Chapter Two

Defining Research Problem and Formulating Hypothesis

In research process, the first and foremost step happens to be that of selecting and properly

defining a research problem. A researcher must find the problem and formulate it so that it

becomes susceptible to research. Like a medical doctor, a researcher must examine all the

symptoms (presented to him or observed by him) concerning a problem before he can diagnose

correctly. To define a problem correctly, a researcher must know: what a problem is? A research

problem, in general, refers to some difficulty which a researcher experiences in the context of either

a theoretical or practical situation and wants to obtain a solution for the same. Thus, a research

problem is one which requires a researcher to find out the best solution for the given problem, i.e.,

to find out by which course of action the objective can be attained optimally in the context of a

given environment. There are several factors which may result in making the problem

complicated. For instance, the environment may change affecting the efficiencies of the courses of

action or the values of the outcomes; the number of alternative courses of action may be very large;

persons not involved in making the decision may be affected by it and react to it favorably or

unfavorably, and similar other factors. All such elements (or at least the important ones) may be

thought of in context of a research problem.

Identifying the research problem clearly and in a few words is the first step in the research process

as mentioned earlier. Hence it can be considered as the most important step in the entire research

process. It is said that if the first step is not done correctly, the remaining steps will be a waste of

time and labor.

Research problem is often called as defining the study question. Some others call it as a process of

establishing a rationale for the study. Sometimes it is known as the research topic or the research

situation or the information need. They all mean the same thing. i.e. establishing what one wants to

know and why. How research scholars can determine what topic to research or what research

problem to address? From where do they get the research questions? Frey (1991) states that

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research topics are generally derived from two sources: the need to test and refine theory, referred

to as basic or pure research and the need to solve a practical problem, referred to as applied

research. Research topics can come from review of professional literature, discussions with

colleagues, day-to-day observations of real life situations, textbooks, and research publications to

name a few. The following guidelines provided by McNabb would be very useful when choosing a

research topic.

• Research and write about something that interests you

• Be sure enough material about the topic is available to allow you to do a good job

• Make sure that the topic is not so big that it is overwhelming

• Be sure that topic fits your abilities and understanding

• Make sure that you take good notes once you start reading about the topic

• Ask your reference librarian for guidance on your research topic

Selecting the Problem

The research problem undertaken for study must be carefully selected. The task is a difficult one,

although it may not appear to be so. Help may be taken from a research guide in this connection.

Nevertheless, every researcher must find out his own salvation for research problems cannot be

borrowed. A problem must spring from the researcher’s mind like a plant springing from its own

seed. If our eyes need glasses, it is not the optician alone who decides about the number of the lens

we require. We have to see ourselves and enable him to prescribe for us the right number by

cooperating with him. Thus, a research guide can at the most only help a researcher choose a

subject. However, the following points may be observed by a researcher in selecting a research

problem or a subject for research:

 Subject which is overdone should not be normally chosen, for it will be a difficult task to throw

any new light in such a case.

 Controversial subject should not become the choice of an average researcher.

 Too narrow or too vague problems should be avoided.

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 The subject selected for research should be familiar and feasible so that the related research

material or sources of research are within one’s reach. Even then it is quite difficult to supply

definitive ideas concerning how a researcher should obtain ideas for his research. For this

purpose, a researcher should contact an expert or a professor in the University who is already

engaged in research. He may as well read articles published in current literature available on

the subject and may think how the techniques and ideas discussed therein might be applied to

the solution of other problems. He may discuss with others what he has in mind concerning a

problem. In this way he should make all possible efforts in selecting a problem.

 The importance of the subject, the qualifications and the training of a researcher, the costs

involved, and the time factor are few other criteria that must also be considered in selecting a

problem. In other words, before the final selection of a problem is done, a researcher must ask

himself the following questions:

a. Whether he is well equipped in terms of his background to carry out the research?

b. Whether the study falls within the budget he can afford?

c. Whether the necessary cooperation can be obtained from those who must participate

in research as subjects?

If the answers to all these questions are in the affirmative, one may become sure so far as the

practicability of the study is concerned.

 The selection of a problem must be preceded by a preliminary study. This may not be

necessary when the problem requires the conduct of a research closely similar to one that

has already been done. But when the field of inquiry is relatively new and does not have

available a set of well developed techniques, a brief feasibility study must always be

undertaken.

If the subject for research is selected properly by observing the above mentioned points, the

research will not be a boring drudgery, rather it will be love’s labor. In fact, zest for work is a must.

The subject or the problem selected must involve the researcher and must have an upper most

place in his mind so that he may undertake all pains needed for the study.

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 Technique Involved in Defining a Problem

Let us start with the question: What does one mean when he/she wants to define a research

problem? The answer may be that one wants to state the problem along with the bounds within

which it is to be studied. In other words, defining a problem involves the task of laying down

boundaries within which a researcher shall study the problem with a pre-determined objective in

view. How to define a research problem is undoubtedly a herculean task. However, it is a task that

must be tackled intelligently to avoid the perplexity encountered in a research operation. The usual

approach is that the researcher should himself pose a question (or in case someone else wants the

researcher to carry on research, the concerned individual, organization or an authority should pose

the question to the researcher) and set-up techniques and procedures for throwing light on the

question concerned for formulating or defining the research problem. But such an approach

generally does not produce definitive results because the question phrased in such a fashion is

usually in broad general terms and as such may not be in a form suitable for testing. Defining a

research problem properly and clearly is a crucial part of a research study and must in no case be

accomplished hurriedly. However, in practice this frequently overlooked which causes a lot of

problems later on. Hence, the research problem should be defined in a systematic manner, giving

due weight to all relating points. The technique for the purpose involves the undertaking of the

following steps generally one after the other: (i) statement of the problem in a general way; (ii)

understanding the nature of the problem; (iii) surveying the available literature (iv) developing the

ideas through discussions; and (v) rephrasing the research problem into a working proposition. A

brief description of all these points will be helpful.

Statement of the problem in a general way: First of all the problem should be stated in a broad

general way, keeping in view either some practical concern or some scientific or intellectual

interest. For this purpose, the researcher must immerse himself thoroughly in the subject matter

concerning which he wishes to pose a problem. In case of social research, it is considered advisable

to do some field observation and as such the researcher may undertake some sort of preliminary

survey or what is often called pilot survey. Then the researcher can himself state the problem or he

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can seek the guidance of the guide or the subject expert in accomplishing this task. Often, the guide

puts forth the problem in general terms, and it is then up to the researcher to narrow it down and

phrase the problem in operational terms. In case there is some directive from an organizational

authority, the problem then can be stated accordingly. The problem stated in a broad general way

may contain various ambiguities which must be resolved by cool thinking and rethinking over the

problem. At the same time the feasibility of a particular solution has to be considered and the same

should be kept in view while stating the problem.

Understanding the nature of the problem: The next step in defining the problem is to understand

its origin and nature clearly. The best way of understanding the problem is to discuss it with those

who first raised it in order to find out how the problem originally came about and with what

objectives in view. If the researcher has stated the problem himself, he should consider once again

all those points that induced him to make a general statement concerning the problem. For a better

understanding of the nature of the problem involved, he can enter into discussion with those who

have a good knowledge of the problem concerned or similar other problems. The researcher

should also keep in view the environment within which the problem is to be studied and

understood.

Surveying the available literature: All available literature concerning the problem at hand must

necessarily be surveyed and examined before a definition of the research problem is given. This

means that the researcher must be well-conversant with relevant theories in the field, reports and

records as also all other relevant literature. He must devote sufficient time in reviewing of research

already undertaken on related problems. This is done to find out what data and other materials, if

any, are available for operational purposes. “Knowing what data are available often serves to

narrow the problem itself as well as the technique that might be used.” This would also help a

researcher to know if there are certain gaps in the theories, or whether the existing theories

applicable to the problem under study are inconsistent with each other, or whether the findings of

the different studies do not follow a pattern consistent with the theoretical expectations and so on.

All this will enable a researcher to take new strides in the field for furtherance of knowledge i.e., he

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can move up starting from the existing premise. Studies on related problems are useful for

indicating the type of difficulties that may be encountered in the present study as also the possible

analytical shortcomings. At times such studies may also suggest useful and even new lines of

approach to the present problem.

Developing the ideas through discussions: Discussion concerning a problem often produces

useful information. Various new ideas can be developed through such an exercise. Hence, a

researcher must discuss his problem with his colleagues and others who have enough experience

in the same area or in working on similar problems. This is quite often known as an experience

survey. People with rich experience are in a position to enlighten the researcher on different aspects

of his proposed study and their advice and comments are usually invaluable to the researcher.

They help him sharpen his focus of attention on specific aspects within the field. Discussions with

such persons should not only be confined to the formulation of the specific problem at hand, but

should also be concerned with the general approach to the given problem, techniques that might

be used, possible solutions, etc.

Rephrasing the research problem: Finally, the researcher must sit to rephrase the research

problem into a working proposition. Once the nature of the problem has been clearly understood,

the environment (within which the problem has got to be studied) has been defined, discussions

over the problem have taken place and the available literature has been surveyed and examined,

rephrasing the problem into analytical or operational terms is not a difficult task. Through

rephrasing, the researcher puts the research problem in as specific terms as possible so that it may

become operationally viable and may help in the development of working hypotheses.

Tasks in the Problem Definition Process

The following seven steps have been mentioned as parts of the processes needed to identify and

define research problems.

1. Relate the problem to program mission and objectives

2. Review the background of the problem

3. Establish problem sub areas, components, or factors

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 4. Determine what has to be measured

5. Determine relevant variables

6. Establish research objectives and relevant sub-objectives

7. Conduct pilot study to redefine variables, objectives and sub-objectives

1. Relating the problem to program mission and objectives

Determining whether the proposed research project will produce information that is

commensurate with the purpose, goals and objectives of the organization, program, or institution

will be the first step in the problem definition process. The research project has to be worth the

effort, time and money it would consume. In brief, the relevance of the research project has to be

clearly spelt out. We have to be certain that we are not undertaking repetitive research by finding

out whether someone else has already researched the same problem. Further, one has to ensure

that the information we wish to obtain through the research would be beneficial to the society at

large and the organization’s functioning, programs or operations in particular. A thorough review

of the background and the literature on the topic would be relevant in this context. Discussions

and interviews with the several knowledgeable persons or key informants who have more

familiarity with the problem would also be necessary in this context. For example, a study

conducted by the Planning and Research Department of the Government of Ethiopia on

‘Implementation of Value Added Tax in Ethiopia’ had the following objectives. This study was very

much related to the purpose, goals and objectives of the Customs and Revenue Authority for

which the study was conducted.

• To assess whether the implementation of Value Added Tax (VAT) has met its objectives of

generating more government revenue, encouraging investment and export, and

modernizing the tax administration

• To identify the basic constraints or problems that hinder the smooth implementation of the

VAT in Ethiopia and

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 • To identify possible solutions to alleviate identified problems and speed up the

implementation of VAT

2. Review the background of the problem

Two aspects of a problem’s background known as internal background and external background

have to be considered. The nature of the problem within the organization is known as internal

background. The total body of the knowledge on the topic that is available within an organization

might be in the form of published reports, records, and archives or in the memories of the other

persons in the organization. Any researcher has to first look into these sources when beginning a

research. The work that already exists on the problem, its causes and cures, and the method that

other researchers have approached the problem constitute the external background. Accessing and

assessing this earlier work is called as a review of the literature. This includes all the published and

unpublished material on the subject.

3. Establish Problem Sub-areas, Components, or Factors

Once the research problem or a situation that requires more information is identified, it has to be

broken down into as many parts or sub-problems as possible. It is generally not possible to include

all the sub-areas or components in the research study. Therefore, they have to be prioritized so that

the most important components are studied.

4. Determine what has to be measured

The next step is to determine which relevant components should be measured. For instance,

consider a researcher is confronted with the problem of school dropouts in given school. Should

the researcher collect data on local economic conditions, schools, ethnic groups, families, family

income, family size, peer groups, students who drop out, students who do not drop out, or

students below a certain age or above that age, students above a particular level, educational level

of teachers and locality of the school? Accessibility is an important aspect that has to be considered

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in this regard. If the element or subject to be measured is a person, that person must have the

needed information, be willing to share the information with the researcher and speak the

researcher’s language.

5. Determine Relevant Variables

Anything that changes in value or varies in some way is known as a variable. The variable can be

measured in some way. It is said that variables are study questions that have been rephrased into

testable statements. In the previous example, the school dropout is a study question. The annual

rate of dropouts is a variable that can be measured. Gender, age, ethnic group of the drop out, level

of education of the dropout’s parents and the location of the dropout’s residence are some of the

other variables. The dropout’s attitudes or opinions about education in general, effectiveness of the

dropout’s teachers and the dropout’s need to work in order to support a family are also variables in

this context.

Before proceeding further, it is necessary to discuss about the concept, which has been considered

as the basic building block in constructing causal explanations. Concept pinpoints an idea or

element thought to be essential in accounting for the class of events under study. Concepts have

been defined in two ways. First is a nominal definition, known as the standard dictionary

definition. Second is an operational definition, which translates the nominal definition into a form

in which the concept can be measured empirically. Once concepts have been operationalized and

measured in a sample of data, they are called variables.

There are several types of variables. One way of dividing variables is based on the type of

numerical measurements they provide. Two categories of variables such as categorical and

continuous variables are available based on this classification. Categorical variables called as

discrete variables have a limited number of possible categories. Gender is an example, with just

two categories: female and male. Continuous variables can have an unlimited number of values.

Values for continuous variables can be measured on a continuous scale such as weights in grams or

height in centimeters. They are not restricted to specific, discrete categories or values as in the case

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of categorical variables. Another major category of variables is dependent and independent. This

classification is important in causal research designs. It is the goal of most research to explain and

account for changes or variation in the dependent variable. Dependent variables are variables that

are influenced in some way by another variable or variables. Independent variables are the

variables that act upon the dependent variable(s). A variable thought to lead to or produce changes

in the dependent variable is called independent variable. Explanatory, predictor, or casual variables

are the other terms or the independent variables.

6. Establish Research Objective and Relevant Sub-objectives

Research objectives are statements of what the researcher wants to accomplish by completing the

research study. They are directly related to the study question. The example of the study on

‘Implementation of value added tax in Ethiopia’ mentioned above had three objectives as one may

recollect.

7. Conduct pilot study to redefine variables, objectives and sub- objectives

Pilot testing the study instrument or discussion guide is a critical step in the research process.

Researchers are very much different from their research subjects. The researchers and the subjects

(respondents) do not look at variables in the same way. The working definitions of variables and

issues are also different. Hence a thorough pretest of data-gathering scheme will be helpful in

reducing the study error.

In addition to what has been stated above, the following points must also be observed while

defining a research problem:

 Technical terms and words or phrases, with special meanings used in the statement of the

problem, should be clearly defined.

 Basic assumptions or postulates (if any) relating to the research problem should be clearly

stated.

 A straight forward statement of the value of the investigation (i.e., the criteria for the

selection of the problem) should be provided.

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  The suitability of the time-period and the sources of data available must also be considered

by the researcher in defining the problem.

 The scope of the investigation or the limits within which the problem is to be studied must

be mentioned explicitly in defining a research problem.

Hypothesis and Hypothesis Formulation

Hypothesis is usually considered as the principal instrument in research. Its main function is to

suggest new experiments and observations. In fact, many experiments are carried out with the

deliberate object of testing hypotheses. Decision-makers often face situations wherein they are

interested in testing hypotheses on the basis of available information and then take decisions on

the basis of such testing. In social science, where direct knowledge of population parameter(s) is

rare, hypothesis testing is the often used strategy for deciding whether a sample data offer such

support for a hypothesis that generalization can be made. Thus hypothesis testing enables us to

make probability statements about population parameter(s). The hypothesis may not be proved

absolutely, but in practice it is accepted if it has withstood a critical testing. Before we explain how

hypotheses are tested through different tests meant for the purpose, it will be appropriate to

explain clearly the meaning of a hypothesis and the related concepts for better understanding of

the hypothesis testing techniques.

Ordinarily, when one talks about hypothesis, one simply means a mere assumption or some

supposition to be proved or disproved. But for a researcher hypothesis is a formal question that he

intends to resolve. Thus a hypothesis may be defined as a proposition or a set of proposition set

forth as an explanation for the occurrence of some specified group of phenomena either asserted

merely as a provisional conjecture to guide some investigation or accepted as highly probable in

the light of established facts. Quite often a research hypothesis is a predictive statement, capable of

being tested by scientific methods, that relates an independent variable to some dependent

variable. For example, consider statements like the following ones:

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 “Students who receive counseling will show a greater increase in creativity than

students not receiving counseling”

Or “the automobile A is performing as well as automobile B.”

These are hypotheses capable of being objectively verified and tested. Thus, we may conclude that

a hypothesis states what we are looking for and it is a proposition which can be put to a test to

determine its validity.

Characteristics of hypothesis:

Hypothesis must possess the following characteristics:

1. Hypothesis should be clear and precise. If the hypothesis is not clear and precise, the

inferences drawn on its basis cannot be taken as reliable.

2. Hypothesis should be capable of being tested. In a swamp of untestable hypotheses, many

time the research programmes have bogged down. Some prior study may be done by

researcher in order to make hypothesis a testable one. A hypothesis “is testable if other

deductions can be made from it which, in turn, can be confirmed or disproved by

observation.”

3. Hypothesis should state relationship between variables, if it happens to be a relational

hypothesis.

4. Hypothesis should be limited in scope and must be specific. A researcher must remember

that narrower hypotheses are generally more testable and he should develop such

hypotheses.

5. Hypothesis should be stated as far as possible in most simple terms so that the same is

easily understandable by all concerned. But one must remember that simplicity of

hypothesis has nothing to do with its significance.

6. Hypothesis should be consistent with most known facts i.e., it must be consistent with a

substantial body of established facts. In other words, it should be one which judges accept

as being the most likely.

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 7. Hypothesis should be amenable to testing within a reasonable time. One should not use

even an excellent hypothesis, if the same cannot be tested in reasonable time for one cannot

spend a life-time collecting data to test it.

8. Hypothesis must explain the facts that gave rise to the need for explanation. This means that

by using the hypothesis plus other known and accepted generalizations, one should be able

to deduce the original problem condition. Thus hypothesis must actually explain what it

claims to explain; it should have empirical reference.

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