that once this information is stored, it should be possible to share across all settings involved in the delivery of palliative and end-of-life care, as well as sharing any updates on the care plan.

However, there is widespread variation with regard to how EPaCCS are implemented within local health care systems (eg, who initiates the creation of a record, which settings of care can access and edit information in EPaCCS records) [ 14 ] which has resulted in variable levels of interoperability and access [ 14 , 30 - 33 ]. In part, this may be a factor influencing the low use rates reported for EPaCCS, with 9%-43% of people with palliative care needs having an EPaCCS record created before death [ 14 , 27 , 34 , 35 ]. Alongside low use, there is uncertainty about how EPaCCS are being used in routine practice and limited evidence of their impact, inhibiting the development of an evidence base to guide how their implementation might be optimized [ 13 , 14 , 30 , 36 , 37 ]. The aim of this study was to explore health care professionals’ perspectives on factors that influence the implementation of EPaCCS in routine clinical practice across different care settings in England.

We undertook a qualitative interview study. This approach was selected as we sought to develop new insights and knowledge on a relatively understudied topic area [ 38 ]. Our study was informed by an interpretative paradigm [ 39 ]. That is, we explored the study aim from the standpoint of ontological relativism (the acceptance of multiple, mind-dependent realities) and epistemological constructionism (an appreciation that knowledge generated during data analysis and write-up reflected interpretations made collectively by the research team) [ 40 ]. We reported the research in line with the consolidated criteria for reporting qualitative research (COREQ [consolidated criteria for reporting qualitative research], see Multimedia Appendix 1 ) [ 41 ].

Theoretical Perspective

EPaCCS can be conceptualized as a complex intervention. This is because they comprise multiple interacting components and operate at the interface of different health care professionals, organizations, settings of care, and patients and their families [ 42 ]. Normalization Process Theory (NPT) is an implementation theory that is used to explain how complex interventions are normalized (ie, deeply embedded into, and used as part of, routine practice) [ 43 - 45 ].

In explaining the different types of “work” that people do in normalizing complex interventions, NPT consists of 4 interlinked primary constructs ( Table 1 ) [ 46 , 47 ]. We used these primary constructs of NPT as a guiding theoretical framework to guide data collection, analysis, and interpretation in understanding the factors affecting the implementation of EPaCCS into routine clinical practice.

a Definitions derived from May et al (2022) [ 46 ].

b How definitions of NPT constructs were “in the simplest possible terms” [ 48 ] and applied to data collection, analysis, and interpretation.

c EPaCCS: Electronic Palliative Care Coordination Systems.

Recruitment and Settings

Recruitment took place in 2 UK regions in London (population circa 9 million) and West Yorkshire (population circa 2.3 million). Participants comprised a subsample of respondents to an earlier survey who had agreed to be contacted for follow-up interviews. In West Yorkshire, EPaCCS comprise a template that is embedded within a patient’s electronic record, generally in the electronic record system used by primary care providers that can share information across different care settings within a defined geographical area. Within London, at the time of this study, the most used EPaCCS system was “Coordinate My Care” (CMC). This was a standalone system (eg, it operated outside routinely used patient records), and enabled patients to access their own records [ 14 ]. Since the conception of this study, it has been superseded by an EPaCCS system called “Universal Care Plan.”

Participants were initially selected using purposive maximum variation sampling to gather the widest range of perspectives [ 49 ]. This entailed sampling participants based on specific criteria (geographical location, professional role, setting of care, and levels of understanding of or engagement with EPaCCS based on previous survey responses). The logic underpinning this approach was to explore our research aim from diverse perspectives [ 49 ]. We worked across primary, secondary, and tertiary care settings in purposefully recruiting doctors, nurses, care home staff, paramedics, and general practitioners. Difficulties in recruitment, however, meant that we supplemented our recruitment approach with convenience sampling using the same criteria.

Participants were approached via email and provided with a participant information sheet. A combination of verbal and written informed consent was obtained, either by AB or JB, prior to interviews being conducted. Recruitment ran concurrently with data collection between November 2021 and June 2022. The concept of “information power” [ 50 ] was used to guide decisions on when to halt recruitment and data collection. This entailed several meetings during which research team members (AB, JB, MT, MA, CE, and KS) considered whether and when data collected from our sample held enough relevant and detailed information to comprehensively understand our research aim.

Data Collection

Single, web-based interviews were conducted by 1 of 2 researchers, both of whom had prior experience in qualitative interviewing [AB (male, research fellow) and JB (female, research fellow)]. The topic guide (provided in Multimedia Appendix 2 ) comprised questions about how participants used EPaCCS, alongside the factors that they perceived affected their implementation. During development, these questions were mapped onto the 4 primary constructs of NPT. Interviews were audio recorded, anonymized, and transcribed verbatim. All participant personal data were stored in a secure cloud storage platform within password-protected files. These data were only accessible to, shared between, and used by members of the research team, using data-sharing agreements.

Interview data were managed using NVivo (version 12; Lumivero) [ 51 ] and analyzed using thematic Framework analysis [ 52 ]. The 4 primary constructs of NPT were used as the theoretical framework to guide the coding and interpretation of data. Data analysis included moving between induction and deduction. We first used NPT to deductively build our initial analytic framework and then supplemented this through inductive coding in which we explored how patterns grounded in the data related to and enriched our analytic framework. Analysis consisted of seven iterative steps: (1) familiarization (through rereading transcripts), (2) coding (by labeling relevant segments of transcripts that aligned with our research aims), (3) creation of an initial analytic framework (by grouping similar codes into categories and categories into themes), (4) indexing (by applying our analytic framework back to raw data and refining it where appropriate), (5) charting (by creating a matrix that explored differences in data across region, role, and setting of care), (6) description (through defining and describing themes), and (7) interpretation (using our theoretical framework to further interpret our findings through the write-up of data). This approach allowed us to conduct within- and between-case pattern matching to explore where participant accounts on the use and implementation of EPaCCS converged or diverged, and how this was influenced by contextual factors (ie, setting, region, and role). Data analysis was led by AB, with fortnightly meetings between authors (AB, JB, MT, and MJA) to review the ongoing coding and analysis.

Multiple approaches were used to ensure rigor during data analysis. Throughout data collection and analysis, the researchers engaged in different forms of reflexivity. This included reflecting introspectively (inward reflections on how they impacted the research process and vice versa) and intersubjectively (reflections on relationships between them and participants) [ 53 ]. These were used as a “springboard for interpretations and more general insight” into the ways through which understandings of the research aim were being co-constructed through the research process, including analysis [ 53 ]. This included regular discussions with JB, who shared data collection and who was familiar with the data corpus. Moreover, throughout the analytical process, members of the wider interdisciplinary research team (consisting of academics and clinicians with experience in palliative care research and practice from across care settings including hospital, community, and primary care) acted as “critical friends” [ 54 ]. This entailed working collaboratively through regular meetings and written feedback in which findings were constructively challenged, reflexivity encouraged, and alternative interpretations of the data proposed. This process took place until the research team agreed that the final analytic framework accurately reflected participant accounts.

Ethical Considerations

The North of Scotland Research Ethics Committee approved the research (reference 21/PR/0428). In this study, we also recognized ethics as a reflexive process through engaging in “ethics in practice” [ 55 ]. This approach was used to remain responsive to and navigate ongoing and potentially unexpected ethical issues that may have arisen throughout data collection, analysis, and write-up (eg, by reflecting on how the research might affect professionals’ clinical practice and potential impact on patients and carers). All participants provided written consent prior to participating in the study. Before analysis, all interview transcripts were deidentified and stored on a secure cloud storage platform only accessible to the study team. Organizations in which participants were based were offered reimbursement of £75 (US $95.91) for allowing a professional to participate in the study. The level of the incentive payment was based on the cost of 1 hour of a locum doctor in the United Kingdom and was agreed upon by the research ethics committee and study funder.

A total of 52 people (characterized in Table 2 ) participated out of the 99 people approached for interview participated (characterized in Table 2 ), from London (n=29) and West Yorkshire (n=23). These participants represented a range of different professionals who work across hospice, primary care, care home, hospital, and community settings.

Six themes were developed and are represented under the corresponding constructs of NPT (coherence, cognitive participation, collective action, and reflexive monitoring). Figure 1 provides an overview of these main themes.

Coherence: How Participants Understood EPaCCS—Theme 1: A Clear and Distinct Way of Working

For a complex intervention to be normalized, it needs to be understood as a clear and distinct way of working that enhances patient care. In the case of EPaCCS, this required health care professionals to appreciate how adding all relevant advance care planning information onto a single digital platform allowed for easier sharing among organizations. Across all settings of care, however, participants did not always see how EPaCCS enhanced patient care and outcomes compared to traditional channels of communication. These included using paper-based discharge summaries, cover letters, face-to-face conversations, emails, and telephone for direct communication of advance care plans across settings:

I don’t think it [EPaCCS] changes much in terms of our GP engagement with patients … our primary channel of communication is telephone, face to face, perhaps email and EPaCCS doesn’t sort of sit with any of those. Our primary function really is to provide the clinical care and record that clinical care and those are traditional methods of doing that. EPaCCS is an add-on, and I think because it’s an add-on, it’s not the primary form of communication. [Lon18, GP, London]

Participants working in care homes across London and West Yorkshire reported using a range of different electronic patient record systems for documenting their residents’ care plans. These systems facilitated the documentation of patient wishes and preferences that could be easily accessed, reviewed, and updated internally by care home staff. Some electronic record systems used in care homes were also capable of integrating and sharing data with other systems across different settings, but this was often limited to those in general practice and not on the scale envisaged by EPaCCS:

The electronic care plan system that we are using, it’s something called PCS, so Person Centred Software. You can do your usual stuff like you said, day-to-day care notes and things like that. There also with PCS, the party piece it has is something called GP connect … with PCS if you do kind of speak with them, they are able to kind of merge certain systems together with their [other healthcare settings’] system … as far as I know PCS works with all of them [WY12&WY13, care home managers, West Yorkshire]

Cognitive Participation: How Participants Built Networks of Practice Around and Bought Into EPaCCS

Theme 2: embedding epaccs into everyday practice.

The service-wide embedding of EPaCCS into everyday practice varied and was partly influenced by the extent to which they were an integral part of everyday care processes, structures, and settings. In some contexts, entire services had no access to EPaCCS. Where EPaCCS were present and accessible across multiple settings, implementation was still thwarted because they were not used consistently by some health care professionals:

it can be like an easy thing to do and I think it gets ingrained in your normal kind of process of doing a patient’s notes … but I think when people just don’t know about it or don’t know how to access it, it then becomes, it seems more of a challenge to actually set one up whereas once you’ve got used to it, it just becomes part of your normal routine first assessment, set up CMC and then it’s done. [Lon5, hospice community doctor, London]

Some participants reported that EPaCCS were integrated into everyday clinical routines. In these instances, EPaCCS were referred to as being “part of what we do” [WY2, community/hospice, West Yorkshire]. This included ensuring that EPaCCS management was integrated into key care processes such as initial assessments, caseload reviews, admission and discharge planning, multidisciplinary team meetings, handover sheets, and standard operating procedures:

Whenever we take on a new patient onto the caseload, we will do our level best to have a conversation about the current EPaCCS system we use, which is Coordinate My Care, to get consent to put people on that system … it’s very much part of our mantra, it’s something that we do … We talk about Coordinate My Care at our weekly multidisciplinary team meetings, so we ask people to check that people are on there and if they’re not, we try and think of a plan to get somebody on there. [Lon26, hospice consultant nurse, London]

Theme 3: Championing Driving Implementation

Participants across all professional groups in both regions reflected on the role of colleagues who championed the use of EPaCCS. Champions were typically individuals who had been given dedicated time within their role to promote implementation and who encouraged staff engagement with EPaCCS. Champions used a range of approaches including offering peer support, taking active roles in teaching and education, presenting the potential benefits of EPaCCS, and keeping them present or “in view” in everyday clinical practice:

Having local champions who are just, [I] don’t want to say checking, but just ensuring that locally they’re being completed, that they’re demonstrating a difference. You know, there’s no point doing it if it’s not demonstrating any benefit really is there? [WY2, community/hospice consultant, West Yorkshire]

There were examples where engaging staff in the use of EPaCCS and learning how different systems work was described as a “constant recurring battle” [Lon06, hospital Clinical Nurse Specialist, London] that required time, dedication, and energy. This view was particularly present in hospital settings and the challenge was mainly attributed to high staff turnover. Different staff meant that the same messages and training had to be repeated continuously for EPaCCS to remain a priority for teams. However, such training did not always translate into increases in health professional use:

The reality is, I think that EPaCCS is underused, but generally across the hospital. That's why I have to be out there doing education and encouragement… it's continually education, trial, training, nudging, pushing to get them to use it because, a level of busyness, a churn of staff, you know they’re churning staff all the time, they’re coming from different Trusts who are not used to SystmOne, never mind EPaCCS, so it's a continual, continual, continual thing and training [WY7, hospital nurse, West Yorkshire]

Collective Action: How People Enact EPaCCS

Theme 4: collective contributions and buy-in.

Collective contributions referred to the extent to which health care professionals across settings of care contributed to the creation, sharing, updating, and use of EPaCCS records to inform care. Underpinning collective contributions was the degree to which health care professionals “bought into” EPaCCS by seeing them as a legitimate part of their role or as supporting the work of others. There was a general agreement that EPaCCS needed “buy-in from everyone - not just palliative care teams – for it to work ” [WY2, consultant, community/hospice consultant, West Yorkshire]. Despite this, health care professionals working in specialist palliative care were often the ones creating and updating EPaCCS records.

Participants had different perceptions in terms of the skills and capacity of professionals across different care settings to support advance care planning. Some felt that staff working in specialist palliative care were best placed to initiate sensitive conversations about advance care planning and end-of-life choices. Others reflected that although they believed health care professionals working outside of palliative care settings could broach advance care planning conversations, they did not always have the confidence to do so. Indeed, participant accounts suggested that when palliative care services were not involved in a patient’s care, this led to a general lack of clarity over who should do what, when, and how, which often resulted in the ad hoc creation of records.

If they’re working in specialist palliative care, most of those people will have those skills [for advance care planning]. If we then look at people who don’t deal exclusively with palliative care but see a lot of it, so district nurses, elderly medicine doctors, general practitioners, I think there is a lot of skill there. There’s not always the skill and there’s often a gap in confidence to apply the skills that people have … when people don’t have the skills and confidence, that first conversation where we seek, where we explain to the patient where they are in their illness and the fact that they’re in a palliative phase of their illness and seeking consent to use an EPaCCS doesn’t happen [WY6, hospice, West Yorkshire]

…in [our] Community Trust we’ve also got a respiratory service who are involved with people that are end stage of respiratory failure and we also have heart failure nurses and diabetic nurse specialists, and you know, those sorts of questions are talked about with patients often. But what we’re trying to do as a service in palliative care [non-specialist palliative care in Community Nurse Team] is encourage that to be done because it isn’t done as much as it should be really. You know when people are actually reaching sort of end-stage heart failure but yet nobody’s actually spoken to them about their wishes at the end of life. They feel it’s not their responsibility. [WY9, community nurse, West Yorkshire]

A concern among participants working in general practice was that it was difficult to contribute to EPaCCS because they did not always fit with their existing ways of working. Given the time constraints and competing priorities in general practice, accessing an EPaCCS record and then conducting and documenting advance care planning conversations was often seen as unmanageable and unrealistic:

we’ve only got a 10- or 15-minute window to see that patient for their current problem, so we don’t bother to update the CMC after just because of sheer time. So, unless you’re having a special CMC kind of session and you’ve dedicated a bit of time to go and do a home visit on someone or you’ve planned it in that you’re going to update the CMC and those wishes and concerns etc, that’s only when it really gets touched by the GP practice. [Lon16, GP, London]

Conversely, paramedics with access in London were likely to use EPaCCS records, typically because it helped decision-making around the urgent management of patients that they were hitherto unfamiliar with:

…we use it just as part of our decision making … I would say it’s a big part of my role… in the main bulk of my role which is in an ambulance setting I use it all the time, it’s second nature and it’s very valuable. [Lon29, paramedic, London]

Theme 5: Electronic Functionality, Interoperability, and Access

At a technical level, the integration of EPaCCS within existing electronic systems was important to their implementation. However, according to participants, this process of integration had not always occurred. Across most care settings in London, participants were frustrated that CMC was not seamlessly interoperable with existing electronic patient record systems. This lack of technical interoperability (ie, basic data exchange capabilities between systems) created a restrictive process that resulted in additional work because health care professionals had to remember (and frequently update) log-in details and enter duplicate information across different systems:

Coordinate My Care for us is a completely separate system … it doesn’t pull data from the current electronic system, you still have to kind of manually enter the patient’s name, address, NHS number … it is extra work … that kind of influence[s] how detailed a care record might be. Sometimes we will just put on the basic information that you think’s important … if it was integrated into a current kind of electronic system then I guess it would just make it easier. [Lon5, hospice community doctor, London]

In services across West Yorkshire, problems were caused by the fact that EPaCCS were embedded within several different electronic health record systems. However, because no mechanism in place allowed for the sharing of information between these systems, health care professionals could not always access relevant information from EPaCCS records when they needed it:

In this area a lot of folks were using SystmOne and we use EMIS … So, they [hospice services] can’t see what we’ve done on our system and it’s a bit messy … I know EPaCCS is supposed to be a document that everyone can access and fill in, but you can’t, ours is just on our system and ‘cos no one else can fill it in or see what’s been changed that’s where it falls down…. it is stupid that you can’t share an EPaCCS with anyone, it seems like a bit pointless [WY17, GP, West Yorkshire]

Reflexive Monitoring (“Appraisal Work”): Appraising the Value of EPaCCS—Theme 6: Confidence and Trust in EPaCCS

Participants across different regions and settings reflected on the potential value of EPaCCS as a tool that could facilitate the coordination of care. Others reflected on first-hand experiences of how EPaCCS were valuable in the context of crisis and out-of-hours care. In particular, paramedics who had access felt that EPaCCS provided vital information needed to effectively support person-centered decision-making with people whom they did not know:

If I saw a CMC for example where it was recorded that the patient had a preference for treatment care in the home, that would make it much more likely that I would dispatch one of my colleagues because we already know that that is the patient’s preferences and so as far as possible, we’re going to work to make that happen … End of life care pushes against the normal direction of paramedic care, [the] normal direction of paramedic care is rescue, save … end of life care obviously isn’t about life-saving, it’s about dignified death, symptom control management. It’s a change of thinking and so a lot of paramedics struggle with that, and I think they will look for anything that will help them guide them in that process and I think CMC is one that people are very familiar with using and generally find quite helpful. [Lon29, paramedic, London]

I’ve worked with the ambulance service in the time before it [EPaCCS] was standard practice and I would say it’s such a necessity now that we’ve got it, if we lost it I think it would literally be like losing my hand … it cuts out awkward conversations and it also cuts out us doing something that may be an issue would be against their wishes … it takes that anxiety or the uncertainty out of the what are we going to do and see what’s best for this patient. [Lon28, paramedic, London]

However, other professionals reported that EPaCCS records were sometimes of poor quality and that there were frequent problems with accessing the system. Consequently, this reduced their confidence that EPaCCS records contained sufficiently up-to-date information to support decision-making. Concerns were not about the potential of EPaCCS to improve care but regarding implementation issues such as restricted access, shareability, and inconsistent use of these records by staff. There was a fear that such problems could lead to patients receiving interventions and treatments that were against their stated and recorded wishes and preferences. This was particularly the case for paramedics who, without access to records, were more likely to make risk-averse decisions to hospitalize patients in the absence of knowing their wishes:

I can tell you categorically that we have not acted in the patient’s best interest … I’ll have taken somebody into hospital without my knowledge that [they have] an end-of-life care plan somewhere [WY21, paramedic, West Yorkshire]

Principal Results

This study explored factors that influenced the implementation of EPaCCS in routine clinical practice across different care settings in 2 major regions of England. It identifies and elaborates on challenges around the implementation of EPaCCS, including problems with access, and inconsistent use and engagement across settings. A key issue was technological limitations, with separate electronic health records often operating in parallel systems or failing to provide sufficient documentation or access. Such problems have led to the potential value of EPaCCS being unrealized.

Guided by sociotechnical systems theory [ 56 ], Figure 2 summarizes these issues by highlighting how interactions between the individual, team, organizational, and technical dimensions of EPaCCS affected implementation. The content of this figure is grounded in the data. It was generated inductively through highlighting relationships between each of our themes alongside how they related to different levels of practice. This allowed us to move beyond description by explaining linkages between themes and bringing them together in a way that tells an overarching story of health care professionals’ perspectives on the processes that influenced the implementation of EPaCCS.

Comparison With Prior Work

A key theme in this study was that limited buy-in and collective contributions to the creation, initiation, and use of EPaCCS across care settings affected implementation. Previous research has primarily used quantitative approaches to explore EPaCCS implementation, such as determining the proportion of EPaCCS records created across a specified population, and the average number of days that EPaCCS records are created before death [ 27 , 34 ]. However, our findings add novel and unique contributions by describing who initiates EPaCCS records, the factors that influence this, and the differences across regions. While some general practitioners and community nurses reported recording advance care planning discussions electronically, our study also highlights contributions made by health care professionals working across specialist palliative care settings. For some participants, providers of specialist palliative care were perceived as being better placed to initiate advance care planning conversations. A referral of a patient to specialist palliative care was perceived as affording greater time to interact with patients and other staff groups, alongside their experience in facilitating advance care planning discussions with patients and their families.

Participant experiences resonate with previously documented challenges related to advance care planning such as perceived lack of time, hesitancy in initiating conversations, and lack of care continuity [ 57 - 59 ]. Lack of clarity over who contributed to records and the timing of these contributions often resulted in poor-quality data. Such issues led to fears that EPaCCS records were incomplete or out of date, with some records being overly detailed or conversely, insufficiently informative to effectively support decision-making in out-of-hours or emergency care. The successful implementation of interventions that work across organizations (such as EPaCCS) relies on “whole systems” thinking [ 35 ]. Such implementation entails those involved in the use and implementation of EPaCCS (including commissioners and those responsible for service [re]design) accounting for the needs and influence of people working across different care settings and specialties.

In this study, care home staff reported having detailed discussions regarding residents’ wishes and preferences for care and documenting these within their own electronic systems. This aligns with previous research that the close relationships between care home staff and residents mean that staff are also well placed to have the sensitive and in-depth conversations required for advance care planning [ 60 ]. In this study, while electronic systems were reported to be used and engaged across care homes, the information contained within them was mostly inaccessible to external services. Care homes were also largely unable to access or provide helpful and detailed information from EPaCCS that could be used by other services. This highlights a key gap in the “whole systems” approach to EPaCCS. Addressing this gap is especially important given that care homes are projected to be the most common place of death in England by 2040 [ 61 ].

The implementation of EPaCCS at the individual, team, and organizational levels was affected by wider technological challenges. Issues related to the technical dimensions of EPaCCS have been well documented in the literature [ 13 , 30 , 33 , 36 ]. However, this study provides novel findings relating to health professional experiences of EPaCCS, further strengthened by its collection of data across 2 large geographical regions. This study builds on previous work and contributes details of how and why issues with access, functionality, and technical interoperability (ie, data integration, presentation, and exchange) [ 62 ] affected the implementation of EPaCCS across the United Kingdom. In London, challenges were experienced around the ability to move data between EPaCCS and existing electronic patient record systems (and vice versa) without duplication. Across West Yorkshire, a major interoperability issue was the failure of different electronic patient record systems to exchange advance care planning information. Moreover, while paramedics were most likely to use information within EPaCCS records in London to support decision-making in crisis contexts, they did not have this access across West Yorkshire. While these interoperability limitations affected health care professionals in different ways, they ultimately hindered the harnessing of the electronic information sharing and care coordination that EPaCCS is intended for.

Implications for Policy and Practice

Our findings highlight implications for practice relating to the use and implementation of electronic systems for palliative and end-of-life care. For complex interventions like EPaCCS to become normalized into everyday practice, they must fit within and enhance established systems of care [ 63 ]. It is also crucial that users can see their benefits to patient care and clinical practice compared to traditional ways of working [ 64 , 65 ]. However, these findings suggest that, in their current format, EPaCCS are not working as intended for facilitating person-centered care. Implementation challenges which resulted in missed opportunities to deliver care in line with recorded patient wishes, sometimes led to a loss of trust and confidence in EPaCCS, instead staff opted for more traditional means of communication and a return to traditional communication methods. Consequently, a redesign of EPaCCS is likely to be necessary to achieve the optimal configuration for successful implementation across different settings of care and geographical locations. To this end, we have generated a set of questions focusing on factors that were found to be influencing the uptake and use of EPaCCS across different settings of care (see Table 3 ).

While this study was conducted within England and discussed within the policy context of the United Kingdom, the policy implications have international relevance. The global strategy on digital health from the World Health Organization calls for the implementation of functional and interoperable electronic health records that can contribute to informed decision-making and high-quality, person-centered care [ 66 ]. Our findings highlight factors to consider when developing electronic systems for use in the delivery of palliative and end-of-life care. The questions presented in Table 3 , therefore, are likely to have relevance to policy makers and practitioners seeking to use and implement similar complex digital interventions (including electronic information-sharing systems) across multiple country and health care contexts. With increasing governmental policies on the development and implementation of health information technologies within the United Kingdom [ 62 ], these questions can guide efforts in the context of palliative and end-of-life care.

Strengths and Limitations

A strength and novelty of this work lies in the adoption of NPT to explain the processes across different levels of the health care system which affected whether and how EPaCCS were normalized into everyday practice. Through recruiting a wide range of health care professionals, across 5 settings of care, and 2 major regions within the United Kingdom, naturalistic generalizations [ 67 ] may be made from this work. That is, the findings of this study are likely to resonate with the personal experiences of healthcare professionals who use EPaCCS and similar health information technologies across end-of-life settings. We highlight 4 study limitations. First, we struggled to recruit community nurses across London, meaning that the application of study findings to this professional group is likely to be limited. Second, this study only sought the perspectives of health care professionals. Future research should explore patients' preferences on the content, sharing, and accessibility of their electronic records, alongside the impact of such digital interventions on the patient experience and clinical outcomes. Third, in line with other studies [ 68 ] throughout analysis, we found that the technical language of NPT and the overlapping of its components made deductively coding and interpreting data using this theoretical framework challenging. Fourth, we also appreciate that constructs comprising NPT focus on specific factors that influenced the implementation of EPaCCS in routine practice. Other implementation theories, models, and frameworks (eg, the Consolidated Framework for Implementation Research [ 69 ], Promoting Action on Research Implementation in Health Services [ 70 ], Capability, Opportunity, Motivation and Behaviour Theory [ 71 ]) may have provided different, yet equally valuable insights into answering the research question.

Conclusions

The successful implementation of digital interventions into routine care depends on the extent to which they enhance established ways of working with minimal disruption. EPaCCS represents just 1 approach to the electronic sharing of advance care plans, and other forms of digital advance care planning exist internationally. Integral to the implementation of digital advance care planning systems for palliative care is ensuring they can allow health care practitioners to document, access, use, and share information across multiple care settings. There also needs to be an effort at individual, team, and organizational levels to make sure that these tools are embedded into everyday care practices. It is paramount that they are championed within and between services, and that people know when, how, and why to use them. Commissioners, health care services, and practitioners should consider these multilevel factors when planning and rolling out digital advance care planning approaches.

Acknowledgments

This study is funded by the NIHR Health and Social Care Delivery Research Programme (NIHR129171). The views expressed are those of the authors and not necessarily those of the NIHR or the Department of Health and Social Care. MA is a University Academic Fellow, funded through a research fellowship from Yorkshire Cancer Research. We wish to acknowledge Dr Samantha Coster, our colleague at King's College London, for her support and guidance in editing this article. This manuscript is published on behalf of the wider Optimal Care project team. Members of the team who are not included as authors on this manuscript but who were coapplicants and made significant contributions to the conceptualization and design of the project include Prof Michael Bennett (University of Leeds) and Dr Samuel Relton (University of Leeds, United Kingdom). We would also like to extend specific acknowledgment and recognition of our patient and public involvement lead for the Optimal Care project, Mrs Barbara Hibbert, who supported the development of project plans, formed our patient involvement group and facilitated inclusive and insightful patient and public involvement group meetings.

Data Availability

Deidentified transcripts generated and analyzed during this study are available from the corresponding author on reasonable request.

Authors' Contributions

MJA is the grant holder and Chief Investigator and was responsible for study conceptualization and development of the study protocol, with critical input from grant coapplicants, SR, RF, MT, KES, CJE, PC, and PMM. AB and JB conducted interviews with study participants. Analysis was led by AB and conducted with critical input and supervision from JB, MT, and MA. All authors had access to all study data, discussed the interpretation of findings, take responsibility for data integrity and analysis, contributed to the analysis plan, and provided critical comments and contributed to the writing and development of the manuscript. All authors reviewed the final manuscript. Artificial Intelligence was not used to generate any portions of the submitted manuscript.

Conflicts of Interest

This study is funded by the NIHR Health and Social Care Delivery Research Programme (NIHR129171). The views expressed are those of the authors and not necessarily those of the NIHR or the Department of Health and Social Care. KES is the Laing Galazka chair at King’s College London, funded through an endowment from Cicely Saunders International and the Kirby Laing Foundation. MJA is a University Academic Fellow, funded through a research fellowship from Yorkshire Cancer Research. RF receives funding from the UK National Institute for Health and Care Research and is chair of the National Institute for Health and Care Excellence Implementation Strategy Group. We wish to acknowledge Dr Samantha Coster, our colleague at King's College London, for her support and guidance in editing this article. This manuscript is published on behalf of the wider Optimal Care project team. Members of the team who are not included as authors on this manuscript but who were coapplicants and made significant contributions to the conceptualization and design of the project include Prof Michael Bennett (University of Leeds) and Dr Samuel Relton (University of Leeds, United Kingdom). We would also like to extend specific acknowledgment and recognition of our patient and public involvement lead for the Optimal Care project, Mrs Barbara Hibbert, who supported the development of project plans, formed our patient involvement group and facilitated inclusive and insightful patient and public involvement group meetings.

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Abbreviations

Edited by A Mavragani; submitted 23.06.23; peer-reviewed by C Laranjeira, T Phenwan; comments to author 14.09.23; revised version received 18.10.23; accepted 30.05.24; published 16.08.24.

©Andy Bradshaw, Jacqueline Birtwistle, Catherine J Evans, Katherine E Sleeman, Suzanne Richards, Robbie Foy, Pablo Millares Martin, Paul Carder, Matthew J Allsop, Maureen Twiddy. Originally published in the Journal of Medical Internet Research (https://www.jmir.org), 16.08.2024.

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