A WRITER'S GUIDE TO RESEARCH AND DEVELOPMENT PROPOSALS Copyright 1984-2000 Daniel Cline David L.

Clark

CONTENTS Note! Note! Note! Some of these pages have additional links to examples HISTORYof this document PROBLEM STATEMENT (this page) LOGICAL STRUCTURE, THEORETICAL FRAMEWORK LIMITATIONS, DELIMITATIONS REVIEW OF RELATED RESEARCH OBJECTIVES HYPOTHESES AND QUESTIONS PROCEDURES PROPOSAL FORMAT Home THE PROBLEM STATEMENT Research and development proposals, whether designed for master's theses, doctoral dissertations, internal agency projects, or applications to external funding sources, may be considered as responses to a problem. Despite the obvious and integral link between the statement of the problem and the raison d'tre of the entire proposal, the nature of problems remains largely unexplicated and the processes for generating problem statements are ignored altogether or charged off as an intuitive activity that will become evident to the neophyte inquirer as he gains experience and expertise in his craft. Research texts devote sections to the methodology associated with carrying out the inquiry, i.e., procedures, but will dispense with the problem with such peculiar statements as: "It is not always possible for the researcher to formulate his problem simply, clearly, and completely. He often may only have a rather general, diffuse, even confused, notion of the problem...aproblem, then is an interrogative sentence or statement that asks: What relation exists between two or more variables?" (Kerlinger, 1986, pp. 16-17).

I would like to suggest that a problem statement is not general, diffuse, confused, or simplistic; they get that way because the writer fails to grapple with the essential elements. Neither is a coherent and functional problem statement an interrogative sentence as Kerlinger(1) suggests (and many university professors believe); that is, a problem statement is not a question, although of necessity it becomes the springboard for generating and presenting research questions in an R&D proposal. A problem statement is a logical argument with structure, sequence, substance and rationale. It is a constant complaint among those who evaluate proposals that the most frequent deficiency noted by them is the lack of a clear problem statement to define and guide the inquiry. And the most frequent dilemna among graduate students is their seemingly aimless search for a problem significant enough to pursue and discrete enough to handle. More often than not, "problem statements" take on the characteristics described by Kerlinger and proposals end up looking like solutions in search of a problem to which they might become attached. A well articulated statement of the problem establishes the foundation for everything to follow in the proposal and will render less problematic most of the conceptual, rhetorical and methodological obstacles typically encountered during the process of proposal development. This means that, in subsequent sections of the proposal, there should be no surprises, such as categories, questions, varialbes or data sources that come out of nowhere: if it can't be found in the problem section, at least at the implicit level, then it either does not belong in the study or the problem statement needs to be re-written. Defining a Problem A problem is a situation resulting from the interaction or juxtaposition of two or more factors (e.g., givens, constraints, conditions, desires, etc.) which yields (1) a perplexing or enigmatic state, (2) an undesirable consequence, or (3) a conflict which renders the choice from among alternative courses of action moot. A problem solution is an action which clarifies the perplexing or enigmatic state, which alleviates or eliminates an undesirable consequence, or which resolves the conflict or delineates the course of action to be taken. The nature of the relationship between or among the factors generating the problem may take any of several forms, e.g.: 1. provocative exception 2. contradictory evidence

3. moot alternatives, i.e., knowledge void 4. action-knowledge conflict 5. knowledge-action conflict 6. other Functions of a Problem Statement 1. Establishing - to establish the existence of two or more juxtaposed factors which, by their interaction produce an enigmatic or perplexing state, yield an undesirable consequence, or result in a conflict which renders the choice from among alternatives moot. 2. Relating - to relate the problem to its antecedents (i.e., educational, scientific, social). 3. Justifying - to justify the utility, significance, or interest inherent in the pursuit of the problem. Common Deficiencies of Problem Statements - Failure to establish the existence of a problem, e.g., raw statements like: "The purpose of this project is to..." "The question(s) to be investigated is..." "The Acme Inventory of Dissertation Dementia will be used to..." - Statement of a condition - "The number one problem in the country today is inflation." - The Boiler Plate problem - The problem that has no history - Parochialism - personal, institutional, disciplinary - The "lick the world" statement - The solution that makes no difference - The justification without a problem A Format for Generating Problems Principle Proposition Ordinarily stated in the form of a given; a generalization; a generally accepted proposition; a description of a condition; and less frequently, but possibly, a goal. One example of a principal proposition in the category of a

description of a condition might be a brief literature based narrative review of models of instruction that concludes with "so it can be seen that a wide variety of models of instruction are available to teachers, some theoretical, some empirically grounded...". Another might be a brief summary of the scientific evidence that under girds Darwin's law of natural selection that ends with a statement such as, "Therefore, all known species of flower either reproduce through cross pollination, have evolved into self reproducing organisms, or they become extinct." Interacting Proposition The interacting proposition is juxtaposed with the principle proposition to form the second link in the argument establishing the existence of the problem by contradicting, contravening, noting exceptions to, challenging, or casting doubt upon the principal proposition. The interacting proposition frequently assumes the form of: 1. provocative exception 2. conflicting evidence 3. knowledge void, incomplete knowledge 4. action-knowledge conflict or knowledge-action conflict 5. action-action conflict 6. theoretical conflict 7. theoretical-action conflict or knowledge conflict In the category of action-knowledge conflict, using the example of the study of models of instruction implied by the principal proposition given above, the researcher might assert that,, "However, in spite of this vast array of possibilities for more effectively organizing and delivering instruction available to teachers, the dominant mode of instruction continues to be lecture/demonstration/discussion...". This situation poses a perplexing state of affairs, to wit; professional educators behave contrary to substantial evidence that there are better courses of action.Why? In the study of flowers implied by the principal proposition (above) about flowers unerringly complying with Darwin's law, the researcher might note that,

after two decades of carefully labeling and observing 3,500 individual flowers in plots of Pink Lady's Slipper orchids commonly found in New England, "this orchid is entirely hostile to bees, only 23 instances of pollination have ever been observed, none have become nectar producers to attract bees. and they have no discernible means of self reproduction common to other plants with that capability. Yet they continue to thrive far beyond the life expectancy of any known variety when in fact all but 23 should be extinct." This orchid is an enigma, a provocative exception to Darwin's law, and the researcher is well on his way to a multi-million dollar National Science Foundation grant to resolve the enigma of how it is that this particular plant can thrive in spite of the laws of nature. But that grant will not be forthcoming until he/she identifies the most fruitful focus for the investigation and the payoff that stands to be gained as a result. Click here for elaboration on this example and for other illustrations of forms that problems may take. Some examples of actual problem statments are here. Speculative Proposition Examines or speculates about the most likely causes of the apparent anomaly or conflict; sets the direction for the inquiry; completes the sentence, "The principle and interacting proposition co-exist in my best judgment because..." These speculations present to the reader and writer a menu of choices from which to select a focus for the inquiry with the help of the completion of a statement beginning like, "The most likely..." or "The most promising..." or, "One plausible explanation is..." This element sets up the opportunity to make a clear statement of the purpose of the project, but also is suggestive of the major variables and categories to be more clearly articulated in the overarching conceptual framework of the study (the basic design). For example, in the study of teachers' instructional behavior, the researcher might list out the variety of plausible explanations for the failure of teachers to incorporate a variety of strategies into their repertoire of professional practices (assuming the researcher has established that fact beyond raw assertion in the first place). Plausible explanations could include; "it is likely that many just simply don't know any better because their training did not provide them with the knowledge and skill needed to maximize their performance;" or "there likely are several factors inherent in the culture of school organization (such as...) that mitigate against certain behaviors;" or "some teachers may be adept at evaluating (and rejecting) certain innovative practices for response costs in relation to payoffs in student outcomes." Given this menu, the researcher could

choose to focus on the nature of inservice and preservice professional education programs for teachers, a study of factors in school culture and climate on the job that control professional behavior, the concerns-based motivation of teachers when faced with innovative choice adoption decisions, or some combination of all of these. It is here that a statement like, "Therefore, the purpose of this study is to..." would round out the logical argument that constitutes the statement of the problem. That section ("Purpose of the Study") might start with a statement of general purpose, augmented by a central objective and one or two major research questions that provide sharper focus. (A more detailed delineation of objectives, questions and/or hypotheses would ordinarily be included in the section on methodology). The example above of teacher instructional behavior discussed above is available here in an annotated form to demonstrate the division of a problem statement into its component parts. The format noted above generates the substantive dimensions of the problem but leaves open the question of how the inquirer intends to grapple with the established conflict. Figure 1, at the end of this section, picks up with the substantive orientation of the problem and classifies the various response modes available to the inquirer in responding to the problem, whether it be research, development, program evaluation, etceteras. Click for a window to Figure 1. Relating and Justifying Functions During the course of problem statement development and identification of the primary mode of response, the inquirer is responsible for relating the problem to its antecedents. Problems do not exist in vacua, but stem from particular circumstances. The juxtaposed factors constituting the problem have histories; these may be of a scientific, social, educational, economic, etc., origin. It is not the purpose here to thoroughly describe the context of the proposal: That is accomplished through a treatment of the related research. What is necessary is a sufficient description of antecedents to put the statement in perspective so that the researcher and the reader will be able to appreciate the problem in the tradition of inquiry of which it is a part. This was accomplished in part by a brief introductiory discussion with enough key citations to establish "which forest we are in" followed by the core elements of the problem statement itself which identifies "some of the major trees." A final function of the problem section of the proposal is to justify the utility, significance, or interest of the problem. Resources and time are always scarce. It is of great importance from the point of view of a potential funding agency or a graduate student's advisor (or committee) and from the researcher's own point of view, that priority be given to problems of urgency or utility.

Obviously, if problems are to be assessed for their significance, some criteria must be brought to bear. These criteria include, among others, heuristic value, improved programmatic sequencing, social utility, scientific interest, and the convenience and concern of the researcher or developer. These criteria will later be defined in a discussion of proposal objectives. In any case, a statement or paragraph describing what stands to be gained by investigating the problem is a vital ingredient for the reader in further understanding the problem and its applicability to professional practice, or empirical knowledge, and for the writer in making decisions about whether, how, and to what extent to proceed. The justification or statement of significance can easily be generated if the writer remembers that his/her study is a proposed solution to the problem: that is, it alleviates consequences posed by the existence of the problem, such as a conflict between knowledge and practice. Problem consequences are cognitive, psychological, valuational and practical and they are experienced by people (administrators, teachers, scientists, minorities...) and programs (planning, curriculum, policy, clinical interventions...). List them out, then write a paragraph or two based on the list describing to what and for whom undesirable consequences accrue. The natural next step is the inverse; an assertion of what stands to be gained, by who, and how, as a result of successful completion and dissemination of the study. In dissertations, this is a section typically labeled Significance of the Study. The capstone feature of a proposal's problem section is a statement of limitations and delimitations coming at the end or very near to it. Such a statement naturally springs from the statement of purpose because it spells out...among other things... what the study will not accomplish. Speicifcs on that section are here. The problem statement, in its entirety, is an internally consistent logical argument having structure, sequence and rationale. Although I have said that a problem statement is not a question, a problem statement necessarily leads into at least one central research question or objective from which numerous research questions and/or hypotheses could be generated. Like other sections of the proposal, it will in all likelihood, be rewritten a number of times as the development of each subsequent section provides the writer with a more informed, sharper vantage point from which to critically view the proposal as a coherent, internally consistent creation in its entirety, incrementally and retrospectively. This is one fact of academic life that makes writing both a challenge and painful endeavor for most of us.

Another point to underscore is the need to avoid the temptation to overwrite: Most problem statements, particularly those written for dissertation proposals, are best limited to three to five or six pages. To be sure, other elements that should or could be included in the same section with the problem statement, such as definition of terms, a listing of variables, limitations and delimitations, may expand the length of the section beyond five pages or so, but the problem statement itself should be fairly compact and succinct. While I'm at it, one of the things mentioned in the previous paragraph -definition of terms-- is a feature of dissertation culture that won't die but probably should. If you use terminology in the problem statement narrative with which readers (and you) are likely to have difficulty nailing down with regard to the precise meaning, make every effort to weave the meaning into the narrative where it occurs naturally or deal with it in locations where operational definitions are required (e.g., procedures). Typically, doctoral dissertation committee members will receive a proposal with a "Definition of Terms" section tacked on at the end of the section where it is too late and out of context from the reader's point of view, and they are forced to flip pages in pursuit of that enlightenment. See Gall, Borg & Gall, p. 96 (1996) on this issue. Exercise Here is a link to the header and first few paragraphs from an article published by Harold Wiglensky in Educaton Policy Analysis Archives. Using the discussion above, identify the essential ingredients of a problem statement and try to articulate the logic of the argument he uses to establish the existence of the problem. How are the functions of the problem statement reflected in this example? Here is another by George Kuh of Indiana University from the same source. Supplementary Readings Gall, Meredith, Borg, Walter & Gall, Joyce (2003). Educational Research: An Introduction (Chapter 2), Allyn and Bacon (Seventh Edition). Kaplan, Abraham (1964). The Conduct of Inquiry (Chapter 1). San Francisco: Chandler. Kerlinger, Fred (1986). Foundations of Behavioral Research (Chapter 2). New York: Holt, Reinhart and Winston (Third Edition).

Marshall, Catherine and Rossman, Gretchen (1989; 1995). Designing Qualitative Research (Chapter 2). Newbury Park, CA: Sage. Merriam, Sharan (1988). Case Study Research in Education. San Francisco, CA: Jossey-Bass, ch. 3. Rudestam. K. & Newton, R. (1992). Surviving Your Dissertation: A Comprehensive Guide to Content and Process. Newberry Park, CA: Sage. A suggestion is made to consult a catalog from Sage Publications. Sage markets the most comprehensive collection of references in the field of social science research available anywhere in the world -- and some of the best!! 1. This having been said, Kerlinger was none the less a pioneer and giant among behavioral scientists. Note also that the authors of an otherwise useful text (Ruderstam & Newton, 1992), are just as unclear on this issue. They, however, have some excellent suggestions for doctoral students seeking a topic worthy of study.

Figure 1. Response Taxonomy for Problem Statements

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