what is the statement problem in research

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How to Write an Effective Problem Statement for Your Research Paper

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Table of Contents

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

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

Basic Writing Strategies for the Problem Statement  

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

Before writing, clarify the following points¹ :  

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

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

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

Three Important Parts of the Problem Statement  

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

  Research Background:  

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

  Research Significance:  

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

Solution:  

Describe the research objective and the expected solution or results.  

Understanding the Writing Method Through Examples  

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

Research Topic: 

The benefits of vitamin D supplementation on the immune system.  

Problem Statement: 

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

Points to Note: 

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

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

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

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

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

References:  

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

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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 in Research with Examples

What is a Research Problem Statement?

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

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

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

Table of Contents:

• What is a Research Problem?

How to Write a Problem Statement in a Research Paper

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

Consider Using Professional Editing Services

Understanding how to write a research problem.

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

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

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

Provide context for your study

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

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

Establish the relevance of this research

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

Define specific aims and Objectives

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

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

Research Problem Statement Example

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

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

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

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

Where Does the Problem Statement Go in Your Paper? 

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

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

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

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

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Home » Problem Statement – Writing Guide, Examples and Types

Problem Statement – Writing Guide, Examples and Types

Table of Contents

Problem Statement

Definition:

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

Types of Problem Statements

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

Business Problem Statement

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

Research Problem Statement

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

Design Problem Statement

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

Social Problem Statement

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

Technical Problem Statement

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

Components of Problem Statement

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

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

How to write Problem Statement

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

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

Applications of Problem Statement

Here are some of the applications of problem statements:

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

Examples of Problem Statements

Examples of Problem Statements are as follows:

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

Environmental Science

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

Engineering

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

Social Work

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

Purpose of Problem Statement

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

Characteristics of Problem Statement

The characteristics of a good problem statement include:

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

Advantages of Problem Statement

Advantages of Problem Statement are as follows:

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

Limitations of Problem Statement

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

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

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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

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

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

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

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

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

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

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

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

What is a Problem Statement?

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

Research Problem and Research Method – A Cyclical Process

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

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

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

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

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

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

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

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

Writing Problem Statement for a Business or Organisation

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

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

Writing Problem Statement for Academic Research

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Problem Statement – How to Write it

Ask yourself the following questions before writing the problem statement:

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

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

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

Step 1: Understanding the Problem

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

Practical Research Problem Statement

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

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

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

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

Example of Practical Research Problem Statement

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

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

Theoretical Research Problem Statement

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

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

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

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

Example of Theoretical Research Problem Statement

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

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Step 2 – Show why it’s Important and Relevant

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

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

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

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

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

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

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

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

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

Also see: How to Write the Abstract for Dissertation

Step 3 – Declaring the Problem

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

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

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

Step 4 – Establishing Aim and Objectives

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

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

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

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

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

Some more examples are:

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

Practical Research Aim and Objectives

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

Theoretical Research Aim and Objectives

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

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

Also see: Argumentative Essay Writing Service

Problem Statement versus Significance of the Study

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

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

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

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

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

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

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

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

Frequently Asked Questions

Is it necessary to write a problem statement.

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

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

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

What is a practical research problem?

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

What is a theoretical research problem?

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

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How to Write a Statement of the Problem in Research

Table of Contents

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

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

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

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

What is a research problem statement?

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

Your problem statement in your research paper aims to:

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

When should you write a problem statement in research?

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

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

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

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

Effective vs. ineffective research problem statements

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

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

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

Effective problem statement

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

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

Why is this statement of a problem in research effective?

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

Ineffective problem statement

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

Why is this statement of a problem in research ineffective?

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

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

How to write a problem statement in research?

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

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

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

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

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

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

Read how to conduct an effective literature review .

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Difference between a thesis statement and a problem statement

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

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

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

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

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

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

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

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

Being too broad or too narrow

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

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

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

Using unnecessary jargon or technical language

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

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

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

Not emphasizing the "Why" of the problem

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

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

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

Circular reasoning and lack of relevance

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

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

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

Being overly ambitious

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

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

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

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

Over-reliance on outdated data

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

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

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

Not specifying the sample size or demographic

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

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

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

Ignoring conflicting data

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

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

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

Making unsubstantiated predictions

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

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

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

Wrapping Up

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

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

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

Frequently Asked Questions

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

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

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

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

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

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• How to Define a Research Problem | Ideas & Examples

How to Define a Research Problem | Ideas & Examples

Published on November 2, 2022 by Shona McCombes and Tegan George. Revised on May 31, 2023.

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

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

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

Table of contents

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

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

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

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

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

Practical research problems

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

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

Examples of practical research problems

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

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

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

Theoretical research problems

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

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

Examples of theoretical research problems

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

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

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

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

Context and background

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

Specificity and relevance

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

Example of a specific research problem

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

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

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

Methodology

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

 Statistics

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

Research bias

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

All research questions should be:

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

Research questions anchor your whole project, so it’s important to spend some time refining them.

In general, they should be:

• Focused and researchable
• Answerable using credible sources
• Complex and arguable
• Feasible and specific
• Relevant and original

Your research objectives indicate how you’ll try to address your research problem and should be specific:

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.

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

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

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

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

Table of Contents

What is a Research Problem ?  

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

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

Characteristics of a Research Problem  

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

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

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

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

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

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

Types of Research Problems  

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

• Theoretical research problems

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

Here are some theoretical research problem examples :   

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

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

Here are some applied research problem examples :   

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

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

Here are some action research problem examples :   

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

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

How to Define a Research Problem  

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

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

Key Takeaways  

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

Frequently Asked Questions  

Why is it important to define a research problem?  

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

How do I identify a research problem?  

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

Can a research problem change during the research process?  

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

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

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

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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 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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Problem Statement: What It Is, How to Write + Examples

A well-defined problem statement is the foundation of any successful project, research, or initiative. Whether you’re a student, a professional, or an entrepreneur, understanding a problem statement and how to craft one effectively is crucial. 

In this blog post, we will dive deep into problem statements, explaining what they are, how to write them, and providing real-life examples to guide you.

What Is a Problem Statement?

A problem statement is a concise and clear description of an issue or challenge that needs to be addressed. It serves as a roadmap for problem-solving and decision-making, helping individuals and teams define the scope of their work and focus on the most critical aspects of a problem. 

The problem statement underscores the need for exploring viable solutions and potential solutions to tackle the rising energy consumption in our community.

A well-crafted problem statement should be:

• Specific: Clearly define the problem, avoiding vague or general descriptions.
• Measurable: Include criteria to assess the success or completion of the solution.
• Achievable: Ensure that the problem can be solved or improved within reasonable constraints.
• Relevant: Align the problem statement with your goals and objectives.
• Time-bound: Set a timeframe for solving the problem or achieving progress.

When to Use a Problem Statement

A problem statement is a concise and clear description of an issue or challenge that needs to be addressed. It is often used in various contexts, including business, research , project management, and problem-solving. 

Here are some key elements of situations in which you should use to write a problem statement in a brief and focused manner:

• Project Proposals: When proposing a project, whether it’s for a business world initiative or a research endeavor, concise writing problem statements help stakeholders understand why the project is necessary and what it aims to solve.
• Business Plans: A brief error statement can provide context for the business goals and objectives in a business plan or strategy document. It helps identify the specific market or industry challenges the business addresses.
• Research Proposals: In academic or scientific research proposals, a succinct error statement outlines the research question or problem the study intends to investigate. It sets the stage for the research objectives and methodology.
• Product Development: When creating a new product or service, a short problem statement helps the design process and development teams focus on solving a specific user or market problem.
• Policy Development: In the public sector, government agencies and policymakers often use error statements to define and communicate the issues that need attention, leading to the formulation of policies or regulations.
• Conflict Resolution: In conflict resolution or mediation processes, a concise error statement can help parties involved in a dispute to understand the core issues and work towards a resolution.
• Quality Improvement: In quality management or process improvement initiatives, a brief error statement helps identify the areas in a process where improvements are needed.
• Marketing and Advertising: When creating marketing campaigns or advertising materials, a problem statement can be used to highlight a consumer’s pain point and show how a product or service can solve it.
• Innovation Challenges: In innovation competitions or hackathons, participants often start by defining a clear and concise error statement before brainstorming a proposed solution.
• Personal Goals: Even in personal development or goal-setting, it can be helpful to formulate a concise problem statement to clarify what you want to achieve and why.

How to Write an Effective Problem Statement

Writing an effective problem statement is crucial for any project, research, or initiative because it sets the stage for addressing the issue at hand. A well-crafted problem statement clarifies the problem, provides context, and serves as a guide for developing and implementing solutions. 

Here are the steps to write an effective problem statement:

01. Understand the Problem:

Begin by thoroughly understanding the problem you intend to address. Conduct research, gather data, and talk to relevant stakeholders to gain insights into the issue. Identify the scope and boundaries of the problem.

02. Define the Problem Clearly:

Your problem statement should be clear and concise. Avoid vague or ambiguous language. State the problem in simple terms so anyone reading it can understand the issue.

03. Provide Context:

Give background information to help readers understand the problem’s significance. Explain why it is important, who it affects, and what its implications are. Provide relevant statistics, trends, or examples to illustrate the problem’s financial costs, scope and impact.

04. Identify the Root Cause:

Try to identify the underlying causes or factors contributing to the problem. This will help address the issue at its core rather than just its symptoms.

05. Be Specific:

Avoid broad or generic problem statements. Instead, narrow down the problem to a specific issue that can be tackled effectively. Specificity will make it easier to develop targeted solutions.

06. Use Measurable Criteria:

Include measurable criteria for success. This allows you to evaluate whether the problem has been resolved or improvements have been made. Quantifiable metrics help in tracking progress.

07. Make It Feasible:

Ensure that the problem statement reflects a realistic and achievable challenge. It should be addressed within your resources and constraints.

08. Avoid Solution Language:

This should focus on describing the problem, not proposing solutions. Avoid phrases like “we need to do X” or “we should implement Y.” Save the solution-oriented discussions for later in the design thinking process.

09. Consider the Audience:

Tailor your own problem statement to the audience it is intended for. Use language and terminology that your audience can understand and relate to. Adapt the level of technical detail accordingly.

10. Seek Feedback:

Share your problem statement with colleagues, experts, or stakeholders to gather feedback and refine it. Their input can help ensure clarity and completeness.

11. Revise and Refine:

Continue to revise and refine the error statement as you gather more information and insights. It may evolve as your understanding of the problem deepens.

12. Test for Objectivity:

Ensure that your problem statement is free from bias and reflects a balanced perspective. Avoid making assumptions or assigning blame without evidence.

Examples of Problem Statements

The problem statement serves as the foundation for your research, outlining the key challenges and issues we aim to address in just a few sentences and providing a clear direction for our study. To further illustrate how to create effective problem statements, let’s explore some real-life problem statement examples:

Example 1: Education

“The high school dropout rate in our community has risen by 20% over the past two years, negatively impacting our future workforce. We need to implement targeted intervention programs to reduce dropout rates and ensure a more educated workforce.”

Example 2: Healthcare

“Patients in our clinic often face long wait times for appointments, resulting in dissatisfaction and delays in medical care. We must streamline our appointment scheduling process to reduce wait times and improve patient’s customer satisfaction ratings.”

Example 3: Business

“Our e-commerce website experiences a high cart abandonment rate, leading to lost sales opportunities. We must identify the reasons for cart abandonment and implement strategies to increase conversion rates.”

A well-crafted problem statement is fundamental for effective problem-solving in any field or endeavor. Following the steps outlined in this blog post and studying the examples provided can enhance your ability to define, address, and ultimately solve complex problems. 

Whether you’re a student tackling a research project or a professional seeking to improve your organization’s processes, mastering the art of problem statement writing is a valuable skill that can lead to greater success.

QuestionPro streamlines problem-solving with versatile surveys, data analysis, segmentation, and real-time reporting. It offers a comprehensive toolkit for gathering valuable insights, facilitating informed decision-making, and addressing problem statements effectively.

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Reference management. Clean and simple.

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.

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

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

Updated on May 17, 2022

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

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

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

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

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

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

What is a statement of the problem in research?

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

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

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

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

Characteristics of a problem statement

A research problem statement has two key attributes:

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

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

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

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

Writing a statement of the problem

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

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

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

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

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

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

Third , search for more information, perhaps by:

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

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

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

How long should your statement of the problem be?

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

Research questions within your problem

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

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

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

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

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

Examples of questions and next steps

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

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

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

Final thoughts

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

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

The AJE Team

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How to write the Statement of a Problem

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• 19 November, 2021

The first step in research is to outline the research problem – this might be an area of concern, a gap in the existing knowledge or a deviation in something that has been previously established, which warrants further investigation. 

Importance of the problem statement

The statement of a problem defines and describes the research hypothesis or question(s), along with the broad method that will be used to solve the problem . The statement of the problem serves as the basis for the introductory section of your project proposal. A well-formulated statement of the problem sets the stage for the rest of your study , including how you will address the problem and any anticipated outcomes or answers. Once you have very clearly laid out the core issue, problem or question that you’re investigating, you’ll have a much sharper focus for conducting and writing up the rest of your study. A clear and straightforward statement will also inform and impress your reader in grasping the issues that your proposed project will address.

Defining the ‘problem’

The research question should be compelling and must have an underlying basis. While formulating the problem statement, as a keen researcher, you should consider the current state of the topic in question, along with any other observations or educated guesses. 

As you are defining the ‘problem’ that you are addressing in your research, consider the following questions: 

• What is the problem?
• Why is it a problem, and why does it need to be resolved? 
• What are the likely benefits of solving the problem? 
• Besides the central question, what are smaller, specific questions that need to be asked and answered?

Clarifying and refining the problem statement

In the initial stages of writing, the problem statement might be a bit rough around the edges. A final and more refined form will emerge as you reflect more deeply over the topic and delve into the literature. The current status of the topic , including what is known and what is not , will help you refine your original problem statement to a clearer and more specific one.

Wrapping it up

To conclude the section, briefly summarise the problem and emphasise the need to fix it. All potential advantages and anticipated outcomes and implications should be mentioned here. Contextualising the problem in a broad sense will also strengthen your case.

Sample problem statement

In a detailed project proposal, the statement of the problem could be nearly a page long, over several paragraphs . In a report or paper, the problem is typically expressed in a few sentences in the Introduction . Here is an example based on a fictional study.

Early and targeted warning of dengue outbreaks is critical for vector control. Current studies have primarily focused on the role of weather conditions in dengue forecasting. Environmental and microenvironmental suitability for mosquito breeding has been sorely neglected as a crucial factor, particularly in the urban setting. The surge in dengue and other mosquito-borne infections in India metropolitan cities in 2020–2021 highlights the urgent need to identify conducive features to better track and predict outbreaks. This study proposes a framework for implementing intra-urban dengue forecasting by… Through this investigation, we aim to develop a set of early predictors for improved surveillance of dengue in large urban swathes in Indian metropolitan cities. 

Dos and don’ts of writing a problem statement

• Write the actual problem statement as a declarative statement or as a question .
• Explain in the statement how previous studies have not addressed the issue or have fallen short due to certain limitations.
• Outline in your statement how you plan to overcome or circumvent previous roadblocks to fill these deficiencies.
• Ensure the statement is lucid and to the point, without any distracting information.
• Cite credible sources where needed.

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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.

That's why it's worth taking the time to craft your problem statement with care. It's not a step to be rushed or taken lightly. When you invest the time and effort here, it sets the stage for a strong, focused, and compelling research paper. It's your opening move in the chess game of academic research, and a well-thought-out move can set you on the path to victory. So, gear up, embrace the process, and remember, every great research paper starts with a clear, concise, and compelling problem statement.

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Helping our customers through the CrowdStrike outage

Jul 20, 2024 | David Weston - Vice President, Enterprise and OS Security

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On July 18, CrowdStrike, an independent cybersecurity company, released a software update that began impacting IT systems globally. Although this was not a Microsoft incident, given it impacts our ecosystem, we want to provide an update on the steps we’ve taken with CrowdStrike and others to remediate and support our customers.  

Since this event began, we’ve maintained ongoing communication with our customers, CrowdStrike and external developers to collect information and expedite solutions. We recognize the disruption this problem has caused for businesses and in the daily routines of many individuals. Our focus is providing customers with technical guidance and support to safely bring disrupted systems back online. Steps taken have included:  

• Engaging with CrowdStrike to automate their work on developing a solution.   CrowdStrike has recommended a workaround to address this issue and has also issued a public statement. Instructions to remedy the situation on Windows endpoints were posted on the Windows Message Center .   
• Deploying hundreds of Microsoft engineers and experts to work directly with customers to restore services.   
• Collaborating with other cloud providers and stakeholders, including Google Cloud Platform (GCP) and Amazon Web Services (AWS), to share awareness on the state of impact we are each seeing across the industry and inform ongoing conversations with CrowdStrike and customers.  
• Quickly posting manual remediation documentation and scripts found here .
• Keeping customers informed of the latest status on the incident through the Azure Status Dashboard here .  

We’re working around the clock and providing ongoing updates and support. Additionally, CrowdStrike has helped us develop a scalable solution that will help Microsoft’s Azure infrastructure accelerate a fix for CrowdStrike’s faulty update. We have also worked with both AWS and GCP to collaborate on the most effective approaches.    

While software updates may occasionally cause disturbances, significant incidents like the CrowdStrike event are infrequent. We currently estimate that CrowdStrike’s update affected 8.5 million Windows devices, or less than one percent of all Windows machines. While the percentage was small, the broad economic and societal impacts reflect the use of CrowdStrike by enterprises that run many critical services.  

This incident demonstrates the interconnected nature of our broad ecosystem — global cloud providers, software platforms, security vendors and other software vendors, and customers. It’s also a reminder of how important it is for all of us across the tech ecosystem to prioritize operating with safe deployment and disaster recovery using the mechanisms that exist. As we’ve seen over the last two days, we learn, recover and move forward most effectively when we collaborate and work together. We appreciate the cooperation and collaboration of our entire sector, and we will continue to update with learnings and next steps.  

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ORIGINAL RESEARCH article

Enhancing power quality in grid-connected hybrid renewable energy systems using upqc and optimized o-fopid.

• 1 Electrical and Electronics Engineering, MRK Polytechnic College, Nattarmangalam, Tamil Nadu, India
• 2 Electrical and Electronics Engineering, Karpagam College of Engineering, Karur, India
• 3 Electrical and Electronics Engineering, Er. Perumal Manimekalai College of Engineering, Hosur, Tamil Nadu, India
• 4 Faculty of Engineering, University of the Ryukyus, Okinawa, Japan

Hybrid Renewable Energy Systems (HRES) have recently been proposed as a way to improve dependability and reduce losses in grid-connected load systems. This research study suggests a novel hybrid optimization technique that regulates UPQC in order to address the Power Quality (PQ) problems in the HRES system. The load system serves as the primary link between the battery energy storage systems (BESS), wind turbine (WT), and solar photovoltaic (PV) components of the HRES system. The major objective of the study is to reduce PQ issues and make up for the load requirement inside the HRES system. The addition of an Optimized Fractional Order Proportional Integral Derivative (O-FOPID) controller improves the efficiency of the UPQC. The Crow-Tunicate Swarm Optimization Algorithm (CT-SOA), an enhanced variant of the traditional Tunicate Swarm Optimization (TSA) and Crow Search Optimization (CSO), is used to optimize the control parameters of the FOPID controller. Utilizing the MATLAB/Simulink platform, the proposed method is put into practice, and the system’s performance is assessed for sag, swell, and Total Harmonic Distortion (THD). The THD values for the PI, FOPID, and CSA techniques, respectively, are 5.9038%, 4.9592%, and 3.7027%, under the sag condition. This validates the superiority of the proposed approach over existing approaches.

1 Introduction

Renewable energy sources have increasingly acquired relevance as a result of concern about the exhaustion of fossil fuels as well as the consequences of continuous usage on the ecosystem ( Naidu and Meikandasivam, 2020 ; Raziq et al., 2023 ). Photovoltaic (PV) as well as wind energy constitute the most often used forms of environmentally friendly energy. These sources of clean electricity are all quite variable due to their heavy reliance on outside variables, like sunlight and the wind. To lessen the effect of this variability, power storage techniques have been incorporated into systems that generate electricity from renewable sources, including BESS ( Rawa et al., 2023 ; Zhou et al., 2022 ; Chaudhary et al., 2019 ).

Yet, there are several obstacles in combining HRES systems alongside load systems that are linked to the power grid. One of the major challenges is Photovoltaic (PQ) issues imposed on the system’s non-linear, critical, and unbalanced loads. These PQ problems can cause the systems to experience harmonics, voltage sags, and other disruptions. Such PQ uncertainties could have a substantial influence on the functioning and durability of the devices connected to the grid ( Swapna and Gayatri, 2021 ; Goud and Rao, 2021 ; Cholamuthu et al., 2022 ). It is indeed essential to solve these PQ issues to guarantee that the HRES system functions dependably as well as efficiently.

The utilization of FACTS devices, as well as controllers, constitutes one of the most viable ways to increase PQ in grid-connected PV, wind, and battery systems ( Jayasankar and Vinatha, 2016 ; Parija et al., 2019 ; Adefarati and Bansal, 2019 ; Amirtharaj et al., 2019 ). Power Electronics-based Flexible ac transmission system (FACTS) devices and controllers deliver swift and accurate control over a wide variety of electrical system characteristics, including voltages, current, but also power flow. They could boost the trustworthiness and dependability of the “grid-connected RES” and minimize PQ issues. The energy management system should be used efficiently ( Ahmad et al., 2020a ; Ahmad et al., 2020b ).

One of the FACTS devices called the Unified power quality conditioner (UPQC) is found effective in reducing PQ issues including sag, swell, and harmonics. Combining two VSCs, one of which is coupled in series with the load and the other in parallel with the load, creates UPQC ( Badoni et al., 2023 ; Berbaoui et al., 2020 ; Chakravorti et al., 2019 ; Elkholy, 2019 ). The shunt VSC is employed to account for harmonics and reactive power, and the series VSC is employed to account for voltage sag and swell. Unified power quality conditioner (UPQC) is a flexible and effective tool for enhancing PQ since it can concurrently address several PQ faults ( Elmetwaly et al., 2020 ; Goud and Rao, 2020 ).

A variety of controllers are a suitable addition to UPQC to boost the efficiency of FACTS devices. FOPID is one such controller. The Fractional order proportional integral derivative (FOPID) controller serves as a more sophisticated modification of the traditional PID controller that offers improved performance of the controller in non-linear and dynamic environments. For controlling PQ concerns in grid-connected PV, wind, and battery systems, FOPID controllers could offer higher resilience, precision, and consistency.

The effectiveness of UPQC equipment has been enhanced using FOPID controllers ( Hossain et al., 2019 ; Khalid et al., 2020 ; Lakshmi and Ganguly, 2019 ). FOPID controllers can perform better in system dynamics as they’re more adaptable than traditional integer-order controllers. For the UPQC devices to operate at their best, the FOPID controller’s settings must be optimized. The optimization process could be laborious and costly in terms of computing Litwin et al. (2020) . To speed up the optimization process, hybrid optimization methods can be developed. A cell’s capacity as a function of its rated capacity is shown by the state of charge (SOC) of the cell. The SOC’s value ranges from zero to one hundred percent. A totally discharged cell is said to have a SOC of 0%, whereas a fully charged cell is said to have a SOC of 100%. The cell is recharged when the SOC hits 50% since in real-world applications the SOC cannot get over 50%. Similar to how a cell ages, the maximum SOC gradually drops. This indicates that a 100% SOC for an old cell would be similar to a 75%–80% SOC for a young cell.

1.1 Motivation

With the decreasing supply of fossil fuels as well as the requirement to minimize greenhouse gas emissions, the integration of RES into the grid system has grown increasingly crucial ( Ma and Javed, 2019 ; Mahela et al., 2020 ). Yet, the effectiveness a dependability of the power grid can indeed be significantly impacted by power quality concerns related to the grid system’s adoption of RES. To enable the seamless incorporation of clean energy into the grid system, it is indeed crucial to address power quality issues.

This research’s primary contribution is:

• This study introduces a groundbreaking approach aimed at addressing PQ challenges within grid-connected HRES. The novelty lies in the integration of a UPQC with an Optimized FOPID controller. The primary objective is to enhance the performance and efficiency of the HRES by resolving PQ issues through a unique strategy.

• Furthermore, the research introduces a novel hybrid optimization algorithm, named CT-SOA, specifically designed for optimizing the parameters, including those of the FOPID controller. This hybrid model combines the strengths of the traditional Tunicate Swarm Algorithm (TSA) and Crow Search Algorithm (CSO), resulting in an enhanced and more efficient optimization process. By amalgamating these two algorithms into the CT-SOA, the study introduces a novel and advanced optimization technique, contributing to the overall innovation in addressing PQ issues in grid-connected HRES.

1.2 Organization of the paper

The manuscript is organized as follows: The most current findings on power quality control issues are provided in Section 2 . The suggested solution for PQ issue mitigation in grid-connected HRES is discussed in Section 3 . In Section 4 , a detailed summary of the outcomes obtained using the suggested model is presented. Section 5 winds up the paper.

2 Literature review

2.1 related works.

Naidu and Meikandasivam (2020) used FACTS-based DPFC for resolving the PQ issues in the grid-connected HRESs. FOPID controllers as well as coordinated power quality theory have been employed in the recommended solution, which employs a DPFC based on FACTS technology. The DPFC’s series and shunt controllers effectively eliminate the PQ issues. The researchers used computer-aided design and simulation methods when conducting a test case to determine the viability of their recommended solution.

Raziq et al. (2023) developed a hybrid MMLC for resolving the power generation issues that were generated owing to the varying shading conditions in PV systems. Less IGBT switches were required with hybrid MMLC in this study to obtain the very same set of available levels, thereby reducing losses and increasing voltage output. The converter configuration joins half-bridge and full-bridge cells in both series and parallel to boost power output. Without the use of active or passive filters, the converter effectively handled the issues related to voltage, current, and power quality.

Rawa et al. (2023) employed the DVR series compensator, to study the effects of RESs like PV and wind farm systems on voltage quality and harmonic analysis. The researchers of this work employed a PI controller with GTA to operate the DVR as well as compute the proportional gain of the controllers during different PQ challenges. The study examines two switching states, such as the on and off-grid mode, both of which have sizable PV, wind, and nonlinear loads. The analysis is made to achieve an ideal result and utilize the power of the available DVR.

Chaudhary et al. (2019) have used Superconducting magnetic energy storage (SMES) and Battery energy storage (BES), in the distributed Hybrid energy storage system (HESS) to resolve the PQ issues. The BES was chosen to control the LVDC microgrid’s unpredictable output power generated by RES and load changes. The low-voltage DC microgrid has been linked to a medium-voltage system using an Energy-storage composited DC transformer (ESDCT) based on SMES. Through simulation and weighted experiments, the effectiveness of the system has been confirmed.

Swapna and Gayatri (2021) used DVR with Hybrid energy storage, to provide compensation in grid-connected PV-Wind producing units. For persistent errors, this method offered quick and immediate resolution. Using experimentation, a variety of mixed voltage sag/swell issues resulting from source disruptions, voltage instability generated by both symmetrical and asymmetrical fault states in distribution, and other situations were evaluated.

Goud and Rao (2021) presented ASO with UPQC, to address the PQ issues in an HRES system. To improve the UPQC’s effectiveness, an ASO-based FOPID controller was employed to minimize PQ issues. Using experimentation, the efficacy of the recommended approach was evaluated. To test the functionality of the presented approach in three various situations, including Sag, Swell, and interruptions, THD was studied.

Cholamuthu et al. (2022) introduced a new hybrid series active power filter to address voltage-related PQ issues. This filter provided grids of expected voltage in parallel for reducing harmonics generated by nonlinear loads. This one was recommended to use an ANFIS controller and a reduced active filter rating to produce a reference voltage signal. The simulation was performed to prove the effectiveness of the suggested approach.

Jayasankar and Vinatha (2016) suggested a unique grid-interfacing inverter for RES that functions as a shunt active filter to solve issues with power quality and energy constraints. A shunt active filter with grid integration for renewable energy has also been recommended. An appropriate control was given to give the grid-interfacing inverter the capacity to improve power quality. By replacing the conventional PI controller with a fuzzy model, the system’s efficiency was enhanced.

Parija et al. (2019) provided an assortment of wind and solar power-producing installations as a workable as well as consistent energy source, to solve the PQ issues. This research offered a hybrid version combining PV and wind systems. Particularly in remote or island sites, where grid connectivity was not particularly expensive, this kind of arrangement was beneficial. Substantial PQ problems, like harmonic generation and reactive power correction, caused either by the connection of power electronic equipment to DG systems interrupted the power distribution system. The performance of a 750 kW hybrid wind-PV producing system in grid-connected mode was assessed using simulation.

2.2 Problem statement

HRES are progressively becoming incorporated into the power system, generating serious concerns about the grid’s reliability and power quality. It is challenging to keep up an uninterrupted as well as reliable grid due to the uncertainty of HRES. A multitude of PQ issues is also brought on by the existence of non-linear loads in the grid. These problems on the power grid affect the operation of related equipment and cause significant monetary losses. Thus, it is indeed crucial to develop suitable techniques to lessen the power quality issues caused by the grid incorporating energy from renewable sources. Active filters, static synchronous compensators, and UPQC are indeed a few of the techniques that have been employed in several types of research to improve power quality.

The development of much more reliable and efficient methods of control for the UPQC in grid-connected HRESs is necessary. Although the UPQC has been demonstrated as an efficient way to decrease a variety of PQ issues, it is conceivable that not every operating parameter can indeed be managed to meet the prevailing control techniques, which could additionally result in enhanced performance concerning effectiveness and predictability. How and when to create a composite system that combines several RES, including PV, wind, and battery, whilst preserving the maximum possible power quality, is yet another topic of research that might have to be tackled. Although numerous studies have studied the effectiveness of different solar and wind farms and their incorporation into the grid, it is necessary to conduct more in-depth studies that take into account the interconnections between diverse energy sources and their impact on power quality.

To evaluate how effectively power quality enhancement techniques, work in real-world circumstances, a further experimental investigation is also necessary. Even though many studies have been introduced using computational methods to evaluate the effectiveness of power quality enhancement techniques, it is indeed vital to confirm these results with practical testing to ensure that the techniques can be applied satisfactorily in practical settings. However, there remain significant research gaps throughout the area of PQ improvement in grid-connected HRESs using UPQC that need to be filled. These gaps include:

• Research on the ideal location and dimension of UPQC in HRES connected to the grid is lacking.

• Research on UPQC in HRES that are linked to the grid is scarce.

• There has not been much focus on integrating BESS with UPQC to enhance power quality in grid-connected HRES.

• Inadequate information is known about how UPQC performance in HRES that are connected to the grid is impacted by uncertainty in RES.

To solve these limitations in the existing literature, the present investigation suggests an ideal hybrid model of HRES that combines wind, solar, and BESS with UPQC. The suggested framework would employ a sophisticated control strategy to improve UPQC, as well as its efficacy will indeed be evaluated in connection to the impacts of uncertainty in energy supply from renewable sources.

3 Proposed methodology: mitigation of PQ issues in grid-connected HRES

Due to technological advancements, emerging environmental awareness, and increased electricity demand, DG has been depending more and more on RES. Economic advantages come from RES-based DG, which also reduces pollution and global warming. Many RESs have been incorporated into traditional electrical networks, including wind, PV, FC, and biomass. Integrating these into the electrical grid has been challenging due to their special characteristics, including DC voltage in PV and either AC or DC production in offshore wind.

The output power from RESs is typically unstable due to shifting climatic conditions, demanding the usage of electrically powered devices to regulate and optimize power production. Electrical converters for power, which can modify the DC voltage levels of all DC voltage sources, connect them to the electricity network by using DC-AC inverters. Regrettably, this might lead to PQ issues including harmonics, as well as voltage sags/swells. To tackle PQ issues in grid-connected hybrid HRESs, FACTS devices are needed. The UPQC is a helpful instrument for bettering voltage management and resolving PQ issues in grid-interfaced HRESs.

Using an enhanced FOPID controller could significantly improve the administration of the UPQC in addition to minimizing PQ in grid-connected HRES. By tweaking the FOPID controller’s setting for proportional gain, integral gain, derivative gain, and fractional-order, PQ problems in grid-connected HRESs could well be minimized. As a result, this research effort presents a revolutionary HRES with a grid interface that includes UPQC as well as an enhanced FOPID controller. The structure of the suggested model is shown in Figure 1 .

Figure 1 . JPEG.

Figure 1 shows a grid-connected HRES with solar PV, Wind turbine, and storage components. The batteries have been typically utilized to store the excess energy produced by the PV and WT systems as well as to supply backup power. To meet the needs of the customer demand, RES is used. The prevalent problem with grid-connected HRES is maintaining stability and reliability, which necessitates addressing problems with power quality. A UPQC is used with HRES technology to handle PQ concerns, such as sag, swell, and interruption. To correct PQ issues, the UPQC employs control mechanisms both in series and shunt. The ideal gain values for the filters, which infuse critical power to account for sag and swell circumstances, are chosen using the FOPID controller.

A novel hybrid approach of optimization is proposed to optimize the FOPID control settings. The CSO, as well as the TSO, have been combined in the suggested hybrid optimization paradigm. Energy storage, a crucial component of HRES, provides electricity to meet load requirements whenever the system’s power supply becomes inadequate. The battery’s capacity can be estimated by the reference autonomy day A , which is evaluated with the HRES’s essential energy requirements.

This assessment ensures that the batteries have been designed to provide adequate power for the system even when sources of renewable energy are not always capable of satisfying demand. The autonomy day ( A , shown in Eq. 1 is a significant element that has to be considered while developing an HRES. The HRES system calculates the battery’s capacity that uses several variables, including the battery’s profundity of discharge rate (dod), effectiveness (b), inverter performance (inv), voltage V and demanding energy (PD). For the entirety of the day, the battery could supply energy to fulfil the loading requirement, which is evaluated using the term A . The battery can be charged using any extra energy that the sources of renewable energy produce. Eq. 2 provides the large battery estimate taking into account each one of these variables.

Where, P d e m a n d u stands for the system’s power need, while B P o w e r stands for the battery power. An important factor that is dependent on the energy produced by the HRES is the battery’s SOC”. The battery’s self-discharge frequency is shown by μ . Yet, issues with PQ, such as voltage interruptions, sag, swell, and more might affect the battery’s state of charge in the proposed system architecture.

To increase the stability of the system, it is vital to solve these power quality issues. To do this, the HRES system may incorporate a UPQC device. Eq. 3 mathematically illustrates the SoC.

3.1 Modelling of proposed system

Past developments have witnessed a substantial increase in interest in RESs due to concerns about ecological responsibility as well as the requirement to decrease emissions of greenhouse gases. As a consequence, it has grown increasingly typical to include RES in conventional power networks. Several types of RES, PV systems, WTs, and batteries are frequently used throughout HRESs to produce power as well as satisfy the needs of the world’s load. This study explores the properties of PV, WT, and batteries in HRES as well as their possibility for producing green technology.

3.1.1 PV modelling

PV systems are a kind of renewable energy system that uses photovoltaic cells to transform solar energy into electrical energy. To generate the necessary voltage and power output, photovoltaic cells are coupled in series or parallel with these arrangements. Semiconducting components, like silicon, are used to create the cells, which absorb light and produce an electrical current. The condition of the PV cells, the elevation, and orientation of the solar panels, as well as the number of sunrays collected, are only a few of the variables that influence the efficiency of a PV system. A PV system’s electricity production is directly related to the amount of sunrays it receives, which might change according to the moment of the day and the temperature. As the PV system’s power production fluctuates with time, storage mechanisms for energy must be incorporated into HRESs to provide a steady supply of electricity.

The two operational options for PV systems are stand-alone and grid-connected. For independent applications or off-grid uses like electricity production, telephony, and pumping systems, PV systems can function in self-contained operation. For electricity during times of low or no sunshine, such installations often employ batteries or even other forms of energy storage to preserve extra electricity created throughout maximum solar hours. To supply backup generators for many days in the event of inclement weather or even other situations, the batteries must be able to match the load requirement. While operating in grid-connected mode, PV systems transmit the extra power they produce during the sun’s peak times immediately into the grid system ( Raj and Chandrasekaran, 2020 ; Xavier et al., 2021 ). As the grids function as a virtualized storage solution, these devices are not dependent on battery packs or other power storage equipment. Grid-connected PV systems have been impacted by several technological, financial, and governmental challenges Kandasamy et al. (2022) . The decrease in energy efficiency represents the most severe problem of all. Figure 2A shows the PV system’s design.

Figure 2 . (A) PV System design, (B) Schematic block of wind turbine, (C) Structure of BESS.

An approach to figure out the endpoint current and voltage readings of the planned PV panel is provided by Eqs 4 , 5 , respectively. These formulas accommodate some variables, including the amount of solar irradiation, the panel temperature, the panel’s highest point of power, and the panel’s series resistance. These calculations can be applied to compute the current and terminal voltage values for the specified PV panel design, which would be crucial for determining the general effectiveness of the HRES system.

The energy produced by the PV panel can be calculated using Eq. 6 . It incorporates several factors, including the transistor ideality element T , Boltzmann’s constant K , and the electron charge S. The calculation of produced power also takes into account the temperature in Kelvin T , series resistance ( R P ), shunt resistance ( R s h u n t ), current ( i p ), and cell voltage V P ).

The number of cells inside the PV system   N P u , the current i p u , the voltage V P u , as well as the accessible luminosity, are some of the factors that influence how much electricity a PV system P P produces. Unfortunately, because of differences in demand and obtainable power, the PV system’s maximum power may not always be drawn. To use a method known as MPPT that entails adjusting the PV system’s setpoint to harvest the supreme strength attainable anywhere at a specified instant, this problem is solved. The general description of the parameters is shown in Table 1 .

Table 1 . Hybrid parameters.

3.1.2 Modelling of wind turbine

Systems that transform wind power into electrical power are termed wind turbines. The components of a conventional wind farm are rotors hooked to a shaft and a generator that transforms the mechanical power of the rotor into electrical energy. The HAWT, which seems to have blades that revolve around a horizontal axis, constitutes the most prevalent kind of wind turbine Kumar et al. (2022) . The generator that generates AC energy is driven by the blades’ spinning action. According to the amount of electricity, they have been intended to produce, wind turbines can indeed be built offshore or onshore and are available in an assortment of configurations. A WT system’s generated power is inversely correlated with airspeed and blade diameter. The electricity production of the WT system may well be impacted by the wind direction, which can change according to the spot and the time during the day Murshid and Singh, (2019) . In addition, other environmental elements including air pressure, roughness, and severe turbulence can all affect the electrical output of a WT system. To account for variations in wind speed, it might be necessary to put up many wind turbines of different elevations and dimensions. Figure 2B shows the conceptual circuit diagram of a wind generator.

Using Eq. 7 , which contains the measured wind production energy and wind velocity symbolized by symbols p W e s and V , respectively, the output power of WT can well be formulated. Furthermore, wind speeds, such as V C u t − I n and V C u t − o u t are also important. Eq. 8 sets the maximum power that could be extracted from the system. Therefore, a random vector conversion is necessary to change the stochastic nature of wind direction into wind energy. This is accomplished by transforming the distribution function into a continuous range using a linear variable conversion, which is expressed in equation Eq. 9 .

3.1.3 Modeling of BES

Batteries are indeed a crucial part of HRESs because they offer energy storage to compensate for variations in RES electricity production. Throughout times when demand is low, the extra energy created by RESs is capable of being utilized to recharge the battery; and when demand is greatest, it is possible to employ it to drain battery packs. If there is a high power demand or when sources of clean energy are not accessible, batteries may be used to retain surplus electricity created by these technologies and discharge it. Batteries may be employed to balance energy costs during times when demand is greatest or to supply power backup during power failures. The kind of battery chemistry employed, the charging and discharge cycles, and the temperature difference all affect a battery’s performance as well as longevity. Lead-acid, lithium-ion, and flow batteries are indeed the three batteries that are used in HRESs frequently. The much more popular batteries right now are lithium-ion batteries with increased density of energy, extended durability, and little maintenance requirements. In Figure 2C , the BESS model is displayed. The battery capacity is determined using Eq. 10 .

where, d l represents the depth of discharge at rated load, reflecting how much of the battery’s capacity is used under typical conditions. a d is the average depth of discharge, considering load variations, providing a more realistic measure of battery usage. d o d is the depth of discharge allowed, setting a limit on how much the battery can be discharged. η b a t and η i n v represent the number of batteries and inverters in parallel, influencing the overall capacity.

The diagram displays various symbols used in the computation of the battery’s capacity, such as Cb for capacity, d l for load requirement, d o d for depth of discharge, and η b a t and η i n v for battery and inverter efficiency, respectively. The battery’s capacity is tailored to match the load demand and AD required to ensure that intermittent renewable energy generation and battery storage can continuously fulfil the load requirements.

3.1.4 Integration of PV, WT, and battery in HRESs

Including PV, WT, and battery packs in HRESs could offer a dependable and environmentally friendly power source. Energy storage facilities may offer a consistent power source throughout periods with low RES output, and the usage of various RESs can accommodate variations in energy capacity. In HRESs, electrical devices like DC-AC inverters may be deployed to link the PV and WT systems to the electricity network. It is possible to combine the electricity generated by the RESs and feed it into the national grid or utilize it to power nearby loads. Equipment for storing energy can indeed be utilized to hold extra power generated while demand is not high and released when demand exceeds supply. Smart control mechanisms may decrease power losses while ensuring the best performance of RESs and systems for storing electricity.

3.1.5 Modelling of UPQC

In the grid-connected HRES, the UPQC is an electrical device for power that is also frequently employed to reduce PQ issues. The UPQC technology is intended to address a variety of problems with power quality, including voltage sag, swell, harmonics, and flicker, which might take place because of grid or HRES-related disruptions. Two power converters help compensate the UPQC: “a series converter (SC) and a shunt converter (SHC)". The SC, which itself is intended to make up for power irregularities, is linked in series with the load. The SHC, which is used to account for present abnormalities, is linked in a pair with the load. At the PCC, in which the HRES is interconnected to the grid, the UPQC controls both voltage and current. Several control approaches, including PI, PR, and FLC are used to simulate the UPQC. The current and voltage at the PCC are intended to be regulated to the desired levels using these methodological approaches. The control strategy used has been determined by the system’s unique needs as well as any issues with power quality that need to be addressed. The creation of several formulae to explain the performance of the UPQC under different operation situations is a necessary step in the modelling of the UPQC. These formulas have been applied to the conceptualization and operational evaluation of UPQC’s control scheme. The behaviour of the UPQC being simulated under multiple power quality states using the UPQC model, as well as its efficacy in reducing power quality issues is assessed. Therefore, creating a reliable and effective grid-connected HRES requires careful consideration of the modelling of the UPQC. The UPQC is indeed a crucial part of the HRES because of its capacity to reduce voltage stability issues while maintaining the system stable. The basic model of UPQC is shown in Figure 3A .

Figure 3 . (A) Basic model of UPQC, (B) UPQC compensated system (i) Equivalent circuit model of UPQC, (ii) UPQC-PQ circuit, and (iii) Vector diagram for voltage compensation.

The UPQC system, elucidating the structure and operation of its DC link element and associated compensators. It emphasizes the suitability of Voltage Source Converters (VSCs) for this purpose due to their advantages, such as requiring fewer electrical components, offering control flexibility, and supporting multi-level operation. The structural block diagram and equivalent circuit of the UPQC are presented in Figures 3A, B . The described equations detail the relationship between the source grid voltage, series compensation voltage, shunt compensated current, and load current, revealing the intricate interactions within the system. The focus is on minimizing harmonic content in the injected current by the shunt compensator.

In this part, the mathematical model of UPQC for the mitigation of power quality issues is given. The power supply system, series active filter, and shunt active filter are the three primary components of the proposed model. Kirchhoff’s law is indeed the foundation for the mathematical modelling of the power supply system, as demonstrated in Eqs 11 , 12 below. These equations describe the different components of the power system, including the shunt active filter output current i s a f , load current i l c , line current i l e c , series active filter output voltage v s a f , source voltage v s , the inductance of the trans + mission line L T , and resistance of the transmission line R T ”.

In Figure 3B , the UPQC compensation system is portrayed as a sophisticated solution designed to address challenges arising from unfavourable power conditions within the broader power system. Its primary objective is to actively regulate and enhance power quality by manipulating both source current and load voltage. The system achieves this through the integrated use of series and shunt active filters. Notably, I S A F and V S e A F in the system represent the injection current of the shunt active power filter and the injected voltage of the series active power filter, respectively. The load and source currents, denoted as I R L and I S , are critical parameters controlled by the UPQC to ensure optimal power quality. The term K encapsulates the concept of “source voltage factor fluctuation,” indicating the system’s ability to dynamically respond to variations in the source voltage. Additionally, the load power factor, characterized by Cos ϕ in Eq. 13 , provides insights into the disparity between the source voltage and the reference voltage concerning the reference voltage.

Figure 6C introduces a vector diagram illustrating the UPQC-PQ system’s voltage compensation mechanism. This visual representation offers a clear understanding of how the UPQC actively manages voltage conditions. Notably, in situations of over-voltage v g , , the series inverter intervenes by injecting a negative voltage v s e r i e ⁡ sin ⁡ v e r t e r , into the grid. This strategic intervention effectively mitigates and eliminates over-voltage conditions, showcasing the UPQC’s robust capability to dynamically and proactively manage power quality, thereby contributing to a stable and reliable power supply.

By using Eq. 14 , it is possible to solve the above equation.

Eq. 15 describes the current on the PCC side, assuming that the power requirement of the active power and load is equal to the PCC input, and neglecting losses in the UPQC-PQ design.

Eq. 16 and 17 provide formulations for the apparent power of the series and shunt active power filters in the UPQC.

where q c represents the reactive power of the series filter and p c represents the active power. The calculation of q c involves a methodical procedure. Initially, it requires determining the apparent power of the series filter. Apparent power is a complex quantity that includes both active (real) power and reactive power. In this context, the next step is to isolate the reactive power component from the apparent power. This separation is achieved by making an assumption that simplifies the analysis: the active power component is considered to be negligible or zero.

In practical terms, this assumption allows for focusing specifically on the reactive power aspect of the series filter’s apparent power. By neglecting the active power, the computation of q c becomes a targeted process aimed at understanding and quantifying the reactive power contribution. This approach streamlines the analysis and provides a clear perspective on the reactive power characteristics of the series filter, offering valuable insights into its behavior within the overall system. q c can be calculated as q c = v c i s ; q c = v c i s Cos ϕ s . The difference between the input load current, source current, load harmonic current, and reactive current is represented by I S A F . To improve the stability of the system and compensate for PQ issues, the series and shunt active power filters are controlled using the CT-SOA-based Optimized FOPID controller ( Dheeban and Muthu Selvan, 2023 ).

3.2 Control strategy

HRES have been adopted recently to address the increasing energy demand brought on by industrial development while reducing greenhouse gas emissions. Nevertheless, while incorporating HRES into grid-connected networks, problems with dependability and power efficiency appear. The UPQC-PQ system is employed to enhance power quality to handle these difficulties. Using a control scheme along with a FOPID controller and CT-SOA boosts the effectiveness of HRES. Two controllers, “series APF and shunt APF”, are part of the UPQC-PQ system and serve as a tool to address problems with power quality. Series and shunt active power filtering are both covered in-depth in this article.

3.2.1 Series active power filter control scheme

The reference voltage must be measured initially before the DQ transformation technique translates it into the D-Q axis. This approach frequently makes use of power filters to monitor UPQC-PQ and deal with systemic power quality concerns. A schematic Representation of Series APF is illustrated in Figure 4A . The first step is to measure the reference voltage, which is then converted into D-Q axes using the “DQ transformation method”. Power filters are commonly used in this method to monitor UPQC-PQ and address PQ issues in the system.

Figure 4 . (A) Schematic Representation of series Active Power Filter (B) Optimized FOPID Controller.

Eq. 18 relates the direct axes voltage v D and quadrature axes voltage v Q to the three-phase voltages, which are denoted by v A , v B and v C .

Direct voltage and alternating component voltage together make up the D-axis voltage. It is possible to use an LPF to smooth the D-axis voltage. Eq. 19 provides the mathematical expression for the LPF.

Eq. 19 defines v D A C as the “AC component voltage” and v D D C the “DC component voltage”. Next, the voltage is converted back into three phases using Eq. 20 .

Eq. 20 uses v S A , v S B and v S C to represent the “three-phase reference voltages”. The voltage’s hysteresis band is controlled using control pulses, which are calculated and adjusted using an Optimized FOPID controller with CT-SOA. The subsequent section presents the shunt active power filter with its control algorithm ( Vinothkumar and Kanimozhi, 2021 ).

3.2.2 Shunt active power filter control scheme

Eq. 21 and 22 are used to convert the “three-phase currents and voltages” into a and b, as shown below,

This calculation is based on the phase neutral currents S o , S α , S β , three-phase load currents i S A , i S B , i S C phase neutral voltages v S o , v S a , v S β , and three-phase supply voltages v S A , v S B , v S C . Using these voltage and current measurements, the “actual and unconsidered powers” of instantaneous values are calculated. Eq. 23 is used to compute the real and reactive power in the shunt APF.

The reference currents are then calculated using Eq. 24 based on the previously computed real and reactive powers.

i S A , i S B and i S C stand for the current reference for the Shunt APF. Based on this reference current, the error current would then be computed and must be adjusted. The CT-SOA algorithm is used to create the optimum pulses, which are then selected in the Shunt APF based on system error values. The following sections include further information on the CT-SOA-optimized FOPID controller.

3.3 Crow-Tunicate Swarm Algorithm (CT-SOA) based optimized FOPID controller

Due to the rising need for sustainable energy, it is now more crucial than ever to integrate energy from renewable sources into the grid. Nevertheless, electrical and electrical disturbances frequently affect these systems’ PQ, which can result in decreased effectiveness and performance Raj et al. (2023) . A FOPID controller is suggested as a solution to all of these challenges. In comparison to traditional controllers, like PI and PID, the FOPID controller has five parameters and can deliver greater gain values. Also, the “optimized FOPID controller” can be applied to electrical systems to reduce voltage sag, voltage swell, harmonics, and flicker. The controller can reduce erroneous signals, fix the issues with signal undershoot and overshoot, and quicken reaction times. The effectiveness of different power system components, including the UPQC, DG systems, and RES systems, can be enhanced by using the optimized FOPID controller. The CT-SOA approach is used to get the best gain values and by sending the FOPID controller the best possible pulses, the CT-SOA approach lowers the voltage and current error values. The FOPID controller is employed to regulate the series and shunt APF of the UPQC device and, therefore serves to enhance the performance of the HRES system by minimizing the PQ issues. Figure 4B depicts the architectural layout of the proposed O-FOPID controller.

The FOPID controller is capable of minimizing the error voltage as well as the error current. This is essential for maximizing production and controlling the HRES system. Overall, the suggested CT-SOA approach offers a successful means of reducing PQ issues in HRES interface grid-connected systems. It helps to increase the system’s effectiveness and efficiency and provides substantial advantages over conventional controllers.

In HRES, Eq. 25 shows the transfer function of the FOPID controller is indicated as G s with the controller output marked by O s and the error signal by E s . Moreover, the fractional order parameters are denoted by s y and s μ . The CT-SOA model sets the control parameters of the FOPID controller, such as k p , k i and k d and, s y and s μ . The FOPID controller then assists in lowering the error signal by computing it by comparing the reference parameters with the real values under various load circumstances. The CT-SOA is used to choose the FOPID controller parameters’ ideal values. The CT-SOA algorithm aids in reducing PQ issues in the HRES system, such as current and voltage disturbances, by choosing the best values for the FOPID controller settings.

3.3.1 Crow-tunicate swarm optimization algorithm (CT-SOA)

The hybridization of TSA and CSO offers a powerful optimization framework for addressing power quality issues in grid-connected HRES. This approach synergizes TSA’s effective exploration and CSO’s exploitation capabilities, resulting in improved convergence, adaptability to dynamic environments, and increased solution diversity. The proposed hybrid optimization model, CT-SOA, optimizes parameters, including those of the FOPID controller. This integrated optimization ensures precise tuning of FOPID controller parameters, contributing to enhanced system performance by mitigating voltage sag, swell, and THD in power systems. The balance between exploration and exploitation, coupled with the adaptability to dynamic conditions, positions the hybrid CT-SOA as a promising solution for achieving optimal and robust power quality improvements.

The control parameters of the FOPID controller, such as k p , k i , and k d , and, s γ and s μ are tuned using the CT-SOA model. The standard TSA and CSO are combined to form a mathematical expression of CT-SOA. Tunicate can locate a maritime food source. Yet, the location of the food source is still a mystery in the search region Kaur et al. (2020) . The optimal food source was found in this investigation using two tunicate behaviours. Examples of these actions include jet propulsion and swarm intelligence. CSO is an optimization method based on crow behaviour that draws inspiration from nature Askarzadeh (2016) . The illustration of the CT-SOA model is stated below:

Step 1. Initialization

The first step of the CT-SOA model is initializing the input parameters. Here the input parameters are the control parameters of the FOPID controller, such as k p , k i , and k d , and, s γ and s μ . In addition, the individual crows’ location   Y i , flight step size F , maximum iteration number   max i t e r , and memory matrix are initialized. Moreover, the population size M is also initialized.

Step 2. Generic Randomization

In this step, this step involves the random generation of the input parameters.

Step 3. Fitness Evaluation

Evaluate the fitness function, denoted as F i t , for each search agent according to the formulation in Eq. 26 . The fitness function serves as a metric for minimizing the error associated with the FOPID controller. This function encapsulates the objective of achieving an optimal FOPID controller configuration by quantifying the discrepancy between the system’s desired and actual responses. By minimizing this error E through the fitness function, the algorithm endeavors to guide the search agents towards optimal solutions that enhance the performance and efficacy of the FOPID controller in addressing power quality issues within the HRES.

Step 4. Generate a new location for each crow in the search space

Create a new position in the d-dimensional search space for each crow. Given that a crow randomly follows a crow i , the position update of a crow i can be separated into the two following scenarios to identify the location of the concealed food of the crow j :

Case 1. In the first scenario, crow j is unaware that the crow i is behind it. The position update formula for crow i in this instance is shown in Eq. 27 .

To align with the objective of improving Power Quality (PQ) in Hybrid Renewable Energy Systems (HRES), the Crow Search Optimization’s (CSO) Case 1 scenario parallels the complex optimization needs of HRES components such as wind turbines, solar panels, and battery storage systems. Each “crow” in CSO represents a control parameter crucial for optimizing the Unified Power Quality Conditioner (UPQC) through strategies like the Optimized Fractional Order Proportional Integral Derivative (O-FOPID) controller. CSO’s Case 1, where a crow adjusts its position without awareness of others, mirrors the need for dynamic parameter adjustments in HRES to mitigate PQ issues like sag, swell, and Total Harmonic Distortion (THD). This adaptive exploration within CSO enables the discovery of optimal control configurations, essential for maintaining stable and efficient power output in grid-connected environments, thereby enhancing the overall reliability and performance of HRES under diverse operational conditions.

Case 2. Crow j finds that crow i is following it, and crow j will take crow i to a random position. This is expressed in Eq. 28 .

In Case 2 of Crow Search Optimization (CSO) within the context of Hybrid Renewable Energy Systems (HRES), consider a scenario where a crow adjusts its position based on knowledge of another crow’s location, symbolizing an informed adaptation strategy in optimizing system performance. In the area of HRES, this can be likened to leverage historical data or predictive analytics to refine control parameters of components such as wind turbine (WT), solar photovoltaic (PV) panels, and battery energy storage systems (BESS). By incorporating insights gained from past performance or anticipated environmental conditions, CSO’s Case 2 facilitates targeted adjustments in the settings of controller. This approach aims to preemptively address PQ issues such as voltage fluctuations or harmonic distortions, optimizing system efficiency and reliability in delivering high-quality power to the grid. Thus, Case 2 of CSO plays a crucial role in enhancing HRES operational resilience by strategically adapting control parameters based on data-driven insights, thereby ensuring robust performance under varying load and environmental conditions.

Step 5. Eliminating Disputes between Search Agents

To avoid the conflicts between search agents (crows) (i.e., between crow i and crow), the variable E is computed. This phase has been newly developed based on the inspiration acquired from the TSA model. In addition, the variable E is used to calculate the new search agent position to prevent conflicts between search agents (i.e., other tunicates).

Therefore, E represents the force of gravity (Eq. 29 ), while P (shows Eq. 31 ) depicting the advection of air. The range [0, one] is where the random numbers for the variables v , 1 v 2 and v 3 is located. D stands for the forces of social interaction among search agents (Eq. 30 ).

The calculation of the vector D → is represented as per Eq. 32

Where, Y Min and Y Max stand for the primary and secondary rates of social contact. The values of Y Min and Y Max are one and 4.

Step 6. Convergence toward the most Efficient Search Agent

The search agent (crow i and crow j ) keeps moving in the direction of the ideal search agent (i.e., food source). This phase has been newly introduced within the CSA model.

where Y I t e r + 1 , i indicates the tunicate’s most recent location concerning food source represented as f d .

Step 7. Determining the viability of each crow’s new position:

Change the crow’s position if possible, and it is not updated in any other case.

Step 8. Re-evaluate fitness:

Figure out each crow’s fitness value in their new place.

Step 9. Updating each crow’s memory matrix:

The memory matrix of each crow is updated as per Eq. 34 .

Step 10. Return to the Best Position

The best position of the Search agent is finally returned after the completion of the maximum number of iterations. The pseudocode of the proposed CT-SOA algorithm is shown in Algorithm 1 .

Algorithm 1. Pseudocode of proposed CT-SOA Algorithm.

Pseudo-code of proposed CT-SOA Algorithm

Step 1 Start

Step 2 Population Initialization

Step 3 Parameter initialization

Step 4 Fitness Evaluation , F i t = ⁡ min   E

Step 5 Generation of New location Case 1: Update position using Eq. 27 Y I t e r + 1 , i = Y I t e r , i + r a n d i + F I t e r * M e m o r y I t e r , i − Y I t e r , i Case 2: Update position using Eq. 28 Y I t e r + 1 , i = Y I t e r , i + r a n d j + F I t e r * M e m o r y I t e r , i − Y I t e r , i i f   r a n d 2 ≥ A P R a n d o m   P o s i t i o n e l s e

Step 6 Elimination of Disputes

Step 7 Update position based on Eq. 29 E = S D

Step 8 Convergence of solution

Step 9 Update the solution with the most efficient search agent using Eq. 33 Y I t e r + 1 , i = f d + E . D , I f   r a n d 3 ≥ 0.5 f d − E . D , I f     r a n d 3 < 0.5

Step 10 Evaluate the viability of solutions

Step 11 Re-evaluate fitness

Step 12 Update the memory of the crow using Eq. 34 M e m o r y I t e r , i = Y I t e r + 1 , i i f   F i t Y I t e r + 1 , i b e t t e r   t h a n   F i t M e m o r y I t e r , i Y I t e r , i e l s e

Step 13 Output the best solution

Step 14 Terminate

4 Results and discussion

The proposed model for PQ improvement using UPQC with an optimized FOPID controller has been implemented using the MATLAB Simulink 2022b model with the RAM of 16 GB. Figure 5A depicts the simulation model for the suggested work. The suggested framework was evaluated using sag, swell, and THD analysis. By incorporating voltage sag and swell instances, the suggested model was contrasted with existing approaches including PI Bilgundi et al. (2020) , FOPID Devi and Suresh Kumar (2021) , TSA Kaur et al. (2020) , and CSO Askarzadeh (2016) , where the voltage source, load voltage, and load current are detected as independent indicators. Voltage was investigated about time in seconds. Table 2 shows the system specification. Table 3 depicts the parameters for an optimized Fractional Order PID (FOPID) controller, which include the proportional gain K p , integral gain K i , derivative gain K d , integral order λ , and derivative order μ . The proportional gain, set at 2.5, ensures a robust response to the current error, while the integral gain of 1.3 helps eliminate steady-state errors by considering the accumulated error over time. The derivative gain, with a value of 0.8, enhances system stability by addressing the rate of change of error. The integral order of 0.9 and the derivative order of 0.7 provide fractional adjustments that allow for more precise and flexible tuning compared to traditional PID controllers. These parameters are optimized to balance the speed of response, stability, and accuracy, resulting in improved performance and stability for the controlled system.

Figure 5 . (A) Simulation Model of the proposed system, (B) Supply current and voltage analysis, (i) Supply Current, and (ii) Supply Voltage.

Table 2 . System specification.

Table 3 . Parameters of O-FOPID controller.

4.1 Sag analysis

In a power system, sag can cause system breakdown, reduce the effectiveness of the system, and shorten system life.

4.1.1 Supply voltage and supply current analysis

Figure 5B depicts the source current and voltage during the sag phase. Sag occurs at intervals of 0.25–0.35 s.

4.1.2 Compensator current and voltage evaluation

C Compensator current and voltage outcomes for various techniques like PI, FOPID, CSA, TSA, and the suggested approach are depicted in Figures 6 , 7 , respectively. From the comparative analysis, the achievement of the suggested approach is seen as superior to the traditional methods.

Figure 6 . Compensator current waveform for various techniques.

Figure 7 . Compensator current waveforms for various techniques.

4.1.3 Load current and voltage analysis

Figures 8 , 9 portray the load current and voltage under PI, FOPID, CSA, TSA, and the proposed method. This evaluation is processed under sag condition. Hence, it is evident that the proposed method can effectively compensate for sagging while maintaining high power quality. Similar to the sag compensation, the suggested approach can successfully compensate swell while maintaining high power quality. The analysis shows the superior performance of the proposed method compared to the conventional methods.

Figure 8 . Load current waveforms for various techniques.

Figure 9 . Load voltage waveforms for various techniques.

4.1.4 Convergence analysis: Sag

Figure 10A shows the successful convergence of the suggested method for the sag scenario. The fitness value decreases with iterations, which indicates that the proposed model has quickly and successfully optimized the control parameters of the FOPID controller for sag mitigation in the HRES system. The convergence of the CT-SOA model indicates that it is a reliable and efficient optimization algorithm for solving PQ issues in HRES systems.

Figure 10 . (A) Convergence Analysis of the proposed model in terms of Sag, (B) Supply current and voltage analysis, (i) Supply Current (ii) Supply Voltage.

4.2 Swell analysis

Swell is the increase in RMS voltage or current that happens at the power frequency affecting the normal operation of a power system.

4.2.1 Supply voltage and supply current analysis

Compensation is required to reduce swell. Figure 10B depicts the supply voltage waveform during swell conditions. The supply voltage swells between 0.25 and 0.35 s.

4.2.2 Compensator current and voltage analysis

Compensator voltage and current waveforms under swell conditions for various techniques like PI, FOPID, CSA, TSA, and the suggested approach are portrayed in Figures 11 , 12 , respectively. From the comparative analysis, the achievement of the suggested method is seen as superior compared to the traditional methods.

Figure 11 . Compensator voltage waveforms for various techniques.

Figure 12 . Compensator current waveforms for various techniques.

4.2.3 Load current and voltage analysis

Figure 13 ; Figure 14A show the load current and load voltage attained using the PI, FOPID, CSA, TSA, and the proposed method. This evaluation is processed under swell conditions. The analysis shows that the suggested method has high performance than the conventional methods under swell conditions.

Figure 13 . Load current waveforms for various techniques.

Figure 14 . (A) Load voltage waveforms for various techniques, (B) Convergence Analysis of the proposed model in terms of swell.

4.2.4 Convergence analysis under swell condition

As shown in Figure 14B , the proposed model has also achieved better convergence for the swell scenario. The fitness function specified in Eq. 26 has been satisfied by the model for every iteration count, demonstrating the effectiveness of the CT-SOA model in resolving PQI in HRES systems. The proposed CT-SOA exhibits superior fitness convergence compared to traditional optimization algorithms. The successful convergence of the suggested approach can be attributed to the hybridization of the two standard optimization algorithms, TSA and CSO. By integrating the strengths of TSA and CSO, CT-SOA achieves a refined balance between exploration and exploitation, resulting in faster and more efficient convergence to optimal solutions. Overall, the convergence analysis results indicate that the suggested model is a promising strategy for addressing PQI in HRES systems. This heightened convergence in both voltage sag and voltage swell is advantageous for addressing power quality issues in grid-connected HRES, making CT-SOA a promising and competitive tool for PQ applications.

4.3 Analysis of optimal parameters for sag and swell

The tables provide an analysis of optimal parameters for two control systems, Sag and Swell, using three different optimization algorithms, such as TSA, CSO, and CT-SOA. The control parameters for each algorithm are   k p , k i , k d , μ , λ , and the optimal values obtained are compared to those obtained using FOPID and PI controllers. For the Sag condition, the optimal values k p , k i , k d obtained through CT-SOA are significantly higher than those obtained through TSA and FOPID, while the PI controller provides the least optimal values. This suggests that CT-SOA is better at exploring the search space and finding solutions that provide higher performance for the Sag system.

The optimal values of μ , λ obtained through CT-SOA are also higher than those obtained through TSA and FOPID, indicating that CT-SOA provides better exploration and exploitation capabilities. For the Swell system, CT-SOA again outperforms TSA, CSA, PI, and FOPID in terms of the optimal values obtained for k p , k i , k d , μ , λ . In addition, the optimal values obtained through CT-SOA are more stable across different values of μ , λ , indicating that CT-SOA is better at finding consistent solutions. Overall, these results suggest that CT-SOA is a promising optimization algorithm for tuning the control parameters of Sag and Swell systems.

4.4 THD analysis on sag and swell conditions

THD analysis is an important measure of the quality of power in electrical systems. In this section, the THD values obtained for different control methods applied to sag and swell compensation are presented. The performance comparison with various other controllers are presented in Table 4 . The THD values obtained for the different methods are 5.9038% for PI control, 4.9592% for FOPID control, 3.7027% for CSA, 1.7341% for TSA, and 0.6131% for CT-SOA. Overall, the outcomes represent that the CT-SOA outperforms other methods in terms of THD values for both sag and swell compensation. The study’s main goal is to lessen PQ problems and compensate for the load demand inside the HRES system. The UPQC is made more effective with the addition of an Optimized Fractional Order Proportional Integral Derivative (O-FOPID) controller. The control parameters of the FOPID controller are optimized using the Crow-Tunicate Swarm Optimization Algorithm (CT-SOA), a more advanced version of the conventional Tunicate Swarm Optimization (TSA) and Crow Search Optimization (CSO). The low THD values obtained for the proposed method are an indication of its effectiveness in maintaining high power quality.

Table 4 . Performance comparison with various controllers.

Figure 15 depicts the Total Harmonic Distortion (THD) analysis of the proposed model. The study reports significant improvements in THD values under sag conditions, with the optimized O-FOPID controller achieving a THD of 0.012%, compared to higher values with traditional PI and FOPID controllers. The accompanying bar graph, displaying harmonic frequencies up to 1,000 Hz, indicates a very low THD of 0.01%, underscoring the effectiveness of the proposed optimization technique in minimizing harmonics and improving the overall power quality in HRES.

Figure 15 . THD Analysis for the proposed controller.

Table 5 presents a comparative analysis of different control techniques applied in a Hybrid Renewable Energy System (HRES) to address Power Quality (PQ) issues. The metrics compared include Total Harmonic Distortion (THD) under sag and swell conditions, voltage sag and swell compensation percentages, response time, power factor improvement, and overall energy efficiency. The traditional PI controller serves as a baseline, while the FOPID controller and its variants optimized using different algorithms (CSA, TSA, CSO, and CT-SOA) demonstrate enhanced performance. The FOPID controller optimized with the Crow Search Algorithm (CSA), Tunicate Swarm Algorithm (TSA), and Crow-Tunicate Swarm Optimization Algorithm (CT-SOA) shows significant improvements over the standard PI and FOPID controllers. The FOPID optimized with CT-SOA achieves the lowest THD values under both sag and swell conditions, highest compensation percentages for voltage sag and swell, fastest response time, and notable improvements in power factor and energy efficiency. This comprehensive comparison underscores the effectiveness of advanced optimization techniques in refining controller performance and enhancing the reliability and efficiency of HRES systems.

Table 5 . Comparison with other optimization Algorithms.

The comparison Table 6 summarizes six prominent optimization algorithms, including Crow-Tunicate Swarm Optimization Algorithm (CT-SOA), Genetic Algorithms (GA), Particle Swarm Optimization (PSO), Ant Colony Optimization (ACO), Simulated Annealing (SA), and Differential Evolution (DE). Each algorithm is evaluated based on its unique advantages, such as GA’s global search capability and PSO’s rapid convergence, alongside limitations like GA’s sensitivity to parameter tuning and PSO’s potential for local optima trapping. Suitability for different problem types is also highlighted, with ACO noted for combinatorial problems and SA for handling complex function optimization robustly. Robustness considerations vary, with DE and SA standing out for their resilience to noise and uncertainties. CT-SOA’s hybrid nature and balance between exploration and exploitation are underscored as beneficial, but it faces challenges in parameter sensitivity and scalability compared to other algorithms.

Table 6 . Cost Analysis with respect to different controllers.

The comparison table highlights several strategies for enhancing Power Quality (PQ) in Hybrid Renewable Energy Systems (HRES). Traditional methods, like the PI controller offer a cost-effective solution, but with moderate effectiveness as indicated with a THD of 5.9038%. Moving to more advanced approaches, the Fractional Order Proportional Integral Derivative (FOPID) controller shows improvement with a THD reduction to 4.9592%, demonstrating the benefits of fractional-order dynamics in PQ regulation. The proposed Optimized FOPID (O-FOPID) controller, optimized using the Crow-Tunicate Swarm Optimization Algorithm (CT-SOA), achieves a further reduction in THD to 3.7027%, illustrating the potential of advanced optimization techniques in enhancing HRES performance. Similarly, the Crow Search Optimization Algorithm (CSA) controller achieves a significant THD reduction to 1.7341%, while the CT-SOA controller further lowers THD to 0.6131%, showcasing its effectiveness in minimizing harmonic distortions. These findings underline the trade-off between implementation costs and PQ improvement, where higher investment in advanced controllers yields substantial reductions in THD, crucial for ensuring reliable and efficient operation of grid-connected HRES. Therefore, the selection of control strategies should consider both technical requirements and economic feasibility to optimize HRES performance effectively. In conclusion, while each technique offers varying degrees of PQ improvement at different costs, the choice ultimately depends on specific application needs, budget constraints, and the desired level of PQ enhancement. Advanced controllers like O-FOPID and CT-SOA show promising results in minimizing THD, suggesting their potential for future deployment in optimizing HRES operations. As technologies evolve and costs potentially decrease, these advanced control strategies could become more accessible, further improving the sustainability and reliability of renewable energy integration into existing power grids.

5 Conclusion

This research proposed a unique hybrid optimization strategy to reduce PQ issues and compensate for the load demand in HRES using the UPQC device with an O-FOPID controller. The parameters of the FOPID controller were tuned with the aid of the proposed CT-SOA. The suggested approach is executed in MATLAB/Simulink and ed under sag, and swell scenarios, and the effectiveness of the system was examined using THD. The results showed that the suggested approach effectively mitigated PQ issues and compensated for the load demand in the HRES system. The THD analysis also confirmed that the proposed strategy is effective in addressing the PQ issues in the HRES system. Overall, the results demonstrated the feasibility and effectiveness of the proposed approach for HRES systems connected to grid systems. The THD values obtained for the different methods under sag condition are 5.9038%, 4.9592%, 3.7027%, 1.7341%, and 0.6131%, respectively for PI, FOPID, CSA, TSA, and the proposed CT-SOA. Similarly, the THD values obtained for the different methods under swell condition are 8.0457%, 5.5211%, 3.4565%, 2.0737%, and 0.9407%, respectively for PI, FOPID, CSA, TSA, and the proposed CT-SOA. It is clear from the research that among all comparing techniques, the CT-SOA achieves the lowest THD value. This proves that the suggested approach may successfully reduce sag and swell while preserving good power quality in the HRES system. However, there are certain limitations of using CT-SOA Algorithm, which are high sensitive to parameters, such as crow count, convergence criteria, and search space dimensions. Also, poorly chosen parameters may lead to suboptimal solutions or prolonged convergence times. This can limit its practical applicability in scenarios requiring rapid solution discovery. Many such eventualities will be taken into consideration in the upcoming work.

Data availability statement

The original contributions presented in the study are included in the article/Supplementary Material, further inquiries can be directed to the corresponding author.

Author contributions

RV: Conceptualization, Methodology, Software, Writing–original draft, Data curation, Formal Analysis, Validation. CK: Conceptualization, Methodology, Software, Writing–original draft, Project administration, Resources, Visualization. CB: Formal Analysis, Investigation, Validation, Writing–review and editing. TS: Supervision, Writing–review and editing.

The author(s) declare that financial support was received for the research, authorship, and/or publication of this article. Open Access funding provided by the University of the Ryukyus. JSPS KAKENHI Grant Number JP23K03821.

Acknowledgments

The authors also would like to acknowledge the blind reviewers for their constructive comments to improve the paper.

Conflict of interest

The authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.

Publisher’s note

All claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher.

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Nomenclature

Keywords: power quality, hybrid renewable energy systems, unified power quality conditioner, FOPID, total harmonic distortion

Citation: Venkatesan R, Kumar C, Balamurugan CR and Senjyu T (2024) Enhancing power quality in grid-connected hybrid renewable energy systems using UPQC and optimized O-FOPID. Front. Energy Res. 12:1425412. doi: 10.3389/fenrg.2024.1425412

Received: 29 April 2024; Accepted: 08 July 2024; Published: 30 July 2024.

Reviewed by:

Copyright © 2024 Venkatesan, Kumar, Balamurugan and Senjyu. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the original author(s) and the copyright owner(s) are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms.

*Correspondence: C. Kumar, [email protected]

Disclaimer: All claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article or claim that may be made by its manufacturer is not guaranteed or endorsed by the publisher.

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Vice President Kamala Harris waves as she boards Air Force Two after a campaign event July 23, 2024, in Milwaukee. (AP)

'Border czar'? Kamala Harris assigned to tackle immigration's causes, not border security

If your time is short.

In March 2021, President Joe Biden tasked Vice President Kamala Harris with working alongside officials in Guatemala, El Salvador and Honduras to address the issues driving people to leave those countries and come to the United States.

The Biden-Harris administration said it would focus on five key issues: economic insecurity, corruption, human rights, criminal gang violence and gender-based violence.

Border security and management is the Homeland Security secretary’s responsibility.

Vice President Kamala Harris might soon get a new official title: 2024 Democratic presidential nominee. In the meantime, Republicans have revived a title they gave her in 2021: "border czar." 

Claims that President Joe Biden named Harris the "border czar" and that she is responsible for overseeing U.S. border enforcement gained prominence at the Republican National Convention as the party sought to link her to his immigration policy. 

The refrain intensified once Biden dropped out of the race and endorsed Harris. It was echoed in ads and by Trump campaign surrogates, including Ohio Sen. J.D. Vance , the Republican vice presidential nominee.

"Here’s Biden appointing Kamala Harris to be his border czar to deal with illegal immigration," a narrator says in a video the Republican National Committee posted on its X account, @GOP. "And here are a record number of illegal immigrants — 10 million and counting — flooding over the border after Harris was put in charge of stopping illegal immigration."

We’ve repeatedly fact-checked claims about the number of people entering the U.S. illegally under Biden. The federal data tracks how many times officials encountered a person trying to cross the southern border, but it doesn’t reflect the number of people let in. And if one person tries to cross the border multiple times, that counts as multiple encounters, even if it’s the same person. 

For this fact-check, we’re focused on the scope of Harris’ border responsibilities. 

"Border Czar Kamala Harris' reversal of President Trump's immigration policies has created an unprecedented and illegal immigration, humanitarian and national security crisis on our southern border," Trump campaign National Press Secretary Karoline Leavitt told PolitiFact in a statement. 

But Biden didn’t put Harris in charge of overseeing border security.

In a meeting with Harris in March 2021 , Biden said Harris would lead U.S. diplomatic efforts and work with officials in Mexico, Guatemala, El Salvador and Honduras to stem migration to the U.S. Biden said that when he was vice president, he "got a similar assignment" and that the Obama administration secured $700 million to help countries in Central America.

"One of the ways we learned is that if you deal with the problems in country, it benefits everyone. It benefits us, it benefits the people, and it grows the economies there," Biden said then.

Biden asked Harris "to be the chief diplomatic officer with Central American countries" and address the root causes that make people leave their home countries, said Michelle Mittelstadt, communications director for the Migration Policy Institute, a nonpartisan think tank. 

Managing the border "has always been" the Homeland Security secretary’s role, Mittelstadt said.

Biden tasked Harris with addressing the root causes influencing people’s decisions to migrate to the United States.

"I’ve asked her … to lead our efforts with Mexico and the Northern Triangle and the countries that help — are going to need help in stemming the movement of so many folks, stemming the migration to our southern border," Biden said in March 2021.

Biden held a similar role as vice president to former President Barack Obama. In a 2015 New York Times opinion piece, Biden said he would work with the Northern Triangle’s leaders on security, anti-corruption and investment efforts in the region.

"Donald Trump’s administration didn’t really sustain this strategy, but what Harris sought to revive in 2021 ran along the same lines," said Adam Isacson, defense oversight director at Washington Office on Latin America, a group advocating for human rights in the Americas. 

Within weeks of Biden’s remarks about Harris’ role, Republicans including Texas Gov. Greg Abbott and Rep. Steve Scalise, R-La., began calling Harris the " border czar " often in tandem with pointing out she had not yet been to the border.

In April 2021, when a reporter asked Harris whether she would visit the border, she said that her role is addressing the factors that make people leave their home countries, not managing the border.

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"The president has asked (Homeland Security) Secretary (Alejandro) Mayorkas to address what is going on at the border. And he has been working very hard at that, and it’s showing some progress because of his hard work," Harris said at an event . "I have been asked to lead the issue of dealing with root causes in the Northern Triangle, similar to what the then-vice president did many years ago."

Harris said she’d focus on economic struggles, violence, corruption and food insecurity in the countries. 

In June 2021, Harris visited El Paso, Texas, with Mayorkas. They outlined their responsibilities to reporters. Harris said she was addressing "the root causes of migration, predominantly out of Central America," and Mayorkas said, "It is my responsibility as the Secretary of Homeland Security to address the security and management of our border."

But this distinction didn’t stop critics from linking Harris with U.S.-Mexico border security. 

"The administration’s messaging on this in mid-2021 was not as clear as it should have been," Isacson said. "But at no time did Harris or the White House state that her duties included the U.S.-Mexico border, or border security."

Immigration experts said it’s hard to measure Harris’ success in her role, and that a "root causes" approach implies that the results will be seen long term, not immediately.

In July 2021, the administration published a strategy , with Harris writing the lead message, for confronting the factors that drive migration in Central America. The plan focused on economic insecurity, corruption, human rights, criminal gang violence and gender-based violence.

In March 2024, the administration said it secured more than $5.2 billion in private sector investments to the region. However, only about $1 billion has been distributed, the Partnership for Central America, a group working with the administration, reported .

The White House said the investments have generated more than 70,000 new jobs in Guatemala, Honduras and El Salvador, provided job training to 1 million people and expanded digital access to 4.5 million people. 

"Still, her engagement on this issue has been sporadic," Isacson said. "She has not traveled very often to the region or otherwise sought to make ‘root causes in Central America’ a central theme of her vice presidency."

Illegal immigration at the U.S. southern border from Guatemala, Honduras and El Salvador has dropped since 2021. Encounters with people from other countries, Venezuela, have risen . 

"But it’s hard to prove that U.S. assistance is a central reason" for the Northern Triangle countries’ decline, Isacson said.

The issues pushing people to leave Central American countries "are extremely complex and require deep restructuring of so much in those societies," said Cecilia Menjivar, a sociology professor at the University of California, Los Angeles who specializes on immigration. "So it’s very difficult for one person to change all that, even if it is a powerful person."

Immigration patterns at the U.S.-Mexico border have more to do with conditions in Latin American countries than "any U.S. policy," Mittelstadt said. 

For example, a humanitarian crisis in Venezuela has displaced nearly 8 million people since 2014, according to the United Nations. Political, economic and security crises in Cuba, Nicaragua, Haiti and Ecuador have also led to more migration from these countries, Mittelstadt said. 

In contrast, immigration encounters with people from El Salvador have dropped in past years, partly because of the country’s crime crackdown .

The Republican National Committee said Biden appointed Harris "to be his border czar to deal with illegal immigration...Harris was put in charge of stopping illegal immigration."

Biden tasked Harris with addressing the root causes that drive migration to the United States. He did not task her with controlling who and how many people enter the southern U.S. border. That's the Homeland Security secretary’s responsibility.

Experts say that seeing the results of addressing root causes driving people out of Guatemala, El Salvador and Honduras  — violence, economic insecurity and corruption — takes time.

The statement contains an element of truth, but it ignores critical facts that would give a different impression. We rate it Mostly False.

Read About Our Process

The Principles of the Truth-O-Meter

Our Sources

Truth Social, post , July 22, 2024

The Hill, House Republicans tee up vote condemning Harris as ‘border czar’ , July 23, 2024

C-SPAN, Sen. J.D. Vance campaign rally in Radford, Virginia , July 22, 2024

GOP, post on X , July 21, 2024

PolitiFact, Francis Suarez’s misleading claim about millions of migrants getting free cellphones, plane tickets , July 28, 2024

PolitiFact, There aren’t 20 million to 30 million immigrants in the U.S. illegally, as Sen. Marco Rubio claimed , June 11, 2024

The White House, Remarks by President Biden and Vice President Harris in a meeting on immigration , March 24, 2021

PolitiFact, Central America and the root causes of migration to the US , June 7, 2021

The New York Times, Joe Biden: A Plan for Central America , Jan. 29, 2015

The White House, Remarks by Vice President Harris at virtual roundtable of experts on the Northern Triangle , April 14, 2021

The White House, Remarks by Vice President Harris, Secretary of Homeland Security Mayorkas, Chairman Durbin, and Representative Escobar in press gaggle , June 25, 2021

Fox News, Obama-era DHS secretary: 'There's a real problem' when you have 'bipartisan outrage' , July 23, 2024

The White House, FACT SHEET: Strategy to address the root causes of migration in Central America , July 29, 2021

The White House, FACT SHEET: Vice President Harris announces public-private partnership has generated more than $5.2 billion in private sector commitments for Northern Central America , March 25, 2024

Migration Policy Institute, Shifting patterns and policies reshape migration to U.S.-Mexico border in major ways in 2023 , October 2023

United Nations High Commissioner for Refugees, Venezuela crisis explained , April 17, 2024

PolitiFact, Donald Trump fact-check: 2024 RNC speech in Milwaukee full of falsehoods about immigrants, economy , July 19, 2024

CBS News, The facts about Kamala Harris' role on immigration in the Biden administration , July 23, 2024

Email interview, Michelle Mittelstadt, communications director for the Migration Policy Institute, July 22, 2024

Email interview, Adam Isacson, defense oversight director at Washington Office on Latin America, July 22, 2024

Email interview, Henry Ziemer, research associate for the Center for Strategic and International Studies, July 22, 2024

Email interview, Cecilia Menjivar, sociology professor at the University of California, Los Angeles, July 22, 2024

Statement, Karoline Leavitt,  Trump campaign national press secretary, July 23, 2024

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'Border czar'? Kamala Harris assigned to tackle immigration's causes, not border security

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Harris’ struggles with immigration policy expose political vulnerabilities

Sergio Martínez-Beltrán

Jasmine Garsd

A look at Vice President Kamala Harris’ record on immigration

Vice President Kamala Harris, center, along with Department of Homeland Security Secretary, Alejandro Mayorkas, Rep. Veronica Escobar, a Democrat from Texas, and Sen. Dick Durbin, a Democrat from Illinois, tour a U.S. Customs and Border Protection facility in El Paso, Texas, U.S., in June 2021. Bloomberg/via Getty Images hide caption

As Vice President Kamala Harris works to secure the presidential nomination of the Democratic Party next month, her role on immigration policy is now in the spotlight.

Minutes after the President Joe Biden announced he was dropping out of the race and was endorsing Harris, Republicans started attacking her record on immigration and border policy.

“Joe Biden has now endorsed and fully supports his ‘Borders Czar’ Kamala Harris to be the Democrat candidate for president,” Gov. Greg Abbott, R-Texas, posted on X . “I think I will need to triple the border wall, razor wire barriers and National Guard on the border.”

Conservatives have often referred to Harris as the Biden administration’s "Border Czar," incorrectly claiming she was tasked with repairing the border.

“Kamala had one job,” said Nikki Haley earlier this month at the Republican National Convention. “One job. And that was to fix the border. Now imagine her in charge of the entire country.”

In reality, that was not Harris’ job.

She was tasked by Biden in 2021 to examine the root causes of migration from Central America, including poverty, violence, and corruption. At that time, unauthorized migration came primarily from Mexico and Central America.

She was never tapped to head immigration policy, which is the responsibility of Homeland Security Secretary Alejandro Mayorkas, who oversees all agencies in charge of the enforcement of immigration laws.

Three years later, this role could be Harris’ Achilles' heel. Her role in pushing for Biden’s immigration proposals have disenchanted Democrats and immigrant rights groups.

“I do think there is an opportunity here for Vice President Harris to have a more hopeful message around immigration than even the Biden administration has had in the past,” said Adriel Orozco, a senior policy counsel with the American Immigration Council.

Biden’s policy proposals have included severely restricting most asylum claims at the border and expediting the removal of unauthorized migrants, something immigrant rights groups have opposed.

Suyapa Portillo, a professor of Chicano/a-Latino/a Transnational Studies at Pitzer College, says Harris should try to separate herself from the Biden administration’s “slow move towards immigration reform,” and from the message of deterrence that “represents that conservatism from the Biden administration and the Democratic Party — the old guard.”

Vice President Kamala Harris speaks from the South Lawn of the White House in Washington on Monday during an event with NCAA college athletes. This was her first public appearance since President Joe Biden endorsed her to be the next presidential nominee of the Democratic Party. Susan Walsh/AP hide caption

A changed immigration landscape

If Harris secures the presidential nomination, she will be facing a very different immigration landscape than back in 2021, when she was tasked with addressing its root causes.

Last year, unauthorized crossings at the U.S.-Mexico border hit an all-time high. In December 2023, the number of encounters reached nearly 250,000, according to U.S. Customs and Border Protection.

For the last four months, the number of migrants trying to cross illegally has dramatically dropped. That’s due in part due to Mexico’s enforcement, and Biden’s policies, which include severely restricting most asylum claims at the border .

But migration has diversified in the last few years. There is an unprecedented crisis of global displacement. When Harris was elected in 2020, 90% of immigration hailed from Mexico and Central America, according to an analysis by the Migration Policy Institute .

In 2023, only 49 percent of the encounters were with migrants from those four countries.

Today, immigrants arriving at the US Mexico border are fleeing from the crisis in Venezuela, the war in Ukraine and cartel violence in Ecuador, just to name a few.

A mixed track record

Harris’ record on immigration has been marred by policy blunders.

Her first international trip as vice president made clear her approach on immigration: addressing root causes to stop illegal migration.

In the summer of 2021, she traveled to Guatemala to meet with then-President Alejandro Giammattei. In a speech, she said that the Biden administration was committed to helping Guatemalans find “hope at home.”

But she also warned prospective migrants.

“I want to be clear to folks in this region who are thinking about making that dangerous trek to the United States-Mexico border,” Harris said. “Do not come. Do not come.”

Those three words: Do not come, were seen by many as a blunder . Latino advocates criticized the statement as paternalistic and tone-deaf, given the violent crises rattling the region.

For many immigrant advocates, that statement continues to haunt Harris’ candidacy.

“She needs to separate from Biden,” Portillo says. “She needs to speak to TPS holders and DACA holders for a plan for legalization, and a border plan that does not include throwing children in jail.”

But Harris has maintained that deterrence is essential: last year she announced $950 million in pledges from private companies to support Central American communities.

Judith Browne Dianis, the executive director of the D.C.-based civil rights organization Advancement Project, says Harris will now have to explain how she would tackle immigration if she were elected president.

“Is it a humanitarian response, or is there a criminalization response?” Dianis says. “We don’t need more criminalization. We don’t need a border wall. We need to get to the root causes. We need to make sure that people are taken care of.”

Criticism from GOP for not visiting the border enough

In early June 2021, Harris came under fire for not visiting the border. In an interview with NBC News , she was asked about Republican critiques.

“And I haven’t been to Europe,” Harris fired back. “I mean, I don’t understand the point that you are making.”

Her response was criticized by conservatives as disconnected and flippant towards border communities and agencies which have felt overwhelmed by the influx of migrants in recent years.

Harris’ first trip to the border came later that month, to El Paso, Texas. At a press conference there, she stated that migration “cannot be reduced to a political issue. We’re talking about children, we’re talking about families, we are talking about suffering.”

Earlier this year, Harris backed a Biden-endorsed bipartisan bill on border enforcement.

The measure would have added immigration detention beds, increased the number of U.S. Customs and Border Protection personnel and asylum officers, and funded technology to detect fentanyl smuggling at the Southern border. It passed in the Senate but failed to move forward after former President Donald Trump urged House Republicans to kill it.

But for many immigration advocates, Harris is their candidate.

Kerri Talbot, the executive director of the national advocacy organization Immigration Hub, called Harris a “strong defender and champion of American families, including their immigrant family members” in a statement Sunday.

“We have no doubt that she can step up to the challenge, counter Trump and JD Vance’s rhetoric and dark vision for democracy, and protect the progress we’ve made while delivering transformative change for our immigration system,” Talbot said.

Before VP, Harris was already pushing for reform

But Harris involvement with immigration goes way beyond her vice presidency, and her actions show a shift in policies.

When she was the district attorney in San Francisco, she backed a city policy that turned over to federal immigration authorities migrant juveniles suspected of committing a felony. In 2019, Harris’ campaign told CNN “this policy could have been applied more fairly.”

But as California’s attorney general, she had a different stance. In a 2015 interview with CBS Los Angeles, Harris said, “Unfortunately, I know what crime looks like. I know what a criminal looks like who's committing a crime. An undocumented immigrant is not a criminal.”

Harris became U.S. senator from California in 2017.

She was part of a Senate hearing on the Trump administration’s highly controversial separation policy, in which undocumented migrant children were separated from their parents at the U.S.-Mexico border, as a form of immigration deterrence. She questioned Trump officials, and said separating families can cause “irreparable harm.”

In 2019, she and several other Democratic senators reintroduced the Reunite Every Unaccompanied Newborn Infant, Toddler and Other Children Expeditiously (REUNITE) Act , “to expedite the reunification of separated immigrant families and promote humane alternatives for asylum-seeking immigrant families.”

When she ran for president in 2019, Harris unveiled an immigration plan that called for a path to citizenship for recipients of Deferred Action on Childhood Arrivals program, best known as DACA.

That’s similar to what the Biden-Harris campaign promised when they run in 2020. However, none of that has happened during the administration.

Consciousness

The hard problem of...psychology, how psychology was the first science of consciousness..

Posted July 20, 2024 | Reviewed by Tyler Woods

The hard problem of consciousness was made famous by the philosopher David Chalmers. He presented it at the first Toward a Science of Consciousness conference in 1994. He defined it as the problem of “how and why” physical processes in the brain give rise to subjective conscious experiences (i.e., the taste of wine or seeing the colors of a rainbow). He further elaborated on the analysis a few years later in his influential book, The Conscious Mind: In Search of a Fundamental Theory .

Part of what made his analysis helpful was that Chalmers differentiated what he called the “easy” problems from the “hard” ones. The easy problems deal with brain functions and behavior. For example, to explain why a frog zapped a fly with its tongue, we can think of its brain as a kind of neuro-information processing center that governs the frog’s body. That system has a template that picks up visual stimuli that behave the way flying insects behave. And there are motor reflex programs that shoot the tongue out.

But does the frog actually see the fly? Does success or failure at snatching the fly result in feelings of pleasure or frustration? Is there anything that it is like to be a frog from the inside? Or, are frogs “zombies” (i.e., the philosophical term for there being no subjective conscious experience at all)? As lively as frogs are “from the outside,” it is an open scientific question if they have subjective conscious experiences.

In The Conscious Mind , Chalmers labeled the easy problems as being “psychological” in nature. These are problems having to do with behavioral outputs and related neurocognitive functions, but have no direct relation to subjective experience. In contrast, he labeled subjective experiences the “phenomenal” aspects of the mind. The difference between the two is clear in the case of the frog. We know a lot about the frog's neurocognitive activity, defined in terms of the functional relations between the frog’s brain and its behavior in its environmental context. However, we know little about its phenomenal experience, including the question of whether it has any.

UTOK, the Unified Theory of Knowledge 1 , aligns with Chalmer’s analysis in many regards. However, it comes at the problem from an entirely new angle. Chalmers was first trained as a physicist, and then he became a philosopher. As such, he comes at the question from the vantage point of its philosophical nature. This can be framed by the question: What is consciousness, and how does it fit inside the physical universe?

I am trained as a clinical psychologist. My journey toward a unified theory of psychology started at about the time as the new science of consciousness was being born. At that time, I was learning to become a psychotherapist and wanted a coherent scientific framework in which to ground my approach. It turns out there is not one. Why? Because, as I have detailed in many blogs, journal articles, and two books 1,2,3,4,5 , psychology is not a coherent discipline. It lacks a coherent identity and subject matter. It is something I have labeled "the problem of psychology."

Why and how did the problem of psychology emerge? Psychology started out as the science of consciousness. We can see this in two of its earliest established lines. First there were the psychophysicists in the middle of the 19 th century. They looked at the relationship between physical stimuli and sensation and developed the “psychophysical laws” that continue to impact research today (e.g., absolute threshold and just noticeable difference). Then came Wilhelm Wundt, who officially founded the science of psychology in 1879. He framed it as the science of human consciousness and trained folks in the methods of introspection. Wundt’s methods and findings came under attack by both functionalists and behaviorists, and his approach, which came to be known as structuralism, died.

The reason it died was because there was “gap” when it came to subjective experience. The gap was both epistemological and ontological. The epistemological gap was the fact that the nature of science is that it is based on behaviors that can be measured and verified via intersubjective agreement. The ontological gap is what Chalmers points to as the hard problem.

Behaviorists like John Watson thought of the brain as being like a set of wires on a switchboard, and behavior was produced by how electrical impulses cause reflexes. But consciousness was a mystery and was banned from behavioral psychology. Decades later, the cognitive revolution happened and cognitive psychology embraced the concept of the brain as a kind of neuro-information processing system. The result has been that psychology became aligned with functional analyses of behavior and mental processes, analyzed through the methods of science.

However, as I have made clear in my writings on the problem of psychology, this means psychology completely failed to solve the ontological problem. That is, the science of psychology has been defined as a methods-based discipline—psychologists do not have a clear, consensually agreed-upon framework for what they mean by “the mind.”

The Current Science of Consciousness Is Round 2

The 30 years since the first Toward a Science of Consciousness conference have seen an explosion of interest in consciousness. However, despite all the activity, serious problems are emerging. A recent, massive review on the “landscape” of theories of consciousness identified almost 85 different angles and approaches! There is debate about whether progress is being made on the hard problem. Consider that in 1998, the neuroscientist Christoph Koch bet Chalmers a fine case of wine that progress in the field would be made in the next 25 years at answering the question of what consciousness is. Koch lost the bet and paid up in 2023 . There has also been serious infighting between different approaches . For example, last year Integrated Information Theory, which is one of the more popular and heavily researched approaches, came under attack in the form of an open letter of over 100 scholars accusing it of being “pseudoscience.” This attack was reminiscent of the attack the behaviorists launched against Wundt and the structuralists.

My father is an emeritus professor of history. A common phrase in our household growing up was one of the great adage of historians: Those who fail to understand history are doomed to repeat it.

Given that scientific psychology started out being defined as the science of consciousness but failed, one might think that the history of psychology and the problem that emerged would be relevant to the new science of consciousness. However, as far as I could tell, not a single approach in the massive review on the landscape of consciousness addresses the problem of psychology. Instead, the ideas were mostly from philosophers, neuroscientists, and physicists grappling with how consciousness fits in the universe as defined by physics. As a theoretical psychologist who knows the history of psychology, I am here to say, “We have been here before!”

The hard problem of consciousness surfaced more than a century ago, and it ended up breaking psychology. As such, maybe we need a new frame on this problem. Perhaps we should return to the problem of psychology, and see if we can grip the problem from that angle. When you do this from the perspective of UTOK a whole new solution to the difficulties becomes apparent 1 .

1. Henriques, G. (2022). A new synthesis for solving the problem of psychology: Addressing the Enlightenment Gap . Palgrave MacMillan. (see Appendix C for the specific chapter references).

2. Henriques, G. R. (2011). A new unified theory of psychology . New York: Springer.

3. Henriques, G. (2008). The problem of psychology and the integration of human knowledge: Contrasting Wilson’s Consilience with the Tree of Knowledge System. Theory and Psychology, 18, 731-755.

4. Henriques, G. R. (2004). Psychology defined. Journal of Clinical Psychology, 60, 1207-1221.

5. Henriques, G. R. (2003). The tree of knowledge system and the theoretical unification of psychology. Review of General Psychology, 7, 150-182.

Note that the above references provide a systematic argument for the clarifying the nature of problem of psychology and its solution. The Unified Theory of Knowledge is a new philosophical system that coherently aligns the natural sciences, the human psyche, and the collective wisdom traditions. The result transforms our understanding of the hard problem into a resolution.

Gregg Henriques, Ph.D. , is a professor of psychology at James Madison University.

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