Process in Research Proposal Development

Key Concepts
Research proposal Research problem
Research questions Research objectives
Literature review Research design
Sample size determination Sampling methods
Probability sampling Non-probability sampling

Lesson 1: What is the Research Proposal?

1.1 Introduction

Before an attempt is made to start with a research project, a

research proposal should be compiled. For the beginner researcher,
this is usually among the most difficult parts. It is, however, the most
important aspect of the research project and should be considered
carefully by the researcher. This does not only require subject
knowledge, but also insight into the problem that is going to be
investigated, so as to give logic and structure to the research
envisaged. This unit of the research methodology module is a guide
to write a research proposal. Use the guidelines as a point of
departure for discussions with your advisor/instructor. They may
serve as a straw-man against which to build your understanding of
both your study and of proposal writing.

Students are advised to read the module beforehand so that they

can benefit, as much as possible, from the presentations and group
work. It may be extremely useful for the students to (re)read the
module after the presentation and group work as well.

1.2 Identifying a research topic

Defining the problem is the first step and one of the most difficult in
research undertaking. There is a tendency for the beginner in
research to ask questions that are usually diffuse or vague. Each
topic that is proposed for research has to be judged according to
certain guidelines or criteria. There may be several ideas to choose
from. Before deciding on a research topic, each proposed topic must
be compared with all other options. The guidelines or criteria
discussed on the following can help in this process:
 Criteria for selecting a research topic:

• Relevance/Significance
• Avoidance of duplication
• Urgency of data needed (timeliness)
• Feasibility of study
• Applicability of results
• Interest to the researcher
• Ethical acceptability

1.3 What is a research proposal?

After proper and complete planning of a research, the plan should be

written down. The research proposal is the detailed plan of study. The
term "research proposal" indicates that a specific course of action will
be followed. It is a document which sets out your ideas in an easily
accessible way. The intent of the written research proposal is to
present a focused and scholarly presentation of a research problem
and plan. The early presentation of a research plan in the post
graduate training of students is intended to promote critical and
analytical thinking, focused research effort, and extensive interaction
with their thesis advisor throughout the research. The objective in
writing a proposal is to describe what you will do, why it should be
done, how you will do it and what you expect will result. Being clear
about these things from the beginning will help you complete your
research in a timely fashion. A vague, weak or fuzzy proposal can
lead to a long, painful, and often unsuccessful research writing
exercise. A clean, well thought-out, proposal forms the backbone for
the research itself. A good research proposal hinges on a good idea.
Getting a good idea hinges on familiarity with the topic. This assumes
a longer preparatory period of reading, observation, discussion, and
incubation. Read everything that you can in your area of interest.
Figure out what are the important and missing parts of our
understanding. Figure out how to build/discover those pieces. Live
and breath the topic. Talk about it with anyone who is interested. Then
just write the important parts as the proposal.

The written proposal:

• forces the students to clarify their thoughts and to think about
all aspects of the study;
• is a necessary guide if a team is working on the research;
• is essential if the study involves research on human subjects or
on experimental animals, in order to get the institution’s ethical
approval;
 • is an essential component submitted for funding.

From the process of the development of the research proposal,

students benefit from the advise of their supervisor(s), experts and
colleagues in referring to their plan. But once a proposal for a study
has been developed and approved, and the study has started and
progressed, it should be adhered to strictly and should not be
changed. Violations of the proposal can discredit the whole study.

A well-thought out and well-written proposal can be judged according

to three main criteria.
• Is it adequate to answer the research question(s), and
achieve the study objective?
• Is it feasible in the particular set-up for the study?
• Does it provide enough detail that can allow another
investigator to do the study and arrive at comparable
results?

Issues to remember: Know your area of expertise: what are your

strengths and what are your weaknesses? Play to your strengths,
not to your weaknesses. Do not assume that, because you do not
understand an area, no one understands it or that there has been no
previous research conducted in the area. If you want to get into a
new area of research, learn something about the area before you
write a proposal. Research previous work. Be a scholar. Before you
start work on your research proposal, find out whether you’re
required to produce the proposal in a specific format. Most graduate
programs at Addis Ababa University have a general outline and a
guide as to how many pages to produce.

Exercise
Why do you need to write a good research proposal?

Who do you think will want to read your research proposal?

Lesson 2: Components of a Research Proposal

The basic components of a research proposal are the same in many

fields. However, how they are phrased and staged may vary by
discipline. The following components can be regarded as steps in
the writing of the research proposal. They are important and should
be followed for the actual composition of the proposal. The
organization of the contents of a proposal may vary somewhat with
the nature of the activity proposed. Generally, the basic components
 of a proposal are described in this unit in the order in which they
most logically appear in a proposal. However, when it comes to
related research, the inquirer may find it useful, even necessary, to
incorporate some parts of the discussion into other sections of the
proposal.

Issues to remember: It is important to remember the components

will not always appear in all postgraduate programs at AAU, as
separate sections, or in the order listed here. Once you've learned
the basic rules for research proposal, you can apply them to any
research discipline.

Components of a research proposal:

1. Title page
2. Summary/Abstract
3. Introduction/Background
4. Statement of the problem
5. Literature review
6. Hypotheses /Questions
7. Conceptual framework
8. Objective/Aim of the study
9. Research methods, materials and procedures
o Study area
o Study design
o Study subjects
o Eligibility Criteria (if any)
o Sample size
o Sampling methods
o Method of data collection
The abstract is o Description of variables
a mini version of o Data quality assurance
the proposal o Operational definitions
o Plan of data analysis
10. Work plan
11. Budget
12. References
13. Appendices/Annexes

2.1 Title page

A title ought to be well studied, and to give, so far as its limits permit,
a definite and concise indication of what is to come. The title of your
research proposal should state your topic exactly in the smallest
 possible number of words. Put your name, the name of your
department/faculty/college, the name of your advisor(s) and date of
delivery under the title.

All words in the title should be chosen with great care, and
association with one another must be carefully managed. The title
page identifies the proposal and provides the endorsement of
appropriate body (advisor). A good title is defined as the fewest
possible words that adequately describe the contents of the study.
Title is a label: it is not a sentence. Titles should almost never
contain abbreviations. The title page has no page number and it is
not counted in any page numbering.

Exercise
What do you think of the following the research topics? Discuss on
their merits and provide your own alternative titles.

How the capital structures of companies affect their

profitability?

Workings capital management of Companies

Risk management and practices of banking sector.

Effect of internal control on performance.

Ethics in accounting eduction.

2.2 Summary/Abstract

The abstract is a one page brief summary of the thesis proposal. It

needs to show a reasonably informed reader why a particular topic is
important to address and how you will do it. To that end, it needs to
show how your work fits into what is already known about the topic
and what new contribution your work will make. Specify the question
First that your research will answer, establish why it is a significant
impressions are question; show how you are going to answer the question. Do not
strong put information in the abstract that is not in the main text of your
impressions: research proposal. Do not put references, figures, or tables in the
make your title abstract.
an attention
grabber.
 Issues to remember: The abstract is a concise summary of the
material presented in the proposal. Though it appears at the front
of the proposal, it is written last. A well-prepared summary enables
the reader to
• Identify the basic content of a document quickly and
accurately,
• Determine its relevance to their interests, and
• Decide whether they need to read the document in its entirely

Exercise
Do you think it would be appropriate to include your methods in the
abstract?

Summarizing a wide topic is more difficult than it sounds. By way of

illustration, make single sentence statements on the following topics:

The role of internal reporting

Performance measures of companies

Capital structure of companies

Compliance cost of tax system

Accounting information system application.

2.3 Introduction/background

The introduction is the part of the proposal that provides readers with
the background information for the research proposal. Its purpose is
to establish a framework for the research, so that readers can
understand how it is related to other research. Be sure to include a
hook at the beginning of the introduction. This is a statement of
something sufficiently interesting to motivate your reader to read the
rest of the proposal, it is an important/interesting scientific problem
that your study either solves or addresses. The introduction should
cite those who had the idea or ideas first, and should also cite those
who have done the most recent and relevant work. You should then
go on to explain why more work is necessary (your work, of course.)

The introduction also should address the following points:

• Sufficient background information to allow the reader to
 understand the context and significance of the question you
are trying to address.
• Proper acknowledgement of the previous work on which you
are building.
• Sufficient references such that a reader could, by going to the
library, achieve a sophisticated understanding of the context
and significance of the question.
• The introduction should be focused on the research
question(s).
• All cited work should be directly relevant to the goals of the
research.
• Explain the scope of your work, what will and will not be
included.
• A verbal "road map" or verbal "table of contents" guiding the
reader to what lies ahead.
• Is it obvious where introductory material ("old stuff") ends and
your planned contribution ("new stuff") begins?

Issues to remember: In summary, the introduction/background

section should contain a rationale for your research. Why are you
undertaking the project? Why is the research needed? This rationale
should be placed within the context of existing research or within
your own experience and/or observation. You need to demonstrate
that you know what you’re talking about and that you have
knowledge of the literature surrounding this topic. If you’re unable to
find any other research that deals specifically with your proposed
project, you need to say so, illustrating how your proposed research
will fill this gap. If there is other work that has covered this area, you
need to show how your work will build on and add to the existing
knowledge. Basically, you have to convince people that you know
what you’re talking about and that the research is important.

Exercise
Is it appropriate to include in the introduction theories, hypothesis
and findings that go against your stated hypothesis?

Is it appropriate to include research works in progress that offer an

alternative hypothesis?

2.4 Statement of the problem

Most research proposals, whether designed for master's theses or

doctoral dissertations, may be considered as responses to a
 problem. A problem might be defined as the issue that exists in the
literature, theory, or practice that leads to a need for the study. The
prospective researcher should think on what caused the need to do
Statement of the research (problem identification). The question that he/she
the problem should ask him/herself is: Are there questions about this problem to
encapsulates which answers have not been found up to the present? The research
the question problem should be stated in such a way that it would lead to
you are trying to analytical thinking on the part of the researcher with the aim of
answer. possibly concluding solutions to the stated problem. The problem
statement describes the context for the study and it also identifies
the general analysis approach. It is important in a proposal that the
problem stand out—that the reader can easily recognize it. Effective
problem statements answer the question “Why does this research
need to be conducted.” If a researcher is unable to answer this
question clearly and succinctly, and without resorting to hyper-speak,
then the statement of the problem will come off as ambiguous and
diffuse. The most frequent dilemma among graduate students is their
seemingly aimless search for a problem significant enough to pursue
and discrete enough to handle. 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, variables or data sources that come
out of nowhere: if it can't be found in the problem statement 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.

Exercise
Formulate a problem statement in your specific area of research
interest

Evaluate the research questions provided below and answer the

following questions:
- Do the questions offer significant area of research?

- Are they testable (i.e. can you obtain answers to these questions?)
- Are they too broad/narrow?

- Propose alternatives that refine the questions.

 2.5 Literature review

To conduct research regarding a topic, by implication, means that

the researcher has obtained sound knowledge with regard to the
research topic. It is therefore imperative that the researcher, at the
time of the submission of the research proposal, clearly indicates
what theoretical knowledge he possesses about the prospective
research.

What is a literature review?

Literature review is not a compilation of every work written about a

topic. It is not simply a list of sources reviewed separately for their
The literature own merit. A literature review is a description of the literature
review asks relevant to a particular field or topic. It gives an overview of what has
how similar and been said, who the key writers are, what are the prevailing theories
related and hypotheses, what questions are being asked, and what methods
questions have and methodologies are appropriate and useful. As such, it is not in
been answered itself primary research, but rather it reports on other findings.
before.
A literature review uses as its database reports of primary or original
scholarship, and does not report new primary scholarship itself. The
primary reports used in the literature may be verbal, but in the vast
majority of cases reports are written documents. The types of
scholarship may be empirical, theoretical, critical/analytic, or
methodological in nature. Second a literature review seeks to
describe, summarize, evaluate, clarify and/or integrate the content of
primary reports.

The stages of a literature review

Define the problem

It is important to define the problem or area which you wish to

address. Having a purpose for your literature review will narrow the
scope of what you need to look out for when you read.

Carry out a search for relevant materials

Relevant materials will probably comprise a range of media:

• books (monographs, text books, reference books);
• articles from journals, whether print or electronic (but make
sure electronic journals have been subject to the peer review
process);
• newspaper articles;
• historical records;
• commercial reports and statistical information;
• government reports and statistical information;
• theses and dissertations;
• other types of information which may be relevant to your
particular discipline.

Initial appraisal from raw bibliographical data:

• What are the authors’ credentials? are they experts in the
field? are they affiliated with a reputable organization?
• What is the date of publication, is it sufficiently current or will
knowledge have moved on?
• If a book, is it the latest edition?
• Is the publisher a reputable, scholarly publisher?
• If it is a journal, is it a scholarly journal peer reviewed?

Appraisal based on content analysis:

• Is the writer addressing a scholarly audience?
• Do the authors review the relevant literature?
• Do the authors write from an objective viewpoint, and are their
views based on facts rather than opinions?
• If the author uses research, is the design sound?
• Is it primary or secondary material?
• Do the authors have a particular theoretical viewpoint?
• What is the relationship of this work to other material you
have read on the same topic, does it substantiate it or add a
different perspective?
• Is the author's argument logically organized and clear to
follow?
• If the author is writing from a practice-based perspective, what
are the implications for practice?

How to organize a literature review

There are a number of ways of organizing a literature review. Here is

one suggestion:

A. Introduction: define the topic, together with your reason for

selecting the topic. You could also point out overall trends,
gaps, particular themes that emerge, etc.

B. Body: this is where you discuss your sources. Here are some
ways in which you could organize your discussion:
o chronologically: for example, if writers' views have
tended to change over time. There is little point in
doing the review by order of publication unless this
shows a clear trend;
o thematically: take particular themes in the literature;
o methodologically: here, the focus is on the methods
of the researcher, for example, qualitative versus
quantitative approaches.

C. Conclusion: summarize the major contributions, evaluating

the current position, and pointing out flaws in methodology,
gaps in the research, contradictions, and areas for further
study.

Issues to remember: A literature review must do the following things:

• be organized around and related directly to the research question
you are developing
• synthesize results into a summary of what is and is not known
• identify areas of controversy in the literature
• formulate questions that need further research

Ask yourself the following type of questions:

• What is the specific research question that my literature
review helps to define?
• What type of literature review am I conducting? Am I looking
at issues of theory? methodology? policy? quantitative
research? qualitative research ?
• What is the scope of my literature review? What types of
publications am I using? What discipline am I working in?
• How good was my information seeking? Has my search been
wide enough to ensure I've found all the relevant material?
Has it been narrow enough to exclude irrelevant material? Is
the number of sources I've used appropriate for the length of
my paper?
• Have I critically analyzed the literature I use? Do I follow
through a set of concepts and questions, comparing items to
 each other in the ways they deal with them? Instead of just
listing and summarizing items, do I assess them, discussing
strengths and weaknesses?
• Have I cited and discussed studies contrary to my
perspective?
• Will the reader find my literature review relevant, appropriate,
and useful?

Exercise

Is wikipedia an authoritative scholarly source of information?

You are studying the impact of flooding on loss of livestock in a

region of Ethiopia. Would the Ethiopian Herald newspaper be a
reliable source of information for such a study?

2.6 Questions and/or Hypotheses

Hypotheses and questions are linked to the speculative proposition

of the problem statement, can be inferred from the overall
conceptual framework of a study, and are of critical importance to
data analysis and interpretation. In research studies, the term
hypotheses implies a derivation, within a hypothetic-deductive
theoretical system, of a particular assertion or prediction. The
hypothesis is subject to test, i.e., to confirmation or rejection on
empirical grounds. The term question implies an interrogative
statement that can be answered by data, which is logically related to
the same conceptual framework, but which does not necessarily
stem from that framework through logical deduction.

Questions are most often used in qualitative inquiry, although their

use in quantitative inquiry is becoming more prominent. Hypotheses
are relevant to theoretical research and are typically used only in
quantitative inquiry. A research question poses a relationship
between two or more variables but phrases the relationship as a
question; a hypothesis represents a declarative statement of the
relations between two or more variables. Deciding whether to use
questions or hypotheses depends on factors such as the purpose of the
study, the nature of the design and methodology of the research. Make a
clear and careful distinction between the dependent and independent
variables and be certain they are clear to the reader. Hypotheses are
thus tentative statements that should either be acknowledged or
rejected by means of research.
Because hypotheses give structure and direction to research, the
following aspects should be kept in mind when formulating a
hypothesis:
 • Hypotheses can only be formulated after the researcher has
gained enough knowledge regarding the nature, extent and
intensity of the problem.
• Hypotheses should figure throughout the research process in
order to give structure to the research.
• Hypotheses are tentative statements/solutions or explanations
of the formulated problem. Care should be taken not to over-
simplify and generalize the formulation of hypotheses.
• The research problem does not have to consist of one
hypothesis only. The type of problem area investigated, the
scope of the research field are the determinate factors on how
many hypotheses will be included in the research proposal.

Issues to remember: A research hypothesis is usually stated in an

explanatory form, because it indicates the expected reference of the
difference between two variables. In other words it verifies the reference that
the researcher expects by means of incorporating selected research
procedures. The research hypothesis may be stated in a directional or non-
directional form. A directional hypothesis statement indicates the expected
direction of results, while a non directional one indicates no difference or no
relationship.

2.7 Conceptual framework

Every research activity is conceptualized and will be carried out

within some contextual framework. This contextual framework is in
part conceptual, in part valuational, and in part practical (or
operational), and all of these factors must typically be considered.

A conceptual framework is described as a set of broad ideas and

principles taken from relevant fields of enquiry and used to structure
a subsequent presentation. When clearly articulated, a conceptual
framework has potential usefulness as a tool to scaffold research
and, therefore, to assist a researcher to make meaning of
subsequent findings. Such a framework should be intended as a
starting point for reflection about the research and its context. The
framework is a research tool intended to assist a researcher to
develop awareness and understanding of the situation under scrutiny
and to communicate this.
2.8 Objective/aim of the study

The objectives of a research delineate the ends or aim which the

inquirer seeks to bring about as a result of completing the research
undertaken. An objective may be thought of as either a solution to a
problem or a step along the way toward achieving a solution; an end
state to be achieved in relation to the problem. The objectives of a
research project summarise what is to be achieved by the study.
Objectives should be closely related to the statement of the problem.
After statement of the primary objective, secondary objectives may
be mentioned.

Objectives should be
• simple (not complex),
• specific (not vague),
• stated in advance (not after the research
is done), and
• stated using “action verbs” that are
specific enough to be measured.

Commonly, research objectives are classified into general

objectives and specific objectives. The general and specific
objectives are logically connected to each other and the specific
objectives are commonly considered as smaller portions of the
general objectives. It is important to ascertain that the general
objective is closely related to the statement of the problem.

• General objective
o What exactly will be studied?
o General statements specifying the desired outcomes of
the proposed project
• Specific objectives
o Specific statements summarizing the proposed
activities and including description of the outcomes and
their assessment in measurable terms
o It identifies in greater detail the specific aims of the
research project, often breaking down what is to be
accomplished into smaller logical components
o Specific objectives should systematically address the
various aspects of the problem as defined under
‘Statement of the Problem’ and the key factors that are
 assumed to influence or cause the problem. They
should specify what you will do in your study, where
and for what purpose

Why should research objectives be developed?

The formulation of objectives will help you to:

• Focus the study (narrowing it down to essentials);
• Avoid the collection of data which are not strictly necessary
for understanding and solving the problem you have
identified; and
• Organize the study in clearly defined parts or phases.

Properly formulated objectives will facilitate the development of your

research methodology and will help to orient the collection, analysis,
interpretation and utilization of data.

Issues to remember: Keep in mind that when a proposal is evaluated, the

anticipated results will be compared to the objectives. If the objectives have
not been spelled out clearly, the proposal cannot be evaluated.

Take care that the objectives of your study:

• Cover the different aspects of the problem and its contributing factors in
a coherent way and in a logical sequence;
• Are clearly phrased in operational terms, specifying exactly what you
are going to do, where, and for what purpose;
• Are feasible;
• Are realistic considering local conditions;
• Are phrased to clearly meet the purpose of the study; and
• Use action verbs that are specific enough to be evaluated.

2.9 Methods, material and procedures

The methods or procedures section is really the heart of the

Methods/proced research proposal. You must decide exactly how you are going to
ures show how achieve your stated objectives: i.e., what new data you need in order
you will achieve to shed light on the problem you have selected and how you are
the objectives,
going to collect and process this data. The activities should be
answer the
questions. described with as much detail as possible, and the continuity
between them should be apparent. Indicate the methodological steps
you will take to answer every question, to test every hypothesis
illustrated in the Questions/Hypotheses section or address the
objectives you set.
What belongs in the "methods" section of a research proposal?

• Information to allow the reader to assess the believability of

your approach.
• Information needed by another researcher to replicate your
experiment.
• Description of your materials, procedure, theory.
• Calculations, technique, procedure, equipment, and
calibration plots.
• Limitations, assumptions, and range of validity.
• Description of your analytical methods, including reference to
any specialized statistical software.

The proposal should describe in detail the general research plan.

(may not necessarily be true for all types of research)
 Description of study area
 Description of study design
 Description of study participants
 Eligibility criteria ( if any)
 Determination of sample size (if any)
 Description of selection process (sampling method)
 Methods of data collection
 Description of the expected outcome and explanatory
variables… (if any)
 How data quality is ensured
 Operational definition
 Presentation of the data analysis methods

Issues to remember: Be aware of possible sources of error to

which your design exposes you. You will not produce a perfect, error
free design (no one can). However, you should anticipate possible
sources of error and attempt to overcome them or take them into
account in your analysis.

Important components of the materials and methods section are

described in detail below.

2.9.1 Study design

The study type may dictate certain research designs. More

commonly, the study objectives can be achieved through a number
of alternative designs. Students have to select the most appropriate
and most feasible design.

The type of research design chosen depends on:

 • the type of problem;
• the knowledge already available about the problem; and
• the resources available for the study.

Generally, there are two main categories of research design:

observational study, and experimental or intervention study. In the
observational study, the researchers stand apart from events taking
place in the study. They simple observe and record. In the
experimental or intervention study, the researches introduce an
intervention and observe the events which take place in the study.

Observational studies
An observational study may be exploratory, descriptive or analytical.
An exploratory study is a small-scale study of relatively short
duration, which is carried out when little is known about a situation or
a problem. If the problem and its contributing factors are not well
defined, it is always advisable to do an exploratory study before
embarking on a large-scale descriptive or analytic study. Small-scale
studies may be called exploratory case studies if they lead to
plausible assumptions about the causes of the problem and
explanatory case studies if they provide sufficient explanations to
take action. A descriptive study is an observational study that simply
describes the distribution of a characteristic. An analytical study
(correlation in some disciplines) is an observational study that
describes associations and analyses them for possible cause and
effect. An observational study may be cross-sectional or longitudinal.
In cross-sectional study, measurements are made on a single
occasion. In a longitudinal study, measurements are made over a
period of time. A longitudinal observational study may be
retrospective or prospective. In a retrospective study, the
researchers study present and past events. In a longitudinal
prospective study, the researchers follow subjects for future events.

Experimental or intervention studies

In the experimental or intervention study, the investigators test the

effect of an intervention on the events taking place in the study. An
experimental or intervention study may be controlled or non-
controlled. A controlled experimental study may be randomized or
non-randomized. Randomized controlled trials are intervention
studies characterized by the prospective assignment of subjects,
through a random method, into an experimental group and a control
group. Controlled trails without randomization are intervention
studies in which allocation to either experimental or control groups is
not based on randomization, making assignment subject to possible
biases influence study results.

2.9.2 Sampling

Sampling for quantitative studies

Sampling is the process of selecting a number of study units from a

defined study population. Often research focuses on a large
population that, for practical reasons, it is only possible to include
some of its members in the investigation. You then have to draw a
sample from the total population. In such cases you must consider
the following questions:

• What is the study population you are interested in from which

we want to draw a sample?
• How many subjects do you need in your sample?
• How will these subjects be selected?

The study population has to be clearly defined. Otherwise you

cannot do the sampling. Apart from persons, a study population may
consist of villages, institutions, plants, animals, records, etc. Each
study population consists of study units. The way you define your
study population and your study unit depends on the problem you
want to investigate and on the objectives of the study.

The key reason for being concerned with sampling is that of validity—
the extent to which the interpretations of the results of the study follow
from the study itself and the extent to which results may be
generalized to other situations with other people or situation. Sampling
is critical to external validity—the extent to which findings of a
study can be generalized to people or situations other than those
observed in the study. To generalize validly the findings from a
sample to some defined population requires that the sample has
been drawn from that population according to one of several
probability sampling plans. By a probability sample it is meant that
the probability of inclusion in the sample of any element in the
population must be given a priori. All probability samples involve the
idea of random sampling at some stage. Probability sampling
requires that a listing of all study units exists or can be compiled.
This listing is called the sampling frame. Of course, at times, it is
impossible to obtain a complete list of the population.
 Another reason for being concerned with sampling is that of internal
validity—the extent to which the outcomes of a study result from the
variables that were manipulated, measured, or selected rather than
from other variables not systematically treated. Without probability
sampling, error estimates cannot be constructed. Perhaps the key
word in sampling is representative. If researchers want to draw
conclusions which are valid for the whole study population, which
requires a quantitative study design, they should take care to draw a
sample in such a way that it is representative of that population. A
representative sample has all the important characteristics of the
population from which it is drawn.

Examples of probability sampling

A sample is a
representative
of the Simple random sampling
population
under study. The guiding principle behind this technique is that each element
must have an equal and nonzero chance of being selected. This can
be achieved by applying a table of random numbers or a computer
generated random numbers to a numbered sampling frame. Another
approach involves drawing numbers from a container. The product of
this technique is a sample determined entirely by chance. It should
be noted, however, that chance is “lumpy”, meaning that random
selection does not always produce a sample that is representative of
the population. Imagine, for example, a sampling frame comprising
10,000 people. Furthermore, consider that altitude is a critical
variable, and that the composition of the sampling frame is as
follows: 1,500 are from high altitude ; 7,500 are from medium altitude
white, and 1,000 are from low altitude. You are going to select a
sample of 500 people from this sampling frame using a simple
random sampling technique. Unfortunately, the simple random
selection process may or may not yield a sample that has equivalent
altitudinal proportions as the sampling frame. Due to chance,
disproportionate numbers of each altitudinal category may be
selected.

Systematic sampling

The systematic random sampling technique begins with selecting

one element at random in the sampling frame as the starting point;
however, from this point onward, the rest of the sample is selected
systematically by applying a predetermined interval. For example, in
this sampling technique, after the initial element is selected at
random, every “kth” element will be selected (kth refers to the size of
the interval—the ratio of the population to sample size) and becomes
eligible for inclusion in the study. The “kth ” element is selected
through the end of the sampling frame and then from the beginning
until a complete cycle is made back to the starting point (that is, the
place where the initial random selection was made). If there is a
cyclic repetition in the sampling frame, systematic sampling is not
recommended.

Stratified sampling

Stratified random sampling begins with the identification of some

variable, which may be related indirectly to the research question
and could act as a confounder (such as geography, age, income,
ethnicity, or gender). This variable is then used to divide the
sampling frame into mutually exclusive strata or subgroups. Once
the sampling frame is arranged by strata, the sample is selected
from each stratum using simple random sampling or systematic
sampling techniques. It is important that the sample selected within
each stratum reflects proportionately the population proportions;
thus, you can employ proportionate stratified sampling.

Cluster sampling

It may be difficult or impossible to take a simple random sample of

the units of the study population at random, because a complete
sampling frame does not exist. Logistical difficulties may also
discourage random sampling techniques (e.g., interviewing people
who are scattered over a large area may be too time-consuming).
However, when a list of groupings of study units is available (e.g.,
villages or schools) or can be easily compiled, a number of these
groupings can be randomly selected. Then all study units in the
selected clusters will be included in the study.

Multistage sampling

Multistage cluster sampling is used when an appropriate sampling

frame does not exist or cannot be obtained. Multistage cluster
sampling uses a collection of preexisting units or clusters to “stand
in” for a sampling frame. The first stage in the process is selecting a
sample of clusters at random from the list of all known clusters. The
second stage consists of selecting a random sample from each
cluster. Because of this multistage process, the likelihood of
sampling bias increases. This creates a lack of sampling precision
known as a design effect. It is recommended to consider the design
effect during sample size determination.
Purposeful sampling strategies for qualitative studies

Qualitative research methods are typically used when focusing on a

limited number of informants, whom you select strategically so that
their in-depth information will give optimal insight into an issue about
which little is known. This is called purposeful sampling. There are
several possible strategies from which a researcher can choose.
Often different strategies are combined, depending on the topic
under study, the type of information wanted and the resources of
the investigator(s).

2.9.3. Sample Size

Sample size in quantitative studies

Having decided how to select the sample, you have to determine

the sample size. The research proposal should provide information
and justification about sample size. It is not necessarily true that the
bigger the sample, the better the study. Beyond a certain point, an
increase in sample size will not improve the study. In fact, it may do
the opposite; if the quality of the measurement or data collection is
adversely affected by the large size of the study. After a certain
sample size, in general, it is much better to increase the accuracy
and richness of data collection (for example by improving the
training of interviewers, by pre-testing of the data collection tools or
by calibrating measurement devices). than to increase sample size.
Also, it is better to make extra effort to get a representative sample
rather than to get a very large sample.

The level of precision needed for the estimates will impact the
sample size. Generally, the actual sample size of a study is a
compromise between the level of precision to be achieved, the
research budget and any other operational constraints, such as time
(see 3.2.7). In order to achieve a certain level of precision, the
sample size will depend, among other things, on the following
factors:

• The variability of the characteristics being observed: If every

person in a population had the same salary, then a sample of
one person would be all you would need to estimate the
average salary of the population. If the salaries are very
different, then you would need a bigger sample in order to
produce a reliable estimate.
• The population size: To a certain extent, the bigger the
population, the bigger the sample needed. But once you
reach a certain level, an increase in population no longer
 affects the sample size. For instance, the necessary sample
size to achieve a certain level of precision will be about the
You have to
make a trade-off same for a population of one million as for a population twice
between that size.
generating a • The sampling and estimation methods: Not all sampling and
large enough estimation methods have the same level of efficiency. You will
sample size to need a bigger sample if your method is not the most efficient.
make a valid But because of operational constraints and the unavailability
generalization of an adequate frame, you cannot always use the most
to the efficient technique.
population and
the many
When the study is designed to find a difference or an association,
constraints that
appear with you may not find a difference or an association. In this case, we still
increasing want to calculate statistical probability that we may have missed a
sample size. difference or an association that exists in the population, but was not
found in the sample. This so-called statistical power of the study
depends also on the size of the sample. The larger the sample size,
the higher the power of the study. For calculating sample size before
the study begins, the researchers have to make a decision on the
level of statistical power they are willing to accept for the study.
Traditionally, most studies set a power of 80%.

The effect size in a study refers to the actual size of the difference
observed between groups or the strength of relationships between
variables. The likelihood that a study will be able to detect an
association between the variables depends on the magnitude of the
association you decide to look for. Large sample sizes are needed to
detect small differences. The choice of effect size is difficult and
arbitrary, but it must be set beforehand and must make a meaningful
difference. In designing a study, the researcher chooses the size of
effect that is considered important.

Sample size in qualitative studies

There are no fixed rules for sample size in qualitative research. The
size of the sample depends on what you try to find out, and from
what different informants or perspectives you try to find that out. You
can start with two or four Focus Group Discussions (FGDs)
depending on the complexity of the research objectives. If the
different data sets reconfirm each other you may stop at this point;
otherwise you conduct one or two FGDs more till you reach the point
of redundancy, i.e. no new data comes up any more. In exploratory
studies, the sample size is therefore estimated beforehand as
precisely as possible, but not determined. Richness of the data and
analytical capability of the researcher determine the validity and
meaningfulness of qualitative data more than sample size. Still,
 sampling procedures and sample size should always be carefully
explained in order to avoid the allusion of haphazardness.

2.9.4. Analysis Plan

Specify the analysis procedures you will use, and label them
accurately. The analysis plan should be described in detail. If coding
procedures are to be used, describe reasonable detail. If you are
triangulating, carefully explain how you are going to do it. Each
research question will usually require its own analysis. Thus, the
research questions should be addressed one at a time followed by a
The work plan is description of the type of statistical tests (if necessary) that will be
the timeline that
performed to answer that research question. Be specific. State what
shows when
specific tasks variables will be included in the analyses and identify the dependent
will have been and independent variables if such a relationship exists. Decision
accomplished. making criteria (e.g., the critical alpha level) should also be stated,
as well as the computer software that will be used (if there is a need
to use one). These help you and the reader evaluate the choices you
made and procedures you followed.

A work plan Issues to remember: Provide a well thought-out rationale for your
informs the decision to use the design, methodology, and analyses you have selected.
reader how long
it will take to
achieve the
objectives/answ
er the 2.10 Work plan
questions.
Work plan is a schedule, chart or graph that summarizes the
different components of a research proposal and how they will be
implemented in a coherent way within a specific time-span.

It may include:
The tasks to be performed;
When and where the tasks will be performed;
Who will perform the tasks and the time each person will
spend on them;
It describes the plan of assessing the ongoing progress
toward achieving the research objectives;
The plan specifies how each project activity is to be
measured in terms of completion, the time line for its
completion;
A good work time plan enables both the investigators and
the advisors to monitor project progress and provide timely
feedback for research modification or adjustments.
 Issues to remember: In the work plan:
• Different components/phases/stages of the study should be
stated
• Description of activities in each phase
• Time required to accomplish the various aspects of the study
The Budget should also be indicated
section will
show how much
it will cost to
The GANTT Chart
answer the
question.
A GANTT chart is a planning tool that depicts graphically the order in
which various tasks must be completed and the duration of each
activity.

The GANTT chart indicates:

• the tasks to be performed;
• who is responsible for each task; and
• the time each task is expected to take.
When drawing The length of each task is shown by a bar that extends over the
up a budget, be
number of days, weeks or months the task is expected to take.
realistic. Do no
attempt to be
too frugal to
2.11 Budget and funding
demonstrate
how cheaply Most often than not, you will require to secure funds from a funding
you can run the
organization to cover the cost of conducting a research project. The
project. At the
same time, do
items to consider when drawing up a budget requirement are
not be too outlined below. In addition, it is important to remember that the
expensive so as funding agency will invariably also read through the whole proposal
not to deter the (not just the budget requirement). Therefore, it is critical that the
fund providers. entire proposal document is well thought out and written to
effectively communicate the aim of the research and how you plan to
achieve it.

Budget items need to be explicitly stated

• Cost for every budget item should be quantitatively
shown
• Their might be a need for budget justification of
certain costs whose requirement is not obvious

Typically, a proposal budget reflects direct and indirect costs.

Direct costs:
Personnel: Salaries and wages of all participants of
the study Principal investigator; supervisor; data
collector; drivers; guards; data entry clerks, data
 analysis, report writing, etc
Consumable supplies: office supplies (stationeries),
computers, chemicals, and educational materials
Equipments: properties which are expensive
Travel: cost of projected-related travel
Communications: postage, telephone, telegram, fax,
e-mail charges associated with a project
Publication: the cost incurred of preparing and
publishing the results of the research. It includes:
technical reports, manuscripts, illustrations, graphics,
photography, slides, and overheads
Other direct costs: costs of all items that do not fit into
any of the above direct costs

Indirect costs:
• Those costs incurred in support and management of the
proposed activities that can not be readily determined by
direct measurement. Examples includes;
Overhead costs for institutions or associations
General administrative cost
Operational and maintenance
Depreciation and use allowance

Budget justification

It is not sufficient to present a budget without explanation. The

budget justification follows the budget as an explanatory note
justifying briefly, in the context of the proposal, why the various items
in the budget are required. Make sure you give clear explanations
concerning why items that may seem questionable or that are
particularly costly are needed and discuss how complicated
expenses have been calculated. If a strong budget justification is
presented, it is less likely that essential items will be cut during
proposal review.

Obtaining funding for research projects

To conduct research, it is usually necessary to obtain funding for the
research project. Such funding may be available from local, national
or international agencies. In addition, to preparing a good research
proposal, the following strategies are useful for researchers to
increase the chances of securing adequate funds:

A. Familiarize yourself with the policies and priorities of funding

agencies. Such policies and priorities may be:
- Implicit, i.e. known to officials in the agency and to other local
researchers who have previously been funded by that agency.
Obtain the names of such persons and make direct contact with
them.
- Explicit, i.e. available from policy documents issued by the agency.
The funding policies of many agencies may emphasize:
* a priority given to research aimed at strengthening a particular
program

* institution building (i.e. building the capacity of an institution to

do research)

* targeted to a specific thematic area of research (for example,

health, family planning, etc.)

B. Identify the procedures, deadlines an dformats that are relevant to

each agency.

C. Obtain written approval and support from relevant local and

national authorities and submit together with our proposal.

D. If you are a beginning researcher, associate yourself with an

established researcher/advisor. Host agencies scrutinize the
‘credibility’ of the researcher to whom funds are allocated. Such
credibility is based on previous projects that were successfully
completed.

E. Build up your own list of successfully completed projects (i.e. your

own reports, publications, etc.)

2.12 References

You must give references to all the information that you obtain from
books, papers in journals, and other sources. References may be
made in the main text using index numbers in brackets (Vancouver
style) or authors name (Harvard style). You will also need to place a
list of references, numbered as in the main text (or alphabetically
ordered), at the end of your research proposal. The exact format for
depicting references within the body of the text and as well as the
end of the proposal varies from one discipline to another. It is best
that you consult with someone who is familiar with the format in your
particular area of research.

The information you give in the reference list must be enough for
readers to find the books and papers in a library or a database. It
also demonstrates to those interested in your proposal how well
versed you are on the particular area of research.
As a general guideline, there are certain items that must be included from
each source reference. As mentioned above, the exact format applicable to
your particular area of study will be left for you to find out.

For a journal paper give:

• the names of the authors,
• the year of publication,
• the title of the paper,
• the title of the journal,
• the volume number of the journal,
• the first and last page numbers of the paper.

For a book give:

• the author,
• the year of publication,
• the title, and the edition number if there is one,
• the name of the publisher,
• the page numbers for your reference.

For an internet reference give:

• the author of the web page,
• the title of the item on the web page,
• the date the item was posted on the web page
• the date the item was accessed from the web page
• the complete and exact URL.

Particularly with references obtained from websites, it is important to

establish the reputability and reliability of the website you are making
reference to.

Every reference in your main text must appear in the list at the end of your
proposal, and every reference in the list must be mentioned in your main
text.

2.13 Appendices/Annexes

Include in the appendices of your proposal any additional information you

think might be helpful to a proposal reviewer. For example, include:

• Questionnaire & other collection forms

• Dummy tables
• Biographical data on the principal investigator
• The consent form (if any)