HOW TO WRITE A STATEMENT OF THE PROBLEM IN

FOUR STEPS
Wednesday, 25 July 2012 0!" ad#$n$s%&a%'&
INTRODUCTION
This is a simplified version of my notes on writing a statement of the problem found elsewhere
on this website.
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s%a%e#en%( 1
A !roblem "tatement is a des#ription of a diffi#ulty or la#$ that needs to be solved or at least
resear#hed to see whether a solution #an be found. It #an also be des#ribed as either a
gap between the real and the desired or a contradiction between prin#iple and pra#ti#e.

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The ultimate goal of a problem statement is to transform a generali%ed problem &something that
bothers you' a per#eived la#$( into a targeted) well*defined problem+,one that #an be resolved
through fo#used resear#h and #areful de#ision*ma$ing.
-riting a !roblem "tatement should help you #learly identify the purpose of the pro.e#t you will
propose. Often) the !roblem "tatement will also serve as the basis for the introdu#tory se#tion of
your final proposal) dire#ting your reader+/s attention 0ui#$ly to the issues that your proposed
pro.e#t will address and providing the reader with a #on#ise statement of the proposed pro.e#t
itself.
A statement problem need not be long and windy. One page is more than enough for a good
statement of problem.
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A good resear#h problem should at minimum1
2. Address a gap
3. be signifi#ant enough to #ontribute to the e4isting body of resear#h
5. be one that will lead to more resear#h
6. renter itself to be investigated via #olle#tion of data
7. be interesting to the resear#her and suit his8her s$ills) time and resour#es
9. be ethi#al

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A 2e&suas$.e 2&'-le# s%a%e#en% +'ns$s%s '* %,&ee 2a&%s! 17 %,e $deal, 27 %,e &eal$%y, and 87 %,e +'nse9uen+es1
2. !art A* the ideal1 Des#ribes a desired goal or ideal situation' e4plains how things
should be.
3. !art : +; the reality1 Des#ribes a #ondition that prevents the goal) state) or value in !art
A from being a#hieved or reali%ed at this time' e4plains how the #urrent situation falls
short of the goal or ideal.
5. !art C +; the #onse0uen#es1 Identifies the way you propose to improve the #urrent
situation and move it #loser to the goal or ideal.
He&e a&e y'u& s$#2le *'u& s%e2s %' 0&$%e a s%a%e#en% 2&'-le#
"tep 2 &statement 2(
Constru#t statement 2 by des#ribing a goal or desired state of a given situation) phenomenon et#.
This will build the ideal situation &what should be) what is e4pe#ted) desired(
"tep 3 (statement 2)
Des#ribe a #ondition that prevents the goal) state) or value dis#ussed in step 2 from being
a#hieved or reali%ed at the present time. This will build the reality) the situation as it is and
establish a gap between what ought to be and what is
"tep 5
Conne#t steps 2 and 3 using a term su#h as but) however)
Unfortunately) or in spite of'
"tep 6 &statement 5(
Using spe#ifi# details show how the situation in step 3 #ontains little promise of improvement
unless something is done. Then emphasi%e the benefits of resear#h by pro.e#ting the
#onse0uen#es of possible solutions as well.


E:a#2les
<4ample 2
!art A. A##ording to the => university mission statement) the university see$s to provide
students with a safe) healthy learning environment. Dormitories are one important aspe#t of
that learning environment) sin#e 77? of => students live in #ampus dorms and most of these
students spend a signifi#ant amount of time wor$ing in their dorm rooms.
@owever)
!art :. "tudents living in dorms A : C) and D #urrently do not have air #onditioning units)
and during the hot seasons) it is #ommon for room temperatures to e4#eed AB degrees C. Dany
students report that they are unable to do homewor$ in their dorm rooms. Others report
problems sleeping be#ause of the humidity and temperature. The rooms are not only unhealthy)
but they inhibit student produ#tivity and a#ademi# a#hievement.
!art C. In response to this problem) our study proposes to investigate several options for
ma$ing the dorms more hospitable. -e plan to #arry out an all in#lusive parti#ipatory
investigation into options for pur#hasing air #onditioners &university*funded' student*subsidi%ed(
and different types of air #onditioning systems. -e will also #onsider less e4pensive ways to
mitigate some or all of the problems noted above &su#h as #reating #limate*#ontrolled dorm
lounges and e0uipping them with better study areas and #omputing spa#e(.

<4ample 3
STEP 1 (statement 1)
The government of Eenya has a goal to industriali%e by the year 3B5B &0uote(. In this regard it
has en#ouraged growth oriented mi#ro and small enterprises &D"<s( that should graduate into
medium and large enterprises #apable of #ontributing to the industriali%ation goal. There are
several sessional papers &0uote8#ite( that #ontain spe#ifi# measures to en#ourage and support
D"<s.
Step 2 and 3 (STATEMENT 2)
Despite the said government efforts there is slow growth of mi#ro into small enterprises and
even slower growth of small into medium s#ale enterprises&0uote) show statisti#s(. The
government has offi#ially a#$nowledged that there e4ists a +Fmissing middle+ in Eenya
meaning that there is a gap between small and large enterprises in the #ountry &#ite) 0uote(.
STATEMENT 3
"hould the +Fmissing middle+ gap persist then the industriali%ation goal may be diffi#ult to
a#hieve. Need therefore arises to investigate why despite government efforts there is a persistent
+Fmissing middle+ .

<4ample 5
STATEMENT 1
In order to a##omplish their missions publi# universities need motivated wor$for#es.
STATEMENT 2
There are however fre0uent and severe dis#iplinary a#tions) absenteeism as well as various forms
of unrests in publi# universities whi#h affe#t the a##omplishment of the set missions. Our
preliminary investigation reveals that both non*management and management staff are not
ade0uately motivated.
STATEMENT 3
-ithout effe#tive motivational pa#$ages and pro#edures the said vi#es are li$ely to #ontinue and
retard the a#hievement of the universities+/ missions
Need arises to e4amine the publi# universities+/ motivation systems and pro#edures hen#e this
proposed resear#h
Example 4
STATEMENT 1
The Dinistry of >outh is dedi#ated to allo#ating enterprise development funds to both the youth
and women. These funds are made available in order to start entrepreneurial ventures that #reate
and e4pand employment. &provide relevant statisti#s and 0uote(
STATEMENT 2
One of the main fo#uses of the ministry is #onsisten#y. Unfortunately) #onsisten#y in allo#ating
funds to the ne4t generation of re#ipients re0uires prior $nowledge of previous allo#ations and
established pra#ti#es. The #urrent #ontinuous disbursement method does not allow for ade0uate
analysis of previous disbursements before a #urrent disbursement is done.

STATEMENT 3
Continuing with this #urrent disbursement method prevents #onsisten#y and #auses de#isions to
be#ome grossly politi#al) whi#h in turn inhibits the a#hievement of the goals of the funds.
Developing a more informed disbursement system #ould help better implement the #onsisten#y
fo#us of the ministry and at the same time help the ministry better monitor and evaluate its funds.
STATEMENT 4
This proposed resear#h aspires to e4plore options for a new funds disbursement system that
would fo#us on #onsisten#y. To do this) the resear#her will #arry out a full sta$eholder analysis
and use it to propose appropriate poli#y interventions.
:y !rof. @enry D. :wisa +; bwihemGgmail.#om
Sample Problem Statement and Proposal Components
It's a good idea to read several abstracts and review a successfully completed application for grants similar
to the proposal and funding source you have in mind to get your creative ideas flowing.
Problem Statement
The following problem statement was taken from a successful grant
application and illustrates some of the tips for succinctly stating the problem
and how the proposed project intends to solve it.
Reducing Roadblocks to Learning in Introductory Biology
This project addresses the overall problem of keeping students in the science
pipeline. The Biology Department faculty are providing computerized pre
laboratory e!ercises that involve students in the challenge and e!citement of
scientific investigation and discovery. "pecifically# our project addresses
common $roadblocks$ to learning faced by biology students# such as%
limitations of time and finances on the laboratory e!perience# a lack of
understanding of the scientific process# a lack of analytical# critical thinking#
and &uantitative skills# differing cognitive styles# and a lack of comfort with
advanced technology. 'roject objectives include% () development and
refinement of computerbased applications# such as e!periment simulations#
systems models# data collection and analysis tools# and visual image libraries
of organisms# preparations# and dissections* +) e!panding the faculty's use
of investigative laboratory activitiesstudents will be e!pected to design
e!periments# e!ecute them# analyze data collected# and draw conclusions
and generate ideas of further investigations* and ,) utilizing the talents and
e!perience of advancedlevel biology students to help faculty develop and
test computer applications for introductory labs# and to work with
underclassmen on their laboratory and independent investigations.
-rom a proposal written by .len .. /urst# 0nn 1. 2leinschmidt# 3onald 4.
1umme# "usan 1. 3ankin# and Thomas 5. .oliber of 0llegheny 6ollege. They
were awarded an 7"- 4ife "ciences grant of 8(9(#9(9 in (::, ;D<5
:+=>(?@). 5!cerpted from 0wards% (::,# <ndergraduate 6ourse and
6urriculum Development 'rogram ;0rlington# A0% 7ational "cience
-oundation)# p. ?9.
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startedBsampleproblem.htmlCsthash.AD6nbDTe.dpuf
Solving a Problem with Active Involvement
0ll funded proposals have one thing in commonEthey address or match the
interests of the funding agency. 'resumably the proposal writer has carefully
selected prospective sources of funds based on an e!amination of the
agencies' stated goals or objectives. 5ducational grants are awarded to
foster a better understanding of# interest in# and appreciation for a discipline
by students.
Active Engagement
0n agency's statement may include or emphasize a specific instructional
technology or pedagogy# focus on underrepresented minorities# or promote
concepts such as $critical thinking$ and $active learning.$ The agency may
e!press a desire to sponsor e!periential learning in specific environments#
i.e.# laboratory e!periences# internships in industry# or a semester at sea.
3emove the specifics# however# and the unabashed promotion of the
discipline lies at the heart of every grant announcement or 3e&uest for
'roposal ;3-').
Student Stimulation
0lthough learning and understanding occurs in a variety of settings# a few
elements are common to all of them. These constants are student interest#
participation# and enjoyment. 'eople learn when they are interested in the
topic# actively participate in the generation of the understanding# and are
having fun. -unding agencies give awards to individuals who can create
situations that incorporate these elements.
Learn by oing
'eople attain a deeper# more useful understanding when they learn by doing.
0 brilliant lecture complete with multimedia technology and the best
theatrics can only initiate the learning process by capturing the students'
interest. 5ventually# each student must invest his or her time to use the
information so that it becomes part of their functional mental currency.
0lthough some agencies may support initiatives to improve the lecture hall
environment# most will favor projects that involve students in the active
pursuit of knowledge# whether they are designing and conducting an
e!periment# generating an original piece of literature or art# or using the
knowledge in some other concrete way. -unding agencies look for projects
that espouse the $learn by doing$ philosophy.
These points can be distilled into a few key words that will be repeated
throughout this document. 5very successful grant writer recognizes that a
project must actively involve students in an endeavor that is enjoyable and
challenging. -or most of us# the actual writing and production of a proposal
is &uite simple if we can generate a project that incorporates these ideals.
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startedBproblemsolving.htmlCsthash.F<z9uF6/.dpuf
Hisuali%ing >our Reader
Rarely do proposal writers #onsider what happens to their grants after they have been submitted.
-ho reads themI The evaluation of merit and the ran$ing of the submissions is left to a group of
reviewers not affiliated with the funding agen#y. @ow surprising that most of us laboring over
proposals never #onsider this audien#e. -hether an author is writing #lever television
#ommer#ials or fundable grant proposals) he should always #onsider the prospe#tive audien#e)
and understand and address the perspe#tives and e4pe#tations that they bring to the evaluation
pro#ess.
Who e!ie"ers Are
In most #ases) reviewers are your #olleagues. A review panel will #onsist of three to eight
members evaluating proposals within their own dis#ipline. They are fa#ulty members from all
types of institutions) in#luding two*year s#hools) liberal arts #olleges) and ma.or resear#h
universities. They tea#h the same sub.e#ts or) in many #ases) the same #ourses that the proposal
writers are attempting to improve. :oth reviewers and submitters have e4perien#ed the same
frustrations) su##esses) and problems. To put it briefly) reviewers are peers and they bring
predi#table e4perien#es) #onvi#tions) and preferen#es into the review pro#ess.
Reviewers also #ome to their tas$ with another thing #ommon to all fa#ulty*a shortage of time.
-hether they review proposals in the evening after a long day on the .ob or during three he#ti#
days in a hotel room) these underpaid volunteers #annot afford to waste a moment of their time.
>et they will spend 5B to JB minutes reading ea#h proposal before re#ording their #omments.
Reviewers) pressed for time as they are) will unfailingly sear#h for a few #riti#al features or
elements in the first reading of ea#h proposal. A wise proposal writer will highlight these $ey
features early and often in their submissions. On#e reviewers are satisfied and interested by these
strengths) they will e4amine the proposal in detail with a favorable first impression. If an initial
perusal fails to #at#h the interest and attention of a reviewer) an unfavorable review will follow.
What e!ie"ers #oo$ %or
@ow #an an author define the reviewersK preferen#esI Reviewers are tea#hing fa#ulty who have
spent time and effort #onsidering and attempting to remedy some of the problems fa#ing tea#hers
and students. In other words) their preferen#es and e4pe#tations are identi#al to those of the
authors. :efore writing a proposal) every writer should #onsider the audien#e and ma$e a list of
items and features that they would loo$ for in su#h a do#ument. Ta$e a few minutes to do so
now. Then #ompare your list with that of a veteran reviewer of NI@ and N"C proposals1
Pro&lem 'e(inition and Sol)tion
The first two things reviewers loo$ for in the initial reading) and always address in their written
reviews) are the e4isting problem and the idea that will solve it. The problem definition should
en#ompass des#riptions of the students) #ourses) and programs involved) impa#t on under*
represented minorities) and the relationship to the nationKs edu#ational problems. This should be
followed by a distillation of the idea or solution that #on#isely outlines it for the reviewer and
establishes it as a viable solution to the problem. The reviewers must identify and understand
these two features in the first pass through the do#ument. They must be nodding their agreement
and sighing with sympathy before they arrive at the detailed pro.e#t des#ription se#tion of the
narrative. If they are) you win.
*ompetence and *ommitment
!erhaps the ne4t most identifiable proposal feature should be the #ompeten#e and motivation of
the submitting organi%ation. Reviewers want to be assured that the proposers #an and will
implement the plan. "everal things #ombine to #onvey this message of #ompeten#e and
#ommitment. Cirst) there must be enough detail in the pro.e#t des#ription se#tion to assure the
reader that the solution is the result of #areful planning that has been #ondu#ted by individuals
with suitable e4pertise. Dany novi#e proposal writers) #on#erned with page limitations) omit
mu#h needed detail. The proof is in the detailsL If a reader in your dis#ipline #ould dupli#ate your
proposed plan) you have in#luded enough detail.
<stablishing #onfiden#e in the minds of the reviewers also involves a history of effort and
a#hievement. The fundable idea you present in a grant proposal should be identified as the latest
#omponent of your #ontinuing effort to improve instru#tion at your institution. >ou should
summari%e your previous wor$ in this area. !revious wor$ does not have to be a grant*funded
pro.e#t. It may in#lude a rewrite of the laboratory manual designed to in#rease the a#tive learning
#omponent) the introdu#tion of multimedia te#hnology into your le#ture) or a summer mini*
#ourse on a resear#h te#hni0ue that was later in#orporated into your own offerings. A#tive fa#ulty
get grants.
%oc)s (or S)ccess
<0ually important to your sales effort is a sense of fo#us. >ou #anKt fi4 everything with one
award. A fo#used effort aimed at remedying a spe#ifi# problem is li$ely to bring results.
!resentation of this effort as part of a larger s#heme is desirable) but trying to do too mu#h is
disastrous. This fo#us is also seen in the budget and implementation timetable. Reviewers are
familiar with the #osts of instru#tional improvement efforts. The re0uested funds should be
ade0uate to #over real #osts. Must as padding is easily re#ogni%ed) so is under*funding.
Re0uesting too little is probably worse than as$ing for too mu#h. As$ for what you need to
implement your ideas' agen#ies are relu#tant to give money to under*funded efforts.
Reviewers also want to see that proposals in#lude a budgeting of ade0uate time for planning)
implementation) and then evaluation and ad.ustment. All fa#ulty $now that nothing wor$s right
the first time' revision and modifi#ation are ne#essary parts of every realisti# plan. A fo#used
effort on a pro.e#t with a defined s#ope #an be a##omplished by fa#ulty with heavy time
#ommitments to ongoing tea#hing and servi#e duties.
Np+Sharing ,o)r es)lts
Most ()nding agencies and their re!ie"ers are also interested in a grant "riter-s plan (or
disseminating the res)lts o( the pro.ect/ 0deall1 grant dollars are seeds (or generating
"holesale changes in the ed)cational s1stem/ Most ()nders are not interested in pro.ects
that "ill ne!er &e disc)ssed or copied &1 other instit)tions/ e!ie"ers are made a"are o(
this/ 2rant "riters sho)ld &e prepared to disc)ss their plans (or p)&lication or presentation
o( res)lts at appropriate pro(essional meetings/
3eca)se re!ie"ers are practitioners o( their discipline4 the1 ta$e an interest in the tools and
methods that are incorporated into a proposal/ %or example4 imagine a &iolog1 pro(essor
proposing a set o( la&orator1 exercises that are said to incl)de acti!e learning &)t (ail to
emphasi5e the )se o( the scienti(ic method/ Scientists add ne" $no"ledge to their (ield &1
)sing the esta&lished se6)ence o( o&ser!ation4 6)estions4 h1pothesis4 experimentation4
anal1sis4 concl)sion4 and (inall1 more 6)estions/ 0( a &iologist-s proposal does not gi!e
e!idence (or the )tili5ation o( this methodolog1 &1 st)dents4 it is not li$el1 to &e ()nded/
7o" do &iolog1 st)dents gain an appreciation (or the s)&.ect4 learn &1 doing4 etc/4 i( the1
don-t 8do &iolog189 Similar arg)ments can &e made (or other disciplines/
0n.ecting ,o)rsel( into the Proposal
%inall14 re!ie"ers are also in(l)enced &1 one (inal4 o(ten o!erloo$ed element o( a proposal:
their !ision o( the a)thor/ While man1 grant proposals incl)de ela&orate descriptions o( the
(acilities4 acti!ities4 and e6)ipment4 (e" ta$e an1 time to gi!e the panel an insight into the
grant "riter-s personalit1 and teaching st1le/ Who is this person9 'o st)dents (ind her
interesting9 'o the1 sign )p to ens)re a seat in his class9 As$ an1 re!ie"er a(ter the panel
meetings4 and he "ill &e a&le to tell 1o) a&o)t a (e" good plans or ideas in s$etch1 detail/
3)t he "ill &e a&le to descri&e in complete detail the proposal p)t (orth &1 a )ni6)e
indi!id)al "ho has p)t some o( hersel( or himsel( into the "riting/ Most o( )s recogni5e that
good teachers4 the real moti!ators4 ha!e some 6)alities that ma$e them )ni6)e4 interesting4
and appealing to st)dents/ These traits cannot &e listed; the1 !ar1 "ith each person/ The
list ma1 incl)de terms s)ch as 8enth)siastic8 or 8caring8 or e!en 8o(( the "all/8 Teachers
"ith one or more o( these desira&le 6)alities in(l)ence st)dents and instill a sense o(
c)riosit1 and interest/ 2rant "riters sho)ld not &e a(raid to paint themsel!es into the
proposal in more places than the re6)ired sterile res)me/
The e!ie" Process
Admittedl1 a re!ie"er-s tas$ is di((ic)lt/ eading4 criti6)ing4 and rating proposals are time:
cons)ming4 exha)sting4 and o(ten stress()l/ Most re!ie" panels emplo1 proced)res that
red)ce the time and ens)re 6)alit1 e!al)ations/
e!ie"ers either recei!e proposals in the mail and ret)rn their comments "ithin some
reasona&le time (rame4 or the1 assem&le (or one to three da1s in a meeting (acilit1/ 0n either
case4 t"o or more o( the panelists cond)ct the initial e!al)ation o( a grant proposal and
present their (indings to the gro)p/ At least three mem&ers4 or one:hal(4 o( a National
Science %o)ndation 'i!ision o( <ndergrad)ate Ed)cation panel read each proposal/ An
a)thor can then expect "ritten re!ie"s (rom each person "ho read the proposal or a
committee-s s)mmar1 re!ie" prepared &1 one or t"o indi!id)als and incorporating the
comments o( the others/
The scales )sed to re(lect a proposal-s merit di((er4 &)t most agencies )tili5e some !ariation
o( Excellent to Poor/ 0n the end4 the rating s1stem doesn-t matter since the ran$ order o(
proposals and the si5e o( an agenc1-s &)dget )ltimatel1 determines the n)m&er o( a"ards/
The re!ie" process doesn-t end "ith the s)&mission o( the panel-s recommendations
ho"e!er/ The agenc14 thro)gh the program o((icer4 "ill negotiate "ith some indi!id)als
a&o)t certain &)dget items/ =ther 8&order:line8 6)alit1 proposals ma1 &e considered (or
()nding &1 the sta(( to ens)re a &alance among t1pes o( instit)tions4 geographical
representation4 and other (actors/ A)thors o( re.ected proposals "ill &e sent re!ie"ers-
comments and enco)raged to res)&mit/ At this point it is important (or a)thors o( good4
&)t not ()nded4 grants to comm)nicate "ith the program o((icer/ Man1 ()nded grants "ere
re.ected at a pre!io)s s)&mission/
0mplications o( the Process
A (e" 8(acts o( li(e8 emerge as a conse6)ence o( the re!ie" process/ %irst4 d)e to the
n)m&er o( proposals and the time a!aila&le to the re!ie"ers4 a grant applicant m)st de(ine
and doc)ment the pro&lem and concisel1 descri&e the sol)tion and its impact earl1 in the
proposal/ =ne that drones on (or pages &e(ore addressing an1 o( the important iss)es "ill
s)((er/ Second4 re!ie"ers ha!e little di((ic)lt1 in identi(1ing the &etter proposals/ A
relati!el1 small n)m&er o( the s)&mitted proposals are .)dged to &e >er1 2ood or
Excellent/ An a)thor-s chances (or s)ccess are m)ch &etter than she thin$s?
%inall14 re!ie" panels all loo$ (or the same important elements and (eat)res/ While the1
"ill &e open minded a&o)t a pro.ect-s speci(ic idea4 the1 "ill also re.ect a s)&mission that
does not incl)de the essential elements4 i/e/4 a detailed plan designed to sol!e a speci(ied
pro&lem/ Th)s4 the re!ie"s o( a re.ected proposal are the $e1s to ()t)re ()nding/ Address
these items and the next re!ie" panel "ill &e more (a!ora&l1 impressed/ ather than trash
these s)ggestions and criticisms4 an a)thor sho)ld ta$e heed and incorporate them into the
next !ersion/ The chances (or s)ccess impro!e (or those "ho address the re!ie"s and
res)&mit/
@Ap
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T7E E#EMENTS =% A P=P=SA#

Cran$ !a.ares
Emory University

0/ 0ntrod)ction and Theoretical %rame"or$

A. ;The introdu#tion is the part of the paper that provides readers with the ba#$ground
information for the resear#h reported in the paper. Its purpose is to establish a framewor$
for the resear#h) so that readers #an understand how it is related to other resear#h,
&-il$inson) 2JJ2) p. J9(.

:. In an introdu#tion) the writer should

2. #reate reader interest in the topi#)
3. lay the broad foundation for the problem that leads to the study)
5. pla#e the study within the larger #onte4t of the s#holarly literature) and
6. rea#h out to a spe#ifi# audien#e. &Creswell) 2JJ6) p. 63(

C. If a resear#her is wor$ing within a parti#ular theoreti#al framewor$8line of in0uiry) the
theory or line of in0uiry should be introdu#ed and dis#ussed early) preferably in the
introdu#tion or literature review. Remember that the theory8line of in0uiry sele#ted will
inform the statement of the problem) rationale for the study) 0uestions and hypotheses)
sele#tion of instruments) and #hoi#e of methods. Ultimately) findings will be dis#ussed in
terms of how they relate to the theory8line of in0uiry that undergirds the study.

D. Theories) theoreti#al framewor$s) and lines of in0uiry may be differently handled in
0uantitative and 0ualitative endeavors.

2. ;In 0uantitative studies) one uses theory dedu#tively and pla#es it toward the
beginning of the plan for a study. The ob.e#tive is to test or verify theory. One
thus begins the study advan#ing a theory) #olle#ts data to test it) and refle#ts on
whether the theory was #onfirmed or dis#onfirmed by the results in the study.
The theory be#omes a framewor$ for the entire study) an organi%ing model for
the resear#h 0uestions or hypotheses for the data #olle#tion pro#edure, &Creswell)
2JJ6) pp. AO*AA(.
3. In 0ualitative in0uiry) the use of theory and of a line of in0uiry depends on the
nature of the investigation. In studies aiming at ;grounded theory), for e4ample)
theory and theoreti#al tenets emerge from findings. Du#h 0ualitative in0uiry)
however) also aims to test or verify theory) hen#e in these #ases the theoreti#al
framewor$) as in 0uantitative efforts) should be identified and dis#ussed early on.

00/ Statement o( the Pro&lem

A. ;The problem statement des#ribes the #onte4t for the study and it also identifies the
general analysis approa#h, &-iersma) 2JJ7) p. 6B6(.

:. ;A problem might be defined as the issue that e4ists in the literature) theory) or pra#ti#e
that leads to a need for the study, &Creswell) 2JJ6) p. 7B(.

C. It is important in a proposal that the problem stand outPthat the reader #an easily
re#ogni%e it. "ometimes) obs#ure and poorly formulated problems are mas$ed in an
e4tended dis#ussion. In su#h #ases) reviewers and8or #ommittee members will have
diffi#ulty re#ogni%ing the problem.

D. A problem statement should be presented within a #onte4t) and that #onte4t should be
provided and briefly e4plained) in#luding a dis#ussion of the conceptual or theoretical
framework in whi#h it is embedded. Clearly and su##in#tly identify and e4plain the
problem within the framewor$ of the theory or line of in0uiry that undergirds the study.
This is of ma.or importan#e in nearly all proposals and re0uires #areful attention. It is a
$ey element that asso#iations su#h as A<RA and A!A loo$ for in proposals. It is essential
in all 0uantitative resear#h and mu#h 0ualitative resear#h.

<. "tate the problem in terms intelligible to someone who is generally sophisti#ated but
who is relatively uninformed in the area of your investigation.

C. <ffe#tive problem statements answer the 0uestion ;-hy does this resear#h need to be
#ondu#ted., If a resear#her is unable to answer this 0uestion #learly and su##in#tly) and
without resorting to hyperspea$ing &i.e.) fo#using on problems of ma#ro or global
proportions that #ertainly will not be informed or alleviated by the study() then the
statement of the problem will #ome off as ambiguous and diffuse.

Q. Cor #onferen#e proposals) the statement of the problem is generally in#orporated into the
introdu#tion' a#ademi# proposals for theses or dissertations should have this as a separate
se#tion.

000/ P)rpose o( the St)d1

A. ;The purpose statement should provide a spe#ifi# and a##urate synopsis of the overall
purpose of the study, &Ro#$e) "pirduso) S "ilverman) 2JAO) p. 7(. If the purpose is not
#lear to the writer) it #annot be #lear to the reader.

:. :riefly define and delimit the spe#ifi# area of the resear#h. >ou will revisit this in greater
detail in a later se#tion.

C. Coreshadow the hypotheses to be tested or the 0uestions to be raised) as well as the
signifi#an#e of the study. These will re0uire spe#ifi# elaboration in subse0uent se#tions.

D. The purpose statement #an also in#orporate the rationale for the study. "ome
#ommittees prefer that the purpose and rationale be provided in separate se#tions)
however.

<. Eey points to $eep in mind when preparing a purpose statement.

2. Try to in#orporate a senten#e that begins with ;The purpose of this study is . . .,
This will #larify your own mind as to the purpose and it will inform the reader
dire#tly and e4pli#itly.
3. Clearly identify and define the #entral #on#epts or ideas of the study. "ome
#ommittee Chairs prefer a separate se#tion to this end. -hen defining terms)
ma$e a .udi#ious #hoi#e between using des#riptive or operational definitions.
5. Identify the spe#ifi# method of in0uiry to be used.
6. Identify the unit of analysis in the study.

0>/ e!ie" o( the #iterat)re

A. ;The review of the literature provides the ba#$ground and #onte4t for the resear#h
problem. It should establish the need for the resear#h and indi#ate that the writer is
$nowledgeable about the area, &-iersma) 2JJ7) p. 6B9(.

:. The literature review a##omplishes several important things.

2. It shares with the reader the results of other studies that are #losely related to the
study being reported &Craen$el S -allen) 2JJB(.
3. It relates a study to the larger) ongoing dialogue in the literature about a topi#)
filling in gaps and e4tending prior studies &Darshall S Rossman) 2JAJ(.
5. It provides a framewor$ for establishing the importan#e of the study) as well as a
ben#hmar$ for #omparing the results of a study with other findings.
6. It ;frames, the problem earlier identified.

C. Demonstrate to the reader that you have a #omprehensive grasp of the field and are
aware of important re#ent substantive and methodologi#al developments.

D. Delineate the ;.umping*off pla#e, for your study. @ow will your study refine) revise) or
e4tend what is now $nownI

<. Avoid statements that imply that little has been done in the area or that what has been
done is too e4tensive to permit easy summary. "tatements of this sort are usually ta$en as
indi#ations that the writer is not really familiar with the literature.

C. In a proposal) the literature review is generally brief and to the point. :e .udi#ious in
your #hoi#e of e4emplarsPthe literature sele#ted should be pertinent and relevant &A!A)
3BB2(. "ele#t and referen#e only the more appropriate #itations. Da$e $ey points #learly
and su##in#tly.

Q. Committees may want a se#tion outlining your search strategyPthe pro#edures you
used and sour#es you investigated &e.g.) databases) .ournals) test ban$s) e4perts in the
field( to #ompile your literature review. Che#$ with your Chair.

>/ B)estions andAor 71potheses
A. Questions are relevant to normative or #ensus type resear#h &@ow many of them are
thereI Is there a relationship between themI(. They are most often used in 0ualitative
in0uiry) although their use in 0uantitative in0uiry is be#oming more
prominent. Hypotheses are relevant to theoreti#al resear#h and are typi#ally used only in
0uantitative in0uiry. -hen a writer states hypotheses) the reader is entitled to have an
e4position of the theory that lead to them &and of the assumptions underlying the theory(.
Must as #on#lusions must be grounded in the data) hypotheses must be grounded in the
theoreti#al framewor$.

:. A research question poses a relationship between two or more variables but phrases the
relationship as a 0uestion' a hypothesis represents a de#larative statement of the relations
between two or more variables &Eerlinger) 2JOJ' Erathwohl) 2JAA(.

C. De#iding whether to use 0uestions or hypotheses depends on fa#tors su#h as the purpose
of the study) the nature of the design and methodology) and the audien#e of the resear#h
&at times even the taste and preferen#e of #ommittee members) parti#ularly the Chair(.

D. The pra#ti#e of using hypotheses was derived from using the s#ientifi# method in so#ial
s#ien#e in0uiry. They have philosophi#al advantages in statisti#al testing) as resear#hers
should be and tend to be #onservative and #autious in their statements of #on#lusions
&Armstrong) 2JO6(.

<. @ypotheses #an be #ou#hed in four $inds of statements.

2. Literary nulla ;no differen#e, form in terms of theoreti#al #onstru#ts. Cor
e4ample) ;There is no relationship between support servi#es and a#ademi#
persisten#e of nontraditional*aged #ollege women., Or) ;There is no differen#e in
s#hool a#hievement for high and low self*regulated students.,

3. Operational nullPa ;no differen#e, form in terms of the operation re0uired to
test the hypothesis. Cor e4ample) ;There is no relationship between the number
of hours nontraditional*aged #ollege women use the student union and their
persisten#e at the #ollege after their freshman year., Or) ;There is no differen#e
between the mean grade point averages a#hieved by students in the upper and
lower 0uartiles of the distribution of the "elf*regulated Inventory., The
operational null is generally the preferred form of hypothesiswriting.

5. Literary alternativea form that states the hypothesis you will a##ept if the null
hypothesis is re.e#ted) stated in terms of theoreti#al #onstru#ts. In other words)
this is usually what you hope the results will show. Cor e4ample) ;The more that
nontraditional*aged women use support servi#es) the more they will persist
a#ademi#ally., Or) ;@igh self*regulated students will a#hieve more in their
#lasses than low self*regulated students.,

6. Operational alternative"imilar to the literary alternative e4#ept that the
operations are spe#ified. Cor e4ample) ;The more that nontraditional*aged
#ollege women use the student union) the more they will persist at the #ollege
after their freshman year., Or) ;"tudents in the upper 0uartile of the "elf*
regulated Inventory distribution a#hieve signifi#antly higher grade point averages
than do students in the lower 0uartile.,

C. In general) the null hypothesis is used if theory8literature does not suggest a
hypothesi%ed relationship between the variables under investigation' the alternative is
generally reserved for situations in whi#h theory8resear#h suggests a relationship or
dire#tional interplay.
Q. :e prepared to interpret any possible out#omes with respe#t to the 0uestions or
hypotheses. It will be helpful if you visuali%e in your mind=s eye the tables &or other
summary devi#es( that you e4pe#t to result from your resear#h &Quba) 2J92(.

@. Tuestions and hypotheses are testable propositions dedu#ed and directly derived from
theory &e4#ept in grounded theory studies and similar types of 0ualitative in0uiry(.

I. Da$e a #lear and #areful distin#tion between the dependent and independent variables
and be #ertain they are #lear to the reader. !e e"cruciatingly consistent in your use of
terms# If appropriate) use the same pattern of wording and word order in all hypotheses.

>0/ The 'esign::Methods and Proced)res

A. ;The methods or pro#edures se#tion is really the heart of the resear#h proposal. The
a#tivities should be des#ribed with as mu#h detail as possible) and the #ontinuity between
them should be apparent, &-iersma) 2JJ7) p. 6BJ(.

:. Indi#ate the methodologi#al steps you will ta$e to answer every 0uestion or to test every
hypothesis illustrated in the Tuestions8@ypotheses se#tion.

C. All resear#h is plagued by the presen#e of #onfounding variables &the noise that #overs
up the information you would li$e to have(. Confounding variables should be minimi%ed
by various $inds of controls or be estimated and ta$en into a##ount by randomi%ation
pro#esses &Quba) 2J92(. In the design se#tion) indi#ate

2. the variables you propose to #ontrol and how you propose to #ontrol them)
e4perimentally or statisti#ally) and
3. the variables you propose to randomi%e) and the nature of the randomi%ing unit
&students) grades) s#hools) et#.(.

D. :e aware of possible sour#es of error to whi#h your design e4poses you. >ou will not
produ#e a perfe#t) error free design &no one #an(. @owever) you should anti#ipate
possible sour#es of error and attempt to over#ome them or ta$e them into a##ount in your
analysis. Doreover) you should dis#lose to the reader the sour#es you have identified and
what efforts you have made to a##ount for them.

<. Sampling

2. The $ey reason for being #on#erned with sampling is that of validitythe e4tent
to whi#h the interpretations of the results of the study follow from the study itself
and the e4tent to whi#h results may be generali%ed to other situations with other
people &"havelson) 2JAA(.
3. "ampling is #riti#al to e"ternal validityPthe e4tent to whi#h findings of a study
#an be generali%ed to people or situations other than those observed in the study.
To generali%e validly the findings from a sample to some defined population
re0uires that the sample has been drawn from that population a##ording to one of
severalpro$a$ility sampling plans. :y a pro$a$ility sample is meant that the
probability of in#lusion in the sample of any element in the population must be
given a priori. All probability samples involve the idea of random sampling at
some stage &"havelson) 2JAA(. In e4perimentation) two distin#t steps are
involved.

%andom selectionparti#ipants to be in#luded in the sample have been #hosen at
random from the same population. Define the population and indi#ate the
sampling plan in detail.

%andom assignmentparti#ipants for the sample have been assigned at random
to one of the e4perimental #onditions.

5. Another reason for being #on#erned with sampling is that of internal validity
the e4tent to whi#h the out#omes of a study result from the variables that were
manipulated) measured) or sele#ted rather than from other variables not
systemati#ally treated. -ithout probability sampling) error estimates #annot be
#onstru#ted &"havelson) 2JAA(.

6. !erhaps the $ey word in sampling is representative. One must as$ oneself) ;@ow
representative is the sample of the survey population &the group from whi#h the
sample is sele#ted( and how representative is the survey population of the target
population &the larger group to whi#h we wish to generali%e(I,

7. -hen a sample is drawn out of #onvenien#e &a nonprobability sample() rationale
and limitations must be #learly provided.

9. If available) outline the #hara#teristi#s of the sample &by gender) ra#e8ethni#ity)
so#ioe#onomi# status) or other relevant group membership(.

O. Detail pro#edures to follow to obtain informed #onsent and ensure anonymity
and8or #onfidentiality.

C. 0nstr)mentation

2. Outline the instruments you propose to use &surveys) s#ales) interview proto#ols)
observation grids(. If instruments have previously been used) identify previous
studies and findings related to reliability and validity. If instruments have not
previously been used) outline pro#edures you will follow to develop and test their
reliability and validity. In the latter #ase) a pilot study is nearly essential.

3. :e#ause sele#tion of instruments in most #ases provides the operational
definition of #onstru#ts) this is a #ru#ial step in the proposal. Cor e4ample) it is at
this step that a literary #on#eption su#h as ;self*effi#a#y is related to s#hool
a#hievement, be#omes ;s#ores on the Dathemati#s "elf*<ffi#a#y "#ale are
related to Qrade !oint Average., "tri#tly spea$ing) results of your study will be
dire#tly relevant only to the instrumental or operational statements &Quba) 2J92(.

5. In#lude an appendi4 with a #opy of the instruments to be used or the interview
proto#ol to be followed. Also in#lude sample items in the des#ription of the
instrument.

6. Cor a mailed survey) identify steps to be ta$en in administering and following up
the survey to obtain a high response rate.

Q. 'ata *ollection
2. Outline the general plan for #olle#ting the data. This may in#lude survey
administration pro#edures) interview or observation pro#edures. In#lude an
e4pli#it statement #overing the field #ontrols to be employed. If appropriate)
dis#uss how you obtained entr&.

3. !rovide a general outline of the time s#hedule you e4pe#t to follow.

@. 'ata Anal1sis

2. "pe#ify the pro#edures you will use) and label them a##urately &e.g.) ANOHA)
DANCOHA) @RD) ethnography) #ase study) grounded theory(. If #oding
pro#edures are to be used) des#ribe in reasonable detail. If you triangulated)
#arefully e4plain how you went about it. Communi#ate your pre#ise intentions
and reasons for these intentions to the reader. This helps you and the reader
evaluate the #hoi#es you made and pro#edures you followed.

3. Indi#ate briefly any analyti# tools you will have available and e4pe#t to use
&e.g.) <thnograph) NUDI"T) ATUAD) "A") "!"") ">"TAT(.

5. !rovide a well thought*out rationale for your de#ision to use the design)
methodology) and analyses you have sele#ted.

>00/ #imitations and 'elimitations

A. A limitation identifies potential wea$nesses of the study. Thin$ about your analysis) the
nature of self*report) your instruments) the sample. Thin$ about threats to internal validity
that may have been impossible to avoid or minimi%ePe4plain.

:. A delimitation addresses how a study will be narrowed in s#ope) that is) how it is
bounded. This is the pla#e to e4plain the things that you are not doing and why you have
#hosen not to do themPthe literature you will not review &and why not() the population
you are not studying &and why not() the methodologi#al pro#edures you will not use &and
why you will not use them(. Rimit your delimitations to the things that a reader might
reasonably e4pe#t you to do but that you) for #learly e4plained reasons) have de#ided not
to do.

>000/ Signi(icance o( the St)d1

A. Indi#ate how your resear#h will refine) revise) or e4tend e4isting $nowledge in the area
under investigation. Note that su#h refinements) revisions) or e4tensions may have either
substantive) theoreti#al) or methodologi#al signifi#an#e. Thin$ pragmati#ally &i.e.) #ash
value(.

:. Dost studies have two potential audien#es1 pra#titioners and professional peers.
"tatements relating the resear#h to both groups are in order.

C. This #an be a diffi#ult se#tion to write. Thin$ about implicationshow results of the
study may affe#t s#holarly resear#h) theory) pra#ti#e) edu#ational interventions) #urri#ula)
#ounseling) poli#y.

D. -hen thin$ing about the signifi#an#e of your study) as$ yourself the following
0uestions.

2. -hat will results mean to the theoreti#al framewor$ that framed the studyI
3. -hat suggestions for subse0uent resear#h arise from the findingsI
5. -hat will the results mean to the pra#ti#ing edu#atorI
6. -ill results influen#e programs) methods) and8or interventionsI
7. -ill results #ontribute to the solution of edu#ational problemsI
9. -ill results influen#e edu#ational poli#y de#isionsI
O. -hat will be improved or #hanged as a result of the proposed resear#hI
A. @ow will results of the study be implemented) and what innovations will #ome
aboutI

0C/ e(erences

A. Collow A!A &3BB2( guidelines regarding use of referen#es in te4t and in the referen#e
list. Of #ourse) your #ommittee or dis#ipline may re0uire Chi#ago or DRA.

:. Only referen#es #ited in the te4t are in#luded in the referen#e list' however) e4#eptions
#an be found to this rule. Cor e4ample) #ommittees may re0uire eviden#e that you are
familiar with a broader spe#trum of literature than that immediately relevant to your
resear#h. In su#h instan#es) the referen#e list may be #alled a $i$liography.

C. "ome #ommittees re0uire that referen#e lists and8or bibliographies be ;annotated),
whi#h is to say that ea#h entry be a##ompanied by a brief des#ription) or an abstra#t.
Che#$ with your #ommittee Chair before the fa#t.

Appendixes

The need for #omplete do#umentation generally di#tates the in#lusion of appropriate appendi4es
in proposals &although this is generally not the #ase as regards #onferen#e proposals(.

The following materials are appropriate for an appendi4. Consult with your #ommittee Chair.

Herbatim instru#tions to parti#ipants.
Original s#ales or 0uestionnaires. If an instrument is #opyrighted) permission in writing
to reprodu#e the instrument from the #opyright holder or proof of pur#hase of the
instrument.
Interview proto#ols.
"ample of informed #onsent forms.
Cover letters sent to appropriate sta$eholders.
Offi#ial letters of permission to #ondu#t resear#h.

e(erences

Ameri#an !sy#hologi#al Asso#iation &A!A(. &3BB2(. 'u$lication manual of the (merican 'sychological
(ssociation &Courth edition(. -ashington) DC1 Author.
Armstrong) R. R. &2JO6(. @ypotheses1 -hyI -henI @owI 'hi )elta *appan+ ,-) 325*326.
Creswell) M. -. &2JJ6(. %esearch design. Qualitative / quantitative approaches. Thousand Oa$s) CA1
"age.
Quba) <. Q. &2J92) April(. Elements of a proposal. !aper presented at the UC<A meeting) Chapel @ill)
NC.
Craen$el) M. R. S -allen) N. <. &2JJB(. How to design and evaluate research in education. New >or$1
D#Qraw*@ill.
Eerlinger) C. N. &2JOJ(. !ehavioral research. ( conceptual approach. New >or$1 @olt) Rinehart) S
-inston.
Erathwohl) D. R. &2JAA(. How to prepare a research proposal. 0uidelines for funding and dissertations
in the social and $ehavioral sciences. "yra#use) N>1 "yra#use University !ress.
Ro#$e) R. C.) "pirduso) -. -.) S "ilverman) ". M. &2JAO(. 'roposals that work. ( guide for planning
dissertations and grant proposals &3nd ed.(. Newbury !ar$) CA1 "age.
Darshall) C.) S Rossman) Q. :. &2JAJ(. )esigning qualitative research1 Newbury !ar$) CA1 "age.
"havelson) R. M. &2JAA(. 1tatistical reasoning for the $ehavioral sciences &se#ond edition(. :oston1 Allyn
and :a#on.
-iersma) -. &2JJ7(. %esearch methods in education. (n introduction &"i4th edition(. :oston1 Allyn and
:a#on.
-il$inson) A. D. &2JJ2(. The scientist2s hand$ook for writing papers and dissertations. <nglewood
Cliffs) NM1 !renti#e @all.

@ow to #ite this web page1
!a.ares) C. &3BBO(. Elements of a proposal. Retrieved from http188des.emory.edu8mfp8proposal.html

Because it frames the entire study, preparing a research problem statement is often the hardest part of writing a research proposal
or thesis. A research problem statement lays the foundation for work that needs to be done to correct a situation, in the case of
international aid organizations, or presents a statement of research intent for a masters or doctoral thesis. As well as background
information, a research problem statement outlines the current situation, identifes the challenges, specifes the location and
indicates the people involved.
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&hink about your research problem statement. !ist a few ideas about the topic. Ask yourself if your research problem is important
and if anyone else cares about the topic.
tep *
+dentify the purpose of your research problem statement and indicate who would beneft from your study. upport your statement
with evidence and e,pert opinion.
tep -
.ork with the fve ./s0 who, what, when, where and why. &his will help you frame your research problem statement.
tep 1
pecify the population of your study and identify what will be measured. 2our population group, for instance, might be senior
citizens in 3ilwaukee and you might want to measure how fre4uently they use public transportation at di5erent times of the year.
tep %
6eep your title and research problem statement 4uestion virtually identical. +f the title of your research problem statement is 78ublic
&ransportation 9se by eniors in 3ilwaukee :elative to easonal &emperature,; your research problem statement should close with
the 4uestion, 7.hat is the public transportation use by seniors in 3ilwaukee relative to the seasonal temperature<;
tep $
=raft your research problem statement. !eave it for at least *1 hours >> 1? is better >> and then come back to it. :eview it with a
fresh eye and tighten the wording.
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:eview your research problem statement with your thesis adviser. he may be able to help you further hone the statement.
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