SUB-MODULE 1:

OVERVIEW OF THE RESEARCH PROCESS

(Draft for pre-testing purposes only; not for quotation)

OPHELIA M. MENDOZA, DrPH (Biostatistics)

Adjunct Professor
Dept. of Epidemiology and Biostatistics
UP College of Public Health

November 2018 (Version 1)

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 1. OVERVIEW OF THE RESEARCH PROCESS

LEARNING OBJECTIVES

By the end of the session, the learner should be able to:

1. Describe the characteristics of the research process;
2. Give examples of problems which can be investigated through health
research;
3. Explain the different steps in the research process;
4. Differentiate between internal and external validity of research results

1.1 PREVIEW

Have you ever wondered how drugs for different diseases were developed? How were
epidemiologists able to show that smoking is associated with lung cancer? How were scientists
able to determine that vaccination is effective for the prevention of a number of diseases like
measles, poliomyelitis, and hepatitis B? All these are examples of the different applications of
the research process which will be discussed in this sub-module. It provides examples of areas
covered in health research, and presents an overview of the different steps involved in planning
and conducting research.

1.2 CHARACTERISTICS OF THE RESEARCH PROCESS

You might be wondering why a course on research methods is a usual requirement in academic
degree programs. Even the government is allocating a lot of funds for research. This is because
doing research is an important component of our lives, being a problem-solving activity.
Through research, we are able to answer a lot of questions about the health status of
populations; the factors affecting their health and how to develop effective ways of addressing
such various types of problems.

What makes research different from other problem-solving activities is that it follows the
scientific method of inquiry where conclusions are based on empirical evidence or observed
facts. Making conclusions based on intuition or one’s emotions have no place in research.
Results from valid research provide the inputs for evidence-based decision-making.

An important characteristics of the research process is that it is very systematic. The use of the
adjective systematic here can be looked at from two perspectives: as a synonym of being
organized, and as a composite of a series of activities which make up a “system”, the root word
of the adjective “systematic”.

It is highly beneficial for the research process to be systematic and organized according to a set
plan. But more importantly, it is crucial for the various steps that comprise the research process

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to be logically connected to each other. This means that the methods used have to be
appropriate for the objectives formulated; the way the data analysis and interpretation have to
be consistent with the methods used and the type of data collected; the recommendations given
have to be based on and consistent with the results generated from the research.

Another important characteristic of the research process is objectivity in data collection. It

means that measurements must be standardized, are based on rigidly defined criteria and done
by properly trained personnel.

The replicability or reproducibility of results is important for purposes of generalizing conclusions

from the study. Generalizations and inferences can only be done if the same findings are
derived, if the study will be repeated using the same methods under comparable conditions.

1.3 DEFINITION OF RESEARCH

Research is the systematic and rigorous investigation of a situation or problem in order to:
a. generate new knowledge; or
b. validate existing knowledge.

In the specific case of research for health, a comprehensive definition of what it covers is
defined by WHO (2012) as a research area which covers the full spectrum of research, which
spans the following five generic areas of activity:

1. measuring the magnitude and distribution of the health problem

2. understanding the diverse causes or the determinants of the problem, whether they are
due to biological, behavioral, social or environmental factors
3. developing solutions or interventions that will help to prevent or mitigate the problem
4. implementing or delivering solutions through policies and programs; and
5. evaluating the impact of these solutions on the level and distribution of the problem.

1.4 AREAS COVERED IN HEALTH RESEARCH

Given the definition of health research, it covers several areas, as follows:

a. Etiology (biologic, endogenous, psychological, social, economic)

b. Disease prevention and promotion of well-being (interventions to modify behavior,

promote well-being or alter physical, biological and environmental risks)

c. Detection, screening and diagnosis (all phases – from development to evaluation – of

markers and technologies

d. Development of treatments and therapeutic interventions (pharmaceutical; medical

devices; psychological; behavioral; physical)

e. Evaluation of treatment and therapeutic interventions

f. Management of diseases and conditions (individual care; end-of-life care; management

and decision-making)

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 g. Health and social care services (organization and delivery of services; health economics;
policy, ethics and governance; resources and infrastructure; research design and
methodologies)

The following are examples of actual health problems under the areas described above, which
can be addressed through the conduct of health research:

• Growing microbiological resistance in, for example, diseases like tuberculosis and
malaria
• Absence of effective treatments for diseases in low-income countries such as dengue
fever
• Treatment and prevention in HIV/AIDS
• Preparedness for new/emerging infections
• Need for new knowledge about local contexts, conditions and health priorities
• Need for new knowledge about social, political, economic and environmental
determinants of health
• Health policy and systems research – how to make the health system perform better
• Research on environmental health, the interaction between economic activity,
environment and human health

1.5 STEPS IN CONDUCTING RESEARCH

Research is a rigorous process which involves fifteen (15) steps from problem identification to
the utilization of results. Each of these steps are described in detail in the following sections,
and in the various Sub-modules covered by this Module on Basic Research Methods.

1.5.1 IDENTIFY AND DEFINE THE RESEARCH PROBLEM

Since research is a problem-solving activity, it only follows that the first step is to identify and
define the research problem. This research phase has four sub-steps, namely:

a. Selecting a research topic;

b. Identifying the research problem;
c. Formulating the research objectives; and
d. Determining the significance of the research problem and objectives identified

Since these steps provide the foundation of the whole research process, it is crucial for the
research topic, problem and objectives to be properly identified and formulated. The rules in
doing these are presented in Sub-Module 2 (Defining the Research Problem).

1.5.2 REVIEW THE LITERATURE RELATED TO THE PROBLEM

The review of related literature involves answering the question, “What is already known about
the topic and the research objectives which I wish to investigate?” It provides a concise
description and critical evaluation of work which has already been done on the research area of
interest. The uses of the review of related literature in the research process and the steps to be
followed in conducting it are described in detail in Sub-module 3 (Establishing the Theoretical
and Empirical basis for the Research).

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1.5.3 DEVELOP THE CONCEPTUAL FRAMEWORK UNDERLYING THE
RESEARCH PROBLEM

The conceptual framework is a written or a visual presentation which explains graphically, in

narrative form, or both, the main variables being studied in the proposed research. It serves as
the bridge between the review of related literature and the formulation of the final form of the
research objectives. It is a representation of the structure and content of the study, based on
theoretical knowledge and empirical evidence derived from the review of related literature. It
shows the pathways by which the independent variables (ex., interventions) cause or affect the
dependent variables or outcomes. A more detailed description of conceptual frameworks is
presented in Sub-module 3 (Establishing the Theoretical and Empirical Basis of the Research).

1.5.4 REVISIT THE RESEARCH OBJECTIVES

After the researcher has reviewed the literature related to his research objectives, and has even
developed the underlying conceptual framework, it is expected that he has now a better
understanding of exactly what he wants to do in his research. He is therefore in a better position
to revisit the research objectives which he formulated at the start of the research process, and
redefine the actual problem for investigation in more clear and specific terms. This involves the
process of reviewing, refining or fine-tuning the first draft of the general and specific objectives
based on new knowledge derived from the review of related literature. It may involve delimiting
the scope of the study to make it more focused and feasible, without dealing with a trivial
problem

1.5.5 DEFINE THE VARIABLES TO BE STUDIED

After the research objectives have been revisited in Step 4, they will hopefully be in their final
form, and hence the researcher will now be in a better position to define the variables in the
study. The act of defining variables can cover four different sub-steps, namely:

a. Formulate operational definitions of variables

b. Identify attributes of the variables to be studied in the research project. This is dictated
by the research objectives, and can involve any of the following:
• Estimating magnitudes of parameters (ex., determining the prevalence of
diabetes among adults in Manila)
• Determine differences (ex., Determining how much bigger or smaller is the
prevalence of diabetes in urban compared to rural areas)
• Investigate relationships between variables

c. Identify the dependent, independent and control variables, if applicable

d. Formulate testable hypothesis, if asked for by the research objectives

Note that not all researches would require a dependent, independent or control variables.
Neither would all researches require a hypothesis. A more detailed discussion on how to define
variables is presented in the first part of Module 8 (Data Collection)

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1.5.6 CONSTRUCT THE RESEARCH DESIGN

The most technically challenging part of the research process is the construction of the
research design, because it covers several areas, and tries to answer several important
questions regarding how the research will be conducted. Among these are:

• Study design – What kind of a study will be the most appropriate in order to answer the
research objectives? The various types of study designs are described in Sub-Module
4 (Epidemiologic and Experimental Studies) and Sub-module 7 (Qualitative Research)

• Methods of subject selection – How will the research participants be selected? This is
discussed in Sub-module 5 (Sampling Designs)

• Sample size – How many subjects will be selected? The process of sample size
determination is presented in Sub-module 6 (Sample Size Determination)

• Strategies for control and manipulation of relevant variables – What can be done to
minimize biases in the study? These are discussed in several sub-modules, depending
on the type of bias that is considered

• Establishment of criteria to evaluate outcomes – How can I define my dependent

variable so that they can be objectively measured? A detailed discussion of defining
variables is presented in the first part of Sub-module 8 (Data Collection)

• Instrumentation – What measurement instruments or data collection tools will I use to

ensure the validity of the data collected? Guidelines in the development of data
collection tools is presented in the last part of Sub-module 8 (Data Collection)

For a given set of research objectives, there can be a number of possible research designs
which can be formulated, each with its own strengths and weaknesses. A major consideration in
formulating the research design is to maximize both its internal and external validity.

The internal validity of a research design answers the question, “Does the study measure what
it intends to measure?” It refers to the extent to which various types of biases are controlled in
the study like comparability of subjects, measurement bias and others. External validity on the
other hand, refers to the extent to which the study results can be generalized to a larger
population represented by the sample. It overs issues related to the representativeness of the
samples and the adequacy of the sample size.

1.5.7 DESIGN THE TOOLS FOR DATA COLLECTION

There are many types of data collection tools – forms, interview schedules, questionnaires,
checklists and guide questions are the most commonly used ones. How they are designed
depends on a number of factors most important of which are the objectives of the study and the
plans for data analysis for the variables to be included. More detailed guidelines on the
development of data collection tools are presented in Sub-module 8 (Data Collection).

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1.5.8 DESIGN THE DATA ANALYSIS PLAN

Designing the plan for data analysis involves two aspects:

a. Construction of dummy tables corresponding to each research objective. Most

research funding agencies require the presentation of dummy tables as part of
the research proposal.

b. Identification of statistical techniques to be applied in order to answer the

research objectives

Both of these aspects are discussed in Sub-module 9 (Data Analysis).

1.5.9 PLAN FOR THE ADMINISTRATIVE ASPECTS OF RESEARCH

Not all phases of the research process are technical. To ensure the protection of participants
who are potentially exposed to certain risks through their participation in the research process, it
is important for the researcher to obtain research ethical approval from an accredited Ethical
Review Board prior to the start of the research. In fact, most funders do not provide financial
support to research project which do not have ethical approval. Similarly, results of research
which are not ethically approved are often not accepted for publication. The basic principles and
issues to be addressed when applying for ethical approval are presented in Sub-module 10
(Ethics in Health Research).

To ensure that all the activities in the research process are allocated an adequate amount of
time and are conducted in a timely manner, it is important for the researcher to develop a
research timetable which is usually presented in the form of a Gantt chart. In addition, since
research involves the use of a lot of resources, it is important for the researcher to develop a
reasonable budget to cover the costs of implementing all research activities. These
administrative aspects of the research process are discussed in detail in Sub-module 11.

1.5.10 COLLECT THE DATA

This step of the research process generally involves the most time, efforts and cost. It can also
be the most frustrating and problematic step, if the researcher did not allocate enough time and
efforts in planning for the data collection phase of the research, much of which are covered in
the first nine steps in the research process. The different modes of data collection, the various
issues which need to be addressed in this research phase, as well as important guidelines to
remember when developing data collection tools are presented in Sub-module 8 (Data
Collection).

1.5.11 PROCESS THE COLLECTED DATA

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Data processing is a very important phase in the research process because it is the first
step in transforming raw data which was collected during the data collection phase, into
information. Data processing has two very important components: data editing and
coding. Both of these processes are discussed in Sub-module 9 (Data Analysis), as a
preliminary activity prior to data analysis.

1.5.12 ANALYZE THE DATA

Data analysis is one of the technical phases of the research process because it involves
the application of statistical tools. The greatest challenge in data analysis is determining
the most appropriate statistical tools to apply, given the objectives of the research and
the type of data collected. The different factors to be considered in data analysis and an
overview of the different statistical tools commonly used in research are presented in
Sub-module 9 (Data Analysis).

1.5.13 WRITE THE RESEARCH REPORT

After the research proposal, the second most important document that the researcher
will write is the project research report. While the research proposal reflects the plans of
the researcher in terms of how to implement the research, the research report reflects
how the research was actually conducted, and what the results are. No matter how well
the research was implemented, its value cannot be fully appreciated or even utilized if it
is not properly documented in the research report.

Writing the research report can have several formats, with the level of detail, content
and style, depending on the target audience. For purposes of writing the Project
Terminal Report of PCHRD-funded research projects, the researcher must follow the
format required by PCHRD.

1.5.14 DISSEMINATE THE REPORT

No matter how good the research results are, it cannot be utilized if they are not properly
disseminated, since potential users will not be aware of it. Hence research dissemination is a
pre-requisite for research utilization. In addition, the way the research results are packaged
during dissemination can affect the extent of its utilization.

There are many forms of research dissemination. The traditional modes are publishing research
results in technical journals and other forms of scientific publications, as well as presenting them
in conferences, meetings and seminars. Less technical forms of research dissemination include
press releases, and radio and TV presentations. At present, there is an increasing use of
electronic modes of dissemination like posting the results in the websites of academic
institutions and research organizations, as well as through the use of social media.

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1.5.15 UTILIZE THE RESEARCH RESULTS

As implied in the previous section, research dissemination and utilization are

complementary activities. The extent and nature of research utilization are highly
dependent on the extent and nature of its dissemination.

An important aspect of research utilization is the proper identification of potential users

who are expected to make use of, or benefit from the research results. These can be
policy makers, program managers, service providers, academicians, and the general
public. What is important is for the researcher to identify the information needs of each
of these potential users, and to whet their interest by maintaining constant inter-act with
them even while the research is still on-going, and if possible, even get them involved in
the research process. One of the section (Section 12) of the PCHRD research proposal
format, asks proponents to identify the expected users and target beneficiaries of the
proposed research.

1.6 HELPFUL THINGS TO REMEMBER ABOUT RESEARCH

For new researchers, conducting research may be quite intimidating and frustrating. A more
positive research experience may be derived by keeping in mind some helpful reminders of the
nature of the research process, as follows:

a. Research is not for the highly sensitive, onion-skinned and proud persons
b. The success of a research project is highly dependent on how potential problems have
been identified and resolved before data collection begins.
c. The best research teacher is research experience itself.
d. Research concepts and methodologies are dynamic and a good researcher should
always be open to new ideas, concepts and new ways of doing things

EXERCISES

1. Identify the specific steps in the research process where each of the following
activities are undertaken:

1.1 Mothers in a community are invited to attend a film showing on the harmful
effects of intestinal parasites like ascaris and hookworm. This is done to
encourage them to submit stool specimens of their preschoolers, for a survey
on the prevalence of parasitism among this age group in their community.

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 1.2 A Resident Physician consults with his Consultant the funding sources, the
potential problems to be encountered in data collection, and the overall
feasibility of investigating a research problem which he is interested in pursuing.

1.3 A nurse requests a statistician to compute for the sample size needed to
conduct a study on the incidence of nosocomial infections in the hospital ward
where she works.

2. For each of the following situations described, indicate whether it is the internal or
external validity of the study which is affected, and explain your answer.

2.1 In a survey to assess the degree of utilization of the Rural Health Unit, it was
decided to select as respondents, those living in the immediate vicinity of the
RHU, in order to facilitate the data collection and minimize travel time and costs.

2.2 In a particular survey conducted in Metro Manila, the questionnaire, which was
originally drafted in English, was no longer translated to Tagalog. Interviewers
were instructed to translate the questions on their own, as the need arises.

2.3 A survey to determine the prevalence of anemia among pregnant women used
the pallor of the conjunctiva as basis for categorizing women according to
anemia status.

REFERENCES

Mendoza, O.M. (2000). Steps in Planning and Conducting Research (Chapter 3 in BIO 201
Fundamentals of Biostatistics). Manila. Distance Education Program, UPM College of Public
Health.

Mendoza, O.M., et al. (1996). Foundations of Statistical Analysis for the Health Sciences.
Manila. Dept. of Epidemiology and Biostatistics, UP College of Public Health.

World Health Organization (2012). The WHO Strategy on Research for Health. Geneva. World
Health Organization.

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