report in research process

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

One of the reasons for carrying out research is to add to the existing body of knowledge. Therefore, when conducting research, you need to document your processes and findings in a research report. 

With a research report, it is easy to outline the findings of your systematic investigation and any gaps needing further inquiry. Knowing how to create a detailed research report will prove useful when you need to conduct research.  

What is a Research Report?

A research report is a well-crafted document that outlines the processes, data, and findings of a systematic investigation. It is an important document that serves as a first-hand account of the research process, and it is typically considered an objective and accurate source of information.

In many ways, a research report can be considered as a summary of the research process that clearly highlights findings, recommendations, and other important details. Reading a well-written research report should provide you with all the information you need about the core areas of the research process.

Features of a Research Report 

So how do you recognize a research report when you see one? Here are some of the basic features that define a research report. 

• It is a detailed presentation of research processes and findings, and it usually includes tables and graphs. 
• It is written in a formal language.
• A research report is usually written in the third person.
• It is informative and based on first-hand verifiable information.
• It is formally structured with headings, sections, and bullet points.
• It always includes recommendations for future actions. 

Types of Research Report 

The research report is classified based on two things; nature of research and target audience.

Nature of Research

• Qualitative Research Report

This is the type of report written for qualitative research . It outlines the methods, processes, and findings of a qualitative method of systematic investigation. In educational research, a qualitative research report provides an opportunity for one to apply his or her knowledge and develop skills in planning and executing qualitative research projects.

A qualitative research report is usually descriptive in nature. Hence, in addition to presenting details of the research process, you must also create a descriptive narrative of the information.

• Quantitative Research Report

A quantitative research report is a type of research report that is written for quantitative research. Quantitative research is a type of systematic investigation that pays attention to numerical or statistical values in a bid to find answers to research questions. 

In this type of research report, the researcher presents quantitative data to support the research process and findings. Unlike a qualitative research report that is mainly descriptive, a quantitative research report works with numbers; that is, it is numerical in nature. 

Target Audience

Also, a research report can be said to be technical or popular based on the target audience. If you’re dealing with a general audience, you would need to present a popular research report, and if you’re dealing with a specialized audience, you would submit a technical report. 

• Technical Research Report

A technical research report is a detailed document that you present after carrying out industry-based research. This report is highly specialized because it provides information for a technical audience; that is, individuals with above-average knowledge in the field of study. 

In a technical research report, the researcher is expected to provide specific information about the research process, including statistical analyses and sampling methods. Also, the use of language is highly specialized and filled with jargon. 

Examples of technical research reports include legal and medical research reports. 

• Popular Research Report

A popular research report is one for a general audience; that is, for individuals who do not necessarily have any knowledge in the field of study. A popular research report aims to make information accessible to everyone. 

It is written in very simple language, which makes it easy to understand the findings and recommendations. Examples of popular research reports are the information contained in newspapers and magazines. 

Importance of a Research Report 

• Knowledge Transfer: As already stated above, one of the reasons for carrying out research is to contribute to the existing body of knowledge, and this is made possible with a research report. A research report serves as a means to effectively communicate the findings of a systematic investigation to all and sundry.  
• Identification of Knowledge Gaps: With a research report, you’d be able to identify knowledge gaps for further inquiry. A research report shows what has been done while hinting at other areas needing systematic investigation. 
• In market research, a research report would help you understand the market needs and peculiarities at a glance. 
• A research report allows you to present information in a precise and concise manner. 
• It is time-efficient and practical because, in a research report, you do not have to spend time detailing the findings of your research work in person. You can easily send out the report via email and have stakeholders look at it. 

Guide to Writing a Research Report

A lot of detail goes into writing a research report, and getting familiar with the different requirements would help you create the ideal research report. A research report is usually broken down into multiple sections, which allows for a concise presentation of information.

Structure and Example of a Research Report

This is the title of your systematic investigation. Your title should be concise and point to the aims, objectives, and findings of a research report. 

• Table of Contents

This is like a compass that makes it easier for readers to navigate the research report.

An abstract is an overview that highlights all important aspects of the research including the research method, data collection process, and research findings. Think of an abstract as a summary of your research report that presents pertinent information in a concise manner. 

An abstract is always brief; typically 100-150 words and goes straight to the point. The focus of your research abstract should be the 5Ws and 1H format – What, Where, Why, When, Who and How. 

• Introduction

Here, the researcher highlights the aims and objectives of the systematic investigation as well as the problem which the systematic investigation sets out to solve. When writing the report introduction, it is also essential to indicate whether the purposes of the research were achieved or would require more work.

In the introduction section, the researcher specifies the research problem and also outlines the significance of the systematic investigation. Also, the researcher is expected to outline any jargons and terminologies that are contained in the research.  

• Literature Review

A literature review is a written survey of existing knowledge in the field of study. In other words, it is the section where you provide an overview and analysis of different research works that are relevant to your systematic investigation. 

It highlights existing research knowledge and areas needing further investigation, which your research has sought to fill. At this stage, you can also hint at your research hypothesis and its possible implications for the existing body of knowledge in your field of study. 

• An Account of Investigation

This is a detailed account of the research process, including the methodology, sample, and research subjects. Here, you are expected to provide in-depth information on the research process including the data collection and analysis procedures. 

In a quantitative research report, you’d need to provide information surveys, questionnaires and other quantitative data collection methods used in your research. In a qualitative research report, you are expected to describe the qualitative data collection methods used in your research including interviews and focus groups. 

In this section, you are expected to present the results of the systematic investigation. 

This section further explains the findings of the research, earlier outlined. Here, you are expected to present a justification for each outcome and show whether the results are in line with your hypotheses or if other research studies have come up with similar results.

• Conclusions

This is a summary of all the information in the report. It also outlines the significance of the entire study. 

• References and Appendices

This section contains a list of all the primary and secondary research sources. 

Tips for Writing a Research Report

• Define the Context for the Report

As is obtainable when writing an essay, defining the context for your research report would help you create a detailed yet concise document. This is why you need to create an outline before writing so that you do not miss out on anything. 

• Define your Audience

Writing with your audience in mind is essential as it determines the tone of the report. If you’re writing for a general audience, you would want to present the information in a simple and relatable manner. For a specialized audience, you would need to make use of technical and field-specific terms. 

• Include Significant Findings

The idea of a research report is to present some sort of abridged version of your systematic investigation. In your report, you should exclude irrelevant information while highlighting only important data and findings. 

• Include Illustrations

Your research report should include illustrations and other visual representations of your data. Graphs, pie charts, and relevant images lend additional credibility to your systematic investigation.

• Choose the Right Title

A good research report title is brief, precise, and contains keywords from your research. It should provide a clear idea of your systematic investigation so that readers can grasp the entire focus of your research from the title. 

• Proofread the Report

Before publishing the document, ensure that you give it a second look to authenticate the information. If you can, get someone else to go through the report, too, and you can also run it through proofreading and editing software. 

How to Gather Research Data for Your Report  

• Understand the Problem

Every research aims at solving a specific problem or set of problems, and this should be at the back of your mind when writing your research report. Understanding the problem would help you to filter the information you have and include only important data in your report. 

• Know what your report seeks to achieve

This is somewhat similar to the point above because, in some way, the aim of your research report is intertwined with the objectives of your systematic investigation. Identifying the primary purpose of writing a research report would help you to identify and present the required information accordingly. 

• Identify your audience

Knowing your target audience plays a crucial role in data collection for a research report. If your research report is specifically for an organization, you would want to present industry-specific information or show how the research findings are relevant to the work that the company does. 

• Create Surveys/Questionnaires

A survey is a research method that is used to gather data from a specific group of people through a set of questions. It can be either quantitative or qualitative. 

A survey is usually made up of structured questions, and it can be administered online or offline. However, an online survey is a more effective method of research data collection because it helps you save time and gather data with ease. 

You can seamlessly create an online questionnaire for your research on Formplus . With the multiple sharing options available in the builder, you would be able to administer your survey to respondents in little or no time. 

Formplus also has a report summary too l that you can use to create custom visual reports for your research.

Step-by-step guide on how to create an online questionnaire using Formplus  

• Sign into Formplus

In the Formplus builder, you can easily create different online questionnaires for your research by dragging and dropping preferred fields into your form. To access the Formplus builder, you will need to create an account on Formplus. 

Once you do this, sign in to your account and click on Create new form to begin. 

• Edit Form Title : Click on the field provided to input your form title, for example, “Research Questionnaire.”
• Edit Form : Click on the edit icon to edit the form.
• Add Fields : Drag and drop preferred form fields into your form in the Formplus builder inputs column. There are several field input options for questionnaires in the Formplus builder. 
• Edit fields
• Click on “Save”
• Form Customization: With the form customization options in the form builder, you can easily change the outlook of your form and make it more unique and personalized. Formplus allows you to change your form theme, add background images, and even change the font according to your needs. 
• Multiple Sharing Options: Formplus offers various form-sharing options, which enables you to share your questionnaire with respondents easily. You can use the direct social media sharing buttons to share your form link to your organization’s social media pages.  You can also send out your survey form as email invitations to your research subjects too. If you wish, you can share your form’s QR code or embed it on your organization’s website for easy access. 

Conclusion  

Always remember that a research report is just as important as the actual systematic investigation because it plays a vital role in communicating research findings to everyone else. This is why you must take care to create a concise document summarizing the process of conducting any research. 

In this article, we’ve outlined essential tips to help you create a research report. When writing your report, you should always have the audience at the back of your mind, as this would set the tone for the document. 

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Home » Research Process – Steps, Examples and Tips

Research Process – Steps, Examples and Tips

Table of Contents

Research Process

Definition:

Research Process is a systematic and structured approach that involves the collection, analysis, and interpretation of data or information to answer a specific research question or solve a particular problem.

Research Process Steps

Research Process Steps are as follows:

Identify the Research Question or Problem

This is the first step in the research process. It involves identifying a problem or question that needs to be addressed. The research question should be specific, relevant, and focused on a particular area of interest.

Conduct a Literature Review

Once the research question has been identified, the next step is to conduct a literature review. This involves reviewing existing research and literature on the topic to identify any gaps in knowledge or areas where further research is needed. A literature review helps to provide a theoretical framework for the research and also ensures that the research is not duplicating previous work.

Formulate a Hypothesis or Research Objectives

Based on the research question and literature review, the researcher can formulate a hypothesis or research objectives. A hypothesis is a statement that can be tested to determine its validity, while research objectives are specific goals that the researcher aims to achieve through the research.

Design a Research Plan and Methodology

This step involves designing a research plan and methodology that will enable the researcher to collect and analyze data to test the hypothesis or achieve the research objectives. The research plan should include details on the sample size, data collection methods, and data analysis techniques that will be used.

Collect and Analyze Data

This step involves collecting and analyzing data according to the research plan and methodology. Data can be collected through various methods, including surveys, interviews, observations, or experiments. The data analysis process involves cleaning and organizing the data, applying statistical and analytical techniques to the data, and interpreting the results.

Interpret the Findings and Draw Conclusions

After analyzing the data, the researcher must interpret the findings and draw conclusions. This involves assessing the validity and reliability of the results and determining whether the hypothesis was supported or not. The researcher must also consider any limitations of the research and discuss the implications of the findings.

Communicate the Results

Finally, the researcher must communicate the results of the research through a research report, presentation, or publication. The research report should provide a detailed account of the research process, including the research question, literature review, research methodology, data analysis, findings, and conclusions. The report should also include recommendations for further research in the area.

Review and Revise

The research process is an iterative one, and it is important to review and revise the research plan and methodology as necessary. Researchers should assess the quality of their data and methods, reflect on their findings, and consider areas for improvement.

Ethical Considerations

Throughout the research process, ethical considerations must be taken into account. This includes ensuring that the research design protects the welfare of research participants, obtaining informed consent, maintaining confidentiality and privacy, and avoiding any potential harm to participants or their communities.

Dissemination and Application

The final step in the research process is to disseminate the findings and apply the research to real-world settings. Researchers can share their findings through academic publications, presentations at conferences, or media coverage. The research can be used to inform policy decisions, develop interventions, or improve practice in the relevant field.

Research Process Example

Following is a Research Process Example:

Research Question : What are the effects of a plant-based diet on athletic performance in high school athletes?

Step 1: Background Research Conduct a literature review to gain a better understanding of the existing research on the topic. Read academic articles and research studies related to plant-based diets, athletic performance, and high school athletes.

Step 2: Develop a Hypothesis Based on the literature review, develop a hypothesis that a plant-based diet positively affects athletic performance in high school athletes.

Step 3: Design the Study Design a study to test the hypothesis. Decide on the study population, sample size, and research methods. For this study, you could use a survey to collect data on dietary habits and athletic performance from a sample of high school athletes who follow a plant-based diet and a sample of high school athletes who do not follow a plant-based diet.

Step 4: Collect Data Distribute the survey to the selected sample and collect data on dietary habits and athletic performance.

Step 5: Analyze Data Use statistical analysis to compare the data from the two samples and determine if there is a significant difference in athletic performance between those who follow a plant-based diet and those who do not.

Step 6 : Interpret Results Interpret the results of the analysis in the context of the research question and hypothesis. Discuss any limitations or potential biases in the study design.

Step 7: Draw Conclusions Based on the results, draw conclusions about whether a plant-based diet has a significant effect on athletic performance in high school athletes. If the hypothesis is supported by the data, discuss potential implications and future research directions.

Step 8: Communicate Findings Communicate the findings of the study in a clear and concise manner. Use appropriate language, visuals, and formats to ensure that the findings are understood and valued.

Applications of Research Process

The research process has numerous applications across a wide range of fields and industries. Some examples of applications of the research process include:

• Scientific research: The research process is widely used in scientific research to investigate phenomena in the natural world and develop new theories or technologies. This includes fields such as biology, chemistry, physics, and environmental science.
• Social sciences : The research process is commonly used in social sciences to study human behavior, social structures, and institutions. This includes fields such as sociology, psychology, anthropology, and economics.
• Education: The research process is used in education to study learning processes, curriculum design, and teaching methodologies. This includes research on student achievement, teacher effectiveness, and educational policy.
• Healthcare: The research process is used in healthcare to investigate medical conditions, develop new treatments, and evaluate healthcare interventions. This includes fields such as medicine, nursing, and public health.
• Business and industry : The research process is used in business and industry to study consumer behavior, market trends, and develop new products or services. This includes market research, product development, and customer satisfaction research.
• Government and policy : The research process is used in government and policy to evaluate the effectiveness of policies and programs, and to inform policy decisions. This includes research on social welfare, crime prevention, and environmental policy.

Purpose of Research Process

The purpose of the research process is to systematically and scientifically investigate a problem or question in order to generate new knowledge or solve a problem. The research process enables researchers to:

• Identify gaps in existing knowledge: By conducting a thorough literature review, researchers can identify gaps in existing knowledge and develop research questions that address these gaps.
• Collect and analyze data : The research process provides a structured approach to collecting and analyzing data. Researchers can use a variety of research methods, including surveys, experiments, and interviews, to collect data that is valid and reliable.
• Test hypotheses : The research process allows researchers to test hypotheses and make evidence-based conclusions. Through the systematic analysis of data, researchers can draw conclusions about the relationships between variables and develop new theories or models.
• Solve problems: The research process can be used to solve practical problems and improve real-world outcomes. For example, researchers can develop interventions to address health or social problems, evaluate the effectiveness of policies or programs, and improve organizational processes.
• Generate new knowledge : The research process is a key way to generate new knowledge and advance understanding in a given field. By conducting rigorous and well-designed research, researchers can make significant contributions to their field and help to shape future research.

Tips for Research Process

Here are some tips for the research process:

• Start with a clear research question : A well-defined research question is the foundation of a successful research project. It should be specific, relevant, and achievable within the given time frame and resources.
• Conduct a thorough literature review: A comprehensive literature review will help you to identify gaps in existing knowledge, build on previous research, and avoid duplication. It will also provide a theoretical framework for your research.
• Choose appropriate research methods: Select research methods that are appropriate for your research question, objectives, and sample size. Ensure that your methods are valid, reliable, and ethical.
• Be organized and systematic: Keep detailed notes throughout the research process, including your research plan, methodology, data collection, and analysis. This will help you to stay organized and ensure that you don’t miss any important details.
• Analyze data rigorously: Use appropriate statistical and analytical techniques to analyze your data. Ensure that your analysis is valid, reliable, and transparent.
• I nterpret results carefully : Interpret your results in the context of your research question and objectives. Consider any limitations or potential biases in your research design, and be cautious in drawing conclusions.
• Communicate effectively: Communicate your research findings clearly and effectively to your target audience. Use appropriate language, visuals, and formats to ensure that your findings are understood and valued.
• Collaborate and seek feedback : Collaborate with other researchers, experts, or stakeholders in your field. Seek feedback on your research design, methods, and findings to ensure that they are relevant, meaningful, and impactful.

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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Overview of research process.

The Research Process

Anything you write involves organization and a logical flow of ideas, so understanding the logic of the research process before beginning to write is essential. Simply put, you need to put your writing in the larger context—see the forest before you even attempt to see the trees.

In this brief introductory module, we’ll review the major steps in the research process, conceptualized here as a series of steps within a circle, with each step dependent on the previous one. The circle best depicts the recursive nature of the process; that is, once the process has been completed, the researcher may begin again by refining or expanding on the initial approach, or even pioneering a completely new approach to solving the problem.

Identify a Research Problem

You identify a research problem by first selecting a general topic that’s interesting to you and to the interests and specialties of your research advisor. Once identified, you’ll need to narrow it. For example, if teenage pregnancy is your general topic area, your specific topic could be a comparison of how teenage pregnancy affects young fathers and mothers differently.

Review the Literature

Find out what’s being asked or what’s already been done in the area by doing some exploratory reading. Discuss the topic with your advisor to gain additional insights, explore novel approaches, and begin to develop your research question, purpose statement, and hypothesis(es), if applicable.

Determine Research Question

A good research question is a question worth asking; one that poses a problem worth solving. A good question should:

• Be clear . It must be understandable to you and to others.
• Be researchable . It should be capable of developing into a manageable research design, so data may be collected in relation to it. Extremely abstract terms are unlikely to be suitable.
• Connect with established theory and research . There should be a literature on which you can draw to illuminate how your research question(s) should be approached.
• Be neither too broad nor too narrow. See Appendix A for a brief explanation of the narrowing process and how your research question, purpose statement, and hypothesis(es) are interconnected.

Appendix A Research Questions, Purpose Statement, Hypothesis(es)

Develop Research Methods

Once you’ve finalized your research question, purpose statement, and hypothesis(es), you’ll need to write your research proposal—a detailed management plan for your research project. The proposal is as essential to successful research as an architect’s plans are to the construction of a building.

See Appendix B to view the basic components of a research proposal.

Appendix B Components of a Research Proposal

Collect & Analyze Data

In Practical Research–Planning and Design (2005, 8th Edition), Leedy and Ormrod provide excellent advice for what the researcher does at this stage in the research process. The researcher now

• collects data that potentially relate to the problem,
• arranges the data into a logical organizational structure,
• analyzes and interprets the data to determine their meaning, 
• determines if the data resolve the research problem or not, and
• determines if the data support the hypothesis or not.

Document the Work

Because research reports differ by discipline, the most effective way for you to understand formatting and citations is to examine reports from others in your department or field. The library’s electronic databases provide a wealth of examples illustrating how others in your field document their research.

Communicate Your Research

Talk with your advisor about potential local, regional, or national venues to present your findings. And don’t sell yourself short: Consider publishing your research in related books or journals.

Refine/Expand, Pioneer

Earlier, we emphasized the fact that the research process, rather than being linear, is recursive—the reason we conceptualized the process as a series of steps within a circle. At this stage, you may need to revisit your research problem in the context of your findings. You might also investigate the implications of your work and identify new problems or refine your previous approach.

The process then begins anew . . . and you’ll once again move through the series of steps in the circle.

Continue to Module Two

Appendix C - Key Research Terms

• Academic Skills
• Reading, writing and referencing

Research reports

This resource will help you identify the common elements and basic format of a research report.

Research reports generally follow a similar structure and have common elements, each with a particular purpose. Learn more about each of these elements below.

Common elements of reports

Your title should be brief, topic-specific, and informative, clearly indicating the purpose and scope of your study. Include key words in your title so that search engines can easily access your work. For example:  Measurement of water around Station Pier.

An abstract is a concise summary that helps readers to quickly assess the content and direction of your paper. It should be brief, written in a single paragraph and cover: the scope and purpose of your report; an overview of methodology; a summary of the main findings or results; principal conclusions or significance of the findings; and recommendations made.

The information in the abstract must be presented in the same order as it is in your report. The abstract is usually written last when you have developed your arguments and synthesised the results.

The introduction creates the context for your research. It should provide sufficient background to allow the reader to understand and evaluate your study without needing to refer to previous publications. After reading the introduction your reader should understand exactly what your research is about, what you plan to do, why you are undertaking this research and which methods you have used. Introductions generally include:

• The rationale for the present study. Why are you interested in this topic? Why is this topic worth investigating?
• Key terms and definitions.
• An outline of the research questions and hypotheses; the assumptions or propositions that your research will test.

Not all research reports have a separate literature review section. In shorter research reports, the review is usually part of the Introduction.

A literature review is a critical survey of recent relevant research in a particular field. The review should be a selection of carefully organised, focused and relevant literature that develops a narrative ‘story’ about your topic. Your review should answer key questions about the literature:

• What is the current state of knowledge on the topic?
• What differences in approaches / methodologies are there?
• Where are the strengths and weaknesses of the research?
• What further research is needed? The review may identify a gap in the literature which provides a rationale for your study and supports your research questions and methodology.

The review is not just a summary of all you have read. Rather, it must develop an argument or a point of view that supports your chosen methodology and research questions.

The purpose of this section is to detail how you conducted your research so that others can understand and replicate your approach.

You need to briefly describe the subjects (if appropriate), any equipment or materials used and the approach taken. If the research method or method of data analysis is commonly used within your field of study, then simply reference the procedure. If, however, your methods are new or controversial then you need to describe them in more detail and provide a rationale for your approach. The methodology is written in the past tense and should be as concise as possible.

This section is a concise, factual summary of your findings, listed under headings appropriate to your research questions. It’s common to use tables and graphics. Raw data or details about the method of statistical analysis used should be included in the Appendices.

Present your results in a consistent manner. For example, if you present the first group of results as percentages, it will be confusing for the reader and difficult to make comparisons of data if later results are presented as fractions or as decimal values.

In general, you won’t discuss your results here. Any analysis of your results usually occurs in the Discussion section.

Notes on visual data representation:

• Graphs and tables may be used to reveal trends in your data, but they must be explained and referred to in adjacent accompanying text.
• Figures and tables do not simply repeat information given in the text: they summarise, amplify or complement it.
• Graphs are always referred to as ‘Figures’, and both axes must be clearly labelled.
• Tables must be numbered, and they must be able to stand-alone or make sense without your reader needing to read all of the accompanying text.

The Discussion responds to the hypothesis or research question. This section is where you interpret your results, account for your findings and explain their significance within the context of other research. Consider the adequacy of your sampling techniques, the scope and long-term implications of your study, any problems with data collection or analysis and any assumptions on which your study was based. This is also the place to discuss any disappointing results and address limitations.

Checklist for the discussion

• To what extent was each hypothesis supported?
• To what extent are your findings validated or supported by other research?
• Were there unexpected variables that affected your results?
• On reflection, was your research method appropriate?
• Can you account for any differences between your results and other studies?

Conclusions in research reports are generally fairly short and should follow on naturally from points raised in the Discussion. In this section you should discuss the significance of your findings. To what extent and in what ways are your findings useful or conclusive? Is further research required? If so, based on your research experience, what suggestions could you make about improvements to the scope or methodology of future studies?

Also, consider the practical implications of your results and any recommendations you could make. For example, if your research is on reading strategies in the primary school classroom, what are the implications of your results for the classroom teacher? What recommendations could you make for teachers?

A Reference List contains all the resources you have cited in your work, while a Bibliography is a wider list containing all the resources you have consulted (but not necessarily cited) in the preparation of your work. It is important to check which of these is required, and the preferred format, style of references and presentation requirements of your own department.

Appendices (singular ‘Appendix’) provide supporting material to your project. Examples of such materials include:

• Relevant letters to participants and organisations (e.g. regarding the ethics or conduct of the project).
• Background reports.
• Detailed calculations.

Different types of data are presented in separate appendices. Each appendix must be titled, labelled with a number or letter, and referred to in the body of the report.

Appendices are placed at the end of a report, and the contents are generally not included in the word count.

Fi nal ti p

While there are many common elements to research reports, it’s always best to double check the exact requirements for your task. You may find that you don’t need some sections, can combine others or have specific requirements about referencing, formatting or word limits.

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13.5 Research Process: Making Notes, Synthesizing Information, and Keeping a Research Log

Learning outcomes.

By the end of this section, you will be able to:

• Employ the methods and technologies commonly used for research and communication within various fields.
• Practice and apply strategies such as interpretation, synthesis, response, and critique to compose texts that integrate the writer’s ideas with those from appropriate sources.
• Analyze and make informed decisions about intellectual property based on the concepts that motivate them.
• Apply citation conventions systematically.

As you conduct research, you will work with a range of “texts” in various forms, including sources and documents from online databases as well as images, audio, and video files from the Internet. You may also work with archival materials and with transcribed and analyzed primary data. Additionally, you will be taking notes and recording quotations from secondary sources as you find materials that shape your understanding of your topic and, at the same time, provide you with facts and perspectives. You also may download articles as PDFs that you then annotate. Like many other students, you may find it challenging to keep so much material organized, accessible, and easy to work with while you write a major research paper. As it does for many of those students, a research log for your ideas and sources will help you keep track of the scope, purpose, and possibilities of any research project.

A research log is essentially a journal in which you collect information, ask questions, and monitor the results. Even if you are completing the annotated bibliography for Writing Process: Informing and Analyzing , keeping a research log is an effective organizational tool. Like Lily Tran’s research log entry, most entries have three parts: a part for notes on secondary sources, a part for connections to the thesis or main points, and a part for your own notes or questions. Record source notes by date, and allow room to add cross-references to other entries.

Summary of Assignment: Research Log

Your assignment is to create a research log similar to the student model. You will use it for the argumentative research project assigned in Writing Process: Integrating Research to record all secondary source information: your notes, complete publication data, relation to thesis, and other information as indicated in the right-hand column of the sample entry.

Another Lens. A somewhat different approach to maintaining a research log is to customize it to your needs or preferences. You can apply shading or color coding to headers, rows, and/or columns in the three-column format (for colors and shading). Or you can add columns to accommodate more information, analysis, synthesis, or commentary, formatting them as you wish. Consider adding a column for questions only or one for connections to other sources. Finally, consider a different visual format , such as one without columns. Another possibility is to record some of your comments and questions so that you have an aural rather than a written record of these.

Writing Center

At this point, or at any other point during the research and writing process, you may find that your school’s writing center can provide extensive assistance. If you are unfamiliar with the writing center, now is a good time to pay your first visit. Writing centers provide free peer tutoring for all types and phases of writing. Discussing your research with a trained writing center tutor can help you clarify, analyze, and connect ideas as well as provide feedback on works in progress.

Quick Launch: Beginning Questions

You may begin your research log with some open pages in which you freewrite, exploring answers to the following questions. Although you generally would do this at the beginning, it is a process to which you likely will return as you find more information about your topic and as your focus changes, as it may during the course of your research.

• What information have I found so far?
• What do I still need to find?
• Where am I most likely to find it?

These are beginning questions. Like Lily Tran, however, you will come across general questions or issues that a quick note or freewrite may help you resolve. The key to this section is to revisit it regularly. Written answers to these and other self-generated questions in your log clarify your tasks as you go along, helping you articulate ideas and examine supporting evidence critically. As you move further into the process, consider answering the following questions in your freewrite:

• What evidence looks as though it best supports my thesis?
• What evidence challenges my working thesis?
• How is my thesis changing from where it started?

Creating the Research Log

As you gather source material for your argumentative research paper, keep in mind that the research is intended to support original thinking. That is, you are not writing an informational report in which you simply supply facts to readers. Instead, you are writing to support a thesis that shows original thinking, and you are collecting and incorporating research into your paper to support that thinking. Therefore, a research log, whether digital or handwritten, is a great way to keep track of your thinking as well as your notes and bibliographic information.

In the model below, Lily Tran records the correct MLA bibliographic citation for the source. Then, she records a note and includes the in-text citation here to avoid having to retrieve this information later. Perhaps most important, Tran records why she noted this information—how it supports her thesis: The human race must turn to sustainable food systems that provide healthy diets with minimal environmental impact, starting now . Finally, she makes a note to herself about an additional visual to include in the final paper to reinforce the point regarding the current pressure on food systems. And she connects the information to other information she finds, thus cross-referencing and establishing a possible synthesis. Use a format similar to that in Table 13.4 to begin your own research log.

Types of Research Notes

Taking good notes will make the research process easier by enabling you to locate and remember sources and use them effectively. While some research projects requiring only a few sources may seem easily tracked, research projects requiring more than a few sources are more effectively managed when you take good bibliographic and informational notes. As you gather evidence for your argumentative research paper, follow the descriptions and the electronic model to record your notes. You can combine these with your research log, or you can use the research log for secondary sources and your own note-taking system for primary sources if a division of this kind is helpful. Either way, be sure to include all necessary information.

Bibliographic Notes

These identify the source you are using. When you locate a useful source, record the information necessary to find that source again. It is important to do this as you find each source, even before taking notes from it. If you create bibliographic notes as you go along, then you can easily arrange them in alphabetical order later to prepare the reference list required at the end of formal academic papers. If your instructor requires you to use MLA formatting for your essay, be sure to record the following information:

• Title of source
• Title of container (larger work in which source is included)
• Other contributors
• Publication date

When using MLA style with online sources, also record the following information:

• Date of original publication
• Date of access
• DOI (A DOI, or digital object identifier, is a series of digits and letters that leads to the location of an online source. Articles in journals are often assigned DOIs to ensure that the source can be located, even if the URL changes. If your source is listed with a DOI, use that instead of a URL.)

It is important to understand which documentation style your instructor will require you to use. Check the Handbook for MLA Documentation and Format and APA Documentation and Format styles . In addition, you can check the style guide information provided by the Purdue Online Writing Lab .

Informational Notes

These notes record the relevant information found in your sources. When writing your essay, you will work from these notes, so be sure they contain all the information you need from every source you intend to use. Also try to focus your notes on your research question so that their relevance is clear when you read them later. To avoid confusion, work with separate entries for each piece of information recorded. At the top of each entry, identify the source through brief bibliographic identification (author and title), and note the page numbers on which the information appears. Also helpful is to add personal notes, including ideas for possible use of the information or cross-references to other information. As noted in Writing Process: Integrating Research , you will be using a variety of formats when borrowing from sources. Below is a quick review of these formats in terms of note-taking processes. By clarifying whether you are quoting directly, paraphrasing, or summarizing during these stages, you can record information accurately and thus take steps to avoid plagiarism.

Direct Quotations, Paraphrases, and Summaries

A direct quotation is an exact duplication of the author’s words as they appear in the original source. In your notes, put quotation marks around direct quotations so that you remember these words are the author’s, not yours. One advantage of copying exact quotations is that it allows you to decide later whether to include a quotation, paraphrase, or summary. ln general, though, use direct quotations only when the author’s words are particularly lively or persuasive.

A paraphrase is a restatement of the author’s words in your own words. Paraphrase to simplify or clarify the original author’s point. In your notes, use paraphrases when you need to record details but not exact words.

A summary is a brief condensation or distillation of the main point and most important details of the original source. Write a summary in your own words, with facts and ideas accurately represented. A summary is useful when specific details in the source are unimportant or irrelevant to your research question. You may find you can summarize several paragraphs or even an entire article or chapter in just a few sentences without losing useful information. It is a good idea to note when your entry contains a summary to remind you later that it omits detailed information. See Writing Process Integrating Research for more detailed information and examples of quotations, paraphrases, and summaries and when to use them.

Other Systems for Organizing Research Logs and Digital Note-Taking

Students often become frustrated and at times overwhelmed by the quantity of materials to be managed in the research process. If this is your first time working with both primary and secondary sources, finding ways to keep all of the information in one place and well organized is essential.

Because gathering primary evidence may be a relatively new practice, this section is designed to help you navigate the process. As mentioned earlier, information gathered in fieldwork is not cataloged, organized, indexed, or shelved for your convenience. Obtaining it requires diligence, energy, and planning. Online resources can assist you with keeping a research log. Your college library may have subscriptions to tools such as Todoist or EndNote. Consult with a librarian to find out whether you have access to any of these. If not, use something like the template shown in Figure 13.8 , or another like it, as a template for creating your own research notes and organizational tool. You will need to have a record of all field research data as well as the research log for all secondary sources.

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Research report guide: Definition, types, and tips

Last updated

5 March 2024

Reviewed by

From successful product launches or software releases to planning major business decisions, research reports serve many vital functions. They can summarize evidence and deliver insights and recommendations to save companies time and resources. They can reveal the most value-adding actions a company should take.

However, poorly constructed reports can have the opposite effect! Taking the time to learn established research-reporting rules and approaches will equip you with in-demand skills. You’ll be able to capture and communicate information applicable to numerous situations and industries, adding another string to your resume bow.

• What are research reports?

A research report is a collection of contextual data, gathered through organized research, that provides new insights into a particular challenge (which, for this article, is business-related). Research reports are a time-tested method for distilling large amounts of data into a narrow band of focus.

Their effectiveness often hinges on whether the report provides:

Strong, well-researched evidence

Comprehensive analysis

Well-considered conclusions and recommendations

Though the topic possibilities are endless, an effective research report keeps a laser-like focus on the specific questions or objectives the researcher believes are key to achieving success. Many research reports begin as research proposals, which usually include the need for a report to capture the findings of the study and recommend a course of action.

A description of the research method used, e.g., qualitative, quantitative, or other

Statistical analysis

Causal (or explanatory) research (i.e., research identifying relationships between two variables)

Inductive research, also known as ‘theory-building’

Deductive research, such as that used to test theories

Action research, where the research is actively used to drive change

• Importance of a research report

Research reports can unify and direct a company's focus toward the most appropriate strategic action. Of course, spending resources on a report takes up some of the company's human and financial resources. Choosing when a report is called for is a matter of judgment and experience.

Some development models used heavily in the engineering world, such as Waterfall development, are notorious for over-relying on research reports. With Waterfall development, there is a linear progression through each step of a project, and each stage is precisely documented and reported on before moving to the next.

The pace of the business world is faster than the speed at which your authors can produce and disseminate reports. So how do companies strike the right balance between creating and acting on research reports?

The answer lies, again, in the report's defined objectives. By paring down your most pressing interests and those of your stakeholders, your research and reporting skills will be the lenses that keep your company's priorities in constant focus.

Honing your company's primary objectives can save significant amounts of time and align research and reporting efforts with ever-greater precision.

Some examples of well-designed research objectives are:

Proving whether or not a product or service meets customer expectations

Demonstrating the value of a service, product, or business process to your stakeholders and investors

Improving business decision-making when faced with a lack of time or other constraints

Clarifying the relationship between a critical cause and effect for problematic business processes

Prioritizing the development of a backlog of products or product features

Comparing business or production strategies

Evaluating past decisions and predicting future outcomes

• Features of a research report

Research reports generally require a research design phase, where the report author(s) determine the most important elements the report must contain.

Just as there are various kinds of research, there are many types of reports.

Here are the standard elements of almost any research-reporting format:

Report summary. A broad but comprehensive overview of what readers will learn in the full report. Summaries are usually no more than one or two paragraphs and address all key elements of the report. Think of the key takeaways your primary stakeholders will want to know if they don’t have time to read the full document.

Introduction. Include a brief background of the topic, the type of research, and the research sample. Consider the primary goal of the report, who is most affected, and how far along the company is in meeting its objectives.

Methods. A description of how the researcher carried out data collection, analysis, and final interpretations of the data. Include the reasons for choosing a particular method. The methods section should strike a balance between clearly presenting the approach taken to gather data and discussing how it is designed to achieve the report's objectives.

Data analysis. This section contains interpretations that lead readers through the results relevant to the report's thesis. If there were unexpected results, include here a discussion on why that might be. Charts, calculations, statistics, and other supporting information also belong here (or, if lengthy, as an appendix). This should be the most detailed section of the research report, with references for further study. Present the information in a logical order, whether chronologically or in order of importance to the report's objectives.

Conclusion. This should be written with sound reasoning, often containing useful recommendations. The conclusion must be backed by a continuous thread of logic throughout the report.

• How to write a research paper

With a clear outline and robust pool of research, a research paper can start to write itself, but what's a good way to start a research report?

Research report examples are often the quickest way to gain inspiration for your report. Look for the types of research reports most relevant to your industry and consider which makes the most sense for your data and goals.

The research report outline will help you organize the elements of your report. One of the most time-tested report outlines is the IMRaD structure:

Introduction

...and Discussion

Pay close attention to the most well-established research reporting format in your industry, and consider your tone and language from your audience's perspective. Learn the key terms inside and out; incorrect jargon could easily harm the perceived authority of your research paper.

Along with a foundation in high-quality research and razor-sharp analysis, the most effective research reports will also demonstrate well-developed:

Internal logic

Narrative flow

Conclusions and recommendations

Readability, striking a balance between simple phrasing and technical insight

How to gather research data for your report

The validity of research data is critical. Because the research phase usually occurs well before the writing phase, you normally have plenty of time to vet your data.

However, research reports could involve ongoing research, where report authors (sometimes the researchers themselves) write portions of the report alongside ongoing research.

One such research-report example would be an R&D department that knows its primary stakeholders are eager to learn about a lengthy work in progress and any potentially important outcomes.

However you choose to manage the research and reporting, your data must meet robust quality standards before you can rely on it. Vet any research with the following questions in mind:

Does it use statistically valid analysis methods?

Do the researchers clearly explain their research, analysis, and sampling methods?

Did the researchers provide any caveats or advice on how to interpret their data?

Have you gathered the data yourself or were you in close contact with those who did?

Is the source biased?

Usually, flawed research methods become more apparent the further you get through a research report.

It's perfectly natural for good research to raise new questions, but the reader should have no uncertainty about what the data represents. There should be no doubt about matters such as:

Whether the sampling or analysis methods were based on sound and consistent logic

What the research samples are and where they came from

The accuracy of any statistical functions or equations

Validation of testing and measuring processes

When does a report require design validation?

A robust design validation process is often a gold standard in highly technical research reports. Design validation ensures the objects of a study are measured accurately, which lends more weight to your report and makes it valuable to more specialized industries.

Product development and engineering projects are the most common research-report examples that typically involve a design validation process. Depending on the scope and complexity of your research, you might face additional steps to validate your data and research procedures.

If you’re including design validation in the report (or report proposal), explain and justify your data-collection processes. Good design validation builds greater trust in a research report and lends more weight to its conclusions.

Choosing the right analysis method

Just as the quality of your report depends on properly validated research, a useful conclusion requires the most contextually relevant analysis method. This means comparing different statistical methods and choosing the one that makes the most sense for your research.

Most broadly, research analysis comes down to quantitative or qualitative methods (respectively: measurable by a number vs subjectively qualified values). There are also mixed research methods, which bridge the need for merging hard data with qualified assessments and still reach a cohesive set of conclusions.

Some of the most common analysis methods in research reports include:

Significance testing (aka hypothesis analysis), which compares test and control groups to determine how likely the data was the result of random chance.

Regression analysis , to establish relationships between variables, control for extraneous variables , and support correlation analysis.

Correlation analysis (aka bivariate testing), a method to identify and determine the strength of linear relationships between variables. It’s effective for detecting patterns from complex data, but care must be exercised to not confuse correlation with causation.

With any analysis method, it's important to justify which method you chose in the report. You should also provide estimates of the statistical accuracy (e.g., the p-value or confidence level of quantifiable data) of any data analysis.

This requires a commitment to the report's primary aim. For instance, this may be achieving a certain level of customer satisfaction by analyzing the cause and effect of changes to how service is delivered. Even better, use statistical analysis to calculate which change is most positively correlated with improved levels of customer satisfaction.

• Tips for writing research reports

There's endless good advice for writing effective research reports, and it almost all depends on the subjective aims of the people behind the report. Due to the wide variety of research reports, the best tips will be unique to each author's purpose.

Consider the following research report tips in any order, and take note of the ones most relevant to you:

No matter how in depth or detailed your report might be, provide a well-considered, succinct summary. At the very least, give your readers a quick and effective way to get up to speed.

Pare down your target audience (e.g., other researchers, employees, laypersons, etc.), and adjust your voice for their background knowledge and interest levels

For all but the most open-ended research, clarify your objectives, both for yourself and within the report.

Leverage your team members’ talents to fill in any knowledge gaps you might have. Your team is only as good as the sum of its parts.

Justify why your research proposal’s topic will endure long enough to derive value from the finished report.

Consolidate all research and analysis functions onto a single user-friendly platform. There's no reason to settle for less than developer-grade tools suitable for non-developers.

What's the format of a research report?

The research-reporting format is how the report is structured—a framework the authors use to organize their data, conclusions, arguments, and recommendations. The format heavily determines how the report's outline develops, because the format dictates the overall structure and order of information (based on the report's goals and research objectives).

What's the purpose of a research-report outline?

A good report outline gives form and substance to the report's objectives, presenting the results in a readable, engaging way. For any research-report format, the outline should create momentum along a chain of logic that builds up to a conclusion or interpretation.

What's the difference between a research essay and a research report?

There are several key differences between research reports and essays:

Research report:

Ordered into separate sections

More commercial in nature

Often includes infographics

Heavily descriptive

More self-referential

Usually provides recommendations

Research essay

Does not rely on research report formatting

More academically minded

Normally text-only

Less detailed

Omits discussion of methods

Usually non-prescriptive 

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Research Process Steps: What they are + How To Follow

There are various approaches to conducting basic and applied research. This article explains the research process steps you should know. Whether you are doing basic research or applied research, there are many ways of doing it. In some ways, each research study is unique since it is conducted at a different time and place.

Conducting research might be difficult, but there are clear processes to follow. The research process starts with a broad idea for a topic. This article will assist you through the research process steps, helping you focus and develop your topic.

Research Process Steps

The research process consists of a series of systematic procedures that a researcher must go through in order to generate knowledge that will be considered valuable by the project and focus on the relevant topic.

To conduct effective research, you must understand the research process steps and follow them. Here are a few steps in the research process to make it easier for you:

Step 1: Identify the Problem

Finding an issue or formulating a research question is the first step. A well-defined research problem will guide the researcher through all stages of the research process, from setting objectives to choosing a technique. There are a number of approaches to get insight into a topic and gain a better understanding of it. Such as:

• A preliminary survey
• Case studies
• Interviews with a small group of people
• Observational survey

Step 2: Evaluate the Literature

A thorough examination of the relevant studies is essential to the research process . It enables the researcher to identify the precise aspects of the problem. Once a problem has been found, the investigator or researcher needs to find out more about it.

This stage gives problem-zone background. It teaches the investigator about previous research, how they were conducted, and its conclusions. The researcher can build consistency between his work and others through a literature review. Such a review exposes the researcher to a more significant body of knowledge and helps him follow the research process efficiently.

Step 3: Create Hypotheses

Formulating an original hypothesis is the next logical step after narrowing down the research topic and defining it. A belief solves logical relationships between variables. In order to establish a hypothesis, a researcher must have a certain amount of expertise in the field. 

It is important for researchers to keep in mind while formulating a hypothesis that it must be based on the research topic. Researchers are able to concentrate their efforts and stay committed to their objectives when they develop theories to guide their work.

Step 4: The Research Design

Research design is the plan for achieving objectives and answering research questions. It outlines how to get the relevant information. Its goal is to design research to test hypotheses, address the research questions, and provide decision-making insights.

The research design aims to minimize the time, money, and effort required to acquire meaningful evidence. This plan fits into four categories:

• Exploration and Surveys
• Data Analysis
• Observation

Step 5: Describe Population

Research projects usually look at a specific group of people, facilities, or how technology is used in the business. In research, the term population refers to this study group. The research topic and purpose help determine the study group.

Suppose a researcher wishes to investigate a certain group of people in the community. In that case, the research could target a specific age group, males or females, a geographic location, or an ethnic group. A final step in a study’s design is to specify its sample or population so that the results may be generalized.

Step 6: Data Collection

Data collection is important in obtaining the knowledge or information required to answer the research issue. Every research collected data, either from the literature or the people being studied. Data must be collected from the two categories of researchers. These sources may provide primary data.

• Questionnaire

Secondary data categories are:

• Literature survey
• Official, unofficial reports
• An approach based on library resources

Step 7: Data Analysis

During research design, the researcher plans data analysis. After collecting data, the researcher analyzes it. The data is examined based on the approach in this step. The research findings are reviewed and reported.

Data analysis involves a number of closely related stages, such as setting up categories, applying these categories to raw data through coding and tabulation, and then drawing statistical conclusions. The researcher can examine the acquired data using a variety of statistical methods.

Step 8: The Report-writing

After completing these steps, the researcher must prepare a report detailing his findings. The report must be carefully composed with the following in mind:

• The Layout: On the first page, the title, date, acknowledgments, and preface should be on the report. A table of contents should be followed by a list of tables, graphs, and charts if any.
• Introduction: It should state the research’s purpose and methods. This section should include the study’s scope and limits.
• Summary of Findings: A non-technical summary of findings and recommendations will follow the introduction. The findings should be summarized if they’re lengthy.
• Principal Report: The main body of the report should make sense and be broken up into sections that are easy to understand.
• Conclusion: The researcher should restate his findings at the end of the main text. It’s the final result.

LEARN ABOUT: 12 Best Tools for Researchers

The research process involves several steps that make it easy to complete the research successfully. The steps in the research process described above depend on each other, and the order must be kept. So, if we want to do a research project, we should follow the research process steps.

QuestionPro’s enterprise-grade research platform can collect survey and qualitative observation data. The tool’s nature allows for data processing and essential decisions. The platform lets you store and process data. Start immediately!

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Research Process: 8 Steps in Research Process

The research process starts with identifying a research problem and conducting a literature review to understand the context. The researcher sets research questions, objectives, and hypotheses based on the research problem.

A research study design is formed to select a sample size and collect data after processing and analyzing the collected data and the research findings presented in a research report.

What is the Research Process?

There are a variety of approaches to research in any field of investigation, irrespective of whether it is applied research or basic research. Each research study will be unique in some ways because of the particular time, setting, environment, and place it is being undertaken.

Nevertheless, all research endeavors share a common goal of furthering our understanding of the problem, and thus, all traverse through certain primary stages, forming a process called the research process.

Understanding the research process is necessary to effectively carry out research and sequence the stages inherent in the process.

How Research Process Work?

Eight steps research process is, in essence, part and parcel of a research proposal. It is an outline of the commitment that you intend to follow in executing a research study.

A close examination of the above stages reveals that each of these stages, by and large, is dependent upon the others.

One cannot analyze data (step 7) unless he has collected data (step 6). One cannot write a report (step 8) unless he has collected and analyzed data (step 7).

Research then is a system of interdependent related stages. Violation of this sequence can cause irreparable harm to the study.

It is also true that several alternatives are available to the researcher during each stage stated above. A research process can be compared with a route map.

The map analogy is useful for the researcher because several alternatives exist at each stage of the research process.

Choosing the best alternative in terms of time constraints, money, and human resources in our research decision is our primary goal.

Before explaining the stages of the research process, we explain the term ‘iterative’ appearing within the oval-shaped diagram at the center of the schematic diagram.

The key to a successful research project ultimately lies in iteration: the process of returning again and again to the identification of the research problems, methodology, data collection, etc., which leads to new ideas, revisions, and improvements.

By discussing the research project with advisers and peers, one will often find that new research questions need to be added, variables to be omitted, added or redefined, and other changes to be made. As a proposed study is examined and reexamined from different perspectives, it may begin to transform and take a different shape.

This is expected and is an essential component of a good research study.

Besides, examining study methods and data collected from different viewpoints is important to ensure a comprehensive approach to the research question.

In conclusion, there is seldom any single strategy or formula for developing a successful research study, but it is essential to realize that the research process is cyclical and iterative.

What is the primary purpose of the research process?

The research process aims to identify a research problem, understand its context through a literature review, set research questions and objectives, design a research study, select a sample, collect data, analyze the data, and present the findings in a research report.

Why is the research design important in the research process?

The research design is the blueprint for fulfilling objectives and answering research questions. It specifies the methods and procedures for collecting, processing, and analyzing data, ensuring the study is structured and systematic.

8 Steps of Research Process

Identifying the research problem.

The first and foremost task in the entire process of scientific research is to identify a research problem .

A well-identified problem will lead the researcher to accomplish all-important phases of the research process, from setting objectives to selecting the research methodology .

But the core question is: whether all problems require research.

We have countless problems around us, but all we encounter do not qualify as research problems; thus, these do not need to be researched.

Keeping this point in mind, we must draw a line between research and non-research problems.

Intuitively, researchable problems are those that have a possibility of thorough verification investigation, which can be effected through the analysis and collection of data. In contrast, the non-research problems do not need to go through these processes.

Researchers need to identify both;

Non-Research Problems

Statement of the problem, justifying the problem, analyzing the problem.

A non-research problem does not require any research to arrive at a solution. Intuitively, a non-researchable problem consists of vague details and cannot be resolved through research.

It is a managerial or built-in problem that may be solved at the administrative or management level. The answer to any question raised in a non-research setting is almost always obvious.

The cholera outbreak, for example, following a severe flood, is a common phenomenon in many communities. The reason for this is known. It is thus not a research problem.

Similarly, the reasons for the sudden rise in prices of many essential commodities following the announcement of the budget by the Finance Minister need no investigation. Hence it is not a problem that needs research.

How is a research problem different from a non-research problem?

A research problem is a perceived difficulty that requires thorough verification and investigation through data analysis and collection. In contrast, a non-research problem does not require research for a solution, as the answer is often obvious or already known.

Non-Research Problems Examples

A recent survey in town- A found that 1000 women were continuous users of contraceptive pills.

But last month’s service statistics indicate that none of these women were using contraceptive pills (Fisher et al. 1991:4).

The discrepancy is that ‘all 1000 women should have been using a pill, but none is doing so. The question is: why the discrepancy exists?

Well, the fact is, a monsoon flood has prevented all new supplies of pills from reaching town- A, and all old supplies have been exhausted. Thus, although the problem situation exists, the reason for the problem is already known.

Therefore, assuming all the facts are correct, there is no reason to research the factors associated with pill discontinuation among women. This is, thus, a non-research problem.

A pilot survey by University students revealed that in Rural Town-A, the goiter prevalence among school children is as high as 80%, while in the neighboring Rural Town-A, it is only 30%. Why is a discrepancy?

Upon inquiry, it was seen that some three years back, UNICEF launched a lipiodol injection program in the neighboring Rural Town-A.

This attempt acted as a preventive measure against the goiter. The reason for the discrepancy is known; hence, we do not consider the problem a research problem.

A hospital treated a large number of cholera cases with penicillin, but the treatment with penicillin was not found to be effective. Do we need research to know the reason?

Here again, there is one single reason that Vibrio cholera is not sensitive to penicillin; therefore, this is not the drug of choice for this disease.

In this case, too, as the reasons are known, it is unwise to undertake any study to find out why penicillin does not improve the condition of cholera patients. This is also a non-research problem.

In the tea marketing system, buying and selling tea starts with bidders. Blenders purchase open tea from the bidders. Over the years, marketing cost has been the highest for bidders and the lowest for blenders. What makes this difference?

The bidders pay exorbitantly higher transport costs, which constitute about 30% of their total cost.

Blenders have significantly fewer marketing functions involving transportation, so their marketing cost remains minimal.

Hence no research is needed to identify the factors that make this difference.

Here are some of the problems we frequently encounter, which may well be considered non-research problems:

• Rises in the price of warm clothes during winter;
• Preferring admission to public universities over private universities;
• Crisis of accommodations in sea resorts during summer
• Traffic jams in the city street after office hours;
• High sales in department stores after an offer of a discount.

Research Problem

In contrast to a non-research problem, a research problem is of primary concern to a researcher.

A research problem is a perceived difficulty, a feeling of discomfort, or a discrepancy between a common belief and reality.

As noted by Fisher et al. (1993), a problem will qualify as a potential research problem when the following three conditions exist:

• There should be a perceived discrepancy between “what it is” and “what it should have been.” This implies that there should be a difference between “what exists” and the “ideal or planned situation”;
• A question about “why” the discrepancy exists. This implies that the reason(s) for this discrepancy is unclear to the researcher (so that it makes sense to develop a research question); and
• There should be at least two possible answers or solutions to the questions or problems.

The third point is important. If there is only one possible and plausible answer to the question about the discrepancy, then a research situation does not exist.

It is a non-research problem that can be tackled at the managerial or administrative level.

Research Problem Examples

Research problem – example #1.

While visiting a rural area, the UNICEF team observed that some villages have female school attendance rates as high as 75%, while some have as low as 10%, although all villages should have a nearly equal attendance rate. What factors are associated with this discrepancy?

We may enumerate several reasons for this:

• Villages differ in their socio-economic background.
• In some villages, the Muslim population constitutes a large proportion of the total population. Religion might play a vital role.
• Schools are far away from some villages. The distance thus may make this difference.

Because there is more than one answer to the problem, it is considered a research problem, and a study can be undertaken to find a solution.

Research Problem – Example #2

The Government has been making all-out efforts to ensure a regular flow of credit in rural areas at a concession rate through liberal lending policy and establishing many bank branches in rural areas.

Knowledgeable sources indicate that expected development in rural areas has not yet been achieved, mainly because of improper credit utilization.

More than one reason is suspected for such misuse or misdirection.

These include, among others:

• Diversion of credit money to some unproductive sectors
• Transfer of credit money to other people like money lenders, who exploit the rural people with this money
• Lack of knowledge of proper utilization of the credit.

Here too, reasons for misuse of loans are more than one. We thus consider this problem as a researchable problem.

Research Problem – Example #3

Let’s look at a new headline: Stock Exchange observes the steepest ever fall in stock prices: several injured as retail investors clash with police, vehicles ransacked .

Investors’ demonstration, protest and clash with police pause a problem. Still, it is certainly not a research problem since there is only one known reason for the problem: Stock Exchange experiences the steepest fall in stock prices. But what causes this unprecedented fall in the share market?

Experts felt that no single reason could be attributed to the problem. It is a mix of several factors and is a research problem. The following were assumed to be some of the possible reasons:

• The merchant banking system;
• Liquidity shortage because of the hike in the rate of cash reserve requirement (CRR);
• IMF’s warnings and prescriptions on the commercial banks’ exposure to the stock market;
• Increase in supply of new shares;
• Manipulation of share prices;
• Lack of knowledge of the investors on the company’s fundamentals.

The choice of a research problem is not as easy as it appears. The researchers generally guide it;

• own intellectual orientation,
• level of training,
• experience,
• knowledge on the subject matter, and
• intellectual curiosity.

Theoretical and practical considerations also play a vital role in choosing a research problem. Societal needs also guide in choosing a research problem.

Once we have chosen a research problem, a few more related steps must be followed before a decision is taken to undertake a research study.

These include, among others, the following:

• Statement of the problem.
• Justifying the problem.
• Analyzing the problem.

A detailed exposition of these issues is undertaken in chapter ten while discussing the proposal development.

A clear and well-defined problem statement is considered the foundation for developing the research proposal.

It enables the researcher to systematically point out why the proposed research on the problem should be undertaken and what he hopes to achieve with the study’s findings.

A well-defined statement of the problem will lead the researcher to formulate the research objectives, understand the background of the study, and choose a proper research methodology.

Once the problem situation has been identified and clearly stated, it is important to justify the importance of the problem.

In justifying the problems, we ask such questions as why the problem of the study is important, how large and widespread the problem is, and whether others can be convinced about the importance of the problem and the like.

Answers to the above questions should be reviewed and presented in one or two paragraphs that justify the importance of the problem.

As a first step in analyzing the problem, critical attention should be given to accommodate the viewpoints of the managers, users, and researchers to the problem through threadbare discussions.

The next step is identifying the factors that may have contributed to the perceived problems.

Issues of Research Problem Identification

There are several ways to identify, define, and analyze a problem, obtain insights, and get a clearer idea about these issues. Exploratory research is one of the ways of accomplishing this.

The purpose of the exploratory research process is to progressively narrow the scope of the topic and transform the undefined problems into defined ones, incorporating specific research objectives.

The exploratory study entails a few basic strategies for gaining insights into the problem. It is accomplished through such efforts as:

Pilot Survey

A pilot survey collects proxy data from the ultimate subjects of the study to serve as a guide for the large study. A pilot study generates primary data, usually for qualitative analysis.

This characteristic distinguishes a pilot survey from secondary data analysis, which gathers background information.

Case Studies

Case studies are quite helpful in diagnosing a problem and paving the way to defining the problem. It investigates one or a few situations identical to the researcher’s problem.

Focus Group Interviews

Focus group interviews, an unstructured free-flowing interview with a small group of people, may also be conducted to understand and define a research problem .

Experience Survey

Experience survey is another strategy to deal with the problem of identifying and defining the research problem.

It is an exploratory research endeavor in which individuals knowledgeable and experienced in a particular research problem are intimately consulted to understand the problem.

These persons are sometimes known as key informants, and an interview with them is popularly known as the Key Informant Interview (KII).

Reviewing of Literature

A review of relevant literature is an integral part of the research process. It enables the researcher to formulate his problem in terms of the specific aspects of the general area of his interest that has not been researched so far.

Such a review provides exposure to a larger body of knowledge and equips him with enhanced knowledge to efficiently follow the research process.

Through a proper review of the literature, the researcher may develop the coherence between the results of his study and those of the others.

A review of previous documents on similar or related phenomena is essential even for beginning researchers.

Ignoring the existing literature may lead to wasted effort on the part of the researchers.

Why spend time merely repeating what other investigators have already done?

Suppose the researcher is aware of earlier studies of his topic or related topics . In that case, he will be in a much better position to assess his work’s significance and convince others that it is important.

A confident and expert researcher is more crucial in questioning the others’ methodology, the choice of the data, and the quality of the inferences drawn from the study results.

In sum, we enumerate the following arguments in favor of reviewing the literature:

• It avoids duplication of the work that has been done in the recent past.
• It helps the researcher discover what others have learned and reported on the problem.
• It enables the researcher to become familiar with the methodology followed by others.
• It allows the researcher to understand what concepts and theories are relevant to his area of investigation.
• It helps the researcher to understand if there are any significant controversies, contradictions, and inconsistencies in the findings.
• It allows the researcher to understand if there are any unanswered research questions.
• It might help the researcher to develop an analytical framework.
• It will help the researcher consider including variables in his research that he might not have thought about.

Why is reviewing literature crucial in the research process?

Reviewing literature helps avoid duplicating previous work, discovers what others have learned about the problem, familiarizes the researcher with relevant concepts and theories, and ensures a comprehensive approach to the research question.

What is the significance of reviewing literature in the research process?

Reviewing relevant literature helps formulate the problem, understand the background of the study, choose a proper research methodology, and develop coherence between the study’s results and previous findings.

Setting Research Questions, Objectives, and Hypotheses

After discovering and defining the research problem, researchers should make a formal statement of the problem leading to research objectives .

An objective will precisely say what should be researched, delineate the type of information that should be collected, and provide a framework for the scope of the study. A well-formulated, testable research hypothesis is the best expression of a research objective.

A hypothesis is an unproven statement or proposition that can be refuted or supported by empirical data. Hypothetical statements assert a possible answer to a research question.

Step #4: Choosing the Study Design

The research design is the blueprint or framework for fulfilling objectives and answering research questions .

It is a master plan specifying the methods and procedures for collecting, processing, and analyzing the collected data. There are four basic research designs that a researcher can use to conduct their study;

• experiment,
• secondary data study, and
• observational study.

The type of research design to be chosen from among the above four methods depends primarily on four factors:

• The type of problem
• The objectives of the study,
• The existing state of knowledge about the problem that is being studied, and
• The resources are available for the study.

Deciding on the Sample Design

Sampling is an important and separate step in the research process. The basic idea of sampling is that it involves any procedure that uses a relatively small number of items or portions (called a sample) of a universe (called population) to conclude the whole population.

It contrasts with the process of complete enumeration, in which every member of the population is included.

Such a complete enumeration is referred to as a census.

A population is the total collection of elements we wish to make some inference or generalization.

A sample is a part of the population, carefully selected to represent that population. If certain statistical procedures are followed in selecting the sample, it should have the same characteristics as the population. These procedures are embedded in the sample design.

Sample design refers to the methods followed in selecting a sample from the population and the estimating technique vis-a-vis the formula for computing the sample statistics.

The fundamental question is, then, how to select a sample.

To answer this question, we must have acquaintance with the sampling methods.

These methods are basically of two types;

• probability sampling , and
• non-probability sampling .

Probability sampling ensures every unit has a known nonzero probability of selection within the target population.

If there is no feasible alternative, a non-probability sampling method may be employed.

The basis of such selection is entirely dependent on the researcher’s discretion. This approach is called judgment sampling, convenience sampling, accidental sampling, and purposive sampling.

The most widely used probability sampling methods are simple random sampling , stratified random sampling , cluster sampling , and systematic sampling . They have been classified by their representation basis and unit selection techniques.

Two other variations of the sampling methods that are in great use are multistage sampling and probability proportional to size (PPS) sampling .

Multistage sampling is most commonly used in drawing samples from very large and diverse populations.

The PPS sampling is a variation of multistage sampling in which the probability of selecting a cluster is proportional to its size, and an equal number of elements are sampled within each cluster.

Collecting Data From The Research Sample

Data gathering may range from simple observation to a large-scale survey in any defined population. There are many ways to collect data. The approach selected depends on the objectives of the study, the research design, and the availability of time, money, and personnel.

With the variation in the type of data (qualitative or quantitative) to be collected, the method of data collection also varies .

The most common means for collecting quantitative data is the structured interview .

Studies that obtain data by interviewing respondents are called surveys. Data can also be collected by using self-administered questionnaires . Telephone interviewing is another way in which data may be collected .

Other means of data collection include secondary sources, such as the census, vital registration records, official documents, previous surveys, etc.

Qualitative data are collected mainly through in-depth interviews, focus group discussions , Key Informant Interview ( KII), and observational studies.

Process and Analyze the Collected Research Data

Data processing generally begins with the editing and coding of data . Data are edited to ensure consistency across respondents and to locate omissions if any.

In survey data, editing reduces errors in the recording, improves legibility, and clarifies unclear and inappropriate responses. In addition to editing, the data also need coding.

Because it is impractical to place raw data into a report, alphanumeric codes are used to reduce the responses to a more manageable form for storage and future processing.

This coding process facilitates the processing of the data. The personal computer offers an excellent opportunity for data editing and coding processes.

Data analysis usually involves reducing accumulated data to a manageable size, developing summaries, searching for patterns, and applying statistical techniques for understanding and interpreting the findings in light of the research questions.

Further, based on his analysis, the researcher determines if his findings are consistent with the formulated hypotheses and theories.

The techniques used in analyzing data may range from simple graphical techniques to very complex multivariate analyses depending on the study’s objectives, the research design employed, and the nature of the data collected.

As in the case of data collection methods, an analytical technique appropriate in one situation may not be suitable for another.

Writing Research Report – Developing Research Proposal, Writing Report, Disseminating and Utilizing Results

The entire task of a research study is accumulated in a document called a proposal or research proposal.

A research proposal is a work plan, prospectus, outline, offer, and a statement of intent or commitment from an individual researcher or an organization to produce a product or render a service to a potential client or sponsor .

The proposal will be prepared to keep the sequence presented in the research process. The proposal tells us what, how, where, and to whom it will be done.

It must also show the benefit of doing it. It always includes an explanation of the purpose of the study (the research objectives) or a definition of the problem.

It systematically outlines the particular research methodology and details the procedures utilized at each stage of the research process.

The end goal of a scientific study is to interpret the results and draw conclusions.

To this end, it is necessary to prepare a report and transmit the findings and recommendations to administrators, policymakers, and program managers to make a decision.

There are various research reports: term papers, dissertations, journal articles , papers for presentation at professional conferences and seminars, books, thesis, and so on. The results of a research investigation prepared in any form are of little utility if they are not communicated to others.

The primary purpose of a dissemination strategy is to identify the most effective media channels to reach different audience groups with study findings most relevant to their needs.

The dissemination may be made through a conference, a seminar, a report, or an oral or poster presentation.

The style and organization of the report will differ according to the target audience, the occasion, and the purpose of the research. Reports should be developed from the client’s perspective.

A report is an excellent means that helps to establish the researcher’s credibility. At a bare minimum, a research report should contain sections on:

• An executive summary;
• Background of the problem;
• Literature review;
• Methodology;
• Discussion;
• Conclusions and
• Recommendations.

The study results can also be disseminated through peer-reviewed journals published by academic institutions and reputed publishers both at home and abroad. The report should be properly evaluated .

These journals have their format and editorial policies. The contributors can submit their manuscripts adhering to the policies and format for possible publication of their papers.

There are now ample opportunities for researchers to publish their work online.

The researchers have conducted many interesting studies without affecting actual settings. Ideally, the concluding step of a scientific study is to plan for its utilization in the real world.

Although researchers are often not in a position to implement a plan for utilizing research findings, they can contribute by including in their research reports a few recommendations regarding how the study results could be utilized for policy formulation and program intervention.

Why is the dissemination of research findings important?

Dissemination of research findings is crucial because the results of a research investigation have little utility if not communicated to others. Dissemination ensures that the findings reach relevant stakeholders, policymakers, and program managers to inform decisions.

How should a research report be structured?

A research report should contain sections on an executive summary, background of the problem, literature review, methodology, findings, discussion, conclusions, and recommendations.

Why is it essential to consider the target audience when preparing a research report?

The style and organization of a research report should differ based on the target audience, occasion, and research purpose. Tailoring the report to the audience ensures that the findings are communicated effectively and are relevant to their needs.

Overview of the Research Process

• First Online: 01 January 2012

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Research is a rigorous problem-solving process whose ultimate goal is the discovery of new knowledge. Research may include the description of a new phenomenon, definition of a new relationship, development of a new model, or application of an existing principle or procedure to a new context. Research is systematic, logical, empirical, reductive, replicable and transmittable, and generalizable. Research can be classified according to a variety of dimensions: basic, applied, or translational; hypothesis generating or hypothesis testing; retrospective or prospective; longitudinal or cross-sectional; observational or experimental; and quantitative or qualitative. The ultimate success of a research project is heavily dependent on adequate planning.

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Supino, P.G. (2012). Overview of the Research Process. In: Supino, P., Borer, J. (eds) Principles of Research Methodology. Springer, New York, NY. https://doi.org/10.1007/978-1-4614-3360-6_1

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Common pitfalls in the research process.

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Last Update: March 6, 2023 .

• Definition/Introduction

Conducting research from planning to publication can be a very rewarding process. However, multiple preventable setbacks can occur within each stage of research. While these inefficiencies are an inevitable part of the research process, understanding common pitfalls can limit those hindrances. Many issues can present themselves throughout the research process. It has been said about academics that “the politics are so harsh because the stakes are so low.” Beyond interpersonal and political / funding concerns, prospective authors may encounter some disenchantment with the publish or perish culture. With a metric of (any) publication, the motivation to contribute meaningfully to science can be overshadowed by a compulsive drive to publish. [1]  We believe in quality over quantity and highlight the importance of channeling creativity when pursuing scholarly work.

When considering embarking on a medical research project, one must begin with detailed planning. Do not underestimate the amount of time a project can take, often spanning years from conception to manuscript preparation. Will you conduct a retrospective chart review, a prospective study, or a true clinical trial with randomization and blinding? Will you systematically seek out and remove sources of bias from the study design and interpretation of results? Will you ensure the study is powered properly to justify conclusions? Will you eliminate or explain any conflicts of interest occurring among your author group? Will you fall victim to the temptation of frivolous subgroup analyses, or will you stick with the original plan? Will your study have a realistic chance at publication in a journal within your specialty, or perhaps another subfield? The study results may prove the null hypothesis, a ‘negative study,’ and therefore be difficult to publish. [2]  Additionally, the intervention you find beneficial may subsequently be proven unhelpful or even dangerous, leading to prudent medical reversal. [3]

These considerations and more necessitate meticulous planning and vigilant adherence to a sound protocol. Along the way, you will encounter obstacles, pitfalls, some of which are presented in this article. But remain persistent, and your efforts will be rewarded with publication and contribution to science. This review covers common pitfalls researchers encounter and suggested strategies to avoid them.

• Issues of Concern

There are five phases of research: planning phase, data collection/analysis phase, writing phase, journal submission phase, and rejections/revisions/acceptance phase.

Phase I Pitfalls: Planning a Study

The highest yield preempting of pitfalls in the research process occurs in the planning phase. This is when a researcher can set the stage for an optimal research process. Below are pitfalls that can occur during the planning phase.

Pitfall: Underestimating what committing to a research project requires

Conducting a research study and achieving publication sounds fulfilling, right?

Consider the many steps: conducting a literature search, writing an IRB proposal, planning and having research meetings, long and cumbersome data collection processes, working with statisticians or analyzing complex data, having unexpected research setbacks (e.g., subjects drop out, newly published papers on same topic, etc.), the possibility that after data collection you have no statistically (or clinically) significant findings, conducting an updated literature search, writing introduction, methods, results, and discussion sections of a paper, going through the many journal options to determine best fit while aiming for high impact factors, adhering to journal guidelines/fixing drafts, writing cover letters stating importance of the topic to respective journals, creating journal portal accounts, possibly being rejected numerous times, waiting months for journal decisions, working on numerous revisions and being informed by numerous individuals about all of the flaws in your writing and research.

Does it sound, maybe less fulfilling ?

Conducting a research project from inception to publication can be a rewarding experience. Research requires significant time. Setbacks are normal. To produce an important and sought-after research product, an individual must understand the magnitude of commitment required.

Pitfall: Choosing the wrong research pursuit/topic lacks precision

Consider an investigator interested in substance use research. The first challenge is the immense amount of research already published on this topic. Fortunately, there is still a massive amount of uncharted territory in substance use research.

It is important to understand what has been done and what is still undiscovered in your area of research. Do not simply study a topic because you find it interesting; passion is advantageous, but you should ensure that your study will contribute to some field/specialty or research in a significant way.

How does your research differ from what has been done?

How will it impact practice in a way that no previous study has?

Consider these questions when choosing a topic for research. Otherwise, you may struggle to get the work published. It can be demoralizing if you have already written your paper and realize that your paper is not going to get accepted by a reputable journal due to the presence of other papers already describing the same concepts you have.

As always, the first step is a thorough literature search.

Pitfall: Not considering research bias

A common theme noted in literature is that bias can, unfortunately, lead to failure to reproduce results, raising concerns regarding the integrity of science. [4]  Bias can be considered various (inadvertent) poor strategies related to data design, analysis, and results reporting that produce spurious results and papers that perhaps should not be published. [5]

While one cannot completely eliminate bias from the research process, researchers should take steps to understand research bias in study endeavors and determine how to minimize bias during the planning phase of the study.  

Pitfall: Not focusing on which variables to collect

Researchers often want to collect as much data as possible but should not build a list of variables that includes every single detail about subjects if the variables collected are unlikely to yield insight into the topic of research. The longer the data collection instrument, the higher likelihood of (human) errors (if manually data entry) and the longer duration of the data collection phase. Instead of taking time to build a database with many variables, consider cutting irrelevant variables and use that time to increase the sample size. Determine, based on your own clinical knowledge and published empirical works, which variables are most crucial. 

Pitfall: Worrying about the statistics after the data has been collected

A vital part of the research process is ensuring you have a rigorous statistical approach. Involve your statistician very early in the project, preferably in the planning stages. They will have insight into the types of variables to collect and help shape the research methods. Statistical power is an important concept to consider before data collection to avoid false-negative results (Zlowodzki et al., 2006). Furthermore, other concepts, such as covariates, need to be part of the planning phase. Do not wait until after the data collection phase to give data to the statistician who cannot transform the data you have into outputs you want.

Pitfall: Not setting defined author roles

It is important to define who will be declared authors at the beginning of the research process to avoid conflict. Do most people want to be an author? Sure. Does everybody do the work worthy of authorship? No. While placing general comments in a shared document's margin may make the paper slightly better, it probably should not qualify for authorship. Review authorship criteria to determine what constitutes authorship. Clear expectations can ensure that everyone is on the same page and that everyone feels the process is fair, especially for individuals who plan to invest significant time in the project. Clear expectations for each author should occur before any writing begins, including deadlines and specific contributions. [6] [7] [6]

Pitfall: Not considering limitations of work before the paper is written

Avoid this pitfall by reviewing recent manuscripts and reading the limitations sections of these papers. Many of these limitations sections will make notions about generalizability to other populations. Some will discuss low power. Even the best papers in the top journals have many limitations. The best way to avoid or mitigate your work's limitations is to consider them during the planning phase.

How can you set up your project to limit your limitations section?

What (types of) samples should you include in your study?

Were you originally thinking of retrospective design, but it could be prospective?

What steps can you utilize to control baseline characteristics between groups?

Consider all limitations and think about how you can control these before data collection.

Phase II Pitfalls: Data Collection and Analysis

After the planning has occurred, typically after institutional review board (IRB) approval, the data collection and analysis phase can transpire. The entire team should typically stay involved throughout these phases. Below are pitfalls to avoid.

Pitfall: Not being involved in the data collection phase

It is important to be involved with the data collection phase, even if you do not personally collect data. Train the individuals who collect data to ensure all are on the same page and provide periodic oversight to ensure accuracy and quality of the data over time. [8]  Do not assume the data collection phase is going smoothly – you may find yourself with a huge dataset riddled with inconsistencies or errors. Schedule periodic meetings to review data.

Pitfall: Not being involved with the statistical analysis phase

If you are not conducting the statistical analysis, do not assume that the person who is analyzing the data is 100% on the same page. Have meetings about the data, how to interpret the data, and the limitations of the data. Ask what other ways the data could be analyzed and how reviewers might negatively critique the data itself or the statistical methods.

The person conducting the analysis will not have the same familiarity with the topic. You are not going to be as familiar with the outputs. By understanding each other, you will a) have clearer, more robust methods and results in sections of the paper, b) limit critiques regarding the statistical approach/data outcomes, c) understand your research better for any presentations, discussion, or future work, and d) develop a positive collaboration for future work.

Phase III Pitfalls: The Writing Phase

The next phase is the writing phase. While this section covers pitfalls during the writing phase, for recommendations on conducting a literature search, writing, and publishing research, see StatPearls Evidence-Base Medicine Chapter: How to Write and Publish a Scientific Manuscript. [9]  Below are pitfalls that can occur during the writing phase. 

Pitfall: Poor or outdated references

When writing your paper, perform multiple literature searches to ensure all recent, salient references are covered—claims about recent similar work or research that frames your study if the references are outdated. Journals may even ask reviewers to comment on the presence or absence of up-to-date/suitable references. Conduct a literature search prior to data collection and stay on top of references throughout the research process as new papers become available.

Pitfall: No clearly defined purpose of the paper

Many aspects of manuscripts can get overlooked. Lack of a clear purpose statement can doom a paper to futility. Remind the readers of the goal of the project. You do not want consumers of your research to read the results section and forget what the goals/main outcomes are. The purpose statement should be located at the end of the introduction section.  

Pitfall: Unclear methods making research hard to reproduce

A common concern in science is the lack of transparency in methods for reproducibility. The methods section should allow a reader to understand exactly what was done and conduct the study. Consider examining the S treng T hening the R eporting of OB servational studies in E pidemiology (STROBE) checklist for the methods (as well as other paper sections) to ensure best reporting practices for reproducibility. [10]

Pitfall: The tables and narratives are the same

Reviewers prefer you not to state findings in narratives that are in tables. Tables focus readers on the most important results and are not redundant with the written content. Make call-outs to the table in the paper's narrative sections, but do not state information found in tables.  

Pitfall: Not reporting all data/outcomes

Some authors will state the main outcome of interest or have a statement such as “there were no other statistically significant findings between other groups.” Authors must report all outcomes and statistical analyses for reproducibility of the research. While this may be difficult to do with a broad approach, utilize tables and appendices to report all outcomes to show transparency and limit researcher bias.

Pitfall: Repeating results in discussion

Do not simply restate in the discussion what you already have in the results section. Utilize this section of the paper to link other references to your work and reflect on other empirical investigations' similarities or differences. Explain why your research provides an impactful contribution to the topic.  

Pitfall: Making conclusions that do not align with your work

Authors sometimes note in their conclusions how the work impacts a topic due to X reason when X may be too broad a claim and the work doesn’t really support or prove that notion. Researchers should align their conclusions to their own results and highlight the significance of their findings.

Pitfall: Thinking the title is not a big deal

A strong title will help with the impact/readership of your paper. Consider keeping a short title that provides the main takeaway. Papers with more concise titles and present the study conclusion result in a bigger impact/receive more citations. [11]

Pitfall: Completing the abstract last minute

Similar to the title, do not underestimate an abstract. Journal and conference reviewers (and the general audience) may only read your abstract. The abstract must have the key results and contributions of the study and be well-written.

Phase IV Pitfalls: Submitting to a Journal

After the paper has been written, it is time to choose the journal. This phase also has numerous pitfalls. Below are pitfalls that can occur during this phase.  

Pitfall: Choosing the wrong journal

Choosing the journal for your work can be overwhelming due to the number of options. Always look at the aims and scope of prospective journals. Look through the author guidelines to ensure that your manuscript adheres. This will save time. Review your reference list for any journals that appear more than once; if so, consider submitting to that journal. You do not want to submit your paper, wait two weeks, and then get a desk rejection because the editors state the paper is not aligned to the journal's aims and scope.

Additionally, researchers can aim too high and spend months (and numerous hours in journal submission portals) trying to publish a manuscript in a journal with a very large impact factor. Though admirable, if the research design and results lacking “gold standard” reporting, authors should consider a journal that is more likely to accept. Find a balance between the quality of your paper and the quality of the journal. Seek feedback from the other authors and/or senior colleagues who can provide honest feedback.

Pitfall: Poor cover letter on journal submission

Do not submit work with a flawed cover letter (errors or lack of clarity in how your work contributes to the body of literature). Spend time writing a detailed cover letter once, have it edited by someone else, and utilize that for all future projects. You can highlight the differences (e.g., the purpose of this work, our results showed) with each project. Use the cover letter to highlight the significance of the study while adhering to the disclosure guidelines (e.g., conflicts of interests, authors contributions, data releases, etc.), which will help the editorial board determine not only the suitability of the paper for the journal but also streamline the review process. [12]

Pitfall: Assuming that after the paper has been submitted to a journal, the work is done             

The paper has been submitted! You think you are finished…but, unfortunately, the publishing game may still be far from over. Researchers often do not recognize the amount of time going into the submission/rejection/revisions phases. Revisions can sometimes be total overhauls, more work than writing a whole new paper. Be prepared to continue working.

Phase V Pitfalls: The Rejections, Revisions, and Acceptance Phase

Finally, perhaps the most unpredictable phase, the rejections, revisions, and acceptance phase, has unique pitfalls and other obstacles.

Pitfall: Mourning rejections too long/ “sitting on” a rejected paper             

Did you get a desk to reject (i.e., the manuscript was not even sent for blind review)? That is unfortunate but common. You do not have time to sulk. Get that paper submitted somewhere else. The older the data, the less desirable your paper becomes. If the paper went in for a full review and was rejected, that may be even tougher than a desk reject because more time has elapsed. The good news is that (hopefully) you received feedback to incorporate in a revision. Do not spend too much time grieving rejections.

Pitfall: Not laying to rest rejected papers when it is indeed their time to go

Did you write a paper a couple of years ago, and you’ve submitted it to 20 different journals? The data is getting old. The topic wasn’t focused on. The sample size was small. Perhaps the project is not worth pursuing any longer. Do not give in to the sunk cost fallacy. If, however, you are proud of the work and stand by the paper, do not give up. If you believe after the numerous rejections that the topic/project is flawed, you can use this failure as a personal learning/growth opportunity. Do not repeat controllable mistakes on future projects.

Pitfall: Not addressing all of reviewer feedback

Did you get a revise and resubmit? Great news! The reviewers and editors will likely ask you to respond to each comment when you resubmit. Address all of the reviewer feedback. Take your time reading through the feedback, digest it, and re-read it. Carefully respond and decide how to revise your manuscript based on the feedback. Share the reviews and the duties of revision with coauthors. In your response to reviewers, stay professional and address each statement, even if you disagree with what is stated. If you do not respond to each statement, the reviewers often highlight the concern(s) again.

Pitfall: Thinking you know what the reviewers are going to say

Research reviewers are like a box of chocolates. You never know what you are going to get. You may be worried about a section of your paper/research approach, and the reviewers do not mention it at all in their review; instead, they criticize a section of your manuscript that you are most proud of.

In some reviews, you may get feedback like the following:

Reviewer #1

Please change lines 104-108 as I believe they are irrelevant to your study.

Reviewer #2

Please build on lines 104-108, as I believe they are the foundation of your study.

Sometimes, after multiple revisions, there are new concerns presented by the reviewers. This can be disheartening. Should some regulations restrict reviewers from bringing up new ideas/concerns during revision #7? Perhaps. Does any current rule prevent them from doing this? No.

During the review process, we must have faith that the reviewers are knowledgeable and provide fair, insightful, and constructive feedback. While the review process can be arbitrary or frustrating in some cases, peer review remains the gold standard in a scientific publication. Stay positive and persistent. Stay professional in responses to the reviewers. Remember that the review process can be very beneficial as it often leads to feedback that truly elevates your work and makes the product (and you) look better. [13]

Pitfall: Not rewarding yourself for a published paper

You did it! Celebrate your accomplishment. Reflect on the merit of your effort before you move on to other work or re-enter the cycle of IRBs, data coding, journal submissions, etc. Remember and appreciate how remarkable it is that you just contributed knowledge to the world.

• Clinical Significance

Many pitfalls can occur throughout the research process. Researchers should understand these pitfalls and utilize strategies to avoid them to produce high-quality, sought-after research results that are useful for basic science and clinical practice.

• Review Questions
• Access free multiple choice questions on this topic.
• Comment on this article.

Disclosure: Jacob Shreffler declares no relevant financial relationships with ineligible companies.

Disclosure: Martin Huecker declares no relevant financial relationships with ineligible companies.

This book is distributed under the terms of the Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International (CC BY-NC-ND 4.0) ( http://creativecommons.org/licenses/by-nc-nd/4.0/ ), which permits others to distribute the work, provided that the article is not altered or used commercially. You are not required to obtain permission to distribute this article, provided that you credit the author and journal.

• Cite this Page Shreffler J, Huecker MR. Common Pitfalls In The Research Process. [Updated 2023 Mar 6]. In: StatPearls [Internet]. Treasure Island (FL): StatPearls Publishing; 2024 Jan-.

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Peter DeMarzo , the John G. McDonald Professor of Finance and former senior associate dean of the school, will serve as interim dean effective Aug. 1. “Peter will provide important continuity for the school during this transition, and we are grateful to him for being willing to accept this responsibility,” Stanford Provost Jenny Martinez said.

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Late payroll accounting adjustments will not be processed after July 1

Beginning July 1, 2024, payroll accounting adjustments (PAAs) will no longer be processed for past certification periods. This means that:

• Once certified, effort will be considered final.
• Salary cost transfers must either be processed prior to issuance of effort certification documents or corrected during the certification process. For example, researchers must correct effort for: September-December by the end of January; January-May by the end of June; and June-August by the end of September. If effort for a past period isn’t certified, it is an unallowable cost.

Effort is heavily scrutinized by sponsors and auditors as it makes up the highest percentage of charges to sponsored projects. Retroactive corrections to effort charges after certification is often an indication of poor award management. Penalties for violations or findings of weak institutional controls can be significant.

PAAs submitted after certification and PAAs adjusting effort that occurred before the most recent certification period will be denied and uncertified effort will be billed back to the investigator’s department, consistent with processes for all unallowable expenditures. 

Other effort reporting practices to avoid:

• Overly precise requests, such as changing an appointment by 17.346% for one month in the past.  Such precision is not required since in signing an effort report, the signer is acknowledging that the payroll distribution ‘reasonably’ reflects the activities for which the employee was compensated during the reporting period.
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Researchers with questions can talk with their department’s research administrative support or  sponsored program officer . 

Effort Certification Overview

Effort certification is when the responsible individual confirms the effort charges for the certified period are correct and complete. Because faculty and most research staff do not complete time sheets, effort percentages are imprecise. The federal government understands this and generally considers certified levels of effort within +/- 25% of committed to be acceptable. 

There are three annual effort reporting periods: spring semester, summer, and fall semester. At the end of each reporting period, Workday collects all payroll information over the reporting period for each employee. That information is used to compute the percentage of salary charged to each funding source, which in turn is used to generate an effort certification report.

If the report is correct and complete, the certifier approves, verifying that the ‘salary charges to the sponsor are reasonable in relation to the work performed, and the effort provided to each sponsor is at least as great as the effort promised to the sponsor.’ If a report is incorrect, it should not be signed.  and steps should be taken immediately to initiate a correction in Workday through a PAA, and, when ready, the researcher will be alerted that a corrected effort report is available for certification. 

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• [News] TSMC Reportedly Prepares Next-generation HBM4 Manufacturing, Utilizing 12nm and 5nm Process Nodes

TSMC reportedly plans to utilize 12nm and 5nm process nodes in manufacturing the latest HBM4 memory, according to a report by AnandTech . Citing TSMC’s executives, the world’s largest dedicated semiconductor foundry would employ two fabrication processes, N12FFC+ and N5, to integrate HBM4e memory with next-generation AI and HPC processors.

During TSMC’s presentation at its European Technology Symposium 2024, which took place on May 14th, the company revealed new details about the base dies it will produce for HBM4 using advanced logic processes.

According to a senior director of design and technology platform citing by the report, TSMC is currently working with HBM memory partners, including Micron, Samsung and SK Hynix, on advanced nodes targeting HBM4.

Earlier in mid-April, SK Hynix announced that it has signed a memorandum of understanding with TSMC for collaboration to produce next-generation HBM and enhance logic and HBM integration through advanced packaging technology. The company plans to proceed with the development of HBM4, slated to be mass produced from 2026, through this initiative.

N12FFC+, believed to be more cost-effective, is expected to achieve HBM performance, while the N5 base die could offer more logic with significantly lower power.

In the symposium, TSMC stated that its 12FFC+ process is well-suited for HBM4 performance, enabling memory vendors to construct 12-Hi (48 GB) and 16-Hi (64 GB) stacks, with per-stack bandwidth exceeding 2 TB/second. It is also optimizing CoWoS-L and CoWoS-R for HBM4, which utilize over eight layers to support HBM4’s routing of over 2,000 interconnects with proper signal integrity.

These packaging solutions is said to provide interposers that can accommodate up to 8 times the reticle size, providing ample space for as many as 12 HBM4 memory stacks.

In addition, base dies produced with the N5 process will incorporate increased logic density, lower power consumption, and enhanced performance. However, the most significant advantage may lie in the extremely small interconnect pitches achievable with such advanced process technology, ranging from 6 to 9 microns. This capability will enable N5 base dies to be paired with direct bonding, facilitating the 3D stacking of HBM4 directly on top of logic chips. Direct bonding has the potential to significantly enhance memory performance, a crucial enhancement for AI and HPC chips constantly demanding higher memory bandwidth, according to the report.

• [News] SK Hynix Partners with TSMC to Strengthen HBM Technological Leadership

(Photo credit: TSMC)

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The Senate also passed a short-term extension of the current F.A.A. law to give the House time to clear the longer-term package early next week.

By Kayla Guo

Reporting from the Capitol

The Senate on Thursday passed legislation to reauthorize federal aviation programs for the next five years and put in place new safety measures and consumer protections for passengers, at a moment of intense uncertainty and disruption in the air travel system.

The bill , which still must win final approval in the House before becoming law, would provide more than $105 billion to the Federal Aviation Administration and another $738 million to the National Transportation Safety Board for airport modernization, technology programs and safety. It would also bolster the hiring and training of air traffic controllers, codify airlines’ refund obligations to passengers, ensure fee-free family seating and strengthen protections for passengers with disabilities.

“Aviation safety has been front of mind for millions of Americans recently, and this F.A.A. bill is the best thing Congress can do to give Americans the peace of mind they deserve,” Senator Chuck Schumer of New York, the majority leader, said on the Senate floor on Thursday evening.

It passed in an overwhelming bipartisan vote of 88 to 4, just one day before the current law is scheduled to lapse. The Senate also unanimously approved a short-term extension to allow time for the House to take up and clear the longer-term package next week, a step that would send it to President Biden.

The legislation is a bipartisan compromise negotiated over months by the Senate and House committees with jurisdiction over the F.A.A., after Congress authorized several short-term extensions of the agency when lawmakers failed to meet earlier deadlines. The House passed its version of the bill almost a year ago in a lopsided vote of 351 to 69.

Senator Maria Cantwell of Washington, chairwoman of the Commerce Committee, celebrated the bill’s provisions on consumer protections, aviation safety, air traffic controllers, airport infrastructure and work force development on the floor after passage.

“This is a big moment for aviation,” Ms. Cantwell said. “We have had safety issues and concerns that we need to make a big investment. This legislation is that investment — in safety standards, in protecting consumers and advancing a work force and technology that will allow the United States to be the gold standard in aviation.”

Senator Ted Cruz of Texas, the top Republican on the Commerce Committee, said: “This legislation is a strong, bipartisan, bicameral bill that includes hundreds of priorities for senators and representatives, both Republican and Democrat. This bill gives the FAA the safety tools it needs at a critical time.”

As one of the few remaining bills considered a must-pass item this year, the F.A.A. package, which prompted several regional disputes, became a magnet for dozens of amendments and policy riders that threatened to delay it in the Senate.

With the legislation threatening to stall, the House on Wednesday approved a one-week extension for the F.A.A. before leaving Washington for the weekend. The Senate followed suit on Thursday, steering around lingering disputes that had threatened to scuttle the effort and cause a brief lapse for the F.A.A.

The debate came at a time of acute uncertainty about the aviation system, which has had a recent spate of concerning episodes such as dangerous near collisions on runways, plane malfunctions and thousands of flight delays and cancellations.

It was unclear for much of Thursday whether the Senate would be able to push through the legislation and the extension, as senators demanded votes on amendments or threatened to block speedy passage. No amendments were ultimately brought to a vote.

The most intense regional fight was over a provision in the bill that would add five round-trip long-haul flights out of Ronald Reagan National Airport outside Washington. Proponents, which include Delta Air Lines, have said they want to expand access to the nation’s capital and increase competition.

The proposal incensed lawmakers representing the area , who argued that the airport maintains the busiest runway in the country and cannot support additional flights. Senators Tim Kaine and Mark Warner of Virginia and Benjamin L. Cardin and Chris Van Hollen of Maryland, all Democrats, filed an amendment to strike the new flights.

Mr. Kaine and Mr. Warner threatened to hold the bill up if they did not receive a vote. But Mr. Cruz blocked an effort to bring up a compromise amendment that would have given the transportation secretary the final say on new flights after considering any effects they would have on delays and passenger safety.

“The Senate abdicated its responsibility to protect the safety of the 25 million people who fly through D.C.A. every year,” Mr. Kaine and Mr. Warner said in a statement. “Some of our colleagues were too afraid to let the experts make the call. They didn’t want to show the American people that they care more about a few lawmakers’ desire for direct flights than they care about the safety and convenience of the traveling public. That is shameful and an embarrassment.”

The senators from Virginia and Maryland were the only votes against the bill.

Another group of senators failed to secure a vote on a proposal to halt the Transportation Security Administration’s expansion of facial recognition technology at airports and restrict it where it is in use.

Senators had also proposed adding a number of unrelated bills, including one that would compensate people harmed by exposure to the nation’s nuclear weapons program , legislation to fully fund the replacement of the collapsed Francis Scott Key Bridge in Baltimore, and a credit card competition measure. Senators Marsha Blackburn, Republican of Tennessee, and Richard Blumenthal, Democrat of Connecticut, were pushing for a vote on their bill to protect minors online into Thursday. None of them made it into the final product.

An earlier version of this article misstated the name of the bridge in Baltimore that collapsed. It is the Francis Scott Key Bridge, not the Francis Key Scott Bridge.

How we handle corrections

Kayla Guo covers Congress for The New York Times as the 2023-24 reporting fellow based in Washington. More about Kayla Guo

Our Coverage of Congress

Here’s the latest news and analysis from capitol hill..

Fight Over Pentagon Spending: Mitch McConnell and other top Republicans want more federal money for the military. But Democrats say domestic programs must get an equivalent boost .

Reversing Israel Arms Pause: The House passed a bill that would rebuke President Biden  for pausing an arms shipment to Israel and compel his administration to quickly deliver those weapons, in a largely symbolic vote engineered by the G.O.P.

Aviation Bill: The House passed legislation to reauthorize federal aviation programs  and improve air travel  at a time of intense passenger woes and dysfunction in the system, sending the bill to President Biden.

Addressing A.I.: A bipartisan group of senators released a long-awaited legislative plan for A.I. , calling for billions in funding to propel American leadership in the technology while offering few details on regulations.

A White-Collar Indictment: Representative Henry Cuellar started from humble origins, but records show he welcomed the trappings of power afforded by his position. Here’s how an indictment shattered his blue-collar image .

Justice Department takes 'major step' toward rescheduling marijuana

WASHINGTON — The Justice Department took a significant step toward rescheduling marijuana Thursday, formalizing its process to reclassify the drug as lower-risk and remove it from a category in which it has been treated as more dangerous than fentanyl and meth.

President Joe Biden announced the “major” move in a direct-to-camera video posted to his official account on X. “This is monumental,” Biden said in the message. “It’s an important move towards reversing long-standing inequities. … Far too many lives have been upended because of a failed approach to marijuana, and I’m committed to righting those wrongs. You have my word on it.”

The Biden administration has been signaling that it would move to reschedule the drug from Schedule I — a strict classification including drugs like heroin — to the less-stringent Schedule III, which would for the first time acknowledge the drug’s medical benefits at the federal level. The Drug Enforcement Administration submitted a notice of proposed rulemaking in the Federal Register on Thursday afternoon, triggering a 60-day comment period that will allow members of the public to submit remarks regarding the rescheduling proposal before it is finalized.

Biden first directed federal agencies to review how marijuana is scheduled in October 2022, weeks before that year’s midterm elections. The process was led by the DOJ and the Department of Health and Human Services.

“Look folks, no one should be in jail for merely using or possessing marijuana. Period,” Biden said in Thursday’s video, his third time speaking extensively on the topic since his directive two years ago.

The second time Biden addressed the issue was during this year’s State of the Union address, making history by referring to marijuana from the dais in the House chamber. “No one should be jailed for using or possessing marijuana,” he said at the time.

Vice President Kamala Harris also released a video Thursday, hailing the progress.

“Currently marijuana is classified on the same level as heroin and more dangerous than fentanyl. We are finally changing that,” Harris said. “We are on the road to getting it done.”

During the first 30 days of the comment period, interested parties could request a hearing regarding the rescheduling proposal. Under the statute, the DEA would be required to hold a hearing before an administrative law judge.

After the DEA reviews and considers the public comments, and at the conclusion of any requested hearing, the DEA will issue a final order to reschedule marijuana. (The DEA could decline to reschedule the drug but that’s unlikely given the administration’s strong support).

The entire process can take anywhere from a few months to up to a year.

Once completed, federal scientists will be able to research and study the potential medical benefits of the drug for the first time since the Controlled Substances Act was enacted in 1971. It could also open the door for pharmaceutical companies to get involved with the sale and distribution of medical marijuana in states where it is legal.

For the $34 billion cannabis industry, the move would also eliminate significant tax burdens for businesses in states where the drug is legal, notably removing it from the IRS code’s Section 280E, which prohibits legal cannabis companies from deducting what would otherwise be ordinary business expenses.

The Justice Department’s rescheduling decision could also help shrink the black market, which has thrived despite legalization in states like New York and California, and has undercut legal markets, which are fiercely regulated and highly taxed.

Dr. Kevin Sabet, president of the anti-marijuana legalization group Smart Approaches to Marijuana, blasted the decision. “It’s become undeniable that politics, not science, is driving this decision and has been since the very beginning. This decision won’t legalize marijuana, and it won’t release anyone from prison or jail,” Sabet said. “This is setting the stage to create the Big Tobacco of our time.”

During his time in office, Biden issued pardons for prior federal offenses of simple possession of marijuana and issued a proclamation granting additional pardons for simple possession, attempted simple possession and use of the drug.

The White House has also urged governors to do the same in their states and some have heeded the call, including in Oregon and Massachusetts.

Democrats in Congress are pursuing a partisan effort to remove cannabis entirely from the Controlled Substances Act, empowering states to create their own cannabis laws and prioritize restorative and economic justice for those affected by the “war on drugs.”

“Congress must do everything we can to end the federal prohibition on cannabis and address long-standing harms caused by the War on Drugs,” Senate Majority Leader Chuck Schumer, D-N.Y., said earlier this month.

Julie Tsirkin is a correspondent covering Capitol Hill.

Monica Alba is a White House correspondent for NBC News.

McKinsey Global Private Markets Review 2024: Private markets in a slower era

At a glance, macroeconomic challenges continued.

McKinsey Global Private Markets Review 2024: Private markets: A slower era

If 2022 was a tale of two halves, with robust fundraising and deal activity in the first six months followed by a slowdown in the second half, then 2023 might be considered a tale of one whole. Macroeconomic headwinds persisted throughout the year, with rising financing costs, and an uncertain growth outlook taking a toll on private markets. Full-year fundraising continued to decline from 2021’s lofty peak, weighed down by the “denominator effect” that persisted in part due to a less active deal market. Managers largely held onto assets to avoid selling in a lower-multiple environment, fueling an activity-dampening cycle in which distribution-starved limited partners (LPs) reined in new commitments.

About the authors

This article is a summary of a larger report, available as a PDF, that is a collaborative effort by Fredrik Dahlqvist , Alastair Green , Paul Maia, Alexandra Nee , David Quigley , Aditya Sanghvi , Connor Mangan, John Spivey, Rahel Schneider, and Brian Vickery , representing views from McKinsey’s Private Equity & Principal Investors Practice.

Performance in most private asset classes remained below historical averages for a second consecutive year. Decade-long tailwinds from low and falling interest rates and consistently expanding multiples seem to be things of the past. As private market managers look to boost performance in this new era of investing, a deeper focus on revenue growth and margin expansion will be needed now more than ever.

Perspectives on a slower era in private markets

Global fundraising contracted.

Fundraising fell 22 percent across private market asset classes globally to just over $1 trillion, as of year-end reported data—the lowest total since 2017. Fundraising in North America, a rare bright spot in 2022, declined in line with global totals, while in Europe, fundraising proved most resilient, falling just 3 percent. In Asia, fundraising fell precipitously and now sits 72 percent below the region’s 2018 peak.

Despite difficult fundraising conditions, headwinds did not affect all strategies or managers equally. Private equity (PE) buyout strategies posted their best fundraising year ever, and larger managers and vehicles also fared well, continuing the prior year’s trend toward greater fundraising concentration.

The numerator effect persisted

Despite a marked recovery in the denominator—the 1,000 largest US retirement funds grew 7 percent in the year ending September 2023, after falling 14 percent the prior year, for example 1 “U.S. retirement plans recover half of 2022 losses amid no-show recession,” Pensions and Investments , February 12, 2024. —many LPs remain overexposed to private markets relative to their target allocations. LPs started 2023 overweight: according to analysis from CEM Benchmarking, average allocations across PE, infrastructure, and real estate were at or above target allocations as of the beginning of the year. And the numerator grew throughout the year, as a lack of exits and rebounding valuations drove net asset values (NAVs) higher. While not all LPs strictly follow asset allocation targets, our analysis in partnership with global private markets firm StepStone Group suggests that an overallocation of just one percentage point can reduce planned commitments by as much as 10 to 12 percent per year for five years or more.

Despite these headwinds, recent surveys indicate that LPs remain broadly committed to private markets. In fact, the majority plan to maintain or increase allocations over the medium to long term.

Investors fled to known names and larger funds

Fundraising concentration reached its highest level in over a decade, as investors continued to shift new commitments in favor of the largest fund managers. The 25 most successful fundraisers collected 41 percent of aggregate commitments to closed-end funds (with the top five managers accounting for nearly half that total). Closed-end fundraising totals may understate the extent of concentration in the industry overall, as the largest managers also tend to be more successful in raising non-institutional capital.

While the largest funds grew even larger—the largest vehicles on record were raised in buyout, real estate, infrastructure, and private debt in 2023—smaller and newer funds struggled. Fewer than 1,700 funds of less than $1 billion were closed during the year, half as many as closed in 2022 and the fewest of any year since 2012. New manager formation also fell to the lowest level since 2012, with just 651 new firms launched in 2023.

Whether recent fundraising concentration and a spate of M&A activity signals the beginning of oft-rumored consolidation in the private markets remains uncertain, as a similar pattern developed in each of the last two fundraising downturns before giving way to renewed entrepreneurialism among general partners (GPs) and commitment diversification among LPs. Compared with how things played out in the last two downturns, perhaps this movie really is different, or perhaps we’re watching a trilogy reusing a familiar plotline.

Dry powder inventory spiked (again)

Private markets assets under management totaled $13.1 trillion as of June 30, 2023, and have grown nearly 20 percent per annum since 2018. Dry powder reserves—the amount of capital committed but not yet deployed—increased to $3.7 trillion, marking the ninth consecutive year of growth. Dry powder inventory—the amount of capital available to GPs expressed as a multiple of annual deployment—increased for the second consecutive year in PE, as new commitments continued to outpace deal activity. Inventory sat at 1.6 years in 2023, up markedly from the 0.9 years recorded at the end of 2021 but still within the historical range. NAV grew as well, largely driven by the reluctance of managers to exit positions and crystallize returns in a depressed multiple environment.

Private equity strategies diverged

Buyout and venture capital, the two largest PE sub-asset classes, charted wildly different courses over the past 18 months. Buyout notched its highest fundraising year ever in 2023, and its performance improved, with funds posting a (still paltry) 5 percent net internal rate of return through September 30. And although buyout deal volumes declined by 19 percent, 2023 was still the third-most-active year on record. In contrast, venture capital (VC) fundraising declined by nearly 60 percent, equaling its lowest total since 2015, and deal volume fell by 36 percent to the lowest level since 2019. VC funds returned –3 percent through September, posting negative returns for seven consecutive quarters. VC was the fastest-growing—as well as the highest-performing—PE strategy by a significant margin from 2010 to 2022, but investors appear to be reevaluating their approach in the current environment.

Private equity entry multiples contracted

PE buyout entry multiples declined by roughly one turn from 11.9 to 11.0 times EBITDA, slightly outpacing the decline in public market multiples (down from 12.1 to 11.3 times EBITDA), through the first nine months of 2023. For nearly a decade leading up to 2022, managers consistently sold assets into a higher-multiple environment than that in which they had bought those assets, providing a substantial performance tailwind for the industry. Nowhere has this been truer than in technology. After experiencing more than eight turns of multiple expansion from 2009 to 2021 (the most of any sector), technology multiples have declined by nearly three turns in the past two years, 50 percent more than in any other sector. Overall, roughly two-thirds of the total return for buyout deals that were entered in 2010 or later and exited in 2021 or before can be attributed to market multiple expansion and leverage. Now, with falling multiples and higher financing costs, revenue growth and margin expansion are taking center stage for GPs.

Real estate receded

Demand uncertainty, slowing rent growth, and elevated financing costs drove cap rates higher and made price discovery challenging, all of which weighed on deal volume, fundraising, and investment performance. Global closed-end fundraising declined 34 percent year over year, and funds returned −4 percent in the first nine months of the year, losing money for the first time since the 2007–08 global financial crisis. Capital shifted away from core and core-plus strategies as investors sought liquidity via redemptions in open-end vehicles, from which net outflows reached their highest level in at least two decades. Opportunistic strategies benefited from this shift, with investors focusing on capital appreciation over income generation in a market where alternative sources of yield have grown more attractive. Rising interest rates widened bid–ask spreads and impaired deal volume across food groups, including in what were formerly hot sectors: multifamily and industrial.

Private debt pays dividends

Debt again proved to be the most resilient private asset class against a turbulent market backdrop. Fundraising declined just 13 percent, largely driven by lower commitments to direct lending strategies, for which a slower PE deal environment has made capital deployment challenging. The asset class also posted the highest returns among all private asset classes through September 30. Many private debt securities are tied to floating rates, which enhance returns in a rising-rate environment. Thus far, managers appear to have successfully navigated the rising incidence of default and distress exhibited across the broader leveraged-lending market. Although direct lending deal volume declined from 2022, private lenders financed an all-time high 59 percent of leveraged buyout transactions last year and are now expanding into additional strategies to drive the next era of growth.

Infrastructure took a detour

After several years of robust growth and strong performance, infrastructure and natural resources fundraising declined by 53 percent to the lowest total since 2013. Supply-side timing is partially to blame: five of the seven largest infrastructure managers closed a flagship vehicle in 2021 or 2022, and none of those five held a final close last year. As in real estate, investors shied away from core and core-plus investments in a higher-yield environment. Yet there are reasons to believe infrastructure’s growth will bounce back. Limited partners (LPs) surveyed by McKinsey remain bullish on their deployment to the asset class, and at least a dozen vehicles targeting more than $10 billion were actively fundraising as of the end of 2023. Multiple recent acquisitions of large infrastructure GPs by global multi-asset-class managers also indicate marketwide conviction in the asset class’s potential.

Private markets still have work to do on diversity

Private markets firms are slowly improving their representation of females (up two percentage points over the prior year) and ethnic and racial minorities (up one percentage point). On some diversity metrics, including entry-level representation of women, private markets now compare favorably with corporate America. Yet broad-based parity remains elusive and too slow in the making. Ethnic, racial, and gender imbalances are particularly stark across more influential investing roles and senior positions. In fact, McKinsey’s research  reveals that at the current pace, it would take several decades for private markets firms to reach gender parity at senior levels. Increasing representation across all levels will require managers to take fresh approaches to hiring, retention, and promotion.

Artificial intelligence generating excitement

The transformative potential of generative AI was perhaps 2023’s hottest topic (beyond Taylor Swift). Private markets players are excited about the potential for the technology to optimize their approach to thesis generation, deal sourcing, investment due diligence, and portfolio performance, among other areas. While the technology is still nascent and few GPs can boast scaled implementations, pilot programs are already in flight across the industry, particularly within portfolio companies. Adoption seems nearly certain to accelerate throughout 2024.

Private markets in a slower era

If private markets investors entered 2023 hoping for a return to the heady days of 2021, they likely left the year disappointed. Many of the headwinds that emerged in the latter half of 2022 persisted throughout the year, pressuring fundraising, dealmaking, and performance. Inflation moderated somewhat over the course of the year but remained stubbornly elevated by recent historical standards. Interest rates started high and rose higher, increasing the cost of financing. A reinvigorated public equity market recovered most of 2022’s losses but did little to resolve the valuation uncertainty private market investors have faced for the past 18 months.

Within private markets, the denominator effect remained in play, despite the public market recovery, as the numerator continued to expand. An activity-dampening cycle emerged: higher cost of capital and lower multiples limited the ability or willingness of general partners (GPs) to exit positions; fewer exits, coupled with continuing capital calls, pushed LP allocations higher, thereby limiting their ability or willingness to make new commitments. These conditions weighed on managers’ ability to fundraise. Based on data reported as of year-end 2023, private markets fundraising fell 22 percent from the prior year to just over $1 trillion, the largest such drop since 2009 (Exhibit 1).

The impact of the fundraising environment was not felt equally among GPs. Continuing a trend that emerged in 2022, and consistent with prior downturns in fundraising, LPs favored larger vehicles and the scaled GPs that typically manage them. Smaller and newer managers struggled, and the number of sub–$1 billion vehicles and new firm launches each declined to its lowest level in more than a decade.

Despite the decline in fundraising, private markets assets under management (AUM) continued to grow, increasing 12 percent to $13.1 trillion as of June 30, 2023. 2023 fundraising was still the sixth-highest annual haul on record, pushing dry powder higher, while the slowdown in deal making limited distributions.

Investment performance across private market asset classes fell short of historical averages. Private equity (PE) got back in the black but generated the lowest annual performance in the past 15 years, excluding 2022. Closed-end real estate produced negative returns for the first time since 2009, as capitalization (cap) rates expanded across sectors and rent growth dissipated in formerly hot sectors, including multifamily and industrial. The performance of infrastructure funds was less than half of its long-term average and even further below the double-digit returns generated in 2021 and 2022. Private debt was the standout performer (if there was one), outperforming all other private asset classes and illustrating the asset class’s countercyclical appeal.

Private equity down but not out

Higher financing costs, lower multiples, and an uncertain macroeconomic environment created a challenging backdrop for private equity managers in 2023. Fundraising declined for the second year in a row, falling 15 percent to $649 billion, as LPs grappled with the denominator effect and a slowdown in distributions. Managers were on the fundraising trail longer to raise this capital: funds that closed in 2023 were open for a record-high average of 20.1 months, notably longer than 18.7 months in 2022 and 14.1 months in 2018. VC and growth equity strategies led the decline, dropping to their lowest level of cumulative capital raised since 2015. Fundraising in Asia fell for the fourth year of the last five, with the greatest decline in China.

Despite the difficult fundraising context, a subset of strategies and managers prevailed. Buyout managers collectively had their best fundraising year on record, raising more than $400 billion. Fundraising in Europe surged by more than 50 percent, resulting in the region’s biggest haul ever. The largest managers raised an outsized share of the total for a second consecutive year, making 2023 the most concentrated fundraising year of the last decade (Exhibit 2).

Despite the drop in aggregate fundraising, PE assets under management increased 8 percent to $8.2 trillion. Only a small part of this growth was performance driven: PE funds produced a net IRR of just 2.5 percent through September 30, 2023. Buyouts and growth equity generated positive returns, while VC lost money. PE performance, dating back to the beginning of 2022, remains negative, highlighting the difficulty of generating attractive investment returns in a higher interest rate and lower multiple environment. As PE managers devise value creation strategies to improve performance, their focus includes ensuring operating efficiency and profitability of their portfolio companies.

Deal activity volume and count fell sharply, by 21 percent and 24 percent, respectively, which continued the slower pace set in the second half of 2022. Sponsors largely opted to hold assets longer rather than lock in underwhelming returns. While higher financing costs and valuation mismatches weighed on overall deal activity, certain types of M&A gained share. Add-on deals, for example, accounted for a record 46 percent of total buyout deal volume last year.

Real estate recedes

For real estate, 2023 was a year of transition, characterized by a litany of new and familiar challenges. Pandemic-driven demand issues continued, while elevated financing costs, expanding cap rates, and valuation uncertainty weighed on commercial real estate deal volumes, fundraising, and investment performance.

Managers faced one of the toughest fundraising environments in many years. Global closed-end fundraising declined 34 percent to $125 billion. While fundraising challenges were widespread, they were not ubiquitous across strategies. Dollars continued to shift to large, multi-asset class platforms, with the top five managers accounting for 37 percent of aggregate closed-end real estate fundraising. In April, the largest real estate fund ever raised closed on a record $30 billion.

Capital shifted away from core and core-plus strategies as investors sought liquidity through redemptions in open-end vehicles and reduced gross contributions to the lowest level since 2009. Opportunistic strategies benefited from this shift, as investors turned their attention toward capital appreciation over income generation in a market where alternative sources of yield have grown more attractive.

In the United States, for instance, open-end funds, as represented by the National Council of Real Estate Investment Fiduciaries Fund Index—Open-End Equity (NFI-OE), recorded $13 billion in net outflows in 2023, reversing the trend of positive net inflows throughout the 2010s. The negative flows mainly reflected $9 billion in core outflows, with core-plus funds accounting for the remaining outflows, which reversed a 20-year run of net inflows.

As a result, the NAV in US open-end funds fell roughly 16 percent year over year. Meanwhile, global assets under management in closed-end funds reached a new peak of $1.7 trillion as of June 2023, growing 14 percent between June 2022 and June 2023.

Real estate underperformed historical averages in 2023, as previously high-performing multifamily and industrial sectors joined office in producing negative returns caused by slowing demand growth and cap rate expansion. Closed-end funds generated a pooled net IRR of −3.5 percent in the first nine months of 2023, losing money for the first time since the global financial crisis. The lone bright spot among major sectors was hospitality, which—thanks to a rush of postpandemic travel—returned 10.3 percent in 2023. 2 Based on NCREIFs NPI index. Hotels represent 1 percent of total properties in the index. As a whole, the average pooled lifetime net IRRs for closed-end real estate funds from 2011–20 vintages remained around historical levels (9.8 percent).

Global deal volume declined 47 percent in 2023 to reach a ten-year low of $650 billion, driven by widening bid–ask spreads amid valuation uncertainty and higher costs of financing (Exhibit 3). 3 CBRE, Real Capital Analytics Deal flow in the office sector remained depressed, partly as a result of continued uncertainty in the demand for space in a hybrid working world.

During a turbulent year for private markets, private debt was a relative bright spot, topping private markets asset classes in terms of fundraising growth, AUM growth, and performance.

Fundraising for private debt declined just 13 percent year over year, nearly ten percentage points less than the private markets overall. Despite the decline in fundraising, AUM surged 27 percent to $1.7 trillion. And private debt posted the highest investment returns of any private asset class through the first three quarters of 2023.

Private debt’s risk/return characteristics are well suited to the current environment. With interest rates at their highest in more than a decade, current yields in the asset class have grown more attractive on both an absolute and relative basis, particularly if higher rates sustain and put downward pressure on equity returns (Exhibit 4). The built-in security derived from debt’s privileged position in the capital structure, moreover, appeals to investors that are wary of market volatility and valuation uncertainty.

Direct lending continued to be the largest strategy in 2023, with fundraising for the mostly-senior-debt strategy accounting for almost half of the asset class’s total haul (despite declining from the previous year). Separately, mezzanine debt fundraising hit a new high, thanks to the closings of three of the largest funds ever raised in the strategy.

Over the longer term, growth in private debt has largely been driven by institutional investors rotating out of traditional fixed income in favor of private alternatives. Despite this growth in commitments, LPs remain underweight in this asset class relative to their targets. In fact, the allocation gap has only grown wider in recent years, a sharp contrast to other private asset classes, for which LPs’ current allocations exceed their targets on average. According to data from CEM Benchmarking, the private debt allocation gap now stands at 1.4 percent, which means that, in aggregate, investors must commit hundreds of billions in net new capital to the asset class just to reach current targets.

Private debt was not completely immune to the macroeconomic conditions last year, however. Fundraising declined for the second consecutive year and now sits 23 percent below 2021’s peak. Furthermore, though private lenders took share in 2023 from other capital sources, overall deal volumes also declined for the second year in a row. The drop was largely driven by a less active PE deal environment: private debt is predominantly used to finance PE-backed companies, though managers are increasingly diversifying their origination capabilities to include a broad new range of companies and asset types.

Infrastructure and natural resources take a detour

For infrastructure and natural resources fundraising, 2023 was an exceptionally challenging year. Aggregate capital raised declined 53 percent year over year to $82 billion, the lowest annual total since 2013. The size of the drop is particularly surprising in light of infrastructure’s recent momentum. The asset class had set fundraising records in four of the previous five years, and infrastructure is often considered an attractive investment in uncertain markets.

While there is little doubt that the broader fundraising headwinds discussed elsewhere in this report affected infrastructure and natural resources fundraising last year, dynamics specific to the asset class were at play as well. One issue was supply-side timing: nine of the ten largest infrastructure GPs did not close a flagship fund in 2023. Second was the migration of investor dollars away from core and core-plus investments, which have historically accounted for the bulk of infrastructure fundraising, in a higher rate environment.

The asset class had some notable bright spots last year. Fundraising for higher-returning opportunistic strategies more than doubled the prior year’s total (Exhibit 5). AUM grew 18 percent, reaching a new high of $1.5 trillion. Infrastructure funds returned a net IRR of 3.4 percent in 2023; this was below historical averages but still the second-best return among private asset classes. And as was the case in other asset classes, investors concentrated commitments in larger funds and managers in 2023, including in the largest infrastructure fund ever raised.

The outlook for the asset class, moreover, remains positive. Funds targeting a record amount of capital were in the market at year-end, providing a robust foundation for fundraising in 2024 and 2025. A recent spate of infrastructure GP acquisitions signal multi-asset managers’ long-term conviction in the asset class, despite short-term headwinds. Global megatrends like decarbonization and digitization, as well as revolutions in energy and mobility, have spurred new infrastructure investment opportunities around the world, particularly for value-oriented investors that are willing to take on more risk.

Private markets make measured progress in DEI

Diversity, equity, and inclusion (DEI) has become an important part of the fundraising, talent, and investing landscape for private market participants. Encouragingly, incremental progress has been made in recent years, including more diverse talent being brought to entry-level positions, investing roles, and investment committees. The scope of DEI metrics provided to institutional investors during fundraising has also increased in recent years: more than half of PE firms now provide data across investing teams, portfolio company boards, and portfolio company management (versus investment team data only). 4 “ The state of diversity in global private markets: 2023 ,” McKinsey, August 22, 2023.

In 2023, McKinsey surveyed 66 global private markets firms that collectively employ more than 60,000 people for the second annual State of diversity in global private markets report. 5 “ The state of diversity in global private markets: 2023 ,” McKinsey, August 22, 2023. The research offers insight into the representation of women and ethnic and racial minorities in private investing as of year-end 2022. In this chapter, we discuss where the numbers stand and how firms can bring a more diverse set of perspectives to the table.

The statistics indicate signs of modest advancement. Overall representation of women in private markets increased two percentage points to 35 percent, and ethnic and racial minorities increased one percentage point to 30 percent (Exhibit 6). Entry-level positions have nearly reached gender parity, with female representation at 48 percent. The share of women holding C-suite roles globally increased 3 percentage points, while the share of people from ethnic and racial minorities in investment committees increased 9 percentage points. There is growing evidence that external hiring is gradually helping close the diversity gap, especially at senior levels. For example, 33 percent of external hires at the managing director level were ethnic or racial minorities, higher than their existing representation level (19 percent).

Yet, the scope of the challenge remains substantial. Women and minorities continue to be underrepresented in senior positions and investing roles. They also experience uneven rates of progress due to lower promotion and higher attrition rates, particularly at smaller firms. Firms are also navigating an increasingly polarized workplace today, with additional scrutiny and a growing number of lawsuits against corporate diversity and inclusion programs, particularly in the US, which threatens to impact the industry’s pace of progress.

Fredrik Dahlqvist is a senior partner in McKinsey’s Stockholm office; Alastair Green  is a senior partner in the Washington, DC, office, where Paul Maia and Alexandra Nee  are partners; David Quigley  is a senior partner in the New York office, where Connor Mangan is an associate partner and Aditya Sanghvi  is a senior partner; Rahel Schneider is an associate partner in the Bay Area office; John Spivey is a partner in the Charlotte office; and Brian Vickery  is a partner in the Boston office.

The authors wish to thank Jonathan Christy, Louis Dufau, Vaibhav Gujral, Graham Healy-Day, Laura Johnson, Ryan Luby, Tripp Norton, Alastair Rami, Henri Torbey, and Alex Wolkomir for their contributions

The authors would also like to thank CEM Benchmarking and the StepStone Group for their partnership in this year's report.

This article was edited by Arshiya Khullar, an editor in the Gurugram office.

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Sony and Apollo Move Ahead With Paramount Bid Process but Reticent About Earlier Plan, NYT Reports

FILE PHOTO: The logo of Paramount Pictures studios is pictured after the Writers Guild of America (WGA) said it reached a preliminary labor agreement with major studios in Los Angeles, California, U.S., September 24, 2023. REUTERS/David Swanson/File Photo

(Reuters) - Sony Pictures Entertainment and Apollo Global Management have signed nondisclosure agreements that will allow them to look at Paramount's books ahead of a potential bid for the movie studio's assets, the New York Times reported on Friday, citing people familiar with the matter.

The companies are, however, backing away from an initial plan to make an all-cash $26 billion offer for Paramount, the newspaper said.

Reuters reported this month that Paramount was in talks to open its books to a consortium of the Sony movie unit and the U.S. buyout firm. CNBC later reported that Sony was rethinking its bid, sending Paramount's shares tumbling and helping the Japanese firm's shares surge after upbeat earnings.

Sony and Apollo are now contemplating a variety of approaches to acquire Paramount's assets, the New York Times said.

Paramount declined to comment on the report, while Sony and Apollo did not immediately respond to a request for comment late Friday.

Like other studios, Paramount has been struggling to recover from last year's months-long strikes by Hollywood writers and actors, a soft advertising market and falling cable subscriptions in the United States which have eroded profits for its TV business.

Paramount has also been talking with Skydance Media but earlier this month ended a period of exclusivity in the negotiations.

(Reporting by Mrinmay Dey in Bengaluru; Editing by Edwina Gibbs)

Copyright 2024 Thomson Reuters .

Tags: United States , Japan

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