IDENTIFICATION AND FORMULATION OF

RESEARCH PROBLEM
S.L. Sharma"

Introduction

IDENTIFICATION AND formulation of problem constitute the starting

phase of research enterprise. Its importance cannot be emphasised
enough, for success of a research enterprise depends on the selection of
an appropriate problem and its proper formulation. While a faulty selection
may fail to sustain researcher's interest in the study, a deficient formulation
may land the researcher in unanticipated difficulties at later stages.
For the same reason, it is a challenging and time consuming task.
Merton, a renowned sociologist, observes: "[I]t is often more difficult
to find and to formulate a problem than to solve it." This indeed is a task
that merits serious attention and tremendous patience. Darwin, for
instance, took years to find and formulate his problem. Impatience in this
respect does not pay. Though patience need not be mistaken here for
complacence which is what may happen in many cases.
This task has been formalised in some ways in the academic world.
Synopsis, for instance, is one formalised version of it. Every student
working towards a research degree is required to submit a synopsis. A
synopsis is nothing but statement of a well formulated research problem.
Project proposal is another formalised version of it. Any researcher
seeking grant from a research funding organisation is required to submit
a project proposal. Its academic part is nothing but statement of a
carefully formulated research problem.
From the above it is clear that the importance of finding and
formulating a research problem has been formally recognised in the
academic circles. What is, however, surprising is that the existing
textual literature on research methods does not seem to attach sufficient
importance to it. In most books on research methods there is not so
much a mention of this topic. Even where it is included in the contents.
its treatment is somewhat formalistic as well as sketchy.

Professor and Chairman. Department of Sociology. Panjab University, Chandigarh.

302 LEGAL RESEARCH AND METHODOLOGY

This article seeks to present some of the ideas of the author, based
on his experience as well as reading, on this relatively neglected theme.
In the interest of systematic exposition, it is proposed to discuss the
subject in two parts: Identification of problem and formulation of it. The
focus will be on reviewing the existing state of affairs and on presenting
some guiding considerations. Attempt will be made to draw illustrations
as far as possible from the Indian context on the one hand and from legal
research on the other.

Identjflcation of problem

It will be in order to begin by defining a research problem. A

research problem is not the same thing as a social problem. A research
problem is defined by intellectual curiosity while a social problem is
defined by the values of a group. A situation may be problematic for one
group but it may not be so for another, depending on their differing value
systems. Increase in incidence of crime may be a problem for social
workers, but it may not be so for the underworld of criminals. For a
researcher, on the other hand, it is not only the crime but also the law
abiding behaviour which constitutes a problem. It is as important, and
from an intellectual vantage point even more important, to ask why
people adhere to law abiding behaviour. In no sense is law abiding
behaviour a social problem. But it may be an important research problem.
Thus a research problem is a cognitive phenomenon while a soial
problem an evaluative one. This does not imply that a social problem
cannot tum into a research problem. A social problem may tum into a
research problem once it is so formulated by a researcher.
What are ,some of the sources of finding a research problem? Taking
a cue from the existing practices, one can immediately mention the
following:
( I ) Research supervisor.
(2) Research literature.
(3) Research funding agencies.
It is well known that students desirous of pursuing research for a
degree generally leave it to the supervisor to find and suggest a problem
for them. This is so partly because they do not want to strain their
mind and partly because they begin with a sense of total dependence
on the supervisor. Whatever the reason, the fact remains that most
research students look up to the supervisor to get a research problem
assigned to them. They seem to have hardly any interest of their own
in the problem, let alone a sense of involvement in it. The students who
come up with a research problem on their own are more of an
exception than a rule.
 IDENTIFICATION AND FORMULATION OF RESEARCH PROBLEM 303

The research supervisors in tum draw upon the existing research

literature for searching a problem. Research books, research journals
and trend reports are some of the more important components 0 f
research literature which in one way or another throw up research
problems. From such literature one may get a clue to an unexplored area,
a hypothesis to test, or a new direction of inquiry. One may as well adopt
a problem ill toto for investigation in a different society. In fact, quite
. a sizeable part of social science research in India is a result of the study
of research problems borrowed from American and European journals.
That is the reason why it remains secondhand.
A third source of problem finding is the lists of research priority
areas drawn up by the research funding agencies. The Indian Council of
Social Science Research, for instance, has identified subjects of research
priority which will get funds on preferential basis. At the time of
elections, similarly, special funds are earmarked by some research
sponsoring organisations for election studies. There is no dearth of
professional researchers who will quickly change their research interests
in order to take advantage of such research funds.
The above sources and practices of problem finding are fairly
widespread. All of them are, however, external sources. What they miss
in common is the importance of subjective factor in the choice of a
problem. In each case the researcher tends to work on a problem given
by others-a supervisor, or an author of a trend report, or an editor of
a list of priority areas. The problem does not seem to come to him from
within. His role is only that of a chooser out of a given number of
research problems.
This lack of subjective factor in identifying a problem is, in our
considered opinion, at the root of much of the bogus research that we
have in social sciences in India. It renders the research activity a
ritualistic activity. How can one produce quality research unless the
research problem has sprung from within. There is a substantial difference
between choosing a problem out of a given list and identifying one out
of one's own suffering.
Without undermining the value of the existing sources and practices
of problem finding, we should like to underline the centrality of the
subjective factor in identifying a research problem. Our submission is
that it will help improve the quality of research if the researcher works
on a problem identified out of a suffering experience. Suffering, it will
be agreed, is the source of creative ideas, and more so is intellectual
suffering. Intellectual suffering means a sense of deep excitement about
the problem arising either out of one's experience of having lived
through that problem in actual life or out of one's empathetic experience
of it. Such an experience turns into intellectual suffering the moment one
suffers it at intellectual plane over and above the experimental plane.
304 LEGAL RESEARCH AND METHODOLOGY

Take, for instance, apprenticeship in legal profession. A junior working

with a senior lawyer has to undergo certain experiences which are likely
to give him a perceptive insight into the nature of junior-senior
relationship. He knows it better than anybody else where the shoe
pinches. If he is able to relive this experience at intellectual level and
work on it, the output is likely to be masterpiece. An outsider who has
not had such an experience may, of course, get an insight into it through
intellectual reach.but will have to struggle much harder to reach anywhere
close to it. The point is not that without subjective experience of the
problem creative research is impossible; the idea rather is that the
research is likely to gain in quality if the research problem is born out
of an inner experience, or at least out of one's genuine intellectual
involvement in it.
Having examined the sources, it will be pertinent to note some
guiding considerations in the choice of a research problem. The first
such consideration which follows from the above is that a research
problem should be identified preferably out of one's inner experience
which one is able to suffer at intellectual plane.
Another important consideration is that the research problem selected
should be empirical. In fact, scientific research by its very definition
presupposes choice of an empirical problem, and there being much
scope for empirical research on social phenomena there is also a great
need for it. Such a need is even greater in the realm of legal studies
because legal research has been dominated by interpretative studies.
There are hardly any empirical studies of legal phenomena in India, and
whatever few studies there are, these have been made mostly by foreign
scholars. The Indian law scholars, with a few notable exceptions. have
largely been not only indifferent but even hostile to the idea of empirical
research. In view of this the importance of selecting an empirical
problem for research cannot be exphasised enough.
Yet another consideration to be kept in mind while selecting a
research problem is that of its theoretical potential and practical relevance.
The problem selected should be such that it has a potential to advance
our existing theoretical knowledge, or else it has at least some practical
relevance. It may be added that this remains a common shortcoming of
much of the existing research, more so of studies of doctoral level. On
the theoretical front, they hardly seek to link the data with any theoretical
structure by way of revising or refining it, let alone developing an
altogether fresh theory. On the practical side, not much research is being
undertaken on the problems conforming the nation. It is, therefore, of
utmost importance to identify such a research problem as may enable
one to make a contribution either on theoretical or practical front.
preferably on both.
 IDENTIFICATION AND FORMULATION OF RESEARCH PROBLEM 305

Formulation of problem

It is possible to distinguish two broad approaches to problem formula-

tion-deductive and inductive. The exponents of positivist epistemology
patronise deductive approach while the advocates of ethnomethodology
prefer inductive approach. The deductive approach takes a set of proposi-
tions derived in an a priori manner through deductive reasoning from a
theoretical premise as starting point of problem formulation, These
propositions define the lines of inquiry and are tested for their validity in
terms of the systematically collected evidence. In simple words, it views
problem formulation in terms of developing a set of hypotheses which
will be tested in the inquiry. For this purpose, it insists on having a
research design, a representative sample, an idea of independent and
dependent variables, and a standard instrument.
The inductive approach, on the other hand, recommends "direct
naturalistic examination of the empirical social world" for purposes of
problem formulation. It implies that the investigator will first acquire a
"close and reasonably full familiarity" with the area of life under study
and will then progressively sharpen his focus as the inquiry proceeds.
The inductive approach expects a researcher to go to the field with an
open mind, having no a priori assumptions, and to develop, focus and
sharpen his investigation in the light of his understanding of the reality
in the field so that the research problem is grounded in the empirical
world. In Blumer's words, it is a flexible procedure "in which the
scholar shifts from one to another line of inquiry, adopts new points of
observation as his study progresses, moves in new directions previously
unthought of, and changes his recognition of what are relevant data as
he acquires more information and better understanding." Clearly, the
inductive procedure of problem formulation stands in sharp contrast to
the fixed and circumscribed procedure of positivist deductive procedure.
This does not mean that there is no direction to the inquiry; it means that
the focus is originally broad but becomes progressively specified as the
inquiry goes forward.
These methodological positions notwithstanding, problem formulation
signifies an attempt to specify the direction of inquiry. This involves
three tasks:Framing the title, formulating research issues, and
operationalising the concepts.
A title is a formal shorthand statement of the problem. It is supposed
to signify the focus of inquiry. Framing a title is no easy task. Generally
one comes across two types of titles-descriptive and analytical. A
descriptive title is framed in terms of the content of study while an
analytical title points out the perspective of study. Examples of descriptive
title are: "Law Colleges, and Law Students in Bihar", "Indian Supreme
Court Judges: A Portrait", "Lawyers at a District Court". What these
306 LEGAL RESEARCH AND METHODOLOGY

titles indicate is the scope and content of each study. On the other hand,
analytical titles bring in sharp focus either an issue or the perspective of
the study. Examples of an analytical title are : "Kinship in Professional
Relations: A Study of North Indian District Lawyers", "Barristers and
Brahmins in India:Legal Cultures and Social Change", "Layers in
Government:The Most Serviceable Instruments of Authority", "Self
Service or Community Service: A Study of Lawyers as Professionals".
Clearly, all these titles either throw up an issue or signify the perspective
used in the study. Few will dispute that an analytical title is better than
a descriptive title, provided the study is designed to deal with an analytical
issue or is informed of a perspective. An analytical title is certainly more
complete in that it indicates both the content and the perspective of the
study. In terms of format such a title usually has two parts-main and
sub-title-as is evident from the analytical titles cited above. It is a
different matter that in some of them the analytical point is reflected in
the main title while in others in the sub-title. It is generally preferable to
formulate the main title in terms of an analytical issue or perspective.
The central task involved in problem formulation is that of framing
the terms of inquiry. The specific terms of inquiry may be formulated
either in terms of research questions or guiding hypotheses. Merton, for
instance, has underlined the importance of research questions for framing
the terms of inquiry. In particular, he mentions three types of questions:
originating question, the question ofrationale and the specifying questions.
Originating question is a statement of what one wants to know and it can
range from ascertaining facts to explain empirical uniformities or varia-
tions. The question of rationale states why the originating question is
worth asking and what will happen to other parts of knowledge or
practice as a result of answering the question. The specifying questions
are concerned with specifying the conditions that point toward possible
answers to the originating question in terms that satisfy the rationale.
These questions can now be illustrated with some examples. Suppose
we are interested in assessing the role ofeducation in promoting attitudinal
modernity in developing societies. Thus our originating question is :
Whether or not education promotes individual modernity particularly in
a developing society, say in India? The question of rationale will have to
deal with the theoretical significance and policy relevance of the originat-
ing question. The specifying questions may be as follows : What is it
about education that tends to stimulate modernity'? Is it level, or spread,
or structure, or curriculum, or extra-curricular programme that augments
modernity? Under what conditions education tends to enhance modernity'?
These are obviously specifying questions as they seek to specify the
conditions which affect the role of education in modernity.
The terms of inquiry may as well be formulated in the form of
hypotheses. A hypothesis is a hunch, a testable proposition the validity
 IDENTIFICATION AND FORMULATION OF RESEARCH PROBLF.M 307

of which remains to be determined. Framing the terms of inquiry in

terms of hypotheses presupposes some prior knowledge about the
phenomenon. Like research questions, it is possible to think of two
categories of hypotheses-master hypothesis and subsidiary hypothesis.
This can again be illustrated with examples relating to the same theme.
The example of master hypothesis on education and modernity is : The
level of education is positively related to modernity, viz., the higher the
level of education the greater the modernity. This hypothesis may also
be formulated in the form of null hypothesis as follows : There is no
relationship between level of education and modernity. Examples of
subsidiary hypothesis are : Science students tend to be more modem
than arts students; hostelers are likely to be more modem than day
scholars; those who participate in extra-curricular activities tend to be
more modem than those who do not.
Operationalisation is another important task involved in problem
formulation. Operationalisation means devising empirical referents of an
abstract concept. To continue with the problem of education and moder-
nity, we have the concept of modernity here. Unless defined in precise
operational terms, modernity may mean different things to different
people. It, therefore, needs to be defined in operational terms. Notionally,
it may be defined as a set of such attitudes as secular, rational,
universalistic, etc. These constituents of modernity need to be given an
empirical rendering. Take, for instance, the term "secular". It has
several connotations. Equal regard for all religions is one meaning of
secularity. Withdrawal of the authority of religion from other than
religious spheres is another. First we have to specify its meaning. Let liS
define it in terms of equal regard for all religions. Having done this,
certain items are to be framed to tap equal regard for all religions.
Instances of such items are: "No religion is as good as my own"; "world
will be a better place to live in if all people adopt my reIigion." A positive
response to these items is indicative of religious intolerance while a
negative response is indicative of religious tolerance. This is how a
concept is operationalised.
Now some general considerations. Specificity and clarity are the two
major qualities of a sound formulation. In fact, formulation of a research
problem is a process of progressive elimination of the irrelevant and
specification of the relevant. A good formulation is specific in terms of
its scope and coverage, perspective and focus, and universe and sample.
Generally, there is a tendency on the part of a novice to embark on too
ambitious a formulation to be manageable. Nothing can be more inimical
to research than this. Hence, this tendency needs to be kept in check.
Clarity is another desirable quality of an appropriate formulation. Words
having more than one meaning or dubious implications have got to be
carefully avoided. Vague and imprecise expressions must be shunned
308 LEGAL RESEARCH AND METHODOLOGY

too. An example in point is the following formulation:"Structural Effects

of Marriage Legislation on Society". The word "structural" here does not
have a definite meaning. Similarly, the word "society" is too broad to
mean much. This formulation can more appropriately be reformulated as
follows:"Effects of Marriage Legisiation on Social Structure of a Com-
munity". Indeed the particular community should be specified.
These, then, are some of the guiding considerations which may be
helpful in identifying and formulating a research problem.