how to write research problem in research

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Identifying a Research Problem: A Step-by-Step Guide

The first and perhaps most important step in the research process is identifying a research problem. This step sets the foundation for all subsequent research activities and largely determines the success of your scholarly work.

This guide provides a comprehensive overview of the steps involved in identifying a research problem, from understanding its essence to employing advanced strategies for refinement.

Key Takeaways

• Remember: Grasping the definition and importance of a research problem isn't just a step—it's crucial for your academic success.
• Exploring various sources, like literature reviews and expert consultations, can guide you in formulating a solid research problem.
• A clear problem statement, aligned research objectives, and well-defined questions are crucial for a focused study.
• Evaluating the feasibility and potential impact of a research problem ensures its relevance and scope.
• Advanced strategies, including interdisciplinary approaches and technology utilization, can enhance the identification and refinement of research problems.

Understanding the Essence of Identifying a Research Problem

Defining the research problem.

A research problem is the focal point of any academic inquiry. It is a concise and well-defined statement that outlines the specific issue or question that the research aims to address. This research problem usually sets the tone for the entire study and provides you, the researcher, with a clear purpose and a clear direction on how to go about conducting your research.

Importance in Academic Research

It also demonstrates the significance of your research and its potential to contribute new knowledge to the existing body of literature in the world. A compelling research problem not only captivates the attention of your peers but also lays the foundation for impactful and meaningful research outcomes.

Initial Steps to Identification

To identify a research problem, you need a systematic approach and a deep understanding of the subject area. Below are some steps to guide you in this process:

• Conduct a thorough literature review to understand what has been studied before.
• Identify gaps in the existing research that could form the basis of your study.
• Consult with academic mentors to refine your ideas and approach.

Exploring Sources for Research Problem Identification

Literature review.

When you embark on the journey of identifying a research problem, a thorough literature review is indispensable. This process involves scrutinizing existing research to find literature gaps and unexplored areas that could form the basis of your research. It's crucial to analyze recent studies, seminal works, and review articles to ensure a comprehensive understanding of the topic.

Existing Theories and Frameworks

The exploration of existing theories and frameworks provides a solid foundation for developing a research problem. By understanding the established models and theories, you can identify inconsistencies or areas lacking in depth which might offer fruitful avenues for research.

Consultation with Academic Mentors

Engaging with academic mentors is vital in shaping a well-defined research problem. Their expertise can guide you through the complexities of your field, offering insights into feasible research questions and helping you refine your focus. This interaction often leads to the identification of unique and significant research opportunities that align with current academic and industry trends.

Formulating the Research Problem

Crafting a clear problem statement.

To effectively address your research problem, start by crafting a clear problem statement . This involves succinctly describing who is affected by the problem, why it is important, and how your research will contribute to solving it. Ensure your problem statement is concise and specific to guide the entire research process.

Setting Research Objectives

Setting clear research objectives is crucial for maintaining focus throughout your study. These objectives should directly align with the problem statement and guide your research activities. Consider using a bulleted list to outline your main objectives:

• Understand the underlying factors contributing to the problem
• Explore potential solutions
• Evaluate the effectiveness of proposed solutions

Determining Research Questions

The formulation of precise research questions is a pivotal step in defining the scope and direction of your study. These questions should be directly derived from your research objectives and designed to be answerable through your chosen research methods. Crafting well-defined research questions will help you maintain a clear focus and avoid common pitfalls in the research process.

How to Evaluate the Scope and Relevance of Your Research Problem

Feasibility assessment.

Before you finalize a research problem, it is crucial to assess its feasibility. Consider the availability of resources, time, and expertise required to conduct the research. Evaluate potential constraints and determine if the research problem can be realistically tackled within the given limitations.

Significance to the Field

Ask yourself: Does my research problem have a clear and direct impact on my field? How will it contribute to advancing knowledge? It should aim to contribute to existing knowledge and address a real-world issue that is relevant to your academic discipline.

Potential Impact on Existing Knowledge

The potential impact of your research problem on existing knowledge cannot be understated. It should challenge, extend, or refine current understanding in a meaningful way. Consider how your research can add value to the existing body of work and potentially lead to significant advancements in your field.

Techniques for Refining the Research Problem

Narrowing down the focus.

To effectively refine your research problem, start by narrowing down the focus . This involves pinpointing the specific aspects of your topic that are most significant and ensuring that your research problem is not too broad. This targeted approach helps in identifying knowledge gaps and formulating more precise research questions.

Incorporating Feedback

Feedback is crucial in the refinement process. Engage with academic mentors, peers, and experts in your field to gather insights and suggestions. This collaborative feedback can lead to significant improvements in your research problem, making it more robust and relevant.

Iterative Refinement Process

Refinement should be seen as an iterative process, where you continuously refine and revise your research problem based on new information and feedback. This approach ensures that your research problem remains aligned with current trends and academic standards, ultimately enhancing its feasibility and relevance.

Challenges in Identifying a Research Problem

Common pitfalls and how to avoid them.

Identifying a research problem can be fraught with common pitfalls such as selecting a topic that is too broad or too narrow. To avoid these, you should conduct a thorough literature review and seek feedback from peers and mentors. This proactive approach ensures that your research question is both relevant and manageable.

Dealing with Ambiguity

Ambiguity in defining the research problem can lead to significant challenges down the line. Ensure clarity by operationalizing variables and explicitly stating the research objectives. This clarity will guide your entire research process, making it more structured and focused.

Balancing Novelty and Practicality

While it's important to address a novel issue in your research, practicality should not be overlooked. A research problem should not only contribute new knowledge but also be feasible and have clear implications. Balancing these aspects often requires iterative refinement and consultation with academic mentors to align your research with real-world applications.

Advanced Strategies for Identifying a Research Problem

Interdisciplinary approaches.

Embrace the power of interdisciplinary approaches to uncover unique and comprehensive research problems. By integrating knowledge from various disciplines, you can address complex issues that single-field studies might overlook. This method not only broadens the scope of your research but also enhances its applicability and depth.

Utilizing Technology and Data Analytics

Leverage technology and data analytics to refine and identify research problems with precision. Advanced tools like machine learning and big data analysis can reveal patterns and insights that traditional methods might miss. This approach is particularly useful in fields where large datasets are involved, or where real-time data integration can lead to more dynamic research outcomes.

Engaging with Industry and Community Needs

Focus on the needs of industry and community to ensure your research is not only academically sound but also practically relevant. Engaging with real-world problems can provide a rich source of research questions that are directly applicable and beneficial to society. This strategy not only enhances the relevance of your research but also increases its potential for impact.

Dive into the world of academic success with our 'Advanced Strategies for Identifying a Research Problem' at Research Rebels. Our expertly crafted guides and action plans are designed to simplify your thesis journey, transforming complex academic challenges into manageable tasks. Don't wait to take control of your academic future. Visit our website now to learn more and claim your special offer! 

Struggling to Navigate the Complexities of Identifying a Research Problem?

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In conclusion, identifying a research problem is a foundational step in the academic research process that requires careful consideration and systematic approach. This guide has outlined the essential steps involved, from understanding the context and reviewing existing literature to formulating clear research questions. By adhering to these guidelines, researchers can ensure that their studies are grounded in a well-defined problem, enhancing the relevance and impact of their findings. It is crucial for scholars to approach this task with rigor and critical thinking to contribute meaningfully to the body of knowledge in their respective fields. 

Frequently Asked Questions

What is a research problem.

A research problem is a specific issue, inconsistency, or gap in knowledge that needs to be addressed through scientific inquiry. It forms the foundation of a research study, guiding the research questions, methodology, and analysis.

Why is identifying a research problem important?

Identifying a research problem is crucial as it determines the direction and scope of the study. It helps researchers focus their inquiry, formulate hypotheses, and contribute to the existing body of knowledge.

How do I identify a suitable research problem?

To identify a suitable research problem, start with a thorough literature review to understand existing research and identify gaps. Consult with academic mentors, and consider relevance, feasibility, and your own interests.

What are some common pitfalls in identifying a research problem?

Common pitfalls include choosing a problem that is too broad or too narrow, not aligning with existing literature, lack of originality, and failing to consider the practical implications and feasibility of the study.

Can technology help in identifying a research problem?

Yes, technology and data analytics can aid in identifying research problems by providing access to a vast amount of data, revealing patterns and trends that might not be visible otherwise. Tools like digital libraries and research databases are particularly useful.

How can I refine my research problem?

Refine your research problem by narrowing its focus, seeking feedback from peers and mentors, and continually reviewing and adjusting the problem statement based on new information and insights gained during preliminary research.

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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 ...

I APPRECIATE YOUR CONCISE AND MIND-CAPTIVATING INSIGHTS ON THE STATEMENT OF PROBLEMS. PLEASE I STILL NEED SOME SAMPLES RELATED TO SUICIDES.

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Your videos and information have been a life saver for me throughout my dissertation journey. I wish I’d discovered them sooner. Thank you!

Very interesting. Thank you. Please I need a PhD topic in climate change in relation to health.

Your posts have provided a clear, easy to understand, motivating literature, mainly when these topics tend to be considered “boring” in some careers.

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

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

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

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

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

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

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

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

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

What is a Problem Statement?

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

Research Problem and Research Method – A Cyclical Process

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

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

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

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

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

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

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

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

Writing Problem Statement for a Business or Organisation

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

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

Writing Problem Statement for Academic Research

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Problem Statement – How to Write it

Ask yourself the following questions before writing the problem statement:

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

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

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

Step 1: Understanding the Problem

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

Practical Research Problem Statement

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

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

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

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

Example of Practical Research Problem Statement

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

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

Theoretical Research Problem Statement

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

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

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

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

Example of Theoretical Research Problem Statement

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

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Step 2 – Show why it’s Important and Relevant

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

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

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

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

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

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

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

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

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

Also see: How to Write the Abstract for Dissertation

Step 3 – Declaring the Problem

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

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

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

Step 4 – Establishing Aim and Objectives

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

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

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

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

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

Some more examples are:

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

Practical Research Aim and Objectives

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

Theoretical Research Aim and Objectives

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

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

Also see: Argumentative Essay Writing Service

Problem Statement versus Significance of the Study

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

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

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

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

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

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

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

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

Frequently Asked Questions

Is it necessary to write a problem statement.

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

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

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

What is a practical research problem?

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

What is a theoretical research problem?

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

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

Table of Contents

What Is a Research Problem Statement?

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

To write a research problem statement, you should:

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

An Example of a Research Problem Statement

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

When to Write a Problem Statement in Research?

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

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

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

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

What Does a Research Problem Statement Include?

A research problem statement typically includes the following elements:

1. The research topic:

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

2. The specific problem or issue:

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

3. The significance of the problem:

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

4. The research questions:

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

5. The research objectives:

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

6. The scope of the research:

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

7. The theoretical framework:

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

8. The research design:

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

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

Important Features of Research Problem Statement

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

2. Specificity

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

3. Significance

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

4. Relevance

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

5. Research questions

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

6. Research objectives

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

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

8. Theoretical framework

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

9. Research design

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

Difference Between a Thesis Statement and a Problem Statement

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

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

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

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

In Conclusion

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

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

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Educational resources and simple solutions for your research journey

What is a Research Problem? Characteristics, Types, and Examples

A research problem is a gap in existing knowledge, a contradiction in an established theory, or a real-world challenge that a researcher aims to address in their research. It is at the heart of any scientific inquiry, directing the trajectory of an investigation. The statement of a problem orients the reader to the importance of the topic, sets the problem into a particular context, and defines the relevant parameters, providing the framework for reporting the findings. Therein lies the importance of research problem s.  

The formulation of well-defined research questions is central to addressing a research problem . A research question is a statement made in a question form to provide focus, clarity, and structure to the research endeavor. This helps the researcher design methodologies, collect data, and analyze results in a systematic and coherent manner. A study may have one or more research questions depending on the nature of the study.   

Identifying and addressing a research problem is very important. By starting with a pertinent problem , a scholar can contribute to the accumulation of evidence-based insights, solutions, and scientific progress, thereby advancing the frontier of research. Moreover, the process of formulating research problems and posing pertinent research questions cultivates critical thinking and hones problem-solving skills.   

Table of Contents

What is a Research Problem ?  

Before you conceive of your project, you need to ask yourself “ What is a research problem ?” A research problem definition can be broadly put forward as the primary statement of a knowledge gap or a fundamental challenge in a field, which forms the foundation for research. Conversely, the findings from a research investigation provide solutions to the problem .  

A research problem guides the selection of approaches and methodologies, data collection, and interpretation of results to find answers or solutions. A well-defined problem determines the generation of valuable insights and contributions to the broader intellectual discourse.  

Characteristics of a Research Problem  

Knowing the characteristics of a research problem is instrumental in formulating a research inquiry; take a look at the five key characteristics below:  

Novel : An ideal research problem introduces a fresh perspective, offering something new to the existing body of knowledge. It should contribute original insights and address unresolved matters or essential knowledge.   

Significant : A problem should hold significance in terms of its potential impact on theory, practice, policy, or the understanding of a particular phenomenon. It should be relevant to the field of study, addressing a gap in knowledge, a practical concern, or a theoretical dilemma that holds significance.  

Feasible: A practical research problem allows for the formulation of hypotheses and the design of research methodologies. A feasible research problem is one that can realistically be investigated given the available resources, time, and expertise. It should not be too broad or too narrow to explore effectively, and should be measurable in terms of its variables and outcomes. It should be amenable to investigation through empirical research methods, such as data collection and analysis, to arrive at meaningful conclusions A practical research problem considers budgetary and time constraints, as well as limitations of the problem . These limitations may arise due to constraints in methodology, resources, or the complexity of the problem.  

Clear and specific : A well-defined research problem is clear and specific, leaving no room for ambiguity; it should be easily understandable and precisely articulated. Ensuring specificity in the problem ensures that it is focused, addresses a distinct aspect of the broader topic and is not vague.  

Rooted in evidence: A good research problem leans on trustworthy evidence and data, while dismissing unverifiable information. It must also consider ethical guidelines, ensuring the well-being and rights of any individuals or groups involved in the study.

Types of Research Problems  

Across fields and disciplines, there are different types of research problems . We can broadly categorize them into three types.  

• Theoretical research problems

Theoretical research problems deal with conceptual and intellectual inquiries that may not involve empirical data collection but instead seek to advance our understanding of complex concepts, theories, and phenomena within their respective disciplines. For example, in the social sciences, research problem s may be casuist (relating to the determination of right and wrong in questions of conduct or conscience), difference (comparing or contrasting two or more phenomena), descriptive (aims to describe a situation or state), or relational (investigating characteristics that are related in some way).  

Here are some theoretical research problem examples :   

• Ethical frameworks that can provide coherent justifications for artificial intelligence and machine learning algorithms, especially in contexts involving autonomous decision-making and moral agency.  
• Determining how mathematical models can elucidate the gradual development of complex traits, such as intricate anatomical structures or elaborate behaviors, through successive generations.  
• Applied research problems

Applied or practical research problems focus on addressing real-world challenges and generating practical solutions to improve various aspects of society, technology, health, and the environment.  

Here are some applied research problem examples :   

• Studying the use of precision agriculture techniques to optimize crop yield and minimize resource waste.  
• Designing a more energy-efficient and sustainable transportation system for a city to reduce carbon emissions.  
• Action research problems

Action research problems aim to create positive change within specific contexts by involving stakeholders, implementing interventions, and evaluating outcomes in a collaborative manner.  

Here are some action research problem examples :   

• Partnering with healthcare professionals to identify barriers to patient adherence to medication regimens and devising interventions to address them.  
• Collaborating with a nonprofit organization to evaluate the effectiveness of their programs aimed at providing job training for underserved populations.  

These different types of research problems may give you some ideas when you plan on developing your own.  

How to Define a Research Problem  

You might now ask “ How to define a research problem ?” These are the general steps to follow:   

• Look for a broad problem area: Identify under-explored aspects or areas of concern, or a controversy in your topic of interest. Evaluate the significance of addressing the problem in terms of its potential contribution to the field, practical applications, or theoretical insights.
• Learn more about the problem: Read the literature, starting from historical aspects to the current status and latest updates. Rely on reputable evidence and data. Be sure to consult researchers who work in the relevant field, mentors, and peers. Do not ignore the gray literature on the subject.
• Identify the relevant variables and how they are related: Consider which variables are most important to the study and will help answer the research question. Once this is done, you will need to determine the relationships between these variables and how these relationships affect the research problem . 
• Think of practical aspects : Deliberate on ways that your study can be practical and feasible in terms of time and resources. Discuss practical aspects with researchers in the field and be open to revising the problem based on feedback. Refine the scope of the research problem to make it manageable and specific; consider the resources available, time constraints, and feasibility.
• Formulate the problem statement: Craft a concise problem statement that outlines the specific issue, its relevance, and why it needs further investigation.
• Stick to plans, but be flexible: When defining the problem , plan ahead but adhere to your budget and timeline. At the same time, consider all possibilities and ensure that the problem and question can be modified if needed.

Key Takeaways  

• A research problem concerns an area of interest, a situation necessitating improvement, an obstacle requiring eradication, or a challenge in theory or practical applications.   
• The importance of research problem is that it guides the research and helps advance human understanding and the development of practical solutions.  
• Research problem definition begins with identifying a broad problem area, followed by learning more about the problem, identifying the variables and how they are related, considering practical aspects, and finally developing the problem statement.  
• Different types of research problems include theoretical, applied, and action research problems , and these depend on the discipline and nature of the study.  
• An ideal problem is original, important, feasible, specific, and based on evidence.  

Frequently Asked Questions  

Why is it important to define a research problem?  

Identifying potential issues and gaps as research problems is important for choosing a relevant topic and for determining a well-defined course of one’s research. Pinpointing a problem and formulating research questions can help researchers build their critical thinking, curiosity, and problem-solving abilities.   

How do I identify a research problem?  

Identifying a research problem involves recognizing gaps in existing knowledge, exploring areas of uncertainty, and assessing the significance of addressing these gaps within a specific field of study. This process often involves thorough literature review, discussions with experts, and considering practical implications.  

Can a research problem change during the research process?  

Yes, a research problem can change during the research process. During the course of an investigation a researcher might discover new perspectives, complexities, or insights that prompt a reevaluation of the initial problem. The scope of the problem, unforeseen or unexpected issues, or other limitations might prompt some tweaks. You should be able to adjust the problem to ensure that the study remains relevant and aligned with the evolving understanding of the subject matter.

How does a research problem relate to research questions or hypotheses?  

A research problem sets the stage for the study. Next, research questions refine the direction of investigation by breaking down the broader research problem into manageable components. Research questions are formulated based on the problem , guiding the investigation’s scope and objectives. The hypothesis provides a testable statement to validate or refute within the research process. All three elements are interconnected and work together to guide the research.  

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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.

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In the social and behavioral sciences, the subject of analysis is most often framed as a problem that must be researched in order to obtain a greater understanding, formulate a set of solutions or recommended courses of action, and/or develop a more effective approach to practice. The research problem, therefore, is the main organizing principle guiding the analysis of your research. The problem under investigation establishes an occasion for writing and a focus that governs what you want to say. It represents the core subject matter of scholarly communication and the means by which scholars arrive at other topics of conversation and the discovery of new knowledge and understanding.

Alvesson, Mats and Jörgen Sandberg. Constructing Research Questions: Doing Interesting Research . London: Sage, 2013; Jacobs, Ronald L. “Developing a Dissertation Research Problem: A Guide for Doctoral Students in Human Resource Development and Adult Education.” New Horizons in Adult Education and Human Resource Development 25 (Summer 2013): 103-117; Chapter 1: Research and the Research Problem. Nicholas Walliman . Your Research Project: Designing and Planning Your Work . 3rd edition. Thousand Oaks, CA: Sage Publications, 2011.

Choosing a Research Problem / How to Begin

Do not assume that identifying a research problem to investigate will be a quick and easy task! You should be thinking about it during the beginning of the course. There are generally three ways you are asked to write about a research problem : 1) your professor provides you with a general topic from which you study a particular aspect; 2) your professor provides you with a list of possible topics to study and you choose a topic from that list; or, 3) your professor leaves it up to you to choose a topic and you only have to obtain permission to write about it before beginning your investigation. Here are some strategies for getting started for each scenario.

I.  How To Begin:  You are given the topic to write about

Step 1 : Identify concepts and terms that make up the topic statement . For example, your professor wants the class to focus on the following research problem: “Is the European Union a credible security actor with the capacity to contribute to confronting global terrorism?" The main concepts in this problem are: European Union, security, global terrorism, credibility [ hint : focus on identifying proper nouns, nouns or noun phrases, and action verbs in the assignment description]. Step 2 : Review related literature to help refine how you will approach examining the topic and finding a way to analyze it . You can begin by doing any or all of the following: reading through background information from materials listed in your course syllabus; searching the USC Libraries Catalog to find a recent book on the topic and, if appropriate, more specialized works about the topic; conducting a preliminary review of the research literature using multidisciplinary databases such as ProQuest or subject-specific databases from the " By Subject Area " drop down menu located above the list of databases.

Choose the advanced search option in the database and enter into each search box the main concept terms you developed in Step 1. Also consider using their synonyms to retrieve additional relevant records. This will help you refine and frame the scope of the research problem. You will likely need to do this several times before you can finalize how to approach writing about the topic. NOTE: Always review the references from your most relevant research results cited by the authors in footnotes, endnotes, or a bibliography to locate related research on your topic. This is a good strategy for identifying important prior research about the topic because titles that are repeatedly cited indicate their significance in laying a foundation for understanding the problem. However, if you’re having trouble at this point locating relevant research literature, ask a librarian for help!

ANOTHER NOTE:   If you find an article from a database that's particularly helpful, paste it into Google Scholar , placing the title of the article in quotes. If the article record appears, look for a "cited by" reference followed by a number [e.g., C ited by 37] just below the record. This link indicates how many times other scholars have subsequently cited that article in their own research since it was first published. This is an effective strategy for identifying more current, related research on your topic. Finding additional cited by references from your original list of cited by references helps you navigate through the literature and, by so doing, understand the evolution of thought around a particular research problem. Step 3 : Since social science research papers are generally designed to encourage you to develop your own ideas and arguments, look for sources that can help broaden, modify, or strengthen your initial thoughts and arguments. For example, if you decide to argue that the European Union is inadequately prepared to take on responsibilities for broader global security because of the debt crisis in many EU countries, then focus on identifying sources that support as well as refute this position. From the advanced search option in ProQuest , a sample search would use "European Union" in one search box, "global security" in the second search box, and adding a third search box to include "debt crisis."

There are least four appropriate roles your related literature plays in helping you formulate how to begin your analysis :

• Sources of criticism -- frequently, you'll find yourself reading materials that are relevant to your chosen topic, but you disagree with the author's position. Therefore, one way that you can use a source is to describe the counter-argument, provide evidence from your own review of the literature as to why the prevailing argument is unsatisfactory, and to discuss how your approach is more appropriate based upon your interpretation of the evidence.
• Sources of new ideas -- while a general goal in writing college research papers in the social sciences is to examine a research problem with some basic idea of what position you'd like to take and on what basis you'd like to defend your position, it is certainly acceptable [and often encouraged] to read the literature and extend, modify, and refine your own position in light of the ideas proposed by others.
• Sources for historical context -- another role your related literature plays in formulating how to begin your analysis is to place issues and events in proper historical context. This can help to demonstrate familiarity with developments in relevant scholarship about your topic, provide a means of comparing historical versus contemporary issues and events, and identifying key people, places, and events that had an important role related to the research problem. Given its archival journal coverage, a good multidisciplinary database to use in this case is JSTOR .
• Sources of interdisciplinary insight -- an advantage of using databases like ProQuest to begin exploring your topic is that it covers publications from a variety of different disciplines. Another way to formulate how to study the topic is to look at it from different disciplinary perspectives. If the topic concerns immigration reform, for example, ask yourself, how do studies from sociological journals found by searching ProQuest vary in their analysis from those in political science journals. A goal in reviewing related literature is to provide a means of approaching a topic from multiple perspectives rather than the perspective offered from just one discipline.

NOTE: Remember to keep careful notes at every stage or utilize a citation management system like EndNotes or RefWorks . You may think you'll remember what you have searched and where you found things, but it’s easy to forget or get confused. Most databases have a search history feature that allows you to go back and see what searches you conducted previously as long as you haven't closed your session. If you start over, that history could be deleted.

Step 4 : Assuming you have done an effective job of synthesizing and thinking about the results of your initial search for related literature, you're ready to prepare a detailed outline for your paper that lays the foundation for a more in-depth and focused review of relevant research literature [after consulting with a librarian, if needed!]. How will you know you haven't done an effective job of synthesizing and thinking about the results of our initial search for related literature? A good indication is that you start composing the outline and gaps appear in how you want to approach the study. This indicates the need to gather further background information and analysis about the research problem.

II.  How To Begin:  You are provided a list of possible topics to choose from Step 1 : I know what you’re thinking--which topic on this list will be the easiest to find the most information on? An effective instructor would never include a topic that is so obscure or complex that no research is available to examine and from which to design an effective study. Therefore, don't approach a list of possible topics to study from the perspective of trying to identify the path of least resistance; choose a topic that you find interesting in some way, that is controversial and that you have a strong opinion about, that has some personal meaning for you, or relates to your major or a minor. You're going to be working on the topic for quite some time, so choose one that you find interesting and engaging or that motivates you to take a position. Embrace the opportunity to learn something new! Once you’ve settled on a topic of interest from the list provided by your professor, follow Steps 1 - 4 listed above to further develop it into a research paper.

NOTE: It’s ok to review related literature to help refine how you will approach analyzing a topic, and then discover that the topic isn’t all that interesting to you. In that case, choose a different topic from the list. Just don’t wait too long to make a switch and, of course, be sure to inform your professor that you are changing your topic.

III.  How To Begin:  Your professor leaves it up to you to choose a topic

Step 1 : Under this scenario, the key process is turning an idea or general thought into a topic that can be configured into a research problem. When given an assignment where you choose the topic, don't begin by thinking about what to write about, but rather, ask yourself the question, "What do I want to understand or learn about?" Treat an open-ended research assignment as an opportunity to gain new knowledge about something that's important or exciting to you in the context of the overall subject of the course.

Step 2 : If you lack ideas, or wish to gain focus, try any or all of the following strategies:

• Review your course readings, particularly the suggested readings, for topic ideas. Don't just review what you've already read, but jump ahead in the syllabus to readings that have not been covered yet.
• Search the USC Libraries Catalog for a recently published book and, if appropriate, more specialized works related to the discipline area of the course [e.g., for the course SOCI 335: Society and Population, search for books on "population and society" or "population and social impact"]. Reviewing the contents of a book about your area of interest can give you insight into what conversations scholars are having about the topic and, thus, how you might want to contribute your own ideas to these conversations through the research paper you write for the class.
• Browse through some current scholarly [a.k.a., academic, peer reviewed] journals in your subject discipline. Even if most of the articles are not relevant, you can skim through the contents quickly. You only need one to be the spark that begins the process of wanting to learn more about a topic. Consult with a librarian and/or your professor about what constitutes the core journals within the subject area of the writing assignment.
• Think about essays you have written for other courses you have taken or academic lectures and programs you have attended outside of class. Thinking back, ask yourself why did you want to take this class or attend this event? What interested you the most? What would you like to know more about? Place this question in the context of the current course assignment. Note that this strategy also applies to anything you've watched on TV or has been shared on social media.
• Search online news media sources, such as CNN , the Los Angeles Times , Huffington Post , MSNBC , Fox News , or Newsweek , to see if your idea has been covered by the media. Use this coverage to refine your idea into something that you'd like to investigate further, but in a more deliberate, scholarly way in relation to a particular problem that needs to be researched.

Step 3 : To build upon your initial idea, use the suggestions under this tab to help narrow , broaden , or increase the timeliness of your idea so you can write it out as a research problem.

Once you are comfortable with having turned your idea into a research problem, follow Steps 1 - 4 listed in Part I above to further develop it into an outline for a research paper.

Alderman, Jim. "Choosing a Research Topic." Beginning Library and Information Systems Strategies. Paper 17. Jacksonville, FL: University of North Florida Digital Commons, 2014; Alvesson, Mats and Jörgen Sandberg. Constructing Research Questions: Doing Interesting Research . London: Sage, 2013; Chapter 2: Choosing a Research Topic. Adrian R. Eley. Becoming a Successful Early Career Researcher . New York: Routledge, 2012; Answering the Question. Academic Skills Centre. University of Canberra; Brainstorming. Department of English Writing Guide. George Mason University; Brainstorming. The Writing Center. University of North Carolina; Chapter 1: Research and the Research Problem. Nicholas Walliman . Your Research Project: Designing and Planning Your Work . 3rd edition. Thousand Oaks, CA: Sage Publications, 2011; Choosing a Topic. The Writing Lab and The OWL. Purdue University;  Mullaney, Thomas S. and Christopher Rea. Where Research Begins: Choosing a Research Project That Matters to You (and the World) . Chicago, IL: University of Chicago Press, 2022; Coming Up With Your Topic. Institute for Writing Rhetoric. Dartmouth College; How To Write a Thesis Statement. Writing Tutorial Services, Center for Innovative Teaching and Learning. Indiana University; Identify Your Question. Start Your Research. University Library, University of California, Santa Cruz; The Process of Writing a Research Paper. Department of History. Trent University; Trochim, William M.K. Problem Formulation. Research Methods Knowledge Base. 2006.

Resources for Identifying a Topic

Resources for Identifying a Research Problem

If you are having difficulty identifying a topic to study or need basic background information, the following web resources and databases can be useful:

• CQ Researcher -- a collection of single-themed public policy reports that provide an overview of an issue. Each report includes background information, an assessment of the current policy situation, statistical tables and maps, pro/con statements from representatives of opposing positions, and a bibliography of key sources.
• New York Times Topics -- each topic page collects news articles, reference and archival information, photos, graphics, audio and video files. Content is available without charge on articles going back to 1981.
• Opposing Viewpoints In Context -- an online resource covering a wide range of social issues from a variety of perspectives. The database contains a media-rich collection of materials, including pro/con viewpoint essays, topic overviews, primary source materials, biographies of social activists and reformers, journal articles, statistical tables, charts and graphs, images, videos, and podcasts.
• Policy Commons -- platform for objective, fact-based research from the world’s leading policy experts, nonpartisan think tanks, and intergovernmental and non-governmental organizations. The database provides advanced searching across millions of pages of books, articles, working papers, reports, policy briefs, data sets, tables, charts, media, case studies, and statistical publications, including archived reports from more than 200 defunct think tanks. Coverage is international in scope.

Descriptions of resources are adapted or quoted from vendor websites.

Writing Tip

Not Finding Anything on Your Topic? Ask a Librarian!

Don't assume or jump to the conclusion that your topic is too narrowly defined or obscure just because your initial search has failed to locate any relevant studies. Librarians are experts in locating and critically assessing information and how it is organized. This information will help you develop strategies for analyzing existing knowledge in new ways. Therefore, always consult with a librarian before you consider giving up on finding information about what you want to investigate. If there isn't a lot of information about your topic, a librarian can help you identify a closely related topic to study. Use the Ask-A-Librarian link above to either chat with a librarian, send a general email to the librarians, or identify a subject expert librarian related to the course you are taking.

Another Writing Tip

A Research Problem is Not the Thesis Statement

A thesis statement and a research problem are two different parts of the introduction section of your paper. The thesis statement succinctly describes in one or two sentences, usually in the last paragraph of the introduction, what position you have reached about a topic. It includes an assertion that requires evidence and support, along with your argument about what you are researching and why. There are three general types of thesis statements that are intended to set forth a claim that you will seek to validate through the research you describe in your paper :

1) analytical statements that break down and evaluate the topic;

2) expository statements that present facts and research about the topic; and,

3) argumentative statements that make a claim about the topic and defend that claim. An  argumentative thesis statement is the most common type of statement required in social sciences writing assignments.

Before the thesis statement, however, your introduction must include a statement about a problem in which you describe either a key area of concern, a condition to be improved upon, a difficulty to be eliminated, or a troubling issue that exists . The research problem describes something that can be empirically verified and measured and is often followed by a set of questions that underpin how you plan to approach investigating that problem. In short, the thesis statement presents your argument about the research problem and summarizes how you plan to address it.

Tips and Examples for Writing Thesis Statements. The Writing Lab and The OWL. Purdue University; Write a Strong Thesis Statement! The Writing Center, University of Evansville; Thesis Statements. The Writing Center. University of North Carolina; Tutorial #26: Thesis Statements and Topic Sentences. Writing Center, College of San Mateo; Creswell,  John W. and J. David Creswell. Research Design: Qualitative, Quantitative, and Mixed Methods Approaches . 5th edition. Thousand Oaks, CA: SAGE Publications, 2017.

Still Another Writing Tip

Don't be a Martyr!

In thinking about what to study, don't adopt the mindset of pursuing an esoteric or overly complicated topic just to impress your professor but that, in reality, does not have any real interest to you. Choose a topic that is challenging, but that has at least some interest to you or is something that you care about. Obviously, this is easier for courses within your major, but even for those nasty general education classes that you must take in order to graduate [and that provide an additional tuition revenue for the university], try to apply perspectives to the writing assignment that reflect your major.

For example, if you are an international relations major taking a GE philosophy class where the assignment asks you to apply the question of "what is truth" to some aspect of life, you could choose to study how government leaders attempt to shape truth through the use of nationalistic propaganda. Using this approach will not only help you engage with class assignment, but it can create opportunities to understand research problems within your major from an interdisciplinary perspective.

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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.

The AJE Team

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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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Identifying and Formulating the Research Problem

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Home » Research Problem – Examples, Types and Guide

Research Problem – Examples, Types and Guide

Table of Contents

Research Problem

Definition:

Research problem is a specific and well-defined issue or question that a researcher seeks to investigate through research. It is the starting point of any research project, as it sets the direction, scope, and purpose of the study.

Types of Research Problems

Types of Research Problems are as follows:

Descriptive problems

These problems involve describing or documenting a particular phenomenon, event, or situation. For example, a researcher might investigate the demographics of a particular population, such as their age, gender, income, and education.

Exploratory problems

These problems are designed to explore a particular topic or issue in depth, often with the goal of generating new ideas or hypotheses. For example, a researcher might explore the factors that contribute to job satisfaction among employees in a particular industry.

Explanatory Problems

These problems seek to explain why a particular phenomenon or event occurs, and they typically involve testing hypotheses or theories. For example, a researcher might investigate the relationship between exercise and mental health, with the goal of determining whether exercise has a causal effect on mental health.

Predictive Problems

These problems involve making predictions or forecasts about future events or trends. For example, a researcher might investigate the factors that predict future success in a particular field or industry.

Evaluative Problems

These problems involve assessing the effectiveness of a particular intervention, program, or policy. For example, a researcher might evaluate the impact of a new teaching method on student learning outcomes.

How to Define a Research Problem

Defining a research problem involves identifying a specific question or issue that a researcher seeks to address through a research study. Here are the steps to follow when defining a research problem:

• Identify a broad research topic : Start by identifying a broad topic that you are interested in researching. This could be based on your personal interests, observations, or gaps in the existing literature.
• Conduct a literature review : Once you have identified a broad topic, conduct a thorough literature review to identify the current state of knowledge in the field. This will help you identify gaps or inconsistencies in the existing research that can be addressed through your study.
• Refine the research question: Based on the gaps or inconsistencies identified in the literature review, refine your research question to a specific, clear, and well-defined problem statement. Your research question should be feasible, relevant, and important to the field of study.
• Develop a hypothesis: Based on the research question, develop a hypothesis that states the expected relationship between variables.
• Define the scope and limitations: Clearly define the scope and limitations of your research problem. This will help you focus your study and ensure that your research objectives are achievable.
• Get feedback: Get feedback from your advisor or colleagues to ensure that your research problem is clear, feasible, and relevant to the field of study.

Components of a Research Problem

The components of a research problem typically include the following:

• Topic : The general subject or area of interest that the research will explore.
• Research Question : A clear and specific question that the research seeks to answer or investigate.
• Objective : A statement that describes the purpose of the research, what it aims to achieve, and the expected outcomes.
• Hypothesis : An educated guess or prediction about the relationship between variables, which is tested during the research.
• Variables : The factors or elements that are being studied, measured, or manipulated in the research.
• Methodology : The overall approach and methods that will be used to conduct the research.
• Scope and Limitations : A description of the boundaries and parameters of the research, including what will be included and excluded, and any potential constraints or limitations.
• Significance: A statement that explains the potential value or impact of the research, its contribution to the field of study, and how it will add to the existing knowledge.

Research Problem Examples

Following are some Research Problem Examples:

Research Problem Examples in Psychology are as follows:

• Exploring the impact of social media on adolescent mental health.
• Investigating the effectiveness of cognitive-behavioral therapy for treating anxiety disorders.
• Studying the impact of prenatal stress on child development outcomes.
• Analyzing the factors that contribute to addiction and relapse in substance abuse treatment.
• Examining the impact of personality traits on romantic relationships.

Research Problem Examples in Sociology are as follows:

• Investigating the relationship between social support and mental health outcomes in marginalized communities.
• Studying the impact of globalization on labor markets and employment opportunities.
• Analyzing the causes and consequences of gentrification in urban neighborhoods.
• Investigating the impact of family structure on social mobility and economic outcomes.
• Examining the effects of social capital on community development and resilience.

Research Problem Examples in Economics are as follows:

• Studying the effects of trade policies on economic growth and development.
• Analyzing the impact of automation and artificial intelligence on labor markets and employment opportunities.
• Investigating the factors that contribute to economic inequality and poverty.
• Examining the impact of fiscal and monetary policies on inflation and economic stability.
• Studying the relationship between education and economic outcomes, such as income and employment.

Political Science

Research Problem Examples in Political Science are as follows:

• Analyzing the causes and consequences of political polarization and partisan behavior.
• Investigating the impact of social movements on political change and policymaking.
• Studying the role of media and communication in shaping public opinion and political discourse.
• Examining the effectiveness of electoral systems in promoting democratic governance and representation.
• Investigating the impact of international organizations and agreements on global governance and security.

Environmental Science

Research Problem Examples in Environmental Science are as follows:

• Studying the impact of air pollution on human health and well-being.
• Investigating the effects of deforestation on climate change and biodiversity loss.
• Analyzing the impact of ocean acidification on marine ecosystems and food webs.
• Studying the relationship between urban development and ecological resilience.
• Examining the effectiveness of environmental policies and regulations in promoting sustainability and conservation.

Research Problem Examples in Education are as follows:

• Investigating the impact of teacher training and professional development on student learning outcomes.
• Studying the effectiveness of technology-enhanced learning in promoting student engagement and achievement.
• Analyzing the factors that contribute to achievement gaps and educational inequality.
• Examining the impact of parental involvement on student motivation and achievement.
• Studying the effectiveness of alternative educational models, such as homeschooling and online learning.

Research Problem Examples in History are as follows:

• Analyzing the social and economic factors that contributed to the rise and fall of ancient civilizations.
• Investigating the impact of colonialism on indigenous societies and cultures.
• Studying the role of religion in shaping political and social movements throughout history.
• Analyzing the impact of the Industrial Revolution on economic and social structures.
• Examining the causes and consequences of global conflicts, such as World War I and II.

Research Problem Examples in Business are as follows:

• Studying the impact of corporate social responsibility on brand reputation and consumer behavior.
• Investigating the effectiveness of leadership development programs in improving organizational performance and employee satisfaction.
• Analyzing the factors that contribute to successful entrepreneurship and small business development.
• Examining the impact of mergers and acquisitions on market competition and consumer welfare.
• Studying the effectiveness of marketing strategies and advertising campaigns in promoting brand awareness and sales.

Research Problem Example for Students

An Example of a Research Problem for Students could be:

“How does social media usage affect the academic performance of high school students?”

This research problem is specific, measurable, and relevant. It is specific because it focuses on a particular area of interest, which is the impact of social media on academic performance. It is measurable because the researcher can collect data on social media usage and academic performance to evaluate the relationship between the two variables. It is relevant because it addresses a current and important issue that affects high school students.

To conduct research on this problem, the researcher could use various methods, such as surveys, interviews, and statistical analysis of academic records. The results of the study could provide insights into the relationship between social media usage and academic performance, which could help educators and parents develop effective strategies for managing social media use among students.

Another example of a research problem for students:

“Does participation in extracurricular activities impact the academic performance of middle school students?”

This research problem is also specific, measurable, and relevant. It is specific because it focuses on a particular type of activity, extracurricular activities, and its impact on academic performance. It is measurable because the researcher can collect data on students’ participation in extracurricular activities and their academic performance to evaluate the relationship between the two variables. It is relevant because extracurricular activities are an essential part of the middle school experience, and their impact on academic performance is a topic of interest to educators and parents.

To conduct research on this problem, the researcher could use surveys, interviews, and academic records analysis. The results of the study could provide insights into the relationship between extracurricular activities and academic performance, which could help educators and parents make informed decisions about the types of activities that are most beneficial for middle school students.

Applications of Research Problem

Applications of Research Problem are as follows:

• Academic research: Research problems are used to guide academic research in various fields, including social sciences, natural sciences, humanities, and engineering. Researchers use research problems to identify gaps in knowledge, address theoretical or practical problems, and explore new areas of study.
• Business research : Research problems are used to guide business research, including market research, consumer behavior research, and organizational research. Researchers use research problems to identify business challenges, explore opportunities, and develop strategies for business growth and success.
• Healthcare research : Research problems are used to guide healthcare research, including medical research, clinical research, and health services research. Researchers use research problems to identify healthcare challenges, develop new treatments and interventions, and improve healthcare delivery and outcomes.
• Public policy research : Research problems are used to guide public policy research, including policy analysis, program evaluation, and policy development. Researchers use research problems to identify social issues, assess the effectiveness of existing policies and programs, and develop new policies and programs to address societal challenges.
• Environmental research : Research problems are used to guide environmental research, including environmental science, ecology, and environmental management. Researchers use research problems to identify environmental challenges, assess the impact of human activities on the environment, and develop sustainable solutions to protect the environment.

Purpose of Research Problems

The purpose of research problems is to identify an area of study that requires further investigation and to formulate a clear, concise and specific research question. A research problem defines the specific issue or problem that needs to be addressed and serves as the foundation for the research project.

Identifying a research problem is important because it helps to establish the direction of the research and sets the stage for the research design, methods, and analysis. It also ensures that the research is relevant and contributes to the existing body of knowledge in the field.

A well-formulated research problem should:

• Clearly define the specific issue or problem that needs to be investigated
• Be specific and narrow enough to be manageable in terms of time, resources, and scope
• Be relevant to the field of study and contribute to the existing body of knowledge
• Be feasible and realistic in terms of available data, resources, and research methods
• Be interesting and intellectually stimulating for the researcher and potential readers or audiences.

Characteristics of Research Problem

The characteristics of a research problem refer to the specific features that a problem must possess to qualify as a suitable research topic. Some of the key characteristics of a research problem are:

• Clarity : A research problem should be clearly defined and stated in a way that it is easily understood by the researcher and other readers. The problem should be specific, unambiguous, and easy to comprehend.
• Relevance : A research problem should be relevant to the field of study, and it should contribute to the existing body of knowledge. The problem should address a gap in knowledge, a theoretical or practical problem, or a real-world issue that requires further investigation.
• Feasibility : A research problem should be feasible in terms of the availability of data, resources, and research methods. It should be realistic and practical to conduct the study within the available time, budget, and resources.
• Novelty : A research problem should be novel or original in some way. It should represent a new or innovative perspective on an existing problem, or it should explore a new area of study or apply an existing theory to a new context.
• Importance : A research problem should be important or significant in terms of its potential impact on the field or society. It should have the potential to produce new knowledge, advance existing theories, or address a pressing societal issue.
• Manageability : A research problem should be manageable in terms of its scope and complexity. It should be specific enough to be investigated within the available time and resources, and it should be broad enough to provide meaningful results.

Advantages of Research Problem

The advantages of a well-defined research problem are as follows:

• Focus : A research problem provides a clear and focused direction for the research study. It ensures that the study stays on track and does not deviate from the research question.
• Clarity : A research problem provides clarity and specificity to the research question. It ensures that the research is not too broad or too narrow and that the research objectives are clearly defined.
• Relevance : A research problem ensures that the research study is relevant to the field of study and contributes to the existing body of knowledge. It addresses gaps in knowledge, theoretical or practical problems, or real-world issues that require further investigation.
• Feasibility : A research problem ensures that the research study is feasible in terms of the availability of data, resources, and research methods. It ensures that the research is realistic and practical to conduct within the available time, budget, and resources.
• Novelty : A research problem ensures that the research study is original and innovative. It represents a new or unique perspective on an existing problem, explores a new area of study, or applies an existing theory to a new context.
• Importance : A research problem ensures that the research study is important and significant in terms of its potential impact on the field or society. It has the potential to produce new knowledge, advance existing theories, or address a pressing societal issue.
• Rigor : A research problem ensures that the research study is rigorous and follows established research methods and practices. It ensures that the research is conducted in a systematic, objective, and unbiased manner.

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45 Research Problem Examples & Inspiration

Chris Drew (PhD)

Dr. Chris Drew is the founder of the Helpful Professor. He holds a PhD in education and has published over 20 articles in scholarly journals. He is the former editor of the Journal of Learning Development in Higher Education. [Image Descriptor: Photo of Chris]

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A research problem is an issue of concern that is the catalyst for your research. It demonstrates why the research problem needs to take place in the first place.

Generally, you will write your research problem as a clear, concise, and focused statement that identifies an issue or gap in current knowledge that requires investigation.

The problem will likely also guide the direction and purpose of a study. Depending on the problem, you will identify a suitable methodology that will help address the problem and bring solutions to light.

Research Problem Examples

In the following examples, I’ll present some problems worth addressing, and some suggested theoretical frameworks and research methodologies that might fit with the study. Note, however, that these aren’t the only ways to approach the problems. Keep an open mind and consult with your dissertation supervisor!

Psychology Problems

1. Social Media and Self-Esteem: “How does prolonged exposure to social media platforms influence the self-esteem of adolescents?”

• Theoretical Framework : Social Comparison Theory
• Methodology : Longitudinal study tracking adolescents’ social media usage and self-esteem measures over time, combined with qualitative interviews.

2. Sleep and Cognitive Performance: “How does sleep quality and duration impact cognitive performance in adults?”

• Theoretical Framework : Cognitive Psychology
• Methodology : Experimental design with controlled sleep conditions, followed by cognitive tests. Participant sleep patterns can also be monitored using actigraphy.

3. Childhood Trauma and Adult Relationships: “How does unresolved childhood trauma influence attachment styles and relationship dynamics in adulthood?

• Theoretical Framework : Attachment Theory
• Methodology : Mixed methods, combining quantitative measures of attachment styles with qualitative in-depth interviews exploring past trauma and current relationship dynamics.

4. Mindfulness and Stress Reduction: “How effective is mindfulness meditation in reducing perceived stress and physiological markers of stress in working professionals?”

• Theoretical Framework : Humanist Psychology
• Methodology : Randomized controlled trial comparing a group practicing mindfulness meditation to a control group, measuring both self-reported stress and physiological markers (e.g., cortisol levels).

5. Implicit Bias and Decision Making: “To what extent do implicit biases influence decision-making processes in hiring practices?

• Theoretical Framework : Cognitive Dissonance Theory
• Methodology : Experimental design using Implicit Association Tests (IAT) to measure implicit biases, followed by simulated hiring tasks to observe decision-making behaviors.

6. Emotional Regulation and Academic Performance: “How does the ability to regulate emotions impact academic performance in college students?”

• Theoretical Framework : Cognitive Theory of Emotion
• Methodology : Quantitative surveys measuring emotional regulation strategies, combined with academic performance metrics (e.g., GPA).

7. Nature Exposure and Mental Well-being: “Does regular exposure to natural environments improve mental well-being and reduce symptoms of anxiety and depression?”

• Theoretical Framework : Biophilia Hypothesis
• Methodology : Longitudinal study comparing mental health measures of individuals with regular nature exposure to those without, possibly using ecological momentary assessment for real-time data collection.

8. Video Games and Cognitive Skills: “How do action video games influence cognitive skills such as attention, spatial reasoning, and problem-solving?”

• Theoretical Framework : Cognitive Load Theory
• Methodology : Experimental design with pre- and post-tests, comparing cognitive skills of participants before and after a period of action video game play.

9. Parenting Styles and Child Resilience: “How do different parenting styles influence the development of resilience in children facing adversities?”

• Theoretical Framework : Baumrind’s Parenting Styles Inventory
• Methodology : Mixed methods, combining quantitative measures of resilience and parenting styles with qualitative interviews exploring children’s experiences and perceptions.

10. Memory and Aging: “How does the aging process impact episodic memory , and what strategies can mitigate age-related memory decline?

• Theoretical Framework : Information Processing Theory
• Methodology : Cross-sectional study comparing episodic memory performance across different age groups, combined with interventions like memory training or mnemonic strategies to assess potential improvements.

Education Problems

11. Equity and Access : “How do socioeconomic factors influence students’ access to quality education, and what interventions can bridge the gap?

• Theoretical Framework : Critical Pedagogy
• Methodology : Mixed methods, combining quantitative data on student outcomes with qualitative interviews and focus groups with students, parents, and educators.

12. Digital Divide : How does the lack of access to technology and the internet affect remote learning outcomes, and how can this divide be addressed?

• Theoretical Framework : Social Construction of Technology Theory
• Methodology : Survey research to gather data on access to technology, followed by case studies in selected areas.

13. Teacher Efficacy : “What factors contribute to teacher self-efficacy, and how does it impact student achievement?”

• Theoretical Framework : Bandura’s Self-Efficacy Theory
• Methodology : Quantitative surveys to measure teacher self-efficacy, combined with qualitative interviews to explore factors affecting it.

14. Curriculum Relevance : “How can curricula be made more relevant to diverse student populations, incorporating cultural and local contexts?”

• Theoretical Framework : Sociocultural Theory
• Methodology : Content analysis of curricula, combined with focus groups with students and teachers.

15. Special Education : “What are the most effective instructional strategies for students with specific learning disabilities?

• Theoretical Framework : Social Learning Theory
• Methodology : Experimental design comparing different instructional strategies, with pre- and post-tests to measure student achievement.

16. Dropout Rates : “What factors contribute to high school dropout rates, and what interventions can help retain students?”

• Methodology : Longitudinal study tracking students over time, combined with interviews with dropouts.

17. Bilingual Education : “How does bilingual education impact cognitive development and academic achievement?

• Methodology : Comparative study of students in bilingual vs. monolingual programs, using standardized tests and qualitative interviews.

18. Classroom Management: “What reward strategies are most effective in managing diverse classrooms and promoting a positive learning environment?

• Theoretical Framework : Behaviorism (e.g., Skinner’s Operant Conditioning)
• Methodology : Observational research in classrooms , combined with teacher interviews.

19. Standardized Testing : “How do standardized tests affect student motivation, learning, and curriculum design?”

• Theoretical Framework : Critical Theory
• Methodology : Quantitative analysis of test scores and student outcomes, combined with qualitative interviews with educators and students.

20. STEM Education : “What methods can be employed to increase interest and proficiency in STEM (Science, Technology, Engineering, and Mathematics) fields among underrepresented student groups?”

• Theoretical Framework : Constructivist Learning Theory
• Methodology : Experimental design comparing different instructional methods, with pre- and post-tests.

21. Social-Emotional Learning : “How can social-emotional learning be effectively integrated into the curriculum, and what are its impacts on student well-being and academic outcomes?”

• Theoretical Framework : Goleman’s Emotional Intelligence Theory
• Methodology : Mixed methods, combining quantitative measures of student well-being with qualitative interviews.

22. Parental Involvement : “How does parental involvement influence student achievement, and what strategies can schools use to increase it?”

• Theoretical Framework : Reggio Emilia’s Model (Community Engagement Focus)
• Methodology : Survey research with parents and teachers, combined with case studies in selected schools.

23. Early Childhood Education : “What are the long-term impacts of quality early childhood education on academic and life outcomes?”

• Theoretical Framework : Erikson’s Stages of Psychosocial Development
• Methodology : Longitudinal study comparing students with and without early childhood education, combined with observational research.

24. Teacher Training and Professional Development : “How can teacher training programs be improved to address the evolving needs of the 21st-century classroom?”

• Theoretical Framework : Adult Learning Theory (Andragogy)
• Methodology : Pre- and post-assessments of teacher competencies, combined with focus groups.

25. Educational Technology : “How can technology be effectively integrated into the classroom to enhance learning, and what are the potential drawbacks or challenges?”

• Theoretical Framework : Technological Pedagogical Content Knowledge (TPACK)
• Methodology : Experimental design comparing classrooms with and without specific technologies, combined with teacher and student interviews.

Sociology Problems

26. Urbanization and Social Ties: “How does rapid urbanization impact the strength and nature of social ties in communities?”

• Theoretical Framework : Structural Functionalism
• Methodology : Mixed methods, combining quantitative surveys on social ties with qualitative interviews in urbanizing areas.

27. Gender Roles in Modern Families: “How have traditional gender roles evolved in families with dual-income households?”

• Theoretical Framework : Gender Schema Theory
• Methodology : Qualitative interviews with dual-income families, combined with historical data analysis.

28. Social Media and Collective Behavior: “How does social media influence collective behaviors and the formation of social movements?”

• Theoretical Framework : Emergent Norm Theory
• Methodology : Content analysis of social media platforms, combined with quantitative surveys on participation in social movements.

29. Education and Social Mobility: “To what extent does access to quality education influence social mobility in socioeconomically diverse settings?”

• Methodology : Longitudinal study tracking educational access and subsequent socioeconomic status, combined with qualitative interviews.

30. Religion and Social Cohesion: “How do religious beliefs and practices contribute to social cohesion in multicultural societies?”

• Methodology : Quantitative surveys on religious beliefs and perceptions of social cohesion, combined with ethnographic studies.

31. Consumer Culture and Identity Formation: “How does consumer culture influence individual identity formation and personal values?”

• Theoretical Framework : Social Identity Theory
• Methodology : Mixed methods, combining content analysis of advertising with qualitative interviews on identity and values.

32. Migration and Cultural Assimilation: “How do migrants negotiate cultural assimilation and preservation of their original cultural identities in their host countries?”

• Theoretical Framework : Post-Structuralism
• Methodology : Qualitative interviews with migrants, combined with observational studies in multicultural communities.

33. Social Networks and Mental Health: “How do social networks, both online and offline, impact mental health and well-being?”

• Theoretical Framework : Social Network Theory
• Methodology : Quantitative surveys assessing social network characteristics and mental health metrics, combined with qualitative interviews.

34. Crime, Deviance, and Social Control: “How do societal norms and values shape definitions of crime and deviance, and how are these definitions enforced?”

• Theoretical Framework : Labeling Theory
• Methodology : Content analysis of legal documents and media, combined with ethnographic studies in diverse communities.

35. Technology and Social Interaction: “How has the proliferation of digital technology influenced face-to-face social interactions and community building?”

• Theoretical Framework : Technological Determinism
• Methodology : Mixed methods, combining quantitative surveys on technology use with qualitative observations of social interactions in various settings.

Nursing Problems

36. Patient Communication and Recovery: “How does effective nurse-patient communication influence patient recovery rates and overall satisfaction with care?”

• Methodology : Quantitative surveys assessing patient satisfaction and recovery metrics, combined with observational studies on nurse-patient interactions.

37. Stress Management in Nursing: “What are the primary sources of occupational stress for nurses, and how can they be effectively managed to prevent burnout?”

• Methodology : Mixed methods, combining quantitative measures of stress and burnout with qualitative interviews exploring personal experiences and coping mechanisms.

38. Hand Hygiene Compliance: “How effective are different interventions in improving hand hygiene compliance among nursing staff, and what are the barriers to consistent hand hygiene?”

• Methodology : Experimental design comparing hand hygiene rates before and after specific interventions, combined with focus groups to understand barriers.

39. Nurse-Patient Ratios and Patient Outcomes: “How do nurse-patient ratios impact patient outcomes, including recovery rates, complications, and hospital readmissions?”

• Methodology : Quantitative study analyzing patient outcomes in relation to staffing levels, possibly using retrospective chart reviews.

40. Continuing Education and Clinical Competence: “How does regular continuing education influence clinical competence and confidence among nurses?”

• Methodology : Longitudinal study tracking nurses’ clinical skills and confidence over time as they engage in continuing education, combined with patient outcome measures to assess potential impacts on care quality.

Communication Studies Problems

41. Media Representation and Public Perception: “How does media representation of minority groups influence public perceptions and biases?”

• Theoretical Framework : Cultivation Theory
• Methodology : Content analysis of media representations combined with quantitative surveys assessing public perceptions and attitudes.

42. Digital Communication and Relationship Building: “How has the rise of digital communication platforms impacted the way individuals build and maintain personal relationships?”

• Theoretical Framework : Social Penetration Theory
• Methodology : Mixed methods, combining quantitative surveys on digital communication habits with qualitative interviews exploring personal relationship dynamics.

43. Crisis Communication Effectiveness: “What strategies are most effective in managing public relations during organizational crises, and how do they influence public trust?”

• Theoretical Framework : Situational Crisis Communication Theory (SCCT)
• Methodology : Case study analysis of past organizational crises, assessing communication strategies used and subsequent public trust metrics.

44. Nonverbal Cues in Virtual Communication: “How do nonverbal cues, such as facial expressions and gestures, influence message interpretation in virtual communication platforms?”

• Theoretical Framework : Social Semiotics
• Methodology : Experimental design using video conferencing tools, analyzing participants’ interpretations of messages with varying nonverbal cues.

45. Influence of Social Media on Political Engagement: “How does exposure to political content on social media platforms influence individuals’ political engagement and activism?”

• Theoretical Framework : Uses and Gratifications Theory
• Methodology : Quantitative surveys assessing social media habits and political engagement levels, combined with content analysis of political posts on popular platforms.

Before you Go: Tips and Tricks for Writing a Research Problem

This is an incredibly stressful time for research students. The research problem is going to lock you into a specific line of inquiry for the rest of your studies.

So, here’s what I tend to suggest to my students:

• Start with something you find intellectually stimulating – Too many students choose projects because they think it hasn’t been studies or they’ve found a research gap. Don’t over-estimate the importance of finding a research gap. There are gaps in every line of inquiry. For now, just find a topic you think you can really sink your teeth into and will enjoy learning about.
• Take 5 ideas to your supervisor – Approach your research supervisor, professor, lecturer, TA, our course leader with 5 research problem ideas and run each by them. The supervisor will have valuable insights that you didn’t consider that will help you narrow-down and refine your problem even more.
• Trust your supervisor – The supervisor-student relationship is often very strained and stressful. While of course this is your project, your supervisor knows the internal politics and conventions of academic research. The depth of knowledge about how to navigate academia and get you out the other end with your degree is invaluable. Don’t underestimate their advice.

I’ve got a full article on all my tips and tricks for doing research projects right here – I recommend reading it:

• 9 Tips on How to Choose a Dissertation Topic

• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd-2/ 10 Reasons you’re Perpetually Single
• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd-2/ 20 Montessori Toddler Bedrooms (Design Inspiration)
• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd-2/ 21 Montessori Homeschool Setups
• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd-2/ 101 Hidden Talents Examples

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Research Writing and Analysis

• NVivo Group and Study Sessions
• SPSS This link opens in a new window
• Statistical Analysis Group sessions
• Using Qualtrics
• Dissertation and Data Analysis Group Sessions
• Defense Schedule - Commons Calendar This link opens in a new window
• Research Process Flow Chart
• Research Alignment Chapter 1 This link opens in a new window
• Step 1: Seek Out Evidence
• Step 2: Explain
• Step 3: The Big Picture
• Step 4: Own It
• Step 5: Illustrate
• Annotated Bibliography
• Seminal Authors
• Systematic Reviews & Meta-Analyses
• How to Synthesize and Analyze
• Synthesis and Analysis Practice
• Synthesis and Analysis Group Sessions
• Problem Statement
• Purpose Statement
• Conceptual Framework
• Theoretical Framework
• Locating Theoretical and Conceptual Frameworks This link opens in a new window
• Quantitative Research Questions
• Qualitative Research Questions
• Trustworthiness of Qualitative Data
• Analysis and Coding Example- Qualitative Data
• Thematic Data Analysis in Qualitative Design
• Dissertation to Journal Article This link opens in a new window
• International Journal of Online Graduate Education (IJOGE) This link opens in a new window
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Jump to DSE Guide

Problem statement overview.

The dissertation problem needs to be very focused because everything else from the dissertation research logically flows from the problem. You may say that the problem statement is the very core of a dissertation research study. If the problem is too big or too vague, it will be difficult to scope out a purpose that is manageable for one person, given the time available to execute and finish the dissertation research study.

Through your research, your aim is to obtain information that helps address a problem so it can be resolved. Note that the researcher does not actually solve the problem themselves by conducting research but provides new knowledge that can be used toward a resolution. Typically, the problem is solved (or partially solved) by practitioners in the field, using input from researchers.

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

• Specify and describe the problem (with appropriate citations)
• Explain the consequences of NOT solving the problem
• Explain the knowledge needed to solve the problem (i.e., what is currently unknown about the problem and its resolution – also referred to as a gap )

What is a problem?

The world is full of problems! Not all problems make good dissertation research problems, however, because they are either too big, complex, or risky for doctorate candidates to solve. A proper research problem can be defined as a specific, evidence-based, real-life issue faced by certain people or organizations that have significant negative implications to the involved parties.

Example of a proper, specific, evidence-based, real-life dissertation research problem:

“Only 6% of CEOs in Fortune 500 companies are women” (Center for Leadership Studies, 2019).

Specific refers to the scope of the problem, which should be sufficiently manageable and focused to address with dissertation research. For example, the problem “terrorism kills thousands of people each year” is probably not specific enough in terms of who gets killed by which terrorists, to work for a doctorate candidate; or “Social media use among call-center employees may be problematic because it could reduce productivity,” which contains speculations about the magnitude of the problem and the possible negative effects.

Evidence-based here means that the problem is well-documented by recent research findings and/or statistics from credible sources. Anecdotal evidence does not qualify in this regard. Quantitative evidence is generally preferred over qualitative ditto when establishing a problem because quantitative evidence (from a credible source) usually reflects generalizable facts, whereas qualitative evidence in the form of research conclusions tend to only apply to the study sample and may not be generalizable to a larger population. Example of a problem that isn’t evidence-based: “Based on the researcher’s experience, the problem is that people don’t accept female leaders;” which is an opinion-based statement based on personal (anecdotal) experience.

Real-life means that a problem exists regardless of whether research is conducted or not. This means that “lack of knowledge” or “lack of research” cannot be used as the problem for a dissertation study because it’s an academic issue or a gap; and not a real-life problem experienced by people or organizations.  Example of a problem that doesn’t exist in real life: “There is not enough research on the reasons why people distrust minority healthcare workers.” This type of statement also reveals the assumption that people actually do mistrust minority healthcare workers; something that needs to be supported by actual, credible evidence to potentially work as an underlying research problem.

What are consequences?

Consequences are negative implications experienced by a group of people or organizations, 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.

What is a gap?

To establish a complete basis for a dissertation research study, the problem has to be accompanied by a gap . A gap is missing knowledge or insights about a particular issue that contributes to the persistence of the problem. We use gaps to “situate” new research in the existing literature by adding to the knowledge base in the business research field, in a specific manner (determined by the purpose of the research). Identifying gaps requires you to review the literature in a thorough fashion, to establish a complete understanding of what is known and what isn’t known about a certain problem.  In the example from above about the underrepresentation of female CEOs, a gap may be that male-dominated boards have not been studied extensively in terms of their CEO hiring decisions, which might then warrant a study of such boards, to uncover implicit biases and discriminatory practices against female candidates.

How to Write a Problem Statement

How to write a problem statement.

• Here is one way to construct a problem section (keep in mind you have a 250-300 word limit, but you can write first and edit later):

It is helpful to begin the problem statement with a sentence :  “The problem to be addressed through this study is… ”  Then, fill out the rest of the paragraph with elaboration of that specific problem, making sure to “document” it, as NU reviewers will look for research-based evidence that it is indeed a problem (emphasis also on timeliness of the problem, supported by citations within the last 5 years).

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, NU reviewers will want to see research-based citations and statistics that indicate the negative implications are significant.

In the final paragraph, you will explain what information (research) is needed in order to fix the problem. This paragraph shows that the problem is worthy of doctoral-level research. What isn’t known about the problem? Ie, what is the gap? Presumably, if your problem and purpose are aligned, your research will try to close or minimize this gap by investigating the problem. Have other researchers investigated the issue? What has their research left unanswered?

• 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 dissertation 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 1) at least 3 authors’ research related to the problem; and 2)   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:

1. One clear, concise statement that tells the reader what is not working, what is “going wrong”. Be specific and support it with current studies.

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

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

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

i. briefly discusses the author(s)’ work, what they studied, and

ii. state their recommendation for further research about the problem

• 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

• Explain context and state problem (“the problem is XYZ”), supported by statistics and/or recent research findings
• Explain the negative consequences of the problem to stakeholders, supported by statistics and/or recent research findings
• Explain the gap in the literature.

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

The problem to be addressed by this study is the decline of employee well-being for followers of novice mid-level managers and the corresponding rise in employee turnover faced by business leaders across the financial services industry (Oh et al., 2014).  Low levels of employee well-being are toxic for morale and result in expensive turnover costs, dysfunctional work environments, anemic corporate cultures, and poor customer service (Compdata, 2018; Oh et al., 2014).  According to Ufer (2017), the financial services industry suffers from one of the highest turnover rates among millennial-aged employees in all industries in the developed world, at 18.6% annually.  Starkman (2015) reported that 50% of those surveyed in financial services were not satisfied with a single one of the four key workplace aspects: job, firm, pay or career path. 

Low levels of employee well-being interrupt a financial services’ company’s ability to deliver outstanding customer service in a world increasingly dependent on that commodity (Wladawsky-Berger, 2018).Mid-level managers play an essential role in support of the success of many of top businesses today (Anicich & Hirsh, 2017). 

The current body of literature does not adequately address the well-being issue in the financial services industry from the follower’s perspective (Uhl-Bien, Riggio, Lowe, & Carsten, 2014). Strategic direction flows top-down from senior executives and passes through mid-level leadership to individual contributors at more junior grades.  The mid-level managers’ teams are tasked with the achievement of core tasks and the managers themselves are expected to maintain the workforce’s morale, motivation and welfare (Anicich & Hirsh, 2017).  Unless industry leaders better understand the phenomenon of employee well-being from the follower perspective and its role in positioning employees to provide a premium client experience, they may be handicapped from preserving their most significant principal market differentiator: customer service (Wladawsky-Berger, 2018). 

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• Writing Strong Research Questions | Criteria & Examples

Writing Strong Research Questions | Criteria & Examples

Published on October 26, 2022 by Shona McCombes . Revised on November 21, 2023.

A research question pinpoints exactly what you want to find out in your work. A good research question is essential to guide your research paper , dissertation , or thesis .

All research questions should be:

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

Table of contents

How to write a research question, what makes a strong research question, using sub-questions to strengthen your main research question, research questions quiz, other interesting articles, frequently asked questions about research questions.

You can follow these steps to develop a strong research question:

• Choose your topic
• Do some preliminary reading about the current state of the field
• Narrow your focus to a specific niche
• Identify the research problem that you will address

The way you frame your question depends on what your research aims to achieve. The table below shows some examples of how you might formulate questions for different purposes.

Using your research problem to develop your research question

Note that while most research questions can be answered with various types of research , the way you frame your question should help determine your choices.

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Research questions anchor your whole project, so it’s important to spend some time refining them. The criteria below can help you evaluate the strength of your research question.

Focused and researchable

Feasible and specific

Complex and arguable

Relevant and original

Chances are that your main research question likely can’t be answered all at once. That’s why sub-questions are important: they allow you to answer your main question in a step-by-step manner.

Good sub-questions should be:

• Less complex than the main question
• Focused only on 1 type of research
• Presented in a logical order

Here are a few examples of descriptive and framing questions:

• Descriptive: According to current government arguments, how should a European bank tax be implemented?
• Descriptive: Which countries have a bank tax/levy on financial transactions?
• Framing: How should a bank tax/levy on financial transactions look at a European level?

Keep in mind that sub-questions are by no means mandatory. They should only be asked if you need the findings to answer your main question. If your main question is simple enough to stand on its own, it’s okay to skip the sub-question part. As a rule of thumb, the more complex your subject, the more sub-questions you’ll need.

Try to limit yourself to 4 or 5 sub-questions, maximum. If you feel you need more than this, it may be indication that your main research question is not sufficiently specific. In this case, it’s is better to revisit your problem statement and try to tighten your main question up.

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

Methodology

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

 Statistics

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

Research bias

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

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.

As you cannot possibly read every source related to your topic, it’s important to evaluate sources to assess their relevance. Use preliminary evaluation to determine whether a source is worth examining in more depth.

This involves:

• Reading abstracts , prefaces, introductions , and conclusions
• Looking at the table of contents to determine the scope of the work
• Consulting the index for key terms or the names of important scholars

A research hypothesis is your proposed answer to your research question. The research hypothesis usually includes an explanation (“ x affects y because …”).

A statistical hypothesis, on the other hand, is a mathematical statement about a population parameter. Statistical hypotheses always come in pairs: the null and alternative hypotheses . In a well-designed study , the statistical hypotheses correspond logically to the research hypothesis.

Formulating a main research question can be a difficult task. Overall, your question should contribute to solving the problem that you have defined in your problem statement .

However, it should also fulfill criteria in three main areas:

• Researchability
• Feasibility and specificity
• Relevance and originality

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• How to Come up with a Research Problem / Question

Why the Research Problem Is Important

The main steps to formulate your research problem, practical research problems, theoretical research problems, 2. research problem statement, 3. how the problem differs from other parts of research, 4. justifying the importance of the research problem, 5. locating the research problem, 6. determining whether a problem should be researched, examples of research questions.

An essential early step in the process of research is to find a research problem. What precisely a research problem is, and how to find one, that's what we are going to write about and explain in this article.

The Research Problem is an area of conflict, concern, or controversy (a gap between what is wanted and what is observed). In order to carry out research for your dissertation , you need to start by identifying a question which demands an answer, or a need which requires a resolution, or a riddle which seeks a solution, which can be developed into a research problem: the heart of the project. The nature of your question will, in its turn, define and influence the form of your paper.

• It establishes the importance of the topic.
• It creates reader interest.
• It focuses the reader’s attention on how the study will add to the field of science.

Students starting their research degree course, and practitioners in almost any university wishing to become involved in the process itself, tend to come from widely different backgrounds, and are equipped with varied amounts of scientific knowledge and degrees of experience in their chosen field of study. While most are fairly sure of the subject and the hypothesis which they want to investigate, many are uncertain of the exact problem they wish to address and write about. Also Read: How To Help Students with Java Assignment

It is not easy to decide on and define a research problem, and you will not be expected to do so immediately. The important thing, at this stage, is to know what you are looking for, and to explore your subject for suitable possibilities.

One of the first tasks, therefore, on the way to deciding on the detailed topic of research is to find a question, an unresolved controversy or a thesis , a gap in scientific knowledge or an unrequited need within the chosen subject. This search requires an awareness of current issues in the subject and an inquisitive and questioning mind. Although you will find that the world is teeming with questions and unresolved issues, not every one of these is a suitable subject to write a study about. So what features should you look for which could lead you to a suitable research problem? Here is a list of the most important:

• It should be of great interest to you . You will have to spend many months investigating the problem. A lively interest in the subject will be an invaluable incentive to persevere.
• The problem you write about should be significant . It is not worth time and effort investigating a trivial issue or repeating work which has already been done elsewhere.
• It should be delineated . Consider the time you have to complete the work, and the depth to which the problem will be addressed. You can cover a wide field only superficially, and the more you restrict the field, the more detailed the study can be. You should also consider the cost of necessary travel and other expenses.
• You should be able to obtain the information required . You cannot carry out research if you fail to collect the relevant information needed to tackle your problem, either because you lack access to documents or other sources, and/or because you have not obtained the co-operation of individuals or scientific organizations essential to your study. Include the most relevant references that supports the claim.
• You should be able to draw conclusions related to the problem . The point of asking a question is to find an answer. The issue should be one to which the research can offer some solution, or at least the elimination of some false "solutions".
• You should be able to formulate statement of the issue clearly and concisely . A precise, well thought out and fully articulated sentence, understandable by anyone, should normally clearly be able to explain just what the issue is.

The problem can be generated either by an initiating idea, or by a perceived issue area. We are surrounded by problems connected with society, the built environment, educational apps for students etc., many of which can readily be perceived. Take for example social ones such as poverty, crime, unsuitable housing and uncomfortable workplaces, technical issues such as design deficiencies, organizational - such as business failures and bureaucratic bungles, and many subjects where there may be a lack of knowledge which prevents improvements being made.

1. Identify an area of the research problem

First of all, you need to define a broad area for future research papers. Here your main goal is to find under-explored areas to create a research project that can be useful to fill a gap. 

When you're going to do research, it's possible to define a problem for your future work by viewing previous research, reading various reports, and asking those people who work in relevant spheres. Here is the list of things you may look for to use in the research:

• Things that can be used to increase performance and efficiency in an institution
• Any processes to improve an organization
• Any concern areas for practitioners
• Any difficulties and problems met by particular groups of people

For example, if your future research paper is connected to an internship or a job, you have to search for a research problem that has any practical meaning for the institution.

Examples of practical research problems:

• Prices in district X have been increased, in contrast to the rest of the town.
• Team A of Company B has a low turnover rate that increases productivity and teamwork.
• Organization N faces a financial crisis that means most of its programs will be cut.

This type of research is focused on understanding the problem and expanding knowledge rather than changing something directly. The research problem can be found by reading debates on the chosen subject and viewing theory and research on what people currently know about it. You can search for the next things:

• A thing that hasn't been studied thoroughly
• A collision between various points of view
• A fact or relationship that isn't understood well by people
• A question that must be resolved

Most theoretical problems may have some practical results but they're not solving an issue in a specific place (though you can make a case study approach to your research).

• The effects of antibiotics on the human immune system isn't well studied.
• The relationship between race, gender, place of birth, and income hasn't been well studied from the position of the worldwide economy. 
• Philosophers disagree about the role of Kant's studies in the development of people's self-knowledge and identity.
• State the problem in the opening paragraph (i.e., something that needs a solution).
• Identify an issue: – Investigation-based research problems, – Practical ones.
• Reference the problem using the literature.
• Common pitfall: defining the problem based on the solution.
• A research problem is an educational issue in the study.
• A syudy topic is the broad subject matter being addressed in a study.
• A purpose is the major intent or objective of the study.
• Research questions are those that the researcher would like answered or addressed in the study.
• Justification based on what other researchers have found.
• Justification based on personal or workplace experiences.
• Justification based on the experiences that others have had in the workplace.

Read the opening paragraphs of existing studies for one or more of the following:

• What is the issue or problem?
• What controversy leads to the need for a study?
• What concern is being addressed behind the study?
• Is there a sentence such as, “The problem being addressed in this study is…”?
• Can you study the problem? – Do you have access to the research site? – Do you have the time, resources, and skills to carry out the process as it is?
• Should you study one? – Does it advance knowledge? – Does it contribute to practice?
• Will your investigation fill a gap or void in the existing literature?
• Will your investigation replicate a past study but examine different participants and different research sites?
• Will your investigation extend past research or examine the topic more thoroughly?
• Will it give voice to people not heard, silenced, or rejected in society?
• Will it inform practice?

Obviously, it is not difficult to find problem areas. The difficulty lies in choosing an area which contains possible specific research problems suitable for the subject of a research project or degree.

Organizing Academic Research Papers: The Research Problem/Question

• Purpose of Guide
• Design Flaws to Avoid
• Glossary of Research Terms
• Narrowing a Topic Idea
• Broadening a Topic Idea
• Extending the Timeliness of a Topic Idea
• Academic Writing Style
• Choosing a Title
• Making an Outline
• Paragraph Development
• Executive Summary
• Background Information
• The Research Problem/Question
• Theoretical Framework
• Citation Tracking
• Content Alert Services
• Evaluating Sources
• Primary Sources
• Secondary Sources
• Tertiary Sources
• What Is Scholarly vs. Popular?
• Qualitative Methods
• Quantitative Methods
• Using Non-Textual Elements
• Limitations of the Study
• Common Grammar Mistakes
• Avoiding Plagiarism
• Footnotes or Endnotes?
• Further Readings
• Annotated Bibliography
• Dealing with Nervousness
• Using Visual Aids
• Grading Someone Else's Paper
• How to Manage Group Projects
• Multiple Book Review Essay
• Reviewing Collected Essays
• About Informed Consent
• Writing Field Notes
• Writing a Policy Memo
• Writing a Research Proposal
• Acknowledgements

A research problem is a statement about an area of concern, a condition to be improved, a difficulty to be eliminated, or a troubling question that exists in scholarly literature, in theory, or in practice that points to the need for meaningful understanding and deliberate investigation. In some social science disciplines the research problem is typically posed in the form of a question. A research problem does not state how to do something, offer a vague or broad proposition, or present a value question.

Importance of...

The purpose of a problem statement is to:

• Introduce the reader to the importance of the topic being studied . The reader is oriented to the significance of the study and the research questions or hypotheses to follow.
• Places the problem into a particular context that defines the parameters of what is to be investigated.
• Provides the framework for reporting the results and indicates what is probably necessary to conduct the study and explain how the findings will present this information.

In the social sciences, the research problem establishes the means by which you must answer the "So What?" question. The "So What?" question refers to a research problem surviving the relevancy test [the quality of a measurement procedure that provides repeatability and accuracy]. Note that answering the "So What" question requires a commitment on your part to not only show that you have researched the material, but that you have thought about its significance.

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

• Clarity and precision [a well-written statement does not make sweeping generalizations and irresponsible statements],
• Identification of what would be studied, while avoiding the use of value-laden words and terms,
• Identification of an overarching question and key factors or variables,
• Identification of key concepts and terms,
• Articulation of the study's boundaries or parameters,
• Some generalizability in regards to applicability and bringing results into general use,
• Conveyance of the study's importance, benefits, and justification [regardless of the type of research, it is important to address the “so what” question by demonstrating that the research is not trivial],
• Does not have unnecessary jargon; and,
• Conveyance of more than the mere gathering of descriptive data providing only a snapshot of the issue or phenomenon under investigation.

Castellanos, Susie. Critical Writing and Thinking . The Writing Center. Dean of the College. Brown University; Ellis, Timothy J. and Yair Levy Nova Framework of Problem-Based Research: A Guide for Novice Researchers on the Development of a Research-Worthy Problem. Informing Science: the International Journal of an Emerging Transdiscipline 11 (2008); Thesis and Purpose Statements . The Writer’s Handbook. Writing Center. University of Wisconsin, Madison; Thesis Statements . The Writing Center. University of North Carolina; Tips and Examples for Writing Thesis Statements . The Writing Lab and The OWL. Purdue University.  

Structure and Writing Style

I.  Types and Content

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

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

A problem statement in the social sciences should contain :

• A lead-in that helps ensure the reader will maintain interest over the study
• A declaration of originality [e.g., mentioning a knowledge void, which would be supported by the literature review]
• An indication of the central focus of the study, and
• An explanation of the study's significance or the benefits to be derived from an investigating the problem.

II.  Sources of Problems for Investigation

Identifying a problem to study can be challenging, not because there is a lack of issues that could be investigated, but due to pursuing a goal of formulating a socially relevant and researchable problem statement that is unique and does not simply duplicate the work of others. To facilitate how you might select a problem from which to build a research study, consider these three broad sources of inspiration:

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

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

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

Personal Experience Your everyday experiences can give rise to worthwhile problems for investigation. Think critically about your own experiences and/or frustrations with an issue facing society, your community, or in your neighborhood. This can be derived, for example, from deliberate observations of certain relationships for which there is no clear explanation or witnessing an event that appears harmful to a person or group or that is out of the ordinary.

Relevant Literature The selection of a research problem can often be derived from an extensive and thorough review of pertinent research associated with your overall area of interest. This may reveal where gaps remain in our understanding of a topic. Research may be conducted to: 1) fill such gaps in knowledge; 2) evaluate if the methodologies employed in prior studies can be adapted to solve other problems; or, 3) determine if a similar study could be conducted in a different subject area or applied to different study sample [i.e., different groups of people]. Also, authors frequently conclude their studies by noting implications for further research; this can also be a valuable source of problems to investigate.

III.  What Makes a Good Research Statement?

A good problem statement begins by introducing the broad area in which your research is centered and then gradually leads the reader to the more narrow questions you are posing. The statement need not be lengthy but a good research problem should incorporate the following features:

Compelling topic Simple curiosity is not a good enough reason to pursue a research study. The problem that you choose to explore must be important to you and to a larger community you share. The problem chosen must be one that motivates you to address it. Supports multiple perspectives The problem most be phrased in a way that avoids dichotomies and instead supports the generation and exploration of multiple perspectives. A general rule of thumb is that a good research problem is one that would generate a variety of viewpoints from a composite audience made up of reasonable people. Researchable It seems a bit obvious, but you don't want to find yourself in the midst of investigating a complex  research project and realize that you don't have much to draw on for your research. Choose research problems that can be supported by the resources available to you. Not sure? Seek out help  from a librarian!

NOTE:   Do not confuse a research problem with a research topic. A topic is something to read and obtain information about whereas a problem is something to solve or framed as a question that must be answered.

IV.  Mistakes to Avoid

Beware of circular reasoning . Don’t state that the research problem as simply the absence of the thing you are suggesting. For example, if you propose, "The problem in this community is that it has no hospital."

This only leads to a research problem where:

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

This is an example of a research problem that fails the "so what?" test because it does not reveal the relevance of why you are investigating the problem of having no hospital in the community [e.g., there's a hospital in the community ten miles away] and because the research problem does not elucidate the significance of why one should study the fact that no hospital exists in the community [e.g., that hospital in the community ten miles away has no emergency room].

Choosing and Refining Topics . Writing@CSU. Colorado State University; Ellis, Timothy J. and Yair Levy Nova Framework of Problem-Based Research: A Guide for Novice Researchers on the Development of a Research-Worthy Problem. Informing Science: the International Journal of an Emerging Transdiscipline 11 (2008); How to Write a Research Question . The Writing Center. George Mason University; Invention: Developing a Thesis Statement . The Reading/Writing Center. Hunter College; Problem Statements PowerPoint Presentation . The Writing Lab and The OWL. Purdue University; Procter, Margaret. Using Thesis Statements . University College Writing Centre. University of Toronto; Trochim, William M.K. Problem Formulation . Research Methods Knowledge Base. 2006; Thesis and Purpose Statements . The Writer’s Handbook. Writing Center. University of Wisconsin, Madison; Thesis Statements . The Writing Center. University of North Carolina; Tips and Examples for Writing Thesis Statements . The Writing Lab and The OWL. Purdue University.

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• How to Define a Research Problem | Ideas & Examples

How to Define a Research Problem | Ideas & Examples

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

A research problem is a specific issue or gap in existing knowledge that you aim to address in your research. You may choose to look for practical problems aimed at contributing to change, or theoretical problems aimed at expanding knowledge.

Some research will do both of these things, but usually the research problem focuses on one or the other. The type of research problem you choose depends on your broad topic of interest and the type of research you think will fit best.

This article helps you identify and refine a research problem. When writing your research proposal or introduction , formulate it as a problem statement and/or research questions .

Table of contents

Why is the research problem important, step 1: identify a broad problem area, step 2: learn more about the problem, frequently asked questions about research problems.

Having an interesting topic isn’t a strong enough basis for academic research. Without a well-defined research problem, you are likely to end up with an unfocused and unmanageable project.

You might end up repeating what other people have already said, trying to say too much, or doing research without a clear purpose and justification. You need a clear problem in order to do research that contributes new and relevant insights.

Whether you’re planning your thesis , starting a research paper , or writing a research proposal , the research problem is the first step towards knowing exactly what you’ll do and why.

Prevent plagiarism, run a free check.

As you read about your topic, look for under-explored aspects or areas of concern, conflict, or controversy. Your goal is to find a gap that your research project can fill.

Practical research problems

If you are doing practical research, you can identify a problem by reading reports, following up on previous research, or talking to people who work in the relevant field or organisation. You might look for:

• Issues with performance or efficiency
• Processes that could be improved
• Areas of concern among practitioners
• Difficulties faced by specific groups of people

Examples of practical research problems

Voter turnout in New England has been decreasing, in contrast to the rest of the country.

The HR department of a local chain of restaurants has a high staff turnover rate.

A non-profit organisation faces a funding gap that means some of its programs will have to be cut.

Theoretical research problems

If you are doing theoretical research, you can identify a research problem by reading existing research, theory, and debates on your topic to find a gap in what is currently known about it. You might look for:

• A phenomenon or context that has not been closely studied
• A contradiction between two or more perspectives
• A situation or relationship that is not well understood
• A troubling question that has yet to be resolved

Examples of theoretical research problems

The effects of long-term Vitamin D deficiency on cardiovascular health are not well understood.

The relationship between gender, race, and income inequality has yet to be closely studied in the context of the millennial gig economy.

Historians of Scottish nationalism disagree about the role of the British Empire in the development of Scotland’s national identity.

Next, you have to find out what is already known about the problem, and pinpoint the exact aspect that your research will address.

Context and background

• Who does the problem affect?
• Is it a newly-discovered problem, or a well-established one?
• What research has already been done?
• What, if any, solutions have been proposed?
• What are the current debates about the problem? What is missing from these debates?

Specificity and relevance

• What particular place, time, and/or group of people will you focus on?
• What aspects will you not be able to tackle?
• What will the consequences be if the problem is not resolved?

Example of a specific research problem

A local non-profit organisation focused on alleviating food insecurity has always fundraised from its existing support base. It lacks understanding of how best to target potential new donors. To be able to continue its work, the organisation requires research into more effective fundraising strategies.

Once you have narrowed down your research problem, the next step is to formulate a problem statement , as well as your research questions or hypotheses .

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 …

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.

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 .

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Chapter Outline

• Empirical vs. ethical questions (4 minute read)
• Characteristics of a good research question (4 minute read)
• Quantitative research questions (7 minute read)
• Qualitative research questions (3 minute read)
• Evaluating and updating your research questions (4 minute read)

Content warning: examples in this chapter include references to sexual violence, sexism, substance use disorders, homelessness, domestic violence, the child welfare system, cissexism and heterosexism, and truancy and school discipline.

9.1 Empirical vs. ethical questions

Learning objectives.

Learners will be able to…

• Define empirical questions and provide an example
• Define ethical questions and provide an example

Writing a good research question is an art and a science. It is a science because you have to make sure it is clear, concise, and well-developed. It is an art because often your language needs “wordsmithing” to perfect and clarify the meaning. This is an exciting part of the research process; however, it can also be one of the most stressful.

Creating a good research question begins by identifying a topic you are interested in studying. At this point, you already have a working question. You’ve been applying it to the exercises in each chapter, and after reading more about your topic in the scholarly literature, you’ve probably gone back and revised your working question a few times. We’re going to continue that process in more detail in this chapter. Keep in mind that writing research questions is an iterative process, with revisions happening week after week until you are ready to start your project.

Empirical vs. ethical questions

When it comes to research questions, social science is best equipped to answer empirical questions —those that can be answered by real experience in the real world—as opposed to  ethical questions —questions about which people have moral opinions and that may not be answerable in reference to the real world. While social workers have explicit ethical obligations (e.g., service, social justice), research projects ask empirical questions to help actualize and support the work of upholding those ethical principles.

In order to help you better understand the difference between ethical and empirical questions, let’s consider a topic about which people have moral opinions. How about SpongeBob SquarePants? [1] In early 2005, members of the conservative Christian group Focus on the Family (2005) [2] denounced this seemingly innocuous cartoon character as “morally offensive” because they perceived his character to be one that promotes a “pro-gay agenda.” Focus on the Family supported their claim that SpongeBob is immoral by citing his appearance in a children’s video designed to promote tolerance of all family forms (BBC News, 2005). [3] They also cited SpongeBob’s regular hand-holding with his male sidekick Patrick as further evidence of his immorality.

So, can we now conclude that SpongeBob SquarePants is immoral? Not so fast. While your mother or a newspaper or television reporter may provide an answer, a social science researcher cannot. Questions of morality are ethical, not empirical. Of course, this doesn’t mean that social science researchers cannot study opinions about or social meanings surrounding SpongeBob SquarePants (Carter, 2010). [4] We study humans after all, and as you will discover in the following chapters of this textbook, we are trained to utilize a variety of scientific data-collection techniques to understand patterns of human beliefs and behaviors. Using these techniques, we could find out how many people in the United States find SpongeBob morally reprehensible, but we could never learn, empirically, whether SpongeBob is in fact morally reprehensible.

Let’s consider an example from a recent MSW research class I taught. A student group wanted to research the penalties for sexual assault. Their original research question was: “How can prison sentences for sexual assault be so much lower than the penalty for drug possession?” Outside of the research context, that is a darn good question! It speaks to how the War on Drugs and the patriarchy have distorted the criminal justice system towards policing of drug crimes over gender-based violence.

Unfortunately, it is an ethical question, not an empirical one. To answer that question, you would have to draw on philosophy and morality, answering what it is about human nature and society that allows such unjust outcomes. However, you could not answer that question by gathering data about people in the real world. If I asked people that question, they would likely give me their opinions about drugs, gender-based violence, and the criminal justice system. But I wouldn’t get the real answer about why our society tolerates such an imbalance in punishment.

As the students worked on the project through the semester, they continued to focus on the topic of sexual assault in the criminal justice system. Their research question became more empirical because they read more empirical articles about their topic. One option that they considered was to evaluate intervention programs for perpetrators of sexual assault to see if they reduced the likelihood of committing sexual assault again. Another option they considered was seeing if counties or states with higher than average jail sentences for sexual assault perpetrators had lower rates of re-offense for sexual assault. These projects addressed the ethical question of punishing perpetrators of sexual violence but did so in a way that gathered and analyzed empirical real-world data. Our job as social work researchers is to gather social facts about social work issues, not to judge or determine morality.

Key Takeaways

• Empirical questions are distinct from ethical questions.
• There are usually a number of ethical questions and a number of empirical questions that could be asked about any single topic.
• While social workers may research topics about which people have moral opinions, a researcher’s job is to gather and analyze empirical data.
• Take a look at your working question. Make sure you have an empirical question, not an ethical one. To perform this check, describe how you could find an answer to your question by conducting a study, like a survey or focus group, with real people.

9.2 Characteristics of a good research question

• Identify and explain the key features of a good research question
• Explain why it is important for social workers to be focused and clear with the language they use in their research questions

Now that you’ve made sure your working question is empirical, you need to revise that working question into a formal research question. So, what makes a good research question? First, it is generally written in the form of a question. To say that your research question is “the opioid epidemic” or “animal assisted therapy” or “oppression” would not be correct. You need to frame your topic as a question, not a statement. A good research question is also one that is well-focused. A well-focused question helps you tune out irrelevant information and not try to answer everything about the world all at once. You could be the most eloquent writer in your class, or even in the world, but if the research question about which you are writing is unclear, your work will ultimately lack direction.

In addition to being written in the form of a question and being well-focused, a good research question is one that cannot be answered with a simple yes or no. For example, if your interest is in gender norms, you could ask, “Does gender affect a person’s performance of household tasks?” but you will have nothing left to say once you discover your yes or no answer. Instead, why not ask, about the relationship between gender and household tasks. Alternatively, maybe we are interested in how or to what extent gender affects a person’s contributions to housework in a marriage? By tweaking your question in this small way, you suddenly have a much more fascinating question and more to say as you attempt to answer it.

A good research question should also have more than one plausible answer. In the example above, the student who studied the relationship between gender and household tasks had a specific interest in the impact of gender, but she also knew that preferences might be impacted by other factors. For example, she knew from her own experience that her more traditional and socially conservative friends were more likely to see household tasks as part of the female domain, and were less likely to expect their male partners to contribute to those tasks. Thinking through the possible relationships between gender, culture, and household tasks led that student to realize that there were many plausible answers to her questions about how  gender affects a person’s contribution to household tasks. Because gender doesn’t exist in a vacuum, she wisely felt that she needed to consider other characteristics that work together with gender to shape people’s behaviors, likes, and dislikes. By doing this, the student considered the third feature of a good research question–she thought about relationships between several concepts. While she began with an interest in a single concept—household tasks—by asking herself what other concepts (such as gender or political orientation) might be related to her original interest, she was able to form a question that considered the relationships  among  those concepts.

This student had one final component to consider. Social work research questions must contain a target population. Her study would be very different if she were to conduct it on older adults or immigrants who just arrived in a new country. The target population is the group of people whose needs your study addresses. Maybe the student noticed issues with household tasks as part of her social work practice with first-generation immigrants, and so she made it her target population. Maybe she wants to address the needs of another community. Whatever the case, the target population should be chosen while keeping in mind social work’s responsibility to work on behalf of marginalized and oppressed groups.

In sum, a good research question generally has the following features:

• It is written in the form of a question
• It is clearly written
• It cannot be answered with “yes” or “no”
• It has more than one plausible answer
• It considers relationships among multiple variables
• It is specific and clear about the concepts it addresses
• It includes a target population
• A poorly focused research question can lead to the demise of an otherwise well-executed study.
• Research questions should be clearly worded, consider relationships between multiple variables, have more than one plausible answer, and address the needs of a target population.

Okay, it’s time to write out your first draft of a research question.

• Once you’ve done so, take a look at the checklist in this chapter and see if your research question meets the criteria to be a good one.

Brainstorm whether your research question might be better suited to quantitative or qualitative methods.

• Describe why your question fits better with quantitative or qualitative methods.
• Provide an alternative research question that fits with the other type of research method.

9.3 Quantitative research questions

• Describe how research questions for exploratory, descriptive, and explanatory quantitative questions differ and how to phrase them
• Identify the differences between and provide examples of strong and weak explanatory research questions

Quantitative descriptive questions

The type of research you are conducting will impact the research question that you ask. Probably the easiest questions to think of are quantitative descriptive questions. For example, “What is the average student debt load of MSW students?” is a descriptive question—and an important one. We aren’t trying to build a causal relationship here. We’re simply trying to describe how much debt MSW students carry. Quantitative descriptive questions like this one are helpful in social work practice as part of community scans, in which human service agencies survey the various needs of the community they serve. If the scan reveals that the community requires more services related to housing, child care, or day treatment for people with disabilities, a nonprofit office can use the community scan to create new programs that meet a defined community need.

Quantitative descriptive questions will often ask for percentage, count the number of instances of a phenomenon, or determine an average. Descriptive questions may only include one variable, such as ours about student debt load, or they may include multiple variables. Because these are descriptive questions, our purpose is not to investigate causal relationships between variables. To do that, we need to use a quantitative explanatory question.

Quantitative explanatory questions

Most studies you read in the academic literature will be quantitative and explanatory. Why is that? If you recall from Chapter 2 , explanatory research tries to build nomothetic causal relationships. They are generalizable across space and time, so they are applicable to a wide audience. The editorial board of a journal wants to make sure their content will be useful to as many people as possible, so it’s not surprising that quantitative research dominates the academic literature.

Structurally, quantitative explanatory questions must contain an independent variable and dependent variable. Questions should ask about the relationship between these variables. The standard format I was taught in graduate school for an explanatory quantitative research question is: “What is the relationship between [independent variable] and [dependent variable] for [target population]?” You should play with the wording for your research question, revising that standard format to match what you really want to know about your topic.

Let’s take a look at a few more examples of possible research questions and consider the relative strengths and weaknesses of each. Table 9.1 does just that. While reading the table, keep in mind that I have only noted what I view to be the most relevant strengths and weaknesses of each question. Certainly each question may have additional strengths and weaknesses not noted in the table. Each of these questions is drawn from student projects in my research methods classes and reflects the work of many students on their research question over many weeks.

Making it more specific

A good research question should also be specific and clear about the concepts it addresses. A student investigating gender and household tasks knows what they mean by “household tasks.” You likely also have an impression of what “household tasks” means. But are your definition and the student’s definition the same? A participant in their study may think that managing finances and performing home maintenance are household tasks, but the researcher may be interested in other tasks like childcare or cleaning. The only way to ensure your study stays focused and clear is to be specific about what you mean by a concept. The student in our example could pick a specific household task that was interesting to them or that the literature indicated was important—for example, childcare. Or, the student could have a broader view of household tasks, one that encompasses childcare, food preparation, financial management, home repair, and care for relatives. Any option is probably okay, as long as the researcher is clear on what they mean by “household tasks.” Clarifying these distinctions is important as we look ahead to specifying how your variables will be measured in Chapter 11 .

Table 9.2 contains some “watch words” that indicate you may need to be more specific about the concepts in your research question.

It can be challenging to be this specific in social work research, particularly when you are just starting out your project and still reading the literature. If you’ve only read one or two articles on your topic, it can be hard to know what you are interested in studying. Broad questions like “What are the causes of chronic homelessness, and what can be done to prevent it?” are common at the beginning stages of a research project as working questions. However, moving from working questions to research questions in your research proposal requires that you examine the literature on the topic and refine your question over time to be more specific and clear. Perhaps you want to study the effect of a specific anti-homelessness program that you found in the literature. Maybe there is a particular model to fighting homelessness, like Housing First or transitional housing, that you want to investigate further. You may want to focus on a potential cause of homelessness such as LGBTQ+ discrimination that you find interesting or relevant to your practice. As you can see, the possibilities for making your question more specific are almost infinite.

Quantitative exploratory questions

In exploratory research, the researcher doesn’t quite know the lay of the land yet. If someone is proposing to conduct an exploratory quantitative project, the watch words highlighted in Table 9.2 are not problematic at all. In fact, questions such as “What factors influence the removal of children in child welfare cases?” are good because they will explore a variety of factors or causes. In this question, the independent variable is less clearly written, but the dependent variable, family preservation outcomes, is quite clearly written. The inverse can also be true. If we were to ask, “What outcomes are associated with family preservation services in child welfare?”, we would have a clear independent variable, family preservation services, but an unclear dependent variable, outcomes. Because we are only conducting exploratory research on a topic, we may not have an idea of what concepts may comprise our “outcomes” or “factors.” Only after interacting with our participants will we be able to understand which concepts are important.

Remember that exploratory research is appropriate only when the researcher does not know much about topic because there is very little scholarly research. In our examples above, there is extensive literature on the outcomes in family reunification programs and risk factors for child removal in child welfare. Make sure you’ve done a thorough literature review to ensure there is little relevant research to guide you towards a more explanatory question.

• Descriptive quantitative research questions are helpful for community scans but cannot investigate causal relationships between variables.
• Explanatory quantitative research questions must include an independent and dependent variable.
• Exploratory quantitative research questions should only be considered when there is very little previous research on your topic.
• Identify the type of research you are engaged in (descriptive, explanatory, or exploratory).
• Create a quantitative research question for your project that matches with the type of research you are engaged in.

Preferably, you should be creating an explanatory research question for quantitative research.

9.4 Qualitative research questions

• List the key terms associated with qualitative research questions
• Distinguish between qualitative and quantitative research questions

Qualitative research questions differ from quantitative research questions. Because qualitative research questions seek to explore or describe phenomena, not provide a neat nomothetic explanation, they are often more general and openly worded. They may include only one concept, though many include more than one. Instead of asking how one variable causes changes in another, we are instead trying to understand the experiences ,  understandings , and  meanings that people have about the concepts in our research question. These keywords often make an appearance in qualitative research questions.

Let’s work through an example from our last section. In Table 9.1, a student asked, “What is the relationship between sexual orientation or gender identity and homelessness for late adolescents in foster care?” In this question, it is pretty clear that the student believes that adolescents in foster care who identify as LGBTQ+ may be at greater risk for homelessness. This is a nomothetic causal relationship—LGBTQ+ status causes changes in homelessness.

However, what if the student were less interested in  predicting  homelessness based on LGBTQ+ status and more interested in  understanding  the stories of foster care youth who identify as LGBTQ+ and may be at risk for homelessness? In that case, the researcher would be building an idiographic causal explanation . The youths whom the researcher interviews may share stories of how their foster families, caseworkers, and others treated them. They may share stories about how they thought of their own sexuality or gender identity and how it changed over time. They may have different ideas about what it means to transition out of foster care.

Because qualitative questions usually center on idiographic causal relationships, they look different than quantitative questions. Table 9.3 below takes the final research questions from Table 9.1 and adapts them for qualitative research. The guidelines for research questions previously described in this chapter still apply, but there are some new elements to qualitative research questions that are not present in quantitative questions.

• Qualitative research questions often ask about lived experience, personal experience, understanding, meaning, and stories.
• Qualitative research questions may be more general and less specific.
• Qualitative research questions may also contain only one variable, rather than asking about relationships between multiple variables.

Qualitative research questions have one final feature that distinguishes them from quantitative research questions: they can change over the course of a study. Qualitative research is a reflexive process, one in which the researcher adapts their approach based on what participants say and do. The researcher must constantly evaluate whether their question is important and relevant to the participants. As the researcher gains information from participants, it is normal for the focus of the inquiry to shift.

For example, a qualitative researcher may want to study how a new truancy rule impacts youth at risk of expulsion. However, after interviewing some of the youth in their community, a researcher might find that the rule is actually irrelevant to their behavior and thoughts. Instead, their participants will direct the discussion to their frustration with the school administrators or the lack of job opportunities in the area. This is a natural part of qualitative research, and it is normal for research questions and hypothesis to evolve based on information gleaned from participants.

However, this reflexivity and openness unacceptable in quantitative research for good reasons. Researchers using quantitative methods are testing a hypothesis, and if they could revise that hypothesis to match what they found, they could never be wrong! Indeed, an important component of open science and reproducability is the preregistration of a researcher’s hypotheses and data analysis plan in a central repository that can be verified and replicated by reviewers and other researchers. This interactive graphic from 538 shows how an unscrupulous research could come up with a hypothesis and theoretical explanation  after collecting data by hunting for a combination of factors that results in a statistically significant relationship. This is an excellent example of how the positivist assumptions behind quantitative research and intepretivist assumptions behind qualitative research result in different approaches to social science.

• Qualitative research questions often contain words or phrases like “lived experience,” “personal experience,” “understanding,” “meaning,” and “stories.”
• Qualitative research questions can change and evolve over the course of the study.
• Using the guidance in this chapter, write a qualitative research question. You may want to use some of the keywords mentioned above.

9.5 Evaluating and updating your research questions

• Evaluate the feasibility and importance of your research questions
• Begin to match your research questions to specific designs that determine what the participants in your study will do

Feasibility and importance

As you are getting ready to finalize your research question and move into designing your research study, it is important to check whether your research question is feasible for you to answer and what importance your results will have in the community, among your participants, and in the scientific literature

Key questions to consider when evaluating your question’s feasibility include:

• Do you have access to the data you need?
• Will you be able to get consent from stakeholders, gatekeepers, and others?
• Does your project pose risk to individuals through direct harm, dual relationships, or breaches in confidentiality? (see Chapter 6 for more ethical considerations)
• Are you competent enough to complete the study?
• Do you have the resources and time needed to carry out the project?

Key questions to consider when evaluating the importance of your question include:

• Can we answer your research question simply by looking at the literature on your topic?
• How does your question add something new to the scholarly literature? (raises a new issue, addresses a controversy, studies a new population, etc.)
• How will your target population benefit, once you answer your research question?
• How will the community, social work practice, and the broader social world benefit, once you answer your research question?
• Using the questions above, check whether you think your project is feasible for you to complete, given the constrains that student projects face.
• Realistically, explore the potential impact of your project on the community and in the scientific literature. Make sure your question cannot be answered by simply reading more about your topic.

Matching your research question and study design

This chapter described how to create a good quantitative and qualitative research question. In Parts 3 and 4 of this textbook, we will detail some of the basic designs like surveys and interviews that social scientists use to answer their research questions. But which design should you choose?

As with most things, it all depends on your research question. If your research question involves, for example, testing a new intervention, you will likely want to use an experimental design. On the other hand, if you want to know the lived experience of people in a public housing building, you probably want to use an interview or focus group design.

We will learn more about each one of these designs in the remainder of this textbook. We will also learn about using data that already exists, studying an individual client inside clinical practice, and evaluating programs, which are other examples of designs. Below is a list of designs we will cover in this textbook:

• Surveys: online, phone, mail, in-person
• Experiments: classic, pre-experiments, quasi-experiments
• Interviews: in-person or via phone or videoconference
• Focus groups: in-person or via videoconference
• Content analysis of existing data
• Secondary data analysis of another researcher’s data
• Program evaluation

The design of your research study determines what you and your participants will do. In an experiment, for example, the researcher will introduce a stimulus or treatment to participants and measure their responses. In contrast, a content analysis may not have participants at all, and the researcher may simply read the marketing materials for a corporation or look at a politician’s speeches to conduct the data analysis for the study.

I imagine that a content analysis probably seems easier to accomplish than an experiment. However, as a researcher, you have to choose a research design that makes sense for your question and that is feasible to complete with the resources you have. All research projects require some resources to accomplish. Make sure your design is one you can carry out with the resources (time, money, staff, etc.) that you have.

There are so many different designs that exist in the social science literature that it would be impossible to include them all in this textbook. The purpose of the subsequent chapters is to help you understand the basic designs upon which these more advanced designs are built. As you learn more about research design, you will likely find yourself revising your research question to make sure it fits with the design. At the same time, your research question as it exists now should influence the design you end up choosing. There is no set order in which these should happen. Instead, your research project should be guided by whether you can feasibly carry it out and contribute new and important knowledge to the world.

• Research questions must be feasible and important.
• Research questions must match study design.
• Based on what you know about designs like surveys, experiments, and interviews, describe how you might use one of them to answer your research question.
• You may want to refer back to Chapter 2 which discusses how to get raw data about your topic and the common designs used in student research projects.
• Not familiar with SpongeBob SquarePants? You can learn more about him on Nickelodeon’s site dedicated to all things SpongeBob:  http://www.nick.com/spongebob-squarepants/ ↵
• Focus on the Family. (2005, January 26). Focus on SpongeBob.  Christianity Today . Retrieved from  http://www.christianitytoday.com/ct/2005/januaryweb-only/34.0c.html ↵
• BBC News. (2005, January 20). US right attacks SpongeBob video. Retrieved from:  http://news.bbc.co.uk/2/hi/americas/4190699.stm ↵
• In fact, an MA thesis examines representations of gender and relationships in the cartoon: Carter, A. C. (2010).  Constructing gender and   relationships in “SpongeBob SquarePants”: Who lives in a pineapple under the sea . MA thesis, Department of Communication, University of South Alabama, Mobile, AL. ↵
• Writing from an outline (10 minute read plus an 8 minute video, and then a 15 minute video)
• Writing your literature review (30 minute read)

Content warning: TBA

6.1: Writing from an outline

Learners will be able to...

• Integrate facts from the literature into scholarly writing
• Experiment with different approaches to integrating information that do not involve direct quotations from other authors

Congratulations! By now, you should have discovered, retrieved, evaluated, synthesized, and organized the information you need for your literature review. It’s now time to turn that stack of articles, papers, and notes into a literature review–it’s time to start writing!

The first step in research writing is outlining. In Chapter 4, we reviewed how to build a topical outline using quotations and facts from other authors. Use that outline (or one you write now) as a way to organize your thoughts.

Watch this video from Nicholas Cifuentes-Goodbody on Outlining . As he highlights, outlining is like building a mise en place before a meal--arranging your ingredients in an orderly way so you can create your masterpiece.

From quotations to original writing

Much like combining ingredients on a kitchen countertop, you will need to mix your ingredients together. That means you will not be relying extensively on quotations from other authors in your literature review. In moving from an outline to a literature review, the key intellectual move is relying on your own ideas about the literature, rather than quoting extensively from other sources.

Integrating ideas from other authors

Watch this video from Nicholas Cifuentes-Goodbody on using quotations in academic writing . In the video, he reviews a few different techniques to integrate quotations or ideas from other authors into your writing. All literature reviews use the ideas from other authors, but it's important not to overuse others' words. Your literature review is evaluated by your professor based on how well it shows  you are able to make connections between different facts in the scientific literature. The examples in this section should highlight how to get other people's words out of the way of your own. Use these strategies to diversify your writing and show your readers how your sources contributed to your work.

1. Make a claim without a quote

Claim ( Citation )

Some view cities as the storehouse of culture and creativity, and propose that urbanization is a consequence of the attractiveness of these social benefits ( Mumford, 1961 ).

More information

Oftentimes you do not need to directly quote a source to convey its conclusions or arguments – and some disciplines discourage quoting directly! Rather you can paraphrase the main point of a paper in your own words and provide an in-text citation. A benefit of using this strategy is that you can offer support for a claim without using a whole paragraph to introduce and frame a quote. You should make sure that you fully understand the paper's argument and that you are following university citation guidelines before attempting to paraphrase something from a paper.

2. Make a claim that is supported by two or more sources:

Claim ( Citation 1 ; Citation 2 ).

Reviews of this literature concede difficulty in making direct comparisons of emission levels across different sets of analysis ( Bader and Bleischwitz, 2009 ; Kennedy et al., 2009 ; Ramaswami et al., 2012 ).

Sometimes multiple sources support your claim, or there are two major publications that deserve credit for providing evidence on a topic. This is a perfect time to use multiple citations. You can cite two, three, or more sources in a single sentence!

Make a claim that has been supported in multiple contexts:

Context 1 ( Citation ), Context 2 ( Citation ), Context 3 ( Citation ).

These results are supported by more recent research on transportation energy consumption ( Liddle, 2014 ), electricity consumption in buildings ( Lariviere and Lafrance, 1999 ), and overall urban GHG emissions ( Marcotullio et al., 2013b ).

More information:

Use this citation strategy when you want to show that a body of research has found support for some claim across several different contexts. This can show the robustness of an effect or phenomenon and can give your claim some added validity

3. Quote important or unique terms

Claim " Term " ( Citation ).

The spatial implications of this thinking are manifest in the " concentric ring model " of urban expansion and its variants ( Harris and Ullman, 1945 ).

While block or even whole-sentence citations are rare in most research papers in the science and social science disciplines, there is often a need to quote specific terms or phrases that were first coined by a certain source or that were well-explained in a specific paper.

4. Quoting definitions

Contextualize quote , " important word or phrase ."

Role conflict is defined as "A situation in which contradictory, competing, or incompatible expectations are placed on an individual by two or more roles held at the same time" (Open Sociology Dictionary, 2023); whereas, role strain is defined as "a situation caused by higher-than-expected demands placed on an individual performing a specific role that leads to difficulty or stress" (Open Sociology Dictionary, 2023). In our study, we hypothesize that caregivers who reenter higher education experience role conflict between school work, paid work, and care work. Further, we hypothesize that this conflict is greater in individuals who had experienced role strain in employment or caregiving prior to entering college.

A direct quotation can bring attention to specific language in your source. When someone puts something perfectly, you can use a quotation to convey the identical meaning in your work. Definitions are an excellent example of when to use a quotation. In other cases, there may be quotations from important thinkers, clients or community members, and others whose specific wording is important.

I encourage you to use few, if any, direct quotations in your literature review. Personally, I think most students are scared of looking stupid and would rather use a good quotation than risk not getting it right. If you are a student who considers themselves a strong writer, this may not sound relevant to you. However, I'm willing to bet that there are many of your peers for whom this describes a particular bit of research anxiety.

When using quotations, make sure to only include the parts of the quotation that are necessary. You do not need to use quotation marks for statistics you use. And I encourage you to find ways to put others' statistics in  your sentences.

Why share information from other sources?

Now that you know some different sentence structures using APA citations, let's examine the purpose behind why you are sharing information from another source. Cited evidence can serve a wide range of purposes in academic papers. These examples will give you an idea of the different ways that you can use citations in your paper.

1. Summarize your source

The studies of Newman and Kenworthy ( 1989, 1999 ) demonstrate a negative relationship between population density and transportation fuel use .

You will help your reader understand your points better if you summarize the key points of a study. Describe the strengths or weaknesses a specific source that has been pivotal in your field. Describe the source's specific methodology, theory, or approach. Be sure to still include a citation. If you mention the name of the author in your text, you still need to provide the date of the study in a parenthetical citation.

2. Cite a method

Despite the popularity of the WUP indicators , they have been routinely criticized because the methodology relies on local- and country-specific definitions of bounding urban areas, resulting in of ten incomparable and widely divergent definitions of the population, density thresholds, or administrative/political units designated ( Satterthwaite, 2007 ).

This is an easy way to give credit to a source that has provided some evidence for the validity of a method or questionnaire. Readers can reference your citation if they are interested in knowing more about the method and its standing in the current literature.

3. Compare sources

Some evidence for this scaling relationship suggests that urban areas with larger population sizes have proportionally smaller energy infrastructures than smaller cities ( Bettencourt et al., 2007 ; Fragkias et al., 2013 ). Other evidence suggests that GHG emissions may increase more than proportionally to population size, such that larger cities exhibit proportionally higher energy demand as they grow than do smaller cities ( Marcotullio et al., 2013 ).

This is one of the most important techniques for creating an effective literature review. This allows you and your readers to consider controversies and discrepancies among the current literature, revealing gaps in the literature or points of contention for further study.

The examples in this guide come from:

Marcotullio, P. J., Hughes, S., Sarzynski, A., Pincetl, S., Sanchez Peña, L., Romero-Lankao, P., Runfola, D. and Seto, K. C. (2014), Urbanization and the carbon cycle: Contributions from social science. Earth's Future, 2: 496–514. doi:10.1002/2014EF000257

Avoiding plagiarism

The most difficult thing about avoiding plagiarism is that reading so much of other people's ideas can make them seem like your own after a while. We recommend you work through this interactive activity on determining how and when to cite other authors.

• Research writing requires outlining, which helps you arrange your facts neatly before writing. It's similar to arranging all of your ingredients before you start cooking.
• Eliminate quotations from your writing as much as possible. Your literature review needs to be your analysis of the literature, not just a summary of other people's good ideas.
• Experiment with the prompts in this chapter as you begin to write your research question. 

6.2 Writing your literature review

• Describe the components of a literature review
• Begin to write your literature review
• Identify the purpose of a problem statement
• Apply the components of a formal argument to your topic
• Use elements of formal writing style, including signposting and transitions
• Recognize commons errors in literature reviews

Writing about research is different than other types of writing. Research writing is not like a journal entry or opinion paper. The goal here is not to apply your research question to your life or growth as a practitioner. Research writing is about the provision and interpretation of facts. The tone should be objective and unbiased, and personal experiences and opinions are excluded. Particularly for students who are used to writing case notes, research writing can be a challenge. That's why its important to normalize getting help! If your professor has not built in peer review, consider setting up a peer review group among your peers. You should also reach out to your academic advisor to see if there are writing services on your campus available to graduate students. No one should feel bad for needing help with something they haven't done before, haven't done in a while, or were never taught how to do. 

If you’ve followed the steps in this chapter, you likely have an outline, summary table, and concept map from which you can begin the writing process. But what do you need to include in your literature review? We’ve mentioned it before, but to summarize, a literature review should:

• Introduce the topic and define its key terms.
• Establish the importance of the topic.
• Provide an overview of the important literature related to the concepts found in the research question.
• Identify gaps or controversies in the literature.
• Point out consistent findings across studies.
• Synthesize that which is known about a topic, rather than just provide a summary of the articles you read.
• Discuss possible implications and directions for future research.

Do you have enough facts and sources to accomplish these tasks? It’s a good time to consult your outlines and notes on each article you plan to include in your literature review. You may also want to consult with your professor on what is expected of you. If there is something you are missing, you may want to jump back to section 2.3 where we discussed how to search for literature. While you can always fill in material, there is the danger that you will start writing without really knowing what you are talking about or what you want to say. For example, if you don’t have a solid definition of your key concepts or a sense of how the literature has developed over time, it will be difficult to make coherent scholarly claims about your topic.

There is no magical point at which one is ready to write. As you consider whether you are ready, it may be useful to ask yourself these questions:

• How will my literature review be organized?
• What section headings will I be using?
• How do the various studies relate to each other?
• What contributions do they make to the field?
• Where are the gaps or limitations in existing research?
• And finally, but most importantly, how does my own research fit into what has already been done?

The problem statement

Scholarly works often begin with a problem statement, which serves two functions. First, it establishes why your topic is a social problem worth studying. Second, it pulls your reader into the literature review. Who would want to read about something unimportant?

A problem statement generally answers the following questions, though these are far from exhaustive:

• Why is this an important problem to study?
• How many people are affected by this problem?
• How does this problem impact other social issues relevant to social work?
• Why is your target population an important one to study?

A strong problem statement, like the rest of your literature review, should be filled with empirical results, theory, and arguments based on the extant literature. A research proposal differs significantly from other more reflective essays you’ve likely completed during your social work studies. If your topic were domestic violence in rural Appalachia, I’m sure you could come up with answers to the above questions without looking at a single source. However, the purpose of the literature review is not to test your intuition, personal experience, or empathy. Instead, research methods are about gaining specific and articulable knowledge to inform action. With a problem statement, you can take a “boring” topic like the color of rooms used in an inpatient psychiatric facility, transportation patterns in major cities, or the materials used to manufacture baby bottles, and help others see the topic as you see it—an important part of the social world that impacts social work practice.

The structure of a literature review

In general, the problem statement belongs at the beginning of the literature review. We usually advise students to spend no more than a paragraph or two for a problem statement. For the rest of your literature review, there is no set formula by which it needs to be organized. However, a literature review generally follows the format of any other essay—Introduction, Body, and Conclusion.

The introduction to the literature review contains a statement or statements about the overall topic. At a minimum, the introduction should define or identify the general topic, issue, or area of concern. You might consider presenting historical background, mentioning the results of a seminal study, and providing definitions of important terms. The introduction may also point to overall trends in what has been previously published on the topic or on conflicts in theory, methodology, evidence, conclusions, or gaps in research and scholarship. We also suggest putting in a few sentences that walk the reader through the rest of the literature review. Highlight your main arguments from the body of the literature review and preview your conclusion. An introduction should let the reader know what to expect from the rest of your review.

The body of your literature review is where you demonstrate your synthesis and analysis of the literature. Again, do not just summarize the literature. We would also caution against organizing your literature review by source—that is, one paragraph for source A, one paragraph for source B, etc. That structure will likely provide an adequate summary of the literature you’ve found, but it would give you almost no synthesis of the literature. That approach doesn’t tell your reader how to put those facts together, it doesn't highlight points of agreement or contention, or how each study builds on the work of others. In short, it does not demonstrate critical thinking.

Organize your review by argument

Instead, use your outlines and notes as a guide what you have to say about the important topics you need to cover. Literature reviews are written from the perspective of an expert in that field. After an exhaustive literature review, you should feel as though you are able to make strong claims about what is true—so make them! There is no need to hide behind “I believe” or “I think.” Put your voice out in front, loud and proud! But make sure you have facts and sources that back up your claims.

I’ve used the term “ argument ” here in a specific way. An argument in writing means more than simply disagreeing with what someone else said, as this classic Monty Python sketch demonstrates. Toulman, Rieke, and Janik (1984) identify six elements of an argument:

• Claim: the thesis statement—what you are trying to prove
• Grounds: theoretical or empirical evidence that supports your claim
• Warrant: your reasoning (rule or principle) connecting the claim and its grounds
• Backing: further facts used to support or legitimize the warrant
• Qualifier: acknowledging that the argument may not be true for all cases
• Rebuttal: considering both sides (as cited in Burnette, 2012) [1]

Let’s walk through an example. If I were writing a literature review on a negative income tax, a policy in which people in poverty receive an unconditional cash stipend from the government each month equal to the federal poverty level, I would want to lay out the following:

• Claim: the negative income tax is superior to other forms of anti-poverty assistance.
• Grounds: data comparing negative income tax recipients to people receiving anti-poverty assistance in existing programs, theory supporting a negative income tax, data from evaluations of existing anti-poverty programs, etc.
• Warrant: cash-based programs like the negative income tax are superior to existing anti-poverty programs because they allow the recipient greater self-determination over how to spend their money.
• Backing: data demonstrating the beneficial effects of self-determination on people in poverty.
• Qualifier: the negative income tax does not provide taxpayers and voters with enough control to make sure people in poverty are not wasting financial assistance on frivolous items.
• Rebuttal: policy should be about empowering the oppressed, not protecting the taxpayer, and there are ways of addressing taxpayer spending concerns through policy design.

Like any effective argument, your literature review must have some kind of structure. For example, it might begin by describing a phenomenon in a general way along with several studies that provide some detail, then describing two or more competing theories of the phenomenon, and finally presenting a hypothesis to test one or more of the theories. Or, it might describe one phenomenon, then describe another that seems inconsistent with the first, then propose a theory that resolves the inconsistency, and finally present a hypothesis to test that theory. In applied research, it might describe a phenomenon or theory, then describe how that phenomenon or theory applies to some important real-world situation, and finally, may suggest a way to test whether it does, in fact, apply to that situation.

Use signposts

Another important issue is  signposting . It may not be a term you are familiar with, but you are likely familiar with the concept. Signposting refers to the words used to identify the organization and structure of your literature review to your reader. The most basic form of signposting is using a topic sentence at the beginning of each paragraph. A topic sentence introduces the argument you plan to make in that paragraph. For example, you might start a paragraph stating, “There is strong disagreement in the literature as to whether psychedelic drugs cause people to develop psychotic disorders, or whether psychotic disorders cause people to use psychedelic drugs.” Within that paragraph, your reader would likely assume you will present evidence for both arguments. The concluding sentence of your paragraph should address the topic sentence, discussing how the facts and arguments from the paragraph you've written support a specific conclusion. To continue with our example, I might say, “There is likely a reciprocal effect in which both the use of psychedelic drugs worsens pre-psychotic symptoms and worsening psychosis increases the desire to use psychedelic drugs.”

Signposting also involves using headings and subheadings. Your literature review will use APA formatting, which means you need to follow their rules for bolding, capitalization, italicization, and indentation of headings. Headings help your reader understand the structure of your literature review. They can also help if the reader gets lost and needs to re-orient themselves within the document. We often tell our students to assume we know nothing (they don’t mind) and need to be shown exactly where they are addressing each part of the literature review. It’s like walking a small child around, telling them “First we’ll do this, then we’ll do that, and when we’re done, we’ll know this!”

Another way to use signposting is to open each paragraph with a sentence that links the topic of the paragraph with the one before it. Alternatively, one could end each paragraph with a sentence that links it with the next paragraph. For example, imagine we wanted to link a paragraph about barriers to accessing healthcare with one about the relationship between the patient and physician. We could use a transition sentence like this: “Even if patients overcome these barriers to accessing care, the physician-patient relationship can create new barriers to positive health outcomes.” A transition sentence like this builds a connection between two distinct topics. Transition sentences are also useful within paragraphs. They tell the reader how to consider one piece of information in light of previous information. Even simple transitional words like 'however' and 'similarly' can help demonstrate critical thinking and link each building block of your argument together.

Many beginning researchers have difficulty incorporating transitions into their writing. Let’s look at an example. Instead of beginning a sentence or paragraph by launching into a description of a study, such as “Williams (2004) found that…,” it is better to start by indicating something about why you are describing this particular study. Here are some simple examples:

• Another example of this phenomenon comes from the work of Williams (2004)...
• Williams (2004) offers one explanation of this phenomenon...
• An alternative perspective has been provided by Williams (2004)...

Now that we know to use signposts, the natural question is “What goes on the signposts?” First, it is important to start with an outline of the main points that you want to make, organized in the order you want to make them. The basic structure of your argument should then be apparent from the outline itself. Unfortunately, there is no formula we can give you that will work for everyone, but we can provide some general pointers on structuring your literature review.

The literature review tends to move from general to more specific ideas. You can build a review by identifying areas of consensus and areas of disagreement. You may choose to present historical studies—preferably seminal studies that are of significant importance—and close with the most recent research. Another approach is to start with the most distantly related facts and literature and then report on those most closely related to your research question. You could also compare and contrast valid approaches, features, characteristics, theories – that is, one approach, then a second approach, followed by a third approach.

Here are some additional tips for writing the body of your literature review:

• Start broad and then narrow down to more specific information.
• When appropriate, cite two or more sources for a single point, but avoid long strings of references for a single idea.
• Use quotes sparingly. Quotations for definitions are okay, but reserve quotes for when something is said so well you couldn’t possible phrase it differently. Never use quotes for statistics.
• Paraphrase when you need to relay the specific details within an article
• Include only the aspects of the study that are relevant to your literature review. Don’t insert extra facts about a study just to take up space.
• Avoid reflective, personal writing. It is traditional to avoid using first-person language (I, we, us, etc.).
• Avoid informal language like contractions, idioms, and rhetorical questions.
• Note any sections of your review that lack citations from the literature. Your arguments need to be based in empirical or theoretical facts. Do not approach this like a reflective journal entry.
• Point out consistent findings and emphasize stronger studies over weaker ones.
• Point out important strengths and weaknesses of research studies, as well as contradictions and inconsistent findings.
• Implications and suggestions for further research (where there are gaps in the current literature) should be specific.

The conclusion should summarize your literature review, discuss implications, and create a space for further research needed in this area. Your conclusion, like the rest of your literature review, should make a point. What are the important implications of your literature review? How do they inform the question you are trying to answer?

You should consult with your professor and the course syllabus about the final structure your literature review should take. Here is an example of one possible structure:

• Establish the importance of the topic
• Number and type of people affected
• Seriousness of the impact
• Physical, psychological, economic, social, or spiritual consequences of the problem
• Definitions of key terms
• Supporting evidence
• Common findings across studies, gaps in the literature
• Research question(s) and hypothesis(es)

Editing your literature review

Literature reviews are more than a summary of the publications you find on a topic. As you have seen in this brief introduction, literature reviews represent a very specific type of research, analysis, and writing. We will explore these topics further in upcoming chapters. As you begin your literature review, here are some common errors to avoid:

• Accepting a researcher’s finding as valid without evaluating methodology and data
• Ignoring contrary findings and alternative interpretations
• Using findings that are not clearly related to your own study or using findings that are too general
• Dedicating insufficient time to literature searching
• Reporting statistical results from a single study, rather than synthesizing the results of multiple studies to provide a comprehensive view of the literature on a topic
• Relying too heavily on secondary sources
• Overusing quotations
• Not justifying arguments using specific facts or theories from the literature

For your literature review, remember that your goal is to construct an argument for the importance of your research question. As you start editing your literature review, make sure it is balanced. Accurately report common findings, areas where studies contradict each other, new theories or perspectives, and how studies cause us to reaffirm or challenge our understanding of your topic.

It is acceptable to argue that the balance of the research supports the existence of a phenomenon or is consistent with a theory (and that is usually the best that researchers in social work can hope for), but it is not acceptable to ignore contradictory evidence. A large part of what makes a research question interesting is uncertainty about its answer (University of Minnesota, 2016). [2]

In addition to subjectivity and bias, writer's block can obstruct the completion of your literature review. Often times, writer’s block can stem from confusing the creating and editing parts of the writing process. Many writers often start by simply trying to type out what they want to say, regardless of how good it is. Author Anne Lamott (1995) [3] terms these “shitty first drafts,” and we all write them. They are a natural and important part of the writing process.

Even if you have a detailed outline from which to work, the words are not going to fall into place perfectly the first time you start writing. You should consider turning off the editing and critiquing part of your brain for a while and allow your thoughts to flow. Don’t worry about putting a correctly formatted internal citation (as long as  you know which source you used there) when you first write. Just get the information out. Only after you’ve reached a natural stopping point might you go back and edit your draft for grammar, APA style, organization, flow, and more. Divorcing the writing and editing process can go a long way to addressing writer’s block—as can picking a topic about which you have something to say!

As you are editing, keep in mind these questions adapted from Green (2012): [4]

• Content: Have I clearly stated the main idea or purpose of the paper? Is the thesis or focus clearly presented and appropriate for the reader?
• Organization: How well is it structured? Is the organization spelled out and easy to follow for the reader ?
• Flow: Is there a logical flow from section to section, paragraph to paragraph, sentence to sentence? Are there transitions between and within paragraphs that link ideas together?
• Development: Have I validated the main idea with supporting material? Are supporting data sufficient? Does the conclusion match the introduction?
• Form: Are there any APA style issues, redundancy, problematic wording and terminology (always know the definition of any word you use!), flawed sentence constructions and selection, spelling, and punctuation?

Social workers use the APA style guide to format and structure their literature reviews. Most students know APA style only as it relates to internal and external citations. If you are confused about them, consult this amazing APA style guide from the University of Texas-Arlington library. Your university's library likely has resources they created to help you with APA style, and you can meet with a librarian or your professor to talk about formatting questions you have. Make sure you budget in a few hours at the end of each project to build a correctly formatted references page and check your internal citations. The highest quality online source of information on APA style is the APA style blog, where you can search questions and answers from the

Of course, APA style is about much more than knowing there is a period after "et al." or citing the location a book was published. APA style is also about what the profession considers to be good writing. If you haven't picked up an APA publication manual because you use citation generators, know that I did the same thing when I was in school. Purchasing the APA manual can help you with a common problem we hear about from students. Every professor (and every website about APA style) seems to have their own peculiar idea of "correct" APA style that you can, if needed, demonstrate is not accurate.

• A literature review is not a book report. Do not organize it by article, with one paragraph for each source in your references. Instead, organize it based on the key ideas and arguments.
• The problem statement draws the reader into your topic by highlighting the importance of the topic to social work and to society overall.
• Signposting is an important component of academic writing that helps your reader follow the structure of your argument and of your literature review.
• Transitions demonstrate critical thinking and help guide your reader through your arguments.
• Editing and writing are separate processes.
• Consult with an APA style guide or a librarian to help you format your paper.

Look at your professor's prompt for the literature review component of your research proposal (or if you don't have one, use the example question provided in this section).

• Write 2-3 facts you would use to address each question or component in the prompt.
• Reflect on which questions you have a lot of information about and which you need to gather more information about in order to answer adequately.

Outline the structure of your literature review using your concept map from Section 5.2 as a guide.

• Identify the key arguments you will make and how they are related to each other.
• Reflect on topic sentences and concluding sentences you would use for each argument.
• Human subjects research (19 minute read)
• Specific ethical issues to consider (12 minute read)
• Benefits and harms of research across the ecosystem (7 minute read)
• Being an ethical researcher (8 minute read)

Content warning: examples in this chapter contain references to numerous incidents of unethical medical experimentation (e.g. intentionally injecting diseases into unknowing participants, withholding proven treatments), social experimentation under extreme conditions (e.g. being directed to deliver electric shocks to test obedience), violations of privacy, gender and racial inequality, research with people who are incarcerated or on parole, experimentation on animals, abuse of people with Autism, community interactions with law enforcement, WWII, the Holocaust, and Nazi activities (especially related to research on humans).

With your literature review underway, you are ready to begin thinking in more concrete terms about your research topic. Recall our discussion in Chapter 2 on practical and ethical considerations that emerge as part of the research process. In this chapter, we will expand on the ethical boundaries that social scientists must abide by when conducting human subjects research. As a result of reading this chapter, you should have a better sense of what is possible and ethical for the research project you create.

6.1 Human subjects research

• Understand what we mean by ethical research and why it is important
• Understand some of the egregious ethical violations that have occurred throughout history

While all research comes with its own set of ethical concerns, those associated with research conducted on human subjects vary dramatically from those of research conducted on nonliving entities. The US Department of Health and Human Services (USDHHS) defines a human subject as “a living individual about whom an investigator (whether professional or student) conducting research obtains (1) data through intervention or interaction with the individual, or (2) identifiable private information” (USDHHS, 1993, para. 1). [5] Some researchers prefer the term "participants" to "subjects'" as it acknowledges the agency of people who participate in the study. For our purposes, we will use the two terms interchangeably.

In some states, human subjects also include deceased individuals and human fetal materials. Nonhuman research subjects, on the other hand, are objects or entities that investigators manipulate or analyze in the process of conducting research. Nonhuman research subjects typically include sources such as newspapers, historical documents, pieces of clothing, television shows, buildings, and even garbage (to name just a few), that are analyzed for unobtrusive research projects. Unsurprisingly, research on human subjects is regulated much more heavily than research on nonhuman subjects. This is why many student research projects use data that is publicly available, rather than recruiting their own study participants. However, there are ethical considerations that all researchers must take into account, regardless of their research subject. We’ll discuss those considerations in addition to concerns that are unique to human subject research.

Why do research participants need protection?

First and foremost, we are professionally bound to engage in the ethical practice of research. This chapter discusses ethical research and will show you how to engage in research that is consistent with the NASW Code of Ethics as well as national and international ethical standards all researchers are accountable to. Before we begin, we need to understand the historical occurrences that were the catalyst for the formation of the current ethical standards . This chapter will enable you to view ethics from a micro, mezzo, and macro perspective.

The research process has led to many life-changing discoveries; these have improved life expectancy, improved living conditions, and helped us understand what contributes to certain social problems. That said, not all research has been conducted in respectful, responsible, or humane ways. Unfortunately, some research projects have dramatically marginalized, oppressed, and harmed participants and whole communities.

Would you believe that the following actions have been carried out in the name of research? I realize there was a content warning at the beginning of the chapter, but it is worth mentioning that the list below of research atrocities may be particularly upsetting or triggering.

• intentionally froze healthy body parts of prisoners to see if they could develop a treatment for freezing [6]
• scaled the body parts of prisoners to how best to treat soldiers who had injuries from being exposed to high temperatures [7]
• intentionally infected healthy individuals to see if they could design effective methods of treatment for infections [8]
• gave healthy people TB to see if they could treat it [9]
• attempted to transplant limbs, bones, and muscles to another person to see if this was possible [10]
• castrated and irradiated genitals to see if they could develop a faster method of sterilization [11]
• starved people and only allowed them to drink seawater to see if they could make saline water drinkable [12]
• artificially inseminated women with animal sperm to see what would happen [13]
• gassed living people to document how they would die [14]
• conducted cruel experiments on people and if they did not die, would kill them so they could undergo an autopsy [15]
• refused to treat syphilis in African American men (when treatment was available) because they wanted to track the progression of the illness [16]
• vivisected humans without anesthesia to see how illnesses that researches gave prisoners impacted their bodies [17]
• intentionally tried to infect prisoners with the Bubonic Plague [18]
• intentionally infected prisoners, prostitutes, soldiers, and children with syphilis to study the disease's progression [19]
• performed gynecological experiments on female slaves without anesthesia to investigate new surgical methods [20]

The sad fact is that not only did all of these occur, in many instances, these travesties continued for years until exposed and halted. Additionally, these examples have contributed to the formation of a legacy of distrust toward research. Specifically, many underrepresented groups have a deep distrust of agencies that implement research and are often skeptical of research findings. This has made it difficult for groups to support and have confidence in medical treatments, advances in social service programs, and evidence-informed policy changes. While the aforementioned unethical examples may have ended, this deep and painful wound on the public's trust remains. Consequently, we must be vigilant in our commitment to ethical research.

Many of the situations described may seem like extreme historical cases of misuse of power as researchers. However, ethical problems in research don't just happen in these extreme occurrences. None of us are immune to making unethical choices and the ethical practice of research requires conscientious mindful attention to what we are asking of our research participants. A few examples of less noticeable ethical issues might include: failing to fully explain to someone in advance what their participation might involve because you are in a rush to recruit a large enough sample; or only presenting findings that support your ideas to help secure a grant that is relevant to your research area. Remember, any time research is conducted with human beings, there is the chance that ethical violations may occur that pose social, emotional, and even physical risks for groups, and this is especially true when vulnerable or oppressed groups are involved.

A brief history of unethical social science research

Research on humans hasn’t always been regulated in the way it is today. The earliest documented cases of research using human subjects are of medical vaccination trials (Rothman, 1987). [21] One such case took place in the late 1700s, when scientist Edward Jenner exposed an 8-year-old boy to smallpox in order to identify a vaccine for the devastating disease. Medical research on human subjects continued without much law or policy intervention until the mid-1900s when, at the end of World War II, a number of Nazi doctors and scientists were put on trial for conducting human experimentation during the course of which they tortured and murdered many concentration camp inmates (Faden & Beauchamp, 1986). [22] The trials, conducted in Nuremberg, Germany, resulted in the creation of the Nuremberg Code , a 10-point set of research principles designed to guide doctors and scientists who conduct research on human subjects. Today, the Nuremberg Code guides medical and other research conducted on human subjects, including social scientific research.

Medical scientists are not the only researchers who have conducted questionable research on humans. In the 1960s, psychologist Stanley Milgram (1974) [23] conducted a series of experiments designed to understand obedience to authority in which he tricked subjects into believing they were administering an electric shock to other subjects. In fact, the shocks weren’t real at all, but some, though not many, of Milgram’s research participants experienced extreme emotional distress after the experiment (Ogden, 2008). [24] A reaction of emotional distress is understandable. The realization that one is willing to administer painful shocks to another human being just because someone who looks authoritative has told you to do so might indeed be traumatizing—even if you later learn that the shocks weren’t real.

Around the same time that Milgram conducted his experiments, sociology graduate student Laud Humphreys (1970) [25] was collecting data for his dissertation on the tearoom trade, which was the practice of men engaging in anonymous sexual encounters in public restrooms. Humphreys wished to understand who these men were and why they participated in the trade. To conduct his research, Humphreys offered to serve as a “watch queen,” in a local park restroom where the tearoom trade was known to occur. His role would be to keep an eye out for police while also getting the benefit of being able to watch the sexual encounters. What Humphreys did not do was identify himself as a researcher to his research subjects. Instead, he watched his subjects for several months, getting to know several of them, learning more about the tearoom trade practice and, without the knowledge of his research subjects, jotting down their license plate numbers as they pulled into or out of the parking lot near the restroom.

Sometime after participating as a watch queen, with the help of several insiders who had access to motor vehicle registration information, Humphreys used those license plate numbers to obtain the names and home addresses of his research subjects. Then, disguised as a public health researcher, Humphreys visited his subjects in their homes and interviewed them about their lives and their health. Humphreys’ research dispelled a good number of myths and stereotypes about the tearoom trade and its participants. He learned, for example, that over half of his subjects were married to women and many of them did not identify as gay or bisexual. [26]

Once Humphreys’ work became public, there was some major controversy at his home university (e.g., the chancellor tried to have his degree revoked), among scientists in general, and among members of the public, as it raised public concerns about the purpose and conduct of social science research. In addition, the Washington   Post  journalist Nicholas von Hoffman wrote the following warning about “sociological snoopers”:

We’re so preoccupied with defending our privacy against insurance investigators, dope sleuths, counterespionage men, divorce detectives and credit checkers, that we overlook the social scientists behind the hunting blinds who’re also peeping into what we thought were our most private and secret lives. But they are there, studying us, taking notes, getting to know us, as indifferent as everybody else to the feeling that to be a complete human involves having an aspect of ourselves that’s unknown (von Hoffman, 1970). [27]

In the original version of his report, Humphreys defended the ethics of his actions. In 2008 [28] , years after Humphreys’ death, his book was reprinted with the addition of a retrospect on the ethical implications of his work. In his written reflections on his research and the fallout from it, Humphreys maintained that his tearoom observations constituted ethical research on the grounds that those interactions occurred in public places. But Humphreys added that he would conduct the second part of his research differently. Rather than trace license numbers and interview unwitting tearoom participants in their homes under the guise of public health research, Humphreys instead would spend more time in the field and work to cultivate a pool of informants. Those informants would know that he was a researcher and would be able to fully consent to being interviewed. In the end, Humphreys concluded “there is no reason to believe that any research subjects have suffered because of my efforts, or that the resultant demystification of impersonal sex has harmed society” (Humphreys, 2008, p. 231). [29]

Today, given increasing regulation of social scientific research, chances are slim that a researcher would be allowed to conduct a project similar to Humphreys’. Some argue that Humphreys’ research was deceptive, put his subjects at risk of losing their families and their positions in society, and was therefore unethical (Warwick, 1973; Warwick, 1982). [30] Others suggest that Humphreys’ research “did not violate any premise of either beneficence or the sociological interest in social justice” and that the benefits of Humphreys’ research, namely the dissolution of myths about the tearoom trade specifically and human sexual practice more generally, outweigh the potential risks associated with the work (Lenza, 2004, p. 23). [31] What do you think, and why?

These and other studies (Reverby, 2009) [32] led to increasing public awareness of and concern about research on human subjects. In 1974, the US Congress enacted the National Research Act , which created the National Commission for the Protection of Human Subjects in Biomedical and Behavioral Research. The commission produced  The Belmont Report , a document outlining basic ethical principles for research on human subjects (National Commission for the Protection of Human Subjects in Biomedical and Behavioral Research, 1979). [33] The National Research Act (1974) [34] also required that all institutions receiving federal support establish institutional review boards (IRBs) to protect the rights of human research subjects. Since that time, many organizations that do not receive federal support but where research is conducted have also established review boards to evaluate the ethics of the research that they conduct. IRBs are overseen by the federal Office of Human Research Protections .

The Belmont Report

As mentioned above, The Belmont Report is a federal document that outlines the foundational principles that guide the ethical practice of research in the United States. These ethical principles include: respect for persons, beneficence, and justice. Each of these terms has specific implications as they are applied to the practice of research. These three principles arose as a response to many of the mistreatment and abuses that have been previously discussed and provide important guidance as researchers consider how they will construct and conduct their research studies. As you are crafting your research proposal, makes sure you are mindful of these important ethical guidelines.

Respect for Persons

As social workers, our professional code of ethics requires that we recognize and respect the "inherent dignity and worth of the person." [35] This is very similar to the ethical research principle of r espect for persons . According to this principle, as researchers, we need to treat all research participants with respect, dignity and inherent autonomy. This is reflected by ensuring that participants have self-determination to make informed decisions about their participation in research, that they have a clear understanding of what they will be asked to do and any risks involved, and that their participation is voluntary and can be stopped at any time. Furthermore, for those persons who may have diminished autonomy (e.g. children, people who are incarcerated), extra protections must be built in to these research studies to ensure that respect for persons continues to be demonstrated towards these groups, as they may be especially vulnerable to exploitation and coercion through the research process. A critical tool in establishing respect for persons in your research is the informed consent process, which will be discussed in more detail below.

Beneficence

You may not be familiar with this word yet, but the concept is pretty straightforward. The main idea with beneficence is that the intent of research is to do good. As researchers, to accomplish this, we seek to maximize benefits and minimize risks. Benefits may be something good or advantageous directly received by the research participant, or they may represent a broader good to a wider group of people or the scientific community at large (such as increasing knowledge about the topic or social problem that you are studying). Risks are potential physical, social, or emotional harm that may come about as a response to participation in a study. These risks may be more immediate (e.g. risk of identifying information about a participant being shared, or a participant being upset or triggered by a particular question), or long-term (e.g. some aspect about the person could be shared that could lead to long-term stigmatization). As researchers, we need to think about risk that might be experienced by the individual, but also risks that might be directed towards the community or population(s) the individual may represent. For instance, if our study is specifically focused on surveying single parents, we need to consider how the sharing of our findings might impact this group and how they are perceived. It is a very rare study in which there is no risk to participants. However, a well-designed and ethically sound study will seek to minimize these risks, provide resources to anticipate and address them, and maximize the benefits that are gained through the study.

The final ethical principle we need to cover is justice. While you likely have some idea what justice is, for the purposes of research, justice is the idea that the benefits and the burdens of research are distributed fairly across populations and groups. To help illustrate the concept of justice in research, research in the area of mental health and psychology has historically been critiqued as failing to adequately represent women and people of diverse racial and ethnic groups in their samples (Cundiff, 2012). [36] This has created a body of knowledge that is overly representative of the white male experience, further reinforcing systems of power and privilege. In addition, consider the influence of language as it relates to research justice. If we create studies that only recruit participants fluent in English, which many studies do, we are often failing to satisfy the ethical principle of justice as it applies to people who don't speak English. It is unrealistic to think that we can represent all people in all studies. However, we do need to thoughtfully acknowledge voices that might not be reflected in our samples and attempt to recruit diverse and representative samples whenever possible.

These three principles provide the foundation for the oversight work that is carried out by Institutional Review Boards, our next topic.

Institutional review boards

Institutional review boards, or IRBs, are tasked with ensuring that the rights and welfare of human research subjects will be protected at all institutions, including universities, hospitals, nonprofit research institutions, and other organizations, that receive federal support for research. IRBs typically consist of members from a variety of disciplines, such as sociology, economics, education, social work, and communications (to name a few). Most IRBs also include representatives from the community in which they reside. For example, representatives from nearby prisons, hospitals, or treatment centers might sit on the IRBs of university campuses near them. The diversity of membership helps to ensure that the many and complex ethical issues that may arise from human subjects research will be considered fully and by a knowledgeable and experienced panel. Investigators conducting research on human subjects are required to submit proposals outlining their research plans to IRBs for review and approval prior to beginning their research. Even students who conduct research on human subjects must have their proposed work reviewed and approved by the IRB before beginning any research (though, on some campuses, exceptions are made for student projects that will not be shared outside of the classroom).

The IRB has three levels of review, defined in statute by the USDHHS.

Exempt review is the lowest level of review. Studies that are considered exempt expose participants to the least potential for harm and often involve little participation by human subjects. In social work, exempt studies often examine data that is publicly available or secondary data from another researcher that has been de-identified by the person who collected it.

Expedited review is the middle level of review. Studies considered under expedited review do not have to go before the full IRB board because they expose participants to minimal risk. However, the studies must be thoroughly reviewed by a member of the IRB committee. While there are many types of studies that qualify for expedited review, the most relevant to social workers include the use of existing medical records, recordings (such as interviews) gathered for research purposes, and research on individual group characteristics or behavior.

Finally, the highest level of review is called a  full board review . A full board review will involve multiple members of the IRB evaluating your proposal. When researchers submit a proposal under full board review, the full IRB board will meet, discuss any questions or concerns with the study, invite the researcher to answer questions and defend their proposal, and vote to approve the study or send it back for revision. Full board proposals pose greater than minimal risk to participants. They may also involve the participation of  vulnerable populations , or people who need additional protection from the IRB. Vulnerable populations include prisoners, children, people with cognitive impairments, people with physical disabilities, employees, and students. While some of these populations can fall under expedited review in some cases, they will often require the full IRB to approve their study.

It may surprise you to hear that IRBs are not always popular or appreciated by researchers. Who wouldn’t want to conduct ethical research, you ask? In some cases, the concern is that IRBs are most well-versed in reviewing biomedical and experimental research, neither of which is particularly common within social work. Much social work research, especially qualitative research, is open-ended in nature, a fact that can be problematic for IRBs. The members of IRBs often want to know in advance exactly who will be observed, where, when, and for how long, whether and how they will be approached, exactly what questions they will be asked, and what predictions the researcher has for their findings. Providing this level of detail for a year-long participant observation within an activist group of 200-plus members, for example, would be extraordinarily frustrating for the researcher in the best case and most likely would prove to be impossible. Of course, IRBs do not intend to have researchers avoid studying controversial topics or avoid using certain methodologically sound data collection techniques, but unfortunately, that is sometimes the result. The solution is not to eradicate review boards, which serve a necessary and important function, but instead to help educate IRB members about the variety of social scientific research methods and topics covered by social workers and other social scientists.

What we have provided here is only a short summary of federal regulations and international agreements that provide the boundaries between ethical and unethical research.

Here are a few more detailed guides for continued learning about research ethics and human research protections.

• University of California, San Francisco: Levels of IRB Review
• United States Department of Health and Human Services: The Belmont Report
• NIH, National Institute of Environmental Health Sciences: What is Ethics in Research & Why is it important 
• NIH: Guiding Principles for Ethical Research
• Council on Social Work Education: National Statement on Research Integrity in Social Work
• Butler, I. (2002). A code of ethics for social work and social care research.  British Journal of Social Work ,  32 (2), 239-248
• Research on human subjects presents a unique set of challenges and opportunities when it comes to conducting ethical research.
• Research on human subjects has not always been regulated to the extent that it is today.
• All institutions receiving federal support for research must have an IRB. Organizations that do not receive federal support but where research is conducted also often include IRBs as part of their organizational structure.
• Researchers submit studies for IRB review at one of three different levels, depending on the level of harm the study may cause.
• Recall whether your project will gather data from human subjects and sketch out what the data collection process might look like.
• Identify which level of IRB review is most appropriate for your project.
• For many students, your professors may have existing agreements with your university's IRB that allow students to conduct research projects outside the supervision of the IRB. Make sure that your project falls squarely within those parameters. If you feel you may be outside of such an agreement, consult with your professor to see if you will need to submit your study for IRB review before starting your project.

6.2 Specific ethical issues to consider

• Define informed consent, and describe how it works
• Identify the unique concerns related to the study of vulnerable populations
• Differentiate between anonymity and confidentiality
• Explain the ethical responsibilities of social workers conducting research

As should be clear by now, conducting research on humans presents a number of unique ethical considerations. Human research subjects must be given the opportunity to consent to their participation in research, and be fully informed of the study’s risks, benefits, and purpose. Further, subjects’ identities and the information they share should be protected by researchers. Of course, how consent and identity protection are defined may vary by individual researcher, institution, or academic discipline. In this section, we’ll take a look at a few specific topics that individual researchers must consider before embarking on research with human subjects.

Informed consent

An expectation of voluntary participation is presumed in all social work research projects. In other words, we cannot force anyone to participate in our research without that person’s knowledge or consent. Researchers must therefore design procedures to obtain subjects’ informed consent to participate in their research. This specifically relates back to the ethical principle of respect for persons outlined in The Belmont Report . Informed consent  is defined as a subject’s voluntary agreement to participate in research based on a full understanding of the research and of the possible risks and benefits involved. Although it sounds simple, ensuring that one has actually obtained informed consent is a much more complex process than you might initially presume.

The first requirement is that, in giving their informed consent, subjects may neither waive nor even  appear  to waive any of their legal rights. Subjects also cannot release a researcher, her sponsor, or institution from any legal liability should something go wrong during the course of their participation in the research (USDHHS,2009). [37] Because social work research does not typically involve asking subjects to place themselves at risk of physical harm by, for example, taking untested drugs or consenting to new medical procedures, social work researchers do not often worry about potential liability associated with their research projects. However, their research may involve other types of risks.

For example, what if a social work researcher fails to sufficiently conceal the identity of a subject who admits to participating in a local swinger’s club? In this case, a violation of confidentiality may negatively affect the participant’s social standing, marriage, custody rights, or employment. Social work research may also involve asking about intimately personal topics that may be difficult for participants to discuss, such as trauma or suicide. Participants may re-experience traumatic events and symptoms when they participate in your study. Even if you are careful to fully inform your participants of all risks before they consent to the research process, I’m sure you can empathize with thinking you could bear talking about a difficult topic and then finding it too overwhelming once you start. In cases like these, it is important for a social work researcher to have a plan to provide supports. This may mean providing referrals to counseling supports in the community or even calling the police if the participant is an imminent danger to himself or others.

It is vital that social work researchers explain their mandatory reporting duties in the consent form and ensure participants understand them before they participate. Researchers should also emphasize to participants that they can stop the research process at any time or decide to withdraw from the research study for any reason. Importantly, it is not the job of the social work researcher to act as a clinician to the participant. While a supportive role is certainly appropriate for someone experiencing a mental health crisis, social workers must ethically avoid dual roles. Referring a participant in crisis to other mental health professionals who may be better able to help them is the expectation.

Beyond the legal issues, most IRBs require researchers to share some details about the purpose of the research, possible benefits of participation, and, most importantly, possible risks associated with participating in that research with their subjects. In addition, researchers must describe how they will protect subjects’ identities, how, where, and for how long any data collected will be stored, how findings may be shared, and whom to contact for additional information about the study or about subjects’ rights. All this information is typically shared in an informed consent form that researchers provide to subjects. In some cases, subjects are asked to sign the consent form indicating that they have read it and fully understand its contents. In other cases, subjects are simply provided a copy of the consent form and researchers are responsible for making sure that subjects have read and understand the form before proceeding with any kind of data collection. Your IRB will often provide guidance or even templates for what they expect to see included in an informed consent form. This is a document that they will inspect very closely. Table 6.1 outlines elements to include in your informed consent. While these offer a guideline for you, you should always visit your schools, IRB website to see what guidance they offer. They often provide a template that they prefer researchers to use. Using these templates ensures that you are using the language that the IRB reviewers expect to see and this can also save you time.

One last point to consider when preparing to obtain informed consent is that not all potential research subjects are considered equally competent or legally allowed to consent to participate in research. Subjects from vulnerable populations may be at risk of experiencing undue influence or coercion (USDHHS, 2009). [38] The rules for consent are more stringent for vulnerable populations. For example, minors must have the consent of a legal guardian in order to participate in research. In some cases, the minors themselves are also asked to participate in the consent process by signing special, age-appropriate assent forms designed specifically for them. Prisoners and parolees also qualify as vulnerable populations. Concern about the vulnerability of these subjects comes from the very real possibility that prisoners and parolees could perceive that they will receive some highly desired reward, such as early release, if they participate in research or that there could be punitive consequences if they choose not to participate. When a participant faces undue or excess pressure to participate by either favorable or unfavorable means, this is known as coercion and must be avoided by researchers.

Another potential concern regarding vulnerable populations is that they may be underrepresented or left out of research opportunities, specifically because of concerns about their ability to consent. So, on the one hand, researchers must take extra care to ensure that their procedures for obtaining consent from vulnerable populations are not coercive. The procedures for receiving approval to conduct research with these groups may be more rigorous than that for non-vulnerable populations. On the other hand, researchers must work to avoid excluding members of vulnerable populations from participation simply on the grounds that they are vulnerable or that obtaining their consent may be more complex. While there is no easy solution to this ethical research dilemma, an awareness of the potential concerns associated with research on vulnerable populations is important for identifying whatever solution is most appropriate for a specific case.

Protection of identities

As mentioned earlier, the informed consent process includes the requirement that researchers outline how they will protect the identities of subjects. This aspect of the research process, however, is one of the most commonly misunderstood. Furthermore, failing to protect identities is one of the greatest risks to participants in social work research studies.

In protecting subjects’ identities, researchers typically promise to maintain either the anonymity or confidentiality of their research subjects. These are two distinctly different terms and they are NOT interchangeable. Anonymity is the more stringent of the two and is very hard to guarantee in most research studies. When a researcher promises anonymity to participants, not even the researcher is able to link participants’ data with their identities. Anonymity may be impossible for some social work researchers to promise due to the modes of data collection many social workers employ. Face-to-face interviewing means that subjects will be visible to researchers and will hold a conversation, making anonymity impossible. In other cases, the researcher may have a signed consent form or obtain personal information on a survey and will therefore know the identities of their research participants. In these cases, a researcher should be able to at least promise confidentiality to participants.

Offering  confidentiality means that some identifying information is known at some time by the research team, but only the research team has access to this identifying information and this information will not be linked with their data in any publicly accessible way. Confidentiality in research is quite similar to confidentiality in clinical practice. You know who your clients are, but others do not. You agree to keep their information and identity private. As you can see under the “Risks” section of the consent form in Figure 5.1, sometimes it is not even possible to promise that a subject’s confidentiality will be maintained. This is the case if data are collected in public or in the presence of other research participants in the course of a focus group, for example. Participants who social work researchers deem to be of imminent danger to self or others or those that disclose abuse of children and other vulnerable populations fall under a social worker’s duty to report. Researchers must then violate confidentiality to fulfill their legal obligations.

There are a number of steps that researchers can take to protect the identities of research participants. These include, but are not limited to:

• Collecting data in private spaces
• Not requesting information that will uniquely identify or "out" that person as a participant
• Assigning study identification codes or pseudonyms
• Keeping signed informed consent forms separate from other data provided by the participant
• Making sure that physical data is kept in a locked and secured location, and the virtual data is encrypted or password-protected
• Reporting data in aggregate (only discussing the data collectively, not by individual responses)

Protecting research participants’ identities is not always a simple prospect, especially for those conducting research on stigmatized groups or illegal behaviors. Sociologist Scott DeMuth learned that all too well when conducting his dissertation research on a group of animal rights activists. As a participant observer, DeMuth knew the identities of his research subjects. So when some of his research subjects vandalized facilities and removed animals from several research labs at the University of Iowa, a grand jury called on Mr. DeMuth to reveal the identities of the participants in the raid. When DeMuth refused to do so, he was jailed briefly and then charged with conspiracy to commit animal enterprise terrorism and cause damage to the animal enterprise (Jaschik, 2009). [39]

Publicly, DeMuth’s case raised many of the same questions as Laud Humphreys’ work 40 years earlier. What do social scientists owe the public? Is DeMuth, by protecting his research subjects, harming those whose labs were vandalized? Is he harming the taxpayers who funded those labs? Or is it more important that DeMuth emphasize what he owes his research subjects, who were told their identities would be protected? DeMuth’s case also sparked controversy among academics, some of whom thought that as an academic himself, DeMuth should have been more sympathetic to the plight of the faculty and students who lost years of research as a result of the attack on their labs. Many others stood by DeMuth, arguing that the personal and academic freedom of scholars must be protected whether we support their research topics and subjects or not. DeMuth’s academic adviser even created a new group, Scholars for Academic Justice , to support DeMuth and other academics who face persecution or prosecution as a result of the research they conduct. What do you think? Should DeMuth have revealed the identities of his research subjects? Why or why not?

Discipline-specific considerations

Often times, specific disciplines will provide their own set of guidelines for protecting research subjects and, more generally, for conducting ethical research. For social workers, the National Association of Social Workers (NASW) Code of Ethics section 5.02 describes the responsibilities of social workers in conducting research. Summarized below, these responsibilities are framed as part of a social worker’s responsibility to the profession. As representative of the social work profession, it is your responsibility to conduct and use research in an ethical manner.

A social worker should:

• Monitor and evaluate policies, programs, and practice interventions
• Contribute to the development of knowledge through research
• Keep current with the best available research evidence to inform practice
• Ensure voluntary and fully informed consent of all participants
• Not engage in any deception in the research process
• Allow participants to withdraw from the study at any time
• Provide access to appropriate supportive services for participants
• Protect research participants from harm
• Maintain confidentiality
• Report findings accurately
• Disclose any conflicts of interest
• Researchers must obtain the informed consent of research participants.
• Social workers must take steps to minimize the harms that could arise during the research process.
• If anonymity is promised, individual participants cannot be linked with their data.
• If confidentiality is promised, the identities of research participants cannot be revealed, even if individual participants can be linked with their data.
• The NASW Code of Ethics includes specific responsibilities for social work researchers.
• Talk with your professor to see if an informed consent form is required for your research project. If documentation is required, customize the template provided by your professor or the IRB at your school, using the details of your study. If documentation on consent is not required, for example if consent is given verbally, use the templates as guides to create a guide for what you will say to participants regarding informed consent.
• Identify whether your data will be confidential or anonymous. Describe the measures you will take to protect the identities of individuals in your study. How will you store the data? How will you ensure that no one can identify participants based on what you report in papers and presentations? Be sure to think carefully. People can be identified by characteristics such as age, gender, disability status, location, etc.

6.3 Benefits and harms of research across the ecosystem

• Identify and distinguish between micro-, mezzo-, and macro-level considerations with respect to the ethical conduct of social scientific research

This chapter began with a long list of harmful acts that researchers engaged in while conducting studies on human subjects. Indeed, even the last section on informed consent and protection of confidential information can be seen in light of minimizing harm and maximizing benefits. The benefits of your study should be greater than the harms. But who benefits from your research study, and who might be harmed? The first person who benefits is, most clearly, you as the researcher. You need a project to complete, be it for a grade, a grant, an academic responsibility, etc. However you need to make sure that your benefit does not come at the expense of harming others. Furthermore, research requires resources, including resources from the communities we work with. Part of being good stewards of these resources as social work researchers means that we need to engage in research that benefits the people we serve in meaningful and relevant ways. We need to consider how others are impacted by our research.

Micro-, mezzo-, and macro-level concerns

One useful way to think about the breadth of ethical questions that might arise out of any research project is to think about potential issues from the perspective of different analytical levels that are familiar to us as social workers. In Chapter 1 , you learned about the micro-, mezzo-, and macro-levels of inquiry and how a researcher’s specific point of focus might vary depending on her level of inquiry. Here we’ll apply this ecological framework to a discussion of research ethics. Within most research projects, there are specific questions that arise for researchers at each of these three levels.

At the micro-level, researchers must consider their own conduct and the impact on individual research participants. For example, did Stanley Milgram behave ethically when he allowed research participants to think that they were administering electric shocks to fellow participants? Did Laud Humphreys behave ethically when he deceived his research subjects about his own identity? Were the rights of individuals in these studies protected? How did these participants benefit themselves from the research that was conducted? While not social workers by trade, would the actions of these two researchers hold up against our professional NASW Code of Ethics? The questions posed here are the sort that you will want to ask yourself as a researcher when considering ethics at the micro-level.

At the mezzo-level, researchers should think about their duty to the community. How will the results of your study impact your target population? Ideally, your results will benefit your target population by identifying important areas for social workers to intervene and to better understand the experiences of the communities they serve. However, it is possible that your study may perpetuate negative stereotypes about your target population or damage its reputation. Indigenous people in particular have highlighted how historically social science has furthered marginalization of indigenous peoples (Smith, 2013). [40] Mezzo-level concerns should also address other groups or organizations that are connected to your target population. This may include the human service agencies with whom you've partnered for your study as well as the communities and peoples they serve. If your study reflected negatively on a particular housing project in your area, for example, will community members seek to remove it from their community? Or might it draw increased law enforcement presence that is unwanted by participants or community members? Research is a powerful tool and can be used for many purposes, not all of them altruistic. In addition, research findings can have many implications, intended and unintended. As responsible researchers, we need to do our best to thoughtfully anticipate these consequences.

Finally, at the macro-level, a researcher should consider duty to, and the expectations of, society. Perhaps the most high-profile case involving macro-level questions of research ethics comes from debates over whether to use data gathered by, or cite published studies based on data gathered from, the Nazis in the course of their unethical and horrendous experiments on humans during World War II (Moe, 1984). [41] Some argue that because the data were gathered in such an unquestionably unethical manner, they should never be used. The data, say these people, are neither valid nor reliable and should therefore not be used in any current scientific investigation (Berger, 1990). [42]

On the other hand, some people argue that data themselves are neutral; that “information gathered is independent of the ethics of the methods and that the two are not linked together” (Pozos, 1992, p. 104). [43] Others point out that not using the data could inadvertently strengthen the claims of those who deny that the Holocaust ever happened. In his striking statement in support of publishing the data, medical ethics professor Velvl Greene (1992) says,

Instead of banning the Nazi data or assigning it to some archivist or custodial committee, I maintain that it be exhumed, printed, and disseminated to every medical school in the world along with the details of methodology and the names of the doctors who did it, whether or not they were indicted, acquitted, or hanged.…Let the students and the residents and the young doctors know that this was not ancient history or an episode from a horror movie where the actors get up after filming and prepare for another role. It was real. It happened yesterday (p. 169–170). [44]

While debates about the use of data collected by the Nazis are typically centered on medical scientists’ use of them, there are conceivable circumstances under which these data might be used by social scientists. Perhaps, for example, a social scientist might wish to examine contemporary reactions to the experiments. Or perhaps the data could be used in a study of the sociology of science. What do you think? Should data gathered by the Nazis be used or cited today? What arguments can you make in support of your position, and how would you respond to those who disagree?

Additionally at the macro-level, you must also consider your responsibilities to the profession of social work. When you engage in social work research, you stand on the reputation the profession has built for over a century. Since research is public-facing, meaning that research findings are intended to be shared publicly, you are an ambassador for the profession. How you conduct yourself as a social work researcher has potential implications for how the public perceives both social work and research. As a social worker, you have a responsibility to work towards greater social, environmental, and economic justice and human rights. Your research should reflect this responsibility. Attending to research ethics helps to fulfill your responsibilities to the profession, in addition to your target population.

Table 6.2 summarizes the key questions that researchers might ask themselves about the ethics of their research at each level of inquiry.

• At the micro-level, researchers should consider their own conduct and the rights of individual research participants.
• At the mezzo-level, researchers should consider the expectations of their profession, any organizations that may have funded their research, and the communities affected by their research.
• At the macro-level, researchers should consider their duty to and the expectations of society with respect to social science research.
• Summarize the benefits and harms at the micro-, mezzo-, and macro-level of inquiry. At which level of inquiry is your research project?
• In a few sentences, identify whether the benefits of your study outweigh the potential harms.

6.4 Being an ethical researcher

• Identify why researchers must provide a detailed description of methodology
• Describe what it means to use science in an ethical way

Research ethics has to do with both how research is conducted and how findings from that research are used. In this section, we’ll consider research ethics from both angles.

Doing science the ethical way

As you should now be aware, researchers must consider their own personal ethical principles in addition to following those of their institution, their discipline, and their community. We’ve already considered many of the ways that social workers strive to ensure the ethical practice of research, such as informing and protecting subjects. But the practice of ethical research doesn’t end once subjects have been identified and data have been collected. Social workers must also fully disclose their research procedures and findings. This means being honest about how research subjects were identified and recruited, how exactly data were collected and analyzed, and ultimately, what findings were reached.

If researchers fully disclose how they conducted their research, then those who use their work to build research projects, create social policies, or make treatment decisions can have greater confidence in the work. By sharing how research was conducted, a researcher helps assure readers they have conducted legitimate research and didn’t simply come to whatever conclusions they wanted   to find. A description or presentation of research findings that is not accompanied by information about research methodology is missing relevant information. Sometimes methodological details are left out because there isn’t time or space to share them. This is often the case with news reports of research findings. Other times, there may be a more insidious reason that important information is missing. This may be the case if sharing methodological details would call the legitimacy of a study into question. As researchers, it is our ethical responsibility to fully disclose our research procedures. As consumers of research, it is our ethical responsibility to pay attention to such details. We’ll discuss this more in the next section.

There’s a New Yorker cartoon that depicts a set of filing cabinets that aptly demonstrates what we don’t want to see happen with research. Each filing cabinet drawer in the cartoon is labeled differently. The labels include such headings as, “Our Facts,” “Their Facts,” “Neutral Facts,” “Disputable Facts,” “Absolute Facts,” “Bare Facts,” “Unsubstantiated Facts,” and “Indisputable Facts.” The implication of this cartoon is that one might just choose to open the file drawer of her choice and pick whichever facts one likes best. While this may occur if we use some of the unscientific ways of knowing described in Chapter 1 , it is fortunately not how the discovery of knowledge in social work, or in any other science for that matter, takes place. There actually is a method to this madness we call research. At its best, research reflects a systematic, transparent, informative process.

Honesty in research is facilitated by the scientific principle of replication . Ideally, this means that one scientist could repeat another’s study with relative ease. By replicating a study, we may become more (or less) confident in the original study’s findings. Replication is far more difficult (perhaps impossible) to achieve in the case of many qualitative studies, as our purpose is often a deep understanding of very specific circumstances, rather than the broad, generalizable knowledge we traditionally seek in quantitative studies. Nevertheless, transparency in the research process is an important standard for all social scientific researchers—that we provide as much detail as possible about the processes by which we reach our conclusions. This allows the quality of our research to be evaluated. Along with replication, peer review is another important principle of the scientific process. Peer review involves other knowledgeable researchers in our field of study to evaluate our research and to determine if it is of sufficient quality to share with the public. There are valid critiques of the peer review process: that it is biased towards studies with positive findings, that it may reinforce systemic barriers to oppressed groups accessing and leveraging knowledge, that it is far more subjective and/or unreliable than it claims to be. Despite these critiques, peer review remains a foundational concept for how scientific knowledge is generated.

Full disclosure also includes the need to be honest about a study’s strengths and weaknesses, both with oneself and with others. Being aware of the strengths and weaknesses of your own work can help a researcher make reasonable recommendations about the next steps other researchers might consider taking in their inquiries. Awareness and disclosure of a study’s strengths and weaknesses can also help highlight the theoretical or policy implications of one’s work. In addition, openness about strengths and weaknesses helps those reading the research better evaluate the work and decide for themselves how or whether to rely on its findings. Finally, openness about a study’s sponsors is crucial. How can we effectively evaluate research without knowing who paid the bills? This allows us to assess for potential conflicts of interest that may compromise the integrity of the research.

The standard of replicability, the peer-review process, and openness about a study’s strengths, weaknesses, and funding sources enables those who read the research to evaluate it fairly and completely. Knowledge of funding sources is often raised as an issue in medical research. Understandably, independent studies of new drugs may be more compelling to the Food and Drug Administration (FDA) than studies touting the virtues of a new drug that happen to have been funded by the company who created that drug. But medical researchers aren’t the only ones who need to be honest about their funding. If we know, for example, that a political think tank with ties to a particular party has funded some research, we can take that knowledge into consideration when reviewing the study’s findings and stated policy implications. Lastly, and related to this point, we must consider how, by whom, and for what purpose research may be used.

Using science the ethical way

Science has many uses. By “use” I mean the ways that science is understood and applied (as opposed to the way it is conducted). Some use science to create laws and social policies; others use it to understand themselves and those around them. Some people rely on science to improve their life conditions or those of other people, while still others use it to improve their businesses or other undertakings. In each case, the most ethical way for us to use science is to educate ourselves about the design and purpose of any studies we may wish to use. This helps us to more adequately critique the value of this research, to recognize its strengths and limitations.

As part of my research course, students are asked to critique a research article. I often find in this assignment that students often have very lofty expectations for everything that 'should' be included in the journal article they are reviewing. While I appreciate the high standards, I often give them feedback that it is perhaps unrealistic (even unattainable) for a research study to be perfectly designed and described for public consumption. All research has limitations; this may be a consequence of limited resources, issues related to feasibility, and unanticipated roadblocks or problems as we are carrying out our research. Furthermore, the ways we disseminate or share our research often has restrictions on what and how we can share our findings. This doesn't mean that a study with limitations has no value—every study has limitations! However, as we are reviewing research, we should look for an open discussion about methodology , strengths, and weaknesses of the study that helps us to interpret what took place and in what ways it may be important.

For instance, this can be especially important to think about in terms of a study's sample. It can be challenging to recruit a diverse and representative sample for your study (however, that doesn't mean we shouldn't try!). The next time you are reading research studies that were used to help establish an evidence based practice (EBP), make sure to look at the description of the sample. We cannot assume that what works for one group of people will uniformly work with all groups of people with very different life experiences; however, historically much of our intervention repertoire has been both created by and evaluated on white men. If research studies don't obtain a diverse sample, for whatever reason, we would expect that the authors would identify this as a limitation and an area requiring further study. We need to challenge our profession to provide practices, strategies, models, interventions, and policies that have been evaluated and tested for their efficacy with the diverse range of people that we work with as social workers.

Social scientists who conduct research on behalf of organizations and agencies may face additional ethical questions about the use of their research, particularly when the organization for which a study is conducted controls the final report and the publicity it receives. There is a potential conflict of interest for evaluation researchers who are employees of the agency being evaluated. A similar conflict of interest might exist between independent researchers whose work is being funded by some government agency or private foundation.

So who decides what constitutes ethical conduct or use of research? Perhaps we all do. What qualifies as ethical research may shift over time and across cultures as individual researchers, disciplinary organizations, members of society, and regulatory entities, such as institutional review boards, courts, and lawmakers, all work to define the boundaries between ethical and unethical research.

• Conducting research ethically requires that researchers be ethical not only in their data collection procedures but also in reporting their methods and findings.
• The ethical use of research requires an effort to understand research, an awareness of your own limitations in terms of knowledge and understanding, and the honest application of research findings.
• Think about your research hypothesis at this point. What would happen if your results revealed information that could harm the population you are studying? What are your ethical responsibilities as far as reporting about your research?
• Ultimately, we cannot control how others will use the results of our research. What are the implications of this for how you report on your research?
• Reading the results of empirical studies (16 minute read)
• Annotating empirical journal articles (15 minute read)
• Generalizability and transferability of empirical results (15 minute read)

Content warning: examples in this chapter contain references to domestic violence and details on types of abuse, drug use, poverty, mental health, sexual harassment and details on harassing behaviors, children’s mental health, LGBTQ+ oppression and suicide, obesity, anti-poverty stigma, and psychotic disorders.

5.1 Reading the results of empirical studies

• Describe how statistical significance and confidence intervals demonstrate which results are most important
• Differentiate between qualitative and quantitative results in an empirical journal article

If you recall from section 3.1 , empirical journal articles are those that report the results of quantitative or qualitative data analyzed by the author. They follow a set structure—introduction, methods, results, discussion/conclusions. This section is about reading the most challenging section: results.

I want to normalize not understanding statistics terms and symbols. However, a basic understanding of a results section goes a very long way to understanding the key results in an article. This will take you beyond the two or three sentences in the abstract that summarize the study's results and into the nitty-gritty of what they found for each concept they studied.

Read beyond the abstract

At this point, I have read hundreds of literature reviews written by students. One of the challenges I have noted is that students will report the results as summarized in the abstract, rather than the detailed findings laid out in the results section of the article. This poses a problem when you are writing a literature review because you need to provide specific and clear facts that support your reading of the literature. The abstract may say something like: “we found that poverty is associated with mental health status.” For your literature review, you want the details, not the summary. In the results section of the article, you may find a sentence that states: “children living in households experiencing poverty are three times more likely to have a mental health diagnosis.” This more specific statistical information provides a stronger basis on which to build the arguments in your literature review.

Using the summarized results in an abstract is an understandable mistake to make. The results section often contains figures and tables that may be challenging to understand. Often, without having completed more advanced coursework on statistical or qualitative analysis, some of the terminology, symbols, or diagrams may be difficult to comprehend. This section is all about how to read and interpret the results of an empirical (quantitative or qualitative) journal article. Our discussion here will be basic, and in parts three and four of the textbook, you will learn more about how to interpret results from statistical tests and qualitative data analysis.

Remember, this section only addresses empirical articles. Non-empirical articles (e.g., theoretical articles, literature reviews) don't have results. They cite the analysis of raw data completed by other authors, not the person writing the journal article who is merely summarizing others' work.

Quantitative results

Quantitative articles often contain tables, and scanning them is a good way to begin reading the results. A table usually provides a quick, condensed summary of the report’s key findings. Tables are a concise way to report large amounts of data. Some tables present descriptive information about a researcher’s sample (often the first table in a results section). These tables will likely contain frequencies (N) and percentages (%). For example, if gender happened to be an important variable for the researcher’s analysis, a descriptive table would show how many and what percent of all study participants are of a particular gender. Frequencies or “how many” will probably be listed as N, while the percent symbol (%) might be used to indicate percentages.

In a table presenting a causal relationship, two sets of variables are represented. The independent variable , or cause, and the dependent variable , the effect. We will discuss these further when we review quantitative conceptualization and measurement. Independent variable attributes are typically presented in the table’s columns, while dependent variable attributes are presented in rows. This allows the reader to scan a table’s rows to see how values on the dependent variable change as the independent variable values change (i.e., changes in the dependent variable depend on changes in the independent variable). Tables displaying results of quantitative analysis will also likely include some information about which relationships are significant or not. We will discuss the details of significance and p-values later in this section.

Let’s look at a specific example: Table 5.1. It presents the causal relationship between gender and experiencing harassing behaviors at work. In this example, gender is the independent variable (the cause) and the harassing behaviors listed are the dependent variables (the effects). [46] Therefore, we place gender in the table’s columns and harassing behaviors in the table’s rows.

Reading across the table’s top row, we see that 2.9% of women in the sample reported experiencing subtle or obvious threats to their safety at work, while 4.7% of men in the sample reported the same. We can read across each of the rows of the table in this way. Reading across the bottom row, we see that 9.4% of women in the sample reported experiencing staring or invasion of their personal space at work while just 2.3% of men in the sample reported having the same experience. We’ll discuss  p values later in this section.

While you can certainly scan tables for key results, they are often difficult to understand without reading the text of the article. The article and table were meant to complement each other, and the text should provide information on how the authors interpret their findings. The table is not redundant with the text of the results section. Additionally, the first table in most results sections is a summary of the study's sample, which provides more background information on the study than information about hypotheses and findings. It is also a good idea to look back at the methods section of the article as the data analysis plan the authors outline should walk you through the steps they took to analyze their data which will inform how they report them in the results section.

Statistical significance

The statistics reported in Table 5.1 represent what the researchers found in their sample. The purpose of statistical analysis is usually to generalize from a the small number of people in a study's sample to a larger population of people. Thus, the researchers intend to make causal arguments about harassing behaviors at workplaces beyond those covered in the sample.

Generalizing is key to understanding statistical significance . According to Cassidy and colleagues, (2019) [47] 89% of research methods textbooks in psychology define statistical significance incorrectly. This includes an early draft of this textbook which defined statistical significance as "the likelihood that the relationships we observe could be caused by something other than chance." If you have previously had a research methods class, this might sound familiar to you. It certainly did to me!

But statistical significance is less about "random chance" than more about the null hypothesis . Basically, at the beginning of a study a researcher develops a hypothesis about what they expect to find, usually that there is a statistical relationship between two or more variables . The null hypothesis is the opposite. It is the hypothesis that there is no relationship between the variables in a research study. Researchers then can hopefully reject the null hypothesis because they find a relationship between the variables.

For example, in Table 5.1 researchers were examining whether gender impacts harassment. Of course, researchers assumed that women were more likely to experience harassment than men. The null hypothesis, then, would be that gender has no impact on harassment. Once we conduct the study, our results will hopefully lead us to reject the null hypothesis because we find that gender impacts harassment. We would then generalize from our study's sample to the larger population of people in the workplace.

Statistical significance is calculated using a p-value which is obtained by comparing the statistical results with a hypothetical set of results if the researchers re-ran their study a large number of times. Keeping with our example, imagine we re-ran our study with different men and women from different workplaces hundreds and hundred of times and we assume that the null hypothesis is true that gender has no impact on harassment. If results like ours come up pretty often when the null hypothesis is true, our results probably don't mean much. "The smaller the p-value, the greater the statistical incompatibility with the null hypothesis" (Wasserstein & Lazar, 2016, p. 131). [48] Generally, researchers in the social sciences have used 0.05 as the value at which a result is significant (p is less than 0.05) or not significant (p is greater than 0.05). The p-value 0.05 refers to if 5% of those hypothetical results from re-running our study show the same or more extreme relationships when the null hypothesis is true. Researchers, however, may choose a stricter standard such as 0.01 in which only 1% of those hypothetical results are more extreme or a more lenient standard like 0.1 in which 10% of those hypothetical results are more extreme than what was found in the study.

Let's look back at Table 5.1. Which one of the relationships between gender and harassing behaviors is statistically significant? It's the last one in the table, "staring or invasion of personal space," whose p-value is 0.039 (under the p<0.05 standard to establish statistical significance). Again, this indicates that if we re-ran our study over and over again and gender did not  impact staring/invasion of space (i.e., the null hypothesis was true), only 3.9% of the time would we find similar or more extreme differences between men and women than what we observed in our study. Thus, we conclude that for staring or invasion of space only , there is a statistically significant relationship.

For contrast, let's look at "being pushed, hit, or grabbed" and run through the same analysis to see if it is statistically significant. If we re-ran our study over and over again and the null hypothesis was true, 48% of the time (p=.48) we would find similar or more extreme differences between men and women. That means these results are not statistically significant.

This discussion should also highlight a point we discussed previously: that it is important to read the full results section, rather than simply relying on the summary in the abstract. If the abstract stated that most tests revealed no statistically significant relationships between gender and harassment, you would have missed the detail on which behaviors were and were not associated with gender. Read the full results section! And don't be afraid to ask for help from a professor in understanding what you are reading, as results sections are often not written to be easily understood.

Statistical significance and p-values have been critiqued recently for a number of reasons, including that they are misused and misinterpreted (Wasserstein & Lazar, 2016) [49] , that researchers deliberately manipulate their analyses to have significant results (Head et al., 2015) [50] , and factor into the difficulty scientists have today in reproducing many of the results of previous social science studies (Peng, 2015). [51] For this reason, we share these principles, adapted from those put forth by the American Statistical Association, [52]  for understanding and using p-values in social science:

• P-values provide evidence against a null hypothesis.
• P-values do not indicate whether the results were produced by random chance alone or if the researcher's hypothesis is true, though both are common misconceptions.
• Statistical significance can be detected in minuscule differences that have very little effect on the real world.
• Nuance is needed to interpret scientific findings, as a conclusion does not become true or false when the p-value passes from p=0.051 to p=0.049.
• Real-world decision-making must use more than reported p-values. It's easy to run analyses of large datasets and only report the significant findings.
• Greater confidence can be placed in studies that pre-register their hypotheses and share their data and methods openly with the public.
• "By itself, a p-value does not provide a good measure of evidence regarding a model or hypothesis. For example, a p-value near 0.05 taken by itself offers only weak evidence against the null hypothesis. Likewise, a relatively large p-value does not imply evidence in favor of the null hypothesis; many other hypotheses may be equally or more consistent with the observed data" (Wasserstein & Lazar, 2016, p. 132).

Confidence intervals

Because of the limitations of p-values, scientists can use other methods to determine whether their models of the world are true. One common approach is to use a confidence interval , or a range of values in which the true value is likely to be found. Confidence intervals are helpful because, as principal #5 above points out, p-values do not measure the size of an effect (Greenland et al., 2016). [53] Remember, something that has very little impact on the world can be statistically significant, and the values in a confidence interval would be helpful. In our example from Table 5.1, imagine our analysis produced a confidence interval that women are 1.2-3.4x more likely to experience "staring or invasion of personal space" than men. As with p-values, calculation for a confidence interval compares what was found in one study with a hypothetical set of results if we repeated the study over and over again. If we calculated 95% confidence intervals for all of the hypothetical set of hundreds and hundreds of studies, that would be our confidence interval. 

Confidence intervals are pretty intuitive. As of this writing, my wife and are expecting our second child. The doctor told us our due date was December 11th. But the doctor also told us that December 11th was only their best estimate. They were actually 95% sure our baby might be born any time in the 30-day period between November 27th and December 25th. Confidence intervals are often listed with a percentage, like 90% or 95%, and a range of values, such as between November 27th and December 25th. You can read that as: "we are 95% sure your baby will be born between November 27th and December 25th because we've studied hundreds of thousands of fetuses and mothers, and we're 95% sure your baby will be within these two dates."

Notice that we're hedging our bets here by using words like "best estimate." When testing hypotheses, social scientists generally phrase their findings in a tentative way, talking about what results "indicate" or "support," rather than making bold statements about what their results "prove." Social scientists have humility because they understand the limitations of their knowledge. In a literature review, using a single study or fact to "prove" an argument right or wrong is often a signal to the person reading your literature review (usually your professor) that you may not have appreciated the limitations of that study or its place in the broader literature on the topic. Strong arguments in a literature review include multiple facts and ideas that span across multiple studies.

You can learn more about creating tables, reading tables, and tests of statistical significance in a class focused exclusively on statistical analysis. We provide links to many free and openly licensed resources on statistics in Chapter 16 . For now, we hope this brief introduction to reading tables will improve your confidence in reading and understanding the results sections in quantitative empirical articles.

Qualitative results

Quantitative articles will contain a lot of numbers and the results of statistical tests demonstrating associations between those numbers. Qualitative articles, on the other hand, will consist mostly of quotations from participants. For most qualitative articles, the authors want to put their results in the words of their participants, as they are the experts. Articles that lack quotations make it difficult to assess whether the researcher interpreted the data in a trustworthy, unbiased manner. These types of articles may also indicate how often particular themes or ideas came up in the data, potentially reflective of how important they were to participants.

Authors often organize qualitative results by themes and subthemes. For example, see this snippet from the results section in Bonanno and Veselak (2019) [54] discussion parents' attitudes towards child mental health information sources.

Data analysis revealed four themes related to participants’ abilities to access mental health help and information for their children, and parents’ levels of trust in these sources. These themes are: others’ firsthand experiences family and friends with professional experience, protecting privacy, and uncertainty about schools as information sources. Trust emerged as an overarching and unifying concept for all of these themes. Others’ firsthand experiences. Several participants reported seeking information from other parents who had experienced mental health struggles similar to their own children. They often referenced friends or family members who had been or would be good sources of information due to their own personal experiences. The following quote from Adrienne demonstrates the importance of firsthand experience: [I would only feel comfortable sharing concerns or asking for advice] if I knew that they had been in the same situation. (Adrienne) Similarly, Michelle said: And I talked to a friend of mine who has kids who have IEPs in the district to see, kind of, how did she go about it. (Michelle) ... Friends/family with professional experience . Several respondents referred to friends or family members who had professional experience with or knowledge of child mental health and suggested that these individuals would be good sources of information. For example, Hannah said: Well, what happened with me was I have an uncle who’s a psychiatrist. Sometimes if he’s up in (a city to the north), he’s retired, I can call him sometimes and get information. (Hannah) Michelle, who was in nursing school, echoed this sentiment: At this point, [if my child’s behavioral difficulties continued], I would probably call one of my [nursing] professors. That’s what I’ve done in the past when I’ve needed help with certain things...I have a professor who I would probably consider a friend who I would probably talk to first. She has a big adolescent practice. (Michelle) (p. 402-403)

The terms in bold above refer to the key themes (i.e., qualitative results) that were present in the data. Researchers will state the process by which they interpret each theme, providing a definition and usually some quotations from research participants. Researchers will also draw connections between themes, note consensus or conflict over themes, and situate the themes within the study context.

Qualitative results are specific to the time, place, and culture in which they arise, so you will have to use your best judgment to determine whether these results are relevant to your study. For example, students in my class at Radford University in Southwest Virginia may be studying rural populations. Would a study on group homes in a large urban city transfer well to group homes in a rural area?

Maybe. But even if you were using data from a qualitative study in another rural area, are all rural areas the same? How is the client population and sociocultural context in the article similar or different to the one in your study? Qualitative studies have tremendous depth, but researchers must be intentional about drawing conclusions about one context based on a study in another context. To make conclusions about how a study applies in another context, researchers need to examine each component of an empirical journal article--they need to annotate!

• The results section of empirical articles are often the most difficult to understand.
• To understand a quantitative results section, look for results that were statistically significant and examine the confidence interval, if provided.
• To understand a qualitative results section, look for definitions of themes or codes and use the quotations provided to understand the participants’ perspective.

Select a quantitative empirical article related to your topic.

• Write down the results the authors identify as statistically significant in the results section.
• How do the authors interpret their results in the discussion section?
• Do the authors provide enough information in the introduction for you to understand their results?

Select a qualitative empirical article relevant to your topic.

• Write down the key themes the authors identify and how they were defined by the participants.

5.2 Annotating empirical journal articles

• Define annotation and describe how to use it to identify, extract, and reflect on the information you need from an article

Annotation refers to the process of writing notes on an article. There are many ways to do this. The most basic technique is to print out the article and build a binder related to your topic. Raul Pacheco-Vega's excellent blog has a post on his approach to taking physical notes. Honestly, while you are there, browse around that website. It is full of amazing tips for students conducting a literature review and graduate research projects. I see a lot of benefits to the paper, pen, and highlighter approach to annotating articles. Personally though, I prefer to use a computer to write notes on an article because my handwriting is terrible and typing notes allows me search for keywords. For other students, electronic notes work best because they cannot afford to print every article that they will use in their paper. No matter what you use, the point is that you need to write notes when you're reading. Reading is research!

There are a number of free software tools you can use to help you annotate a journal article. Most PDF readers like Adobe Acrobat have a commenting and highlighting feature, though the PDF readers included with internet browsers like Google Chrome, Microsoft Edge, and Safari do not have this feature. The best approach may be to use a citation manager like Zotero. Using a citation manager, you can build a library of articles, save your annotations, and link annotations across PDFs using keywords. They also provide integration with word processing programs to help with citations in a reference list

Of course, I don't follow this advice because I have a system that works well for me. I have a PDF open in one computer window and a Word document open in a window next to it. I type notes and copy quotes, listing the page number for each note I take. It's a bit low-tech, but it does make my notes searchable. This way, when I am looking for a concept or quote, I can simply search my notes using the Find feature in Word and get to the information I need.

Annotation and reviewing literature does not have to be a solo project. If are working in a group, you can use the Hypothes.is web browser extension to annotate articles collaboratively. You can also use Google Docs to collaboratively annotate a shared PDF using the commenting feature and write collaborative notes in a shared document. By sharing your highlights and comments, you can split the work of getting the most out of each article you read and build off one another's ideas.

Common annotations

In this section, we present common annotations people make when reading journal articles. These annotations are adapted from Craig Whippo and Raul Pacheco-Vega . If you are annotating on paper, I suggest using different color highlighters for each type of annotation listed below. If you are annotating electronically, you can use the names below as tags to easily find information later. For example, if you are searching for definitions of key concepts, you can either click on the tag for [definitions] in your PDF reader or thumb through a printed copy of article for whatever color or tag you used to indicate definitions of key terms. Most of all, you want to avoid reading through all of your sources again just to find that one thing you know you read somewhere . Time is a graduate student's most valuable resource, so our goal here is to help you spend your time reading the literature wisely.

Personal reflections

Personal reflections are all about you. What do you think? Are there any areas you are confused about? Any new ideas or reflections come to mind while you're reading? Treat these annotations as a means of capturing your first reflections about an article. Write down any questions or thoughts that come to mind as you read. If you think the author says something inaccurate or unsubstantiated, write that down. If you don't understand something, make a note about it and ask your professor. Don't feel bad! Journal articles are hard to understand sometimes, even for professors. Your goal is to critically read the literature, so write down what you think while reading! Table 4.2 contains some questions that might stimulate your thoughts.

Definitions

Note definitions of key terms for your topic. At minimum, you should include a scholarly definition for the concepts represented in your working question. If your working question asks about the process of leaving a relationship with domestic violence, your research proposal will have to explain how you define domestic violence, as well as how you define "leaving" an abusive relationship. While you may already know what you mean by domestic violence, the person reading your research proposal does not.

Annotating definitions also helps you engage with the scholarly debate around your topic. Definitions are often contested among scholars. Some definitions of domestic violence will be more comprehensive, including things such economic abuse or forcing the victim to problematically use substances. Other definitions will be less comprehensive, covering only physical, verbal, and sexual abuse. Often, how someone defines something conceptually is highly related to how they measure it in their study. Since you will have to do both of these things, find a definition that feels right to you or create your own, noting the ways in which it is similar or different from those in the literature.

Definitions are also an important way of dealing with jargon. Becoming familiar with a new content area involves learning the jargon experts use. For example, in the last paragraph I used the term economic abuse, but that's probably not a term you've heard before. If you were conducting a literature review on domestic violence, you would want to search for keywords like economic abuse if they are relevant to your working question. You will also want to know what they mean so you can use them appropriately in designing your study and writing your literature review.

Theoretical perspective

Noting the theoretical perspective of the article can help you interpret the data in the same manner as the author. For example, articles on supervised injection facilities for people who use intravenous drugs most likely come from a harm reduction perspective, and understanding the theory behind harm reduction is important to make sense of empirical results. Articles should be grounded in a theoretical perspective that helps the author conceptualize and understand the data. As we discussed in Chapter 3 , some journal articles are entirely theoretical and help you understand the theories or conceptual models related to your topic. We will help you determine a theoretical perspective for your project in Chapter 7 . For now, it's a good idea to note what theories authors mention when talking about your topic area. Some articles are better about this than others, and many authors make it a bit challenging to find theory (if mentioned at all). In other articles, it may help to note which social work theories are missing  from the literature. For example, a study's findings might address issues of oppression and discrimination, but the authors may not use critical theory to make sense of what happened.

Background knowledge

It's a good idea to note any relevant information the author relies on for background. When an author cites facts or opinions from others, you are subsequently able to get information from multiple articles simultaneously. For example, if we were looking at this meta-analysis about domestic violence , in the introduction section, the authors provide facts from many other sources. These facts will likely be relevant to your inquiry on domestic violence, as well.

As you are looking at background information, you should also note any subtopics or concepts about which there is controversy or consensus. The author may present one viewpoint and then an opposing viewpoint, something you may do in your literature review as well. Similarly, they may present facts that scholars in the field have come to consensus on and describe the ways in which different sources support these conclusions.

Sources of interest

Note any relevant sources the author cites. If there is any background information you plan to use, note the original source of that information. When you write your literature review, cite the original source of a piece of information you are using, which may not be where you initially read it . Remember that you should read and refer to the primary source . If you are reading Article A and the author cites a fact from Article B, you should note Article B in your annotations and use Article B when you cite the fact in your paper. You should also make sure Article A interpreted Article B correctly and scan Article B for any other useful facts.

Research question/Purpose

Authors should be clear about the purpose of their article. Charitable authors will give you a sentence that starts with something like this:

• "The purpose of this research project was..."
• "Our research question was..."
• "The research project was designed to test the following hypothesis..."

Unfortunately, not all authors are so clear, and you may to hunt around for the research question or hypothesis. Generally, in an empirical article, the research question or hypothesis is at the end of the introduction. In non-empirical articles, the author will likely discuss the purpose of the article in the abstract or introduction.

We will discuss in greater detail how to read the results of empirical articles in Chapter 5 . For now, just know that you should highlight any of the key findings of an article. They will be described very briefly in the abstract, and in much more detail in the article itself. In an empirical article, you should look at both the 'Results' and 'Discussion' sections. For a non-empirical article, the key findings will likely be in the conclusion. You can also find them in the topic or concluding sentences in a paragraph within the body of the article.

How do researchers know something when they see it? Found in the 'Methods' section of empirical articles, the measures section is where researchers spell out the tools, or measures, they used to gather data. For quantitative studies, you will want to get familiar with the questions researchers typically use to measure key variables. For example, to measure domestic violence, researchers often use the Conflict Tactics Scale . The more frequently used and cited a measure is, the more we know about how well it works (or not). Qualitative studies will often provide at least some of the interview or focus group questions they used with research participants. They will also include information about how their inquiry and hypotheses may have evolved over time. Keep in mind however, sometimes important information is cut out of an article during editing. If you need more information, consider reaching out to the author directly. Before you do so, check if the author provided an appendix with the information you need or if the article links to a their data and measures as part open data sharing practices.

Who exactly were the study participants and how were they recruited? In quantitative studies, you will want to pay attention to the sample size. Generally, the larger the sample, the greater the study's explanatory power. Additionally, randomly drawn samples are desirable because they leave any variation up to chance. Samples that are conducted out of convenience can be biased and non-representative of the larger population. In qualitative studies, non-random sampling is appropriate but consider this: how well does what we find for this group of people transfer to the people who will be in your study? For qualitative studies and quantitative studies, look for how well the sample is described and whether there are important characteristics missing from the article that you would need to determine the quality of the sample.

Limitations

Honest authors will include these at the end of each article. But you should also note any additional limitations you find with their work as well.

Your annotations

These are just a few suggested annotations, but you can come up with your own. For example, maybe there are annotations you would use for different assignments or for the problem statement in your research proposal. If you have an argument or idea that keeps coming to mind when you read, consider creating an annotation for it so you can remember which part of each article supports your ideas. Whatever works for you. The goal with annotation is to extract as much information from each article while reading, so you don't have to go back through everything again. It's useless to read an article and forget most of what you read. Annotate!

• Begin your search by reading thorough and cohesive literature reviews. Review articles are great sources of information to get a broad perspective of your topic.
• Don’t read an article just to say you’ve read it. Annotate and take notes so you don’t have to re-read it later.
• Use software or paper-and-pencil approaches to write notes on articles.
• Annotation is best used when closely reading an empirical study highly similar to your research project.
• Select an empirical article highly related to the study you would like to conduct.
• Annotate the article using the aforementioned annotations and create some of your own.
• Create the first draft of a summary table with key information from this empirical study that you would like to compare to other empirical studies you closely read.

5.3 Generalizability and transferability of empirical results

• Define generalizability and transferability.
• Assess the generalizability and transferability to how researchers use the results from empirical research studies to make arguments about what is objectively true.
• Relate both concepts to the hierarchy of evidence and the types of articles in the scholarly literature

Now that you have read an empirical article in detail, it's important to put its results in conversation with the broader literature on your topic. In this chapter we discuss two important concepts-- generalizability and   transferability --and the interrelationship between the two. We also explain how these two properties of empirical data impact your literature review and evidence-based practice.

Generalizability

The figure below provides a common approach to assessing empirical evidence. As you move up the pyramid below, you can be more sure that the data contained in those studies generalizes to all people who experience the issue.

As we reviewed in Chapter 1, objective truth is true for everyone, regardless of context. In other words, objective truths generalize beyond the sample of people from whom data were collected to the larger population of people who experience the issue under examination. You can be much more sure that information from a systematic review or meta-analysis will generalize than something from a case study of a single person, pilot projects, and other studies that do not seek to establish generalizability.

The type of article listed here is also related to the types of research methods the authors used. While we cover many of these approaches in this textbook, some of them (like cohort studies) are somewhat less common in social work. Additionally, there is one important research method, survey design, that does not appear in this diagram. Finally, social work research uses many different types of qualitative research--some of which generates more generalizable data than others.

For a refresher on the different types of evidence available in each type of article, refer back to section 4.1. You'll recall the hierarchy of evidence as described by McNeese & Thyer (2004) [55]

• Systematic reviews and meta-analyses
• Randomized controlled trials
• Quasi-experimental studies
• Case-control and cohort studies
• Pre-experimental (or non-experimental) group studies
• Qualitative studies

Because there is further variation in the types of studies used by social work researchers, I expanded the hierarchy of evidence to cover a greater breadth of research methods in Figure 5.3.

Refined information from multiple sources

The top of the hierarchy represents refined scientific information or meta-research . Meta-research uses the scientific method to analyze and improve the scientific production of knowledge. For example, meta-analyses pull together samples of people from all high-quality studies on a given topic area creating a super-study with far more people than any single researcher could feasibly collect data from. Because scientists (and clinical experts) refine data across multiple studies, these represent the most generalizable research findings.

Of course, not all meta-analyses or systematic reviews are of good quality. As a peer reviewer for a scholarly journal, I have seen poor quality systematic reviews that make methodological mistakes—like not including relevant keywords—that lead to incorrect conclusions. Unfortunately, not all errors are caught in the peer review process, and not all limitations are acknowledged by the authors. Just because you are looking at a systematic review does not mean you are looking at THE OBJECTIVE TRUTH. Nevertheless, you can be pretty sure that results from these studies are generalizable to the population in the study’s research question.

A good way to visualize the process of sampling is by examining the procedure used for systematic reviews and meta-analyses to scientifically search for articles. In Figure 5.4 below, you can see how researchers conducting a systematic review identified a large pool of potentially relevant articles, downloaded and analyzed them for relevance, and in the end, analyzed only 71 articles in their systematic review out of a total of 1,589 potentially relevant articles. Because systematic reviews or meta-analyses are intended to make strong, generalizable conclusions, they often exclude studies that still contain good information.

In the process of selecting articles for a meta-analysis and systematic review, researchers may exclude articles with important information for a number of good reasons. No study is perfect, and all research methods decisions come with limitations--including meta-research. Authors conducting a meta-analysis cannot include a study unless researchers provide data for the authors to include in their meta-analysis, and many empirical journal articles do not make their data available. Additionally, a study’s intervention or measures may be a bit different than what researchers want to make conclusions about. This is a key truth applicable across all articles you read—who or what gets selected for analysis in a research project determines how well the project’s results generalize to everyone.

We will talk about this in future chapters as sampling, and in those chapters, we will learn which sampling approaches are intended to support generalizability and which are used for other purposes. For example, availability or convenience sampling is often used to get quick information while random sampling approaches are intended to support generalizability. It is impossible to know everything about your article right now, but by the end of this course, you will have the information you need to critically examine the generalizability of a sample.

Primary sources (empirical studies)

Because refined sources like systematic reviews exclude good studies, they are only a first step in getting to know a topic area. You will need to examine primary sources--the reports of researchers who conducted empirical studies--to make evidence-based conclusions about your topic. Figure 5.3 describes three different types of data and ranks them vertically based on how well you can be sure the information generalizes.

As we will discuss further in our chapter on causal explanations, a key factor in scientifically assessing what happened first. Researchers conducting intervention studies are causing change by providing therapy, housing, or whatever the intervention is and measuring the outcomes of that intervention after they happen. This is unlike survey researchers, who do not introduce an intervention but ask people to self-report information on a questionnaire. Longitudinal surveys are particularly helpful because they can provide a clearer picture of whether the cause came before the effect in a causal relationship, but because they are expensive and time-consuming to conduct, longitudinal studies are relatively rare in the literature and most surveys measure people at only one point in time. Thus, because researchers cannot tightly control the causal variable (an intervention, an experience of abuse, etc.) we can be somewhat less certain of the conclusions of surveys than experiments. At the same time, because surveys measure people in their naturalistic environment rather than in a laboratory or artificial setting, they may do a better job at reducing the potential for the researcher to influence the data a participant provides. Surveys also provide descriptive information--like the number of people with a diagnosis or risk factor--that experiments cannot provide.

Surveys and experiments are commonly used in social work, and we will describe the methods they use in future chapters. When assessing the generalizability of a given survey or experiment, you are looking at whether the methods used by the researchers improve generalizability (or, at least that those methods are intended to improve generalizability). Specifically, there are sampling, measurement, and design decisions that researchers make that can improve generalizability. And once the study is conducted, whether those methods worked as intended also impact generalizability.

We address sampling, measurement, and design in the coming chapters, and you will need more in-depth knowledge of research methods to assess the generalizability of the results you are reading. In the meantime, Figure 5.3 is organized by design, and this is a good starting point for your inquiry since it only requires you to identify the design in each empirical article--which should be included in the abstract and described in detail in the methods section. For more information on how to conduct sampling, measurement, and design in a way that maximizes generalizability, read Part 2 of this textbook.

When searching for design of a study, look for specific keywords that indicate the researcher used methods that do not generalize well like pilot study, pre-experiment, non-experiment, convenience sample, availability sample, and exploratory study. When researchers are seeking to perform a pilot study, they are optimizing for time, not generalizability. Their results may still be useful to you! But, you should not generalize from their study to all people with the issue under analysis without a lot of caution and additional supporting evidence. Instead, you should see whether the lessons from this study might transfer to the context in which you are researching--our next topic.

Qualitative studies use sampling, measures, and designs that do not try to optimize generalizability. Thus, if the results of a qualitative study indicate 10 out of 50 students who participated in the focus group found the mandatory training on harassment to be unhelpful, does that mean 20% of all college students at this university find it unhelpful? Because focus groups and interviews (and other qualitative methods we will discuss) use qualitative methods, they are not concerned with generalizability. It would not make sense to generalize from focus groups to all people in a population. Instead, focus groups methods optimize for trustworthy and authentic research projects that make sure, for example, all themes and quotes in the researcher's report are traceable to quotes from focus group participants. Instead of providing what is generally true, qualitative research provides a thick description of people's experiences so you can understand them. S ubjective inquiry is less generalizable but provides greater depth in understanding people's feelings, beliefs, and decision-making processes within their context. 

In Figure 5.3, you will note that some qualitative studies are ranked higher than others in terms of generalizability. Meta-syntheses are ranked highest because they are meta-research, pooling together the themes and raw data from multiple qualitative studies into a super-study. A meta-synthesis is the qualitative equivalent of a meta-analysis, which analyzes quantitative data. Because the researchers conducting the meta-syntheses aim to make more broad generalizations across research studies, even though generalizability is not strictly the goal. In a similar way, grounded theory studies (a type of qualitative design) aim to produce a testable hypothesis that could generalize. At the bottom of the hierarchy are individual case studies, which report what happens with a single person, organization, or event. It's best not to think too long about the generalizability of qualitative results. When examining qualitative articles, you should be examining their transferability, our topic for the next subsection.

Transferability

Generalizability asks one question: How well does the sample of people in this study represent everyone with this issue? If you read in a study that 50% of people in the sample experienced depression, does that mean 50% of everyone experiences depression? We previewed future discussions in this textbook that will discuss the specific quantitative research methods used to optimize the generalizability of results. By adhering strictly to best practices in sampling, measurement, and design, researchers can provide you with good evidence for the generalizability of their study's results.

Of course, generalizability is not the only question worth asking. Just because a study's sample represents a broader population does not mean it is helpful for making conclusions about your working question. In assessing a study's transferability, you are making a weaker but compelling argument that the conclusions of one study can be applied to understanding the people in your working question and research project. Generalizable results may be applicable because they are broadly transferable across situations, and you can be confident in that when they follow the best practices in this textbook for improving generalizability. However, there may be aspects of a study that make its results difficult to transfer to your topic area.

When evaluating the transferability of a research result to your working question, consider the sample, measures, and design. That is, how data was collected from individuals, who those individuals are, and what researchers did with them. You may find that the samples in generalizable studies do not talk about the specific ethnic, cultural, or geographic group that is in your working question. Similarly, studies that measure the outcomes of substance use treatment by measuring sobriety may not match your working question on moderation, medication adherence, or substitution as an outcome in substance use treatment. Evaluating the transferability of designs may help you identify whether the methods the authors used would be similar to those you might use if you were to conduct a study gathering and collecting your own raw data.

Assessing transferability is more subjective. You are using your knowledge of your topic area and research methods (which are always improving!) to make a reasonable argument about why a given piece of evidence from a primary source helps you understand something. Look back at Table 5.2, your annotations, and the researchers' sampling, data analysis, results, and design. Using your critical thinking (and the knowledge you can in Part 2 and Part 3 of this textbook) you will need to make a reasonable argument that these results transfer to the people, places, and culture that you are talking about in your working question.

In the final chapter of Part 1, we will discuss how to assemble the facts you have taken from journal articles into a literature review that represents what  you think about the topic.

• Developing your theoretical framework
• Conceptual definitions
• Inductive & deductive reasoning

Nomothetic causal explanations

Content warning: examples in this chapter include references to sexual harassment, domestic violence, gender-based violence, the child welfare system, substance use disorders, neonatal abstinence syndrome, child abuse, racism, and sexism.

11.1 Developing your theoretical framework

• Differentiate between theories that explain specific parts of the social world versus those that are more broad and sweeping in their conclusions
• Identify the theoretical perspectives that are relevant to your project and inform your thinking about it
• Define key concepts in your working question and develop a theoretical framework for how you understand your topic.

Theories provide a way of looking at the world and of understanding human interaction. Paradigms are grounded in big assumptions about the world—what is real, how do we create knowledge—whereas theories describe more specific phenomena. Well, we are still oversimplifying a bit. Some theories try to explain the whole world, while others only try to explain a small part. Some theories can be grouped together based on common ideas but retain their own individual and unique features. Our goal is to help you find a theoretical framework that helps you understand your topic more deeply and answer your working question.

Theories: Big and small

In your human behavior and the social environment (HBSE) class, you were introduced to the major theoretical perspectives that are commonly used in social work. These are what we like to call big-T 'T'heories. When you read about systems theory, you are actually reading a synthesis of decades of distinct, overlapping, and conflicting theories that can be broadly classified within systems theory. For example, within systems theory, some approaches focus more on family systems while others focus on environmental systems, though the core concepts remain similar.

Different theorists define concepts in their own way, and as a result, their theories may explore different relationships with those concepts. For example, Deci and Ryan's (1985) [56] self-determination theory discusses motivation and establishes that it is contingent on meeting one's needs for autonomy, competency, and relatedness. By contrast, ecological self-determination theory, as written by Abery & Stancliffe (1996), [57] argues that self-determination is the amount of control exercised by an individual over aspects of their lives they deem important across the micro, meso, and macro levels. If self-determination were an important concept in your study, you would need to figure out which of the many theories related to self-determination helps you address your working question.

Theories can provide a broad perspective on the key concepts and relationships in the world or more specific and applied concepts and perspectives. Table 7.2 summarizes two commonly used lists of big-T Theoretical perspectives in social work. See if you can locate some of the theories that might inform your project.

Competing theoretical explanations

Within each area of specialization in social work, there are many other theories that aim to explain more specific types of interactions. For example, within the study of sexual harassment, different theories posit different explanations for why harassment occurs.

One theory, first developed by criminologists, is called routine activities theory. It posits that sexual harassment is most likely to occur when a workplace lacks unified groups and when potentially vulnerable targets and motivated offenders are both present (DeCoster, Estes, & Mueller, 1999). [60]

Other theories of sexual harassment, called relational theories, suggest that one's existing relationships are the key to understanding why and how workplace sexual harassment occurs and how people will respond when it does occur (Morgan, 1999). [61] Relational theories focus on the power that different social relationships provide (e.g., married people who have supportive partners at home might be more likely than those who lack support at home to report sexual harassment when it occurs).

Finally, feminist theories of sexual harassment take a different stance. These theories posit that the organization of our current gender system, wherein those who are the most masculine have the most power, best explains the occurrence of workplace sexual harassment (MacKinnon, 1979). [62] As you might imagine, which theory a researcher uses to examine the topic of sexual harassment will shape the questions asked about harassment. It will also shape the explanations the researcher provides for why harassment occurs.

For a graduate student beginning their study of a new topic, it may be intimidating to learn that there are so many theories beyond what you’ve learned in your theory classes. What’s worse is that there is no central database of theories on your topic. However, as you review the literature in your area, you will learn more about the theories scientists have created to explain how your topic works in the real world. There are other good sources for theories, in addition to journal articles. Books often contain works of theoretical and philosophical importance that are beyond the scope of an academic journal. Do a search in your university library for books on your topic, and you are likely to find theorists talking about how to make sense of your topic. You don't necessarily have to agree with the prevailing theories about your topic, but you do need to be aware of them so you can apply theoretical ideas to your project.

Applying big-T theories to your topic

The key to applying theories to your topic is learning the key concepts associated with that theory and the relationships between those concepts, or propositions . Again, your HBSE class should have prepared you with some of the most important concepts from the theoretical perspectives listed in Table 7.2. For example, the conflict perspective sees the world as divided into dominant and oppressed groups who engage in conflict over resources. If you were applying these theoretical ideas to your project, you would need to identify which groups in your project are considered dominant or oppressed groups, and which resources they were struggling over. This is a very general example. Challenge yourself to find small-t theories about your topic that will help you understand it in much greater detail and specificity. If you have chosen a topic that is relevant to your life and future practice, you will be doing valuable work shaping your ideas towards social work practice.

Integrating theory into your project can be easy, or it can take a bit more effort. Some people have a strong and explicit theoretical perspective that they carry with them at all times. For me, you'll probably see my work drawing from exchange and choice, social constructionist, and critical theory. Maybe you have theoretical perspectives you naturally employ, like Afrocentric theory or person-centered practice. If so, that's a great place to start since you might already be using that theory (even subconsciously) to inform your understanding of your topic. But if you aren't aware of whether you are using a theoretical perspective when you think about your topic, try writing a paragraph off the top of your head or talking with a friend explaining what you think about that topic. Try matching it with some of the ideas from the broad theoretical perspectives from Table 7.2. This can ground you as you search for more specific theories. Some studies are designed to test whether theories apply the real world while others are designed to create new theories or variations on existing theories. Consider which feels more appropriate for your project and what you want to know.

Another way to easily identify the theories associated with your topic is to look at the concepts in your working question. Are these concepts commonly found in any of the theoretical perspectives in Table 7.2? Take a look at the Payne and Hutchison texts and see if any of those look like the concepts and relationships in your working question or if any of them match with how you think about your topic. Even if they don't possess the exact same wording, similar theories can help serve as a starting point to finding other theories that can inform your project. Remember, HBSE textbooks will give you not only the broad statements of theories but also sources from specific theorists and sub-theories that might be more applicable to your topic. Skim the references and suggestions for further reading once you find something that applies well.

Choose a theoretical perspective from Hutchison, Payne, or another theory textbook that is relevant to your project. Using their textbooks or other reputable sources, identify :

• At least five important concepts from the theory
• What relationships the theory establishes between these important concepts (e.g., as x increases, the y decreases)
• How you can use this theory to better understand the concepts and variables in your project?

Developing your own theoretical framework

Hutchison's and Payne's frameworks are helpful for surveying the whole body of literature relevant to social work, which is why they are so widely used. They are one framework, or way of thinking, about all of the theories social workers will encounter that are relevant to practice. Social work researchers should delve further and develop a theoretical or conceptual framework of their own based on their reading of the literature. In Chapter 8 , we will develop your theoretical framework further, identifying the cause-and-effect relationships that answer your working question. Developing a theoretical framework is also instructive for revising and clarifying your working question and identifying concepts that serve as keywords for additional literature searching. The greater clarity you have with your theoretical perspective, the easier each subsequent step in the research process will be.

Getting acquainted with the important theoretical concepts in a new area can be challenging. While social work education provides a broad overview of social theory, you will find much greater fulfillment out of reading about the theories related to your topic area. We discussed some strategies for finding theoretical information in Chapter 3 as part of literature searching. To extend that conversation a bit, some strategies for searching for theories in the literature include:

• Consider searching for these keywords in the title or abstract, specifically
• Looking at the references and cited by links within theoretical articles and textbooks
• Looking at books, edited volumes, and textbooks that discuss theory
• Talking with a scholar on your topic, or asking a professor if they can help connect you to someone
• Nice authors are clear about how they use theory to inform their research project, usually in the introduction and discussion section.
• For example, from the broad umbrella of systems theory, you might pick out family systems theory if you want to understand the effectiveness of a family counseling program.

It's important to remember that knowledge arises within disciplines, and that disciplines have different theoretical frameworks for explaining the same topic. While it is certainly important for the social work perspective to be a part of your analysis, social workers benefit from searching across disciplines to come to a more comprehensive understanding of the topic. Reaching across disciplines can provide uncommon insights during conceptualization, and once the study is completed, a multidisciplinary researcher will be able to share results in a way that speaks to a variety of audiences. A study by An and colleagues (2015) [63] uses game theory from the discipline of economics to understand problems in the Temporary Assistance for Needy Families (TANF) program. In order to receive TANF benefits, mothers must cooperate with paternity and child support requirements unless they have "good cause," as in cases of domestic violence, in which providing that information would put the mother at greater risk of violence. Game theory can help us understand how TANF recipients and caseworkers respond to the incentives in their environment, and highlight why the design of the "good cause" waiver program may not achieve its intended outcome of increasing access to benefits for survivors of family abuse.

Of course, there are natural limits on the depth with which student researchers can and should engage in a search for theory about their topic. At minimum, you should be able to draw connections across studies and be able to assess the relative importance of each theory within the literature. Just because you found one article applying your theory (like game theory, in our example above) does not mean it is important or often used in the domestic violence literature. Indeed, it would be much more common in the family violence literature to find psychological theories of trauma, feminist theories of power and control, and similar theoretical perspectives used to inform research projects rather than game theory, which is equally applicable to survivors of family violence as workers and bosses at a corporation. Consider using the Cited By feature to identify articles, books, and other sources of theoretical information that are seminal or well-cited in the literature. Similarly, by using the name of a theory in the keywords of a search query (along with keywords related to your topic), you can get a sense of how often the theory is used in your topic area. You should have a sense of what theories are commonly used to analyze your topic, even if you end up choosing a different one to inform your project.

Theories that are not cited or used as often are still immensely valuable. As we saw before with TANF and "good cause" waivers, using theories from other disciplines can produce uncommon insights and help you make a new contribution to the social work literature. Given the privileged position that the social work curriculum places on theories developed by white men, students may want to explore Afrocentricity as a social work practice theory (Pellebon, 2007) [64] or abolitionist social work (Jacobs et al., 2021) [65] when deciding on a theoretical framework for their research project that addresses concepts of racial justice. Start with your working question, and explain how each theory helps you answer your question. Some explanations are going to feel right, and some concepts will feel more salient to you than others. Keep in mind that this is an iterative process. Your theoretical framework will likely change as you continue to conceptualize your research project, revise your research question, and design your study.

By trying on many different theoretical explanations for your topic area, you can better clarify your own theoretical framework. Some of you may be fortunate enough to find theories that match perfectly with how you think about your topic, are used often in the literature, and are therefore relatively straightforward to apply. However, many of you may find that a combination of theoretical perspectives is most helpful for you to investigate your project. For example, maybe the group counseling program for which you are evaluating client outcomes draws from both motivational interviewing and cognitive behavioral therapy. In order to understand the change happening in the client population, you would need to know each theory separately as well as how they work in tandem with one another. Because theoretical explanations and even the definitions of concepts are debated by scientists, it may be helpful to find a specific social scientist or group of scientists whose perspective on the topic you find matches with your understanding of the topic. Of course, it is also perfectly acceptable to develop your own theoretical framework, though you should be able to articulate how your framework fills a gap within the literature.

If you are adapting theoretical perspectives in your study, it is important to clarify the original authors' definitions of each concept. Jabareen (2009) [66] offers that conceptual frameworks are not merely collections of concepts but, rather, constructs in which each concept plays an integral role. [67] A conceptual framework is a network of linked concepts that together provide a comprehensive understanding of a phenomenon. Each concept in a conceptual framework plays an ontological or epistemological role in the framework, and it is important to assess whether the concepts and relationships in your framework make sense together. As your framework takes shape, you will find yourself integrating and grouping together concepts, thinking about the most important or least important concepts, and how each concept is causally related to others.

Much like paradigm, theory plays a supporting role for the conceptualization of your research project. Recall the ice float from Figure 7.1. Theoretical explanations support the design and methods you use to answer your research question. In student projects that lack a theoretical framework, I often see the biases and errors in reasoning that we discussed in Chapter 1 that get in the way of good social science. That's because theories mark which concepts are important, provide a framework for understanding them, and measure their interrelationships. If you are missing this foundation, you will operate on informal observation, messages from authority, and other forms of unsystematic and unscientific thinking we reviewed in Chapter 1 .

Theory-informed inquiry is incredibly helpful for identifying key concepts and how to measure them in your research project, but there is a risk in aligning research too closely with theory. The theory-ladenness of facts and observations produced by social science research means that we may be making our ideas real through research. This is a potential source of confirmation bias in social science. Moreover, as Tan (2016) [68] demonstrates, social science often proceeds by adopting as true the perspective of Western and Global North countries, and cross-cultural research is often when ethnocentric and biased ideas are most visible . In her example, a researcher from the West studying teacher-centric classrooms in China that rely partially on rote memorization may view them as less advanced than student-centered classrooms developed in a Western country simply because of Western philosophical assumptions about the importance of individualism and self-determination. Developing a clear theoretical framework is a way to guard against biased research, and it will establish a firm foundation on which you will develop the design and methods for your study.

• Just as empirical evidence is important for conceptualizing a research project, so too are the key concepts and relationships identified by social work theory.
• Using theory your theory textbook will provide you with a sense of the broad theoretical perspectives in social work that might be relevant to your project.
• Try to find small-t theories that are more specific to your topic area and relevant to your working question.
• In Chapter 2 , you developed a concept map for your proposal. Take a moment to revisit your concept map now as your theoretical framework is taking shape. Make any updates to the key concepts and relationships in your concept map. . If you need a refresher, we have embedded a short how-to video from the University of Guelph Library (CC-BY-NC-SA 4.0) that we also used in Chapter 2 .

11.2 Conceptual definitions

• Define measurement and conceptualization
• Apply Kaplan’s three categories to determine the complexity of measuring a given variable
• Identify the role previous research and theory play in defining concepts
• Distinguish between unidimensional and multidimensional concepts
• Critically apply reification to how you conceptualize the key variables in your research project

In social science, when we use the term  measurement , we mean the process by which we describe and ascribe meaning to the key facts, concepts, or other phenomena that we are investigating. At its core, measurement is about defining one’s terms in as clear and precise a way as possible. Of course, measurement in social science isn’t quite as simple as using a measuring cup or spoon, but there are some basic tenets on which most social scientists agree when it comes to measurement. We’ll explore those, as well as some of the ways that measurement might vary depending on your unique approach to the study of your topic.

An important point here is that measurement does not require any particular instruments or procedures. What it does require is a systematic procedure for assigning scores, meanings, and descriptions to individuals or objects so that those scores represent the characteristic of interest. You can measure phenomena in many different ways, but you must be sure that how you choose to measure gives you information and data that lets you answer your research question. If you're looking for information about a person's income, but your main points of measurement have to do with the money they have in the bank, you're not really going to find the information you're looking for!

The question of what social scientists measure can be answered by asking yourself what social scientists study. Think about the topics you’ve learned about in other social work classes you’ve taken or the topics you’ve considered investigating yourself. Let’s consider Melissa Milkie and Catharine Warner’s study (2011) [69] of first graders’ mental health. In order to conduct that study, Milkie and Warner needed to have some idea about how they were going to measure mental health. What does mental health mean, exactly? And how do we know when we’re observing someone whose mental health is good and when we see someone whose mental health is compromised? Understanding how measurement works in research methods helps us answer these sorts of questions.

As you might have guessed, social scientists will measure just about anything that they have an interest in investigating. For example, those who are interested in learning something about the correlation between social class and levels of happiness must develop some way to measure both social class and happiness. Those who wish to understand how well immigrants cope in their new locations must measure immigrant status and coping. Those who wish to understand how a person’s gender shapes their workplace experiences must measure gender and workplace experiences (and get more specific about which experiences are under examination). You get the idea. Social scientists can and do measure just about anything you can imagine observing or wanting to study. Of course, some things are easier to observe or measure than others.

Observing your variables

In 1964, philosopher Abraham Kaplan (1964) [70] wrote The   Conduct of Inquiry,  which has since become a classic work in research methodology (Babbie, 2010). [71] In his text, Kaplan describes different categories of things that behavioral scientists observe. One of those categories, which Kaplan called “observational terms,” is probably the simplest to measure in social science. Observational terms are the sorts of things that we can see with the naked eye simply by looking at them. Kaplan roughly defines them as conditions that are easy to identify and verify through direct observation. If, for example, we wanted to know how the conditions of playgrounds differ across different neighborhoods, we could directly observe the variety, amount, and condition of equipment at various playgrounds.

Indirect observables , on the other hand, are less straightforward to assess. In Kaplan's framework, they are conditions that are subtle and complex that we must use existing knowledge and intuition to define. If we conducted a study for which we wished to know a person’s income, we’d probably have to ask them their income, perhaps in an interview or a survey. Thus, we have observed income, even if it has only been observed indirectly. Birthplace might be another indirect observable. We can ask study participants where they were born, but chances are good we won’t have directly observed any of those people being born in the locations they report.

Sometimes the measures that we are interested in are more complex and more abstract than observational terms or indirect observables. Think about some of the concepts you’ve learned about in other social work classes—for example, ethnocentrism. What is ethnocentrism? Well, from completing an introduction to social work class you might know that it has something to do with the way a person judges another’s culture. But how would you  measure  it? Here’s another construct: bureaucracy. We know this term has something to do with organizations and how they operate but measuring such a construct is trickier than measuring something like a person’s income. The theoretical concepts of ethnocentrism and bureaucracy represent ideas whose meanings we have come to agree on. Though we may not be able to observe these abstractions directly, we can observe their components.

Kaplan referred to these more abstract things that behavioral scientists measure as constructs.  Constructs  are “not observational either directly or indirectly” (Kaplan, 1964, p. 55), [72] but they can be defined based on observables. For example, the construct of bureaucracy could be measured by counting the number of supervisors that need to approve routine spending by public administrators. The greater the number of administrators that must sign off on routine matters, the greater the degree of bureaucracy. Similarly, we might be able to ask a person the degree to which they trust people from different cultures around the world and then assess the ethnocentrism inherent in their answers. We can measure constructs like bureaucracy and ethnocentrism by defining them in terms of what we can observe. [73]

The idea of coming up with your own measurement tool might sound pretty intimidating at this point. The good news is that if you find something in the literature that works for you, you can use it (with proper attribution, of course). If there are only pieces of it that you like, you can reuse those pieces (with proper attribution and describing/justifying any changes). You don't always have to start from scratch!

Look at the variables in your research question.

• Classify them as direct observables, indirect observables, or constructs.
• Do you think measuring them will be easy or hard?
• What are your first thoughts about how to measure each variable? No wrong answers here, just write down a thought about each variable.

Measurement starts with conceptualization

In order to measure the concepts in your research question, we first have to understand what we think about them. As an aside, the word concept  has come up quite a bit, and it is important to be sure we have a shared understanding of that term. A  concept is the notion or image that we conjure up when we think of some cluster of related observations or ideas. For example, masculinity is a concept. What do you think of when you hear that word? Presumably, you imagine some set of behaviors and perhaps even a particular style of self-presentation. Of course, we can’t necessarily assume that everyone conjures up the same set of ideas or images when they hear the word  masculinity . While there are many possible ways to define the term and some may be more common or have more support than others, there is no universal definition of masculinity. What counts as masculine may shift over time, from culture to culture, and even from individual to individual (Kimmel, 2008). This is why defining our concepts is so important.\

Not all researchers clearly explain their theoretical or conceptual framework for their study, but they should! Without understanding how a researcher has defined their key concepts, it would be nearly impossible to understand the meaning of that researcher’s findings and conclusions. Back in Chapter 7 , you developed a theoretical framework for your study based on a survey of the theoretical literature in your topic area. If you haven't done that yet, consider flipping back to that section to familiarize yourself with some of the techniques for finding and using theories relevant to your research question. Continuing with our example on masculinity, we would need to survey the literature on theories of masculinity. After a few queries on masculinity, I found a wonderful article by Wong (2010) [74] that analyzed eight years of the journal Psychology of Men & Masculinity and analyzed how often different theories of masculinity were used . Not only can I get a sense of which theories are more accepted and which are more marginal in the social science on masculinity, I am able to identify a range of options from which I can find the theory or theories that will inform my project. 

Identify a specific theory (or more than one theory) and how it helps you understand...

• Your independent variable(s).
• Your dependent variable(s).
• The relationship between your independent and dependent variables.

Rather than completing this exercise from scratch, build from your theoretical or conceptual framework developed in previous chapters.

In quantitative methods, conceptualization involves writing out clear, concise definitions for our key concepts. These are the kind of definitions you are used to, like the ones in a dictionary. A conceptual definition involves defining a concept in terms of other concepts, usually by making reference to how other social scientists and theorists have defined those concepts in the past. Of course, new conceptual definitions are created all the time because our conceptual understanding of the world is always evolving.

Conceptualization is deceptively challenging—spelling out exactly what the concepts in your research question mean to you. Following along with our example, think about what comes to mind when you read the term masculinity. How do you know masculinity when you see it? Does it have something to do with men or with social norms? If so, perhaps we could define masculinity as the social norms that men are expected to follow. That seems like a reasonable start, and at this early stage of conceptualization, brainstorming about the images conjured up by concepts and playing around with possible definitions is appropriate. However, this is just the first step. At this point, you should be beyond brainstorming for your key variables because you have read a good amount of research about them

In addition, we should consult previous research and theory to understand the definitions that other scholars have already given for the concepts we are interested in. This doesn’t mean we must use their definitions, but understanding how concepts have been defined in the past will help us to compare our conceptualizations with how other scholars define and relate concepts. Understanding prior definitions of our key concepts will also help us decide whether we plan to challenge those conceptualizations or rely on them for our own work. Finally, working on conceptualization is likely to help in the process of refining your research question to one that is specific and clear in what it asks. Conceptualization and operationalization (next section) are where "the rubber meets the road," so to speak, and you have to specify what you mean by the question you are asking. As your conceptualization deepens, you will often find that your research question becomes more specific and clear.

If we turn to the literature on masculinity, we will surely come across work by Michael Kimmel , one of the preeminent masculinity scholars in the United States. After consulting Kimmel’s prior work (2000; 2008), [75] we might tweak our initial definition of masculinity. Rather than defining masculinity as “the social norms that men are expected to follow,” perhaps instead we’ll define it as “the social roles, behaviors, and meanings prescribed for men in any given society at any one time” (Kimmel & Aronson, 2004, p. 503). [76] Our revised definition is more precise and complex because it goes beyond addressing one aspect of men’s lives (norms), and addresses three aspects: roles, behaviors, and meanings. It also implies that roles, behaviors, and meanings may vary across societies and over time. Using definitions developed by theorists and scholars is a good idea, though you may find that you want to define things your own way.

As you can see, conceptualization isn’t as simple as applying any random definition that we come up with to a term. Defining our terms may involve some brainstorming at the very beginning. But conceptualization must go beyond that, to engage with or critique existing definitions and conceptualizations in the literature. Once we’ve brainstormed about the images associated with a particular word, we should also consult prior work to understand how others define the term in question. After we’ve identified a clear definition that we’re happy with, we should make sure that every term used in our definition will make sense to others. Are there terms used within our definition that also need to be defined? If so, our conceptualization is not yet complete. Our definition includes the concept of "social roles," so we should have a definition for what those mean and become familiar with role theory to help us with our conceptualization. If we don't know what roles are, how can we study them?

Let's say we do all of that. We have a clear definition of the term masculinity with reference to previous literature and we also have a good understanding of the terms in our conceptual definition...then we're done, right? Not so fast. You’ve likely met more than one man in your life, and you’ve probably noticed that they are not the same, even if they live in the same society during the same historical time period. This could mean there are dimensions of masculinity. In terms of social scientific measurement, concepts can be said to have multiple dimensions  when there are multiple elements that make up a single concept. With respect to the term  masculinity , dimensions could based on gender identity, gender performance, sexual orientation, etc.. In any of these cases, the concept of masculinity would be considered to have multiple dimensions.

While you do not need to spell out every possible dimension of the concepts you wish to measure, it is important to identify whether your concepts are unidimensional (and therefore relatively easy to define and measure) or multidimensional (and therefore require multi-part definitions and measures). In this way, how you conceptualize your variables determines how you will measure them in your study. Unidimensional concepts are those that are expected to have a single underlying dimension. These concepts can be measured using a single measure or test. Examples include simple concepts such as a person’s weight, time spent sleeping, and so forth. 

One frustrating this is that there is no clear demarcation between concepts that are inherently unidimensional or multidimensional. Even something as simple as age could be broken down into multiple dimensions including mental age and chronological age, so where does conceptualization stop? How far down the dimensional rabbit hole do we have to go? Researchers should consider two things. First, how important is this variable in your study? If age is not important in your study (maybe it is a control variable), it seems like a waste of time to do a lot of work drawing from developmental theory to conceptualize this variable. A unidimensional measure from zero to dead is all the detail we need. On the other hand, if we were measuring the impact of age on masculinity, conceptualizing our independent variable (age) as multidimensional may provide a richer understanding of its impact on masculinity. Finally, your conceptualization will lead directly to your operationalization of the variable, and once your operationalization is complete, make sure someone reading your study could follow how your conceptual definitions informed the measures you chose for your variables. 

Write a conceptual definition for your independent and dependent variables.

• Cite and attribute definitions to other scholars, if you use their words.
• Describe how your definitions are informed by your theoretical framework.
• Place your definition in conversation with other theories and conceptual definitions commonly used in the literature.
• Are there multiple dimensions of your variables?
• Are any of these dimensions important for you to measure?

Do researchers actually know what we're talking about?

Conceptualization proceeds differently in qualitative research compared to quantitative research. Since qualitative researchers are interested in the understandings and experiences of their participants, it is less important for them to find one fixed definition for a concept before starting to interview or interact with participants. The researcher’s job is to accurately and completely represent how their participants understand a concept, not to test their own definition of that concept.

If you were conducting qualitative research on masculinity, you would likely consult previous literature like Kimmel’s work mentioned above. From your literature review, you may come up with a  working definition  for the terms you plan to use in your study, which can change over the course of the investigation. However, the definition that matters is the definition that your participants share during data collection. A working definition is merely a place to start, and researchers should take care not to think it is the only or best definition out there.

In qualitative inquiry, your participants are the experts (sound familiar, social workers?) on the concepts that arise during the research study. Your job as the researcher is to accurately and reliably collect and interpret their understanding of the concepts they describe while answering your questions. Conceptualization of concepts is likely to change over the course of qualitative inquiry, as you learn more information from your participants. Indeed, getting participants to comment on, extend, or challenge the definitions and understandings of other participants is a hallmark of qualitative research. This is the opposite of quantitative research, in which definitions must be completely set in stone before the inquiry can begin.

The contrast between qualitative and quantitative conceptualization is instructive for understanding how quantitative methods (and positivist research in general) privilege the knowledge of the researcher over the knowledge of study participants and community members. Positivism holds that the researcher is the "expert," and can define concepts based on their expert knowledge of the scientific literature. This knowledge is in contrast to the lived experience that participants possess from experiencing the topic under examination day-in, day-out. For this reason, it would be wise to remind ourselves not to take our definitions too seriously and be critical about the limitations of our knowledge.

Conceptualization must be open to revisions, even radical revisions, as scientific knowledge progresses. While I’ve suggested consulting prior scholarly definitions of our concepts, you should not assume that prior, scholarly definitions are more real than the definitions we create. Likewise, we should not think that our own made-up definitions are any more real than any other definition. It would also be wrong to assume that just because definitions exist for some concept that the concept itself exists beyond some abstract idea in our heads. Building on the paradigmatic ideas behind interpretivism and the critical paradigm, researchers call the assumption that our abstract concepts exist in some concrete, tangible way is known as reification . It explores the power dynamics behind how we can create reality by how we define it.

Returning again to our example of masculinity. Think about our how our notions of masculinity have developed over the past few decades, and how different and yet so similar they are to patriarchal definitions throughout history. Conceptual definitions become more or less popular based on the power arrangements inside of social science the broader world. Western knowledge systems are privileged, while others are viewed as unscientific and marginal. The historical domination of social science by white men from WEIRD countries meant that definitions of masculinity were imbued their cultural biases and were designed explicitly and implicitly to preserve their power. This has inspired movements for cognitive justice as we seek to use social science to achieve global development.

• Measurement is the process by which we describe and ascribe meaning to the key facts, concepts, or other phenomena that we are investigating.
• Kaplan identified three categories of things that social scientists measure including observational terms, indirect observables, and constructs.
• Some concepts have multiple elements or dimensions.
• Researchers often use measures previously developed and studied by other researchers.
• Conceptualization is a process that involves coming up with clear, concise definitions.
• Conceptual definitions are based on the theoretical framework you are using for your study (and the paradigmatic assumptions underlying those theories).
• Whether your conceptual definitions come from your own ideas or the literature, you should be able to situate them in terms of other commonly used conceptual definitions.
• Researchers should acknowledge the limited explanatory power of their definitions for concepts and how oppression can shape what explanations are considered true or scientific.

Think historically about the variables in your research question.

• How has our conceptual definition of your topic changed over time?
• What scholars or social forces were responsible for this change?

Take a critical look at your conceptual definitions.

• How participants might define terms for themselves differently, in terms of their daily experience?
• On what cultural assumptions are your conceptual definitions based?
• Are your conceptual definitions applicable across all cultures that will be represented in your sample?

11.3 Inductive and deductive reasoning

• Describe inductive and deductive reasoning and provide examples of each
• Identify how inductive and deductive reasoning are complementary

Congratulations! You survived the chapter on theories and paradigms. My experience has been that many students have a difficult time thinking about theories and paradigms because they perceive them as "intangible" and thereby hard to connect to social work research. I even had one student who said she got frustrated just reading the word "philosophy."

Rest assured, you do not need to become a theorist or philosopher to be an effective social worker or researcher. However, you should have a good sense of what theory or theories will be relevant to your project, as well as how this theory, along with your working question, fit within the three broad research paradigms we reviewed. If you don't have a good idea about those at this point, it may be a good opportunity to pause and read more about the theories related to your topic area.

Theories structure and inform social work research. The converse is also true: research can structure and inform theory. The reciprocal relationship between theory and research often becomes evident to students when they consider the relationships between theory and research in inductive and deductive approaches to research. In both cases, theory is crucial. But the relationship between theory and research differs for each approach.

While inductive and deductive approaches to research are quite different, they can also be complementary. Let’s start by looking at each one and how they differ from one another. Then we’ll move on to thinking about how they complement one another.

Inductive reasoning

A researcher using inductive reasoning begins by collecting data that is relevant to their topic of interest. Once a substantial amount of data have been collected, the researcher will then step back from data collection to get a bird’s eye view of their data. At this stage, the researcher looks for patterns in the data, working to develop a theory that could explain those patterns. Thus, when researchers take an inductive approach, they start with a particular set of observations and move to a more general set of propositions about those experiences. In other words, they move from data to theory, or from the specific to the general. Figure 8.1 outlines the steps involved with an inductive approach to research.

There are many good examples of inductive research, but we’ll look at just a few here. One fascinating study in which the researchers took an inductive approach is Katherine Allen, Christine Kaestle, and Abbie Goldberg’s (2011) [77] study of how boys and young men learn about menstruation. To understand this process, Allen and her colleagues analyzed the written narratives of 23 young cisgender men in which the men described how they learned about menstruation, what they thought of it when they first learned about it, and what they think of it now. By looking for patterns across all 23 cisgender men’s narratives, the researchers were able to develop a general theory of how boys and young men learn about this aspect of girls’ and women’s biology. They conclude that sisters play an important role in boys’ early understanding of menstruation, that menstruation makes boys feel somewhat separated from girls, and that as they enter young adulthood and form romantic relationships, young men develop more mature attitudes about menstruation. Note how this study began with the data—men’s narratives of learning about menstruation—and worked to develop a theory.

In another inductive study, Kristin Ferguson and colleagues (Ferguson, Kim, & McCoy, 2011) [78] analyzed empirical data to better understand how to meet the needs of young people who are homeless. The authors analyzed focus group data from 20 youth at a homeless shelter. From these data they developed a set of recommendations for those interested in applied interventions that serve homeless youth. The researchers also developed hypotheses for others who might wish to conduct further investigation of the topic. Though Ferguson and her colleagues did not test their hypotheses, their study ends where most deductive investigations begin: with a theory and a hypothesis derived from that theory. Section 8.4 discusses the use of mixed methods research as a way for researchers to test hypotheses created in a previous component of the same research project.

You will notice from both of these examples that inductive reasoning is most commonly found in studies using qualitative methods, such as focus groups and interviews. Because inductive reasoning involves the creation of a new theory, researchers need very nuanced data on how the key concepts in their working question operate in the real world. Qualitative data is often drawn from lengthy interactions and observations with the individuals and phenomena under examination. For this reason, inductive reasoning is most often associated with qualitative methods, though it is used in both quantitative and qualitative research.

Deductive reasoning

If inductive reasoning is about creating theories from raw data, deductive reasoning is about testing theories using data. Researchers using deductive reasoning take the steps described earlier for inductive research and reverse their order. They start with a compelling social theory, create a hypothesis about how the world should work, collect raw data, and analyze whether their hypothesis was confirmed or not. That is, deductive approaches move from a more general level (theory) to a more specific (data); whereas inductive approaches move from the specific (data) to general (theory).

A deductive approach to research is the one that people typically associate with scientific investigation. Students in English-dominant countries that may be confused by inductive vs. deductive research can rest part of the blame on Sir Arthur Conan Doyle, creator of the Sherlock Holmes character. As Craig Vasey points out in his breezy introduction to logic book chapter , Sherlock Holmes more often used inductive rather than deductive reasoning (despite claiming to use the powers of deduction to solve crimes). By noticing subtle details in how people act, behave, and dress, Holmes finds patterns that others miss. Using those patterns, he creates a theory of how the crime occurred, dramatically revealed to the authorities just in time to arrest the suspect. Indeed, it is these flashes of insight into the patterns of data that make Holmes such a keen inductive reasoner. In social work practice, rather than detective work, inductive reasoning is supported by the intuitions and practice wisdom of social workers, just as Holmes' reasoning is sharpened by his experience as a detective.

So, if deductive reasoning isn't Sherlock Holmes' observation and pattern-finding, how does it work? It starts with what you have already done in Chapters 3 and 4, reading and evaluating what others have done to study your topic. It continued with Chapter 5, discovering what theories already try to explain how the concepts in your working question operate in the real world. Tapping into this foundation of knowledge on their topic, the researcher studies what others have done, reads existing theories of whatever phenomenon they are studying, and then tests hypotheses that emerge from those theories. Figure 8.2 outlines the steps involved with a deductive approach to research.

While not all researchers follow a deductive approach, many do. We’ll now take a look at a couple excellent recent examples of deductive research. 

In a study of US law enforcement responses to hate crimes, Ryan King and colleagues (King, Messner, & Baller, 2009) [79] hypothesized that law enforcement’s response would be less vigorous in areas of the country that had a stronger history of racial violence. The authors developed their hypothesis from prior research and theories on the topic. They tested the hypothesis by analyzing data on states’ lynching histories and hate crime responses. Overall, the authors found support for their hypothesis and illustrated an important application of critical race theory.

In another recent deductive study, Melissa Milkie and Catharine Warner (2011) [80] studied the effects of different classroom environments on first graders’ mental health. Based on prior research and theory, Milkie and Warner hypothesized that negative classroom features, such as a lack of basic supplies and heat, would be associated with emotional and behavioral problems in children. One might associate this research with Maslow's hierarchy of needs or systems theory. The researchers found support for their hypothesis, demonstrating that policymakers should be paying more attention to the mental health outcomes of children’s school experiences, just as they track academic outcomes (American Sociological Association, 2011). [81]

Complementary approaches

While inductive and deductive approaches to research seem quite different, they can actually be rather complementary. In some cases, researchers will plan for their study to include multiple components, one inductive and the other deductive. In other cases, a researcher might begin a study with the plan to conduct either inductive or deductive research, but then discovers along the way that the other approach is needed to help illuminate findings. Here is an example of each such case.

Dr. Amy Blackstone (n.d.), author of Principles of sociological inquiry: Qualitative and quantitative methods , relates a story about her mixed methods research on sexual harassment.

We began the study knowing that we would like to take both a deductive and an inductive approach in our work. We therefore administered a quantitative survey, the responses to which we could analyze in order to test hypotheses, and also conducted qualitative interviews with a number of the survey participants. The survey data were well suited to a deductive approach; we could analyze those data to test hypotheses that were generated based on theories of harassment. The interview data were well suited to an inductive approach; we looked for patterns across the interviews and then tried to make sense of those patterns by theorizing about them. For one paper (Uggen & Blackstone, 2004) [82] , we began with a prominent feminist theory of the sexual harassment of adult women and developed a set of hypotheses outlining how we expected the theory to apply in the case of younger women’s and men’s harassment experiences. We then tested our hypotheses by analyzing the survey data. In general, we found support for the theory that posited that the current gender system, in which heteronormative men wield the most power in the workplace, explained workplace sexual harassment—not just of adult women but of younger women and men as well. In a more recent paper (Blackstone, Houle, & Uggen, 2006), [83] we did not hypothesize about what we might find but instead inductively analyzed interview data, looking for patterns that might tell us something about how or whether workers’ perceptions of harassment change as they age and gain workplace experience. From this analysis, we determined that workers’ perceptions of harassment did indeed shift as they gained experience and that their later definitions of harassment were more stringent than those they held during adolescence. Overall, our desire to understand young workers’ harassment experiences fully—in terms of their objective workplace experiences, their perceptions of those experiences, and their stories of their experiences—led us to adopt both deductive and inductive approaches in the work. (Blackstone, n.d., p. 21) [84]

Researchers may not always set out to employ both approaches in their work but sometimes find that their use of one approach leads them to the other. One such example is described eloquently in Russell Schutt’s  Investigating the Social World (2006). [85] As Schutt describes, researchers Sherman and Berk (1984) [86] conducted an experiment to test two competing theories of the effects of punishment on deterring deviance (in this case, domestic violence).Specifically, Sherman and Berk hypothesized that deterrence   theory (see Williams, 2005 [87] for more information on that theory) would provide a better explanation of the effects of arresting accused batterers than labeling theory . Deterrence theory predicts that arresting an accused spouse batterer will  reduce  future incidents of violence. Conversely, labeling theory predicts that arresting accused spouse batterers will  increase  future incidents (see Policastro & Payne, 2013 [88] for more information on that theory). Figure 8.3 summarizes the two competing theories and the hypotheses Sherman and Berk set out to test.

Research from these follow-up studies were mixed. In some cases, arrest deterred future incidents of violence. In other cases, it did not. This left the researchers with new data that they needed to explain. The researchers therefore took an inductive approach in an effort to make sense of their latest empirical observations. The new studies revealed that arrest seemed to have a deterrent effect for those who were married and employed, but that it led to increased offenses for those who were unmarried and unemployed. Researchers thus turned to control theory, which posits that having some stake in conformity through the social ties provided by marriage and employment, as the better explanation (see Davis et al., 2000 [90] for more information on this theory).

What the original Sherman and Berk study, along with the follow-up studies, show us is that we might start with a deductive approach to research, but then, if confronted by new data we must make sense of, we may move to an inductive approach. We will expand on these possibilities in section 8.4 when we discuss mixed methods research.

Ethical and critical considerations

Deductive and inductive reasoning, just like other components of the research process comes with ethical and cultural considerations for researchers. Specifically, deductive research is limited by existing theory. Because scientific inquiry has been shaped by oppressive forces such as sexism, racism, and colonialism, what is considered theory is largely based in Western, white-male-dominant culture. Thus, researchers doing deductive research may artificially limit themselves to ideas that were derived from this context. Non-Western researchers, international social workers, and practitioners working with non-dominant groups may find deductive reasoning of limited help if theories do not adequately describe other cultures.

While these flaws in deductive research may make inductive reasoning seem more appealing, on closer inspection you'll find similar issues apply. A researcher using inductive reasoning applies their intuition and lived experience when analyzing participant data. They will take note of particular themes, conceptualize their definition, and frame the project using their unique psychology. Since everyone's internal world is shaped by their cultural and environmental context, inductive reasoning conducted by Western researchers may unintentionally reinforcing lines of inquiry that derive from cultural oppression.

Inductive reasoning is also shaped by those invited to provide the data to be analyzed. For example, I recently worked with a student who wanted to understand the impact of child welfare supervision on children born dependent on opiates and methamphetamine. Due to the potential harm that could come from interviewing families and children who are in foster care or under child welfare supervision, the researcher decided to use inductive reasoning and to only interview child welfare workers.

Talking to practitioners is a good idea for feasibility, as they are less vulnerable than clients. However, any theory that emerges out of these observations will be substantially limited, as it would be devoid of the perspectives of parents, children, and other community members who could provide a more comprehensive picture of the impact of child welfare involvement on children. Notice that each of these groups has less power than child welfare workers in the service relationship. Attending to which groups were used to inform the creation of a theory and the power of those groups is an important critical consideration for social work researchers.

As you can see, when researchers apply theory to research they must wrestle with the history and hierarchy around knowledge creation in that area. In deductive studies, the researcher is positioned as the expert, similar to the positivist paradigm presented in Chapter 5. We've discussed a few of the limitations on the knowledge of researchers in this subsection, but the position of the "researcher as expert" is inherently problematic. However, it should also not be taken to an extreme. A researcher who approaches inductive inquiry as a naïve learner is also inherently problematic. Just as competence in social work practice requires a baseline of knowledge prior to entering practice, so does competence in social work research. Because a truly naïve intellectual position is impossible—we all have preexisting ways we view the world and are not fully aware of how they may impact our thoughts—researchers should be well-read in the topic area of their research study but humble enough to know that there is always much more to learn.

• Inductive reasoning begins with a set of empirical observations, seeking patterns in those observations, and then theorizing about those patterns.
• Deductive reasoning begins with a theory, developing hypotheses from that theory, and then collecting and analyzing data to test the truth of those hypotheses.
• Inductive and deductive reasoning can be employed together for a more complete understanding of the research topic.
• Though researchers don’t always set out to use both inductive and deductive reasoning in their work, they sometimes find that new questions arise in the course of an investigation that can best be answered by employing both approaches.
• Identify one theory and how it helps you understand your topic and working question.

I encourage you to find a specific theory from your topic area, rather than relying only on the broad theoretical perspectives like systems theory or the strengths perspective. Those broad theoretical perspectives are okay...but I promise that searching for theories about your topic will help you conceptualize and design your research project.

• Using the theory you identified, describe what you expect the answer to be to your working question.
• Define and provide an example of idiographic causal relationships
• Describe the role of causality in quantitative research as compared to qualitative research
• Identify, define, and describe each of the main criteria for nomothetic causal relationships
• Describe the difference between and provide examples of independent, dependent, and control variables
• Define hypothesis, state a clear hypothesis, and discuss the respective roles of quantitative and qualitative research when it comes to hypotheses

Causality  refers to the idea that one event, behavior, or belief will result in the occurrence of another, subsequent event, behavior, or belief. In other words, it is about cause and effect. It seems simple, but you may be surprised to learn there is more than one way to explain how one thing causes another. How can that be? How could there be many ways to understand causality?

Think back to our discussion in Section 5.3 on paradigms [insert chapter link plus link to section 1.2]. You’ll remember the positivist paradigm as the one that believes in objectivity. Positivists look for causal explanations that are universally true for everyone, everywhere  because they seek objective truth. Interpretivists, on the other hand, look for causal explanations that are true for individuals or groups in a specific time and place because they seek subjective truths. Remember that for interpretivists, there is not one singular truth that is true for everyone, but many truths created and shared by others.

"Are you trying to generalize or nah?"

One of my favorite classroom moments occurred in the early days of my teaching career. Students were providing peer feedback on their working questions. I overheard one group who was helping someone rephrase their research question. A student asked, “Are you trying to generalize or nah?” Teaching is full of fun moments like that one. Answering that one question can help you understand how to conceptualize and design your research project.

Nomothetic causal explanations are incredibly powerful. They allow scientists to make predictions about what will happen in the future, with a certain margin of error. Moreover, they allow scientists to generalize —that is, make claims about a large population based on a smaller sample of people or items. Generalizing is important. We clearly do not have time to ask everyone their opinion on a topic or test a new intervention on every person. We need a type of causal explanation that helps us predict and estimate truth in all situations.

Generally, nomothetic causal relationships work best for explanatory research projects [INSERT SECTION LINK]. They also tend to use quantitative research: by boiling things down to numbers, one can use the universal language of mathematics to use statistics to explore those relationships. On the other hand, descriptive and exploratory projects often fit better with idiographic causality. These projects do not usually try to generalize, but instead investigate what is true for individuals, small groups, or communities at a specific point in time. You will learn about this type of causality in the next section. Here, we will assume you have an explanatory working question. For example, you may want to know about the risk and protective factors for a specific diagnosis or how a specific therapy impacts client outcomes.

What do nomothetic causal explanations look like?

Nomothetic causal explanations express relationships between variables . The term variable has a scientific definition. This one from Gillespie & Wagner (2018) "a logical grouping of attributes that can be observed and measured and is expected to vary from person to person in a population" (p. 9). [91] More practically, variables are the key concepts in your working question. You know, the things you plan to observe when you actually do your research project, conduct your surveys, complete your interviews, etc. These things have two key properties. First, they vary , as in they do not remain constant. "Age" varies by number. "Gender" varies by category. But they both vary. Second, they have attributes . So the variable "health professions" has attributes or categories, such as social worker, nurse, counselor, etc.

It's also worth reviewing what is  not a variable. Well, things that don't change (or vary) aren't variables. If you planned to do a study on how gender impacts earnings but your study only contained women, that concept would not vary . Instead, it would be a constant . Another common mistake I see in students' explanatory questions is mistaking an attribute for a variable. "Men" is not a variable. "Gender" is a variable. "Virginia" is not a variable. The variable is the "state or territory" in which someone or something is physically located.

When one variable causes another, we have what researchers call independent and dependent variables. For example, in a study investigating the impact of spanking on aggressive behavior, spanking would be the independent variable and aggressive behavior would be the dependent variable. An independent variable is the cause, and a  dependent variable  is the effect. Why are they called that? Dependent variables  depend on independent variables. If all of that gets confusing, just remember the graphical relationship in Figure 8.5.

Write out your working question, as it exists now. As we said previously in the subsection, we assume you have an explanatory research question for learning this section.

• Write out a diagram similar to Figure 8.5.
• Put your independent variable on the left and the dependent variable on the right.
• Can your variables vary?
• Do they have different attributes or categories that vary from person to person?
• How does the theory you identified in section 8.1 help you understand this causal relationship?

If the theory you've identified isn't much help to you or seems unrelated, it's a good indication that you need to read more literature about the theories related to your topic.

For some students, your working question may not be specific enough to list an independent or dependent variable clearly. You may have "risk factors" in place of an independent variable, for example. Or "effects" as a dependent variable. If that applies to your research question, get specific for a minute even if you have to revise this later. Think about which specific risk factors or effects you are interested in. Consider a few options for your independent and dependent variable and create diagrams similar to Figure 8.5.

Finally, you are likely to revisit your working question so you may have to come back to this exercise to clarify the causal relationship you want to investigate.

For a ten-cent word like "nomothetic," these causal relationships should look pretty basic to you. They should look like "x causes y." Indeed, you may be looking at your causal explanation and thinking, "wow, there are so many other things I'm missing in here." In fact, maybe my dependent variable sometimes causes changes in my independent variable! For example, a working question asking about poverty and education might ask how poverty makes it more difficult to graduate college or how high college debt impacts income inequality after graduation. Nomothetic causal relationships are slices of reality. They boil things down to two (or often more) key variables and assert a one-way causal explanation between them. This is by design, as they are trying to generalize across all people to all situations. The more complicated, circular, and often contradictory causal explanations are idiographic, which we will cover in the next section of this chapter.

Developing a hypothesis

A hypothesis   is a statement describing a researcher’s expectation regarding what they anticipate finding. Hypotheses in quantitative research are a nomothetic causal relationship that the researcher expects to determine is true or false. A hypothesis is written to describe the expected relationship between the independent and dependent variables. In other words, write the answer to your working question using your variables. That's your hypothesis! Make sure you haven't introduced new variables into your hypothesis that are not in your research question. If you have, write out your hypothesis as in Figure 8.5.

A good hypothesis should be testable using social science research methods. That is, you can use a social science research project (like a survey or experiment) to test whether it is true or not. A good hypothesis is also  specific about the relationship it explores. For example, a student project that hypothesizes, "families involved with child welfare agencies will benefit from Early Intervention programs," is not specific about what benefits it plans to investigate. For this student, I advised her to take a look at the empirical literature and theory about Early Intervention and see what outcomes are associated with these programs. This way, she could  more clearly state the dependent variable in her hypothesis, perhaps looking at reunification, attachment, or developmental milestone achievement in children and families under child welfare supervision.

Your hypothesis should be an informed prediction based on a theory or model of the social world. For example, you may hypothesize that treating mental health clients with warmth and positive regard is likely to help them achieve their therapeutic goals. That hypothesis would be based on the humanistic practice models of Carl Rogers. Using previous theories to generate hypotheses is an example of deductive research. If Rogers’ theory of unconditional positive regard is accurate, a study comparing clinicians who used it versus those who did not would show more favorable treatment outcomes for clients receiving unconditional positive regard.

Let’s consider a couple of examples. In research on sexual harassment (Uggen & Blackstone, 2004), [92] one might hypothesize, based on feminist theories of sexual harassment, that more females than males will experience specific sexually harassing behaviors. What is the causal relationship being predicted here? Which is the independent and which is the dependent variable? In this case, researchers hypothesized that a person’s sex (independent variable) would predict their likelihood to experience sexual harassment (dependent variable).

Sometimes researchers will hypothesize that a relationship will take a specific direction. As a result, an increase or decrease in one area might be said to cause an increase or decrease in another. For example, you might choose to study the relationship between age and support for legalization of marijuana. Perhaps you’ve taken a sociology class and, based on the theories you’ve read, you hypothesize that age is negatively related to support for marijuana legalization. [93] What have you just hypothesized?

You have hypothesized that as people get older, the likelihood of their supporting marijuana legalization decreases. Thus, as age (your independent variable) moves in one direction (up), support for marijuana legalization (your dependent variable) moves in another direction (down). So, a direct relationship (or positive correlation) involve two variables going in the same direction and an inverse relationship (or negative correlation) involve two variables going in opposite directions. If writing hypotheses feels tricky, it is sometimes helpful to draw them out and depict each of the two hypotheses we have just discussed.

It’s important to note that once a study starts, it is unethical to change your hypothesis to match the data you find. For example, what happens if you conduct a study to test the hypothesis from Figure 8.7 on support for marijuana legalization, but you find no relationship between age and support for legalization? It means that your hypothesis was incorrect, but that’s still valuable information. It would challenge what the existing literature says on your topic, demonstrating that more research needs to be done to figure out the factors that impact support for marijuana legalization. Don’t be embarrassed by negative results, and definitely don’t change your hypothesis to make it appear correct all along!

Criteria for establishing a nomothetic causal relationship

Let’s say you conduct your study and you find evidence that supports your hypothesis, as age increases, support for marijuana legalization decreases. Success! Causal explanation complete, right? Not quite.

You’ve only established one of the criteria for causality. The criteria for causality must include all of the following: covariation, plausibility, temporality, and nonspuriousness. In our example from Figure 8.7, we have established only one criteria—covariation. When variables covary , they vary together. Both age and support for marijuana legalization vary in our study. Our sample contains people of varying ages and varying levels of support for marijuana legalization. If, for example, we only included 16-year-olds in our study, age would be a  constant , not a variable.

Just because there might be some correlation between two variables does not mean that a causal relationship between the two is really plausible. Plausibility means that in order to make the claim that one event, behavior, or belief causes another, the claim has to make sense. It makes sense that people from previous generations would have different attitudes towards marijuana than younger generations. People who grew up in the time of Reefer Madness or the hippies may hold different views than those raised in an era of legalized medicinal and recreational use of marijuana. Plausibility is of course helped by basing your causal explanation in existing theoretical and empirical findings.

Once we’ve established that there is a plausible relationship between the two variables, we also need to establish whether the cause occurred before the effect, the criterion of temporality . A person’s age is a quality that appears long before any opinions on drug policy, so temporally the cause comes before the effect. It wouldn’t make any sense to say that support for marijuana legalization makes a person’s age increase. Even if you could predict someone’s age based on their support for marijuana legalization, you couldn’t say someone’s age was caused by their support for legalization of marijuana.

Finally, scientists must establish nonspuriousness. A spurious relationship is one in which an association between two variables appears to be causal but can in fact be explained by some third variable. This third variable is often called a confound or confounding variable because it clouds and confuses the relationship between your independent and dependent variable, making it difficult to discern the true causal relationship is.

Continuing with our example, we could point to the fact that older adults are less likely to have used marijuana recreationally. Maybe it is actually recreational use of marijuana that leads people to be more open to legalization, not their age. In this case, our confounding variable would be recreational marijuana use. Perhaps the relationship between age and attitudes towards legalization is a spurious relationship that is accounted for by previous use. This is also referred to as the third variable problem , where a seemingly true causal relationship is actually caused by a third variable not in the hypothesis. In this example, the relationship between age and support for legalization could be more about having tried marijuana than the age of the person.

Quantitative researchers are sensitive to the effects of potentially spurious relationships. As a result, they will often measure these third variables in their study, so they can control for their effects in their statistical analysis. These are called  control variables , and they refer to potentially confounding variables whose effects are controlled for mathematically in the data analysis process. Control variables can be a bit confusing, and we will discuss them more in Chapter 10, but think about it as an argument between you, the researcher, and a critic.

Researcher: “The older a person is, the less likely they are to support marijuana legalization.” Critic: “Actually, it’s more about whether a person has used marijuana before. That is what truly determines whether someone supports marijuana legalization.” Researcher: “Well, I measured previous marijuana use in my study and mathematically controlled for its effects in my analysis. Age explains most of the variation in attitudes towards marijuana legalization.”

Let’s consider a few additional, real-world examples of spuriousness. Did you know, for example, that high rates of ice cream sales have been shown to cause drowning? Of course, that’s not really true, but there is a positive relationship between the two. In this case, the third variable that causes both high ice cream sales and increased deaths by drowning is time of year, as the summer season sees increases in both (Babbie, 2010). [94]

Here’s another good one: it is true that as the salaries of Presbyterian ministers in Massachusetts rise, so too does the price of rum in Havana, Cuba. Well, duh, you might be saying to yourself. Everyone knows how much ministers in Massachusetts love their rum, right? Not so fast. Both salaries and rum prices have increased, true, but so has the price of just about everything else (Huff & Geis, 1993). [95]

Finally, research shows that the more firefighters present at a fire, the more damage is done at the scene. What this statement leaves out, of course, is that as the size of a fire increases so too does the amount of damage caused as does the number of firefighters called on to help (Frankfort-Nachmias & Leon-Guerrero, 2011). [96] In each of these examples, it is the presence of a confounding variable that explains the apparent relationship between the two original variables.

In sum, the following criteria must be met for a nomothetic causal relationship:

• The two variables must vary together.
• The relationship must be plausible.
• The cause must precede the effect in time.
• The relationship must be nonspurious (not due to a confounding variable).

The hypothetico-dedutive method

The primary way that researchers in the positivist paradigm use theories is sometimes called the hypothetico-deductive method (although this term is much more likely to be used by philosophers of science than by scientists themselves). Researchers choose an existing theory. Then, they make a prediction about some new phenomenon that should be observed if the theory is correct. Again, this prediction is called a hypothesis. The researchers then conduct an empirical study to test the hypothesis. Finally, they reevaluate the theory in light of the new results and revise it if necessary.

This process is usually conceptualized as a cycle because the researchers can then derive a new hypothesis from the revised theory, conduct a new empirical study to test the hypothesis, and so on. As Figure 8.8 shows, this approach meshes nicely with the process of conducting a research project—creating a more detailed model of “theoretically motivated” or “theory-driven” research. Together, they form a model of theoretically motivated research. 

Keep in mind the hypothetico-deductive method is only one way of using social theory to inform social science research. It starts with describing one or more existing theories, deriving a hypothesis from one of those theories, testing your hypothesis in a new study, and finally reevaluating the theory based on the results data analyses. This format works well when there is an existing theory that addresses the research question—especially if the resulting hypothesis is surprising or conflicts with a hypothesis derived from a different theory.

But what if your research question is more interpretive? What if it is less about theory-testing and more about theory-building? This is what our next chapters will cover: the process of inductively deriving theory from people's stories and experiences. This process looks different than that depicted in Figure 8.8. It still starts with your research question and answering that question by conducting a research study. But instead of testing a hypothesis you created based on a theory, you will create a theory of your own that explain the data you collected. This format works well for qualitative research questions and for research questions that existing theories do not address.

• In positivist and quantitative studies, the goal is often to understand the more general causes of some phenomenon rather than the idiosyncrasies of one particular instance, as in an idiographic causal relationship.
• Nomothetic causal explanations focus on objectivity, prediction, and generalization.
• Criteria for nomothetic causal relationships require the relationship be plausible and nonspurious; and that the cause must precede the effect in time.
• In a nomothetic causal relationship, the independent variable causes changes in the dependent variable.
• Hypotheses are statements, drawn from theory, which describe a researcher’s expectation about a relationship between two or more variables.
• Write out your working question and hypothesis.
• Defend your hypothesis in a short paragraph, using arguments based on the theory you identified in section 8.1.
• Review the criteria for a nomothetic causal relationship. Critique your short paragraph about your hypothesis using these criteria.
• Are there potentially confounding variables, issues with time order, or other problems you can identify in your reasoning?

Inductive & deductive (deductive focus)

9. Writing your research question Copyright © 2020 by Matthew DeCarlo is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

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