Often, doctoral learners mistakenly believe that a feasible research project can be developed based on personal experience o

By Cheryl Lentz

Problems and Problem Spaces

Essential Questions

1. What is a problem space? Why is a problem important to the doctoral process?

2. Where and how does one �nd a problem space in the research?

3. What is the difference between a topic of interest and a research study?

Introduction: The Problem Space and Its Importance in the Doctoral Process

Creation of a dissertation begins with interest in a speci�c topic. Ensuring that the topic of interest transforms

into a doable study on an identi�ed problem space based on prior research represents the key to an effective

dissertation. The goal of this chapter is to delve into this understanding, particularly identifying a problem

space, formerly known as the research gap that serves as the foundation of the dissertation. An additional

purpose of this chapter is to transition from an initial topic of interest to a topic worthy of doctoral study. A

problem space represents the difference between what is known in a �eld or research and what is not known.

There are several reasons doctoral learners should identify research needs and problem spaces:

To contribute to the scienti�c knowledge that exists on a topic.

To acknowledge the existing research that exists on a topic.

To inspire future research.

To compare current research with the desired future state of a topic or condition.

To depict what is not yet known.

To determine the missing elements in existing literature.

Ideally, the purpose of doctoral-level research is to add to the greater body of knowledge within the appropriate

�eld. To make this contribution, one must �rst identify a problem space in current research that leads to a

speci�c problem for a particular group of people (e.g., business owners, educators, learners, ministers, health

care leaders) instead of just a topic of interest or personal curiosity.

Where and How Does One Find the Problem Space? Doctoral learners must conduct a thorough review of the literature and read prior studies on their dissertation

topics. Ultimately, the key to identifying a problem space to study is to read widely and deeply, conducting a

systematic review of the available information on the topic. If starting with an outcome-based approach, the

researcher begins with the end in mind and works backward from a desired outcome or future state. For

example, if a church experiences a decline in attendance (outcome), the goal is to work backward from the

desired outcome or future state (increased, consistent attendance), regarding answering the question of why

this decline exists. Utilizing Socratic questioning represents an effective method of determining why the

problem exists. The process requires continually asking questions for separating the symptom from the cause.

In the Doctor of Business Administration (DBA) program, for example, the focus remains on a business

problem; the purpose of the research study is to �nd answers that owners of businesses can use to further the

needs of their business. Simply put, what do business owners need or want to know that would help save or

make money for the business? If one is within the �eld of education or enrolled in the Doctor of Education

(EdD) program, what is the education problem for principals and educators? If in ministry, what is the

ecumenical problem the church or leadership faces? Within the social sciences, what are the problems

currently faced in health care leadership, for example? Regardless of the focus of study, a dissertation rests on

the foundation of the problem emanating from the problem space in the topic of interest.

Researchers must �nd a problem space that exists within the current research to which the doctoral study

may then contribute. Consider this scenario: When bringing a new person to start at a company that conducts

scienti�c research in the �eld of leukemia, the trainer needs to bring the new employee into alignment with

the existing staff. The trainer needs to tell the new hire everything about the company, the job, and the known

scienti�c research up to the moment in time at which the new employee begins work (his/her �rst day). The

trainer needs to convey the mission and purpose of the company, particularly about the completion of speci�c

research to the present time, as well as what researchers continue to work on to �nd answers regarding types

of leukemia not yet curable.

The trainer further explains to the new employee what the company does not know and the plan that the

company has regarding research in progress to gain answers to these unsolved problems. This is where the

researcher's piece of the company puzzle becomes meaningful. Think of how a puzzle piece �ts into the

overall whole—to build on the other puzzle pieces. Often, when assembling a puzzle, one might complete the

border �rst, and then �ll in the missing pieces as they connect to the border, thereby continually building on

previous work. Similarly, the company evaluates how the new employee's piece of the puzzle contributes to the

overall whole of �nding cures for leukemia. What is the problem space between what the scienti�c �eld

currently knows about cures for leukemia, and what remains unknown to which the work of this new

employee will speci�cally contribute as part of the company? This clarity of purpose justi�es the need for

research regarding potential cures in the �eld of leukemia based on this problem space.

Identi�cation of the Problem Space by Patricia Chess

All learners must identify how they will focus their research to produce an original

dissertation. This involves the difference between what is known in a �eld of research and

what is not yet understood. This process involves reading the literature and becoming

deeply familiar with how a speci�c topic has been studied, how the research is trending, and

what approaches have been used to study it in order to identify what still needs to be

understood.

The topic, the problem statements that other researchers have de�ned, and the approaches

that other researchers have taken, all constitute the problem space for a study. The problem

space is a way to help you establish some boundaries for the literature review so that you

have a clear idea of what to include and what to exclude. What needs to be understood is the

result of the analysis of the literature review within the problem space, and the problem

statement expresses how the proposed study will address what needs to be understood.

Becoming deeply familiar with how a speci�c topic has been studied involves reading and

synthesizing the literature related to the problem space, focusing on the past �ve years. Lack

of research on a topic, or personal interest in an unresearched topic, are not suf�cient

reasons to do a dissertation. Just because something has not been researched does not mean

it should be. Therefore, the learner must be well read on their topic to identify ways their

study will add to the existing body of knowledge on the topic.

Problems based in practice

Practice-based research may initially de�ne the problem based in a practice within an

organization or setting; however, the approach to investigating the problem needs to follow

scholarly research procedures. This means that the problem space needs to include

literature that is scholarly in nature so that the proposed dissertation research will advance

knowledge and practice. The literature review should include peer-reviewed articles from

research-based journals as well as journals on professional practice and research-based

industry journals.

There are a variety of ways to synthesize the literature. Below is a set of steps that may be

used:

First, explore original literature on the topic. The topic should focus on an issue

germane to the learner's program of study to determine what has been discovered and

what still needs to be understood.

Second, while exploring the original literature, identify the broad topics and problems

researched and trace the evolution of the research on the problem. How did the focus

change? What �ndings emerged from these studies?

Third, describe the research published during the past 2 to 3 years to discover what has

been discovered, what problems have been studied, and what still needs to be

understood. Discuss the trends and themes that emerged. Studies that were published

within the past 2 to 3 years will still be relevant (with the past 5 years) at the point of

graduation.

Note: The problem space for the dissertation study should primarily come from

the empirical research literature or studies dated within 3 to 5 years of the

learner's projected graduation date. This is a recommendation, not a rule.

Dissertations can be used in the literature review; however, one must supplement

dissertation citations with citations from other peer-reviewed research on the

topic.

Fourth, de�ne the topic and problem statement by synthesizing the recent studies,

including trends, and de�ne what still needs to be understood.

While the verbiage in this section highlights a set of steps designed to help Grand Canyon

University (GCU) doctoral learners identify what still needs to be understood for their

studies, there are other methods that can be used. These include replication studies,

recommendations for future research from prior studies and literature reviews, adding to a

broadly researched area through clearly targeted research, reframing problems, and

synthesizing areas of research to de�ne a new or innovative area of research. This section

must clearly identify the speci�c sources that form the basis for what will become the

problem for the study.

To complete this section, the learner describes how the study is situated within the problem

space discussed. The learner should also describe how the study may add to the body of

literature. Finally, the learner should discuss any potential practical or professional

applications that might occur as an outcome or application of the study.

Learners can access further information on these strategies on the DC Network

(https://dc.gcu.edu/dissertation/dissertation-templates) website under the Residency tab (on

the left side of the Home page). Also, see the video

(https://dc.gcu.edu/blogs/faculty__staff_presentations/dr_june_maul_�nding_the_gap_in_t

he_literature_1st_steps_to_your_dis) by Dr. June Maul regarding �nding the gap in the

literature.

Approach to Justifying the Need for a Study: There Are Many Options

Prior to designing a research study, doctoral learners, as well as experienced researchers, must de�ne and

justify the need for conducting the study. There is a variety of ways to accomplish this goal. Some approaches

may appear to be easier, such as arguing the scienti�c basis for needing to duplicate and replicate studies,

while others may appear much more complex and require synthesizing research from a number of different

areas or a number of different points of view. To justify the need, the researcher must employ sound logical

arguments and support those arguments from the literature. Several options are presented in this section:

replicating, identifying recommendations for future research, and adding to the results of existing studies

(Maul, 2016).

Replication

One route a researcher can take to justifying a need for a study is to conduct a replication study. There are

three different approaches to replication: duplication, generalization, and extension (Laerd Dissertation, n.d.).

Sometimes, replication is associated with duplication. For example, the GCU doctoral learner may take a piece

of published research and repeat it, using an identical approach to determine if the results obtained are the

same as those of the original authors. In other cases, the researcher will request the original data that was

collected and reanalyze it to check that the original authors were accurate in their analysis techniques (Laerd

Dissertation, n.d.; Maul, 2016).

In contrast to replication, duplication has a very narrow focus, which has led some journal editors to shy away

from accepting replication studies. The reality is that most research, whether completed by academics or

dissertation learners at the undergraduate, graduate, or doctoral level, involves either generalization or

extension. This may simply be replicating a study to determine whether the �ndings are generalizable or

applicable with a different population, sample, setting, context, or across treatment conditions. Another route

to replication can involve the researcher extending the results of prior studies to take into account new

research designs, methods, measurement procedures, and/or data-analysis techniques. These different types

of replication studies then can be labeled as duplication, generalization, or extension research. In many cases,

researchers use these terms interchangeably, or researchers may even combine parts of each method or

choose to take one approach (Laerd Dissertation, n.d.; Maul, 2016).

Recommendations for Future Research

Often, doctoral learners and other researchers will review the recommendations authors of research studies

make for future research. For example, Chapter 5 in the GCU dissertation affords researchers the opportunity to

share their recommendations for future study. This can be one of the easier routes to use in developing the set

of arguments for conducting a study; however, the recommendation alone is not enough to substantiate a need

for a study. The researcher should identify the reasons for conducting the study beyond the various

researchers' recommendation. This is done through citing the need based on the work of other authors and

researchers. Many of these recommendations include replicating a study. However, some also recommend

new and different studies. Many times, these recommendations are based on limitations from the existing

study (Maul, 2016).

Literature Reviews

Another source for recommended studies is literature reviews on a broad topic. A literature review often spans

a period of 10 years or more. It reviews the nature of the research done during that period. In the synthesis of

that research, it recommends other future research (Maul, 2016).

Adding to the Results of Studies Conducted in a Broadly Researched Area

There are very broadly researched topic areas that have had hundreds if not thousands of studies completed in

them (Maul, 2016). Two areas appear concurrently in the disciplines of education, business, and psychology

though with different focuses in these three disciplines. One broad area of study is the relationship of

leadership and organizational climate. These include studies such as the correlation of leadership behaviors or

traits and measures of climate or measures of employee or teacher satisfaction. Some of the different

leadership areas include transformational leadership and servant leadership. One could add to this �eld as

new models of leadership such as spiritual leadership are introduced. Another area studied in psychology,

education, and business is the effectiveness of the use of games (and related approaches) for learning.

Quasi-experimental designs often are used in the social sciences. It is easy to justify the use of different

gaming technologies, actual games speci�c to topics such as math, or even simulations particularly in

business and strategy (Maul, 2016). An example in education occurs when a doctoral researcher identi�es a

topic of interest as inclusion classrooms. He/she identi�es a study whereby a survey was created to measure

general education teacher perceptions of inclusion. Another researcher built on that study by conducting it in

a different setting. A recommendation for future research was conducting a qualitative study with interviews

of teacher perceptions of the topic. Thus, the doctoral research combined the two studies. He/she administered

the survey to a sample of general education teachers, but also conducted interviews with those teachers to

glean further insight on their perspectives of teaching learners with special needs in the inclusive setting of

the general education classroom.

Integrating Two or More Areas of Research

Future studies can often be justi�ed by integrating two or more areas of research. For example, there are

quantitative as well as qualitative studies exploring leadership behaviors/practices and climate or culture, and

there are studies exploring the relationship of climate and performance (Maul, 2016). These three variables

could be integrated to explore the relationship of leadership behaviors/practices, climate or culture, and

organizational or individual results—either as a quantitative or qualitative study. While many of these studies

�nd and can explain positive results, not all studies do so. As such, part of the justi�cation is to be able to

ultimately generalize the results and create theories (Maul, 2016).

Reframing Problems

When conducting research, many topics are stated as problems (Maul, 2016). One might research what leads to

homelessness or why Black males drop out of college. In part, this is due to a predisposition of the human

brain to identify problems rather than state the area of solution needed (Maul, 2016). For example, one GCU

dissertation focused on the literature on homelessness in women (Combs, 2012). All the homelessness studies

found were about the causes of the problem. This learner reframed the issue to learn what enabled a group of

successful women to overcome homelessness. This process of reframing can lead to more innovative research

(Maul, 2016).

Synthesis of Areas of Research to De�ne a New/Innovative Area of Research

More advanced researchers may synthesize information and recommendations from a number of areas to

de�ne a new approach not yet taken by anyone in research. Many of these may appear to be unrelated;

however, through the process of synthesis, they are used to create a new area for research. This type of

research often can be driven by a social or business need (Maul, 2016). For example, a study in the preliminary

phases of being conducted by faculty members at one college investigated the use of ZOOM as an interactive

tool for doctoral learners and their dissertation committees (Berman et al., 2016). The literature identi�ed

several needs for this study:

1. There is need to identify tactics to retain doctoral learners.

2. Online doctoral programs are increasing and need to become more effective.

3. There is a need to develop doctoral learners (especially online) into researchers.

4. There is a need to use techniques such as video conferencing not only in teaching, but also in building

relationships with and between learners.

5. Some research identi�ed that a video presence can also increase social presence.

6. Doctoral learners often feel isolated. (Berman et al., 2016)

As a result, the topic de�ned focuses on how the use of ZOOM for coaching doctoral learners in�uences

psychological factors such as social presence, social isolation, motivation, and research self-ef�cacy, which

are all known to lead to increased retention (Berman et al., 2016).

There are several methods doctoral learners can use to identify and justify the problem space for a research

study. Ultimately, it is imperative the learner move from a topic of interest to identifying a research-based

problem space for their study. An important part of this process, again, leads back to the literature review and

reading widely and broadly on the topic. To justify the need, it is important that the researcher employ sound

logical arguments and support those arguments from the literature (Maul, 2016).

Bringing the Reader Current

The role and responsibility of the researcher is to provide a reasonable level of context for the study, ensuring

that the reader follows the path and purpose of the dissertation to understand the problem space that exists.

This, in turn, provides the justi�cation for the research study and serves the greater body of knowledge and

humanity. The doctoral researcher, therefore, has a responsibility to bring the reader current about everything

known about the topic up to the time of publication of the study. What do industry leaders, academicians, and

experts know about this �eld of study and about the existing problem spaces in research? Consider again the

onboarding of a new member of a company team. The role of the trainer is to provide background and context

for the newly hired employee by communicating everything he/she needs to know about the history, mission,

and purpose (background) of the company and the new employee's role (context) in the company. The role of

the researcher is similar in that the doctoral researcher provides background and context for the reader to

understand how the research �lls the identi�ed research problem space. The researcher identi�es for the

reader what experts, scholars, and academicians in the �eld know about this �eld of study to date as well as

what they still do not know. The difference between the known and the unknown is the problem space that

forms the foundation of the dissertation study and provides relevance for the study.

For example, if medicine cures 85% of the types of leukemia that exist, then 15% of the types remain yet

incurable. When conducting a study related to the remaining 15%, then, the researcher must explain all that is

known about the curable 85% to provide historical context and a foundation for the reader. The researcher

must then explain what remains unknown (the other 15% is also known as a problem space in research),

building on the understanding and �ndings of previous research. Within this 15%, then, the researcher

identi�es a speci�c focus of the continued research. What piece of this unknown represents the focus of the

particular study? How will this study contribute to the greater body of knowledge by moving the

understanding of this topic forward? In the context of the current example, how will new research contribute

to the understanding of what is not yet understood about strains of leukemia that are not yet curable?

The important element here is the continuity of connection to past research. Research including the doctoral

dissertation study does not live in a vacuum. Instead, the doctoral study, like all research, �ts into the

academic circle of life, building on the work of those researchers who came before with the goal of expanding

this knowledge base and moving the overall understanding and knowledge of a topic forward. Again, if one

looks at the problem space of what is known (85%) and what remains unknown (15%), a clear identi�cation of a

problem space exists, justifying the need for further study. This problem space includes the identi�cation of

additional questions for which the doctoral study is in search of answers. The research study becomes a piece

of the puzzle within the larger academic body of knowledge on which others may build to continue moving

the process forward. This process of moving understanding forward is known as knowledge management.

As researchers continue to explore their topics, they learn to sift,

sort, and separate available knowledge, deciding which

information to include in the literature review and which may not

meet quality standards. Subsequently, the researcher manages the

knowledge acquired from the research efforts as part of the

process of creating synthesis of research studies and articles on

the topic. In essence, the researcher becomes a detective on a

quest to identify from the extant research inconsistencies,

misalignments, and omissions, as well as debates among scholars

and experts regarding conclusions and �ndings from research

data. On this quest, there are several strategies doctoral learners can use to identify problem spaces. Through a

systematic review of the literature, they can identify what researchers have discovered about the topic and

what they have yet to discover. As doctoral learners read, they should document questions that arise. Finding

no answers to those questions may mean they have discovered a problem space in the literature. While

reading, learners can examine the abstract, introduction, and recommendations for future study in the

research.

On a practical note, doctoral learners can review recommendations for future study in the end sections of a

research study or examine Chapter 5 of a dissertation. Upon completion of a dissertation study, the doctoral

researcher offers recommendations for further study. These recommendations include evaluation of the study

along with suggestions that future researchers may consider. Knowing the recommendations for future

research may lead a researcher to investigate a potential problem space, but a list of researcher

recommendations is not suf�cient to justify the need for a study. Further exploration and explanation of the

reasons for a problem space must be addressed.

Research Problem vs. Topic of Interest Upon identi�cation of the problem space to be explored in the dissertation study, the next step is to move

further from the topic of interest to a problem, and then from a problem to an empirical-based research study

that formalizes the problem statement and includes a purpose statement for the study. Remember, the search

for a topic may begin with a researcher's initial interest; however, a doctoral dissertation study requires much

more than personal curiosity.

Ideally, one might think strategically of a topic that not only piques one's interest, but strategically supports

the doctoral learner's future career goals as well. Upon completion of the dissertation, the doctoral scholar

becomes an emerging expert in the �eld of the dissertation study. One can use an outcome-based approach,

where the goal is to start at the end and work backward. This approach begins with asking appropriate

questions, such as

What type of expertise does the researcher intend to gain as a result of this doctoral study?

What kind of expert might the doctoral learner picture himself or herself after graduation?

If one can visualize what the future may look like, one might consider selecting a topic and �nding the

research problem space that supports both the learner's passion and career ambitions, as well as one that

meets GCU guidelines for appropriate doctoral-level research.

As doctoral learners transition from a topic of interest to a problem worthy of doctoral study, they must clearly

identify why a need for this research remains. To do so, begin by considering what questions remain

unanswered within a particular �eld of study as identi�ed within this problem space. What remains unknown

that is important to this �eld of study? What questions are experts debating that remain unanswered that are

important to leaders within the �eld? For example, in the �eld of leukemia research, according to the Mayo

Clinic (2016), "acute lymphocytic leukemia [common in children] can also occur in adults, though the chance

of a cure is greatly reduced" (para. 3). Thus, in this speci�c area, a problem space exists regarding knowledge

of this speci�c form of leukemia, which speci�cally for adults has no known cure.

Establishing and Rationalizing the Signi�cance of the Problem

Moving from a topic of interest (a topic one is simply curious about) to a topic worthy of doctoral study as part

of an original contribution is an important distinction. A research study is far more than simply a class

assignment or a research paper. Conducting a dissertation study requires careful evaluation of the topic before

proceeding further. This section adds one more element to this evaluation regarding the signi�cance of the

problem.

The signi�cance of the problem considers how many people are in need of answers to this problem. For

example, is this a topic of value to only a few people in a small organization, or is there an implication for a

broader and expanded interest and concern for answers that the study may �nd? When considering a topic,

the doctoral researcher needs to address the signi�cance of the problem. Although the problem might not rise

to the level of solving world hunger, the problem must be of concern to an academic �eld of study for which

many people would be interested in the �ndings or results. Additionally, that a doctoral researcher observes an

absence of research in their respective area of focus is not enough to substantiate or justify signi�cance (Cai et

al., 2019). As outlined above, locating and �lling a problem space in the research is to connect previous

research to current research to continue to shape the conversation and advance the �eld of study.

For example, a researcher might have an interest in the �eld of leadership and might consider furthering

career leadership ambitions within the �eld of accounting. Therefore,

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