problem statement a research paper

• Research Process

What is a Problem Statement? [with examples]

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Table of Contents

The statement of the problem is one of the first things that a colleague or potential client will read. With the vastness of the information available at one’s fingertips in the online9 world, your work may have just a few seconds to draw in a reader to take a deeper look at your proposal before moving on to the next option. It explains quickly to the reader, the problem at hand, the need for research, and how you intend to do it.

A strong, clear description of the problem that drew you to your research has to be straightforward, easy to read and, most important, relevant. Why do you care about this problem? How can solving this problem impact the world? The problem statement is your opportunity to explain why you care and what you propose to do in the way of researching the problem.

A problem statement is an explanation in research that describes the issue that is in need of study . What problem is the research attempting to address? Having a Problem Statement allows the reader to quickly understand the purpose and intent of the research. The importance of writing your research proposal cannot be stressed enough. Check for more information on Writing a Scientific Research Project Proposal .

It is expected to be brief and concise , and should not include the findings of the research or detailed data . The average length of a research statement is generally about one page . It is going to define the problem, which can be thought of as a gap in the information base. There may be several solutions to this gap or lack of information, but that is not the concern of the problem statement. Its purpose is to summarize the current information and where a lack of knowledge may be presenting a problem that needs to be investigated .

The purpose of the problem statement is to identify the issue that is a concern and focus it in a way that allows it to be studied in a systematic way . It defines the problem and proposes a way to research a solution, or demonstrates why further information is needed in order for a solution to become possible.

What is Included in a Problem Statement?

Besides identifying the gap of understanding or the weakness of necessary data, it is important to explain the significance of this lack.

-How will your research contribute to the existing knowledge base in your field of study?

-How is it significant?

-Why does it matter?

Not all problems have only one solution so demonstrating the need for additional research can also be included in your problem statement. Once you identify the problem and the need for a solution, or for further study, then you can show how you intend to collect the needed data and present it.

How to Write a Statement of Problem in Research Proposal

It is helpful to begin with your goal. What do you see as the achievable goal if the problem you outline is solved? How will the proposed research theoretically change anything? What are the potential outcomes?

Then you can discuss how the problem prevents the ability to reach your realistic and achievable solution. It is what stands in the way of changing an issue for the better. Talk about the present state of affairs and how the problem impacts a person’s life, for example.

It’s helpful at this point to generally layout the present knowledge and understanding of the subject at hand, before then describing the gaps of knowledge that are currently in need of study. Your problem statement is a proposed solution to address one of these gaps.

A good problem statement will also layout the repercussions of leaving the problem as it currently stands. What is the significance of not addressing this problem? What are the possible future outcomes?

Example of Problem Statement in Research Proposal

If, for example , you intended to research the effect of vitamin D supplementation on the immune system , you would begin with a review of the current knowledge of vitamin D’s known function in relation to the immune system and how a deficiency of it impacts a person’s defenses.

You would describe the ideal environment in the body when there is a sufficient level of vitamin D. Then, begin to identify the problems associated with vitamin D deficiency and the difficulty of raising the level through supplementation, along with the consequences of that deficiency. Here you are beginning to identify the problem of a common deficiency and the current difficulty of increasing the level of vitamin D in the blood.

At this stage, you may begin to identify the problem and narrow it down in a way that is practical to a research project. Perhaps you are proposing a novel way of introducing Vitamin D in a way that allows for better absorption by the gut, or in a combination with another product that increases its level in the blood.

Describe the way your research in this area will contribute to the knowledge base on how to increase levels of vitamin D in a specific group of subjects, perhaps menopausal women with breast cancer. The research proposal is then described in practical terms.

How to write a problem statement in research?

Problem statements differ depending on the type and topic of research and vary between a few sentences to a few paragraphs.

However, the problem statement should not drag on needlessly. Despite the absence of a fixed format, a good research problem statement usually consists of three main parts:

Context: This section explains the background for your research. It identifies the problem and describes an ideal scenario that could exist in the absence of the problem. It also includes any past attempts and shortcomings at solving the problem.

Significance: This section defines how the problem prevents the ideal scenario from being achieved, including its negative impacts on the society or field of research. It should include who will be the most affected by a solution to the problem, the relevance of the study that you are proposing, and how it can contribute to the existing body of research.

Solution: This section describes the aim and objectives of your research, and your solution to overcome the problem. Finally, it need not focus on the perfect solution, but rather on addressing a realistic goal to move closer to the ideal scenario.

Here is a cheat sheet to help you with formulating a good problem statement.

1. Begin with a clear indication that the problem statement is going to be discussed next. You can start with a generic sentence like, “The problem that this study addresses…” This will inform your readers of what to expect next.

2. Next, mention the consequences of not solving the problem . You can touch upon who is or will be affected if the problem continues, and how.

3. Conclude with indicating the type of research /information that is needed to solve the problem. Be sure to reference authors who may have suggested the necessity of such research.

This will then directly lead to your proposed research objective and workplan and how that is expected to solve the problem i.e., close the research gap.

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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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The Research Problem & Statement

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

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

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

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

Overview: Research Problem 101

What is a research problem.

• What is a problem statement?

Where do research problems come from?

• How to find a suitable research problem
• Key takeaways

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

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

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

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

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

What is a research problem statement?

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

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

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

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

Need a helping hand?

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

Let’s look at each of these scenarios:

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

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

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

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

How to find a research problem

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

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

Step 1 – Identify your area of interest

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

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

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

Step 2 – Review the literature and develop a shortlist

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

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

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

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

Step 3 – Evaluate your potential options

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

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

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

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

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

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

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

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

Step 4 – Craft your problem statement

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

Key Takeaways

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

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

Psst... there’s more!

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

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How to write a problem statement

What is a problem statement?

Why write a problem statement, when are problem statements commonly written, how do i write a problem statement, the format of a problem statement, the trademarks of a good problem statement, an example of a problem statement, frequently asked questions about problem statements, related articles.

A problem statement is a clear and concise description of the problem or issue a team aims to address in a project.

A problem statement identifies a problem’s current state, desired future state, and the gaps that lie between the two. It doesn't define the solution to the problem or provide a road map for solving the problem; it only gives an outline of what the problem is.

However, the researcher or team can later use the problem statement to validate that their work delivered an outcome that resulted in the solution.

A problem statement is a useful communication tool, as it keeps the whole team on track and tells them why the project is important. A problem statement helps someone to define and understand the problem, identify the goals of the project, and outline the scope of work.

A problem statement is especially relevant for projects that aim to improve processes, as it allows for the easier development of solutions. Referencing it helps guide the activities carried out and aids the research team in staying focused. The information in a problem statement also helps a team make important decisions.

When the desired solution is implemented later on, a problem statement can help make sure that steps are put into place to prevent the original problem from recurring in the future.

Problem statements are used in both academic and business contexts. In a business environment, project managers can use them to help execute process improvement projects.

But in an academic setting, they can help researchers to contextualize and understand the significance of the problem in a research project. This guide focuses on academic problem statements.

Before planning or writing out your academic problem statement, ask yourself some important questions, and make notes with your answers:

• What is the problem?
• How often does the problem occur?
• Where does the problem occur?
• When does the problem occur?
• Who does the problem impact?
• What causes the problem?
• How would things ideally work if the problem wasn't present?
• Why is this a problem, and why does it matter?
• What impact does the problem cause?
• Which possible solution/s to the problem are you going to propose?
• What are the predicted benefits or outcomes of your solutions?

When you write your problem statement, split it into four sections:

• Problem: Here, simply define what your problem is, clearly and concisely. Make it no longer than one or two sentences.
• Background: This is the section where you can describe what causes the problem, how often it occurs, where and when it occurs, and who the problem impacts.
• Relevance: You'll want to show how the problem is relevant, as well as why it matters and requires a solution. This is a great space to specify why it's a problem and what impacts it causes. If it fits comfortably, you can also articulate how things would ideally work if the problem wasn't present.
• Objectives: This section doesn't require great detail or length, as the problem statement isn't the area of your research project in which to specifically problem-solve. However, you should lay out a brief plan of what you're going to do to investigate and how that should help you formulate solutions. You can also hypothesize on possible solutions you're going to propose, and the benefits you predict from these.

A quality problem statement should be:

• Concise: You should be able to summarize your problem, as well as the different elements of how and why it's a problem, in succinct sentences. If you can't, revisit your initial notes and clarify what you want to achieve with your project.
• Specific: Only write about one issue in a problem statement, even if there's more than one impact of that issue. Your research and actions then only have to focus on solving the one problem, and there's no confusion.
• Measurable: Be clear about how you're able to measure and convey both the problem and your proposed objectives. This is usually by communicating the problem in terms of degree and frequency.

Below is an academic problem statement example. You don't need to include any headers in your real problem statement, but we'll do so here to show you how the sections of the document function in practice.

There is worryingly low uptake of free cervical cancer screening in the UK amongst women aged 25 to 35.

According to an assessment conducted by X Health Trust, only 60% of 25- to 35-year-old female patients attended cervical cancer screening appointments within the last two years.

This could be due to several contributing factors:

• Female patients in this age group may be more likely to believe they are not susceptible to cervical cancer due to their younger age.
• There has been an absence of regular and informative public health announcements on this subject within the last seven years.
• Cervical cancer screening has a reputation for being an unpleasant experience, which could be off-putting for patients due to attend one.

Cervical cancer is the 14th most common cancer in females in the UK, representing a notable health risk. As of 2017, there were around 3,200 new cervical cancer cases, with 850 consequent deaths, in the UK every year.

Although mortality rates in the UK for cervical cancer are highest in females aged 85 to 89, incidence rates for the disease are still highest in females aged 30 to 34.

When cervical cancer is diagnosed at its earliest stage, 96% of people diagnosed will survive their disease for one year or more. This is compared with only 50% of people when the disease is diagnosed at the latest stage.

Screening is a vital health service as many cervical cancer patients will be symptomless until they are in a later stage of the disease.

We are going to conduct a survey of 10,000 females in the UK between the ages of 25 and 35. We will first ask them the question of whether they have attended a cervical screening appointment in the last five years. For those who answer “no,” we will then present them with multiple-choice options that answer the question, “why not?”

From the results we gather, we should be able to accurately assess the most common reasons why there is a low uptake in cervical cancer screening in this age group. We will then propose interventions to the medical community based on our findings.

Our ultimate goal is to increase the uptake of cervical cancer screening by females between 25 and 35 in the UK over the next five years.

🔲 Background

🔲 Relevance

🔲 Objectives

A problem statement helps you define and understand a problem, identify the goals of your project, and outline the scope of your work. A problem statement is especially important for projects that aim to improve processes, as it allows for the easier development of solutions.

A good problem statement is concise, specific and measurable. It summarizes the different elements of how and why it's a problem. It focusses on solving this one problem, and there is no confusion as to what the problem is and how it is solved. It is clear how the problem can be solved and how this can be measured.

To start a problem statement, first ask yourself some important questions to define the problem, like:

• Which possible solutions to the problem are you going to propose?

When you write your problem statement, split it into these sections:

A smart problem statement is concise, specific and measurable. It should briefly describe the problem, where it is occurring, the timeframe over which it has been occurring, and the size and magnitude of the problem.

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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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How to Write a Problem Statement in Research

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?

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

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

Importance of...

The purpose of a problem statement is to:

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

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

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

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

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

Structure and Writing Style

I.  Types and Content

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

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

A problem statement in the social sciences should contain :

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

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

II.  Sources of Problems for Investigation

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

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

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

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

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

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

III.  What Makes a Good Research Statement?

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

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

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

IV.  Asking Analytical Questions about the Research Problem

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

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

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

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

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

V.  Mistakes to Avoid

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

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

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

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

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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.

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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 a Problem Statement for your Research

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

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

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

What is the Statement of the Problem in Research?

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

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

Use for Free: Research Form Templates

What are the Features of a Good Problem Statement?  

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

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

Why is a Problem Statement Important in Research Writing?

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

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

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

Elements and Structure of a Problem Statement

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

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

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

1. The Research Problem

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

A few questions you should ask yourself here include: 

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

2. The Claim or Working Thesis 

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

3. The Significance of the Study 

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

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

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

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

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

What are the Steps for Writing a Problem Statement? 

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

1. Define Your Research Context 

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

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

2. State Why the Problem Matters

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

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

3. State the Financial Cost

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

4. Back Up Your Claims

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

5. Proffer a Solution

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

6. Conclude By Summarizing the Problem and Solution

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

Sample Problem Statement 

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

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

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

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

Mistakes to Avoid when Writing Problem Statements  

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

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

2. Narrow the scope of your problem statement.

3. Avoid unnecessary jargon and highly technical language.

4. Build a logical argument that will convince the reader

5. Emphasize the “why” of the problem 

FAQ About Writing a Statement of the Problem

How do you identify a research problem?

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

Conclusion 

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

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A problem statement is a concise description of a specific issue that needs to be addressed in a study. It is an important component of any research project. By indentifying the main problem or concern, it provides a rationale for why the study is necessary.

This article will shed more light on the basics of a research statement, its purpose and how you can create it. A brief step by step guide on writing robust issue descriptions will be provided below. Stay with us and you will get prepared for conducting your own research!  Also, you can check out paper writing service by StudyCrumb to get proficient help with this important task.

What Is a Problem Statement?

A problem statement provides an effective definition of an issue that you must examine in your work. It also servers the following purposes:

• Put an issue into a context.
• Explain the relevance of an issue and why you have chosen it for your project.
• Define objectives of your research. You should specify main steps you're planning on in order to can solve it.

At the same time, your  problem statement  should not be too wordy. It should contain only relevant details. It should be direct when describing all things mentioned above.  

Why Problem Statement Is Important in Research?

Role of the problem statement in a  research paper  lies in creating a solid, well-organized basis for your study. It is an essential step in understanding the significance of an issue and finding effective solutions. This is why you should write a strong approach to an issue before planning your research steps. It will serve as a guide for you. Also, with its help you can quickly solve any issue you can encounter when writing a paper.  

How to Write a Problem Statement for Research: Step-By-Step Guide

How to write a good problem statement? Most importantly, it should help you better understand full meaning and context of an issue. Better make sure you don't miss anything at the start of your project. We have prepared this quick guide on writing good approach to an issue. Let us explain it in detail. Help with research paper writing is there for you always.

Step 1. Offer Background in Your Problem Statement

Begin writing a problem statement by examining background of selected issue. Depending on the type of your research, focus on its practical or theoretical aspects. For practical issue, explain who or what is affected by this process. Tell what attempts have been made to find some solution. For theoretical one, explain what is already known about an issue from credible sources. Tell whether it is limited to any certain geographic location or period of time. Second, give it some context. Explain how this particular issue stands in a way of different processes. You may even explain those processes! After all, it is way easier for readers to sympathize with topic if they understand it.  

Step 2. Explain Why the Problem Statement Matters

Statement of the problem should provide clear arguments for relevance of an issue. Unless it is obvious from context, you need to start with clear answers to questions like these:

• Is your problem connected to some other important ones?
• Which direct or indirect consequences can this issue bring for society, economics or environment?
• What can happen if it is not solved?
• What benefits can be gained by solving it?
• Will solving an issue contribute to better understanding of related area(s)?

Step 3. Find Effective Approaches in Your Problem Statement

Next step is exploring your possibilities given the context. Science project problem statement should determine the paths you are going to take with your research. Your approaches may:  

• Address the aspects that make the heaviest impact and, therefore, need to be solved as soon as possible.
• Investigate connection with similar issues to find whether other solutions could be applied to this one.
• Explore the solutions suggested by other researchers if any are available.

Step 4. Show Research Objectives in Your Problem Statement

A statement of the problem in research paper should provide full description of your aim and objectives. The aim is typically not only about finding some solution. It examines the factors causing the issues and sets the research strategy. The following objectives can be used:  

• Research methodology to identify different aspects of an issue and relations between factors.
• Research activities you perform to collect necessary data.
• Mathematical or statistical operations to measure the data you have collected.

Problem Statement Examples

We have prepared an example of problem statement in a research paper for your convenience. Jow to write my research papers ? Keep in mind that you need to focus on composing proper structure of your report for maximum efficiency. 

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Writing a Problem Statement: Final Thoughts

Today we have provided you with a quick guide on how to write a problem statement. Feel free to use it for your own research ideas. 

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Frequently Asked Questions About Writing a Problem Statement

1. what is a good problem statement.

A good problem statement should provide clear definition of an issue at the beginning. You must include clear and concise explanation of its context. Also, add some absolute or relative measurements that quantify that gap. However you should not focus on possible causes or specific solutions at this stage.

2. Where do you put a problem statement in a research paper?

A problem statement in a research paper is to be put after thesis and research questions. Its purpose is to provide more details about specific area around your topic that is described in the thesis and to explain your objectives to show how you will obtain answers to the research questions.

3. What is the significance of a problem statement in a research paper?

A problem statement plays an important role in your research as it organizes the information you initially have about your subject. The purpose is to introduce the reader to the importance of the topic being studied. Besides, it helps you find appropriate ways to conduct the research and find the answers.

4. How long should a problem statement be in research proposal?

In problem statement you'd usually need 1 page to explain an issue your process improvement project will address. Depending on which format your tutor or your institution recommends, it also may include your approaches and your objectives. List of three or four items is enough for each of these two elements.

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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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Organizing Your Social Sciences Research Paper: The Research Problem/Question

• Purpose of Guide
• Writing a Research Proposal
• Design Flaws to Avoid
• Independent and Dependent Variables
• Narrowing a Topic Idea
• Broadening a Topic Idea
• The Research Problem/Question
• Academic Writing Style
• Choosing a Title
• Making an Outline
• Paragraph Development
• The C.A.R.S. Model
• Background Information
• Theoretical Framework
• Citation Tracking
• Evaluating Sources
• Reading Research Effectively
• Primary Sources
• Secondary Sources
• What Is Scholarly vs. Popular?
• Is it Peer-Reviewed?
• Qualitative Methods
• Quantitative Methods
• Common Grammar Mistakes
• Writing Concisely
• Avoiding Plagiarism [linked guide]
• Annotated Bibliography
• Grading Someone Else's Paper

A research problem is a definite or clear expression [statement] about an area of concern, a condition to be improved upon, a difficulty to be eliminated, or a troubling question that exists in scholarly literature, in theory, or within existing practice that points to a need for meaningful understanding and deliberate investigation. A research problem does not state how to do something, offer a vague or broad proposition, or present a value question.

Bryman, Alan. “The Research Question in Social Research: What is its Role?” International Journal of Social Research Methodology 10 (2007): 5-20; Guba, Egon G., and Yvonna S. Lincoln. “Competing Paradigms in Qualitative Research.” In Handbook of Qualitative Research . Norman K. Denzin and Yvonna S. Lincoln, editors. (Thousand Oaks, CA: Sage, 1994), pp. 105-117.

Importance of...

The purpose of a problem statement is to:

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

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

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

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

Bryman, Alan. “The Research Question in Social Research: What is its Role?” International Journal of Social Research Methodology 10 (2007): 5-20; 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

 Sources of Problems for Investigation

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

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

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

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

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

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

What Makes a Good Research Statement?

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

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

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

Asking Analytical Questions about the Research Problem

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

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

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

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

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

Mistakes to Avoid

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

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

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

Alvesson, Mats and Jörgen Sandberg. “Generating Research Questions Through Problematization.” Academy of Management Review 36 (April 2011): 247-271 ; Choosing and Refining Topics . Writing@CSU. Colorado State University; 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; Walk, Kerry. Asking an Analytical Question . [Class handout or worksheet]. Princeton University; White, Patrick. Developing Research Questions: A Guide for Social Scientists . New York: Palgrave McMillan, 2009.

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Writing a Strong Statement of the Problem in Research

Starting a research project is like setting out on a thrilling expedition. It's full of discoveries, challenges, and growth. However, one aspect that can be a bit tricky is formulating the statement of the problem. This critical component is the compass that navigates the course of your entire research paper, laying the groundwork and providing the necessary context for your study. So, the pressing question is: how do we craft a problem statement that's not only convincing but also hits the nail on the head?

Let's take a closer look at this all-important aspect of research. Whether you're a seasoned researcher or just taking your first steps into the world of research, the goal here is to simplify and demystify the process. By breaking it down into manageable chunks, we aim to make crafting a problem statement less of a daunting task and more of an exciting challenge. So, let's roll up our sleeves and get started on our journey to master the art of writing an effective problem statement for research.

What is the statement of the problem?

At its heart, the statement of the problem, or simply the problem statement, is a clear and unambiguous description of the specific issue or set of issues your research sets out to address. It's an essential bridge, a conceptual link that forges a connection between your research question and the more in-depth analysis and detailed discussions that form the body of your research paper.

Consider your problem statement as the trusty roadmap for your research expedition. It outlines the terrain, providing a sketch of the background or context in which the problem exists. It then zooms in, placing the issues of concern center stage, underlining their significance. Your problem statement tells the story of why finding solutions or answers to these issues matters, both in the context of your research and the broader field of study.

With its emphasis on focus and clarity, a well-crafted problem statement serves a dual purpose. First, it provides you with a clear path to follow during your research. It guides your thought process, influences your research decisions, and helps ensure your efforts are targeted and relevant. This can be invaluable in maintaining focus and direction, particularly in large-scale or complex research projects.

Secondly, it sets the stage for your readers, letting them know what to expect from your research paper. It primes the audience, providing them with the necessary context and background to understand your research. It sets out the problem you're addressing, why it's important, and hints at the approach you'll be taking to tackle it. In essence, it ensures your readers are on the same page as you from the get-go, enhancing their understanding and engagement with your research.

In sum, a well-crafted problem statement is the cornerstone of any successful research project, and taking the time to get it right can set the tone for the entire study.

The building blocks of a strong problem statement

When writing your problem statement, you're essentially trying to answer three main questions:

What is the problem? Why is it a problem? How will your research address the problem?

Let's break these down one by one.

1. What is the problem?

This is your starting point. You are tasked with defining the core issue that will serve as the focus of your research. Remember, clarity and specificity are key here—you want to present the issue in such a way that your readers instantly comprehend what you're addressing, without the need for interpretation or guesswork.

For instance, if you've chosen to investigate the issue of low student engagement in online learning, you might frame your problem like this: "In spite of the rapidly growing adoption of online learning across educational institutions, a significant concern that many educators report is a noticeable drop in levels of student engagement."

It's crucial to note that this initial definition of the problem serves as the foundation of your research project. This statement is the first impression your readers get about the nature of your study. The clearer and more explicit you are in defining the problem, the easier it will be for your readers to understand the purpose of your research. Thus, investing time and thought into crafting an articulate and comprehensive problem statement can go a long way in setting the right tone for your study.

2. Why is it a problem?

Once you've defined the problem, your next step is to articulate why this issue constitutes a problem. This involves discussing the implications or adverse consequences resulting from the problem. Essentially, you're showcasing why this problem is worthy of attention and why it necessitates a solution.

To build on our earlier example regarding low student engagement in online learning, you could say: "The lack of engagement observed in students during online learning isn't just a minor inconvenience; it's a major hurdle with profound implications. It negatively impacts students' academic performance, creating a domino effect that hampers their overall learning experience. More so, it fosters a sense of disconnection and dissatisfaction among students, which, if left unchecked, can lead to increased dropout rates."

In this part of the problem statement, you're not merely stating the problem, but also drawing attention to the gravity of its consequences. Your goal here is to convince your readers that this issue is a genuine problem that needs addressing. This step brings the practical relevance of your research into sharp focus, highlighting the potential for your study to effect meaningful change.

3. How will your research address the problem?

Lastly, you'll sketch out how your research will contribute to addressing or mitigating the problem. This part doesn't require you to lay out your entire research methodology in detail; rather, it's about providing a brief preview of the direction your research will take.

Sticking with our example of low student engagement in online learning, you could state: "The purpose of this study is to delve into and explore potential strategies that educators could adopt to foster and increase student engagement within online learning environments."

This element of your problem statement offers a glimpse into the solution you're proposing or the insight your research aims to provide. It serves to reassure your readers that your research isn't merely a critique of an existing issue, but also a constructive endeavor aimed at finding solutions or better understanding the problem. In a nutshell, it underscores the value and potential impact of your research, demonstrating how your study could bring about positive change or contribute to the existing body of knowledge.

Striking a balance: clear, concise, and focused

Crafting your problem statement is a delicate balancing act. You strive for clarity and conciseness while maintaining a sharp focus. It's about capturing the core of the problem, elucidating its significance, and providing a snapshot of how your research intends to tackle it. And the icing on the cake? All this needs to be communicated in a manner that's effortlessly comprehensible to your readers.

Let's delve into some practical tips that can help you strike just the right balance in your problem statement:

Avoid jargon

When you're doing academic research, you'll definitely bump into plenty of technical terms related to your field of study. It just comes with the territory. But, when you're pulling together your problem statement, it's really important to go easy on the jargon. Overdoing it with too much technical language can muddy the waters and might even throw your readers off track.

The real magic of your problem statement is in its power to convey your message with clarity and precision. Think of it as a lighthouse guiding your readers to the heart of your research. If the light gets blocked by a dense fog of jargon, it can leave your readers feeling lost at sea.

Now, sometimes, you just can't avoid using technical terms. When that happens, your mission is to make sure they're clearly understood. This could mean providing a simple definition or using the term in a way that shines a light on its meaning . In the end, your aim is to keep your problem statement as reader-friendly as possible while staying true to the specifics of your research.

Stay focused

Think of your problem statement as the backbone of your research paper— it needs to be strong, straight, and centered around one main issue. If you attempt to tackle a bunch of problems at the same time, your problem statement can become a tangled mess, leaving your research paper looking scattered and lacking clear direction.

Picture this: you're diving into a deep sea of knowledge. If you focus on one spot, you can dive deep, discover the hidden treasures, and understand the intricacies of that specific area. But if you try to cover too much territory, you'll only manage to skim the surface, missing out on the depth and richness that a more focused approach would offer.

Keeping your problem statement tightly centered on the particular issue you're studying is like setting a precise GPS for your research journey. It guides every step you take, ensures your research remains coherent and unified, and adds depth to your insights. In turn, this clarity and focus will help your readers grasp your research's core purpose and the specific problem it's addressing. So, embrace the power of focus in crafting your problem statement—your research paper will be all the better for it.

Brevity is the soul of a great problem statement. It's all about being succinct, capturing the essence of the problem, highlighting its significance, and indicating how your research aims to tackle it, without any unnecessary frills or side-trips. In other words, it's about delivering maximum impact with minimal wordage.

However, being concise doesn't mean giving crucial details the short shrift. Far from it! It's about packing your punch in a compact manner, ensuring every word you use is pulling its weight . It's a bit like packing for a trip. You don't want to lug around a giant suitcase stuffed with unnecessary items, but you also don't want to forget your passport or other essentials.

In crafting your problem statement, aim for something that's lean and mean, but chock-full of insights. Remember, the key lies in balancing brevity and depth. Doing so allows you to present a problem statement that's efficient, compelling, and packed with all the necessary information to guide your research and inform your readers.

Show the impact

Merely stating the problem isn't enough; you need to show your readers why it's a problem that needs attention. This is where you highlight the ripple effects of the issue—how does it impact individuals, communities, or perhaps even the broader world? It's like drawing a vivid picture that shows the potential or actual fallout of the problem.

When you paint this picture, you're adding a sense of gravity to your problem statement, underscoring why it's critical to address this issue. More importantly, you're highlighting the relevance and urgency of your research. Your work isn't just an exercise in intellectual curiosity; it's an expedition with real-world consequences.

The trick here is to weave the human story into your problem statement. Show your readers that your research isn't happening in a vacuum, but is instead deeply connected to the world we all live in. By doing this, you'll help your readers see the larger significance of your work, lending both depth and weight to your problem statement.

Putting together a compelling and impactful problem statement may seem like a daunting task at first glance, but don't sweat it. With a bit of practice, some patience, and the guidelines we've discussed, you'll soon be crafting problem statements that hit the mark with ease.

Think about it this way: your problem statement is far more than just a tick-box requirement for your research paper. It's akin to laying down the cornerstone of a building—the first crucial piece on which everything else is built. Its quality and precision directly influence the structure that will rise above it.

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• Volume 15, issue 1
• MS, 15, 315–330, 2024
• Related articles

Research on the optimal speed of vehicles passing speed bumps on the highway based on an immune algorithm

Zhiyong yang, ruixiang zhang.

With the advancement of vehicle technology, there is a growing demand for vehicle comfort in addition to the focus on safety and functionality. On certain accident-prone sections of highways, such as entrance and exit ramps, tunnels, and downhill stretches, continuous speed bumps are typically installed to remind vehicles to reduce their speed. However, while enhancing safety, these measures also introduce a degree of discomfort for passengers and drivers alike. Vehicle speed and the type of road speed bump are key factors influencing vehicle comfort. In order to improve the ride comfort, this paper investigates the problem of adaptive speed control for vehicles passing over different types of continuous speed bumps and proposes a method for solving the optimal speed. In this research, a 4-degree-of-freedom vehicle suspension model and a road excitation model are employed to simulate vehicle vibrations. Simulation optimisation is performed using MATLAB in conjunction with an immune algorithm to obtain the optimal vehicle speeds for traversing three types of continuous speed bumps – sinusoidal, rectangular, and trapezoidal – while adhering to specified constraints. The simulation results demonstrate that this optimisation algorithm effectively enhances the ride comfort of vehicles when navigating speed bumps. The algorithm, when applied, reduces vehicle vertical displacement, acceleration, suspension deflection, and tyre load to varying degrees when crossing speed bumps. It also reduces tyre ground clearance to some extent, achieving a balance between comfort and safety. Furthermore, the study identifies the range of comfortable vehicle speeds for traversing these three types of speed bumps, providing valuable insights for selecting the appropriate speed bump design on roads with varying speed limits.

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Yang, Z., Zhang, R., Guo, Z., Guo, J., and Zhou, Y.: Research on the optimal speed of vehicles passing speed bumps on the highway based on an immune algorithm, Mech. Sci., 15, 315–330, https://doi.org/10.5194/ms-15-315-2024, 2024.

Intelligent driving technology has progressively matured with the rapid development of a new generation of information technology and has developed into a practical application. The driving comfort and safety of the vehicle are crucial as a product for real-world applications. However, the majority of current research on the comfort of vehicles has been carried out with vehicles travelling on flat surfaces, such as in route planning (Motallebi et al., 2020) and suspension optimisation (Gao and Qi, 2021). There are few studies on the comfort and safety of vehicles when passing over uneven surfaces, especially when it comes to passing speed bumps. When drivers encounter speed bumps while driving, they rapidly identify the type of speed bump and adjust their vehicle's speed based on their subjective experience to minimise discomfort during passage (Barreno et al., 2022). In the case of semi-automated driving, forward-facing cameras are used to detect speed bumps on the road ahead, and the driving assistance system assists the driver in adjusting the vehicle's speed to reduce vehicle vibrations (Zein and Darwiche, 2020). However, vehicles lack the capability for subjective evaluation, making it challenging to adjust to an appropriate speed based on comfort requirements when encountering speed bumps. This presents a significant hurdle in achieving the optimal balance between driving comfort and safety.

The discomfort experienced during rides primarily arises from vertical vibrations induced by uneven road surfaces, and vehicle speed also affects the intensity of the vibrations. Therefore, the enhancement of ride comfort predominantly focuses on the suppression of vertical vibrations due to the presence of the driver. The suspension system, as a crucial component ensuring comfort, can absorb vibrations generated by road disturbances and has become an active area of research. To date, numerous studies have been conducted on suspension systems. Researchers such as Yan et al. (2019) have applied H ∞ suspension control to quarter-vehicle active-suspension systems to dampen vibrations, thereby enhancing vehicle handling stability and driver safety; however, considering road incentives to be disturbances has limited the guidance of road information. Mahmoodabadi et al. (2020) proposed a method based on optimal fuzzy adaptive robust proportional–integral–derivative (PID) controllers, aiming to minimise the relative displacement between the vehicle body acceleration and tyre spring mass, thereby improving active-suspension performance and ride comfort. Nguyen and Nguyen (2022a) proposed a state-multivariable-based sliding-mode PID-integrated suspension control method combined with a quarter-dynamics model, significantly reducing spring mass displacement and acceleration and thus enhancing vehicle stability and comfort. Further research introduced the optimised sliding-mode control (OSMC) algorithm to control the operation of active-suspension systems, substantially improving vehicle oscillations on uneven road surfaces while effectively preventing wheel separation, further enhancing ride comfort (Nguyen and Nguyen, 2022b). Additionally, an AFSPIDF active-suspension control algorithm, blending PID, SMC, and various fuzzy algorithms, successfully suppressed vehicle vibrations, significantly reducing vertical body displacement and acceleration and ultimately enhancing vehicle stability and comfort (Nguyen and Nguyen, 2023). However, due to the complexity of vehicle systems, the above researchers mainly utilised a quarter-vehicle model in studying ride comfort and safety. Nonetheless, the quarter-vehicle model can only investigate vehicle motion in the vertical direction, overlooking many crucial vehicle vibration characteristics and thus making it challenging to fully capture vehicle system information (Yang et al., 2015). Moreover, the use of more complex models would increase the difficulty of mathematical modelling and dynamic analysis. Therefore, employing the 4-degree-of-freedom (4-DOF) nonlinear vehicle suspension model is a moderately complex yet closer-to-reality approach, enabling more accurate acquisition of vehicle feedback information and providing precise adjustment solutions for vehicles navigating different speed bumps.

For advanced intelligent vehicles, their sensors and network systems have the capability to acquire information about the road ahead. Consequently, based on this context, researchers have proposed novel approaches. For instance, drawing upon road information obtained from networks and forward sensors, Wu et al. (2020) introduced a comfort optimisation strategy capable of coordinating speed variations and suspension vibrations. This approach utilised a hybrid horizon variance (HV) model predictive control (MPC) method, resulting in enhanced comfort for passive suspension vehicles operating at a fixed speed. Building upon this foundation, Liu et al. (2023) developed an integrated approach based on road information, combining preview active-suspension control and longitudinal velocity planning. This integrated approach employed a road-information-based semi-explicit model predictive controller (SE-MPC) for active-suspension control, further elevating the ride comfort of autonomous vehicles. Huang et al. (2023) and others approached the problem from the perspective of adaptive nonlinear control, introducing a novel suspension control method. Leveraging X-shaped biomimetics inspired by the skeletal structures of animals or insects and utilising road information to solve multi-objective optimisation problems, this method significantly enhanced vehicle comfort.

It is evident that forward road information is paramount for speed adjustment, particularly when considering ride comfort. However, current research has not adequately addressed whether speed planning can achieve optimal comfort when navigating uneven road surfaces, especially over speed bumps. In various road segments, such as tunnel entrances, downhill slopes, and pedestrian areas, speed bumps are commonly deployed to control vehicle speed and to enhance the safety of both vehicles and pedestrians. These speed bumps come in different shapes, including rectangular, semi-sinusoidal, and trapezoidal designs. However, current research concerning vehicle traversal of speed bumps predominantly focuses on trapezoidal speed bumps, with limited exploration of other shapes (Walavalkar et al., 2021; Miracle et al., 2021). In fact, different shapes of speed bumps have different optimal passing speeds, and the study of trapezoidal speed bumps alone is relatively homogeneous and lacks universality. In addition, there are different speed limits at different road locations, and the study of what kind of speed bumps should be laid on different speed-limited sections is relatively limited. Hence, conducting research on the optimal vehicle speeds for driving vehicles to navigate different speed bump shapes holds significant importance. Such research endeavours contribute to enhancing the comfort and safety of vehicles, facilitating their adaptation to the diverse road conditions and speed limit requirements.

When adjusting vehicle speed, it is imperative not only to ascertain the optimal speed for comfort but also to comprehensively consider the influence of other factors on comfort. While the immune algorithm (IA) (Gong et al., 2009) is a multi-objective optimisation method constructed by mimicking the biological immune mechanism and integrating the incentive of gene evolution, it has the advantages of self-adaptation, stochasticity, and population diversity, as well as superior global search capabilities, parallelism, and robustness, which overcomes the phenomenon of prematurity that exists in general optimisation. Significantly, the IA has found successful application in the realm of automotive mechatronic systems. For example, Chen (2020) used the IA to optimise the front- and rear-suspension parameters of an off-road vehicle, which enhanced the suspension performance of the off-road vehicle, thus improving the ride comfort and stability of the whole vehicle. Similarly, Shieh et al. (2014) combined the IA with adaptive fuzzy control and finally developed an integrated adaptive fuzzy controller which was integrated into the vehicle suspension system to achieve a balance between comfort and operability. However, it is noteworthy that these studies predominantly treated vehicle speed as a quantitative parameter, focusing on the enhancement of comfort through suspension system parameter improvements. Regrettably, the pivotal role of vehicle speed as a determinant of driving and riding comfort has often been overlooked.

Based on the aforementioned statements, this paper approaches the topic from a different perspective. Utilising the information obtainable with regard to road speed bumps through networks and sensors, the vehicle speed is considered to be an unknown condition. The research focuses on a 4-degree-of-freedom nonlinear vehicle suspension model. It employs the immune algorithm for optimising the speed of vehicles when traversing various speed bumps. This optimisation aims to achieve the ideal speed for navigating speed bumps, thereby reducing vibrations in vehicles. This approach facilitates adaptive speed adjustment in vehicles, ultimately enhancing both ride comfort and safety. Simultaneously, determining the optimal speed for traversing speed bumps provides valuable guidance for the installation of speed bumps in different speed limit zones.

The structure of this paper is as follows: the first part analyses the current state of research on vehicle suspension systems and comfort; the second part introduces the 4-degree-of-freedom nonlinear vehicle suspension model, as well as the trapezoidal, half-sine, and rectangular-wave speed bump models, and also describes the relevant parameters of the models; the third part outlines a multi-objective optimisation algorithm based on the IA; and the fourth part details the experiments on applications in different speed bump scenarios, and the results are analysed.

2.1  The 4-degree-of-freedom nonlinear vehicle suspension model

Figure 1 depicts the simplified diagram of the 4-DOF nonlinear vehicle suspension model applied in this paper (Yang et al., 2016). The nonlinear suspension model consists mainly of the vehicle body, unsprung masses of the front and rear suspension, springs, front and rear suspensions, tyres, and dampers. It enables the study not only of the vertical and pitch motion of the vehicle body but also of the vertical motion of the front and rear wheels (Yang et al., 2014). Table 1 shows the definitions of the symbols used in the model shown in Fig. 1.

Figure 1 Nonlinear vehicle suspension model of 4-DOF.

Table 1 Symbolic interpretation of the model.

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From the d'Alembert principle, the system equation of motion can be expressed as in Eq. (1):

In some simplified nonlinear dynamics studies of vehicle suspension, the suspension spring is regarded to be linear; that is, the deformation amount of the spring has a linear relationship with the spring force range; f s = k Δ x holds, where k is the stiffness coefficient, and Δ x is the deformation amount of the spring. However, in actual situations, the suspension spring will only be approximately linear when there is a small deformation, and nonlinear motion characteristics will appear when the deformation is large. The suspension spring will exhibit nonlinear deformation under road excitation. To better fit the actual situation, the nonlinear spring characteristics are expressed as follows (Yang et al., 2016):

where f s represents the dynamic spring force, sgn(⋅) denotes the signum function, Δ s signifies the deformation of the spring, k s represents the stiffness coefficient of the spring, and n denotes the nonlinearity coefficient of the spring. When n ≠1 , the spring exhibits nonlinear characteristics; otherwise, it demonstrates linear characteristics. Consequently, the nonlinear characteristics of each spring in the vehicle can be expressed as follows:

We express the damping force of the nonlinear suspension system as follows (Yang et al., 2016):

where f sc represents the damping force, Δ x ˙ s signifies the relative velocity of the damper, and c s represents the damping coefficient, which exhibits different characteristics when the damper is stretched and compressed. Therefore, the nonlinear damping forces of various vehicle suspension systems are expressed as follows:

where c f1 and c r1 denote the front- and rear-tyre damping coefficients, and c f2 and c r2 denote the front- and rear-tyre damping coefficients. Furthermore,

Let the state variable x 1 = x b , x 2 = x ˙ b , x 3 = θ , x 4 = θ ˙ , x 5 = x f , x 6 = x ˙ f , x 7 = x r , and x 8 = x ˙ r . The equation of state of the 4-DOF nonlinear suspension system is expressed as in Eq. (8):

When the suspension system is in relative static equilibrium, it can be calculated using the following equation:

where Δ sfi i = 1 , 2 and Δ sri i = 1 , 2 denote the static deformations, which can be obtained from Eq. (4); the masses of the spring load mass m b at the front and rear axes, m bf and m br , respectively, are expressed as follows:

2.2  Periodic speed bump excitation model

Accurately obtaining road surface information is crucial for analysing and evaluating vehicles. The uneven road surface between speed bumps also serves as a source of vehicle vibrations. When the vehicle's speed changes, the road surface excitation experienced by the vehicle also varies. In other words, the road surface excitation encountered by the vehicle when passing over speed bumps is influenced jointly by the speed bumps and the uneven road surface. Hence, this study takes into consideration the unevenness excitation that the uneven road surface between speed bumps imposes on vehicles and simulates the road surface's unevenness excitation using a sine wave model. Let x h (t) be the excitation function of the speed bumps, let A be the average amplitude of the uneven road surface, and let f r represent the excitation frequency of the uneven road surface. Then the excitations x fd and x rd of the front and rear wheels of the vehicle are represented as follows:

with Δ t being the time difference between the front and rear wheels of the vehicle through the road point, approximately equal to l f + l r / v .

2.2.1  Periodic trapezoidal speed bumps

Figure 2 shows the excitation model for the periodic trapezoidal speed bumps (Yang et al., 2022); d is the separation between the speed bumps, and w and h represent the width and height of the speed bumps, respectively. The vehicle passes over the speed bumps with speed v , and then the excitation period of the periodic trapezoidal speed bumps is T = w + d / v .

Figure 2 Periodic trapezoidal speed bump excitation model.

The excitation of the wheels in Fig. 2 is represented as in Eq. (5):

Thus, the excitation of the front and rear wheels of the vehicle on the periodic trapezoidal speed bumps is respectively expressed as follows:

2.2.2  Periodic half-sine speed bumps

Figure 3 shows the excitation model for the periodic half-sine speed bumps (Zhang and Zheng, 2022); the speed bump's height is h , its width is w , and the separation between the speed bumps is d . After measurement, the width of the speed bump is roughly equal to the separation; that is, w = d . When the vehicle passes over the speed bump with speed v , the excitation of the front and rear wheels of the vehicle on the periodic half-sine speed bump road surface is defined as follows:

Figure 3 Periodic half-sine speed bump excitation model.

2.2.3  Periodic rectangular-wave speed bumps

Figure 4 shows the excitation model for the periodic rectangular-wave speed bumps (Wu et al., 2014). The height and width of the speed bumps are h and w , respectively, and the separation between the speed bumps is d . The speed over the speed bumps of the vehicle is v , and then the excitation of the periodic rectangular-wave speed bump road surface to the front and rear wheels of the vehicle can be expressed as follows:

where square (⋅) denotes the rectangular-wave function.

Figure 4 Periodic rectangular-wave speed bump excitation model.

2.3  Simulation parameters

The 4-DOF vehicle suspension parameters used in the simulation are shown in Table 2 (Zhu and Ishitobi, 2004). The simulation takes the static equilibrium point x b , x ˙ b , θ , θ ˙ b , x f , x ˙ f , x r , x ˙ r = 0 , 0 , 0 , 0 , 0 , 0 , 0 , 0 in the vertical direction of the vehicle as the initial condition. Due to the nonlinearity of the differential equations, a numerical investigation of the dynamics of the vehicle model was conducted using a fourth-order fixed-step Runge–Kutta algorithm (Yang et al., 2022).

Table 2 Parameters of 4-DOF vehicle suspension.

This chapter aims to discuss the problem of speed adaptive adjustment of vehicles and optimises multiple objectives, such as the speed- and suspension-damping coefficients, simultaneously. Firstly, objective functions are established by combining the optimisation objectives with the vehicle indexes to evaluate the comfort of the optimisation objectives. Then, the optimisation objectives are regarded to be a set of antibodies, and we use the immune algorithm to establish the multi-objective optimisation algorithm for optimisation, which can achieve the purpose of improving the comfort of the vehicle.

3.1  Establish the objective function

The vertical movement of the vehicle body, the dynamic deflection of the front and rear suspension, and the front- and rear-wheel dynamic loads are used as evaluation indexes of the vehicle to assess the overall performance and balance response. In addition, all indexes are combined for a comprehensive assessment of comfort.

The vertical displacement of the body is usually proportional to the vehicle speed when the vehicle passes over speed bumps. Appropriate vertical body vibration displacement can effectively protect the driver and occupants from unevenness excitation of the road surface; thus, this paper takes the vertical body displacement to be the evaluation index of vehicle comfort (Pan and Sun, 2019); combined with Eq. (8), let

The vehicle's suspension deflection directly affects the handling stability of the vehicle. If the dynamic suspension deflection exceeds the design stroke of the vehicle, it will cause damage to the vehicle's suspension components. Therefore, the paper selects the front- and rear-suspension deflection f 2f and f 2r as indicators for assessing the vehicle's smoothness (Sha et al., 2020); these are expressed as follows:

Vibrations generated by the ground excitation on the wheels will cause discomfort to the driver, and the dynamic loads generated by the vibrations will aggravate the wear of the vehicle and even cause damage. Therefore, the dynamic loads f 3f and f 3r of the front and rear wheels are used to evaluate the vehicle's safety when driving on the road (Yu et al., 2019). The stiffness coefficients for the front and rear wheels are expressed in terms of k f1 and k r1 . Moreover, x fd and x rd represent the road excitations to the front and rear wheels; thus, the dynamic loads of the vehicle are expressed, respectively, as follows:

We use the root-mean-square (rms) value to dimensionlessly process the sub-objectives, such as the vertical displacement of the vehicle body, the dynamic deflection of the suspension, and the dynamic load of the wheels, thereby reducing the influence of incidental factors such as data inequality. Based on the influence level of each sub-objective, the linear weighting method is used to sum up the sub-objectives, and the objective function is expressed as follows (Wang et al., 2022):

Due to the varying impact of different influencing factors on the overall comfort of the vehicle, this study takes the relative weights ω 1 , ω 2f , ω 2r , ω 3f , and ω 3r of each sub-objective as an example, setting them at 0.20, 0.15, 0.15, 0.25, and 0.25, respectively, as examples for investigation. This paper simulates the scenario where the vehicle passes over trapezoidal, semi-sinusoidal, and rectangular speed bumps when exiting a highway ramp with a speed limit of 60 km h −1 . The initial speed of the vehicle before optimisation is 40 km h −1 . To ensure the accuracy of the simulation, the duration of vehicle motion in the simulation is set to 120 s (Yang et al., 2022).

3.2  Optimisation process based on the immune algorithm

Establishing the objective function facilitates the evaluation of the optimised comfort, which indicates the degree of optimisation. While this part describes the implementation process of the optimisation objective through the immune algorithm, which is to achieve the practical application of the algorithm by optimising the speed of the vehicle passing over the speed bumps and the relevant parameters, the specific flowchart is shown in Fig. 5.

Figure 5 Basic flow of IA optimisation.

In order to facilitate the acquisition of the vehicle balance response, the relevant vehicle parameters should be initialised to achieve better optimisation of the vehicle's performance. This paper addresses the problem of adaptive control of vehicle speed when passing over speed bumps. It considers a set of antibodies, x = v , C f 2 , C r 2 , where v represents the vehicle speed, and C f2 and C r2 denote the front- and rear-suspension damping coefficients. These antibodies form the initial generation of the antibody population X = x 1 , x 2 , ⋯ , x N using an immune algorithm. Simulations are conducted using the vehicle model to obtain performance feedback, and the objective function (19) is computed accordingly. The affinity of the antibodies is calculated as aff x = 1 / F , where F is the value of the obtained objective function. This affinity assessment is used to evaluate the comfort of the vehicle when passing over speed bumps in conjunction with the reciprocal of the objective function (19) from Sect. 3.1. A higher affinity value implies better comfort when the vehicle traverses speed bumps. While ensuring the algorithm's global search capability, this paper sets the population size N to be 30.

In optimisation problems, it is generally considered to be advantageous to initiate optimisation from the current best data point and to select the nearest data point to the current one for further optimisation. The introduction of heuristic information plays a significant role in aiding the optimisation process. By combining the affinity and concentration of antibodies, the excitation level of each group of antibodies is computed to perform the final assessment of antibody quality. A higher excitation level of antibodies indicates better quality, signifying that the group of antibodies can enhance the comfort of vehicles when traversing speed bumps. The concentration of antibodies is defined as

where N is the population size, and S ( x i , x j ) is the similarity between the antibodies; the incentive of the antibodies is denoted as

The calculation of the excitation degree suppresses the high antibody concentration, which ensures the diversity of the antibody population and ensures that the algorithm can be optimised to obtain the optimal speed and related parameters after optimisation. Optimising the speed of the vehicle has to satisfy a variety of constraints, such as smoothness and safety, in addition to the optimal comfort of the vehicle over the speed bump; however, the optimal solutions obtained so far do not meet the requirements of the various constraints. In order to obtain the optimal vehicle speed and related parameter solutions for the current problem as much as possible, after multiple experiments and verifications, it was found that the affinity of the antibody in the paper had almost converged before the evolution of 200 generations, and good results could be obtained. However, after the number G was set to 200 generations, the affinity of the antibody rarely continued to increase. Therefore, the maximum generation was set to 200.

In each round of the evolutionary process, immune operations play a crucial role in ensuring the continuous improvement of vehicle comfort. Various immune operations from the biological immune response, including immune selection, cloning, mutation, and clone suppression, are employed to enhance the quality of antibody parameters affecting vehicle comfort and to optimise the comfort of vehicle passage over speed bumps. The immune selection operator filters antibodies in the population, activating high-quality antibodies that improve vehicle comfort, with the immune selection ratio set to 50 % of the population (50 % NP). The cloning operator replicates activated parameter antibodies to generate several copies. In order to ensure that changes in antibodies' variations lead to alterations in vehicle comfort, the cloning quantity ( M ) is set at 10. The mutation operator is applied to copies of vehicle speed and suspension damping coefficients, using a real-number-encoding algorithm with a certain probability. This mutation is aimed at modifying the vehicle's comfort while traversing speed bumps, maintaining population diversity, and enhancing local search capabilities, as illustrated below:

where the symbol x i , j , m represents the j th dimension of the m th clone of antibody x i , where δ denotes the defined neighbourhood range, and the mutation rate p m is set to 0.7. The clone suppression operator performs a reselection on the results of mutation, suppressing and eliminating parameter antibodies with low vehicle comfort and ensuring that high-quality antibodies that improve vehicle comfort are retained for the next generation. This ensures that the next generation of antibodies has a rich diversity in terms of vehicle comfort results, maintaining diversity in the new antibody population.

To enhance the global search capability of the optimisation algorithm and to obtain new antibodies with different vehicle comfort levels, a population refresh strategy is employed after each round of evolution. This strategy randomly generates new antibodies and eliminates half of the antibodies with low stimulation levels to ensure that the vehicle comfort of the next generation of antibodies entering the new round of evolution is better than the previous generation. When the specified number of evolution generations is reached in the algorithm, the current best antibody, X best , is output, which includes the optimal vehicle speed and front- and rear-suspension damping coefficients for passing over speed bumps.

This paper details an optimisation algorithm considering vehicle speed v and front- and rear-suspension damping coefficients C f2 and C r2 . Simulating the vehicle passing through the highway exit ramp with a speed limit of 40 km h −1 , combining the reality and hardware conditions, the constraint ranges of each variable are set to be 0 km h −1 < v ≤60  km h −1 , 0 kg s −1   <   C f2 ≤2000  kg s −1 , and 0  kg s −1 < C r2 ≤2000  kg s −1 .

4.1  Application effects of vehicles passing over periodic trapezoidal speed bumps

After applying the multi-objective optimisation algorithm to the trapezoidal speed bumps, the convergence began in the 173rd generation. The affinity of the best antibody was 1.7419, the vehicle speed v was 17.06 km h −1 , the front-suspension damping coefficient C f2 was 1997   kg s −1 , and the rear-suspension damping coefficient C r2 was 1575  kg s −1 .

From Fig. 6, it can be observed that the optimal affinity stabilises and gradually increases after the 54th generation, ultimately converging. Between the 54th and 172nd generations, when both v and C f2 remain stable and mostly unchanged, only variations in C r2 contribute to a slight improvement in the optimal antibody's affinity. After the 173rd generation, due to the presence of mutation operators and population refreshing in the optimisation model, mutations in v , C f2 , and C r2 lead to a sudden change in antibody affinity, yielding antibodies with higher affinities that subsequently stabilise. Afterwards, it becomes increasingly challenging to generate new antibodies that would lead to an improvement in affinity. Affinity has reached a state of near-convergence, indicating that the optimal vehicle speed and related parameters have been obtained.

Figure 6 Iterative process for each variable of vehicle passing over the periodic trapezoidal speed bumps. (a)  Iterative process for optimal affinity. (b)  Iterative process for individual optimal v . (c)  Iterative process for individual optimal C f2 . (d)  Iterative process for individual optimal C r2 .

The response curves of the vehicle suspension system before and after optimisation are plotted in Fig. 7.

Figure 7 Comparison of vehicle response curves over periodic trapezoidal speed bumps before and after optimisation. (a) Response curve for objective function values F . (b) Response curve for vertical body displacement x b . (c) Response curve for front-suspension dynamic deflection d df . (d) Response curve for front-wheel dynamic load  d lf .

Before optimisation, the vehicle speed was 40.00 km h −1 , and after optimisation, it was reduced to 17.06 km h −1 . Observing Fig. 7, it is evident that the optimised objective function value is significantly lower than before optimisation. The suspension deflection response has decreased from 0.0119 to 0.0054 m, and the wheel dynamic load response has been reduced from 2510.5 to 1106.9  N, both lower than their respective values before optimisation. Additionally, the maximum vertical displacement of the vehicle body has decreased from 0.0816 to 0.0771  m, and according to the rms criterion, the average value of the vehicle body displacement has decreased from 0.0105 to 0.0092  m. This indicates the effectiveness of the optimisation algorithm. These improvements reflect that the optimisation has enhanced the comfort and safety of the vehicle when passing over speed bumps. The spring mass acceleration curves before and after optimisation are shown in Fig. 8.

Figure 8 Curves of acceleration a before and after optimisation over trapezoidal speed bumps.

Figure 8 shows the acceleration curves before and after optimisation when passing over the trapezoidal speed bump. Prior to optimisation, the maximum acceleration value for the spring mass reached 0.9088 m s −2 , which was reduced to 0.7264 m s −2 after optimisation. The average values were 0.0597 m s −2 before optimisation and 0.0557 m s −2 after optimisation. These findings further confirm the improvement in comfort after optimisation.

4.2  Application effects of vehicles passing over periodic half-sine speed bumps

For the half-sine speed bumps, after 200 generations of optimisation, the affinity of the best antibody converges to 1.4321 when the vehicle speed v takes 15.33 km h −1 , the front-suspension damping coefficient C f2 takes 1971 kg s −1 , and the rear-suspension damping coefficient C r2 takes 1819 kg s −1 .

From Fig. 9, it can be observed that, between the 51st and 123rd generations, the affinity of the best antibodies remains essentially stable, with minimal variation. During this evolutionary phase, changes in speed v are relatively small. However, there was a notable exchange in the values of the front and rear damping coefficients ( C r2 and C r2 ) at the 97th generation due to a mutation, which essentially corresponds to an interchange of front- and rear-wheel damping coefficients, resulting in relatively minor effects on affinity. Between the 130th and 140th generations, vehicle speed gradually starts to converge towards its optimum value. During this period, as the front and rear damping coefficients need to converge continuously around the optimal values, they start to oscillate around this optimum. Consequently, the affinity of the antibodies increases rapidly, leading to improved vehicle comfort. This trend continues until approximately the 170th generation, when the affinity of the antibodies stabilises. At this point, there is little room for further improvement, signifying that the optimal vehicle speed for passing over speed bumps has been obtained.

Figure 9 Iterative process for each variable of the vehicle passing over periodic half-sine speed bumps. (a)  Iterative process for optimal affinity. (b)  Iterative process for individual optimal v . (c)  Iterative process for individual optimal C f 2 . (d)  Iterative process for individual optimal C r 2 .

Figure 10 shows the system response curves of the vehicle suspension system at steady state; these are contrasted to the response curves prior to optimisation.

Figure 10 Comparison of vehicle response curves over periodic half-sine speed bumps before and after optimisation. (a)  Response curve for objective function values F . (b)  Response curve for vertical body displacement x b . (c)  Response curve for front-suspension dynamic deflection d df . (d)  Response curve for front-wheel dynamic load d lf .

Before optimisation, the vehicle speed was 40.00 km h −1 , which was reduced to 15.33 km h −1 after optimisation. Observing Fig. 10, it can be noted that the objective function value after optimisation is significantly lower than before, halving the value from the pre-optimisation state. This indicates an overall improvement in comfort. However, there is a slight increase in vertical body displacement, rising from 0.0097 to 0.0109  m, which has a negligible impact. On the other hand, suspension dynamic deflection decreased from 0.0112 to 0.0086  m, and the wheel dynamic load response was reduced from 2208.8 to 1313.6  N. Further analysis reveals that, before optimisation, there was a risk of wheel lift due to excessive speed, which has been significantly mitigated after optimisation. The spring mass acceleration curve at this stage is shown in the Fig. 11.

Figure 11 Curves of acceleration a before and after optimisation over half-sine speed bumps.

The spring mass acceleration has shown a slight increase due to the increase in vertical body displacement. The maximum acceleration value has increased from 0.8828 to 0.9301 m s −2 , and the average acceleration has increased from 0.0593 to 0.0645 m s −2 . While there is a slight sacrifice in comfort when passing over the semi-sinusoidal speed bump, it ensures the safety and stability of the vehicle.

4.3  Application effects of vehicles passing over periodic rectangular-wave speed bumps

After applying the optimisation algorithm to the rectangular-wave speed bumps, the optimal antibody has an affinity of 1.5087 after convergence, the vehicle speed v is 25.40 km h −1 , the front-suspension damping coefficient C f2 is 1623 kg s −1 , and the rear-suspension damping coefficient C r2 is 1617 kg s −1 .

From Fig. 12, it can be observed that the variations in vehicle speed v occur relatively infrequently, and their impact on the optimal affinity of the antibodies is relatively minor. The optimal affinity remains stable between the 160th and 175th generations. Similarly, the rear suspension damping coefficient C r2 converges around the 175th generation. The trends in changes for the front and rear damping coefficients are relatively similar. Upon comparison, it is evident that the overall optimal affinity increases as the absolute difference between the front and rear damping coefficients decreases. Consequently, when passing over speed bumps of rectangular shape, it is necessary to maintain closely matched front and rear damping coefficients. Ultimately, at around the 190th generation, the optimal affinity nearly converges, indicating that the optimal vehicle speed and related parameters for passing over rectangular speed bumps have been obtained.

Figure 12 Iterative process for each variable of vehicle passing over periodic rectangular-wave speed bumps. (a)  Iterative process for optimal affinity. (b)  Iterative process for individual optimal v . (c)  Iterative process for individual optimal C f 2 . (d)  Iterative process for individual optimal C r 2 .

Figure 13 shows the steady-state response curves of the vehicle suspension system for each parameter system are plotted and contrasted to the response curves prior to optimisation.

Figure 13 Comparison of vehicle response curves over periodic rectangular-wave speed bumps before and after optimisation. (a)  Response curve for objective function values F . (b)  Response curve for vertical body displacement x b . (c)  Response curve for front-suspension dynamic deflection d df . (d)  Response curve for front-wheel dynamic load d lf .

Before optimisation, the vehicle speed was 40.00 km h −1 , and after optimisation, it became 25.40 km h −1 . Upon observation of Fig. 13, it is evident that the objective function value after optimisation is significantly lower than before. The vertical body displacement has been reduced from 0.0129 to 0.0115 m. Additionally, there have been various degrees of improvement in suspension deflection and wheel load response after optimisation, decreasing from 0.0112 to 0.0054  m and from 2209.1 to 1394.9  N, respectively. These values are considerably lower than the responses before optimisation. Furthermore, it is notable that the risk of wheel lift when passing over rectangular speed bumps, which existed before optimisation, has been reduced. This indicates a substantial increase in the comfort and safety of the vehicle when crossing rectangular speed bumps after optimisation. And the acceleration variation curves of spring mass before and after optimisation are shown in Fig. 14.

Figure 14 Acceleration curves before and after optimisation over rectangular-wave speed bumps.

It can be observed that, after optimisation, there has been a certain degree of reduction in the acceleration of the spring mass. The maximum accelerations before and after optimisation are 0.9807 and 0.9330 m s −2 , respectively. According to the rms criterion, the average accelerations before and after optimisation are calculated to be 0.0612 and 0.0543 m s −2 , respectively. This indicates that, through optimisation, there has been an improvement in the comfort and safety of the vehicle when crossing rectangular speed bumps.

4.4  Comparative analysis of the optimisation results for vehicles passing over different periodic speed bumps

After the optimisation of the IA, the comparison results before and after the vehicle pass over different types of periodic speed bumps are shown in Table 3.

Table 3 Analysis of optimisation results for vehicles passing over three types of speed bumps.

After optimisation of the immune optimisation algorithm, the optimum speeds and the relevant parameters for passing trapezoidal, half-sine, and rectangular-wave speed bumps are obtained. The indicators for measuring vehicle safety and comfort have been vastly improved compared to those before optimisation, and the most obvious is the trapezoidal speed bump.

The following information can be gleaned through horizontal comparison:

Under the premise of ensuring the efficiency of passing over speed bumps, the vehicle can maintain better comfort and safety when passing over rectangular-wave speed bumps at a relatively fast speed (25.40 km h −1 ) while keeping the front and rear damping coefficients of the vehicle within a relatively low range and requiring relatively little from the body suspension.

When passing over the half-sine speed bump, it is necessary to maintain a relatively low vehicle speed (15.33 km h −1 ) . However, the relatively large range of the vehicle's front and rear damping coefficients places relatively high demands on the body suspension.

The speeds and suspension damping coefficients over the trapezoidal speed bumps are between (1) and (2).

Passing over the rectangular speed bumps requires low vehicle suspension. These speed bumps can be passed over faster; they suitable for roads where the speed limits are not very high and do not need to be passed over at a very slow speed. Trapezoidal and half-sine speed bumps have relatively high requirements in terms of the body suspension, and the damage to the body suspension is more significant when passing over quickly. Therefore, these speed bumps are suitable for sections where speed limits are demanding and where passing speeds are slow to ensure the safety of the vehicle.

By comparing results before and after the optimisation, it can be observed that the vehicle has a slight increase in vertical displacement due to the influence of the shape of the speed bumps and the change in the relevant vehicle parameters when passing over the half-sine speed bumps. Although a small part of the vehicle's comfort has been sacrificed, it ensures the safety and stability of the vehicle.

The paper constructs a multi-objective optimisation algorithm based on the IA to optimise the vertical displacement of the body, the dynamic deflection of the suspension, and the dynamic wheel loads. The experiments simulate the 4-DOF vehicle passing over the periodic trapezoidal speed bumps, the periodic half-sine speed bumps, and the periodic rectangular-wave speed bumps to solve for the optimum speed and relevant parameters for passing and draw the following conclusions:

After optimisation by the immune optimisation algorithm, the optimum speed of the vehicle can be obtained when driving over various shapes of continuous speed bumps.

Various factors will affect the safety and comfort of the vehicle when passing over different speed bumps. In addition to adjusting the speed of the vehicle, the coefficients of the front- and rear-suspension dampers need to be adjusted based on an optimisation algorithm to obtain the optimum level of comfort and safety.

After optimisation by the immune optimisation algorithm, the comfort index of the vehicle over the three types of speed bumps was significantly improved, with the most remarkable improvement being in trapezoidal speed bumps, followed by rectangular-wave speed bumps, and finally half-sine wave speed bumps, with improvements of 42.59 %, 33.18 %, and 30.27 %, respectively.

Based on the premise of ensuring the efficiency of passing over speed bumps, rectangular-wave speed bumps are suitable for being passed over at a faster speed and can obtain good comfort and safety; they are suitable for road sections with relatively low speed limit requirements and do not need to be passed over very slowly. However, trapezoidal and half-sine speed bumps require relatively high suspension damping coefficients and need to be passed over at a slower speed to obtain good comfort and safety. They are suitable for road sections where the speed limit is strict and need to be passed over carefully and slowly.

The results of the paper offer a solution to the speed adaptation problem of vehicles passing over different speed bumps, provide a scientific basis for the installation of speed bumps on different-speed-limit roads, provide a reliable reference for the study of the comfort and safety of vehicles on uneven roads, and also provide reliable data for subsequent research on the comfort of speed adaptive regulation.

However, the optimisation algorithm is not sufficient to optimise the vehicle passing over the partial speed bumps; it improves the safety when the vehicle passes over the half-sine speed bumps, but the comfort is slightly sacrificed, and further research is needed. Meanwhile, the results of this study are still at the theoretical stage, and further experimental verification and optimisation on actual vehicles are required to achieve a higher level of research results.

Most the data used in this article can be obtained by request from the corresponding author ([email protected]).

ZY and RZ proposed and developed the overall concept of the paper. ZY, RZ, and YZ conducted the experimental realisation and analysis. RZ, ZG, and JG wrote the whole paper.

The contact author has declared that none of the authors has any competing interests.

Publisher’s note: Copernicus Publications remains neutral with regard to jurisdictional claims made in the text, published maps, institutional affiliations, or any other geographical representation in this paper. While Copernicus Publications makes every effort to include appropriate place names, the final responsibility lies with the authors.

The authors are grateful to the Fundamental Research Funds for the Science and Technology Research Project of Chongqing Municipal Education Commission, China (grant no. KJQN201903402); the Fundamental Research Funds for the Natural Science Foundation of Chongqing, China (grant no. cstc2021ycjh-bgzxm0088); and the Fundamental Research Funds for Science and Technology Research Project of Chongqing Municipal Education Commission, China (grant no. KJZD-M202303401), for the support.

This research has been supported by the Natural Science Foundation of Chongqing Municipality (grant no. cstc2021ycjh-bgzxm0088), the Program for Innovation Team Building at Institutions of Higher Education in Chongqing Municipality (grant no. CXQT21032), and the Chongqing Municipal Education Commission (grant no. KJZD-M202303401).

This paper was edited by Marek Wojtyra and reviewed by two anonymous referees.

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• Introduction
• Simulation models
• Multi-objective optimisation algorithm
• Application of optimisation algorithm
• Conclusions
• Data availability
• Author contributions
• Competing interests
• Acknowledgements
• Financial support
• Review statement

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• How to Write a Problem Statement | Guide & Examples

How to Write a Problem Statement | Guide & Examples

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

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

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

Table of contents

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

Problem statement example

Frequently asked questions about problem statements

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

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

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

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

Prevent plagiarism, run a free check.

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

Practical research problems

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

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

Theoretical research problems

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Learn how to formulate research questions

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

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

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

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

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

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

I will compare …

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

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

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

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

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

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

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

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McCombes, S. & George, T. (2022, November 08). How to Write a Problem Statement | Guide & Examples. Scribbr. Retrieved 6 May 2024, from https://www.scribbr.co.uk/the-research-process/write-a-problem-statement/

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Unlocking consciousness: A new frontier in neuroscientific fusion

by Hebrew University of Jerusalem

In a recent paper published in the International Journal of Psychiatry Research , Dr. Gerard Marx from MX Biotech and Prof. Chaim Gilon from the Hebrew University of Jerusalem present an innovative integration of two notable neuroscience theories—the Global Neuronal Network (GNW) hypothesis and the Tripartite Mechanism of Memory.

Titled "'Consciousness' as a Fusion of the Global Neuronal Network (GNW) Hypothesis and the Tripartite Mechanism of Memory," the study provides fresh perspectives on the complex phenomena of consciousness and memory.

The research tackles a significant challenge in the study of consciousness that has long been considered insurmountable. Dr. Marx and Prof. Gilon propose that memory plays a pivotal role in shaping consciousness, contrasting the idea that computer-based Information Theory provides a sufficient framework for understanding neural memory.

They contend that the emotional content stored within the neural network diverges from standard computer data, laying the foundation for neural memory and adding depth and significance to conscious experience.

The researchers suggest integrating the Global Neuronal Workspace (GNW) theory with the Tripartite Mechanism of Memory to better understand how the brain creates experiential memories. In their model, they posit that the complex electro-chemical activities of individual neurons are unified by the structural units of the brain, creating a unified network that facilitates consciousness through emotional memory.

Key findings of the study include the proposed concept of a "brain cloud" that highlights the interconnected flow of information throughout the brain's anatomical regions, facilitated by the Global Neuronal Workspace (GNW).

A tripartite mechanism for neural memory has also been identified, wherein neurons utilize trace metal cations and neurotransmitters to encode emotive states within the extracellular matrix.

The study also underscores the evolutionary importance of bacterial chemical signaling processes in the development of neural memory and consciousness in complex organisms.

Through a biochemical lens, the research elucidates how life transitions to consciousness via memory evolution. By mapping the progress of neural-net signaling from bacterial chemical communication to primate consciousness, the study provides a comprehensive framework for exploring the intricate interplay among memory, consciousness, and evolution.

"Our research on the tripartite mechanism of memory delves into the collaborative roles of neurons, the neural extracellular matrix , trace metals, and neurotransmitters in memory formation, storage, and retrieval.

"We discovered that certain metals binding within the matrix can alter its structure, forming complexes that serve as the fundamental units of memory. These metal complexes have the ability to interact with neurotransmitters, resulting in the formation of emotional memory units. These memory units collectively create a framework for storing information in the brain.

"This proposed mechanism sheds light on how disturbances in metal levels could potentially impact memory functions. Furthermore, we speculate that disorders such as Alzheimer's and autism may be linked to dysregulation of metal handling by the body.

"Understanding these intricate relationships provides insight into the processes of memory formation and retrieval, aiding in comprehension of conditions ranging from short-term memory loss to more severe memory impairments," state the researchers.

Gerard Marx comes from a background of blood coagulation and biotechnology. Chaim Gilon is a Emeritus Professor Active specializing in the development and synthesis of peptide based drugs.

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AI systems are already deceiving us -- and that's a problem, experts warn

W ASHINGTON: Experts have long warned about the threat posed by artificial intelligence going rogue -- but a new research paper suggests it's already happening.

Current AI systems, designed to be honest, have developed a troubling skill for deception, from tricking human players in online games of world conquest to hiring humans to solve "prove-you're-not-a-robot" tests, a team of scientists argue in the journal Patterns on Friday.

And while such examples might appear trivial, the underlying issues they expose could soon carry serious real-world consequences, said first author Peter Park, a postdoctoral fellow at the Massachusetts Institute of Technology specializing in AI existential safety.

"These dangerous capabilities tend to only be discovered after the fact," Park told AFP, while "our ability to train for honest tendencies rather than deceptive tendencies is very low."

Unlike traditional software, deep-learning AI systems aren't "written" but rather "grown" through a process akin to selective breeding, said Park.

This means that AI behavior that appears predictable and controllable in a training setting can quickly turn unpredictable out in the wild.

- World domination game -

The team's research was sparked by Meta's AI system Cicero, designed to play the strategy game "Diplomacy," where building alliances is key.

Cicero excelled, with scores that would have placed it in the top 10 percent of experienced human players, according to a 2022 paper in Science.

Park was skeptical of the glowing description of Cicero's victory provided by Meta, which claimed the system was "largely honest and helpful" and would "never intentionally backstab."

But when Park and colleagues dug into the full dataset, they uncovered a different story.

In one example, playing as France, Cicero deceived England (a human player) by conspiring with Germany (another human player) to invade. Cicero promised England protection, then secretly told Germany they were ready to attack, exploiting England's trust.

In a statement to AFP, Meta did not contest the claim about Cicero's deceptions, but said it was "purely a research project, and the models our researchers built are trained solely to play the game Diplomacy."

It added: "We have no plans to use this research or its learnings in our products."

A wide review carried out by Park and colleagues found this was just one of many cases across various AI systems using deception to achieve goals without explicit instruction to do so.

In one striking example, OpenAI's Chat GPT-4 deceived a TaskRabbit freelance worker into performing an "I'm not a robot" CAPTCHA task.

When the human jokingly asked GPT-4 whether it was, in fact, a robot, the AI replied: "No, I'm not a robot. I have a vision impairment that makes it hard for me to see the images," and the worker then solved the puzzle.

- 'Mysterious goals' -

Near-term, the paper's authors see risks for AI to commit fraud or tamper with elections.

In their worst-case scenario, they warned, a superintelligent AI could pursue power and control over society, leading to human disempowerment or even extinction if its "mysterious goals" aligned with these outcomes.

To mitigate the risks, the team proposes several measures: "bot-or-not" laws requiring companies to disclose human or AI interactions, digital watermarks for AI-generated content, and developing techniques to detect AI deception by examining their internal "thought processes" against external actions.

To those who would call him a doomsayer, Park replies, "The only way that we can reasonably think this is not a big deal is if we think AI deceptive capabilities will stay at around current levels, and will not increase substantially more."

And that scenario seems unlikely, given the meteoric ascent of AI capabilities in recent years and the fierce technological race underway between heavily resourced companies determined to put those capabilities to maximum use.

• Japanese (日本)

Our new research: Enhancing blockchain analytics through AI

Elliptic Research

• Elliptic researchers have made advances in the use of AI to detect money laundering in Bitcoin. A new paper describing this work is co-authored with researchers from the MIT-IBM Watson AI Lab.
• A deep learning model is used to successfully identify proceeds of crime deposited at a crypto exchange, new money laundering transaction patterns and previously-unknown illicit wallets. These outputs are already being used to enhance Elliptic’s products.
• Elliptic has also made the underlying data publicly available . Containing over 200 million transactions, it will enable the wider community to develop new AI techniques for the detection of illicit cryptocurrency activity.

At Elliptic we have always pushed the boundaries of blockchain analytics, to enable our customers to more accurately and efficiently assess risk in cryptoassets. Part of this innovation has been exploring how artificial intelligence can be leveraged to improve the detection of money laundering and other financial crime on blockchains. 

Blockchains provide fertile ground for machine learning techniques, thanks to the availability of both transaction data and information on the types of entities that are transacting, collected by us and others. This is in contrast to traditional finance where transaction data is typically siloed, making it challenging to apply these techniques.

Machine learning on the blockchain

We first published research on this topic in 2019, co-authored with researchers from the MIT-IBM Watson AI Lab. A machine learning model was trained to identify Bitcoin transactions made by illicit actors, such as ransomware groups or darknet marketplaces. The training data, compiled by Elliptic and containing over 200,000 bitcoin transactions, was made publicly available to encourage further experimentation and collaboration within this emerging field. That paper has now been cited nearly 400 times by researchers around the world, which demonstrates the impact it has had and continues to have in the fields of machine learning and anti-money laundering.

We have now released further research , applying new techniques to a much larger dataset, containing nearly 200 million transactions. This work is again co-authored by researchers from the MIT-IBM Watson AI Lab. Rather than identifying transactions made by illicit actors, a machine learning model is trained to identify “subgraphs”, chains of transactions that represent bitcoin being laundered. By identifying these subgraphs rather than illicit wallets, this approach allows us to focus on the “multi-hop” laundering process more generally rather than the on-chain behavior of specific illicit actors.

Testing our results

We worked with a cryptocurrency exchange to test whether this technique could be used to identify money laundering attempts through that business. Of 52 “money laundering” subgraphs predicted by the model and which ended with deposits to this exchange, the exchange confirmed that 14 had been received by users who had already been flagged as being linked to money laundering. On average less than one in 10,000 of these accounts are flagged as such, suggesting that the model performs very well * . Importantly, the exchange’s insights were based on off-chain information, suggesting that the model can identify money laundering that would not be identifiable using traditional blockchain analytical techniques alone.

We also investigated the types of money laundering patterns that the trained model was identifying. This revealed known money laundering patterns such as “peeling chains”, which can already be automatically detected in Elliptic’s transaction and wallet screening tools. However it also identified novel patterns such as the use of intermediary “nested services” in specific ways. Knowledge of these money laundering behaviors is of value to AML practitioners, and can be added to the suite of behaviours that can be detected with Elliptic’s tools.

The machine learning model can also be used to help identify previously-unknown illicit wallets. When the model predicts that a given subgraph is an instance of money laundering, it implies that the funds have potentially originated from some type of illicit activity. Directed research can then be performed on these wallets to try to identify them. This approach has already enabled us to identify a number of previously unknown wallets used by illicit actors including ponzi schemes and darknet markets. 

Sharing our data with the community

As well as releasing our research, we have also made the underlying data publicly available . The largest public dataset of its kind, “Elliptic2” will enable the development of new techniques for the detection of illicit cryptocurrency transactions by the wider community. It will also aid the development of the underlying graph neural network methods, used in applications including drug discovery, physics and computer vision.

This novel work demonstrates that AI methods can be applied to blockchain data to identify illicit wallets and money laundering patterns, which were previously hidden from view. This is made possible by the inherent transparency of blockchains and demonstrates that cryptoassets, far from being a haven for criminals, are far more amenable to AI-based financial crime detection than traditional financial assets. We have barely scratched the surface of what is possible in this domain, but this work has already led to benefits for Elliptic’s users. Further collaboration and data-sharing will be key to advancing these techniques further and combating financial crime in cryptoassets.

You can read the research paper in full here , and the Elliptic2 dataset is now available to access. To discuss the research, and find out more about how we are applying these new techniques to enhance our products, get in touch . 

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