The Research Problem

All forms of systematic inquiry - research, evaluation, or development - may be considered as actions in response to problems. Thus, having a well-conceived problem statement is an essential component of all these activities, though this aspect is sometimes ignored or made to seem more of an intuitive process compared to other parts of the process. As stated, the problem statement serves a foundational role in that it communicates what is the formal reason for engaging in the dissertation in the first place. Nearly all research handbooks advise that stating the problem is either the first or among the first steps of the research process. Merriam and Simpson (1995) identify five steps to the research process, with identifying a concern or problem as being the first step. Hershey, Jacobs-Lawson, and Wilson (2006) use the interesting metaphor of a research script to describe a sort of personalized action plan for researchers. The formulation of the problem and research questions actually comes about as part of the third element of the process. Ary, Jacobs, Razavieh, and Sorenson (2005) discuss at some length the nature and sources of problems that need to be considered when doing educational research. Swanson and Holton (2005) propose a process of framing research in organizations, including making a problem decision. Problem statements are sometimes associated more with a logical positivistic perspective of inquiry. That is, viewing science as a systematic orderly process - the scientific method - starting with stating hypotheses through building knowledge through empirical means. Alternately, adherents to a grounded theory view inquiry as a means to allow theory to emerge from the data, suggesting a reversal of the steps related to the scientific method (Stebbins, 2001). In following a grounded theory approach, the precise problem may not be known at the outset of the research, though there might be a notion that a problem situation exists. As a result, the problem statement becomes part of the outcomes of the study, after the data have been gathered and the broad groups of concepts, as derived from the results, have been analyzed to generate a theory (Glaser & Strauss, 1967). Based on the theory that was generated, prospective research problems can be proposed as a means to begin testing the theory. The intent of this article is not to invoke a debate about the relative merits of one approach to inquiry or another. Rather, the point here is that regardless of the researcher's perspective, problem statements play a crucial role in communicating the logic of the research, whether these statements are presented a priori or post hoc in the study. Research problems do not exist in nature just waiting to be plucked out by some observant researcher (Guba, 1978). Instead, they are artificial entities that come together only through the intense efforts of the researcher, who has identified a gap in information or understanding within a topic. In general, the information that forms the problem statement must be first induced from the literature, framed around certain theoretical understandings, and articulated in a way that clearly represents the interests of the researcher. Thus, problem statements differ from a topic of interest. That is, a student might express an interest in, say, workplace learning for a dissertation study. However, that information tells us virtually nothing about the research problem to be studied within workplace learning. Problem statements involve more that merely narrowing down a broad topic of interest into something more specific. Problem statements involve an understanding of the discontinuities that exist when more than one phenomenon is examined at the same time.

In general, problem statements describe a gap in sets of information which results in a call for action or resolution. There are usually three major functions of a problem statement. First, problem statements establish the existence of two or more factors, which by their interactions produce a perplexing or troublesome state, that yield an undesirable consequence. Kerlinger (1987) states that research problems represent the relationships between two variables at odds with each other. Oftentimes, the factors being considered can be shown to be true at the same time and the resulting tension between the two opposing true statements provide the intellectual basis to formulate the problem. For instance, consider that the following statements about human resource development practice are both true and, at the same time, also they begin to frame the perplexing or troublesome situation required of a problem.

HRD professionals profess to value using a systems approach to develop training programs.

HRD professionals seldom use a systems approach in their actual practice to develop training programs.

The second function of problem statements is to justify the usefulness of the information that might be gained by investigating the problem. That is, given that a perplexing situation exists, the following question might be asked: Many such perplexing situations exist in professional practice, so why is this one of importance? The basis of this response could be drawn from a range of reasons. For instance, the importance for understanding the above two statements might rest with the need for organizations to make effective use of their resources, and the systems approach is best suited to ensure that this occurs. Thus, based on this justification, understanding how these two statements could be both true helps the researcher build the case for why the opposing statements deserve attention. It should be noted that the perspective of this justification often confuses students about the intent of the activity. Briefly, research might seek to describe and explain why the statements can both be true, often through the introduction of theory. Development might seek to implement a solution to address the problem. Evaluation might seek to determine the extent to which the solutions in fact addressed the problem. Finally, the problem statement presents the purpose of the present study to address the troublesome or perplexing situation. That is, what the researcher has planned in response to the existence of the opposing factors. Given that the researcher can select among options, there is an element of subjectivity in what factors frame the problem and what goals are set for the study, in the context of the scholarly literature. Thus, in the presence of the same information, different researchers may in fact propose the same or different problem and identify the same or different goals for the study. Deriving Problem Statements How a research problem is actually identified is a matter of intense interest for many in human resource development and adult education because no one approach seems to fit best for all situations. Most texts on research suggest that researchers should use some combination of sources of information to derive the problem statement (Merriam and Simpson, 1995), though the precise way to actually use each source is seldom discussed. Literature Reviews Perhaps the most common recommendation is that potential research problems might be found by conducting a review of the scholarly literature, which should provide an in-depth knowledge of the topic. The review should reveal what research questions have been asked, which research questions have been resolved and which remain in question, and what research questions might still need to be asked. In addition, developing expertise on a topic provides the intellectual basis to induce potential problems when observing actual settings or discussing the observations of others. No other source of information alone contributes in helping to derive research problems to the same extent as doing the literature review.

Personal Experience

The adage often goes that nothing can replace the value of personal experience. The same is often true from a research perspective as well. In most instances, personal experience represents the insights gained about a topic or situation when engaged in some level of professional practice. Elsewhere, the notion of partnership research was introduced as a means to gain greater tangible insights into phenomena, which might otherwise come only through the literature. In this sense, partnership research is defined as deriving research from practice (Jacobs, 1997). To accomplish this, researchers should consider first gaining some close-up understanding of the topic through practice, since practice is often the best way to achieve any depth of true understanding (van de Ven and Johnson, 2006). Additionally, if the researcher seeks to eventually influence practice through research, then research problems should be grounded in the practice in the first place. Drawing from personal experience does not negate the need to rely on the scholarly literature. In fact, the scholarly literature provides a frame from which the observant practitioner/researcher can tease out what problems might be of some importance. Students often feel frustrated when attempting to derive meaningful research problems on a topic without much grounding in practice. This is an all too common occurrence, which in many cases calls for better preparation and advising. For instance, many students now express an interest in studying web-based training as it is being used in organizations. At first glance, this focus represents an important topic for the human resource development field, but to make such research truly worthwhile, it seems necessary for students to have gained some first-hand experience either in designing or managing this training approach. Unfortunately, many students express a scholarly interest in studying such topics, but are limited in their perspectives since they have limited practical experiences to buttress their scholarly interest.

Assignment:

Based on the above article, why is "Problem Statement" one of the most important components of a doctoral dissertation?