-UNIT ONE

INTRODUCTION TO BUSINESS RESEARCH

UNIT OBJECTIVES

At the end of this unit, you should be able to:

1. learn definitions of common research terms and research methods.
2. describe why knowledge of research methods is valuable for managers.
3. describe the major types of research.
4. compare and contrast research and research methodology.
5. comprehend the research process and criteria of a good research.

UNIT INTRODUCTION

As in many other spheres of human endeavor, research provides a key basis for developing
knowledge. In the physical sciences, physicists, biologists, mathematicians, chemists, and so
on, have long relied on and used research as a way of helping to define and refine knowledge
in their subject areas. It is only comparatively recently that the social scientist has begun to use
research for the same purpose. Certainly, research in management is one of the newest areas of
research. In this chapter, we examine the background to, and the development of, management
research, tracing the different approaches to management research, the purposes of
management research and some of the particular problems and issues which research in this
area gives rise to. In the process we shall also examine the main traditions and approaches to
conducting research in general including what is referred to as the different ‘philosophies’ of
research.

SECTION I

BASIC CONCEPTS OF BUSINESS RESEARCH

SECTION OBJECTIVE
After going through this lesson you will be able to:
1. describe meaning and role of research.
2. differentiate between different types of research.
3. describe scope and significance of research.

SECTION OVERVIEW
1
 1.1 Definitions of Research
1.2 The Role of Research
1.3 Research Methods versus Methodology
1.4 Types of Research
1.5 Time Dimension in Research

1.1 DEFINITIONS OF RESEARCH

Research is undertaken within most professions and areas including business and management
areas. A person with superior research capabilities commands a good reputation in any
organization. Research serves three purposes for the managers and other professionals. It
addresses and finds solutions for problems/questions faced by them; helps to interpret and
evaluate commissioned research carried out by academicians, administrators or research
institutions in order to craft new business policies and strategies and/or modify existing
business policies and strategies; and help for questioning the soundness of studies carried out
by others by looking into various aspects such as adequacy of data, methodology adopted and
validity of the findings. In this section, first let us comprehend the meaning of research, as it
will give us a clear understanding of foundations of research after going through some
important definitions of research.

There are various definitions of research. Research refers to a search for knowledge. It is an art
of scientific investigation. Besides, the term research can be defined in the following ways. In
Common usage: research refers to the scientific and systematic search for pertinent information
or knowledge. According to the dictionary, research is determined as a careful investigation or
inquiry specifically through search for new facts in any branch of knowledge. Some people
consider research as a movement from the known to the unknowns.

Moreover, it is important to look for other conceptual definitions of research.

David E McNabb (2002) states that ‘Research means gathering, processing, and
interpreting data, then intelligently and clearly communicating the results in a report that
describes what was discovered from the research’ (p 3).
Clifford Woody mentions that ‘Research comprises defining and redefining problems,
formulating hypothesis or suggested solutions; collecting, organizing and evaluating data;
making deductions and reaching conclusions; and at last carefully testing the conclusions
to determine whether they fit the formulating hypothesis’.
Redman and Mory define research as a “systematized effort to gain new knowledge.”
Lawrence R Frey, Carl H. Botan, Paul G. Friedman and Gary L. Kreps (1991) remark
that, ‘Research is based on disciplined inquiry, studying something in a planned manner and
reporting it so that other inquirers can replicate the process if they choose’ (p.6).

2
 Fred N Kerlinger defines ‘scientific research as a systematic, controlled, empirical and
critical investigation of hypothetical propositions about the presumed relations among
natural phenomena.’ This definition emphasizes the following characteristics of scientific
research.
 Scientific research must follow a systematic procedure and well drawn plans. If
well developed system and techniques are employed in the research process, any
other qualified researcher can repeat the same or improve over that.
 It is a controlled, empirical and critical investigation. Close follow up and review of
the research activity periodically is a pre-requisite to the scientific process.
 The investigation must be based on observation, experiences of others and critical
analysis of observed facts. It means that the researcher should not rely on his/her
own senses of hearing, seeing, smelling, touching and tasting. S/he puts her/his
experience to a test outside her/himself. Subjective belief is checked against the
objective reality, which is called empirical research.
 Scientific research involves investigation of some hypothetical propositions. A
hypothetical proposition is a tentative statement about the relationships between
two or more variables. Hypothesis guides the researcher what facts to gather, what
is relevant and what is irrelevant. In other words, hypothesis should be conceived as
an assumption that merits consideration by the researcher.

Research is actually a voyage of discovery. We all human beings possess the vital instinct of
inquisitiveness, when the unknown confronts us, we wonder and our inquisitiveness makes us
probe and attain full and fuller understanding of the unknown. This inquisitiveness/questioning
is the mother of all knowledge and the method, which man employs for obtaining the
knowledge of whatever the unknown, can be termed as research.

The following observation about the research process is worth mentioning as a summary
to the above discussions. ‘A researcher begins with a topic worth studying, asks questions
and/or makes predictions, plans research carefully, carries out the planned research,
analyzes the data to provide tentative answers, and starts all over again by posing new topics
and questions worth studying. Scholars thus provide feedback to themselves; new questions
emerge from answers to previous questions’.

1.2 THE ROLE OF RESEARCH

“All progress is born of inquiry. Doubt is often better than overconfidence, for it leads to
inquiry, and inquiry leads to invention” is a famous Hudson Maxim in context of which the
significance of research can well be understood. Increased amounts of research make progress
possible. The increasingly complex nature of business and government has focused attention
on the use of research in solving operational problems. Research has gained added importance,

3
both for the government and business. In general, the roles of research can be summarized as
follows:
1. Research inculcates scientific and inductive thinking and it promotes the development the
logical habits of thinking and organization.
2. Research provides the basis for nearly all government policies in our economic system. For
instance, government’s budgets rest in part on an analysis of the needs and desires of the
people and on the availability of revenues to meet these needs. Through research we can
devise alternative policies and can as well examine the consequences of each alternative.
3. Decision-making may not be a part of research but research certainly facilitates the
decisions of the policy makers/managers.
4. Research has its special significance in solving various operational and planning problems
of business and industry. Operations research and market research, along with motivational
research, are considered crucial and their results assist, in more than one way, in taking
business decisions. Research, thus, replaces intuitive business decisions by more logical
and scientific decisions.
5. Research is equally important for social scientists in studying social relationships and in
seeking answers to various social problems. Research in social sciences is concerned both
with knowledge for its own sake and with knowledge for what it can contribute to practical
concerns.
“This double emphasis is perhaps especially appropriate in the case of social science.
On the one hand, its responsibility as a science is to develop a body of principles that
make possible the understanding and prediction of the whole range of human
interactions. On the other hand, because of its social orientation, it is increasingly
being looked to for practical guidance in solving immediate problems of human
relations.”
6. Research is sort of formal training, which enables us to understand the new developments
in one’s field in a better way.

ACTIVITY 1.1
Identify any one organization which is found in your locality (where you live) and try
to list out the uses of research in managing this organization.

1.3 RESEARCH METHODS VERSUS METHODOLOGY

A. Research Methods
Research methods may be understood as all those methods or techniques that are used for
conducting empirical research. It refers to the methods the researchers use in performing
research observations. All those methods which are used by the researcher during the course of
studying his/her research problem are termed as research methods. Research methods can be
put into three groups:
4
 i. Those methods, which are concerned with the collection of data. Those methods are
used when the data are not sufficient to arrive at the required solution.
ii. Those statistical techniques, that are used for establishing relations between the data
and the unknowns.
iii. Those methods, which are used to evaluate the accuracy of the results, obtained.

B. Research Methodology
Research methodology is a way to systematically solve the research problem. It may be
understood as a science of studying how research is done scientifically. The various steps that
are generally adopted by researchers in studying his/her research problem are studied here.
Researchers need to know the criteria by which they can decide that certain techniques and
procedures will be applicable to certain problems and others will not and the assumptions
underlying various techniques. Research methodology has many dimensions and research
methods do constitute a part of the research methodology. The scope of research methodology
is wider than that of research methods.

Thus when we talk of research methodology we are not only talking of the research methods
but also considering the logic behind the methods we use in the context of our research study
and explain why we are using a particular method or technique and why we are not using
others so that research results are capable of being evaluated either by the researcher himself or
by others.

In general, research methodology deals with: why a research study has been undertaken; how
the research problem has been defined; in what way and why the hypothesis has been
formulated; what data have been collected; what particular method has been adopted and what
particular technique of analyzing data has been used etc?

1.4 TYPES OF RESEARCH

Different people may use different classification systems. The classification may be in terms of
methods employed, in terms of the time dimension, in terms of research environment or in
terms of data used. Accordingly, several types of research classification could be identified
some of which may include:

1.4.1 Exploratory Research

This type of research is carried out at the very beginning when the problem is not clear or is
vague. In exploratory research, all possible reasons which are very obvious are eliminated,
thereby directing the research to proceed further with limited options. For example: Sales
decline in a company may be due to: (1) Inefficient service (2) Improper price (3) Inefficient
sales force (4) Ineffective promotion and/or (5) Improper quality
5
The research executives must examine such questions to identify the most useful avenues for
further research. Preliminary investigation of this type is called exploratory research. Expert
surveys, focus groups, case studies and observation methods are used to conduct the
exploratory survey.

1.4.2 Descriptive Research

The main purpose of descriptive research is to describe the state of view as it exists at present.
Simply stated, it is a fact finding investigation. In descriptive research, definite conclusions can
be arrived at, but it does not establish a cause and effect relationship. This type of research tries
to describe the characteristics of the respondent in relation to a particular product.

Descriptive research deals with demographic characteristics of the consumer. For example,
trends in the consumption of soft drink with respect to socio-economic characteristics such as
age, family, income, education level etc. Another example can be the degree of viewing TV
channels, its variation with age, income level, profession of respondent as well as time of
viewing. Hence, the degree of use of TV to different types of respondents will be of
importance to the researcher. There are three types of players who will decide the usage of TV:
(a) Television manufacturers, (b) Broadcasting agency of the programme, (c) Viewers.

Therefore, research pertaining to any one of the following can be conducted:

i. The manufacturer can come out with facilities, which will make the television more user-
friendly. Some of the facilities are– (a) Remote control, (b) Child lock, (c) Different
models for different income groups, (d) Internet compatibility etc., (e) Wall mounting etc.
ii. Similarly, broadcasting agencies can come out with programmes, which can suit different
age groups and income. Ultimately, the viewers who use the TV must be aware of the
programmes appearing in different channels and can plan their viewing schedule
accordingly.
iii. Descriptive research deals with specific predictions, for example, sales of a company’s
product during the next three years, i.e., forecasting.
iv. Descriptive research is also used to estimate the proportion of population who behave in a
certain way. Example: “Why do middle income groups go to Super Markets to buy their
products?”
v. A study can be commissioned by a manufacturing company to find out various facilities
that can be provided in television sets based on the above discussion. Similarly, studies can
be conducted by broadcasting stations to find out the degree of utility of TV programmes.
Example: The following hypothesis may be formulated about the programmes:
 The programmes in various channels are useful by way of entertainment to the viewers.
 Viewers feel that TV is a boon for their children in improving their knowledge –
especially, fiction and cartoon programmes.
6
1.4.3 Applied Research
Applied research aims at finding a solution for an immediate problem faced by any business
organization. This research deals with real life situations. Example: “Why have sales decreased
during the last quarter”? Market research is an example of applied research. Applied research
has a practical problem-solving emphasis. It brings out many new facts.
Examples:
1. Use of fiberglass body for cars instead of metal.
2. To develop a new market for the product.
1.4.4 Pure/Fundamental Research or Basic Research
Gathering knowledge for knowledge’s sake is known as basic research. It is not directly
involved with practical problems. It does not have any commercial potential. There is no
intention to apply this research in practice. Academic institutions may conduct such studies.
Example: Theory of Relativity (by Einstein)

1.4.5 Conceptual Research

This is generally used by philosophers. It is related to some abstract idea or theory. In this type
of research, the researcher should collect the data to prove or disapprove his hypothesis. The
various ideologies or ‘isms’ are examples of conceptual research.

1.4.6 Causal Research

Causal research is conducted to determine the cause and effect relationship between the two
variables. Example: Effect of advertisement on sales.

1.4.7 Historical Research

The name itself indicates the meaning of the research. Historical study is a study of past
records and data in order to understand the future trends and development of the organization
or market. There is no direct observation. The research has to depend on the conclusions or
inferences drawn in the past.

For example, investors in the share market study the past records or prices of shares which
he/she intends to buy. Studying the share prices of a particular company enables the investor to
take decision whether to invest in the shares of a company. Crime branch police/CBI officers
study the past records or the history of the criminals and terrorists in order to arrive at some
conclusions. The main objective of this study is to derive explanation and generalization from
the past trends in order to understand the present and anticipate the future. There are however,
certain shortcomings of Historical Research:
1. Reliability and adequacy information is subjective and open to question
2. Accuracy of measurement of events is doubtful.
3. Verification of records are difficult.
7
1.4.8 Ex-post Facto
Research In this type of research, an examination of relationship that exists between
independent and dependent variable is studied. We may call this empirical research. In this
method, the researcher has no control over an independent variable.

Ex-post facto literally means, “from what is done afterwards”. In this research, a variable “A”
is observed. Thereafter, the researcher tries to find a causal variable “B” which caused “A.” It
is quite possible that “B” might not have been caused “A”. In this type of analysis, there is no
scope for the researcher to manipulate the variable. The researcher can only report “what has
happened” and “what is happening”.
1.4.9 Action Research
This type of research is undertaken by direct action. Action research is conducted to solve a
problem. Example: Test marketing a product is an example of action research. Initially, the
geographical location is identified. A target sample is selected from among the population.
Samples are distributed to selected samples and feedback is obtained from the respondent. This
method is most common for industrial products, where a trial is a must before regular usage of
the product.

1.4.10 Evaluation Research

This is an example of applied research. This research is conducted to find out how well a
planned programme is implemented. Therefore, evaluation research deals with evaluating the
performance or assessment of a project. Example: “Rural Employment Programme
Evaluation” or “Success of Midday Meal Programme.”

1.4.11 Library Research

This is done to gather secondary data. This includes notes from the past data or review of the
reports already conducted. This is a convenient method whereby both work force and time are
saved. 1. What are the reasons for sales decline in a company? 2. What are different types of
research?

C. Quantitative versus Qualitative Research

Quantitative research is based on the measurement of quantitative figure or quantity or amount.
It is applicable to phenomenon that can be expressed in terms of quantity. On the other hand,
qualitative research is concerned with qualitative phenomenon i.e. phenomena relating to or
involving quality or kind. Example: why people think or do certain things or all kinds of
motivation research, all kinds of attitude or opinion research are different qualitative research
studies. Qualitative research is particularly important in the behavioral sciences, where the
underlying motive is to discover the underlying motives of human behavior. Through such

8
research, we can analyze the various factors, which motivate people to behave in particular
manner. To apply qualitative research in practice is a relatively a difficult job.

1.5 TIME DIMENSION IN RESEARCH

Research may divided into two groups in terms of the time dimension: A single point in time
(cross sectional) and multiple points research (longitudinal research). Cross–sectional research
takes a snapshot/picture approach to social world. This is the simplest and less costly research
approach. Limitation – it cannot capture social processes or changes. Longitudinal research
examines features of people or other units more than one time. It is usually more complex and
costly than cross sectional research but is also more powerful especially with respect to social
changes.
Types of Longitudinal Research:
Time series research – this is longitudinal study on a group of people or other units across
multiple periods (e.g. time series data on exports of coffee).
The panel study – the researcher observes exactly the same people group or organization
across time periods, each time using the snapshot approach. In panel study the focus is on
individuals or households. E.g. interviewing the same people in 1991, 1993 1995 etc and
observe the change is an example of panel data set.
A cohort Analysis – is similar to the panel study, but rather than observing the exact same
people, a category of people who share similar life experience in a specified period is
studied. Hence, the focus is on group of individuals not on specific individuals or
households.
ACTIVITY 1.2
For the below mentioned scenario lay down your recommendation of the most suitable
type of research (Explanatory, Descriptive, Experimentation, Longitudinal and cross-
sectional). Explain the reasons for your choice.

“A co-operative bank has 4,000 customers who have taken personal loan or vehicle
loan of late, the bank feels that there has been an increase in the number of defaulters.
The bank would like to know whether people who are regular (no default) and
defaulters differ in terms of characteristics such as age, income, occupation, sex marital
status.”

SECTION II

OVERVIEW OF RESEARCH PROCESS

SECTION OBJECTIVES
9
After studying this lesson, you will be able to:
1. Understand steps involved in research process.
2. Describe criteria of a good research.
SECTION OVERVIEW
2.1 Research Process
2.2. Criteria of a Good Research

2.1 RESEARCH PROCESS

Whatever type of research or approach is adopted there are several fundamental stages in the
research process which are common to all scientifically based investigations. Before starting
the details of research methods, it is appropriate to have a brief overview of the research
processes. Research processes consists of the series of actions or stages, which are necessary to
successfully carry out research activities. These activities (steps) can overlap continuously
rather than following a strictly prescribed sequence. The first step can determine the nature of
the last step to be undertaken. These steps are not separate and distinct. They do not necessary
follow each other in any specific order. However, the following order of steps provides a
useful procedural guideline regarding the research processes.
1) Identification and formulating the research problem
2) Extensive literature survey
3) Developing working hypothesis
4) Preparing the research design
5) Determine sample design
6) Collecting data
7) Execution of the project
8) Analysis of the data
9) Hypothesis testing
10) Generalization and interpretation
11) Reporting the result
Typical structure of a project, dissertation, or thesis
CHAPTER/SECTION DESCRIPTION
Introduction A precise explanation of what the research is about, why it is important
and interesting; the research questions or hypothesis should also be
stated
Literature review A critical analysis of what other researchers have said on the subject
and where your project fits in
Methodology An explanation of why you collected certain data, what data you
collected, from where you collected it, when you collected it, how you
collected it and how you analyzed it
Results A presentation of your research results

10
Analysis & Discussion An analysis of your results showing the contribution to knowledge and
pointing out any weaknesses/ limitations
Conclusions A description of the main lessons to be learnt from your study and what
future research should be conducted
References A detailed, alphabetical or numerical list of the sources from which
information has been obtained and which have been cited in the text.
Appendices Detailed data referred to but not shown elsewhere.

2.2 WHAT ARE THE CRITERIA OF A GOOD RESEARCH?

Many of the characteristics of a good research project can be developed by adopting a
systematic and methodological approach. Methodological rigour implies the application of
systematic and methodological methods in conducting the study and a careful, detailed
exacting approach.
1) The procedural design of the research should be carefully planned to yield results that are
as objective as possible.
2) The purpose of research should be clearly defined and common concepts be used.
3) The researcher should report with complete frankness, flaws in procedural design and
estimate their effects upon the findings.
4) The analysis of the data should be sufficiently adequate to reveal its significance and the
methods of analysis used should be appropriate. The validity and reliability of the data
should be checked carefully.
5) Conclusive should be confined to those justified by the data of the research and limited to
those for which the data provide and adequate basis.
6) Great confidence in research is warranted if the research is experienced, has a good
reputation in research and is a person of integrity.

2.5.1 A Good Research should be Systematic

This means that research should be structured. A good research will satisfy the steps to be
taken in an orderly sequence according to a set of defined rules i.e., researcher uses scientific
methods and therefore is systematic.

2.5.2 A Good Research should be Logical

There should be logical reasoning in any research. This logical process used could be induction
or deduction. Induction is a process of reasoning from the part to the whole. To induce means
to draw conclusion from one or more facts or pieces of evidence. An example of Induction: An
advertising company gathers information about market requirements from retailers/users from
a small test market. Based upon the findings, say ‘price’, generalization is made regarding
“What is the acceptable market price” or “Is the customer price sensitive”? Deduction is a
process of reasoning some premise and then reaching the conclusion which follows from that
premise. In deduction, the conclusion drawn must necessarily follow the reason stated.
11
Example: “All products manufactured by Reebok Company are good. This leather wallet is a
product of Reebok, so it must be good.”

2.5.3 A Good Research should be Empirical

Empirical means the factual investigation is possible. Its validity can be checked through
reliable sources and evidences. Research should be such that it can be validated, i.e., it should
be possible to describe, interpret and explain the phenomenon.

2.5.4 A Good Research is Replicable

It means the research conducted can be repeated by any number of times. A researcher can
verify the results by repeating the study and thereby delivering a sound decisionmaking
framework. For example, if two research organisations undertake the same study, the results
should be similar and not different. If the results are similar, then the research is will be
replicable.
Activity 3
1) Name and briefly discuss the steps of research process? Support your explanation with the
help of a suitable example.
2) What are the criteria of good research?
3) A company dealing in pesticides hires a qualified business management graduate to expand
its marketing activities. Most of the current employees of the company are qualified
chemists with science background. During their first review meeting the management
graduate says that the “company should be involved in market research to get a better
perspective of the problem on hand.” On hearing this, one of the science graduate laughs
and says “There is no such thing as marketing or business research, research is combined to
science alone.” What would be your response?
SUMMARY
Research originates in a decision process. The role and scope of research has greatly increased
in the field of business and economy as a whole. The study of research methods provides you
with knowledge and skills you need to solve the problems and meet the challenges of today is
modern pace of

In this lesson we have discussed the steps involved in research process and design, conceptual
structure within which the research is conducted and criteria or characteristics of a good
research. In research process, management problem is converted into a research problem.
Which is the major objective of the study. Research question is further subdivided, covering
various facets of the problem that need to be solved. A research could be in any of the
following area: (i) Exploratory; (ii) Descriptive; (iii) Explanatory or (iv) Causal. Formulation
of the problem means defining the problem precisely. The next step of the research process call

12
for determining the information needed, developing a plan for gathering it efficiently. In sum,
research process/design is blue print for the collection, measurement and analysis of data.

REVIEW QUESTIONS
1. What is research methodology?
2. Mrs. Smith is writing her daily observations of a student and writes, without interpretation,
that the student is not completing the class work and is constantly speaking out of turn.
Which of the following objectives does she appear to be using?
a. prediction b. description c. explanation d. exploration
3. Which of the following is a form of research typically conducted by teachers, counselors,
and other professionals to answer questions they have and to specifically help them solve
local problems?
a. action research b. basic research c. predictive research
4. How much confidence should you place in a single research study?
a. you should completely trust a single research study.
b. you should trust research findings after different researchers have found the same
findings
c. neither a nor b
d. both a and b
5. The development of a solid foundation of reliable knowledge typically is built from which
type of research?
a. basic research b. action research c. evaluation research
6. Creative management, whether in public administration or private industry, depends on
methods of inquiry that maintain objectivity, clarity, accuracy and consistency.” Discuss
this statement and examine the significance of research.
7. It is often said that there is not a proper link between some of the activities under way in
the world of academics and in most business in our country. Account for this state of
affairs and give suggestions for improvement.
8. Discuss with examples “Exploratory Research”, “Descriptive Research”, and
“Experimental Research”
9. Briefly explain the meaning and importance of each of the following in research
a. Systematic
b. Objectivity
c. Relevance
d. Reproducible
10. Analyse, Criticize, and Explain the following argument. "Objective research is best
achieved recording what happens without “disturbing” the environment."

13
REFERENCES
Abrams, M.A, Social Surveys and Social Action, London: Heinemann, 1951.
Arthur, Maurice, Philosophy of Scientific Investigation, Baltimore: John Hopkins University
Press, 1943.
Bernal, J.D., The Social Function of Science, London: George Routledge and Sons, 1939.
Chase, Stuart, The Proper Study of Mankind: An inquiry into the Science of Human Relations,
New York, Harper and Row Publishers, 1958.
Cooper, R. D. & Emory, C. W. (1995). Business research methods (5th ed.). USA: McGraw
Hill.
DR. Vatsyayan (1989); Methods & techniques of Social Survey and Research (in questions &
answers), Kedar Nath Ram Nath, New Delhi.
Gibaldi, Joseph (1995). MLA handbook for writers of research papers (4th ed.). USA: The
Modern Language Association of America.
Green, E. P., Tull, D. S. & Albaum, G. (1998). Research for marketing decisions. New Delhi:
Prentice Hall of India.
Hussey, J. & Hussey, R. (1997). Business research, a practical guide for undergraduate and
postgraduate students, Great Britain: Macmillan Press LTD.
Kothari, C. R. (1990). Research methodology, methods & techniques. New Delhi: Wishwa
Prakashan, Wiley Eastern Limited.
Kumar, R. (2005). Research methodology, a step-by-step guide for beginners (2nd ed.).
London: Sage Publications
Locke, F. L., Spirduso, W., & Stephen, S. (1993). Proposal that work- a guide for planning
dissertation and grant. California: Sage Publications, Inc. Newbury Park.
S. N. Murthy and U. Bhojanna, Business Research Methods, Excel Books, 2007
Yin, K. R. (1994). Case study research, designs and methods (2nd ed.). USA: Sage Production
Editor.
Zikmund, G. W. (1998). Business research methods (5th ed.). USA: The Dryden Press,
Oklahoma State University.

14
 UNIT TWO

RESEARCH PROBLEMS AND HYPOTHESES FORMULATION

"Well begun is half done" --Aristotle, quoting an old proverb

UNIT OBJECTIVES
By the end of this unit, you should be able to:
1. know the concept of research problem in business context.
2. identify sources of research problem.
3. analyse how and what techniques and approaches to be adopted in problem definition.
4. know the procedures of formulating research question and hypothesis.
5. learn the method of self questioning for defining the research problem.
6. prepare the statement of the problem for the research proposal you will be developing
during the course.

UNIT INTRODUCTION

The previous unit was an introduction to research and its definition. We discussed about the
various types of research. Subsequently, the final part of the unit focused on the research
process.

The first step in the research process consists of problem identifications. It is said that a
problem identified is half-solved. A research problem can be exploratory, descriptive or causal.
Research problems related to different area of study have been discussed in this lesson in
detail. Studies begin as problems that researchers want to solve or as questions, they want to
answer. This unit discusses the formulation and development of research problems. We begin
by clarifying some relevant terms. Initially, the unit would be devoted to delineate overview of
the research problem. This will be followed by a detailed description on the first and foremost
step of 'identifying a research problem' in the research process.

SECTION I

OVERVIEW OF RESEARCH PROBLEMS

SECTION OBJECTIVES
After studying this lesson, you will be able to:
1. understand basic terminologies involved in research problem definition.
2. describe here do research topics come from.
15
 3. understand the importance of formulating a research problem.

SECTION OVERVIEW
1.1 Basic Terminology
1.2 Where do research topics come from?
1.3 The Importance of Formulating a Research Problem
1.4 What Kind of Business Problems Might Need a Research Study?

1.1 BASIC TERMINOLOGY

At the most general level, a researcher selects a topic or a phenomenon on which to focus.
Examples of research topics may include advertising & sales promotions marketing, consumer
durables, financial management, and production management. Within each of these broad
topics are many potential research problems. A research problem is an enigmatic, perplexing,
or troubling condition. Both qualitative and quantitative researchers identify a research
problem within a broad topic area of interest. The purpose of research is to “solve” the problem
or to contribute to its solution—by accumulating relevant information. A problem statement
articulates the problem to be addressed and indicates the need for a study.

Research questions are the specific queries researchers want to answer in addressing the
research problem. Research questions guide the types of data to be collected in a study.
Researchers who make specific predictions regarding answers to the research question pose
hypotheses that are tested empirically.

Many reports include a statement of purpose (or purpose statement), which is the researcher’s
summary of the overall goal of a study. A researcher might also identify several research aims
or objectives—the specific accomplishments the researcher hopes to achieve by conducting the
study. The objectives include obtaining answers to research questions or testing research
hypotheses but may also encompass some broader aims.

1.2 WHERE DO RESEARCH TOPICS COME FROM?

How research scholars can determine what topic to research or what research problem to
address? From where do they get the research questions? Frey et al state that research topics
are generally derived from two sources: the need to test and refine theory, referred to as basic
or pure research and the need to solve a practical problem, referred to as applied research.
Research topics can come from review of professional literature, discussions with colleagues,
day-to-day observations of real life situations, textbooks, and research publications to name a
few. The following guidelines would be very useful when choosing a research topic.
 Research and write about something that interests you

16
 Be sure enough material about the topic is available to allow you to do a good job
 Make sure that the topic is not so big that it is overwhelming
 Be sure that topic fits your abilities and understanding
 Make sure that you take good notes once you start reading about the topic
 Ask your reference librarian for guidance on your research topic
 Get assistance from your instructor
 Focus, focus and focus

1.3 THE IMPORTANCE OF FORMULATING A RESEARCH PROBLEM

The common say regarding the problem is, ‘a problem clearly stated is a problem half solved’.
This statement signifies the need for defining a research problem. The problem to be
investigated must be defined unambiguously for that will help to discriminate relevant data
from the irrelevant ones. A proper definition of research problem will enable the researcher to
be on the track whereas an ill- defined problem may create hurdles.
The following Questions and Answers crop up in the mind of the researcher who can well plan
his strategy:
i. What data are to be collected?
ii. What characteristics of data are relevant and need to be studied?
iii. What relations are to be explored?
iv. What techniques are to be used for the purpose?
Thus, defining a research problem properly is a prerequisite for any study and is a step of the
highest importance. In fact, formulation of a problem is often more essential than its solution.
It is only on careful detailing the research problem what we can work out the research design
and can smoothly carry on all the consequential steps involved while doing research.

1.4 WHAT KIND OF BUSINESS PROBLEMS MIGHT NEED A RESEARCH

STUDY?
Most work in business organizations, in whatever sector or ownership, will require research
activities. We have already discussed the idea that business research in the context of this
course is likely to involve some theory or concept as well as purely practical questions such as
“how does the product range compare in terms of contribution to profit?” Or “which method of
training has produced more output – coaching or a group training course?” Both these
questions have potential for theory application as well as simple numerical survey, but some
research problems are more obviously underpinned by theoretical ideas. For example, those
which seek to generalise or to compare one organisation with another: “what are the most
effective ways of introducing a new employee to the organisation?” or “how do marketing
strategies differ in the aerospace industry?”

17
When choosing an area for research, we usually start either with a broad area of management,
which particularly interests us e.g. marketing or operations management, or we start with a
very practical question like those in the last paragraph, which need answers to help with
managerial decision-making. Refining from this point to a researchable question or objective is
not easy. We need to do a number of things:
1. Narrow down the study topic to one, which we are both interested in and have the time
to investigate thoroughly
2. Choose a topic context where we can find some access to practitioners if possible;
either a direct connection with an organisation or professional body, or a context which
is well documented either on the web or in the literature
3. Identify relevant theory or domains of knowledge around the question for reading and
background understanding.
4. Write and re-write the question or working title, checking thoroughly the implications
of each phrase or word to check assumptions and ensure we really mean what we write.
This is often best done with other people to help us check assumptions and see the topic
more clearly.
5. Use the published literature and discussion with others to help us narrow down firmly
to an angle or gap in the business literature, which will be worthwhile to explore.
6. Identify both the possible outcomes from this research topic, both theoretical and
practical. If they are not clear, can we refine the topic so that they become clear?
RETAILING ADVERTISING & SALES PROMOTIONS
1. A survey on the factors that influence 1. Effectiveness of print media on consumer buying
consumers to make their purchase from decision-product to be selected by candidate
departmental store 2. Effectiveness Outdoor media on consumer buying
2. The comparative analysis on the role of decision – product to be selected by candidate
consumer loyalty towards organized and 3. Analysis on the relationship between leading TV
unorganized sector in retailing serials and the effectiveness of advertisement in
3. Role of retailers in influencing consumers’ mass reach channel to be selected by candidate
buying decision – Food products 4. Analysis on the effectiveness of dealer sales
4. Consumer opinion on setting up a large promotion in motivating the retailers – a
departmental store company to be selected by candidate
5. A survey on the impact of credit facilities 5. Consumers’ opinion on the influence of sales
by retailers to consumers in boosting the promotion on their buying decision- product to be
retail sales selected by candidate
CYBER-MARKETING CONSUMER DURABLES
1. An opinion survey on the impact of internet 1. Analysis on the relationship between price and
in buying a product/service features in influencing consumer buying decision
2. A survey on analyzing of Internet users’ – product to be selected by candidate
preference on Horizontal portals 2. Analysis on the consumers’ opinion on exchange

18
3. A survey on users’ opinion about paid promotion scheme-Television
services (Bulk Mail storage & other value 3. Comparative analysis on the factors and
added services) over Internet consumer preference to buy two-wheelers –Victor
4. Role of internet in influencing consumer v/s Passion
buying decision on consumer durable 4. Analysis on the decision-making pattern in a
5. A survey on analyzing the effectiveness family in buying consumer durables
local portals in influencing consumers to 5. Analysis on the consumer ’s opinion on buying
buy over internet extra Television to a home in the emerging
scenario of multiple private channels
PRODUCTION MANAGEMENT FINANCIAL MANAGEMENT
1. Manufacturing Process 1. Evaluation of Insurance Schemes
2. Plan Layout study 2. Awareness of Derivative Trading practice
3. Material Handling facilities Vs Cost saving 3. Internal Audit & Control mechanism adopted
4. Production Planning & Control – Various 4. Mobilisation & Deployment of Funds
functions 5. Mutual Fund Performance evaluation
5. Production Scheduling 6. Investors Perception about any given financial
6. Resource Planning – Use of software products/services
7. Shop Floor Planning & Control – Stage- 7. Branch Profitability of a particular Bank
wise progress study 8. Working Capital Management
8. Quality Control – Methods, tools adopted 9. Housing loan Bank performance evaluation
9. Materials management – Procurement 10. Collection Mechanism adopted by the
process organization

ACTIVITY 2.1

a. Problem well defined is half solved. Justify it.

b. Distinguish between management problem and research problem.
c. What is the difference between manager and researcher?

SECTION II

DEVELOPMENT AND REFINEMENT OF RESEARCH PROBLEMS

SECTION OBJECTIVES
After studying this lesson, you will be able to:
1. formulate the research problem.
2. find sources of research problem.
3. understand the formulation and development of research problems.
4. learn the method of self questioning for defining the research problem.

19
SECTION OVERVIEW
2.1 Identifying Research Problem
2.2 Sources for Problem Identification
2.3 Tasks in the Research Problem Definition
2.4 Self-Questioning by Researcher While Defining the Problem
2.5 Evaluating Research Problems
2.6 Development of Working Hypothesis

2.1 IDENTIFYING RESEARCH PROBLEM

There is a famous saying that “Problem well defined is half solved.” This statement is true in
market research because if the problem is not stated properly, the objectives will not be clear.
Once objective is not clearly defined, data collection becomes meaningless.

The first step in research is to formulate the problem. A company manufacturing TV might
think that it is loosing its sales to a foreign company. The following illustration shows, “How
problem could be ill conceived” Management of the company felt that, this was due to its poor
product quality. Subsequently research was undertaken with a view to improve the quality of
the product. Despite quality improvement, the sales did not increase. In this case we may say
that ‘the problem is ill defined”. The real reason was “Ineffective sales promotion.” So,
problem needs to be identified with care.

Problem definition might refer to either a real life situation or it may also refer to a set of
opportunities. Market research problem or opportunities will arise under the following
circumstances (1) Unanticipated change (2) Planned change. Many factors in the environment
can create problems or opportunities. Thus, change in the demographics, technological, legal
changes, affect the marketing function. Now the question is “How the company responds to
new technology,” or “New product introduced by competitor” or “How to cope up with
changes in the life style”. It may seem to be problem and at the same time, it can also be
viewed as an opportunity. In order to conduct research, problem must be defined accurately.
While formulating the problem, clearly define,
1. Who is the focus?
2. What is the subject matter of research?
3. To which geographical territory / area the problem refers to?
4. To which period the study pertains to?

2.2 SOURCES FOR PROBLEM IDENTIFICATION

Research students can adopt the following ways to identify the problems.
 Research reports already published may be referred to define a specific problem.
20
  Assistance of research organization, which handles a number of projects of the
companies, can be sought to identify the problem.
 Professors, working in reputed academic institution can act as guides in problem
identification.
 Company employees and competitors can assist in identifying the problems.
 Cultural changes and Technological changes can act as sources for research problem.
 Seminars / symposiums / focus groups can act as a useful source.

2.3 TASKS IN THE RESEARCH PROBLEM DEFINITION

What would you like to know if information is free and without error?
A complete answer to this question defines the initial research problem. It can be redefined
later if some difficulty arises. The following seven steps have been mentioned as parts of the
processes needed to identify and define research problems.

2.3.1 Relate the problem to the decision maker’s mission and objectives
Determining whether the proposed research project will produce information that is
commensurate with the purpose, goals and objectives of the organization, program, or
institution will be the first step in the problem definition process. The research project has to be
worth the effort, time and money it would consume. In brief, the relevance of the research
project has to be clearly spelt out. We have to be certain that we are not undertaking repetitive
research by finding out whether someone else has already researched the same problem.
Further, one has to ensure that the information we wish to obtain through the research would
be beneficial to the society and the organization’s functioning, programs or operations in
particular. A thorough review of the background and the literature on the topic would be
relevant in this context. Discussions and interviews with the several knowledgeable persons or
key informants who have more familiarity with the problem would also be necessary in this
context.

2.3.2 Statement of the Problem in a General Way

The problem should be stated in a broad general way keeping with some practical, scientific
and intellectual interest. The problem stated in a general way may contain various ambiguities
which must be resolved by cool thinking and rethinking over the problem. At the same time the
feasibility of a particular solution has to be considered and the same should be kept in view
while stating the problem.

2.3.3 Review the background of the problem

Two aspects of a problem’s background known as internal background and external
background have to be considered. The nature of the problem within the organization is known
as internal background. The total body of the knowledge on the topic that is available within an
21
organization might be in the form of published reports, records, and archives or in the
memories of the other persons in the organization. Any researcher has to first look into these
sources when beginning a research. The work that already exists on the problem, its causes and
cures, and the method that other researchers have approached the problem constitute the
external background. Accessing and assessing this earlier work is called as a review of the
literature. This includes all the published and unpublished material on the subject.

A budding researcher has to undertake a serious and sincere literature review to achieve a
greater focus for the research. Examining the relevant index of articles or a library catalogue is
the first step in the literature review. Using various academic search engines in the Internet
would also help in this regard. For instance, www.scholar.google.com can be a good source to
identify the literature available in the electronic format. Scanning several journal articles or
books is also necessary. Searching the literature and conducting a review would help in
breaking the larger problem down into sub problems and facilitate the remaining steps in the
research process.

2.3.4 Establish Problem Sub-areas, Components, or Factors

Once the research problem or a situation that requires more information is identified, it has to
be broken down into as many parts or sub-problems as possible. For example, the following
problem can be considered. Some of the relevant sub-problems of this question are also
provided below.
“How can the level of maintenance and repair services provided to customers be improved
without raising the operating costs?”
 The type of customers such as organizations, wholesalers, retailers & final consumers
 The pattern of purchase and usage rate
 Type of service that the customers require
 Location of the customers
 Operating and other costs
It is generally not possible to include all the sub-areas or components in the research study.
Therefore, they have to be prioritized so that the most important components are studied.

2.3.5 Determine what has to be measured

The next step is to determine which relevant components should be measured. For instance,
consider a researcher is confronted with the problem of declining level of profits in an
organization. Should the researcher collect data on local economic conditions, demographic
changes, competitors and their facilities, change of customers preference and etc? Accessibility
is an important aspect that has to be considered in this regard. If the element or subject to be
measured is a person, that person must have the needed information, be willing to share the
information with the researcher and speak the researcher’s language.

22
2.3.6 Determine Relevant Variables
Anything that changes in value or varies in some way is known as a variable. The variable can
be measured in some way. It is said that variables are study questions that have been rephrased
into testable statements. In the previous example, the school drop out is a study question. The
annual rate of dropouts is a variable that can be measured. Gender, age, ethnic group of the
drop out, level of education of the dropout’s parents and the location of the dropout’s residence
are some of the other variables. The dropout’s attitudes or opinions about education in general,
effectiveness of the dropout’s teachers and the dropout’s need to work in order to support a
family are also variables in this context. The following examples can be considered.

Variables Values
Sex Male, Female
Job Satisfaction Very much satisfied
Satisfied
Neither satisfied nor dissatisfied
Dissatisfied
Very much dissatisfied
Salary Actual Birr amount of salary
Fees paid for the course Actual Birr amount of fees

There are several types of variables. One way of dividing variables is based on the type of
numerical measurements they provide: categorical and continuous variables are available
based on this classification. Categorical variables also called discrete variables have a limited
number of possible categories. Gender is an example, with just two categories: female and
male. Continuous variables can have an unlimited number of values. Values for continuous
variables can be measured on a continuous scale such as weights in grams or height in
centimeters. They are not restricted to specific, discrete categories or values as in the case of
categorical variables. Another category of variables is dependent and independent. This
classification is important in causal research designs.
Independent variable: A variable that functions as the causal element in the hypothesis is
known as independent variable. A change in the value of an independent variable is said to
“cause” a positive or negative change in a dependent variable. Consider the hypothesis,
“Poverty causes crime.” Here poverty is an independent variable.
Dependent variable: A change in the value of dependent variable is hypothesized to have been
‘caused’ by a change in the level of the independent variable. In the previous hypothesis, the
level of crime is a dependent variable.
Intervening variable: An intervening variable lies between an independent and a dependent
variable. A change in the intervening variable must be ‘caused’ by the independent variable.
This change then ‘causes’ the change in the dependent variable. The following example can be
considered. “Workplace stress causes physical illness, which causes absenteeism.” Workplace
23
stress is independent variable here. Physical illness is the intervening variable. Absenteeism is
the dependent variable.
Conditional variable: This variable establishes the antecedent conditions necessary for change
in the dependent variable. The values of a conditional variable influence the level of impact
that the independent and intervening variables have on a dependent variable. Consider the
following example. “Poverty causes substance abuse, causing HIV-positive rates to increase
wherever needle-exchange programs are proscribed.” The existence of needle exchange
programs is the conditional variable.
Ordered variable can be assigned meaningful numerical values that indicate how much of the
concept is present. Variables such as class rank, age, weight, temperature or income are
ordered variables since they provide researchers with meaningful numbers. Being 10 years old,
for example, is less than being 20 years old, which is less than being 30 years old. The
numerical value, in this case, indicates how much age a person possesses.
Nominal variable can be differentiated only on the basis of type. Variables such as gender
(male, female) and nationality (Ethiopian, Indian, Kenyan, Malaysian...) are nominal variables
since they identify different types.
Study variable: A study variable whose cause or effect status the researcher is trying to
discover through research. It can be an independent variable, dependent variable or an
intervening variable.

The following hypotheses might be of relevance here. The independent and dependent
variables in these hypotheses can be identified.
Hypothesis 1: Training programs improve the quality of life of the chronically unemployed.
This hypothesis is slightly vague. It does not specify the type of training programs.
Secondly, what is meant by quality of life is a question that may arise in somebody's mind.
Finally, there may be doubts like 'who are chronically unemployed?’ Here 'training
programs' is an independent variable. 'The quality of life' is dependent variable.

The following problem can also be considered in this regard. It will be beneficial if you able to
identify a problem, develop a hypothesis and capable to point out to the various types of
variables in the hypothesis.
Problem: Identity a successful job training program to place individuals in
permanent positions
Hypothesis: On-the-job training programs will be more successful than other training
programs in placing participants in permanent positions
Independent variable: Type of training program
Dependent variable: Placement in a permanent position
Control variable: Educational level

2.3.7 Establish Research Objective and Relevant Sub-objectives

24
Research objectives are statements of what the researcher wants to accomplish by completing
the research study. They are directly related to the study question. The example of the study on
‘Implementation of value added tax in Ethiopia’ mentioned above had three objectives as one
may recollect.

2.3.8 Conduct pilot study to redefine variables, objectives and sub-objectives

Pilot testing the study instrument or discussion guide is a critical step in the research process.
Researchers are very much different from their research subjects. They do not look at variables
in the same way. The working definitions of variables and issues are also different. Hence, a
thorough pretest of data-gathering scheme will be helpful in reducing the study error.

2.4 SELF QUESTIONING BY RESEARCHER WHILE DEFINING THE

PROBLEM
1. Is the research problem correctly defined?
2. Is the research problem solvable?
3. Can relevant data be gathered through the process of marketing research?
4. Is the research problem significant?
5. Can the research be conducted within the resource available?
6. Is the time given to complete the project is sufficient?
7. What exactly will be the difficulties in conducting the study, and hurdles to
overcome?
8. Am I competent to carry out the study?
Managers often want the results of research, in-line with their expectations. This satisfies them
immensely. If one were to closely look at the questionnaire, it is found that in most cases there
are stereotyped answers given by respondents. A researcher must be creative and should look
at problems in a different perspective.

2.5 EVALUATING RESEARCH PROBLEMS

The following criteria, however, should be kept in mind in the decision-making process.

It should be Original
The purpose if research is to fill the gaps in existing knowledge to discover new facts and not
to repeat already known facts. Therefore, a preliminary survey of the existing literature in the
proposed area of research should be carried out to find out the possibility of making original
contribution. Knowledge about the previous research will serve the following five useful
purposes
1. It will enable the researcher to identify his specific problems for research:
2. It will eliminate the possibility of unnecessary duplication of effort.

25
 3. It will give him/her valuable information on the merits and demerits of various research
techniques which have been used in the past.
4. It will tell him/her where others have floundered so that he may be cautious, and
5. It will enrich his/her knowledge of the characteristics concepts and terminology in his
area of specialization.

It should be neither very general nor very specific

If the problem is very general, it is usually too vague to be tested. On the other hand, if the
problem is very specific, it is usually too narrow to be important or consequential. Too great
specificity is perhaps a worse danger than too great generality. At any rate, some kind of
compromise must be made between generality and specificity.

It should be Solvable
No problem, however significant, is a good choice if it is unsolvable. Generally a problem may
be unsolvable due to two reasons:
1. It may concern some super natural or amorphous phenomenon. For example how
does mind work? Who created this world?
2. It can not be operationally defined. For example to measure sex or social class is
every easy but to measure anxiety, creatively is difficult.

It should be feasible
A problem that is both significant and researchable may still be inappropriate if a study
designed to address it is not feasible. The issue of feasibility encompasses various
considerations. Not all of the following factors are relevant for every problem, but they should
be kept in mind in making a final decision.
Time and Timing. Most studies have deadlines or at least goals for completion. This means
that the scope of the problem should be sufficiently restricted that enough time will be
available for the various steps and activities in the research process.
Availability of Study Participants. In any study involving humans, researchers need to
consider whether individuals with the desired characteristics will be available and willing to
cooperate. Securing people’s cooperation may in some cases be easy but other situations may
pose more difficulties. Cooperation of Others. Often, it is insufficient to obtain the
cooperation of prospective study participants alone. If the sample includes children, mentally
incompetent people, or senile individuals, it would be necessary to secure the permission of
parents or guardians. In institutional or organizational settings, access to clients, members,
personnel, or records usually requires administrative authorization.
Facilities and Equipment. It is prudent to consider what facilities and equipment will be
needed and whether they will be available before embarking on a project to avoid
disappointment and frustration.
Money. Some major categories of research-related expenditures are the following:
26
  Literature costs—computerized literature search and retrieval service charges, Internet
access charges, reproduction costs, index cards, books and journals
 Personnel costs—payments to individuals hired to help with the data collection (e.g.,
for conducting interviews, coding, data entry, transcribing, word processing)
 Study participant costs—payment to participants as an incentive for their cooperation
or to offset their own expenses
 Supplies—paper, envelopes, computer disks, postage, audiotapes, and so forth
 Printing and duplication costs—expenditures for printing forms, questionnaires,
participant recruitment notices, and so on
 Equipment—laboratory apparatus, audio- or video-recorders, calculators, and the like
 Computer-related expenses (e.g., purchasing software)
 Transportation costs
Experience of the Researcher. The problem should be chosen from a field about which
investigators have some prior knowledge or experience. In addition to substantive knowledge,
the issue of technical expertise should not be overlooked.
Ethical Considerations. A research problem may not be feasible because the investigation of
the problem would pose unfair or unethical demands on participants.

Interest to the Researcher

Even if the tentative problem is researchable, significant, and feasible, there is one more
criterion: the researcher’s own interest in the problem. Genuine interest in and curiosity about
the chosen research problem are critical prerequisites to a successful study. A great deal of
time and energy are expended in a study; there is little sense devoting these personal resources
to a project that does not generate enthusiasm.

Activity

1) Given the following decision problem, identify the research problem:

a) Whether to change the compensation package of the sales force.
b) Whether to increase the expenditure or print advertisement.
2) Examine the following five problem statements. Are they researchable problems as stated?
Why or why not? If a problem statement is not researchable, modify it in such a way that the
problem could be studied scientifically.
a) What are the factors affecting the turnover rate of employees in Zac Company?
b) What is the relationship between raw material quality and productivity in production?
c) How effective are formal communication channels in manufacturing companies?

27
2.6 DEVELOPMENT OF WORKING HYPOTHESIS

After extensive survey of the literature, researchers should state in clear terms the working
hypothesis or hypotheses. A hypothesis is a statement, which predicts the relationship between
two or more variables. It is a necessary link between theory and investigation. Moreover, the
formulation of a research hypothesis is of prime importance in research. If the hypothesis is
inadequately conceived, the research procedures may not be applicable. Therefore, formulating
an appropriate and realistic research hypothesis is a sine qua non for a sound research.

The initial hypothesis is called working hypothesis because it is subject to modifications as the
investigation proceeds. A working hypothesis is a tentative assumption made in order to draw
out and test its logical or empirical consequences. Formulating hypothesis is particularly useful
for causal relationships. The manner in which research hypothesis are developed is particularly
important since they provide the focal point for research.

Hypothesis should be very specific and limited to the piece of research in hand because it has
to be tested. The role of the hypothesis is to guide the researcher by delimiting the area of
research and keep him/her on the right track. It is also an indicator of the type of data needed
for the study. The hypothesis is the necessary link between theory and the investigation, which
leads to the discovery of additional knowledge.

2.6.1 Approaches to Develop a Working Hypothesis

The main approaches to develop a working hypothesis include:
- Discussion with colleagues and experts about the problem, its origin and objectives in
seeking a solution
- Examination of data and records, if available, concerning the problem for possible
trends, peculiarities and clues
- Review of similar studies in the area or of the studies on similar problems and
- Exploratory personal investigation, which involves original field interviews on a
limited scale with, interested parties and individuals with a view to secure greater
insight into practical aspects of the problem.
Thus, working hypothesis arises because of a priori thinking about the subject, examination of
the available data and material including related studies and the opinion of experts and
interested parties.

28
2.6.2 Main problems in formulating a working hypothesis
Formulation of a hypothesis is not an easy task. The main problems that may arise while
formulating a working hypothesis include:
- The lack of clear theoretical framework
- The lack of ability to utilize that theoretical framework logically
- The failure to be acquainted with available research techniques so as to be able to
phrase the hypothesis properly.

2.6.3 Characteristics of useable hypotheses

There are some important criteria for judging the hypothesis.
1. The hypothesis must be conceptually clear - This involves two things: the concept should
be clearly defined if possible and the hypothesis should be commonly accepted ones. In
other words, the hypothesis should be stated in simple terms.
2. The hypothesis should have empirical referents – no useable hypothesis embody moral
judgments while a hypothesis may study value judgment such a goal must be separated
from a moral preachment or a plea for acceptance of one’s values.
3. The hypothesis must be specific – all the operations and predictions indicated by it should
be spelled out. Such specific formulations assure that research is practicable and
significance in advance of expenditure.
4. The hypothesis should be related to available techniques – theory and methods are not
opposed. A theorist who does not know what techniques are available to test his/her
hypothesis is on a poor way to formulate useable hypothesis or questions.
5. The hypothesis should be related to a body of theory – often research should be aimed at
supporting, reflecting or qualifying existing theories. It should posse theoretical relevance.
A useable hypothesis arises as a result of a priori thinking about the subject.
6. The hypothesis should be testable – hypothesis should be formulated in such a way that it
is possible to verify it.
7. The hypothesis should be limited in scope
8. The hypothesis should be amenable to testing within a reasonable time.

SUMMARY
 A research problem is a perplexing or enigmatic situation that a researcher wants to address
through disciplined inquiry.
 Researchers usually identify a broad topic, narrow the scope of the problem, and then
identify questions consistent with a paradigm of choice.
 The most common sources of ideas for nursing research problems are experience, relevant
literature, social issues, theory, and external sources.

29
 Various criteria should be considered in assessing the value of a research problem. The
problem should be significant; researchable (questions of a moral or ethical nature are
inappropriate); feasible; and of personal interest.
 Feasibility involves the issues of time, cooperation of study participants and other people,
availability of facilities and equipment, researcher experience, and ethical considerations.
 Researchers communicate their aims in research reports as problem statements, statements
of purpose, research questions, or hypotheses. The problem statement articulates the nature,
con-text, and significance of a problem to be studied.
 A statement of purpose summarizes the overall study goal; in both qualitative and
quantitative studies, the purpose statement identifies the key concepts (variables) and the
study group or population.
 Purpose statements often communicate, through the use of verbs and other key terms, the
underlying research tradition of qualitative studies, or whether study is experimental or
nonexperimental in quantitative ones.
 A research question is the specific query researchers want to answer in addressing the
research problem. In quantitative studies, research questions usually are about the
existence, nature, strength, and direction of relationships.
 Some research questions are about moderating variables that affect the strength or direction
of a relationship between the independent and dependent variables; others are about
mediating variables that intervene between the independent and dependent variable and
help to explain why the relationship exists.
 In studies, a hypothesis is a statement of predicted relationships between two or more
variables. A testable hypothesis states the anticipated association between one or more
independent and one or more dependent variables.
 Hypotheses express a predicted relationship between one independent variable and one
dependent variable, whereas complex hypotheses state an anticipated relationship between
two or more independent variables and two or more dependent variables (or state
predictions about mediating or moderating variables).
 Hypotheses are never proved or disproved in an ultimate sense—they are accepted or
rejected, supported or not supported by the data.

REVIEW QUESTIONS
1. What is a research problem?
2. What are the steps involved in formulating the problem?
3. What are the sources of problem?
4. What are the questions posed for self while formulating the problem?

30
REFERENCES
Cooper, R. D. & Emory, C. W. (1995). Business research methods (5th ed.). USA: McGraw
Hill.
DR. Vatsyayan (1989); Methods & techniques of Social Survey and Research (in questions &
answers), Kedar Nath Ram Nath, New Delhi.
Gibaldi, Joseph (1995). MLA handbook for writers of research papers (4th ed.). USA: The
Modern Language Association of America.
Green, E. P., Tull, D. S. & Albaum, G. (1998). Research for marketing decisions. New Delhi:
Prentice Hall of India.
Hussey, J. & Hussey, R. (1997). Business research, a practical guide for undergraduate and
postgraduate students, Great Britain: Macmillan Press LTD.
Kothari, C. R. (1990). Research methodology, methods & techniques. New Delhi: Wishwa
Prakashan, Wiley Eastern Limited.
Kumar, R. (2005). Research methodology, a step-by-step guide for beginners (2nd ed.).
London: Sage Publications
Locke, F. L., Spirduso, W., & Stephen, S. (1993). Proposal that work- a guide for planning
dissertation and grant. California: Sage Publications, Inc. Newbury Park.
Yin, K. R. (1994). Case study research, designs and methods (2nd ed.). USA: Sage Production
Editor.
Zikmund, G. W. (1998). Business research methods (5th ed.). USA: The Dryden Press,
Oklahoma State University.
S. N. Murthy and U. Bhojanna, Business Research Methods, Excel Books, 2007
Boyd, Westfall, and Stasch, “Marketing Research Text and Cases”, All India Traveller
Bookseller, New Delhi.
Brown, F.E., “Marketing Research, a structure for decision-making”, Addison-Wesley
Publishing Company.
Kothari, C.R., “Research Methodology - Methods and Techniques”, Wiley Eastern Ltd.
Stockton and Clark, “Introduction to Business and Economic Statistics”, D.B. Taraporevala
Sons and Co. Private Limited, Bombay.

31
 UNIT THREE

WRITING RESEARCH PROPOSAL

UNIT OBJECTIVES

By the end of this unit, you should be able to:

1. explain the essentials of research proposal.
2. describe functions of a research proposal.
3. describe basic components of a research proposal.
4. prepare internal and external research proposal.

UNIT INTRODUCTION

Dear Student, to start with any research work you have to first write a research proposal. A
research proposal is a written statement of the research design that makes the research process
operative for the specific problem. It is a plan of research with explanation of how it will be
achieved. It always includes a statement explaining the purpose of the study or a definition of the
problem and systematically outlines the particular research methodology and details the
procedures that will be utilized at each stage of the of the research process. In general, a research
proposal presents a problem, discusses related research efforts, outlines the data needed, and
shows the research design. Preparation of a research proposal forces the researcher critically
think through each stage of the research process. In this unit, we shall consider some general
information regarding the content and preparation of research proposals.

SECTION I

OVERVIEW OF A RESEARCH PROPOSAL

SECTION OBJECTIVE
Dear student, after completion of this lesson you will be able to:
1. understand what a Research Proposal is.
2. explain functions of a proposal and issues addressed in research proposal.
3. types of research proposals

SECTION OVERVIEW
1.1 What is a Research Proposal?
1.2 Functions of a Proposal

32
 1.3 Main Questions Addressed in Research Proposal
1.4 Types of Research Proposals

1.1 WHAT IS A RESEARCH PROPOSAL?

Research proposals are documents describing what researchers propose to study, prepared
before a project has commenced. Proposals serve to communicate the research problem, its
significance, and planned procedures for solving the problem to an interested party. A proposal
is an offer to produce or render a service to the potential buyer or sponsor. The research
proposal presents a problem, discusses related research efforts, outlines the data needed and
shows the research design. Research proposals are written by both students seeking approval
for empirical research projects and by seasoned researchers seeking financial or institutional
support. In this section, we are going to discuss the various aspects of writing a research
proposal.

1.2 FUNCTIONS OF A PROPOSAL

Research proposals are an integral part of most studies, and are typically prepared after a
researcher has identified a topic, developed research questions or hypotheses, and undertaken a
literature review. Regardless of intended audience (e.g., faculty advisers, sponsors), proposals
can serve several important functions.

Research proposals usually help researchers to clarify their own thinking. By committing ideas
to writing, ambiguities about how to proceed can be identified and dealt with at an early stage.
Proposals are intended to synthesize researchers’ critical thinking, and can serve to ensure that
the research questions and proposed methods are sufficiently refined to warrant initiation of the
study. Research proposals are also reviewed by others who can offer suggestions for
conceptual and methodologic improvements, and thus represent a mechanism for improving
the study’s contribution to knowledge.

Proposals represent the means for opening communication between researchers and parties
interested in the conduct of research. Those parties are typically either funding agencies or a
faculty adviser, whose job is to accept or reject the proposed plan, or to demand modifications.
An accepted proposal is a two-way contract: those accepting the proposal are effectively
saying, “We are willing to offer our (emotional or financial) support, as long as the
investigation proceeds as proposed,” and thus writing the proposal is saying, “If you will offer
support, then I will conduct the project as proposed.” Proposals often serve as the basis for
negotiating with other parties as well. For example, a full or abridged proposal may be required
to obtain institutional approval for the conduct of a study (e.g., for gaining access to study

33
participants or for using facilities or equipment). Proposals are often incorporated into
submissions to human subjects committees or Institutional Review Boards.

Finally, many studies are undertaken collaboratively. In such situations, proposals can help
ensure that all researchers are “on the same page” about how the study is to proceed, and who
is responsible for which tasks. Having a shared and agreed-upon document enhances
communication among researchers and minimizes the possibility of friction.

1.3 MAIN QUESTIONS ADDRESSED IN RESEARCH PROPOSAL

Preparation of a full-fledged proposal is not a one-time endeavor. However, it is the result of

continuous modification and amendment through discussion with experts in the field and
developing own insight into the subject matter. In so doing, it provides answers for the following
questions.
- Is proposed research interesting, important and relevant?
- Who has already done work in this area?
- What are the aims and objectives of the research questions?
- How do we intend to conduct the research?
- Where is the research intended to be carried out?
- What is timetable for conducting the research?
- What will be the expected outcome of the research?

1.4 TYPES OF RESEARCH PROPOSALS

Depending on the type of project, the sponsoring individual or institution, and the cost of the
project, different levels of complexity are required for a proposal to be judged complete. For
example, the government agencies demand the most complex proposals for their funding
analyses. On the other extreme, an exploratory study done within a manager’s department may
need merely a one- to three-page memo outlining the objectives, approach, and time allotted to
the project.

In general, business proposals can be divided between those generated internally and
externally. An internal proposal is done for the corporation by staff specialists or by the
research department of the firm. External proposals are either solicited or unsolicited. Sponsors
can be university grant committees, government agencies, government contractors,
corporations, and so forth. With few exceptions, the larger the project, the more complex is the
proposal.

In public sector work, the complexity is generally greater than in a comparable private sector
proposal. There are three general levels of complexity. The exploratory study is the first, most
34
simple business proposal. More complex and common in business is the small-scale study-
either an internal study or an external contract research project. Now let us discuss the
difference between internal proposal and external proposal.

1.3.1 Internal Proposals

Internal proposals are a memo from the researcher to management outlining the problem
statement, study objectives, research design, and schedule is enough to start an exploratory
study. Privately and publicly held firms are concerned with how to solve a particular problem,
make a decision, or improve an aspect of their business. Seldom do businesses begin research
studies for other reasons. In the small-scale proposal, the literature review and bibliography are
consequently not stressed and can often be stated briefly in the research design. Since
management insists on brevity, an executive summary is mandatory for all but the most simple
of proposals (projects that can be proposed in a two-page memo do not need an executive
summary). Schedules and budgets are necessary for funds to be committed. For the smaller-
scale projects, descriptions are not required for facilities and special resources, nor is there a
need for a glossary. Since small projects are sponsored by managers familiar with the problem,
the associated jargon, requirements, and definitions should be included directly in the text.
Also, the measuring instrument and project management modules are not required. Managers
will typically leave this detail for others.

1.3.2 External Proposals

An external proposal is either solicited or unsolicited. A solicited proposal is often in response
to a request for proposal (RFP). The proposal is likely competing against several others for a
contract or grant. An unsolicited proposal has the advantage of not competing against others
but the disadvantage of having to speculate on the ramifications of a problem facing the firm’s
management. Even more difficult, the writer of an unsolicited proposal must decide to whom
the document should be sent.

The most important sections of the external proposal are the objectives, design, qualifications,
schedule, and budget. The executive summary of an external proposal may be included within
the letter of transmittal. As the complexity of the project increases, more information is
required about project management and the facilities and special resources. In contract
research, the results and objectives sections are the standards against which the completed
project is measured. As we move toward government-sponsored research, particular attention
must be paid to each specification in the RFP.

SECTION II

CONTENTS OF A RESEARCH PROPOSAL

35
SECTION OBJECTIVE
After completion of this lesson, you will be able to:
1. know how to prepare research proposals.
2. identify main contents of a research proposal

SECTION OVERVIEW
2.1 Proposal Content
2.2 Front Matter
2.3 Executive Summary
2.4 Problem Statement
2.5 Research Objectives
2.6 Literature Review
2.7 Importance/ Benefits of the Study
2.8 Research Design
2.9 Data Analysis
2.10 Nature and Form of Results
2.11 Qualifications of Researchers
2.12 Budget
2.13 Schedule
2.14 Facilities and Special Resources
2.15 Project Management
2.16 Bibliography
2.17 Appendices

2.1 PROPOSAL CONTENT

Reviewers of research proposals, whether they are faculty, funding sponsors, or peer reviewers,
want a clear idea of what the researcher plans to study, what specific methods will be used to
accomplish study goals, how and when various tasks are to be accomplished, and whether the
researcher is capable of successfully completing the project.

Proposals are usually evaluated on a number of criteria, including the importance of the
research question, the contribution the study is likely to make to an evidence base, the
adequacy of the research methods, the availability of appropriate personnel and facilities, and,
if money is being requested, the reasonableness of the budget. Proposal authors are usually
given instructions indicating how the proposal should be structured. Funding agencies, for
example, often supply an application kit that includes forms to be completed and specifies the
format for organizing the contents of the proposal. Universities usually issue guidelines for
their dissertation proposals. Despite the fact that formats and the amount of detail required may
vary widely, there is some similarity in the type of information that is expected in research
36
proposals. The content and organization are broadly similar to that for a research report, but
proposals are written in the future tense (i.e., indicating what the researcher will do) and
obviously do not include results and conclusions.

2.2 FRONT MATTER

Proposals typically begin with what is referred to as front matter, which orients readers to the
study and, in the case of proposals for funding, contains administrative information. The front
matter typically includes, at a minimum, a cover page that indicates the title of the proposed
study and the author’s name and institution. For dissertations and thesis, the cover page may
also include the names of the advisory committee members.

The proposed title should be given careful thought. It is the first thing that reviewers will see,
and should therefore be crafted to create a good impression. The title should be concise and
informative, but should also be compelling and interesting. Like report titles, proposal titles
should indicate the phenomena to be studied, and the population of interest.

2.3 EXECUTIVE SUMMARY

The executive summary allows a busy manager or sponsor to understand quickly the thrust of
the proposal. It is essentially an informative abstract, giving executives the chance to grasp the
essentials of the proposal without having to read the details. The goal of the summary is to
secure a positive evaluation by the executive who will pass the proposal on to the staff for a
full evaluation. As such, the executive summary should include brief statements of the
management dilemma and management question, the research objectives/research questions(s),
and the benefits of your approach. If the proposal is unsolicited, a brief description of your
qualifications is also appropriate.

2.4 PROBLEM STATEMENT

This section needs to convince the sponsor to continue reading the proposal. You should
capture the reader’s attention by stating the management dilemma, its background, and
consequences, and the resulting management question. The management question starts the
research task. The importance of researching the management question should be emphasized
here if a separate module on the importance/ benefits of study is not included later in the
proposal. In addition, this section should include any restrictions or areas of the management
question that will not be addressed. Problem statements too broadly defined cannot be
addressed adequately in one study.

37
It is important that the management question be distinct from related problems and that the
sponsor see the delimitations clearly. Be sure your problem statement is clear without the use
of idioms or clinches.

2.5 RESEARCH OBJECTIVES

This module addresses the purpose of the investigation. It is here that you layout exactly what
is being planned by the proposed research. In a descriptive study, the objectives can be stated
as the research question. Recall that the research question can be further broken down into
investigative questions. If the proposal is for a causal study, then the objectives can be restated
as a hypothesis.

The objectives module flows naturally from the problem statement, giving the sponsor
specific, concrete, and achievable goals. It is best to list the objectives either in order of
importance or in general terms first, moving to specific terms (i.e., research question followed
by underlying investigative questions). The research questions (or hypotheses, if appropriate)
should be set off from the flow of the text so they can be found easily. The research objectives
section is the basis for judging the remainder of the proposal and, ultimately, the final report.
Verify the consistency of the proposal by checking to see that each objective is discussed in the
research design, data analysis, and results sections.

2.6 LITERATURE REVIEW

The literature review section examines recent (or historically significant) research studies,
company data, or industry reports that act as a basis for the proposed study. Begin your
discussion of the related literature and relevant secondary data from a comprehensive
perspective, moving to more specific studies that are associated with your problem. If the
problem has a historical background, begin with the earliest references. Avoid the extraneous
details of the literature; do a brief review of the information, not a comprehensive report.
Always refer to the original source. If you find something of interest in a quotation, find the
original publication and ensure you understand it. In this way, you will avoid any errors of
interpretation or transcription. Emphasize the important results and conclusions of other
studies, the relevant data and trends from previous research, and particular methods or designs
that could be duplicated or should be avoided.

Discuss how the literature applies to the study you are proposing; show the weaknesses or
faults in the design, discussing how you would avoid similar problems. If your proposal deals
solely with secondary data, discuss the relevance of the data and the bias or lack of bias
inherent in it. The literature review may also explain the need for the proposed work to
appraise the shortcomings and informational gaps in secondary data sources. This analysis may
38
go beyond scrutinizing the availability or conclusions of past studies and their data, to
examining the accuracy of secondary sources, the credibility of these sources, and the
appropriateness of earlier studies.

2.7 IMPORTANCE/ BENEFITS OF THE STUDY

This section allows you to describe explicit benefits that will accrue from your study. The
importance of “doing the study now” should be emphasized. Usually, this section is not more
than a few paragraphs. If you find it difficult to write, then you have probably not understood
the problem adequately. Return to the analysis of the problem and ensure, through additional
discussions with your sponsor or your research team, or by a reexamination of the literature,
that you have captured the essence of the problem.

This section also requires you to understand what is most troubling to your sponsor. If it is a
potential union activity, you cannot promise that an employee survey will prevent
unionization. You can, however, show the importance of this information and its implications.
This benefit may allow management to respond to employee concerns and forge a linkage
between those concerns and unionization. The importance/benefits section is particularly
important to the unsolicited external proposal. You must convince the sponsoring organization
that your plan will meet its needs.

2.8 RESEARCH DESIGN

Up to now, you have told the sponsor what the problem is, what your study goals are, and why
it is important for you to do the study. The proposal has presented the study’s value and
benefits. The design module describes what you are going to do in technical terms. This
section should include as many subsections as needed to show the phases of the project.
Provide information on your proposed design for tasks such as sample selection and size, data
collection method, instrumentation, procedures, and ethical requirements. When more than one
way exists to approach the design, discuss the methods you rejected and why your selected
approach is superior.

2.9 DATA ANALYSIS

A brief section on the methods used for analyzing the data is appropriate for large scale
contract research projects and doctoral theses. With smaller projects, the proposed data
analysis would be included within the research design section. Describe your proposed
treatment and the theoretical basis for using the selected techniques.

39
The object of this section is to assure the sponsor you are following correct assumptions and
using theoretically sound data analysis procedures. This is often an arduous section to write.
By use of sample charts and dummy tables, you can make it easier to understand your data
analysis. This will make the section easier to write and easier to read. The data analysis section
is important enough to contract research that you should contact an expert to review the latest
techniques available for your use. If there is no statistical or analytical expertise within your
company, be prepared to hire a professional to help with this activity.

2.10 NATURE AND FORM OF RESULTS

Upon finishing this section, the sponsor should be able to go back to the problem statement and
research objectives and discover that each goal of the study has been covered. One should also
specify the types of data to be obtained and the interpretations that will be made in the analysis.
If the data are to be turned over to the sponsor for proprietary reasons, make sure this is
reflected. Alternatively, if the report will go to more than one sponsor, that should be noted.

This section also contains the contractual statement telling the sponsor exactly what types of
information will be received. Statistical conclusions, applied findings, recommendations,
action plans, models, strategic plans, and so forth are examples of the forms of results.

2.11 QUALIFICATIONS OF RESEARCHERS

This section should begin with the principal investigator. It is also customary to begin
qualifications with the highest academic degree held. Experience in carrying out previous
research is important, especially in the corporate marketplace, so a concise description of
similar projects should be included. Also important to business sponsors is experience as an
executive or employee of an organization involved in a related field. Often businesses are
reluctant to hire individuals to solve operational problems if they do not have practical
experience. Finally, relevant business and technical societies to which the researcher belongs
can be included where this information is particularly relevant to the research project. The
entire curriculum vitae of each researcher should not be included unless required by the RFP.
Instead, refer to the relevant areas of experience and expertise that make the researchers the
best selection for the task.

2.12 BUDGET

The budget should be presented in the form the sponsor requests. For example, some
organizations require secretarial assistance to be individually budgeted, whereas others insist it
be included in the research director’s fees or the overhead of the operation. In addition,

40
limitations on travel, per diem rates, and capital equipment purchases can change the way in
which you prepare a budget.

Typically, the budget should be no more than one to two pages. Diagram below shows a
format that can be used for research projects. Additional information, backup details, quotes
from vendors, and hourly time and payment calculations should be put into an appendix if
required or kept in the researcher’s file for future reference. The budget statement in an internal
research proposal is based on employee and overhead costs. The budget presented by an
external research organization is not just the wages or salaries of their employees but the
person-hour price that the contracting firm charges. The detail presented may vary depending
on both the sponsors’ requirements and the contracting research company’s policy.

TOTAL
DESCRIPTION UNIT Qty UNIT COST COST
1. PERSONAL COST: 180.00
* Data collection No. 6 days 30.00 200.00
* Secretary No. 1 -------
2. EQUIPMENT and SUPPLY:
* paper RIM 1 50 50.00
* pen Psc 10 1.50 15.00
* pencil Psc 10 0.50 5.00
* transparent paper Psc 10 1.00 10.00
3. TRANSPORTATION 60.00
4. CONTINGENCY 10% 52.00
TOTAL COST 572.00

One reason why external research agencies avoid giving detailed budgets is the possibility that
disclosures of their costing practices will make their calculations public knowledge, reducing
their negotiating flexibility. Since budget statements embody a financial work strategy that
could be used by the recipient of the bid to develop an independent work plan, vendors are
often doubly careful.

The budget section of an external agency’s proposal states the total fee payable for the
assignment. When it is accompanied by a proposed schedule of payment, this is frequently
detailed in a purchase order. Unlike most product sale environments, research payments can be
divided and paid at stages of completion. Sometimes a retainer is scheduled for the beginning
of the contract, then a percentage at an intermediate stage, and the balance on completion of
the project.

41
It is extremely important that you retain all information you use to generate your budget. If you
use quotes from external contractors, get the quotation in writing for your file. If you estimate
time for interviews, keep explicit notes on how you made the estimate. When the time comes
to do the work, you should know exactly how much money is budgeted for each particular
task.

Some costs are more elusive than others. Do not forget to build the cost of proposal writing
into your fee. Publication and delivery of final reports can be a last minute expense that can
easily be overlooked in preliminary budgets.

2.13 SCHEDULE

Your schedule should include the major phases of the project, their timetables, and the
milestones that signify completion of a phase. For example, major phases may be
1. exploratory interviews,
2. final research proposal,
3. questionnaire revision,
4. field interviews,
5. editing and coding,
6. data analysis, and
7. report generation.

Each of these phases should have an estimated time schedule and people assigned to the work.
It may be helpful to you and your sponsor if you chart your schedule. You can use a Gantt
chart. Alternatively, if the project is large and complex, a critical path method (CPM) of
scheduling may be included. In a CPM chart the nodes represent major milestones, and the
arrows suggest the work needed to get to the milestone. More than one arrow pointing to a
node indicates all those tasks must be completed before the milestone has been met.

Usually a number is placed along the arrow showing the number of days or weeks required for
that task to be completed. The pathway from start to end that takes the longest time to complete
is called the critical path, because any delay in an activity along that path will delay the end of
the entire project.

2.14 FACILITIES AND SPECIAL RESOURCES

Often, projects will require special facilities or resources that should be described in detail. For
example, a contract exploratory study may need specialized facilities for focus group sessions.
Computer- assisted telephone or other interviewing facilities may be required.

42
2.15 PROJECT MANAGEMENT

The purpose of the project management section is to show the sponsor that the research team is
organized in a way to do the project efficiently. A master plan is required for complex projects
to show how the phases will all be brought together. The plan includes
• The research team’s organization • Management procedures and controls for executing the
research plan. Examples of management and technical reports • Research team relationship
with the sponsor • Financial and legal responsibility • Management competence

Tables and charts are most helpful in presenting the master plan. The relationships between
researchers and assistants need to be shown when several researchers are part of the team.
Sponsors must know that the director is an individual capable of leading the team and being a
useful liaison to the sponsor. In addition, procedures for information processing, record
control, and expense control are critical to large operations and should be shown as part of the
management procedures. The type and frequency of progress reports should be recorded so the
sponsor can expect to be kept up-to-date and the researchers can expect to be left alone to do
research. The sponsor’s limits on control during the process should be delineated. Details such
as printing facilities, clerical help, or information-processing capabilities that are to be
provided by the sponsor are discussed. In addition, right’s to the data, the results, and authority
to speak for the researcher and for the sponsor are included. Payment frequency and timing are
also covered in the master plan. Finally, proof of financial responsibility and overall
management competence are provided.

2.16 BIBLIOGRAPHY

For all projects that require literature review, a bibliography is necessary. Use the bibliographic
format required by the sponsor. If none is specified, a standard style manual (e.g., Kate L.
Turabian, A Manual for Writers of Term Papers, Theses, and Dissertations; Joseph Gibaldi and
Walter S. Achtert, MIA Handbook for Writers of Research Papers; or the Publication Manual
of the American Psychological Association) will provide the details necessary to prepare the
bibliography. Many of these sources also make suggestions for successful proposal writing.

2.17 APPENDICES

2.17.1 Glossary
A glossary of terms should be included whenever there are many words unique to the research
topic and not understood by the general management community. This is a simple section
consisting of terms and definitions. Also, define any acronyms that you use, even if they are
defined within the text.

43
2.17.2 Measurement Instrument
For large projects, it is appropriate to include samples of the measurement instruments if they
are available when you assemble the proposal. This allows the sponsor to discuss particular
changes in one or more of the instruments. If exploratory work precedes the selection of the
measurement instruments you will not use this appendix section. Other Any detail that
reinforces the body of the proposal can be included in an appendix. This includes researcher
vitae, budget details, and lengthy descriptions of special facilities or resources

SUMMARY
Most research projects will require the production of research proposal which sets out clearly
and succinctly your proposed project. Before you write your proposal, check whether you need
to produce it in specific format. The standard research proposal should include the following:
- title
- background (including literature search)
- aims and objectives
- methodology/methods
- timetable
- budget and resources
- dissemination.
Research proposals stand better chance of being accepted if you’re able to prove that you have
the required knowledge and/or experience to carry out the research effectively. It is important
to make sure that your proposed methods will address the problem you have identified and that
you are able to display an understanding of these methods.

REVIEW QUESTIONS
1. What, if any, are the differences between solicited and unsolicited proposals?
2. Select a research topic related with business and management. Briefly outline a proposal
for the research and make estimates of time and costs.
3. What modules would you suggest be included in a proposal for each of the following
cases?
a. The president of your company has asked for a study of the company’s health
benefits plan and for a comparison of it to other firms’ plans.
b. You are competing for a university-sponsored student research grant, awarded to
seniors and graduate students.
c. A bank is interested in understanding the population trends by location so that it can
plan its new branch locations for the next five years. They contacted you for a
proposal.
d. You are interested in starting a new research service, providing monthly
information about the use of recyclable items in your state. The proposal will go to
44
 several city and county planning agencies, independent waste service providers, and
independent and government landfill providers.

REFERENCES
Cooper, R. D. & Emory, C. W. (1995). Business research methods (5th ed.). USA: McGraw
Hill.
DR. Vatsyayan (1989); Methods & techniques of Social Survey and Research (in questions &
answers), Kedar Nath Ram Nath, New Delhi.
Gibaldi, Joseph (1995). MLA handbook for writers of research papers (4th ed.). USA: The
Modern Language Association of America.
Green, E. P., Tull, D. S. & Albaum, G. (1998). Research for marketing decisions. New Delhi:
Prentice Hall of India.
Hussey, J. & Hussey, R. (1997). Business research, a practical guide for undergraduate and
postgraduate students, Great Britain: Macmillan Press LTD.
Kothari, C. R. (1990). Research methodology, methods & techniques. New Delhi: Wishwa
Prakashan, Wiley Eastern Limited.
Kumar, R. (2005). Research methodology, a step-by-step guide for beginners (2nd ed.).
London: Sage Publications
Locke, F. L., Spirduso, W., & Stephen, S. (1993). Proposal that work- a guide for planning
dissertation and grant. California: Sage Publications, Inc. Newbury Park.
Yin, K. R. (1994). Case study research, designs and methods (2nd ed.). USA: Sage Production
Editor.
Zikmund, G. W. (1998). Business research methods (5th ed.). USA: The Dryden Press,
Oklahoma State University.

45
 UNIT FOUR

RESEARCH DESIGN

UNIT OBJECTIVES

By the end of this unit, you should be able to:

1. know the meaning of research design.
2. know important concepts concerning research design.
3. describe basic features of research design.
4. describe research design as it applies for non-experimental research.
5. describe research design as it applies for experimental research.

UNIT INTRODUCTION

If you are doing a study, you will need to make many important decisions about the study’s
design. Once you formulate the research problem, research design must be developed. These
decisions will affect the overall believability of your findings. In some cases, the decisions will
affect whether you receive funding (if you are seeking financial support for your study) or
whether you are able to publish your research report (if you plan to submit it to a journal). The
research design of a study spells out the basic strategies that researchers adopt to develop
evidence that is accurate and interpretable. The research design incorporates some of the most
important methodologic decisions that researchers make. Therefore, a great deal of care and
thought should go into these decisions. Thus, it is important to understand design options when
embarking on a research project. This unit focuses on design issues for research.

SECTION I

BASICS OF RESEARCH DESIGNS

SECTION OBJECTIVES
At the end of the section, you should be able to:
1. know the meaning of research design.
2. know important concepts concerning research design.
3. define the uses and basic features of research design.

SECTION OVERVIEW
1.1 Meaning and definition of Research Design
46
 1.2 Essentials of research Designs
1.3 Why Research design is required?
1.4 Concepts in Research Design

1.1 MEANING AND DEFINITION OF RESEARCH DESIGN

Research design is a master plan specifying the methods and procedures for collecting and
analyzing the needed information. It is a framework of the research plan of action.
Definition: research design is the science and art of planning procedures for conducting studies
so as to get the most valid findings.

Research design is the plan, structure and strategy of investigation conceived to obtain answers
to research questions and to control variance. A research design is the specification of methods
and procedures for acquiring the information needed. It is the overall operational pattern or
framework of the project that stipulates what information is to be collected from which sources
by what procedures.

The decisions regarding what, where, when, how much, by what means concerning a research
project constitute a research design. “A research design is the arrangement of conditions for
collection and analysis of data in a manner that aims to combine relevance to the research
purpose with economy in procedure.”

In fact, the research design is the conceptual structure within which research is conducted; it
constitutes the blueprint for the collection, measurement and analysis of data. As such, the
design includes an outline of what the researcher will do from writing the hypothesis and its
operational implications to the final analysis of data. More explicitly, the design decisions
happen to be in respect of:
☞ What is the study about?
☞ Why is the study being made?
☞ Where will the study be carried out?
☞ What type of data is required?
☞ Where can the required data are found?
☞ What periods will the study include?
☞ What will be the sample design?
☞ What techniques of data collection will be used?
☞ How will the data be analyzed?
☞ In what style will the report be prepared?

Keeping in view the above stated design decisions; we may split the Overall research design
into the following parts.
47
 ☞ Sampling design - which deals with the method of selecting items It be observed for the
given study;
☞ Observational design - which relates to the conditions under which the observations are
to be made;
☞ Statistical design - which concerns with the question of how many items are to be
observed and how the information and data gathered are to be analyzed;
☞ Operational design - which deals with the techniques by which the procedures specified
in the sampling, statistical and observational designs can be carried out.
We can state the important features of a research design as under:

1.2 ESSENTIALS OF RESEARCH DESIGNS

- The design is an activity-and-time-based plan

- The design is always based on the research question
- The design guides the selection of sources and types of information
- The design is a framework for specifying the relationships among the study’s
variables
- The design outlines procedure for every research activity

1.3 WHY RESEARCH DESIGN IS REQUIRED?

Research design is needed because it facilitates the smooth sailing of the various research
operations, thereby making research as efficient as possible yielding maximal information with
minimal expenditure of effort, time and money.

For example, economical and attractive construction of house we need a blueprint (or what is
commonly called the map of the house) well thought out and prepared by an expert architect,
similarly we need a research design or a plan in advance of data collection and analysis for our
research project.

Research design stands for advance planning of the methods to be adopted for collecting the
relevant data and the techniques to be used in their analysis.

2.4 CONCEPTS IN RESEARCH DESIGN

Operational Definitions – is a definition stated in trace of specific testing criteria or

operations.
Variable – this is used as a synonym for construct or the property being.
Independent – A variable antecedents to dependent variable is called independent variable

48
Dependent – If one variable depends upon or is a consequence of other variable, it is a
dependent variable.
Proposition – is a statement about concepts that may be judged as true or false if it refers to
observable phenomenon. When a proposition is formulated for empirical testing, it is called a
hypothesis. The research hypothesis is a predictive statement that relates an independent
variable to dependent variable.
Continuous Variable - A variable that can assume any numerical value within a specific range.
Value given in decimal points e.g. age.
Discrete Variable – A variable for which the individual values fall on the scale only. Example,
no of children
Independent Variable Dependent Variable
Presumed cause Presumed effect
Stimulus Response
Predicted from …….. Predicted to ………
Antecedent Consequence
Manipulated Measured outcome
Extraneous Variable - Some independent variables are not related to purpose of study, but
may affect dependent variables are turned as extraneous variable. Example: The researcher
wants to test the hypothesis that there is a relationship between children’s gains in social
studies achievement and their self-concepts. Independent variable - Self-concept and the
dependent variable – social studies. Child’s intelligence may also effect social studies
achievement since it is not related to purpose of studies, extraneous variable.
Control - Minimize effect of extraneous independent variable. In experiment at researches,
‘control’ is used to refer to restrain experimental conditions.
Confounded Relationship - When the dependent variable is not free from influence of
extraneous variables(s), the relation between independent variable and dependent variable is
said to be confounded by an extraneous variable.
Experimental and non-experimental hypothesis testing research: Research in which the
independent variable is manipulated called experimental hypothesis-testing research and a
research in which an independent variable is not manipulated is called non–experimental
hypothesis-testing research.
Experimental & Control Group: When a group is exposed to usual conditions, it is traced as
‘control group’ but when the group is exposed to some moral or special condition, it is termed
as ‘experimental group’.
Treatment: the different conditions under which experimental and control group are put are
usually refereed to as ‘treatments’.

49
SECTION II

DIFFERENT RESEARCH DESIGN

SECTION OBJECTIVES
At the end of the section, you should be able to explain:
1. Research design in case of exploratory research studies
2. Research design in case of descriptive and diagnostic research studies
3. Research design in case of hypothesis-testing research studies

SECTION OVERVIEW
2.1 Exploratory Research Design
2.2 Descriptive and Diagnostic Research Design
2.3 Hypothesis Testing Research Design

2.0 OVERVIEW
Different research designs conveniently categorized as exploratory research studies design,
descriptive and diagnostic research studies design and hypothesis-testing research studies
design.
We take up each category separately.

2.1 EXPLORATORY RESEARCH DESIGN

Exploratory research studies are also termed as formulative research studies. The main purpose
of such studies is that of formulating a problem for more precise investigation or of developing
the working hypotheses from an operational point of view.

The major emphasis in such studies is on the discovery of ideas and insights. The research
design appropriate for such studies must be flexible enough to provide opportunity for
considering different aspects of a problem under study. Inbuilt flexibility in research design is
needed because the research problem, broadly defined initially, is transformed into one with
more precise meaning in exploratory studies, which fact may necessitate changes in the
research procedure for gathering relevant data.
Generally, the following three methods in the context of research design for such studies are
talked about:
A. The survey of concerning literature
B. the experience survey
C. the analysis of ‘insight-stimulating cases’
We let us discuss each of these methods.

50
2.1.1 Survey of Concerning Literature
This method happens to be the most simple and fruitful method of formulating precisely the
research problem or developing hypothesis. Hypotheses stated by earlier works may be
reviewed and their usefulness be evaluated as a basis for further research.

It may also be considered whether the already stated hypotheses suggest new hypothesis. In
this way, the researcher should review and build upon the work already done by others, but in
cases where hypotheses have not yet been formulated, his task is to review the available
material for deriving the relevant hypotheses from it. Besides, the bibliographical survey of
studies, already made in one’s area of interest may as well be made by the researcher for
precisely formulating the problem.

He should also make an attempt to apply concepts and theories developed in different research
contexts to the area in which he is himself working. Sometimes the works of creative writers
also provide a fertile ground for hypothesis-formulation and as such may be looked into by the
researcher.

2.1.2 Experience Survey

Experience survey means the survey of people who have had practical experience with the
problem to be studied. The object of such a survey is to obtain insight into the relationships
between variables and new ideas relating to the research problem. For such a survey, people
who are competent and can contribute new ideas may be carefully selected as respondents to
ensure a representation of different types of experience.

The investigator may then interview the respondents so selected. The researcher must prepare
an interview schedule for the systematic questioning of informants. However, the Interview
must ensure flexibility in the sense that the respondents should be allowed to raise issues and
questions that the investigator has not previously considered.

Generally, the experience-collecting interview is likely to be long and may last for few hours.
Hence, it is often considered desirable to send a copy of the questions to be discussed to the
respondents well in advance. Thus, an experience survey may enable the research to define
problem more concisely and help in the formulation of the research hypothesis. This survey
may as well provide information about the practical possibilities for doing different types of
research.

2.1.3 Analysis of ‘Insight-Stimulating Cases’

Analysis of ‘insight-stimulating cases’ is also a fruitful method for suggest hypothesis for
research. It is particularly suitable in areas where there is little experience to serve as a guide.
51
This method consists of the intensive study of selected instances of the phenomenon in which
one is interested. For this purpose the existing records, if any, maybe examined, the
unstructured interviewing may take place, or some other approach may be adopted. Attitude of
the investigator, the intensity of the study and the ability of the researcher to draw together
diverse information into a unified interpretation are the main features, which make this method
an appropriate procedure for evoking insights.
Now, what sort of examples is to be selected and studied?

There is no clear-cut answer to it. Experience indicates that for particular problems certain
types of instances are more appropriate than others. One can mention few examples of ‘insight
stimulating’ cases such as the reactions of strangers, the reactions of marginal individuals, the
study of individuals who are in transition from one stage to another, the reactions of
individuals from different social strata and the like.

Thus, in an exploratory or formulative research study, which merely leads to insights or

hypotheses, whatever method or research design outlined above is adopted, the only thing
essential is that it must continue to remain flexible so that many different facets of a problem
may be considered as and when they arise and come to the notice of the researcher.

2.2 DESCRIPTIVE AND DIAGNOSTIC RESEARCH DESIGN

Now another type of research studies are - descriptive research studies, those studies, which are
concerned with describing the characteristics of a particular individual, or of a group whereas
diagnostic research studies determine the frequency with which something occurs or its
association with something else.

The studies concerning whether certain variables are associated are examples, diagnostic
research studies, As against this, studies concerned with specific predication, with narration of
facts and characteristics concerning individuals or group or situation are all examples of
descriptive research studies.

From the point of view of the research design, the descriptive as well as diagnostic studies
share common requirement, and as such, we may group together these two types of research
studies. In descriptive as well as in diagnostic studies, the researcher must be able to define
clearly, what he wants to measure and must find adequate methods for measuring it along with
a clear cut definition of population he wants to study. Since the aim is to obtain complete and
accurate information the said studies, the procedure to be used must be carefully planned.

52
The research design must make enough provision for protection against bias and must
maximize reliability, with due concern for the economical completion of research study. The
design in such studies must be rigid and not flexible and must focus attention on the following:
a. Formulating the objective of the study
b. Designing the methods of data collection
c. Selecting the sample (how much material will be needed?)
d. Collecting the data (where can the required data be found and with what time period
should the data be related?)
e. Processing and analyzing the data.
f. Reporting the findings

2.3 HYPOTHESIS TESTING RESEARCH DESIGN

Hypothesis-testing research studies (generally known as experimental studies) are those where
the researcher tests the hypotheses of causal relationships between variables.

Such studies require procedures that will not only reduce bias and increase reliability, but will
permit drawing inferences about causality. Usually experiments meet this requirement. Hence,
when we talk of research design in such studies, we often mean the design of experiments.
Professor R. A. Fisher’s name is associated with experimental designs. The study of
experimental designs has its origin in agricultural research. Professor Fisher found that by
dividing agricultural fields or plots into different blocks and then by conducting experiments in
each of these blocks, whatever information is collected and inferences drawn from them,
happens to be more reliable.

This fact inspired him to develop certain experimental designs for testing hypotheses
concerning scientific investigations. Today, the experimental designs are being used in
research relating to phenomena of several disciplines. Now let us discuss the basic principles
of experimental designs.

2.3.1 Basic Principles of Experimental Designs

There are three principles of experimental designs:
1. Principle of Replication;
2. Principle of Randomization
3. Principle of Local Control
Now let us discuss each one of these experimental design

a. Principle of Replication
In this design, the experiment should be repeated more than once. Thus, each treatment is
applied in many experimental units instead of one. By doing so, the statistical accuracy of the
53
experiments is increased. For example, suppose we are to examine the effect of two varieties of
rice.

For this purpose, we may divide the field into two parts and grow one variety in one part and
the other variety in the other part. We can then compare the yield of the two parts and draw
conclusion on that basis. But if we are to apply the principle of replication to this experiment,
then we first divide the field into several parts, grow one variety in half of these parts and the
other variety in the remaining parts. We can then collect the data of yield of the two varieties
and draw conclusion by comparing the same.

The result so obtained will be more reliable in comparison to the conclusion we draw without
applying the principle of replication. The entire experiment can even be repeated several times
for better results.

Conceptually replication does not present any difficulty, but computationally it does. For
example, if, an experiment requiring a two-way analysis of variance is replicated, it will then
require a three-way analysis of variance since replication itself may be a source of variation in
the data. However, it should be remembered that replication is introduced in order to increase
the precision of a study; that is to say, to increase the accuracy with which the main effects and
interactions can be estimated.

b. Principle of Randomization
This principle indicates that we should design or plan the experiment in such a way that the
variations caused by extraneous factor can all be combined under the general heading of
“chance.” For example, if you grow one variety of rice, say, in the first half of the parts of a
field and the other variety is grown in the other half, then it is just possible that the soil fertility
may be different in the first half in comparison to the other half. If this is so, our results would
not be realistic. In such a situation, we may assign the variety of rice to be grown in different
parts of the field based on some variety ‘sampling technique, i.e., we may apply randomization
principle and random ourselves against the effects of the extraneous factors (soil fertility
processes in the given case.)

c. The Principle of Local Control

The Principle of Local Control is another important principle of experimental designs. Under
it, the extraneous factor, the known source of variability, is made to vary deliberately over as
wide a range as necessary and this need to be done in such a way that the variability it causes
can be measured and hence eliminated from the experimental error.

This means that we should plan the experiment in a manner that we can perform a two-way
analysis of variance, in which the total variability of the data is divided into three components
54
attributed to treatments (varieties of rice in our case), the extraneous factor (soil fertility in our
case) and experimental error.

In other words, according to the principle of local control, we first divide the field into several
homogeneous parts, known as blocks, and then each such block is divided into parts equal to
the number of treatments. Then the treatments are randomly assigned to these parts of a block.

2.3.2 Important Experimental Designs

Experimental design refers to the framework or structure of an experiment and such there are
several experimental designs. We can classify experimental designs into two broad categories.
viz., informal experimental designs and formal experimental designs. Informal experimental
designs are designs that normally use a less sophisticated form of analysis based on differences
in magnitudes, whereas formal experimental designs offer relatively more control and use
precise statistical procedures for analysis. Important experimental designs are as follows:
a. Informal experimental designs:
1. Before-and-after without control design
2. After-only with control design
3. Before-and-after with control design
b. Formal experimental designs:
i. Completely randomized design
ii. Randomized block design
iii. Latin square design
iv. Factorial designs

In general, hypothesis-testing research studies (experimental) are those where the researcher
tests hypothesis of causal relationships between variables. Such studies require procedures that
will not merely reduce bias and increase reliability, but will permit drawing inferences about
causality.

SUMMARY
 The research design is the researcher’s overall plan for answering the research question. In
quantitative studies, the design indicates whether there is an intervention; the nature of any
comparisons; methods used to control extraneous variables; timing and location of data
collection; and information to be provided to subjects.
 Non experimental research includes descriptive research—studies that summarize the
status of phenomena—and ex post facto (or correlational) studies that examine
relationships among variables but involve no manipulation of the independent variable.
 Experiments involve manipulation (the researcher manipulates the independent variable by
introducing a treatment or intervention); control (including the use of a control group that

55
 is not given the intervention and is compared to the experimental group); and
randomization or random assignment (with subjects allocated to experimental and control
groups at random to make the groups comparable at the outset).
 There are several research designs and the researcher must decide in advance of collection
and analysis of data as to which design would prove to be more appropriate for his research
project.
 Consideration of the following activities is essential for the execution of a well-planned
experiments
o Select relevant variable for testing
o Specify the level of treatment
o Control the environment and extraneous factors
o Choose an experimental design suited to the hypothesis
o Select and assign subjects to groups
o Pilot-test, revise, and conduct the final test
o Analyze the data
 She must give due weight to various points such as the-
o Type of universe and its nature,
o The objective of his study,
o The source list or the sampling frame,
o Desired standard of accuracy

REVIEW QUESTIONS
1. Compare the advantages of experiment with advantages of survey and
observational methods.
2. A lighting company seeks to study the percentages of defective glass shells being
manufactured. Theoretically, the percentages of defectives are dependent on
temperature, humidity, and the level of artisan expertise. Complete historical data
are available for the following variables on a daily basis for a year:
i. a. Temperature ( high, normal, low)
ii. b. Humidity (high, normal, low)
iii. c. Artisan expertise level ( expert, average, mediocre)
Some experts feel that defective also depend on production supervisors. However, data
on supervisors in charge are available for only 242 of the 365 days. How should this
study be conducted?

REFERENCES
Cooper, R. D. & Emory, C. W. (1995). Business research methods (5th ed.). USA: McGraw
Hill.

56
DR. Vatsyayan (1989); Methods & techniques of Social Survey and Research (in questions &
answers), Kedar Nath Ram Nath, New Delhi.
Gibaldi, Joseph (1995). MLA handbook for writers of research papers (4th ed.). USA: The
Modern Language Association of America.
Green, E. P., Tull, D. S. & Albaum, G. (1998). Research for marketing decisions. New Delhi:
Prentice Hall of India.
Hussey, J. & Hussey, R. (1997). Business research, a practical guide for undergraduate and
postgraduate students, Great Britain: Macmillan Press LTD.
Kothari, C. R. (1990). Research methodology, methods & techniques. New Delhi: Wishwa
Prakashan, Wiley Eastern Limited.
Kumar, R. (2005). Research methodology, a step-by-step guide for beginners (2nd ed.).
London: Sage Publications
Locke, F. L., Spirduso, W., & Stephen, S. (1993). Proposal that work- a guide for planning
dissertation and grant. California: Sage Publications, Inc. Newbury Park.
Yin, K. R. (1994). Case study research, designs and methods (2nd ed.). USA: Sage Production
Editor.
Zikmund, G. W. (1998). Business research methods (5th ed.). USA: The Dryden Press,
Oklahoma State University.
Aaker D A, Kumar V & Day G S - Marketing Research (John Wiley &Sons Inc, 6th ed.)
Kothari C R – Quantitative Techniques (Vikas Publishing House 3rd ed.)
Levin R I & Rubin DS - Statistics for Management (Prentice Hall of India, 2002)

57
 UNIT FIVE

MEASUREMENT AND SCALING

UNIT OBJECTIVES

By the end of this unit, you should be able to:

1. understand the meaning of and levels of measurement.
2. describe components of measurement.
3. identify tests of sound measurement.
4. understand techniques of developing measurement tools.

UNIT INTRODUCTION

In case of measurement of attitude, the data belongs to the abstract or qualitative type. There
are four widely accepted levels of measurement called measurement scale’. These are:
nominal, ordinal, interval and ratio scales. From the view point of data, nominal scale to ratio
scale, all the four scales are in increasing order of sophistication. These measurement scales
assist in designing survey methods for the purpose of collecting relevant data.

1.1 WHAT IS MEASUREMENT

In every day usage we ‘measure’ when we use some established yardstick to determine the
height, weight, or some other feature of a physical object. We also measure when we judge
how well we like a song, a painting, or the personalities of out friends. We, thus, measure
physical objects as well as abstract concepts. Measurement is relatively complex and
demanding task, especially so when it concerns qualitative or abstract phenomenon.

Measurement may be defined as the assignment of numerals to characteristics of objects,

persons, states or events, according to rules. What is measured is not the object, person, state,
or event itself but some characteristic of it. When objects are counted, for example, we do not
measure the object itself but its characteristic of being present. We never measure people, only
their age, height, weight, or some other characteristic.

According to S. Stevens, measurement is the matching of an aspect of one domain to as aspect

of another. This matching, often called mapping is the operation of establishing
correspondence between properties of one area (or set) and properties in another set. Mapping
from one set onto the member’s o f the other is done according to some rule of
correspondence.
58
1.2 TECHNIQUES OF DEVELOPING MEASUREMENT TOOLS

The technique of developing measurement tools involves a four-stage process, consisting of

the following:
Concept development is the first and foremost step, which means that the researchers should,
arrive at an understanding of the major concepts pertaining to his study. This step of concept
development is more apparent in theoretical studies than in the more pragmatic research, where
the fundamental concepts are often already established.
Specification of concept dimensions: This is the second step, which requires the researcher to
specify the dimensions of the concepts that he developed in the first stage. This task may be
accomplished either by deduction i.e., by adopting a more or less intuitive approach or by
empirical correlation of the individual dimensions with the total concept and/or the other
concepts. For instance, one may think of several dimensions such as product reputation,
customer’s treatment, corporate leadership, concern for individuals, sense of social
responsibility and so forth when one is thinking about the image of a certain company.
Selection of indicators: once the dimensions of the concept have been specified, the researcher
must develop indicators for measuring each concept element. Indicators are specific questions,
scales, or other devices by which respondent’s knowledge, opinion, expectation, etc., are
measured. As there is seldom a perfect measure of a concept, the researcher should consider
several alternatives for the purpose. The use of more than one indicator gives stability to the
scores and it also improves there validly.
Formation of index: The last step is that of combining the various indicators into an index, i.e.,
formation of an index. When we have several dimensions of a concept or different
measurements of a dimension, we may need to combine them into a single index. One simple
way for getting an overall index is to provide scale values to the responses and than sum up the
corresponding scores. Such an overall index would provide a better measurement tool than a
single indicator because of the fact that “individual indicator has only a probability relation to
what we really want to know.” This way we must obtain an overall index for the various
concepts concerning the research study.

1.3 MEASUREMENT SCALES

The level of measurement refers to the relationship among the values that are assigned to the
attributes for a variable. Why is Level of Measurement Important? First, knowing the level of
measurement helps you decide how to interpret the data from that variable. When you know
that a measure is nominal, then you know that the numerical values are just short codes for the
longer names. Second, knowing the level of measurement helps you decide what statistical
analysis is appropriate on the values that were assigned. If a measure is nominal, then you

59
know that you would never average the data values or do a t-test on the data. There are four
levels of measurement: nominal, ordinal, interval and ratio.

1.3.1 Nominal Scale

In this scale, numbers are used to identify the objects. E.g. University Registration numbers
assigned to students, numbers on jerseys, of sports personal.

Examples:
Have you ever visited the Palace Of Jimma Abajifar?
Yes-1
No-2

“Yes” is coded as “One” and “No” is coded as “Two”. Numeric attached to the answers has no
meaning, it is a mere identification. If numbers are interchanged as one for “No” and two for
“Yes,” it will not affect the answers given by the respondents. Numbers used in nominal scales
serves only counting.

Telephone number is an example of nominal scale, where one number is assigned to one
subscriber. The idea of using nominal scale is to make sure that no two persons or objects
receive the same number. Bus route numbers are example of nominal scale.

“How old are you”? This is an example of nominal scale.

Arranging the books in the library, subject wise, authorwise – we use nominal scale.
Example: Physics- 48, Chemistry – 92 etc.

Limitations:
(a) There is no rank ordering
(b) No mathematical operation is possible
(c) Statistical implication – Calculation of standard deviation and mean is not possible. It is
possible to express mode.

1.3.2 Ordinal Scale (Ranking scale)

Ordinal scale is used for ranking in most market research studies. Ordinal scales are used to
find consumer perception, preferences etc. E.g. Consumer may be given a list of brands which
will suit and expect them to rank on the basis of ordinal scale.
60
 * Lux *Ayu * Cinthol * Lifebuoy * Duru
Rank Item Number of respondents
I Cinthol 150
II Liril 300
III Hamam 250
IV Lux 200
V Lifebuoy 100
Total 1,000

In the above example, II is mode and III is median.

Statistical implications: It is possible to calculate mode and median.
In market research, we often ask the respondents to rank say, "A soft drink, based upon flavour
or colour". In such a case, ordinal scale is used. Ordinal scale is a ranking scale. Rank the
following attributes of 1 - 5 scale according to the importance in the microwave oven.
Attributes Rank
A Company image 5
B) Functions 3
C) Price 2
D) Comfort 1
E) Design 4

Difference between nominal and ordinal scales: In nominal scale numbers can be interchanged,
because it serves only for counting. Numbers in Ordinal scale has meaning and it won't allow
interchangeability.

1.3.3 Interval Scale

Interval scale is more powerful than nominal and ordinal scale. The distance given on the scale
represents equal distance on the property being measured. Interval scale may tell us "How far
apart the objects are with respect to an attribute?" This means that, the difference can be
compared. The difference between "1" and "2" is equal to the difference between "2" and "3".

Example 1: Suppose we want to measure the rating of a refrigerator using interval scale. It will
appear as follows:
1. Brand name Poor -----------------Good
2. Price High -----------------Low
3. Service after sales Poor -----------------Good
4. Utility Poor -----------------Good

The researcher cannot conclude that the respondent who gives a rating of 6 is 3 times more
favourable towards a product under study than another respondent who awards the rating of 2.
61
Example 2: How many Hours do you spend to do class assignment every day.
< 30 min.
30 min. to 1 hr.
1hr. to 1½ hrs.
> 1½ hrs.

Statistical implications: We can compute the range, mean, median etc.

Difference between interval and ordinal scales:

Ordinal scale gives only the ranking of the alternatives viz.., one is greater than the other, but it
won't give the difference/distance between one and the other. Interval scales provide
information about the difference between one and two.

1.3.4 Ratio Scale

Ratio scale is a special kind of internal scale that has a meaningful zero point. With this scale,
length, weight, distance, can be measured. In this scale, it is possible to say, how many times
greater or smaller one object compared to the other.

Example: sales of this year for product A is twice the sale of the same product last year.
Statistical implications: All statistical operation can be performed on this scale.

1.4 SCALE CONSTRUCTION TECHNIQUES

The following scales are measuring the attitude:

� Paired comparison
� Likert scale
� Semantic differential scale
� Thurstone scale

1.4.1 Paired Comparison

Example: Here a respondent is asked to show his preferences from among five brands of coffee
- A, B, C, D and E with respect to flavors. He is required to indicate his preference in pairs. A
number of pairs are calculated as flows. The brands to be rated is presented two at a time, so
each brand in the category is compared once to every other brand. In each pair, respondents
were asked to divide 100 points on the basis of how much they liked one compared to the
other. The score is totaled for each brand.

62
A&B B&D
A&C B&E
A&D C&D
A&E C&E
B&C D&E

If there are 15 brands to be evaluated, then we have 105 paired comparison and that is the
limitation of this method.

1.4.2 Likert scale

It is called as summated rating scale. This consists of a series of statements concerning an
attitude object. Each statement has " 5 points" Agree and Disagree on the scale, They are also
called summated scales because scores of individual items are also summated to produce a
total score for the respondent, likert scale consists of two parts - Item part and evaluation part.
Item part is usually a statement about a certain product, event or attitude.

Evaluation part is a list of responses like "Strongly agree", to “strongly disagree" The five
points scale is used here. The numbers like +2, +1, 0, -1,-2 are used. The likert scale must
contain equal number of favorable and unfavorable statements. Now let us see with an example
how attitude of a customer is measured with respect to a shopping mall.

Evaluation of Globus the Super Market by respondent

Neither
Strongly agree nor Strongly
# Likert scale items disagree Disagree disagree Agree agree
Salesman at shopping mall
1 are courteous - - - - -
Shopping mall does not has
2 enough parking space - - - - -
Prices of items are
3 reasonable. - - - - -
Mall has wide range of
4 products, to choose - - - - -
Mall operating hours are
5 inconvenient - - - - -
The arrangement of items
6 in mall is confusing - - - - -

The respondents overall attitude is measured by summing up his or her numerical rating on the
statement making up the scale. Since some statements are favorable and others unfavourable, it
63
is the one important task to be done before summing up the ratings. In other words, "Strongly
agree" category attached to favourable statement and "strongly designed" category attached to
unfavourable. The statement must always be assigned the same number, such as +2, or -2. The
success of the likert scale depends on "How well the statements are generated?" Higher the
respondent's score, the more favourable is the attitude. E.g. If there are two shopping mall,
ABC and XYZ and if the scores using likert scale is 30 and 60 respectively, we can conclude
that the customers attitude towards XYZ is more favourable than ABC.

1.4.3 Semantic Differential Scale

It is very similar to likert scale. It also consists of number of items to be rated by the
respondents. The essential difference between likert and semantic differential scale is as
follows.
It uses "Bipolar" adjectives and phrases. There are no statements in semantic differential scale.
Each pair of adjective is separated by Seven point scale.
Some individuals have favourable descriptions on the right side and some have on the left side.
The reason for the reversal is to have a combination of both favourable and unfavourable
statements.

Semantic differential scale items:

Please rate the five real estate developers mentioned below on the given scales for each of the
five aspects. Developers are
1) Ayat 2) Sunshine 3) Global 4) Royal 5) Ropack Int.
# Scale items
-3 -2 -1 0 +1 +2 +3
1) Not reliable _ _ _ _ _ _ _ Reliable
2) Expensive _ _ _ _ _ _ _ Not expensive
3) Trustworthy _ _ _ _ _ _ _ Not Trustworthy
4) Untimely _ _ _ _ _ _ _ Timely delivery
delivery
5) Strong Brand _ _ _ _ _ _ _ Poor brand
image

The respondents are asked to tick one of the seven categories which describes their views on
the attitude. Computation is done exactly the same way as in likert scale. Suppose we are
trying to evaluate the packaging of a particular product. The seven point scale will be as
follows:
"I feel …………..
1. Delighted
2. Pleased
3. Mostly satisfied
64
 4. Equally satisfied and dissatisfied
5. Mostly dissatisfied
6. Unhappy
7. Terrible

1.4.4 Thurstone Scale

This is also known as equal appearing interval scale. The following are the steps to construct
thurstone scale:
Step 1: To generate a large number of statements, relating to the attitude to be measured.
Step 2: These statements (75 to 100) are given to a group of judges say 20 to 30 and asked to
classify them according to the degree of favourableness and unfavourableness.
Step 3: 11 piles to be made by the judges. Piles vary from "most unfavourable" in pile number
1 to neutral in pile 6 and most favourable statement in pile 11.
Step 4: Study the frequency distribution of ratings for each statement and eliminate those
statement, that different judges have given widely scattered ratings.
Step 5: Select one or two statements from each of the 11 piles for the final scale. List the
selected statements in random order to form the scale.
Step 6: Respondents whose attitude are to be scaled are given the list of statements and asked
to indicate agreement or disagreement with each statement. Some may agree with one
statement and some may agree with more than one statement.

Example 1: Suppose we are interested in the attitude of certain socio economic class of
respondents towards savings and investments. The final list of statement would be as follows:
1. One should live for the present and not the future. Therefore, savings are not
required.
2. There are many attractions to spend the saved money.
3. It is better to spend savings than risk them in investments.
4. Investments are unsafe and the money is blocked.
5. You earn to spend and not to invest.
6. It is not possible to save in these days.
7. Certain fixed amount of income should be saved and invested.
8. The future is uncertain and investments will protect us.
9. Some amount of savings and investments is a must for every earning of individual.
10. One should try to save more so that most of it can be invested.
11. All the savings should be invested for the future.

Conclusion: A respondent agreeing to statement 8,9,11 would be considered to have a

favourable attitude towards savings and investments. The person agreeing with the statements
2, 3 & 4 will be having an unfavourable attitude. Also, if a respondents chooses 1,3,7,9 his
attitude is not considered as organized.
65
Merits of Thurstone Scale:
1. Very reliable, if we are measuring a single attitude
2. Used to find attitude towards issues like war, religion, language, culture, place of worship
etc.

Limitations:
1. Limited use in MR, since it is time consuming
2. Number of statement collection (100-200) is very tedious
3. Judges bias may be there
4. This method is expensive

1.5 COMPONENTS OF MEASUREMENT

Ideally speaking, there should be only one component of a measurement and this component
should be a direct reflection of the characteristic being measured. Unfortunately, such a
situation seldom exists. Very often, a measurement consists of not one but two components
one representing the influence of the characteristic being measured and the other representing
the influence of those characteristics which the researches is not interested in measuring but
which still creeps in against his wishes.

These other characteristics are as follows:

 Additional stable characteristics of the object or event, for example, the respondents’
tendency to give only favorable responses independent of his true feelings
 Short-term characteristics of the object, for example, fatigue, health, hunger, and
emotional state
 Situational characteristics, for example, the presence or absence of some other person
or of location under which the measurement is taken
 Characteristics of the measurement process, for example, sex, age, ethnic background,
and style of dress of the interviewer or the method of interviewing telephone, mail,
personal interview, etc
 Characteristics of the measuring instrument, for example, unclear instructions,
ambiguous questions, confusing terms, omitted questions, etc
 Characteristics of the response process, for example, mistakes caused by checking a
wrong response
 Characteristics of the analysis, for example, mistakes caused by wrong coding,
tabulating etc

66
1.6 TESTS OF SOUND MEASUREMENT

Sound measurement must meet the test of validity, reliability, and practicality; in fact, these are
the three major considerations one should use in evaluating measurement tool.

1.6.1 Test of Validity

Validity indicates the degree to which an instrument measures what it is supposed to measure.
Validity can also be thought of as utility. In other words, Validity is the extent to which
differences found with a measuring instrument reflect true differences among those being
tested. But the question arises: how can one determine validity without direct confirming
knowledge?

The answer may be that we seek other relevant evidence that confirms the answers we have
found with our measuring tool. What is relevant evidence often depends upon the nature of
research problem and the judgment of the researches? However, one can certainly consider
three types of validity in this connection.
a) Face Validity: A measure has face validity to the extent that it appears to measure what it
sets out to measure. This measure may only appear to be a valid index of some characteristic
under study but may really lack it. Conversely, a measure may lack face validity but be an
excellent index of some characteristic.
b) Content validity: is the extent to which a measuring instrument provides adequate coverage
of the topic under study. If the instrument contains a representative sample of the universe, the
content validity is good. Its determination is primarily judgmental and intuitive. It can also be
determined by using a panel of persons who shall judge how well the measuring instrument
meets the standard, but there is no numerical way to express it.
c) Criterion-related validity: related to our ability to predict some outcome or estimate the
existence of some current condition. This form of validity reflects the success of measures used
for some empirical estimating purpose. The concerned criterion must possess the following
qualities.
 Relevance: (A criterion is relevant if it is defined in terms of we judge to be the proper
measure)
 Freedom from bias: (This is attained when the criterion gives each subject an equal
opportunity to score well)
 Availability: (The information specified by the criterion must be available)

In fact, a criterion – related validity is abroad term that actually refers to a) predictive validity
and (b) current validity (c) Construct validity.
Predictive validity refers to the usefulness of a test in predicting some future performance.
When predictor variable is measured at one point of time and the criterion variable is measured
at other point of time, it is known as predictive validity.
67
Con Current validity refers to the usefulness of a test in closely relating to other measures of
known validity. When predictor and criterion variables are measured at the same point in time,
it is called concurrent validity.
Post-dictive Validity. When the criterion variable is measured at one point in time and the
predictor is measured at a later point, it is called post-dictive validity

d) Construct validity is the most complex and abstract. A measure is said to possess construct
validity to the degree that it confirms to predicted correlations with other theoretical
propositions. It is the degree to which scores on a test can be accounted for by the explanatory
constructs of a sound theory.

If the above stated criterion and test are met with, we may state that our measuring instrument
is valid and will result in correct measurement; otherwise we shall have to look for more
information and/or exercise of judgment.

1.6.2 Test of Reliability

This is another important test of sound measurement. A measuring instrument is reliable if it
provides consistent results. Reliable measuring instrument does contribute to validity, but a
reliable instrument need not be a valid instrument. For instance, a scale that consistently over
weights objects by 5 kgs is reliable scale, but it does not give a valid measure of weight. Two
aspects of reliability viz. stability and equivalence deserve special mention.

The stability aspect is concerned with securing consistent results with repeated measurements
of the same person and with the same instrument. The equivalence aspect considers how much
error may get introduced by different investigators or different samples of the items being
studied. A good way to test for the equivalence of measurement by two investigators is to
compare their observations of the same events.

Reliability can improved in the following two ways:

By standardizing the conditions under which the measurement takes place i.e., we must ensure
that external sources of variation such as boredom, fatigue etc., are minimized to the extent
possible. That will improve stability aspect.

By carefully designed directions for measurement with no variation from group to group, or by
using trained and motivated persons to conduct the research and also by broadening the sample
of items used. This will improve equivalence aspect.

1.6.3 Test of practicality

The practicality characteristic of a measuring instrument can be judged in terms of economy,
convenience and interpretability. From the operational point of view the measuring instrument
68
ought to be practical i.e. it should be economical, convenient and interpretable. Economy
consideration suggests that some trade-off is needed between the ideal research project and that
which the budget can afford. The length of measuring instrument is an important area where
economic pressures are quickly felt. Similarly, data-collection methods to be used are also
dependant at times upon economic factors. Convenience test suggests that the measuring
instrument should be easy to administer. For this purpose one should give due attention to the
proper layout of the measuring instrument. For instance, a questionnaire with clear instructions
(illustrated by examples), is certainly more effective and easier to complete than one which
lacks these features.

Interpretability consideration is especially important when persons other than the designers of
the test are to interpret the results. The measuring instrument, in order to be interpretable, must
be supplemented by (a) detailed instructions for administering the test; (b) scoring keys; (c)
Evidence about reliability and (d) guides for using the test and for interpreting results.

SUMMARY
This unit deals with scales used to measure attitude. Measurement can be made using nominal,
ordinal, interval or ratio scale. These scales show the extent of likes / dislikes, agreement /
disagreement or belief towards an object. Each of the scale has certain statistical implications.
There are four types of scales used in market research namely paired comparison, Likert,
semantic differential and thurstone scale. Likert is a five point scale whereas semantic
differential scale is a seven point scale. Bipolar adjectives are used in semantic differential
scale. Thurstone scale is used to assess attitude of the respondents group regarding any issue of
public interest MDS uses perceptional map to evaluate customers attitudes. The attribute or
non attribute method could be used.

Last part of the chapter deals with criteria that is used to decide whether the scale chosen is
good or not. Validity and reliability of the scale is verified before the scale is used for
measurement. If repeated measurement gives the same result, then the scale said to be reliable.
Validity refers to "Does the scale measure what it intends to measure". There are 3 methods to
check the validity which type of validity is required depends on "What is being measured".

ACTIVITY
A manufacturer of packed bakery items wants to evaluate customer attitudes toward his
product brand. 300 customers who buy this brand filled the questionnaire that was sent to
them. The answers of this questionnaire were converted to scale and the results are as follows:
(a) The average score from the above sample on a 10-item Likert Scale was 65
(b) Average score for a sample on 10-item Semantic Differential Scale was 60.

69
You are required to indicate whether these customers had a favourable or unfavourable attitude
towards the products.

REVIEW QUESTIONS
1. What are the 4 types of scales used to measure attitude?
2. What is a paired comparison scale?
3. What are the statistical implication of various scales?
4. What is forced and unforced scale?
5. What is attribute and non-attribute method in scaling?
6. What are the different types, sources and characteristics of hypothesis?

REFERENCES
Cooper, R. D. & Emory, C. W. (1995). Business research methods (5th ed.). USA: McGraw
Hill.
DR. Vatsyayan (1989); Methods & techniques of Social Survey and Research (in questions
& answers), Kedar Nath Ram Nath, New Delhi.
Gibaldi, Joseph (1995). MLA handbook for writers of research papers (4th ed.). USA: The
Modern Language Association of America.
Green, E. P., Tull, D. S. & Albaum, G. (1998). Research for marketing decisions. New
Delhi: Prentice Hall of India.
Kothari, C. R. (1990). Research methodology, methods & techniques. New Delhi: Wishwa
Prakashan, Wiley Eastern Limited.
Kumar, R. (2005). Research methodology, a step-by-step guide for beginners (2nd ed.).
London: Sage Publications
Locke, F. L., Spirduso, W., & Stephen, S. (1993). Proposal that work- a guide for planning
dissertation and grant. California: Sage Publications, Inc. Newbury Park.
Yin, K. R. (1994). Case study research, designs and methods (2nd ed.). USA: Sage
Production Editor.
Zikmund, G. W. (1998). Business research methods (5th ed.). USA: The Dryden Press,
Oklahoma State University.

70
 UNIT SIX

SAMPLING DESIGN

UNIT OBJECTIVES

At the end of this unit, you should be able to:

1. Understand basic terms used in the chapter
2. Determine the situations under which whether the use of census or sample
investigation is appropriate.
3. List the merits and demerits of census and sample investigation
4. Differentiate between the various probability and non-probability sampling
procedures.
5. List the merits and demerits of the various sampling techniques.
6. Apply the appropriate sampling technique to a given research problem. Understand
the characteristics and criteria of good sample designs.
7. Determine sizes of different populations with different characteristics.
8. Explain sources and remedies of sampling errors.

UNIT INTRODUCTION
Statistics deal with large numbers. It does not study a single figure. All the items under
consideration in any field of inquiry constitute a universe or population. A complete
enumeration of all the items in the "population" is known as a census method of collecting
data. In practice, sometimes it is not possible to examine every item in the population. Also a
complete enumeration or estimation of all the items in the "population" may not be necessary.
Sometimes it is possible to obtain sufficiently accurate results by studying only a part of the
total population. For example, if the marks obtained in Statistics by 10 students in an
examination are selected at random, say out of 100, then the average marks obtained by 10
students will be reasonably representative of the average marks obtained by all the 100
students. In such a case, the population will be the marks of the entire group of 100 students
and that of 10 units will be a sample.

Whether it is possible and feasible to resort to such a procedure will depend on the nature of
the inquiry. In the case of the national census, every household is to be enumerated. But in
many research undertakings, a few items are selected from the population in such a way that
they are representative of the universe. Such a section of the population is called a sample and
the process of selection is called sampling. But the size of the sample should be sufficient so
as to be representative of the universe.

71
SECTION OBJECTIVE
Up on completing this section, you will be able to:
 Define Sampling
 Identify types of Sampling
 Describe the importance of Sampling
 Describe sampling errors

SECTION OVERVIEW
1.1. Census and Sample investigation
1.2. Types of Sampling Techniques
1.3. How a Sample should be selected
1.4. Sampling Errors

1.1 CENSUS AND SAMPLE INVESTIGATION

Census method or complete enumeration

Census method deals with the investigation of the entire population. Under this method the
data are collected for each and every unit of the universe. This method provides more accurate
and exact information as no unit is left out.

Unsuitability of the Census Method

The complete enumeration of the whole population requires a lot of time, money manpower
and administrative personnel. Hence, this method can be adopted only by the Government and
big organizations that have large resources at their disposal. Besides it, exhaustive and
intensive study is also not possible under this method as large number of units of the universe
are to be studied, sometimes the universe is too vast and geographically scattered so that every
unit of the universe cannot be contacted and the only method that can be used is the sampling
method.

On the other hand, the sampling method has certain advantages over census method. Sampling
method makes exhaustive and intensive study possible with much less time, money and
material. Sometimes the results drawn from the sampling method are more reliable and
accurate than the results drawn from the census method. Because of these factors census
method is not very popular in social surveys.

Sampling Method
Sampling is simply the process of learning about population on the basis of a sample drawn
from it. Under this method a small group (sample) of the universe is taken as the representative
of the population. A sample is the reflection of the universe and bears all the characteristics of
the universe.
72
Objective of Sampling
The primary objective of the sample survey is to obtain accurate and reliable information
about the universe with minimum of cost, time and energy and to set out the limits of accuracy
of such estimates. The census type of enquiry requires a great deal of time, money and energy.
In a census enquiry, information is made available for each individual item of the universe.
This is neither possible nor required in a sample enquiry. Thus, some information is to be
sacrificed in sampling method of enquiry. But when the universe is a small one, it is no use
resorting to a sample method. For example, if the expenditure habits of 100 students living in a
college dormitory are to be studied, then perhaps census method may be resorted to. But if
500 students living in a university dormitory are to be studied, then perhaps the sample method
may be more convenient and inexpensive; sample method is less costly because it involves a
fraction of the total population. But a sample should not contain almost all the items, because
then the very purpose of sample is defeated. Also the sample should not contain too few items
to be representative of the whole population. A balance is to be struck between the two to
arrive at the size of the sample.

Advantages of Census Method

The following are some of the advantages of making use of census method:
 When all the members are covered by the enquiry no element of chance is left and
highest accuracy is obtained.
 This method is free from sampling errors. The possibility of personal bias affecting
selection of units is not there.
 When the universe is a small one, one cannot resort to sampling method.
 Completeness and accuracy can be ensured only by the census method.

Advantages of Sampling
The following are some of the advantages of making use of sampling technique:
 With the help of sampling, the volume of data being small, which can be collected and
analyzed quickly, one can arrive at certain decisions for problems which are required to
be solved urgently.
 Sometimes census method is impossible to be employed. For example, in the case of
manufacture of electric bulbs, only a sample can be tested to find out the life span of
the whole lot for obvious reasons.
 In some types of enquiries, highly trained personnel or specialized equipment is
required for collection of data: complete census in such case may not be practicable.
 In the case of sampling, we are in a position to get much more accurate information
than is possible by complete enumeration for the following reasons:
i. Detailed information can be obtained from a small group of respondents.
ii. Qualified persons for the investigation can be appointed and intensive training

73
 given.
iii. It is much more economical method of inquiry than the census method.
iv. In respect of a too large a universe like the contents of a mine, sampling is the
only way to form an estimate of the characteristics of the population.
v. No doubt some sampling errors might occur, but margin of error can be known as
the results arrived at on the basis of a sample are based on the laws of probability.

Demerit of Census Method

Following are some of the demerits of census method:
 The census method requires a large army of enumerators who will be having
different standards of skill, willingness and efficiency and, therefore, difficulties of
coordination will have to be faced.
 As it involves a great deal of time, money and energy, small organizations,
individuals etc. cannot afford to resort to this method. It is practically beyond the
reach of ordinary researchers.
 The census method is useless in case results are urgently required since by the time
these are made available the entire phase of the problem under study may undergo
a complete change.
 As the volume of data involved is large, possibilities of statistical errors creeping in
are also very great.
 There is no way of checking the element of bias or its extent except through a
resurvey or use of sample checks.

Demerits of the Sampling Method

 The results obtained may be false, inaccurate and misleading as the sample might not
have been drawn properly.
 Chances of sampling errors are great. The investigator may have personal bias
especially with regard to choice of technique and drawing sampling units.
 The size of the sample may not be sufficient so as to be representative of the universe.
 When the universe is a small one, it is no use resorting to sampling.
 In the absence of qualified and experienced persons, the information obtained from
sample surveys cannot be relied upon.

Purpose of Sampling
The primary purpose of sampling, as against census enquiry, is to obtain maximum
information about the characteristics of the population with minimum of cost, time and effort
and also to set out the limits of accuracy of such estimates.

Assumptions of Sampling
Selection of a sample as representative of the whole universe is based upon following

74
assumptions:
Homogeneity Amidst Complexity
Social phenomena are very complex in nature and every unit appears to be different from
another. But at the same time they also possess similarities in many respects. It is, therefore,
assumed that there is the possibility of such representative types in the whole population that
makes sampling possible.
Possibility of Representative Selection
Sampling has its origin in the mathematical theory of probability and law of statistical
regularity. The law of statistical regularity lays down that a group of objects chosen at random
from a large group tend to possess the characteristics of that large group (universe). It is,
therefore, assumed that there is a possibility of selection of representative sample.
Absolute Accuracy not Essential
The absolute accuracy is not essential in the case of large scale observation and the results of
sample studies although not hundred per cent accurate are nevertheless sufficiently accurate to
draw valid generalizations with a given standard of accuracy. Thus, it is not the absolute
accuracy but relative or significant accuracy that is needed in case of large scale observations.
In fact in any statistical enquiry perfect accuracy in final results is practically impossible to
achieve because of the errors in measurement, collection of data, its analysis and interpretation
of the results.

Dear students! Have you ever been experiencing the type of sampling that are used for
research? If so, please try to list down some of the sampling techniques on the space provided
before you are going to see the discussion below:

1.2. TYPES OF SAMPLING TECHNIQUES

Different types of sampling techniques are used for drawing a sample plan. The various
methods of sampling may broadly be classified into two categories:
 Probability sampling
 Non-probability sampling

Probability Sampling
Probability sampling provides a scientific technique of drawing samples from population
according to some laws of chance in which each unit has some definite pre-assigned
probability of being chosen in the sample. Random sampling, systematic sampling, stratified
sampling, cluster sampling, multi-stage sampling and area sampling are considered as
probability sampling.

Non-probability Sampling
Non-probability sampling or judgment sampling is based on the personal judgment. Under this
method a desired number of sample units are selected deliberately or purposely depending

75
upon the object of the enquiry so that only the important items representing the true
characteristics of the population are included in the sample. Purposive sampling, quota
sampling and convenience sampling are considered as non-probability sampling.

a) Random Sampling
A random sample is one where each item in the universe has an equal or known opportunity of
being selected. Random sampling is more suitable in more homogeneous and comparatively
larger groups.

Selection of a Random Sample

Four methods are generally used for drawing out a sample on random basis. They are:
i. Lottery Method: Under this method the various units of the universe are numbered on
small and identical slips of paper which are folded and mixed together in a drum
thoroughly. A blindfold selection is then made of the number of slips required to
constitute the desired size of sample.
ii. Use of Tables of Random Numbers: The most practical and economical method of
selecting a random sample consists in the use of random numbers which have been so
constructed that each of the digits 0, 1, 2 ..
…9 appears with approximately the same frequency and independently of each other.
These numbers are very widely used in all the sampling techniques and have proved to
be quite reliable as regards accuracy and representative ness.
iii. Selecting from Sequential List: Under this plan the names are first arranged serially
according to alphabetical, geographical or simply in serial order. Then out of the list
every 10th or any other number of case may be taken up.
iv. Grid System: This technique is used for selecting a sample of area. According to this
method a map of entire area is prepared. Then a screen with squares is placed upon the
map and the areas falling within the selected squares are taken as samples.

Precautions in Drawing a Random Sample

Following precautions may be observed in drawing a random sample:
Population to be sampled and the units must be clearly defined.
Different units should be approximately of equal size.
The units must be independent of each other.
Every unit should be accessible.
Units once selected should not be ignored or replaced by any other unit of the universe.
Merits of Random Sample Method
This method has several advantages which may be summarized as below:
 It is a more scientific method of taking out samples from the universe since it
eliminates personal bias.
 No advance knowledge of the characteristics of the population is necessary under this

76
 method.
 Assessment of the accuracy of the results is possible by sample error estimation.
 The sample drawn under this method is true representative of the universe.
 It is very simple and easily practicable procedure of selecting samples.
 This method provides us most reliable and maximum information at the least cost
which saves time, money and labor.

Demerits of Random Sample Method

Random sampling method has certain practical difficulties and inherent limitations which are
as follows:
 The sampling method requires complete list of the universe. But such up to data list is
not available in many enquiries which restrict the use of this method.
 In a field survey if the area of coverage is fairly large then the units selected under this
method are expected to be scattered widely geographically and thus it may be quite a
time-consuming and costly affair to collect the requisite information.
 For a given degree of accuracy this method usually requires larger sample as compared
to stratified sampling.

b) Stratified Random Sampling

When the population is heterogeneous with respect to the variable or characteristics under
study then the technique of stratified sampling is used to obtain more efficient and accurate
results. Stratification means division of the universe into groups according to geographical,
sociological or economic characteristics.

Process of Stratifying
Stratified random sampling involves the following steps:
 The universe is first divided into sub-groups and the required units are selected at
random from each sub-group.
 The stratification should be conducted in such a way that the items in one stratum
should be similar to each other but they should differ significantly from units of the
other strata.
 Each and every unit in the population must belong to one and only one stratum. In
other words various strata must be non- overlapping.
 The size of each stratum in the universe must be large enough to provide selection of
items on random basis.
 Size of the sample from each stratum can either be proportional or disproportional to
the size of each stratum.

Merits of Stratified Random Sampling

This method has several advantages which may be summarized as below:

77
  If a correct stratification has been made even a small number of units will form a
representative sample.
 Under stratified random sampling no significant group is left unrepresented.
 Stratified random sampling is more precise and to a great extent avoids bias. It also
saves time and cost of data collection, since the sample size can be less in this method.
 It is the only sampling plan which enables us to achieve different degrees of accuracy
for different segments of the population.
 Replacement of case is easy in this method if the original case
is not accessible to study. If a person refuses to cooperate with the investigator, he may
also be replaced by another person from the same sub-group.

Demerits of Stratified Random Sampling

This method has some demerits which are listed below:
 It is a very difficult task to divide the heterogeneous universe into homogeneous strata.
 If the strata are over-lapping the selection of samples may not be representative.
 If stratification is faulty, the results obtained may be biased. Such errors cannot be
compensated even by taking large samples.

c) Systematic Sampling
Under this method a sample is taken from a list prepared on a systematic arrangement either on
the basis of alphabetic order or on house number or any other method. In this method only the
first sample unit is selected at random and the remaining units are automatically selected in a
definite sequence at equal spacing from one another.

Steps Involved in Systematic Sampling

First of all the population is arranged in serial numbers from 1 to N, and the size of sample is
determined.
The sampling interval is determined by dividing the population by the size of the sample; i.e.,
N/n=K
Where, K=sample interval
n=Sample size
N=Size of population
Any number is selected at random from the first sampling interval. The subsequent samples
are selected at equal or regular intervals.
Merits of Systematic Sampling
 Systematic sampling is very easy to operate and checking can also be done quickly.
 Randomness and probability features are present in this method which makes sample
representative.
Demerits of Systematic Sampling
 Systematic sampling works well only if the complete and up-to-date frame is available

78
 and if the units are randomly arranged.
 Any hidden periodic change in the list will adversely affect the representative ness of
the sample.

d) Cluster Sampling
Under this method the total population is divided into some recognizable sub-divisions which
are termed as clusters and a simple random sample of these clusters is drawn and then the
survey of each and every unit in the selected cluster is made.

Principles of Cluster Sampling

The principles that are basic to the cluster sampling method are:
 Cluster should be as small as possible with the cost and limitations of the survey.
 The number of sampling units in each cluster should be approximately same.
Merits of Cluster Sampling
 This method provides significant cost reduction.
 It is easier and more practical method which facilitates the field work.
Demerits of Cluster Sampling
 Probability and the representativeness of the sample is sometimes affected if the
clusters are many.
 The results obtained under this method are likely to be less accurate if the number of
sampling units in each cluster is not approximately the same.

e) Multi-Stage Sampling
The method is generally used in selecting a sample from a very large area. As the name
suggests multi-stage sampling refers to a sampling technique which is carried out in various
stages. Here the population is regarded as made of a number of primary units, each of which is
further composed of a number of secondary stage units which is further composed of third
stage units and so on till we ultimately reach the desired sampling unit in which we are
interested.
Example:
A researcher wants to study the opinion of Commercial Bank of Ethiopia’s clerical employees
towards a recently introduced method of “handling different types of customer services by a
single clerk”. He wants to select a sample from all branches of the bank. A random sample
would be impractical; so:
Stage one – Population: all regional states in Ethiopia; Sample: Select randomly four
zones from all regional states.
Stage two – population: all zones in the randomly selected four regional states;
Sample: Select randomly four zones from each state selected at stage one.
Stage three – population: all District offices of the bank from the randomly selected
four zones; sample: select randomly four branches of the bank from each zone

79
 selected at stage two.
Stage four - population: all clerical employees working at the four branches of the
bank selected at stage three; sample: select randomly one or two branches selected at
this fourth and final stage.

Good sample designs

At each stage there is a random selection and the size of sample may be proportional or
disproportional depending on the size and characters of variations are event to the purpose of
inquiry. Thus the area of investigation is scientifically restricted to a small number of final
units which are representative of the whole.
Merits of Multi-Stage Sampling
 Multi-stage sampling is more flexible in comparison to the other methods of sampling.
It is simple to carry out and results in administrative convenience by allowing the field
work to be concentrated and yet covering a large area.
 This technique is of great significance in surveys of underdeveloped areas where no
up-to-date and accurate frame is generally available for sub-division of the material
into reasonably small sampling units.
 It is reliable and satisfactory technique.
 Under this method surveys can be conducted with considerable speed.
Demerits of Multi-Stage Sampling
 Errors are likely to be large in this method in comparison to any other method.
 A multi-stage is usually less efficient than a suitable single stage sampling.
 It involves considerable amount of listing of first stage units, second stage units etc.,
though complete listing of units is not necessary.

f) Purposive Sampling
Purposive sampling is also called "deliberate sampling" or "judgment sampling". When the
researcher deliberately selects (by way of personal judgment of the researcher) certain units
for study from the universe, it is known as purposive sampling. Thus under this method there
is a deliberate selection of certain units on the judgment of the researcher and nothing is left
to the chance. But it must be kept in mind that the units selected must be representative of the
universe.

Merits
 It is more economical and less time-consuming.
 This method ensures proper representation of a cross-section of various strata of the
universe if the researcher has full knowledge of the composition of the universe.
 This method is very useful specially when some of the units are very important and
their inclusion in the study is necessary.
 It is a practical method where randomization is not possible.

80
Demerits
 Under this method considerable prior knowledge of the universe is necessary which in
most cases is not possible.
 Under this method the calculation of sample errors is not possible. Therefore, the
hypothesis framed cannot be tested.

g) Quota Sampling
Quota sampling is a special type of stratified sampling. First of all in this method, the
population is stratified on some basis, preferably on the basis of the characteristics of the
population under study. After this, the number of sample units to be selected from each
stratum is decided by the researcher in advance. This number is known as quota which may be
fixed according to some specific characteristics such as income groups, sex, occupation,
political or religious affiliations etc. The choice of the particular units for investigation is Left
to the investigators themselves. Investigators try to complete the quota assigned to them from
each stratum. The investigators usually apply their judgments in the choice of the sample and
try to get required information quickly. In case of non-response due to uncooperative nature of
the respondents, the investigator can substitute some fresh units himself to complete his quota.

Merits of the Quota Sampling Method

 Quota sampling is a stratified-cum-purposive sampling and thus enjoys the benefits of
both above named methods. It makes the best use of stratification economically. Thus,
it is a practical as well as convenient method.
 If proper controls or checks are imposed on the investigator, quota sampling is likely to
give accurate result.
 It is a useful method when no sample frame is available.
Demerits of Quota Sampling
 This method suffers from the limitations of both stratified and purposive sampling.
 Control over field work is a very difficult task. Hence, the results may be biased
because of the personal beliefs and prejudices of the investigator in the selection of the
units under study.
 Since quota sampling is not based on random sampling, the sampling error cannot be
estimated.
 Since the samples are not randomly selected, the sample selected under this technique
may not be true representative of the universe.
 The bias may also occur due to substitution of unlike sample units.

h) Convenience Sampling
It is known as unsystematic, careless, accidental or opportunistic sampling. Under this method
a sample is selected according to the convenience of the investigator. This convenience may
be in respect of availability of data, accessibility of the units etc. This method may be used in

81
the following cases:
.
When the universe is not clearly defined;
When sampling unit is not clear; or
When a complete source list is not available.
Thus the names may be selected from a Telephone Directory, Automobile Registration
Records, Industrial or Stock Exchange Directories and contracting anyone who may by chance
be easily available etc.

5.3. How a Sample should be selected

The sample design is the blueprint for the method of selection of the sample, still there are
certain fundamental factors which are to be considered. These are:
 Type of universe: What is the nature of the universe from which the sample will be
taken?
Sampling Unit: The sampling unit is the individual population object or element or a group of
population objects or elements which are used as the basis of selection of a sample. The
investigator has to decide about the sampling unit, what has to be selected for inclusion in the
sample, whether a house or a family or an individual or what?
Sampling units are of four types:
 Individuals.
 Geographical units like district, city, ward, area, etc.
 Construction units like. house, flat, etc.
 Social groups like family, college, etc.

 Source List: It is also called sampling frame, which enumerates the items of a
universe. Items of sample are selected from this list. If it is not already prepared, the
investigator has to prepare it. The source list should have the following qualities:
a) It should be exhaustive so as to include all items of the universe.
b) It should be accurate and duly verified.
c) It should contain all relevant informations about the items, so that if strata are to be
made, it should be possible to do so.
d) No item should be repeated.
e) The source list should be in terms of those units in which investigation is to be
conducted. For example, for a study of families, this should be in terms of families, not
in houses or persons.
f) It should be reliable.
g) It should be available to the investigator. Some source lists are not available to private
investigators, just as 'list of bad characters' prepared by police or 'list of depositors'
prepared by a bank.
 Sample Size: It means the number of sampling units selected from the population for

82
 investigation. The size of sample is directly related to standard of accuracy, time, cost
and administration of the investigation. The larger the size of the sample, greater will
be the representativeness of the items of the universe, but it brings difficulties of
managing it. In large-sized samples intensive study of the units becomes difficult. If the
size of the sample it kept small, it will not represent the universe and the degree of
accuracy in the results will be limited. Hence, the size of a sample should not be too
big or too small. It should be 'optimum'.

An optimum sample survey is one which fulfils the requirements of efficiency,

representativeness, reliability and flexibility." The size of the sample should ensure
minimum of cost and minimum of standard error. A small sample will have a large standard
error compared with a large sample of the same characteristics, while the cost will be less in
the first as compared to the latter. It should also be borne in mind that Mere size, of course,
does not ensure representativeness in a sample. A small random or stratified sample is apt to
be much superior to a large but badly selected sample. Therefore, the method of selection is
of special importance.

The size of the sample which is required in order to make a valid inference about a population
is dependent upon several factors such as:
a) Homogeneity or heterogeneity of the universe. In a universe consisting of
homogeneous units a small sample is suitable, while in a universe consisting of
heterogeneous units, a large-sized sample is inevitable, for yielding good results.
b) Number of classes proposed. If it is necessary to classify data in a large number of
classes, a large-sized sample should be taken to facilitate analysis of the data. If the
size of the sample is small and classes are many, then there will be some classes which
may not get due representation in the sample. If the proposed number of classes is
more, the size of the sample should be big.

c) Nature of study: Nature of study also affects the size of a sample.

d) For an intensive and continuous study small sample will be suitable, because such
study in a large-sized sample will require more resources. For general survey the size
of the sample should be large, but for technical studies the size of the sample may be
kept small.
e) Practical considerations: The availability of finance, time and trained personnel are
other practical considerations which affect the size of the sample.
f) Standard of accuracy: Though it is believed that larger is the size of the sample, great
will be the degree of accuracy, yet this is not always true. If a sample is selected by
experts through scientific method, a small sample can produce more accurate results.
g) Type of sampling: In random sampling, greater accuracy in result will be achieved
only in a large sample. In a properly drawn stratified sampling, a small sample can

83
 give better results.
h) Nature of units: Where it is expected that a large number of units will not respond,
then a large sample should be taken.
i) Size of questionnaire: If the size of the questionnaire is large and it contains difficult
questions, the size of the sample should be kept small.

Mathematical Formula for Determining the Size of Sample

In the formula used for determining sample size, a prior estimate of the standard deviation of
the population and level of confidence is necessary. The confidence level is taken 95% or
99%.

Minimum Sample Size

The following formula can be used to determine the minimum size of the sample:

= (1.96)( ) or (1.96) ( )

Precision n= Precision
In this formula,
n=sample size,
1.96=95%
confidence level,
∂ = population standard deviation.
1.4. SAMPLING ERRORS
In the study of sample surveys, it is necessary to keep in mind sampling and non-sampling
errors. Since a sample survey implies the study of small proportion of the total universe and
drawing inference about the population, there would naturally be a certain amount of
inaccuracy or errors. Such errors are known as sampling errors. If a census is taken, sampling
errors could be expected to disappear. Thus the difference between a sample result and the
result of a complete census taken under the same circumstances is called sampling error. This
difference is also referred to by the term precision of sample results.

The difference between the sample results and the true state of the universe is called the
accuracy of the sample result. This difference may include other types of error besides
sampling error. These other types of errors are known as non-sampling errors and include bias
and mistakes at the stages of ascertainment and processing of data, i.e., clerical errors,
computational errors, or an incorrect answer to an unclear question. Naturally, this type of
error can occur in any survey, whether it be a complete enumeration or sampling.

A statistician can measure the precision of the survey results, provided proper methods of
random selection are used. In practice, it is the accuracy of the survey results with which the
businessman is most concerned. The sampling errors can be estimated mathematically. The

84
non-sampling errors, since they arise from the human factor and at the stage of the
conversation between the investigator and the informant, are not amenable to measurement,
and hence every care should be taken to avoid them.

Sampling Errors
The errors which arise due to the use of sampling surveys are known as the sampling errors.
Thus, if two or more samples are taken and further if the required information is collected
without any mistakes whatsoever, even then the results obtained from the samples would
usually differ to some extent, as compared to that obtained from a complete enumeration.

These differences constitute the errors due to sampling. In other words, even when a sample is
random one, it may not be exactly representative of the population from which it is chosen.
Samples may be taken from the same population four times. All samples may not be alike.
This also gives rise to sampling errors. Thus they are due to the fact that samples are used and
to the particular method used in selecting the items from the population.

Types of Sampling Errors

They are of the following two types: Biased and Unbiased.
(i) Biased errors: Biased errors are those which arise as a result of any bias or prejudice of the
person in selecting a particular sampling method. For example, purposive sampling
method may be adopted in place of a simple random sampling method. As a result of such
a selection, some errors are bound to arise, and they are known as biased errors. Such
errors are also known as cumulative errors or non-compensating errors as bias or prejudice
forms a constant component of error that does not decrease in a large population as the
number in the sample increases. They are very potent in vitiating the results of the enquiry
and should therefore be guarded against. Also errors due to bias increase with an increase
in the size of the sample.
(ii) Unbiased errors They are such errors which are either accidental or arise in the natural
course of evens and are without any bias or prejudice. In other words, such errors occur not
because of any bias on the part of the investigator or informant but because of chance
difference between the members of population included in the sample and those not
included. It is known as random sampling error. This type of error occurs, then, because only
a partial observation of the universe is made. If a census is taken, such error could be
expected to disappear.
Causes of Bias
Bias may arise due to the following factors:
(i) Faulty process of selection.
(ii) Certain inaccuracies and mistakes may creep in during the process of collecting
information.
(iii) Faulty method of analysis.

85
  Faulty Selection: Faulty selection of the sample may give rise to bias in a number of
ways, such as:
Purposive sampling: With the subjective selection, bias is inevitable. The investigator's
desire or motive to obtain a certain result from the sample survey may influence his
selection of the sample, consciously or unconsciously.
If the selection of the sample is haphazard: the chances of bias errors are great.
Substitution: i.e., substitution of the selected item in the sample by another. Due to
non-availability of the person chosen in the sample, another may be interviewed, who
may not have the same characteristics as the original one. This will introduce
substitution bias in the sample and vitiate the result of the enquiry.
Incomplete investigation or non-response: i.e., failure to cover the whole of the
sample. This frequently happens in the case of a sample chosen and being collected
through a questionnaire from those who have been included in the sample. If the
selected person is not visited a second time, or if necessary, a third time, to elicit
information, bias may arise. As the response is never cent-per-cent errors may arise due
to bias.
An appeal to vanity: An appeal to the vanity of the person interviewed may give rise to
yet another kind of bias. For example, the question, 'have you read that book?' is such
that most of the students would succumb to vanity and answer 'yes'.
 Bias due to faulty collection of data: During the process of collecting the actual
information in a survey (whether sample or census), certain inaccuracies and mistakes may
creep in. These may arise due to the following reasons:
Negligence or prejudice of the person collecting information either in asking the
questions or in recording the answers.
Negligence or prejudice or lack of knowledge or forgetfulness on the part of the person
furnishing information.
Poorly designed questionnaire.
Unorganized collection procedure, faulty editing or coding of responses.
The danger of such errors is, however, likely to be greater in sampling work, since the units
measured are often smaller.

 Bias in analysis: Faulty methods of analysis of data may also introduce bias.

SUMMARY
Statistics deal with large numbers. It does not study a single figure. All the items under
consideration in any field of inquiry constitute a universe or population. A complete
enumeration of all the items in the "population" is known as a census method of collecting
data. Under this method the data are collected for each and every unit of the universe. This
method provides more accurate and exact information as no unit is left out. On the other hand,
the sampling method has certain advantages over census method. Sampling method makes

86
exhaustive and intensive study possible with much less time, money and material. Sampling is
simply the process of learning about population on the basis of a sample drawn from it.

Different types of sampling techniques are used for drawing a sample plan. The various
methods of sampling may broadly be classified into two categories: probability sampling and
non-probability sampling. Probability sampling provides a scientific technique of drawing
samples from population according to some laws of chance in which each unit has some
definite pre-assigned probability of being chosen in the sample. Random sampling, systematic
sampling, stratified sampling, cluster sampling, multi-stage sampling and area sampling are
considered as probability sampling. Non-probability sampling is based on the personal
judgment. Purposive sampling, quota sampling and convenience sampling are considered as
non-probability sampling.

A random sample is one where each item in the universe has an equal or known opportunity of
being selected. Random sampling is more suitable in more homogeneous and comparatively
larger groups. When the population is heterogeneous with respect to the variable or
characteristics under study then the technique of stratified sampling is used to obtain more
efficient and accurate results. Under Systematic Sampling method a sample is taken from a list
prepared on a systematic arrangement either on the basis of alphabetic order or on house
number or any other method. In this method only the first sample unit is selected at random
and the remaining units are automatically selected in a definite sequence at equal spacing from
one another. Under Cluster Sampling method the total population is divided into some
recognizable sub-divisions which are termed as clusters and a simple random sample of these
clusters is drawn Multi-Stage Sampling is generally used in selecting a sample from a very
large area. As the name suggests multi-stage sampling refers to a sampling technique which is
carried out in various stages

Purposive sampling is also called "deliberate sampling" or "judgment sampling". When the
researcher deliberately selects (by way of personal judgment of the researcher) certain units for
study from the universe, it is known as purposive sampling. Quota sampling is a special type
of stratified sampling. First of all in this method, the population is stratified on some basis,
preferably on the basis of the characteristics of the population under study. Convenience
Sampling is known as unsystematic, careless, accidental or opportunistic sampling. Under this
method a sample is selected according to the convenience of the investigator. This
convenience may be in respect of availability of data, accessibility of the units etc.

The sample design is the blueprint for the method of selection of the sample; still there are
certain fundamental factors which are to be considered. These are: type of universe which
defines the nature of the universe from which the sample will be taken; sampling Unit which is
the individual population object or element or a group of population objects or elements which

87
are used as the basis of selection of a sample such as a house or a family or an individual;
source List also called sampling frame, which enumerates the items of a universe; sample Size
which means the number of sampling units selected from the population for investigation.

Since a sample survey implies the study of small proportion of the total universe and drawing
inference about the population, there would naturally be a certain amount of inaccuracy or
errors. Such errors are known as sampling errors. If a census is taken, sampling errors could be
expected to disappear.

Discussion Questions
1. What is the difference between census and sample investigation?
2. What is the need of using a sample?
3. What is the difference between population and sample?
4. Why probability sampling is generally preferred in comparison to non-probability
sampling? Explain the procedure of selecting a random sample.
5. Under what circumstances stratified random sampling design is considered appropriate?
How would you select such sample? Explain by means of an example.
6. Distinguish between:
a) Convenience and purposive sampling;
b) Systematic and stratified
sampling;
c) Cluster and area sampling.
7. Under what circumstances would you recommend?
a) A probability sample?
b) A non-probability sample
c) A stratified sample?
d) A cluster sample?
8. Explain and illustrate the procedure of selecting a random sample.
9. What do you mean by 'Sample Design'? What points should be taken into consideration by
a researcher in developing a sample design?
10. What are the characteristics of a good sampling design?
11. What factors determine the size of a sample to be chosen from a population?
12. Explain the relationship between the size of a sample and representativeness?
13. What are the possible sources of sampling error? How can we minimize sampling biases?
What are the effects of sampling bias on the results of the research?

REFERENCES
Kothari, C.R (2/e), Research Methodology: Methods and Techniques, New Age International
Publishers: Banglore, 2005.

88
Ranjit Kumar (2/e), Research Methodology: A Step-By-Step Guide for Beginners, SAGE
Publications: London, 2005.
Santosh Gupta, Research Methodology and Statistical Techniques, Deep & Deep
Publications: New Delhi, 2007.
S. N. Murthy and U. Bhojanna (2007). Business Research Methods. Excel Books.
Cochran, William G. Sampling Techniques, New York: John Wiley & Sons.
Deming, W.E., Sample Design in Business Research, New York: John Wiley & Sons.
Kaltan, Graham, Introduction to Survey Sampling, Beverly Hills, Calif: Sage.
Kish, Leslie, Survey Sampling, New York: John Wiley & Son.
Raj, Des, The Design of Sample Surveys, New York: McGraw-Hill.
Yates, Frank, Sampling Methods for Censuses and Surveys, New York: Hafner.

89
 UNIT SEVEN

DATA COLLECTION: METHODS AND TECHNIQUES

UNIT OBJECTIVES

By the end of this unit, you should be able to:

1. understand the importance and value of using questioning as a means of collecting
data.
2. know the advantages and disadvantages of questioning as a means of data
collection.
3. understand the range and types of approaches to using questioning.
4. understand the major considerations in planning and designing interviews in an
organization.
5. appreciate the importance and value of questionnaires as a means of data collection.

UNIT INTRODUCTION

Virtually every management research project will involve some type of data collection. Once
the research or consultancy topic has been selected and the terms of reference agreed upon
through the brief, then, the research plan will encompass the approaches to, methods of, and
specific techniques to be utilized for data collection.

The usual problem for the management researcher when it comes to data is not the lack of it, or
at least the potential for it, but rather the potential abundance of it. Quite simply, unless the
researcher is careful s/he is likely to end up overloaded with data that sometimes they have
little idea what to do with. Above all, the researcher should resist the temptation to collect
everything in sight. Data collection must be well planned and managed if the researcher is not
to become hopelessly overwhelmed and the data become a barrier rather than an aid to the
research project. Planning and managing data collection systematically requires an
understanding of the different types of data allied to the different approaches to, methods of,
and specific techniques of data collection. Provided the researcher knows what sort of data is
required, it is then that we can proceed to select between the different approaches, methods and
techniques of data protection, and plan the data collection process accordingly.

SECTION I

AN OVERVIEW OF DATA COLLECTION

90
SECTION OBJECTIVES
At the end of this section, you should be able to:
1. understand the importance of, and steps in, a systematic and planned approach to
data collection.
2. understand the main types of data categories.

SECTION OVERVIEW
1.1 Data, information and decisions
1.2 Types of data

1.1 DATA, INFORMATION AND DECISIONS

Data is the raw material of problem solving and decision-making. Effective data collection is
pivotal in the research process.

Data provides the basis for beginning to address and investigate research and consultancy
problems. Data, however, is different to Information and the difference is important.
Ultimately, the management researcher is interested in information rather than data. However,
information stems from raw data and as such data is essential to the problem-solving process.
The researcher must know not only what data is required, but also the principal methods,
approaches and techniques for collecting data such that the most appropriate data collection
techniques can be used. What then are the principal types of data, how may we classify data
and data collection methods, and what are the principle ways and techniques of collecting data
as part of a consultancy research exercise?

Activity 7.1.
Suppose that your business research project has the objective of investigating a perceived
problem of lack of motivation among the company’s management. Briefly outline four areas or
aspects of the company's operation about which the company might need data in investigating
this problem.

1.2 TYPES OF DATA

Data comes in a wide variety of shapes and forms. When it comes to types of data, we can
distinguish between the following major categories:

1.2.1 Primary versus secondary data

Amongst others, Saunders et al. (2003) suggest that one of the most fundamental distinctions
between types or categories of data is that of primary versus secondary data. Primary data
does not actually exist until and unless it is generated through the research process as part of
the consultancy or dissertation or project. As we shall see, primary data is closely related to,

91
and has implications for, the methods and techniques of data collection. For example, primary
data will often be collected through techniques such as experimentation, interviewing,
observation and surveys.

Secondary data, on the other hand, is information which already exists in some form or other
but which was not primarily collected, at least initially, for the purpose of the consultancy
exercise at hand. In fact, secondary data is often the start point for data collection in as much as
it is the first type of data to be collected. Because of this, and the importance and potential
value of secondary data, we shall consider this type of data and its collection in the chapter that
follows. Although not strictly a research methodology in its own right, secondary data and its
collection, is important enough to warrant a full chapter. We shall see that there are good
reasons for this.

We shall also see that secondary data comprises both internal and external data sources
encompassing internal company information such as databases, reports, and company analyses
and so on, and external data sources such as published reports, government surveys, competitor
information and increasingly, internet and web-based sources of information. 'Raw' secondary
data is distinguished as the case where there has been little, if any, processing and 'compiled'
secondary data which has received some degree of selection or summarizing.

Activity 7.2. Try to think of any reasons why secondary data might be collected and assessed
before collecting any primary data.

1.2.2 Qualitative versus quantitative data

Our second major category of data types relates to the extent to which data is number-based or
otherwise in this respect it is conventional to distinguish between quantitative and qualitative
data. Qualitative data is data in the form of descriptive accounts of observations or data, which
is classified by type. Quantitative data is data, which can be expressed numerically or
classified by some numerical value.

Quantitative data is often thought of as being more objective and scientific than its qualitative
counterpart and is therefore associated with the more traditional scientific approaches to
research as used in the physical sciences. It can often be analyzed using standard statistical
techniques to, for example, test validity. Quantitative data of course implies that what is being
measured or researched can be quantified in the first place. It is therefore only applicable to
phenomena that can be quantified and measured. Qualitative data on the other hand, relates to
data that cannot be subjected to quantitative or numerical analysis. It is therefore associated
with phenomena that cannot be, or is difficult to quantify.

92
We can see that there are as many similarities as there are differences between qualitative and
quantitative research and therefore, what at first sight appears to be dichotomy between them is
less clear-cut than at first sight it appears.

ACTIVITY 7.3
To what extent do you feel the fact that qualitative research is concerned with phenomena or
events that cannot readily be measured, and does this mean that such research is not scientific?

SECTION II

METHODS OF DATA COLLECTION

SECTION OBJECTIVES
After studying this lesson, you will be able to:
3. understand tools of data collection procedure.
4. describe survey research of data collection.
5. describe questionnaire method.
6. interviews of data collection.
4. observation method of data collection.

SECTION OVERVIEW
2.1 Tools for Data Collection
2.2 Survey Research
2.3 The Questionnaire Method
2.4 Interviews
2.5 Observation Method

2.1 TOOLS FOR DATA COLLECTION

Once the researcher has decided the ‘Research Design’, the next job is of data collection. For
data to be useful, our observations need to be organized so that we can get some patterns and
come to logical conclusions. Statistical investigation requires systematic collection of data, so
that all relevant groups are represented in the data. Depending upon the sources utilized,
whether the data has come from actual observations or from records that are kept for normal
purposes, statistical data can be classified into two categories-primary and secondary data.

Observation and Questioning are two broad approaches available for primary data collection.
The major difference between the two approaches is that, in questioning process, respondent
play an active role, because of interaction with the researcher.

93
2.2 SURVEY RESEARCH
Survey research is one of the most important areas of measurement in applied social research.
The broad area of survey research encompasses any measurement procedures that involve
asking questions of respondents. A "survey" can be anything forms a short paper-and-pencil
feedback form to an intensive one-on-one in-depth interview.

We will begin by looking at the different types of surveys that are possible. These are roughly
divided into two broad areas: Questionnaires and Interviews. Next, we will look at how you
select the survey method that is best for your situation. Once you have selected the survey
method, you have to construct the survey itself. Here, we will be address a number of issues
including: the different types of questions; decisions about question content; decisions about
question wording; decisions about response format; and, question placement and sequence in
your instrument. We turn next to some of the special issues involved in administering a
personal interview. Finally, we will consider some of the advantages and disadvantages of
survey methods.

Surveys can be divided into two broad categories: the questionnaire and the interview.
Questionnaires are usually paper-and-pencil instruments that the respondent completes.
Interviews are completed by the interviewer based on the respondent says. Sometimes, it is
hard to tell the difference between a questionnaire and an interview. For instance, some people
think that questionnaires always ask short closed-ended questions while interviews always ask
broad open-ended ones. However, you will see questionnaires with open-ended questions
(although they do tend to be shorter than in interviews) and there will often be a series of
closed-ended questions asked in an interview.

Survey research has changed dramatically in the last ten years. We have automated telephone
surveys that use random dialing methods. There are computerized kiosks in public places that
allow people to ask for input. A completely new variation of group interview has evolved as
focus group methodology. Increasingly, survey research is tightly integrated with the delivery
of service. Your hotel room has a survey on the desk. Your waiter presents a short customer
satisfaction survey with your check. You get a call for an interview several days after your last
call to a computer company for technical assistance. You are asked to complete a short survey
when you visit a web site. Here, we will describe the major types of questionnaires and
interviews, keeping in mind that technology is leading to rapid evolution of methods.

These, then, represent the major approaches or methodologies of data collection that the
researcher may use. We shall see that within major category of research methodology there are
also a variety of research techniques and instruments that again the researcher can choose
from. We cannot, encompass every single possible research instrument and technique but we

94
shall be considering some of the most important and useful ones in the context of consultancy
research.

As a prelude to examining the various research methods of data collection, however, we need
to consider some of the issues related to data and data collection in general.

2.3 THE QUESTIONNAIRE METHOD

2.3.1 Questionnaire, its Importance and Characteristics
A questionnaire is a tool used to collect the data. Questionnaire is important tool of data
collection and used to study
1. Behavior, in the past and present
2. Demographic characteristics such as age, sex, income, occupation
3. Attitudes and opinions
4. Level of knowledge

2.3.2 Characteristics of Questionnaire

1. It must be simple. Respondent should be able to understand the questions
2. It must generate replies, which can be easily recorded by the interviewer
3. It should be specific, so as to allow the interviewer to keep the interview to the point
4. It should be well arranged, to facilitate analysis and interpretation
5. It must keep the respondent interested throughout

2.3.3 Different Types of Questionnaire

1. Structured non-disguised Questionnaire: Here, questions are structured so as to get the
facts. The interviewer will ask the questions strictly as per the pre arranged order. E.g: What
are the strengths of soap A in comparison with soap B?
� Cost is less
� Lasts longer
� Better fragrance
� Produces more lather
� Comes in more convenient sizes

Structured, non-disguised is widely used in market research. Questions are presented with
exactly the same wording and same order to all the respondents. The reason for standardizing
question is, to ensure that all respondents reply the same question. The purpose of the question
is clear. The researcher wants the respondent to choose one of the five options given above.
This type of questionnaire is easy to administer. The respondents have no difficulty in
answering. Because it is structured, the frame of reference is obvious. In a non-disguised type,
the purpose of the questionnaire is known to the respondent.

95
Example: "Subjects attitude towards cyber laws and need for government legislation to
regulate it."
Certainly not needed at present
Certainly not needed
I can't say
Very urgently needed
Not urgently needed

2. Structured disguised Questionnaire: This type of questionnaire is least used in Marketing

research. This type of Questionnaire is used to find, peoples' attitude, when a direct
undisguised question produces a bias. In this type of questionnaire, what comes out is "What
does the respondent know rather than what he feels". Therefore, attempt in this method is to
find the respondent's attitude.

3. Non-Structured and disguised Questionnaire: The main objective is to conceal the topic of
enquiry by using a disguised stimulus. Though the stimulus is standardized by researcher,
respondent is allowed to answer in an unstructured manner. The assumption made here is that
individuals reaction is an indication of respondent's basic perception. Projective techniques are
examples of Non structured disguised technique. The techniques involve the use of a vague
stimulus, that an individual is asked to expand or describe or build a story, three common types
under this category are (a) Word association (b) Sentence completion (c) Story telling.

4. Non structured - Non disguised Questionnaire: Here the purpose of the study is clear, but
the responses to the question is open ended. Example: "How do you feel about the cyber law
currently in practice and its need for further modification"? The initial part of the question is
constant. After presenting the initial question, the interview becomes very unstructured as the
interviewer probes more deeply.

Respondents subsequent answer determines the direction the interviewer takes next. The
question asked by interviewer varies from person to person. This method is called "Depth
interview". The major advantage of this method is freedom permitted to the interviewer. By
not restricting the respondents for a set of replies, the experienced interviewers will be above to
get the information from the respondent fairly and accurately. The main disadvantage of this
method of interviewing is that, it takes time, and respondents may not co-operate. Another
disadvantage is that coding of open ended question may pose a challenge. E.g.: When a
researcher asked the respondent "Tell me something about your experience in this hospital".
The answer may be "Well, the nurses are "slow" to attend and Doctor is "rude".’Slow' and
'rude' are different qualities needing separate coding. This type of interviewing is extremely
helpful in exploratory studies.

96
2.3.4 Questionnaire Designing
The following are the 7 steps:
Questionnaire designing steps

1) Determine what information is needed

2) What type of Questionnaire to be used

3) Decide on the type of Questions

4) Decide on the wording of Questions

5) Deciding on layout

6) Pretest

7) Revise and prepare final Questionnaire

Step 1: Determine what Information is Required

The first question to be asked by market researcher is "What type of information he needs from
the survey?" This is valid because, if he omits some information on relevant and vital aspects,
his research is not likely to be successful. On the other hand, if he collects information which is
not relevant, he is wasting his time and money. At this stage, information required, and the
scope of research should be clear. Therefore the steps to be followed at the planning stage is,
1. Decide the research issue
2. Get additional information on the research issue, from secondary data and exploratory
research. The exploratory research will suggest "what are the relevant variables?"
3. Gather, what has been the experience with similar study
4. The type of information required. There are several types of information such as a)
awareness, b) facts, c) opinions, d) attitudes, e) future plans, f) reasons. Facts are
usually sought out in marketing research.

Example 1: Which television programme did you see last Saturday? This needs memory and
respondent may not remember. This is known as recall loss. Therefore Questioning the distant
past should be avoided. Memory of events depends on 1) Importance of the events (2) Whether
it is necessary for the respondent to remember. In the above case, both the factors are not
fulfilled. Therefore the respondent does not remember. On the contrary birthday or wedding
day of individuals is remembered without effort since the event is important. Therefore
researcher should be careful while asking questions of the past. First, he must make sure that,
the respondent has the answer.

97
Example 2: Do you go to club? He may say 'yes', though it is not true. This may be because the
respondent wants to impress upon the interviewer that he belongs to a well-to do family and
can afford to spend money on club. To get facts, the respondents must be conditioned (by good
support) to part with the correct facts.

Step 2: Mode of Collecting the Data

The Questionnaire can be used to collect information either through personal interview, mail or
telephone. The method chosen depends on the information required and also the type of
respondent. If the information is to be collected from illiterate, questionnaire would be a wrong
choice.

Step 3: Type of Questions

1. Open Ended Questions: These are questions, where respondents are free to answer, in
their own words. Example: "What factor do you consider to buy a suit"? If multiple choices
are given, it could be colour, price, style, brand etc., but some respondents may mention
items which may not occur to the researcher.
Therefore open ended questions are useful in exploratory research, where all possible
alternatives are explored. The greatest disadvantage of open ended questions is that,
researcher has to note down the answer of the respondents verbatim. Therefore, there is a
possibility of researcher failing to record some information. Another problem of open
ended question is that, the respondents may not use the same frame of reference.

Example: "What is the most important attribute in a job?"

Answer: Pay

The respondent meant "Basic pay" but interviewer may think that, the respondent is talking
about "Total pay including dearness allowance and incentive". Since both of them refer to
pay, it is impossible to separate two different frames.

2. Dichotomous Questions: These questions have only two answers, "Yes" or "no", "true" or
false" "use" or "don't use".
Do you use toothpaste? Yes ……….. No …………
There is no third answer. However, some times, there can be a third answer: Example: "Do
you like to watch movies?"
Answer: Neither like nor dislike
Dichotomous question are most convenient and easy to answer.

3. Close End Questions: There are two basic formats in this type:
�Make one or more choices among the alternatives
�Rate the alternatives

98
Choice among Alternatives: Which one of the following words or phrase best describes the
kind of person you feel would be most likely to use this product based on what you have seen
in the commercial.
(a) Young ………… old …………….
Single ………… Married ………..
Modern ………… Old fashioned ……………...
(b) Rating Scale
Example:
i. Please tell us your overall reaction to this commercial?
1. A great commercial, would like to see again
2. Just so, so like other commercials
3. Another bad commercial
4. Pretty good commercial
ii. Based on what you saw in the commercial, how interested do you feel, you would be
buying the products?
� Definitely
� Probably would buy
� May or may not buy
� Probably would not buy
� Definitely would not buy

Closed ended questions are easy to answer. It requires less effort by the interviewer.
Tabulation, analysis is easier. There is less error, since same questions are asked to everyone.
Time taken to respond is less. We can compare the answer of one respondent to another
respondent. One basic criticism of closed ended questionnaire is that, middle alternatives are
not included in this. Such as "don't know". This will force the respondents, to choose among
the given alternative.

Step 4: Question Wording

Wordings of particular questions can have a large impact on how respondent interprets. Even a
small shift in the wording can shift respondent's answer.
Example 1: "Don't you think that, Brazil played poorly in the FIFA cup?" The answer will be
"yes". Many of them, who do not have any idea about the game, will also say "yes". If the
question is worded slightly differently, the response will be different.
Example 2: "Do you think that, Brazil played poorly in the FIFA cup?" This is a straight
forward question. The answer could be "yes", "no" or "don't know" depending on the
knowledge the respondents have about the game. One word change as above, different
responses will be given by respondents.

 GUIDELINES TOWARDS THE USE OF CORRECT WORDING

99
  Is vocabulary simple, and familiar to the respondents?
Example 1: Instead of using the work "reasonably", "usually", "occasionally", "generally", "on
the whole".
Example 2: "How often do you go to a movie? Often, may be once a week, once a month,
once in two months or even more.
 Avoid Double Barreled Questions
These are questions, in which respondent can agree with one part of the question, but not agree
with the other or cannot answer without making a particular assumption.
Example 1: "Do you feel, firms today are employee oriented and customer oriented" There are
two separate issues here - [yes] [No]
Example 2: "Are you happy with the price and quality of Branded shampoo?"
[yes]
[No]
 Avoid Leading and Loading Questions
Leading: Leading question is one, which suggests the answer to the respondent. The
question itself will influence the answer, when respondents get an idea that the data is being
collected by a company, respondents have a tendency to respond positively. Example 1; "How
do you like the programme on "Radio Mirchy"? The answer is likely to be "yes". The unbiased
way of asking is "which is your favorite FM Radio station? The answer could be any one of the
four stations namely 1. Radio City 2. Fana FM 3. Rainbow 4. Radio-One.

Loading: A leading question is also known as loaded question. In loading, special

emphasis is given to a word or a phrase, which acts as a lead to respondent. Example: "Do you
own a kelvinator refrigerator". Better question would be "what brand of refrigerator do you
own? Don't you think the civic body is "incompetent". Here incompetent is 'loaded'.
 Are the Questions Confusing?
If there is a question, which is not clear or confusing, then the respondent gets more biased
rather that getting enlightened. Example: "Do you think that the Government published book is
distributed effectively"? This is not the correct way, since respondent does not know what is
the meaning of the word effective distribution. This is confusing. The correct way of asking
questions is "Do you think that the Government published books are readily available when
you want to buy?" Example: "Do you think whether value price equation is attractive"? Here
respondents may not know the meaning of value price equation.
 Applicability
"Is the question applicable to all respondents"? Respondents may try to answer a question even
though, they don't qualify to do so or may lack opinion.
Example 1: "What is your present education level"
Example 2: "Where are you working" (assume he is employed)
Example 3: "From which bank have you taken housing loan" (assume he has taken loan).

100
  Avoid implicit assumptions
An implicit alternative, is one that is not expressed in the options. Consider the 2 following
questions.
Would you like to have a job, if it is possible?
Would you prefer to have a job, or do you prefer to do just domestic work.
Even though, we may say that the 2 questions look similar, they vary widely. The difference is
that, in Question-2 makes explicit the alternative implied in Q-1.

Step 5: Split Ballot Technique

This is a procedure used wherein 1. The question is split into two halves and 2. Different
sequencing of questions is administered to each half. There are occasions when a single
version of questions may not derive the correct answer and the choice is not obvious to the
respondent.
Example: "Why do you use Ayurvedic soap"? One respondent might say "Ayurvedic soap is
better for skin care". Another may say "Dermatologist recommended". Third might say "It is a
soap used by the entire family for several years". The first respondent is answering "The reason
for using it at present". The second responded is answering. "How he started using". The third
respondent, "Stating family tradition for using". As can be seen, different reference frames are
used. The question may be balanced and asked.
 Participation at the expense of Accuracy
Some times the respondent may not have the information that is necessary by the researcher.
Example 1: The husband is asked a question "How much does your family spend on groceries
in a week" Unless the respondent does the grocery shopping himself, he will not know what he
has spent. In a situation like this, it will be helpful to ask "filtered question." Example of
filtered question may be "Who buys grocery in your family"?
Example 2: "Do you have the information of Mr. Ben's visit to Bangalore"? Not only should
the individual have the information but also he or she should remember it. The inability to
remember the information is called as "recall loss".

Step 6: Pre-testing of Questionnaire

Pre-testing of a questionnaire is done to detect any flaws as follows. E.g. Word used by the
researcher must convey the same meaning to all the respondents. Are instructions to skip
questions clear? One of the prime conditions for pre testing is, sample chosen for pre testing
should be similar to the respondents who are going to participate ultimately. Just because, a
few chosen respondents fill in all the questions, it does not mean that, questionnaire is sound.

Step 7: Revise and prepare final Questionnaire

 How many Question to be asked?
Questionnaire should not be too long as response will be poor. There is no rule to decide this.
However, the researcher should know that if he was the respondent, how would s/he react to a
101
lengthy questionnaire. One way of deciding the length of the questionnaire is to calculate the
time taken to complete the questionnaire. He can give the questionnaire to a few known people
to seek their opinion.

2.4 INTERVIEWS
Interviews are among the most challenging and rewarding forms of measurement. They require
a personal sensitivity and adaptability as well as the ability to stay within the bounds of the
designed protocol. Here, we will describe the preparation you need to do for an interview study
and the process of conducting the interview itself.

2.4.1 The Role of the Interviewer

The interviewer is really the "jack-of-all-trades" in survey research. The interviewer's role is
complex and multifaceted. It includes the following tasks:

Locate and enlist cooperation of respondents:

The interviewer has to find the respondent. In door-to-door surveys, this means being able to
locate specific addresses. Often, the interviewer has to work at the least desirable times (like
immediately after dinner or on weekends) because that's when respondents are most readily
available.
Motivate respondents to do good job:
If the interviewer does not take the work seriously, why would the respondent? The
interviewer has to be motivated and has to be able to communicate that motivation to the
respondent. Often, this means that the interviewer has to be convinced of the importance of the
research.
Clarify any confusion/concerns:
Interviewers have to be able to think on their feet. Respondents may raise objections or
concerns that were not anticipated. The interviewer has to be able to respond candidly and
informatively.
Observe quality of responses:
Whether the interview is personal or over the phone, the interviewer is in the best position to
judge the quality of the information that is being received. Even a verbatim transcript will not
adequately convey how seriously the respondent took the task, or any gestures or body
language that were evident.
Conduct a good interview
Last, and certainly not least, the interviewer has to conduct a good interview! Every interview
has a life of its own. Some respondents are motivated and attentive, others are distracted or
disinterested. The interviewer also has good or bad days. Assuring a consistently high-quality
interview is a challenge that requires constant effort.

2.4.2 Training the Interviewers

102
One of the most important aspects of any interview study is the training of the interviewers
themselves. In many ways the interviewers are your measures, and the quality of the results is
totally in their hands. Even in small studies involving only a single researcher-interviewer, it is
important to organize in detail and rehearse the interviewing process before beginning the
formal study. Here are some of the major topics that should be included in interviewer training:

Describe the entire study

Interviewers need to know more than simply how to conduct the interview itself. They should
learn about the background for the study, previous work that has been done, and why the study
is important.

State who is sponsor of research

Interviewers need to know who they are working for. They -- and their respondents -- have a
right to know not just what agency or company is conducting the research, but also, who is
paying for the research.

Teach enough about survey research

While you seldom have the time to teach a full course on survey research methods, the
interviewers need to know enough that they respect the survey method and are motivated.
Sometimes it may not be apparent why a question or set of questions was asked in a particular
way. The interviewers will need to understand the rationale for how the instrument was
constructed.

Explain the sampling logic and process

Naive interviewers may not understand why sampling is so important. They may wonder why
you go through all the difficulties of selecting the sample so carefully. You will have to explain
that sampling is the basis for the conclusions that will be reached and for the degree to which
your study will be useful.

Explain interviewer bias

Interviewers need to know the many ways that they can inadvertently bias the results. And,
they need to understand why it is important that they not bias the study. This is especially a
problem when you are investigating political or moral issues on which people have strongly
held convictions. While the interviewer may think they are doing good for society by slanting
results in favor of what they believe, they need to recognize that doing so could jeopardize the
entire study in the eyes of others.

"Walk through" the interview

When you first introduce the interview, it's a good idea to walk through the entire protocol so
the interviewers can get an idea of the various parts or phases and how they interrelate.

103
Explain respondent selection procedures, including reading maps
It's astonishing how many adults don't know how to follow directions on a map. In personal
interviews, the interviewer may need to locate respondents who are spread over a wide
geographic area. And, they often have to navigate by night (respondents tend to be most
available in evening hours) in neighborhoods they're not familiar with. Teaching basic map
reading skills and confirming that the interviewers can follow maps is essential.
Identifying households
In many studies it is impossible in advance to say whether every sample household meets the
sampling requirements for the study. In your study, you may want to interview only people
who live in single-family homes. It may be impossible to distinguish townhouses and
apartment buildings in your sampling frame. The interviewer must know how to identify the
appropriate target household.
Identify respondents
Just as with households, many studies require respondents who meet specific criteria. For
instance, your study may require that you speak with a male head-of-household between the
ages of 30 and 40 who has children under 18 living in the same household. It may be
impossible to obtain statistics in advance to target such respondents. The interviewer may have
to ask a series of filtering questions before determining whether the respondent meets the
sampling needs.
Rehearse interview
You should probably have several rehearsal sessions with the interviewer team. You might
even videotape rehearsal interviews to discuss how the trainees responded in difficult
situations. The interviewers should be very familiar with the entire interview before ever facing
a respondent.
Explain supervision
In most interview studies, the interviewers will work under the direction of a supervisor. In
some contexts, the supervisor may be a faculty advisor; in others, they may be the "boss." In
order to assure the quality of the responses, the supervisor may have to observe a subsample of
interviews, listen in on phone interviews, or conduct follow-up assessments of interviews with
the respondents. This can be very threatening to the interviewers. You need to develop an
atmosphere where everyone on the research team -- interviewers and supervisors -- feel like
they're working together towards a common end.
Explain scheduling
The interviewers have to understand the demands being made on their schedules and why these
are important to the study. In some studies it will be imperative to conduct the entire set of
interviews within a certain time period. In most studies, it's important to have the interviewers
available when it's convenient for the respondents, not necessarily the interviewer.

104
THE INTERVIEWER'S KIT

It's important that interviewers have all of the materials they need to do a professional job.
Usually, you will want to assemble an interviewer kit that can be easily carried and includes all
of the important materials such as:
1. a "professional-looking" 3-ring notebook (this might even have the logo of the
company or organization conducting the interviews)
2. maps
3. sufficient copies of the survey instrument
4. official identification (preferable a picture ID)
5. a cover letter from the Principal Investigator or Sponsor
6. a phone number the respondent can call to verify the interviewer's authenticity

2.4.3 The Interview Process

So all the preparation is complete, the training done, the interviewers ready to proceed, their
"kits" in hand. It's finally time to do an actual interview. Each interview is unique, like a small
work of art (and sometimes the art may not be very good). Each interview has its own ebb and
flow -- its own pace. To the outsider, an interview looks like a fairly standard, simple, prosaic
effort. But to the interviewer, it can be filled with special nuances and interpretations that aren't
often immediately apparent. Every interview includes some common components. There's the
opening, where the interviewer gains entry and establishes the rapport and tone for what
follows. There's the middle game, the heart of the process, that consists of the protocol of
questions and the improvisations of the probe. And finally, there's the endgame, the wrap-up,
where the interviewer and respondent establish a sense of closure. Whether it's a two-minute
phone interview or a personal interview that spans hours, the interview is a bit of theater, a
mini-drama that involves real lives in real time.

A. Opening Remarks
In many ways, the interviewer has the same initial problem that a salesperson has. You have to
get the respondent's attention initially for a long enough period that you can sell them on the
idea of participating in the study. Many of the remarks here assume an interview that is being
conducted at a respondent's residence. But the analogies to other interview contexts should be
straightforward.

Gaining entry
The first thing the interviewer must do is gain entry. Several factors can enhance the prospects.
Probably the most important factor is your initial appearance. The interviewer needs to dress
professionally and in a manner that will be comfortable to the respondent. In some contexts a
business suit and briefcase may be appropriate. In others, it may intimidate. The way the
interviewer appears initially to the respondent has to communicate some simple messages --

105
that you're trustworthy, honest, and non-threatening. Cultivating a manner of professional
confidence, the sense that the respondent has nothing to worry about because you know what
you're doing -- is a difficult skill to teach and an indispensable skill for achieving initial entry.

Doorstep technique
You're standing on the doorstep and someone has opened the door, even if only halfway. You
need to smile. You need to be brief. State why you are there and suggest what you would like
the respondent to do. Don't ask -- suggest what you want. Instead of saying "May I come in to
do an interview?", you might try a more imperative approach like " I'd like to take a few
minutes of your time to interview you for a very important study."

Introduction
If you've gotten this far without having the door slammed in your face, chances are you will be
able to get an interview. Without waiting for the respondent to ask questions, you should move
to introducing yourself. You should have this part of the process memorized so you can deliver
the essential information in 20-30 seconds at most. State your name and the name of the
organization you represent. Show your identification badge and the letter that introduces you.
You want to have as legitimate an appearance as possible. If you have a three-ring binder or
clipboard with the logo of your organization, you should have it out and visible. You should
assume that the respondent will be interested in participating in your important study -- assume
that you will be doing an interview here.

Explaining the study

At this point, you've been invited to come in (After all, you're standing there in the cold,
holding an assortment of materials, clearly displaying your credentials, and offering the
respondent the chance to participate in an interview -- to many respondents, it's a rare and
exciting event. They hardly ever get asked their views about anything, and yet they know that
important decisions are made all the time based on input from others.). Or, the respondent has
continued to listen long enough that you need to move onto explaining the study. There are
three rules to this critical explanation: 1) Keep it short; 2) Keep it short; and 3) Keep it short!
The respondent doesn't have to or want to know all of the neat nuances of this study, how it
came about, how you convinced your thesis committee to buy into it, and so on. You should
have a one or two sentence description of the study memorized. No big words. No jargon. No
detail. There will be more than enough time for that later (and you should bring some written
materials you can leave at the end for that purpose). This is the "25 words or less" description.
What you should spend some time on is assuring the respondent that you are interviewing
them confidentially, and that their participation is voluntary.

B. Asking the Questions

106
You've gotten in. The respondent has asked you to sit down and make yourself comfortable. It
may be that the respondent was in the middle of doing something when you arrived and you
may need to allow them a few minutes to finish the phone call or send the kids off to do
homework. Now, you're ready to begin the interview itself.
Use questionnaire carefully, but informally
The questionnaire is your friend. It was developed with a lot of care and thoughtfulness. While
you have to be ready to adapt to the needs of the setting, your first instinct should always be to
trust the instrument that was designed. But you also need to establish a rapport with the
respondent. If you have your face in the instrument and you read the questions, you'll appear
unprofessional and disinterested. Even though you may be nervous, you need to recognize that
your respondent is most likely even more nervous. If you memorize the first few questions,
you can refer to the instrument only occasionally, using eye contact and a confident manner to
set the tone for the interview and help the respondent get comfortable.
Ask questions exactly as written
Sometimes an interviewer will think that they could improve on the tone of a question by
altering a few words to make it simpler or more "friendly." DON'T. You should ask the
questions as they are on the instrument. If you had a problem with a question, the time to raise
it was during the training and rehearsals, not during the actual interview. It is important that the
interview be as standardized as possible across respondents (this is true except in certain types
of exploratory or interpretivist research where the explicit goal is to avoid any standardizing).
You may think the change you made was inconsequential when, in fact, it may change the
entire meaning of the question or response.
Follow the order given
Once you know an interview well, you may see a respondent bring up a topic that you know
will come up later in the interview. You may be tempted to jump to that section of the
interview while you're on the topic. DON'T. You are more likely to lose your place. You may
omit questions that build a foundation for later questions.
Ask every question
Sometimes you'll be tempted to omit a question because you thought you already heard what
the respondent will say. Don't assume that. For example, let's say you were conducting an
interview with college age women about the topic of date rape. In an earlier question, the
respondent mentioned that she knew of a woman on her dormitory floor who had been raped
on a date within the past year. A few questions later, you are supposed to ask "Do you know of
anyone personally who was raped on a date?" You figure you already know that the answer is
yes, so you decide to skip the question. Instead, you might say something like "I know you
may have already mentioned this, but do you know of anyone personally who was raped on a
date?" At this point, the respondent may say something like "Well, in addition to the woman
who lived down the hall in my dorm, I know of a friend from high school who experienced
date rape." If you hadn't asked the question, you would never have discovered this detail.
Don't finish sentences

107
You should practice the art of patience (and silence) before doing any interviewing. As you
will see below, silence is one of the most effective devices for encouraging a respondent to
talk. If you finish their sentence for them, you imply that what they had to say is transparent or
obvious, or that you do not want to give them the time to express themselves in their own
language.

C. Obtaining Adequate Responses - The Probe

OK, you have asked a question. The respondent gives a brief, cursory answer. How do you
elicit a more thoughtful, thorough response? You probe.
Silent probe
The most effective way to encourage someone to elaborate is to do nothing at all - just pause
and wait. This is referred to as the "silent" probe. It works (at least in certain cultures) because
the respondent is uncomfortable with pauses or silence. It suggests to the respondent that you
are waiting, listening for what they will say next.
Overt encouragement
At times, you can encourage the respondent directly. Try to do so in a way that does not imply
approval or disapproval of what they said (that could bias their subsequent results). Overt
encouragement could be as simple as saying "Uh-huh" or "OK" after the respondent completes
a thought.
Elaboration
You can encourage more information by asking for elaboration. For instance, it is appropriate
to ask questions like "Would you like to elaborate on that?" or "Is there anything else you
would like to add?"
Ask for clarification
Sometimes, you can elicit greater detail by asking the respondent to clarify something that was
said earlier. You might say, "A minute ago you were talking about the experience you had in
high school. Could you tell me more about that?"
Repetition
This is the old psychotherapist trick. You say something without really saying anything new.
For instance, the respondent just described a traumatic experience they had in childhood. You
might say "What I'm hearing you say is that you found that experience very traumatic." Then,
you should pause. The respondent is likely to say something like "Well, yes, and it affected the
rest of my family as well. In fact, my younger sister..."

D. Recording the Response

Although we have the capability to record a respondent in audio and/or video, most interview
methodologists don't think it's a good idea. Respondents are often uncomfortable when they
know their remarks will be recorded word-for-word. They may strain to only say things in a
socially acceptable way. Although you would get a more detailed and accurate record, it is
likely to be distorted by the very process of obtaining it. This may be more of a problem in

108
some situations than in others. It is increasingly common to be told that your conversation may
be recorded during a phone interview. And most focus group methodologies use unobtrusive
recording equipment to capture what's being said. But, in general, personal interviews are still
best when recorded by the interviewer using pen and paper.
Record responses immediately
The interviewer should record responses as they are being stated. This conveys the idea that
you are interested enough in what the respondent is saying to write it down. You don't have to
write down every single word -- you're not taking stenography. But you may want to record
certain key phrases or quotes verbatim. You need to develop a system for distinguishing what
the respondent says verbatim from what you are characterizing (how about quotations, for
instance!).
Include all probes
You need to indicate every single probe that you use. Develop a shorthand for different
standard probes. Use a clear form for writing them in (e.g., place probes in the left margin).
Use abbreviations where possible
Abbreviations will help you to capture more of the discussion. Develop a standardized system
(e.g., R=respondent; DK=don't know). If you create an abbreviation on the fly, have a way of
indicating its origin. For instance, if you decide to abbreviate Spouse with an 'S', you might
make a notation in the right margin saying "S=Spouse."

E. Concluding the Interview

When you've gone through the entire interview, you need to bring the interview to closure.
Some important things to remember:

Thank the respondent

Don't forget to do this. Even if the respondent was troublesome or uninformative, it is
important for you to be polite and thank them for their time.

Tell them when you expect to send results

You owe it to your respondent to show them what you learned. Now, they may not want your
entire 300-page dissertation. It's common practice to prepare a short, readable, jargon-free
summary of interviews that you can send to the respondents.

Don't be brusque or hasty

Allow for a few minutes of winding down conversation. The respondent may want to know a
little bit about you or how much you like doing this kind of work. They may be interested in
how the results will be used. Use these kinds of interests as a way to wrap up the conversation.
As you're putting away your materials and packing up to go, engage the respondent. You don't
want the respondent to feel as though you completed the interview and then rushed out on
them -- they may wonder what they said that was wrong. On the other hand, you have to be

109
careful here. Some respondents may want to keep on talking long after the interview is over.
You have to find a way to politely cut off the conversation and make your exit.

Immediately after leaving -- write down any notes about how the interview went
Sometimes you will have observations about the interview that you didn't want to write down
while you were with the respondent. You may have noticed them get upset at a question, or
you may have detected hostility in a response. Immediately after the interview you should go
over your notes and make any other comments and observations -- but be sure to distinguish
these from the notes made during the interview (you might use a different color pen, for
instance).

2.4.4 Plus-Minus of Survey Methods

It's hard to compare the advantages and disadvantages of the major
different survey types. Even though each type has some general
advantages and disadvantages, there are exceptions to almost every rule.
Issue Questionnaire Interview
Drop-
Group Mail Off Personal Phone
Are Visual Presentations Possible? Yes Yes Yes Yes No
Are Long Response Categories Possible? Yes Yes Yes ??? No
Is Privacy A Feature? No Yes No Yes ???
Is the Method Flexible? No No No Yes Yes
Are Open-ended Questions Feasible? No No No Yes Yes
Is Reading & Writing Needed? ??? Yes Yes No No
Can You Judge Quality of Response? Yes No ??? Yes ???
Are High Response Rates Likely? Yes No Yes Yes No
Can You Explain Study in Person? Yes No Yes Yes ???
Is It Low Cost? Yes Yes No No No
Are Staff & Facilities Needs Low? Yes Yes No No No
Does It Give Access to Dispersed Samples? No Yes No No No
Does Respondent Have Time to Formulate
Answers? No Yes Yes No No
Is There Personal Contact? Yes No Yes Yes No
Is A Long Survey Feasible? No No No Yes No
Is There Quick Turnaround? No Yes No No Yes

2.4.5 Advantages and Disadvantages of Questionnaire and Interview Methods

Advantages
1. Easier to reach large number of respondents throughout the country

110
2. Since interviewer is not present face to face, influence of interviewer on the respondent is
eliminated.
3. Where the questions asked, is such that, it cannot be answered immediately, and needs some
thinking on the part of the respondent, Respondent can think over leisurely and give the answer
4. Saves cost (cheaper than interview)
5. No need to train interviewers
6. Personal and sensitive questions are well answered

Limitations
1. It is not suitable, when questions are difficult and complicated. Example: "Do you believe
in value price relation ship"?
2. When the researcher is interested in spontaneous response, this method is unsuitable.
Because, thinking time given to respondent will influence the answer. Example: "Tell me
spontaneously, what comes to your mind if I ask you about cigarette smoking".
3. In case of mail questionnaire, it is not possible to verify whether the respondent himself /
herself has filled the questionnaire. If questionnaire is directed towards the housewife, to
find expenditure on kitchen items, she is supposed to answer it. Instead if her husband
answers the questionnaire, the answer may not be correct.
4. Any clarification required by the respondent regarding questions, is not possible. Example:
Prorated discount, product profile, marginal rate etc. may not be understood by the
respondents.
5. If the answers are not correct, the researcher cannot probe further.
6. Poor response (30%) - Not all reply.

2.5 OBSERVATION METHOD

In observation method, only present / current behavior can be studied. Therefore, many
researchers feel that this is a great disadvantage. A causal observation can enlighten the
researcher to identify the problem. Such as length of the queue in front of a food chain, price
and advertising activity of the competitor etc., observation is the least expensive of data
collection.

Example 1: Suppose a safety week is celebrated and public is made aware of safety
precautions to be observed while walking on the road. After one week, an observer can stand at
a street corner and observe the No. of people walking on footpath and those walking on the
road during a time. This will tell him whether the campaign on safety is successful or
unsuccessful. Sometimes observation will be the only method available to the researcher.
Example 2: Behavior or attitude of children, and of those who are inarticulate.

Types of Observation Methods

111
There are several methods of observation of which, any one or a combination of some of them,
can be used by the observer. They are:
� Structured or unstructured observation methods
� Disguised or undisguised observation methods
� Direct-indirect observation
� Human-mechanical observation

Structured-Unstructured Observation Methods

Whether the observation should be structured or unstructured depends on the data needed.

Example 1: A Manager of a hotel wants to know "How many of his customers visit the hotel
with family and how many visits as single customer". Here observation is structured, since it is
clear "what is to be observed". He may tell the waiters to record this. This information is
required to decide the tables and chairs requirement and the layout. Suppose, the Manager
wants to know how single customer and customer with family behave and what is their mood.
This study is vague, it needs non-structured observation. It is easier to record structured
observation than non-structured observation.
Example 2: To distinguish between structured and unstructured observation, consider a study,
investigating the amount of search that goes into a "soap purchase". On the one hand, the
observers could be instructed to stand at one end of a supermarket and record each sample
customer's search. This may be observed and recorded as follows.
"Purchaser first paused after looking at HLL brand". He looked at the price on of the product,
kept the product back on the shelf, then picked up a soap cake of HLL and glanced at the
picture on the pack and its list of ingredients, and kept it back. He then checked the label and
price for P&G product, kept that back down again, and after a slight pause, picked up a
different flavor soap of M/S Godrej company and placed it in his trolley and moved down the
aisle. On the other hand, observers might simply be told to record the "First soap cake
examined", by checking the appropriate boxes in the observation form. The "second situation"
represents more structured than the first.

To use more structured approach, it would be necessary to decide precisely, what is to be

observed and the specific categories and units that would be used to record the observations.

Disguised-Undisguised Observation Methods

In Disguised observation, the respondents do not know that they are being observed. In non-
disguised observation, the respondents are well aware that they are being observed.

In disguised observation, many times observers pose as shoppers. They are called as "mystery
shoppers". They are paid by the research organizations. The main strength of disguised
observation is that, it allows for maintaining the true reactions of the individuals.

112
In undisguised method, observation may be contained due to induced error by the objects of
observation. The ethical aspect of disguised observations is still questionable.

Direct-Indirect Observation
In direct observation, the actual behavior or phenomenon of interest is observed. In Indirect
observation, results of the consequences of the phenomenon are observed. Suppose, researcher
is interested in knowing about the soft drink consumption of a student in a hostel room. He
may like to observe empty soft drink bottles dropped into the bin.

Similarly, the observer may seek the permission of the hotel owner, to visit the kitchen or
stores. He may carry out a kitchen / stores audit, to find out the consumption of various brands
of spice items being used by the Hotel. It may be noted that, the success of an indirect
observation largely depends on "How best the observer is able to identify physical evidence of
the problem under study".

Human-Mechanical Observation
Most of the studies in marketing research based on human observation, wherein trained
observers are required to observe and record their observations. In some cases, mechanical
devices such as eye cameras are used for observation. One of the major advantages of electrical
/ mechanical devices is that, their recordings are free from subjective bias.

Advantages of Observation Method

1. The original data can be collected at the time of occurrence of the event.
2. Observation is done in natural surroundings. Therefore facts are known, where
questionnaire, experiments have environmental as well as time constraint.
3. Sometimes the respondents may not like to part with some of the information. That
information can be got by the researcher by observation.
4. Observation can be done on those who cannot articulate.
5. Bias of the researcher is greatly reduced in observation method.

Limitations
1. The observer might be waiting at the point of observation. Still the desired event may
not take place i.e. observation is required over a long period and hence delay may
occur.
2. For observation, extensive training of observers is required.
3. This is an expensive method.
4. External observation gives only surface indications. To go beneath the surface it is very
difficult. So only overt behavior can be observed.
5. Two observers may observe the same event but may draw inference differently.

113
 6. It is very difficult to gather information on (1) Opinions (2) Intentions etc.

SUMMARY
Sometimes, secondary data may not be able to solve the research problem. In that case
researcher need to turn towards primary data. Primary data may pertain to life style, income,
awareness or any other attribute of individuals or groups. There are 2 ways of collecting
primary data namely. (a) Observation (b) By questioning the appropriate sample.

Observation method has a limitation i.e., certain attitudes, knowledge, motivation etc. cannot
be measured by this method. For this reason, researcher needs to communicate.
Communication method is classified based on whether it is structured or disguised.
Structured questionnaire is easy to administer. This type is most suited for descriptive
research. If the researcher wants to do exploratory sturdy, unstructured method is better. In
unstructured method questions will have to be framed based on the answer by the
respondent. In disguised questionnaire, the purpose of research is not disclosed to
respondents. This is done so that the respondents might speak the truth instead of giving
some answer which satisfies the researcher.

Questionnaire can be administered either in person or on-line or Mail questionnaire. Each of

these methods have advantages and disadvantages. Questions in a questionnaire may be
classified into (a) Open question (b) Close ended questions (c) Dichotomous questions etc.
While formulating questions, care has to be taken with respect to question wording,
vocabulary, leading, loading and confusing questions should be avoided. Further it is
desirable that questions should not be complex, nor too long. It is also implied that proper
sequencing will enable the respondent to answer the question easily. The researcher must
maintain a balanced scale and must use a funnel approach. Pretesting of the questionnaire is
preferred before introducing to a large population. Personal interview to gather information
is very costly.

Therefore sometimes mail questionnaire is used by researcher to collect the data. However it
has its own limitations. Secondary data are statistics that already exists. These may not be
readily used because these data are collected for some other purpose. There are 2 types of
secondary data (1) Internal and (2) External secondary data. Census is the most important
among secondary data. Syndicated data is an important form of secondary data which may
be classified into (a) Consumer purchase data (b) Retailer and wholesale data (c) Advertising
data. Each has advantages and disadvantages. Secondary data has its own advantages and

114
disadvantages.

REVIEW QUESTIONS
1. What is primary data?
2. What are the various methods available for collecting primary data?
3. What are the several methods used to collect data by observation method?
4. What are the advantages and limitations of collecting data by observation method?
5. What is a questionnaire? What are its different types?
6. What are the characteristics of a good questionnaire?
7. What are the limitations of a questionnaire?
8. Explain the steps involved in designing a questionnaire.
9. Explain Open ended & Closed ended questions in a questionnaire.
10. What is a split ballot method? When is it employed?
11. What is questionnaire pretesting?
12. What is a dichotomous question? When is it most appropriate?
13. How does a questionnaire suffer compared to experimentation on account of validity &
reliability?
14. What is meant by pre testing of questionnaire? Why is it required?
15. Distinguish qualitative and quantitative method of data collection.
16. What is mail questionnaire? Explain the advantages and limitations of the same.
17. What is meant by leading / loading question give example?
18. What is meant by double barreled questions?
19. Design a questionnaire to study brand preference for a consumer durable product.
20. What is meant by secondary data?
21. What are the sources of secondary data?
22. What are the types of secondary data?
23. What are the special techniques of secondary data?
24. What are the classification of syndicated data?
25. What are the advantages and limitations of syndicated data?
26. What are the advantages and disadvantages of secondary data?
27. Discuss the sources of secondary data for the study on "consumer purchasing a white
good".

28. Assume that you are the manufacturer of modules office systems and furniture as well as
office organization elements (desktop and wall organizers, filing systems, etc.) Your company
has been asked to propose an observational study to examine the use of office space by white –
collar and managerial workers for a large insurance company. This study will be part of a
project to improve office efficiency and paperwork flow. It is expected to involve the redesign
of office space and the purchase of new office furniture and organization elements.
a. what are the varieties of information that might be observed?
b. Select a limited number of content areas for study, and operationally define the
observation acts that should be measured.

29. You wish to analyze the pedestrian traffic that passes a given store in a major shopping
center. You are interested in determining how many shoppers pass by this store, and you would
like to classify these shoppers on various relevant dimensions. Any information you can secure
should be obtainable from observation alone.
a. What other information might you find useful to observe?
b. How would you decide what information to collect?
c. Devise the operational definitions you would need
d. What would you say in your instructions to be observers you plan to use?

115
 e. How might you sample this shoppers traffic?

REFERENCE
Cooper, R. D. & Emory, C. W. (1995). Business research methods (5th ed.). USA: McGraw
Hill.
DR. Vatsyayan (1989); Methods & techniques of Social Survey and Research (in questions &
answers), Kedar Nath Ram Nath, New Delhi.
Gibaldi, Joseph (1995). MLA handbook for writers of research papers (4th ed.). USA: The
Modern Language Association of America.
Green, E. P., Tull, D. S. & Albaum, G. (1998). Research for marketing decisions. New Delhi:
Prentice Hall of India.
Hussey, J. & Hussey, R. (1997). Business research, a practical guide for undergraduate and
postgraduate students, Great Britain: Macmillan Press LTD.
Kothari, C. R. (1990). Research methodology, methods & techniques. New Delhi: Wishwa
Prakashan, Wiley Eastern Limited.
Kumar, R. (2005). Research methodology, a step-by-step guide for beginners (2nd ed.).
London: Sage Publications
Locke, F. L., Spirduso, W., & Stephen, S. (1993). Proposal that work- a guide for planning
dissertation and grant. California: Sage Publications, Inc. Newbury Park.
Yin, K. R. (1994). Case study research, designs and methods (2nd ed.). USA: Sage Production
Editor.
Zikmund, G. W. (1998). Business research methods (5th ed.). USA: The Dryden Press,
Oklahoma State University.

116
 UNIT EIGHT

ANALYSING DATA

UNIT OBJECTIVES

By the end of this unit, you should be able to:

1. understand the role and importance of analysis in turning data into information
2. understand the elements of effective data analysis
3. understand the differences and interrelationships between the analysis of qualitative
and quantitative data

UNIT INTRODUCTION

Earlier we discussed the distinction between data and information. Most researchers and
virtually all managers are ultimately interested in information rather than data. Information
derives from the process of subjecting data to analysis. It is this process of turning data into
information through analysis that is considered in this unit.

In assessing the process of analysing data in this chapter, we shall be less concerned with the
detailing of individual techniques of analysis and more with the overall approach to this
process, and in particular some of the major differences between analysing qualitative and
quantitative data. Without effective analysis both researcher and manager potentially face
being overwhelmed with a mass of data which does not really mean much, and certainly cannot
be used to address organizational and managerial problems and issues.

We shall be primarily concerned with examining the importance of analysis and the types of
analysis related to different types of data in this chapter. Detailed ways of summarizing and
presenting data and techniques of analysing data including some of the more frequently used
statistical and mathematical techniques are not covered in this book as this dimension is not
within its remit, but there are many excellent texts on these aspects.

SECTION I

ANALYSING DATA

SECTION OBJECTIVES
By the end of this section, successful students will be able to:
1. understand the nature of data analysis
117
 2. identify the purpose of data analysis

SECTION OVERVIEW
1.1 Analysis: nature and role
1.2 The purpose of analysis

1.1 ANALYSIS: NATURE AND ROLES

As already mentioned, analysing data is the process of turning data into information.
Information, remember, is data which is in a form which can be used for explanation, or more
specifically in the context of this book, for decision making. Four key roles for analysis in this
respect involve the processes of distillation, classification, identification and communication.

Distillation
Most research/consultancy exercises often result in huge amounts of data. Neither the
researcher nor the client wants to be faced with a mass of data with the ensuing need to sift
through it and try and establish what it all means. A key purpose of analysis, therefore, is to
distil potentially large amounts of data into forms that are more readily managed and absorbed,
and also discard data that is not appropriate in the context of the research project. At its
simplest, this distillation will take the form of summarizing data using, for example, tables,
diagrams, or may alternatively, and in addition, summarize and distil data numerically through
measures such as average dispersion, standard deviation, and so on. Failure to distil data
effectively is one of the most frequent reasons for failures to understand and implement
research findings.

Classification
Related to the above, data analysis should also help to classify data. This involves the grouping
of data into categories that allow the researcher and manager to quickly see what factors are
involved and potentially what the data means. Classifying data helps to encourage the
development of order from chaos.

Identification
Much data analysis is concerned with establishing causes and/or relationships between factors.
Data analysis enables these relationships, and particularly causal relationships to be identified.

Communication
The final purpose for analysis involves the important aspect of communicating research
findings. It is very difficult to communicate raw data, either to managers in an organization, or
to other researchers in a field of enquiry. The processes of distillation, classification and
identification referred to above ultimately allow the researcher to communicate research
118
findings and their meanings to other people. There are four related terms that we put at the
heart of the purpose and process of analysis. These terms are: concepts, theories, explanations
and understanding and explained below:
1. Concepts: Analysis is often aimed at developing concepts regarding how we think
about particular subjects or issues.
2. Theories: Analysis may also seek to explain something. In particular, it seeks to explain
the nature of cause and effect.
3. Explanations: This form of analysis seeks to make things intelligible explaining why
things are the way they are.
4. Understanding: A development of explanations, this aspect of analysis seeks to develop
and underpin knowledge about the meaning of a subject area, issues, or the research
problem under consideration.

Although the precise purpose of the analysis may differ, all analysis is ultimately about
explaining and understanding which in turn may stem from the development of concepts and
theories.

In the context of management/business research, to some extent concepts and theories play a
secondary role in the process of analysis. In this type of research, understanding and
explanations are much more important in as much as these lead directly to possible solutions to
management issues and problems, together with proposals for their implementation. Again,
within the context of business research, we are much more concerned with turning data into
information, and moreover, the information should enable us to plan courses of action to
resolve organizational and management problems, which in turn may lead to more effective
organizational performance. In some ways, both manager and researcher are less concerned
with the subtleties and technicalities of data analysis and how this is performed, and more with
the output of this analysis with particular regard to what it means for management and
organizational practice and performance. Having said this, how data is analysed and
interpreted, and in particular how effectively these processes are performed is crucial to
developing recommendations and action programmes. Put simply, ineffective data analysis can
lead to a number of potentially disastrous outcomes with regard to tackling organizational and
management problems. Just some of the possible results of ineffective or inappropriate data
analysis methods and techniques include the following:
a. Key cause and effect relationships may be missed entirely,
b. Management may not be provided with a sufficient understanding of the nature of
the management problem/issue being researched,
c. Key data, which may have been expensive to collect may not be sufficiently
explored and assessed,
d. Sophisticated/complex data analysis techniques may begin to take precedence over
understanding
119
Ultimately, ineffective or inappropriate data analysis may lead to key information being missed
or misunderstood, and as a result, can sometimes lead to inappropriate courses of action. In the
Hawthorne Studies example cited in earlier units, initially, a misunderstanding of what the
observed results or data was telling the researchers led them to miss the observation that a
major issue/problem affecting productivity in the organization where the research was being
conducted was group processes and effects.

As a result, the management of the company initially took the wrong steps to improving
productivity by concentrating on the physical environment rather than the more important
element of effective workgroup design and management. Ineffective or inappropriate data
analysis methods can lead to a waste of part of expensive data collection. Even worse, it can
lead to a misunderstanding of the issues and problems being researched, leading in turn to
inappropriate courses of action. Effective data analysis, supported by the selection of
appropriate data analysis methods is essential. However, it can be questioned what constitutes
effective data analysis and what methods are available for this purpose? In analysing this
question we can usefully distinguish between the purpose(s) of data analysis in any given
research exercise, and between the two major categories of data types, namely quantitative and
qualitative.

Together, the purpose(s) of data analysis and the two categories of data enable researchers to
identify the range of applicable techniques of data analysis that might be utilized.

1.2 THE PURPOSE OF ANALYSIS

Although we have seen that overall, analysis is the process of turning data into information that
in turn can serve to develop concepts, theories, explanations or understanding, we can develop
this notion of the purpose of data further, which in turn we can use to identify and ultimately
select the most applicable techniques of data analysis. The assumption here, of course, is that
the purpose of analysis is a major determinant of the technique(s) of data analysis selected.
Some make this assumption in relating the purpose of the analysis to examples of applicable
techniques. In so doing, they provide an extremely useful taxonomy for analysis purposes,
linking the different categories of purpose to techniques. The notion that purpose and
techniques are linked, the latter deriving essentially from the former, is correct. The researcher
must decide what the purpose of the analysis is defining, specific aims or outcomes. These
aims or outcomes should link to the objectives of the research or consultancy project decided at
the initial planning stages of the research plan.

In planning research process, methods of data analysis interpretation and diagnosis should be
decided at the planning stage of the project, and in turn should stem from the agreed upon

120
research objectives. In some ways, therefore, the methods of data analysis, like the data
collection methods, are predetermined and certainly constrained by the research plan. Put
another way, the researcher should not collect the data first and then decide how to best
analyse it. Rather, the researcher should determine from the research objectives and other
considerations such as time, resources, and so on, the type of data required, the methods of data
collection and the methods of data analysis. These should all be part of a consistent and totally
planned process. In fact, the methods of data analysis may, to some extent, shape the earlier
stages of data collection, and even the determination of research objectives, rather than always
being the other way around. For example, lack of access to sophisticated techniques and tools
of analysis that may require, extensive computer analysis may suggest a particular research
design and method of data collection.

Having said this, today’s researchers should be skilled in the full range of data analysis
techniques and therefore this should be less of a constraint or influencing factor on the research
plan.

SECTION ii

ANALYSING QUANTITATIVE DATA

SECTION OBJECTIVES
By the end of this section, successful students will be able to:
1. understand and deal with key issues in quantitative data analysis
2. recognise different types of data for analysis
3. code and enter data for computer analysis
4. choose appropriate ways to present data through charts, tables and descriptive
statistics
5. select appropriate statistical tools for the research variables

SECTION OVERVIEW
2.1. Recognising different types of data for analysis
2.2 Coding and Entering data for computer analysis
2.3 Using SPSS for Windows
2.4 Weighting cases
2.5 Choosing appropriate ways to present data through charts, tables and descriptive
statistics
2.6 Selecting appropriate statistical tools for research variables

121
2.1. RECOGNISING DIFFERENT TYPES OF DATA FOR ANALYSIS
Different types of data fall into 4 categories: interval variables (also called quantifiable),
ordinal variables, nominal variables and dichotomous variables (these last three types are also
called categorical). Different variables will require different kinds of analysis, so it is important
to identify what you are asking for in your research.

Interval variables
The highest form of measurement and the easiest to manipulate and analyse. There is a fixed
space (interval) between each variable and this is a consistent space. For example if we ask for
someone’s weight in Kg, we are dealing with an interval variable as the answers will be
expressed in a fixed scale: the difference between 70Kg and 80Kg is the same interval as that
between 80Kg and 90Kg and so on. We could also include answers involving age, income,
number of staff, revenue etc. There is an even more precise form of this variable which is
sometimes called a ratio variable.

Ordinal variables
These can be rank ordered (as can interval variables: 1Kg, 2Kg, 3Kg etc) but the space
between the variables is not equal across the range. For example, suppose we didn’t ask for an
exact weight but for which group of weights a person belonged to such as 50-60Kg, 60-70Kg,
70-80Kg, 80-90Kg, over 90Kg. This last category changes the entire set into ordinal rather
than interval variables, and this will constrain what can be done with the data, although it is
still useful. So why put such potential interval data into groups in a survey? There are good
reasons.

Nominal variables
These variables can not be rank ordered at all. An example would be to offer alternative
answers in a multiple choice question such as “hot” “spicy” “sweet” “salty”.

Dichotomous variables
As the name implies these are answers which can only fall into one of two categories. The
usual kind is a yes/no answer or a male/female gender. It is usually best to treat these variables
as a special kind of nominal variable.

2.2 CODING AND ENTERING DATA FOR COMPUTER ANALYSIS

Data matrix
In order to analyse quantitative data, once we have identified the kinds of variable we are
collecting, we can then set out the data in a matrix. This can be done in Excel or another
spreadsheet first, or put directly into a statistical package such as SPSS for Windows. To make
the transition from, say, questionnaire to data matrix, answers will need coding. For example,
122
nominal variables will be text names and will need to be given a unique number to allow entry
into a statistical package. Non-responses will also need a unique recognisable number (which
doesn’t appear elsewhere in the data). Dichotomous responses such as Male/Female will also
need a number eg Male 1 Female 2.

Coding
Most sources recommend that you keep a “code book” or list of exactly how the codes you
devise for your data relate to the questionnaire or other research element. This is vital for two
reasons. The first is that codes are often worked out on scraps of paper quite quickly; if the
paper is lost and you have a break between entering your data and coming to make sense of it,
it is possible you will have a hard time remembering exactly what the results mean.

The second is that it is important not to lose sight of the question when analysing the results of
quantitative data. Unusual patterns in the data must be scrutinised and going back to exact
coding and possible different interpretations of the question wording, which may have caused
the response, will be vital. So keep a retrievable, clear and accurate record of coding as the link
between respondent and data.

2.3 USING SPSS FOR WINDOWS

Coding is a way of enlisting the help of computer analysis techniques – whether these involve
using a spreadsheet, such as Microsoft Excel, or a package like the commonly used SPSS
(Statistical Package for Social Sciences) for Windows package which is specifically designed
to analyse quantitative data from social sciences research. SPSS for Windows is the most
commonly used tool to produce all statistical tests and analysis outlined in the sections below.
Using the package is very straightforward, provided you have access to it on a computer. Start
the program, which should put you into the SPSS Data Editor, which has two components:
Data View and Variable View. Screen tabs allow you to switch between these two views. Data
View is the screen through which you enter your data (like a spreadsheet). You must enter your
data so that each column represents a variable, and each row represents a case. For example, if
you have information on the age, salary and qualifications of 100 employees, you enter the
variable data for each employee along a row, with column headings of age, salary,
qualifications.

It is probably obvious, but in data view you will not enter any text. To describe your variables,
you go to Variable View. Text variable names can be a maximum of 8 characters with no
spaces. This means it is helpful to make a rough plan of how you will enter data into SPSS – in
which order you will show the variables and what variable names you will use. There is a field
called “variable label” in which you can put more detailed text if needed. It is also possible to
enter labels for Values (all except interval values), so for example you may have a variable

123
labelled Gender, which has values labelled Male and Female, though you have coded Male as
1 and Female as 2 in the Data view. Value and variable labels will be used by SPSS in the
Output charts.

When you perform an analysis with SPSS (by clicking Analyse and entering any relevant
information about what you want done) it is held as Output in an Output viewer screen (which
only appears after an analysis has been done).

2.4 WEIGHTING CASES

It is possible to weight cases when using stratified random sampling and when there is an
unequal response rate for different strata. This is simple to do and researchers do this from time
to time, but it does impose constraints on how statistical inferences can be drawn, since cases
in the lower response stratum are treated as if there were more of them than there are (i.e.
higher weighting in the dataset). Best avoided if possible unless you are really confident in
statistics.

2.5 CHOOSING APPROPRIATE WAYS TO DATA PRESENTATION

You may have a clear idea of what you are looking for in the data, but once the data is entered
into either a spreadsheet or an analysis package like SPSS, other possible ways of analysing
the data become apparent. We usually begin by attempting to describe particular values, their
range, their central tendency, their dispersion around the mean. We can look at the data trends
over time, and look for proportions in the data. This is called univariate analysis because we
are looking usually at one variable at a time.

Once we have a clear picture of how the individual variables are behaving, we can start
looking for relationships between variables – bivariate analysis. A range of methods is shown
below for these two kinds of analysis.

Frequency tables – univariate.

Tables show a list of categories (types of response) and the numbers of people responding to
each. Sometimes just as a number, sometimes a percentage of the total choosing this response.
When building a frequency table for interval variables, categories will usually be grouped (if
not the table would probably be too long). Make sure your groups of categories are exclusive
eg for ages 21-30, 31-40 etc not 20-30, 30-40 as this leads to difficulties of coding for age 30.

Bar charts, histograms and pie charts – univariate

These are generally used for nominal or ordinal variables, so bars will be separated along the x
axis. If using an interval variable, then a histogram would be used rather than a bar chart. It
looks very similar but the axis shows a continuous interval range and adjoining “bars” are not
124
separated. Note that pie charts should not show more than six segments – more than this will
be very difficult to read, so either use a bar chart, or group the data before producing the pie
chart.

Measures of central tendency -univariate

This will be mean (average), median (midpoint value in ranked list) or mode (most frequently
occurring value) in a range of values. The measure is a single figure so is not representable in a
chart, however, a series of means, medians etc can be charted or shown in a table. Mean is
calculated only for interval variables. Median is calculated for interval or ordinal variables.
Mode can be calculated for any variable.

Measures of dispersion -univariate

This will be the range (difference between maximum and minimum value in a list of interval
variables), the inter-quartile range (data must be in rank order, then this will show the
difference within the middle 50% of values) or the standard deviation (data should be normally
distributed for this to be effective). The standard deviation is the average amount of variation
around the mean (calculated by taking the difference between each value and the mean,
totalling these differences and dividing the total by the number of values). A higher standard
deviation therefore means greater variation around the mean.

We might use a box plot to look at both central tendency and dispersion in a chart format
(SPSS can produce these from your data). The box plot shows where the median of the data
lies and how the data clusters around that median or middle value. 50% of the data will lie in
the “interquartile range” shown in the box plot as a rectangle with the median line cutting
vertically through it. In this example, the median is off-centre to the left, so we can see that this
set of values is “skewed positively”, rather than showing a classic normal distribution (see
notes on sampling). The plot shows with an extended horizontal line the extent of the lower
quartile (ie the 25% of the data with the lowest values) and the higher quartile – same but for
the highest values. There are two more values from the data set which sit outside the range of
most of the data, called “outliers” – they are on the right of the chart. This kind of chart is
useful when in your research you want to give an interquartile range (“half of the values are
between x and y”) and to see whether a normal distribution applies. This will also affect your
later statistical analysis.

Charts, diagrams and tables – the detail

It is probably quite obvious, but all diagrams etc which are presented in a research report will
need to be checked for detail. When you are putting the last minute touches to a report before a
deadline (at study and at work) it is easy to imagine that everyone will know what this graph
shows. This leads to a big problem if we leave it at that. You must check each graph to ensure
it has a clear title, the units of measurement involved are shown, any data source is shown, the
125
sample size is shown where relevant, the axes are labelled, the variables read in a comparable
way if more than one chart uses the same axes and variables eg left to right or top to bottom
and there is a key or legend which is readable (importing from Excel often leads to very tiny
illegible legends – they must be reformatted). It can also be helpful to introduce a chart in the
text with an idea for the reader of what it will show, then after the chart in the text, explain
what you think it showed. Of course, readers will want to make up their own minds, but it is
helpful to let them know what you think they should look for in the chart.

Trends over time

Usually shown in a line graph where time is on the horizontal axis. This is always a good first
step. Then if you wish to look at a trend over time for a single variable, the most common
method is the use of index numbers. The base period is usually represented by the number 100.

Then each value is converted to an index number by dividing the data value for the case by the
data value for the base period and multiplying by 100. Why bother converting each value to an
index number? Generally because it makes comparison across time or numbers much simpler –
can be done at a glance. Try to find an example (from the web or media) of a trend using index
numbers. Suppose we want to take the trend further and estimate where it will go after the
actual data we have to hand? Here we are into forecasting and we will be covering this in our
last but one chapter.

2.6 SELECTING APPROPRIATE STATISTICAL TOOLS FOR RESEARCH

VARIABLES
Relationships between variables – bivariate analysis
Relationships between variables means the variation in one variable coincides with variation in
another variable, it does not imply a causal relationship, ie it does not necessarily follow that
one will be an independent and one a dependent variable. Though this can sometimes seem
obvious – eg if the two variables include something like age or gender which can influence the
other variable but not be influenced by other variables. (Presumably the amount you eat could
be influenced by your age, but your age could not be influenced by the amount you eat!).
Contingency tables or cross-tabulations – bivariate
Set up as a frequency table including column percentages but showing both variables against
the chosen categories. If one variable is suspected of being the independent variable, this is
shown as a column variable not a row variable. Such tables are used to look for patterns of
association in the data.
Pearson’s r or Pearson’s Product Moment Correlation Coefficient (PMCC) – bivariate
Looks for relationships between interval variables. The strength of the relationship varies
between 0 (ie no relationship) and 1 (perfect relationship) so the closer Pearson’s r is to 1, the
stronger the relationship between the two variables. Pearson’s r will either be positive or

126
negative, which indicates the direction of the relationship, ie +1 is a perfect positive
relationship (as one variable increases, the other increases, -1 is a perfect negative relationship
(as one variable increases the other decreases). Before calculating Pearson’s r, it is worth
constructing a scatter diagram for the two variables, as it should only be used when there is a
broadly linear relationship, it will not hold for a curve relationship.
Regression analysis
A coefficient of determination (can also be called a regression coefficient) can be calculated by
squaring the value of Pearson’s r and multiplying it by 100. This produces a percentage, which
describes the proportion of variation in one dependent variable accounted for by the other
independent variable. So if we explored the relationship between age and weight in a sample,
producing a Pearson’s r value of -0.35, then the coefficient of determination would be 12.25%,
which suggests that in our sample 12.25% of the variation in weight was accounted for by
variation in age. A similar analysis where more than one independent variables are involved is
called multiple regression analysis.
Spearman’s rho) – bivariate
This is used when at least one of the two variables is ordinal, and the other is ordinal or
interval. This calculation produces the same kind of outcome as Pearson’s r, ie a positive or
negative relationship between 0 (no relationship) and 1 (perfect relationship).
Phi and Cramér’s V – bivariate
Phi is used for exploring a relationship between two dichotomous variables, Cramér’s V does
the same for two nominal variables. Phi outcomes are like Pearson’s r and Spearman’s rho and
can vary between 0 and + or –1. Cramér’s V can only show strength of relationship, not
direction (the coefficient is always positive).
Eta – bivariate
Eta is used to explore relationships between an interval variable and a nominal variable and
like Cramér’s V can only show strength of relationship, not direction. It does not assume a
linear relationship.
Statistical significance
A way of testing the level of confidence we can have that a probability sampling technique has
generated results, which can apply to the full population. Such a test can also estimate the
chances of no relationship in fact existing between two variables, when bivariate analysis
suggests that there is.

We often use the word “significant” to mean the same as important when we are writing text.
Your understanding of the phrase “statistical significance” should prevent you from now on
from using “significant” in academic work, unless you are relating this to a statistical test.

To calculate statistical significance, we set up a “null hypothesis” ie that two variables in the
sample are not related. Then decide the level of statistical significance we find acceptable, ie
the level of risk that we would reject the null hypothesis (ie say the variables are related) when
127
in fact they were not related. It is usual to say that the maximum level of 0.05 is acceptable (ie.
p<0.05). This suggests that in no more than 5 cases out of 100, will we be wrong (ie suggest a
relationship which is not there) – the same as saying we have 95% certainty that the
relationship is correct. We can choose a more stringent level of certainty (e.g. p<0.01 where
there is only a 1 in a 100 chance of our relationship not existing when we say it does). This
would, however, increase the risk of a “Type 2 error”, which means confirming the null
hypothesis (that there is no relationship) when in fact there is a relationship.

We should bear in mind that the likelihood of a statistically significant result will increase with
sample size – for the obvious reason that the bigger the sample in relation to the population,
the less likely that any analysis on the sample will differ from the population by chance. So if
we think there is likely to be low statistical significance, we should increase sample size if
possible, to make the analysis more sensitive to statistical significance. Very small samples,
below 30, are more likely to show an unacceptable p level ie above 0.05 probability that the
difference is caused by chance.

We use a chi-square test ( 2) to produce our level of statistical signficance (p or probability

level). This test looks at each cell in a contingency table and calculates the expected value if
there was no relationship but the value was a product of chance, works out the difference
between each expected value and the given value and sums the differences. This produces a
single chi square value for the table, which is not important in itself, but is produced with a
statistical significance level (p). This is the number we are looking for, to check against our
desired level of certainty. As well as applying chi-square tests to contingency tables, tests of
statistical significance should be applied to all bivariate analysis outcomes (coefficients) such
as Spearman’s rho and Pearson’s r. This helps us to be sure that the correlation we expect from
the sample, really does exist in the population.
Testing whether groups are different – multivariate analysis
If we want to test whether the distribution of a variable in a sample is similar to or different
from the distribution of a population or census which is already known, then we can use a
Kolmogorov-Smirnov test (only if data is ranked). The test produces a D statistic, which is
used to calculate whether the sample distribution differs from the full population distribution
by chance only.

Where we have a quantifiable variable which can be split into two groups of values using a
descriptive variable, we can test the probability of the groups being different using an
independent groups t-test. The lower the t statistic, the more likelihood of any difference in the
groups being caused by chance. Similarly a paired t-test can be used to measure pairs of
variables, e.g. a machine’s speed of operation before and after maintenance.

128
Differences between three or more groups can also be tested to see if they are likely to be
occurring by chance or if there is really a “statistically significant difference” – this is done
using one-way analysis of variance, ANOVA, and produces an F statistic plus a significance
probability level. A high F statistic and a significance p level of below 0.05 should offer a
“statistically significant” result, i.e. not one occurring by chance. An ANOVA example might
involve members of three or more different groups of staff producing values for “degree of
learning” after a training course. The ANOVA test can establish whether different results in
degrees of learning after training which seem to be shown by the different staff groups could
occur by chance, or whether there is a “statistically significant” difference between them.
There are some data requirements for ANOVA, but broadly this can be used provided there are
at least 30 values in each group and each value is independent of others.

Activity 8.1
1. Why is it important to think through the data likely to be produced from your research at an
early stage?
2. Why do you need to know the difference between interval, ordinal, nominal and
dichotomous variables?
3. What is bivariate analysis?
4. What is the minimum number of cases you need to make a sample useful for statistical
analysis?
5. What is the level of probability (p) needed to state in your research results you have found
a “statistically significant” difference?
6. What is the purpose of using index numbers and an example from the web or media?

SECTION III

ANALYSING QUALITATIVE DATA

SECTION OBJECTIVES
By the end of this section, successful students will be able to:
1. understand and deal with key issues in qualitative data analysis
2. identify a range of qualitative research methods applicable to different research
topics
3. understand how qualitative data can be prepared for analysis
4. identify computer based methods for qualitative data analysis

SECTION OVERVIEW
3.1 Key issues in qualitative data analysis
3.2 Qualitative research methods applicable to different research topics

129
 3.3 Key operations required in qualitative data analysis
3.4 How qualitative data can be prepared for analysis?
3.5 Computer based methods for qualitative data analysis

3.1 KEY ISSUES IN QUALITATIVE DATA ANALYSIS

Clearly qualitative research is a different kettle of fish from a quantitative study – we explored
the differences in earlier weeks. At first sight, it may seem that qualitative research is more
difficult to pin down, less precise. In fact, qualitative methods are usually governed by clear
rules and offer a way of exploring issues, which cannot be expressed by number.

Qualitative methods are increasingly accepted in social science and business research. Human
organisations and human behavior are difficult to hold still and isolate, since they change
constantly and can offer different dimensions of themselves to different audiences. Think about
the function of Public Relations and the different faces of an organisation which may be shown
to shareholders, customers, staff, suppliers for example. So it rarely makes sense to look only
at numerical measured evidence when trying to understand what is going on in an organisation
or other group of people. This is not to rule out quantitative study – naturally there are
financial data and other quantitative data which can be established and monitored around
business organisations and which will be of vital importance in their study and their day-to-day
management. But there is also clearly a place for perception studies, looking at what people
think or feel is going on at work, as this will also affect day-to-day and strategic long-term
practice in organisations.

Some key differences between quantitative and qualitative method are shown below (taken
from Bryman and Bell (2003 p302)): some of these distinctions are arguable – for example
“structured” vs “unstructured”, macro vs micro. Also, we should bear in mind that mixed
quantitative and qualitative methods can usefully be used, where elements of both approaches
can be used both to triangulate results and to develop richer pictures still of the phenomenon
under investigation.
Quantitative Qualitative
Numbers Words
Point of view of researcher Points of view of participants
Researcher distant Researcher close
Theory testing Theory emergent
Static Process
Structured Unstructured
Generalisation Contextual understanding
Hard reliable data Rich deep data
Macro Micro

130
 Behavior Meaning
Artificial settings Natural settings

It is helpful to reflect on the influence of the researcher in qualitative research. As we have

already discussed, there is a researcher influence to some extent in all research and analysis,
however qualitative methods are more likely to suggest subjectivity. For this reason, it is
essential to reflect on ways in which your qualitative data and analysis could be affected by
your standpoint and contextual understanding, as well as your expectations of the research, and
to make this explicit within your research report. It will also be necessary to be very clear and
explicit about the method of research and analysis adopted, just as we must be in quantitative
research.

3.2 QUALITATIVE METHODS APPLICABLE TO DIFFERENT RESEARCH

TOPICS
1. Action research for example will involve the researcher as an active participant in the
situation under study. As an actor in the organisation in which they may be employed, an
action researcher seeks to explore and understand the world of which they are a part, and
action research can help all involved in that business situation to understand better what is
happening through a time of radical change – for example business restructuring,
redundancy etc.
2. Case study research will involve more than one way of deriving data about the case or
organisation/unit under study. This may include collecting and analysing documents,
talking to people, survey data, participant observation, consumer research and any other
data collection techniques which offer qualitative information about the case.
3. Ethnographic research comes from the study of anthropology, where “tribes” are lived in
and observed for purposes of research. This kind of research will raise ethical issues,
especially about the impact of the research on the life and behavior of the group studied.
The presence of a researcher in any group is likely to affect how people behave to one
another. In a less deep and sustained involvement, participant observation may offer
similar researcher impact on results.

3.3 KEY OPERATIONS REQUIRED IN QUALITATIVE DATA ANALYSIS

 Where data is derived from interviews – individual or group, structured or semi-structured
or unstructured – there will be a need to transcribe the recording of that interview before
analysis. This brings its own problems of time, cost, method and detail.
 Development of themes, categories or ideas (from the literature (which may then be used to
offer a hypothesis for testing in the data-deductive approach) or from the data itself
(inductive approach).

131
 Unitising, coding or finding units of meaning within the data, which relate to or add to or
amend the categories Constant comparative method leading to saturation of categories –
this terminology comes from grounded theory but the activity is not confined to this
approach; a constant iterative process of checking how the data meanings fit the categories
or themes
 Understanding the variation and role of language as an intermediary in the communication
of ideas
 In many cases, the production of researcher summaries, log books, contextual notes to help
provide further explanatory detail to transcripts or observations

3.4 HOW QUALITATIVE DATA CAN BE PREPARED FOR ANALYSIS?

In most cases, this will involve some kind of transcription. Although simply taking notes of
observations, and in some cases in interviews, may be sufficient, a transcript is important for
conversations in which the researcher wishes to play some part, so that they are not required to
both write notes and conduct an interview or group discussion. This will mean gaining
agreement for recording, finding a suitable instrument for recording and transcription and
undertaking the transcription itself. Suitable recording equipment will not be too intimidating
for the interviewee(s), will be reliable (!), will have a reliable power supply, will have a
microphone which can pick up every speaker clearly including the researcher, and will produce
adequate sound quality for transcription. Remember that interviewees may begin by speaking
clearly and loudly as they are aware of the recording, but voice tone and pitch may soften later,
so set the recording level high. Always test the recorder at the start of an interview.

Increasingly, digital voice recorders are being used for this purpose as they are small, relatively
inexpensive and can record longer sessions than many audio tapes. You may wish to use both a
conventional audio tape recorder and a digital recorder to make quite sure a useful recording is
made. Digital recorders are useful as interviews can be played back to the researcher through
MP3 players or computers with speakers, removing the need for sitting by a tape player. Do
not be tempted to voice record without gaining full agreement from the interviewees (as small
digital recorders are now able to do this), clearly this data cannot be used ethically if collected
without consent.

Beware voice-activated equipment (which switches off when there is nothing being said) as
this can lose definition owing to the transition from off to on when a voice is heard. At the
current time, there is relatively little reliable voice to text automatic transcription software,
which does not take nearly as much time (or more) than simply audio typing the transcript
directly. Current versions of this software usually require the researcher to “teach” the software
each voice to be heard in the data – this is not usually practical in an interview situation. The
alternative is to teach the software your own voice and play and re-record the whole interview

132
in your own voice. The software is still unlikely to be wholly accurate. Transcription machines
work usually with audio tapes and simplify transcription by providing foot-operated control of
the tape, so that the hands can remain on the keyboard.

It can be possible to pay someone to transcribe interview data for you, which can be helpful if
there is a great deal of interview data. However, this does deny the researcher the opportunity
of getting to know the interview in great detail during transcription; sometimes it is preferable
to do this personally – or it may be the only alternative available.

When transcribing, maintain a context sheet to record non-verbal interventions or interruptions,

as this data may affect how the transcript is understood. Transcripts should ideally be double-
spaced to allow for coding and other notes to be made on the document. Decide rules for
referring to individuals in the interview (actual names are not usually typed up for reasons of
confidentiality). You will also need to decide how to type up repetitions of words and phrases,
as this is common in speech patterns but usually adds little to the data. Bear in mind that a
good typist can take 4-8 hours to type up one hour of interview, this is a very time-consuming
process.

Respondent validation: it may be helpful to send transcripts for checking by the interviewees.
This helps to build credibility in the transcripts, but is not always acceptable to the interviewee.
At minimum, you the researcher must check every transcript against the recording, as it is easy
to make mistakes in transcription (sometimes a mind-numbing process) yet such errors may
lead to considerable effects on analysis.

3.5 COMPUTER BASED METHODS FOR QUALITATIVE DATA ANALYSIS

Computer aided qualitative data analysis software (CAQDAS) is increasingly available, though
like voice recognition software, this will not necessarily reduce analysis time by a great deal
and will not be that straightforward. A common program in use is “NVivo” and a number of
research articles can be found discussing its use.

CAQDAS can produce quantitative data from qualitative method, for example by producing
frequency data on particular events, words etc. However, its main use is the qualitative analysis
of such data a interview transcripts or narratives. They do this by organising the data,
providing instant access to a data once entered, searching and retrieving particular words or
phrases, coding and retrieving data interrogating data on the basis of language used,
relationships between codes, allowing comments notes to be written in relation to the data and
producing output reports to other software packages (Microsoft Word™, Microsoft Excel™,
SPSS™).

133
Activity 8.2
1. What are the key differences between qualitative and quantitative research methods?
2. What are the main activities involved in qualitative analysis?
3. What is action research – can you provide an example of how this might be used in
business research?
4. What is the case for and against someone else transcribing your interview data?
5. To what extent is NVivo likely to produce different results from your qualitative data than
analysing manually?

SUMMARY
The methods you use to analyse your data will depend upon whether you have chosen to
conduct qualitative or quantitative research.

For quantitative data analysis, issues of validity and reliability are important. Qualitative data
analysis is very personal process. Ask two researchers to analyse transcript and they will
probably come up with very different results. After having conducted an interview or focus
group, it is useful to complete summary form which contains details about the interview. This
can be attached to the transcript and can be used to help the analysis.

Qualitative data analysis methods can be viewed as forming continuum from highly qualitative
methods to almost quantitative methods, which involve an element of counting. Examples of
qualitative data analysis include thematic analysis, comparative analysis, discourse analysis
and content analysis. The analysis of large-scale surveys is best done with the use of statistical
software, although simple frequency counts can be undertaken manually.

Data can be measured using nominal scales, ordinal scales or interval scales. A simple average
is called an arithmetic mean; the middle value of a range is called the median; the most
frequently occurring value is called the mode.
REVIEW QUESTIONS
1. What is data processing?
2. What are the steps in data processing?
3. What is editing?
4. What are the stages of editing?
5. What is coding? What are the guidelines to codify the data?
6. What is tabulation?
7. What are the different kinds of tabulation?
8. How to summarise & classify the collected data?
9. Explain the following: (a) Mode (b) Median (c) Mean
10. What is measure of dispersion?
11. Explain the following: (a) Mean Deviation (b) Variance & Standard deviation
(c) Coefficient of variation
12. Explain: How to interpret the collected data?

134
13. What are the precautions to be taken while interpreting research data?
14. What are sampling and non-sampling errors?
15. What are statistical estimates?

REFERENCES
Cooper, R. D. & Emory, C. W. (1995). Business research methods (5th ed.). USA: McGraw
Hill.
DR. Vatsyayan (1989); Methods & techniques of Social Survey and Research (in questions &
answers), Kedar Nath Ram Nath, New Delhi.
Gibaldi, Joseph (1995). MLA handbook for writers of research papers (4th ed.). USA: The
Modern Language Association of America.
Green, E. P., Tull, D. S. & Albaum, G. (1998). Research for marketing decisions. New Delhi:
Prentice Hall of India.
Hussey, J. & Hussey, R. (1997). Business research, a practical guide for undergraduate and
postgraduate students, Great Britain: Macmillan Press LTD.
Kothari, C. R. (1990). Research methodology, methods & techniques. New Delhi: Wishwa
Prakashan, Wiley Eastern Limited.
Kumar, R. (2005). Research methodology, a step-by-step guide for beginners (2nd ed.).
London: Sage Publications
Locke, F. L., Spirduso, W., & Stephen, S. (1993). Proposal that work- a guide for planning
dissertation and grant. California: Sage Publications, Inc. Newbury Park.
Yin, K. R. (1994). Case study research, designs and methods (2nd ed.). USA: Sage Production
Editor.
Zikmund, G. W. (1998). Business research methods (5th ed.). USA: The Dryden Press,
Oklahoma State University.

135
 UNIT NINE

WRITING UP A RESEARCH REPORT

UNIT OBJECTIVES

By the end of this unit, you should be able to:

1. comprehend how to report research findings.
2. explain types of research reports and technicalities of its organization.
3. explain basic contents and organization of written research reports.
4. describe general style and formatting guidelines of written research report.
5. know how to make oral presentations of research reports.

UNIT INTRODUCTION

Like an architect who designs a house has to draw a plan, you first have to make an OUTLINE
for your report. This outline will contain a head, a body and a tail. The head consists of a
description of your problem, within its context (the country and research area), the objectives
of the study and the methodology followed. This part should not comprise more than one
quarter of the report, otherwise it becomes top-heavy. The body will form the bigger part of
your report: it will contain the research findings. The tail, finally, consists of the discussion of
your data, conclusions and recommendations.

The findings, discussion of findings, conclusions and recommendations will form the most
substantial part of your report, which has to be written from scratch. Then you will have to
make your report attractive and user-friendly with a creative title page, a preface with
acknowledgements, a table of contents, perhaps a list of tables, figures and/or abbreviations. Of
course, the references you used for your study will have to be added, and annexes (including,
at minimum, your data-collection tools). Before you start writing, it is therefore essential to
group and review the data you have analysed by objective. Check whether all data has indeed
been processed and analysed as planned. Draw major conclusions and relate these to the
literature read.

Again you may be inspired to go back to your raw data and refine your analysis, or to search
for additional literature to answer questions that the analysis of your data may evoke. Compile
the major conclusions and tables or quotes from qualitative data related to each specific
objective. You are now ready to draft the report.

136
9.1 The Different Components of a Research Report

A research report consists of different sections, including the abstract, introductions, literature
review, method or research design, results or findings, discussion, conclusions and
recommendations, references, or annexes or appendices.

1.1 THE ABSTRACT

For conference papers, research papers, theses and dissertations, you will usually be asked to
write an abstract. The main point to remember is that it must be short, because it should give a
summary of your research. In fact, not only are abstracts short, they must usually be a certain,
specified length. Many abstracts are, so, before you begin writing, you must find out how long
your abstract should be and you should come close to - but not go over - this limit. Abstracts
that exceed the maximum word limit are often rejected because they cannot be used for
databases, summaries of conferences, etc. An abstract should briefly:
1. Re-establish the topic of the research.
2. Give the research problem and/or main objective of the research (this usually comes
first).
3. Indicate the methodology used.
4. Present the main findings.
5. Present the main conclusions

It is essential that your abstract includes all the keywords of your research, as it will enabled on
databases which other researchers will search. Obviously if you only have two hundred words,
you can only cover each of these areas briefly. The emphasis is generally on the main findings
and main conclusions since these areas are of most interest to readers.

1.1.1 Common Problems

Too long. If your abstract is too long, it may be rejected - abstracts are entered on databases,
and those is usually a specified maximum number of words. Abstracts are often too long
because people forget to count their words (remember that you can use your word processing
program to do this) and make their abstracts too detailed (see below).
Too much detail. Abstracts that are too long often have unnecessary details. The abstract is
not the place for detailed explanations of methodology or for details about the context of your
research problem because you simply do not have the space to present anything but the main
points of your research.
Too short. Shorter is not necessarily better. If your word limit is 200 but you only write 95
words, you probably have not written in sufficient detail. You should review your abstract and
see where you could usefully give more explanation - remember that in many cases readers

137
decide whether to read the rest of your research from looking at the abstract. Many writers do
not give sufficient information about their findings
Failure to include important information. You need to be careful to cover the points listed
above. Often people do not cover all of them because they spend too long explaining, for
example, the methodology and then do not have enough space to present their conclusion.

1.2 INTRODUCTIONS
Of course, the introduction comes at the start of a piece of writing. It introduces the research by
situating it (by giving background), presenting the research problem and saying how and why
this problem will be "solved." Without this important information, the reader cannot easily
understand the more detailed information about the research that comes later in the thesis. It
also explains why the research is being done (rationale) which is crucial for the reader to
understand the significance of the study. After reading an introduction, the reader should be
able to answer most of these questions:
1. What is the context of this problem? In what situation or environment can this problem
be observed? (Background)
2. Why is this research important? Who will benefit? Why do we need to know this? Why
does this situation, method, model or piece of equipment need to be improved? (Rationale)
3. What is it we don’t know? What is the gap in our knowledge this research will fill? What
needs to be improved? (Problem Statement)
4. What steps will the researcher take to try and fill this gap or improve the situation?
(Objectives)
5. Is there any aspect of the problem the researcher will not discuss? Is the study limited to a
specific geographical area or to only certain aspects of the situation? (Scope)
6. Is there any factor, condition or circumstance that prevents the researcher from achieving
all his/her objectives? (Limitations)
7. In considering his/her method, model, formulation or approach, does the researcher take
certain conditions, states, requirements for granted? Are there certain fundamental
conditions or states the researcher takes to be true? (Assumptions)

1.2.1 Common Problems

Too much detail, and hence too long. Remember, this is the introduction, a kind of overview.
Although you will cover important points, detailed descriptions of method, study site and
results will be in later sections. Look at the proportion of a research paper an introduction takes
up. Notice it is comparatively short because it serves as a summary of what follows.
Repetition of words, phrases or ideas. You will have keywords that are crucial to your study.
However, your reader doesn't want to read them over and over! A high level of repetition
makes your writing look careless. To reduce it, highlight repeated words or phrases - then you
can easily judge if you are overusing them and find synonyms or pronouns to replace them.

138
Unclear problem definition. Without a clear definition of your research problem, your reader
is left with no clear idea of what you were studying. This means that they cannot judge your
work's relevance to their own work, or its usefulness, quality, etc. As an exercise, you should
be able to complete a sentence that starts, "The purpose of this study is . . ." that encapsulates
the problem you are investigating. Of course you will not include this exact sentence in your
thesis, but it serves as an easy way to check that you have a clearly defined problem. In your
report, you should be able to write your research problem in one sentence - you can add details
in the sentences that follow. You should also ensure that your research problem matches the
title of your thesis (you'd be surprised how many don't!) as well as its methodology and
objectives.
Poor organization. Writing an introduction that effectively introduces your research problem
and encapsulates your study is not an easy task. Often when we write we discover gradually
what we want to say and how we want to say it. Writing is often a process of discovery. Bear
this in mind when you write your introduction, and be prepared to go back and make big
changes to what you have written, and the order in which you have presented your ideas and
information. Your introduction must have a logical sequence that your reader can follow
easily. Some suggestions for how to organize your introduction are given below (see the next
section and the modified Swales schema).

1.2.2 How Research Article Introductions are Organized

The schema presented here is the pattern that is found occurring in a majority of the articles. It
is not a set of rules for how you must write - rather, it is a useful guideline for how to think
about structuring your information.
Move 1: Establish the field by:
Claiming centrality (why this field of study is important) and/or
Moving from general to specific and/or
Reviewing relevant items of previous research
Move 2: Define a research problem by:
Indicating a gap or
Raising a question or
Continuing a previously developed line of inquiry or (disagreeing with
existing/ accepted approach)
Move 3: Propose a solution by:
Outlining purpose/setting objectives and/or
Announcing present research (methodology) and
Announcing principal findings (results) and
Indicating the structure of the research

MOVE 1: ESTABLISH THE FIELD

139
First you need to establish the area of research in which your work belongs, and to provide a
context for the research problem. This has three main elements:
Claiming centrality: Claiming that the area of research is an important one, and therefore
implying that the research done is also crucial. For example:
"Minimum safe low temperatures (above freezing) and high humidity control are the most
important tools for extending shelf life in vegetables." (Barth et al., 1993). Here the words "the
most important tools" indicate centrality by showing that these two factors are crucial.
General to specific: Most writing starts with general information and then moves to specific
information. This is true of introductions too. For example:
In recent years, there has been an increased awareness of the potential impact of
pollutants such as heavy metals. Moreover, the traditional methods for treating aqueous
streams containing metal contaminants are expensive and can have inadequate facilities
(1). This is particularly true in developing countries. This has led to the use of
alternative technologies. The use of biological materials is one such technology which
has received considerable attention. (Ho et al., 1996)

Explanations on the example

1. The first sentence: impact of heavy metals (general).
2. The second sentence: expense and shortcomings of methods of removing heavy metals
(less general).
3. The third sentence: expense and shortcomings of methods of removing heavy metals in
developing countries (more specific).
4. The fourth sentence: alternative technologies to overcome expense and shortcomings
of methods of removing heavy metals (yet more specific).
5. The fifth sentence: biological materials as an example of alternative technologies to
overcome the expense and shortcomings of methods of removing heavy metals (very
specific).
Notice how each sentence adds a piece of information (shown in italics) to move the
introduction from the general topic of "heavy metals" to the specific topic of "biological
materials as an alternative method of removing heavy metals." Do not begin by being
too general. If your work is examining the delivery of cash to ATM machines, do not start by a
history of the banking system in Europe since the Middle Ages - it's probably not relevant and
will mean you will take a very long time to reach the specific area of your research. Think of
"general" in terms of information which will help your reader understand the context of your
research problem.

Previous research: Often the introduction will refer to work already done in the research area
in order to provide background (and often also to help define the research problem). For
example:

140
 Numerous studies on the utilization of plant proteins as a partial or complete
replacement for fishmeal in diets have been conducted using various freshwater and
marines fishes (Lovell, 1987; Tacon et al., 1983; Murai et al., 1989a; Cowey et al.,
1974).

MOVE 2: DEFINE A RESEARCH PROBLEM

Your research must be new in some way. It must add knowledge to your field so you need to
show in what way your work explores an area/issue/question that has previously not been
explored, or not been explored in detail, in not explored in the way that you are going to use. In
other words, you need to give a rationale for your work (i.e. show the reasons for doing it).
There are four ways to demonstrate that you are adding to the knowledge in your field:
1. Gap: A research gap is an area where no or little research has been carried out. This is
shown by outlining the work already done to show where there is a gap in the research
(which you will then fill with your research). For example:
Numerous studies on the utilization of plant proteins as a partial or complete
replacement for fishmeal in diets have been conducted using various freshwater and
marines fishes (Lovell, 1987; Tacon et al., 1983; Murai et al., 1989a; Cowey et al.,
1974). However, very little is known about the feasibility of using soybean meal as a
dietary protein source in practical feeds for yellowtail Seriola quinqueradiata. (Takii et
al., 1989)

2. Raising a question: The research problem is defined by asking a question to which the
answer is unknown, and which you will explore in your research. For example:
The question we address here is how technological change occurs when it is the overall
system that needs to be changed. In particular, how can we begin and sustain a
technological transition away from hydrocarbon based technologies? (Street and Miles,
1996)

3. Continuing a previously developed line of enquiry: Building on work already done, but
taking it further (by using a new sample, extending the area studied, taking more factors
into consideration, taking fewer factors into consideration, etc.). For example:
Taking all these elements and their possible variations into account is often far too
complex and tedious for determining efficient gas development patterns with simple
back of the envelope calculations. In their survey of these elements, Julius and
Mashayeki [8] present a detailed analysis of these different interactions. They suggest
that these be taken into account through gas planning models constructed in the same
spirit as the planning models developed in the power generation sector. In this paper,
we present a gas planning model that fulfils some of the specifications established in
Julius and Mashayeki [8]. (Boucher and Smeers, 1996)

141
4. Counter-claiming: A conflicting claim, theory or method is put forward. Here, for
example, the researchers argue that previous researchers' assessments of cost effectiveness
were too complex, and that a simplified process could and should be used instead:
Evaluating the cost effectiveness of distributed generation is a crucial resource planning
issue. Many have assessed cost effectiveness by dividing the utility system into many
parts and estimating distributed generation's value to each part. When this is done, total
value can be composed of ten or more individual components (Hoff and Shugar, 1995),
substation transformer (El-Gassier et al., 1993), transmission system, generation
system, voltage support (Hoff et al., 1994) reliability, energy savings, electrical loss
savings (Hoff and Shugar, 1995) minimum load savings, modularity and flexibility
(Morris et al., 1993) and financial risk reduction values (Awerbuch, 1994). Although
impressive, this list of value components suggests that determining the value of
distributed generation requires a team of experts assembled from each department
within the utility. This paper describes a simplified evaluation process based on the
observation that distributed generation is of value because it reduces variable costs or
defers capacity investments.

MOVE 3: PROPOSE A SOLUTION

Once the field and problem have been defined, it is time to give the "solution." In other words,
how will the research gap be filled? How will the question that was raised be answered? This
last part of the introduction can also be used to show the benefits, to explain the objectives, to
clarify the scope of the research, to announce what was found from doing the research and how
it can be used. Notice that an introduction will discuss a number of the following points but is
unlikely to cover them all.

Outlining purpose: Often researchers will describe their objectives in their introduction in
order for the reader to have a clear idea of what they set out to accomplish. Usually there is a
general objective written in one sentence (details of more specific objectives can be given in
following sentences). For example:
This work aims to establish the extent of interaction of alginate with calcium and
aluminium ions with respect to the influence of algal exudates have on the removal of
humic substances by aluminium coagulation during drinking water treatment. (Gregor
et al., 1996)

Hint! Always give an overall objective before giving specific objectives. This will help you
explain much more clearly to your reader what your work aimed to accomplish.

Announcing present research (method): Important points about the methodology used are
outlined, perhaps including the scope of the study. However, the methodology is not given in
detail (since details are given in the methodology section). For example:
142
 This paper examines the use of peat for the removal of two metals, copper and nickel,
from both mono-solute and bi-solute solutions. In particular, it reports the effect that a
competing ion has on the rates of removal and examines the mechanisms which may
affect the uptake of minerals. (Ho et al., 1996)

Announcing principle findings (results): Researchers may indicate the kind of results they
obtained, or an overall summary of their findings. For example:
Different operating modes of the MESFET mixers, gate mixers, drain mixers, and
resistive mixers were investigated in this work and the results proved that good
conversion characteristics could be achieved.(Angelov, 1991)

Indicating the structure of the research: It is useful to outline the organization of the written
up research that follows so that the reader has a clear idea of what is going to follow, and in
what order. For example:
This paper is organized as follows. Alternative representations of demand and supply
are discussed in sections 2 and 3 respectively. The model is described in section 4.
Section 5 presents an application of the tool to a gas reserves development timing
problem in Indonesia. The full set of equations is given in the appendix and is referred
to throughout the text. (Boucher and Smeers, 1996)

Indicating directions for further research: Research often opens up other areas where
research could or should be done, so it is common for these areas to be defined in the
introduction. It is also a way of indicating that the current study is not designed to be
comprehensive.
This paper takes a first step in this direction by laying out the rationale for
incorporating feedback and feedforward mechanisms in decision support for dynamic
tasks such as software project management (Sengupta and Abdel-Hamid, 1993).

Indicating benefits of current research: Indicating the benefits of the research helps to
justify why it was carried out and emphasizes the value of the study. For example:
The paper further suggests a multidisciplinary management approach to effect a
favorable outcome for the whole fishing community (Lim et al., 1995).

Notice that the introduction includes information that is presented in other parts of the thesis.
Does this mean that if you indicate your results in your Introduction that you will have nothing
left to present in your Results chapter? No! Introductions literally "introduce" information to
give an overview, often offering only a short summary because full details are given in later
chapters. Finally, the general and specific objectives should be included as stated in the
proposal. If necessary, you can adjust them slightly for style and sequence. However, you
should not change their basic nature. If you have not been able to meet some of the objectives,
143
this should be stated in the methodology section and in the discussion of the findings. The
objectives form the HEART of your study. They determined the methodology you chose and
will determine how you structure the reporting of your findings.

1.3 LITERATURE REVIEW

Although you might think of novels and poetry when you hear the word "literature," for a piece
of research the meaning is more specific. In terms of a literature review, "the literature" means
the works you consulted in order to understand and investigate your research problem.

Journal articles: these are good especially for up-to-date information. Bear in mind, though,
that it can take up to two years to publish articles. They are frequently used in literature
reviews because they offer a relatively concise, up-to-date format for research, and because all
reputable journals are refereed (i.e. editors publish only the most relevant and reliable
research).
Books: books tend to be less up-to-date as it takes longer for a book to be published than for a
journal article. Text books are unlikely to be useful for including in your literature review as
they are intended for teaching, not for research, but they do offer a good starting point from
which to find more detailed sources.
Conference proceedings: these can be useful in providing the latest research, or research that
has not been published. They are also helpful in providing information on which people are
currently involved in which research areas, and so can be helpful in tracking down other work
by the same researchers.
Government/corporate reports: many government departments and corporations commission
or carry out research. Their published findings can provide a useful source of information,
depending on your field of study.
Newspapers: since newspapers are generally intended for a general (not specialized) audience,
the information they provide will be of very limited use for your literature review. Often
newspapers are more helpful as providers of information about recent trends, discoveries or
changes, e.g. announcing changes in government policy, but you should then search for more
detailed information in other sources.
Theses and dissertations: these can be useful sources of information. However there are
disadvantages: 1) they can be difficult to obtain since they are not published, but are generally
only available from the library shelf or through interlibrary loan; 2) the student who carried out
the research may not be an experienced researcher and therefore you might have to treat their
findings with more caution than published research.
Internet: the fastest-growing source of information is on the Internet. It is impossible to
characterize the information available but here are some hints about using electronic sources:
1) bear in mind that anyone can post information on the Internet so the quality may not be
reliable, 2) the information you find may be intended for a general audience and so not be

144
suitable for inclusion in your literature review (information for a general audience is usually
less detailed) and 3) more and more refereed electronic journals (e-journals) are appearing on
the Internet - if they are refereed it means that there is an editorial board that evaluates the
work before publishing it in their e-journal, so the quality should be more reliable (depending
on the reputation of the journal).
CD-ROMS: at the moment, few CR-ROMs provide the kind of specialized, detailed
information about academic research that you need for your own research since most are
intended for a general audience. However, more and more bibliographies are being put onto
CD-ROM for use in academic libraries, so they can be a very valuable tool in searching for the
information you need.
Magazines: magazines intended for a general audience (e.g. Time) are unlikely to be useful in
providing the sort of information you need. Specialized magazines may be more useful (for
example business magazines for management students) but usually magazines are not useful
for your research except as a starting point by providing news or general information about
new discoveries, policies, etc. that you can further research in more specialized sources.

1.3.1 Why Write a Review of the Literature?

The literature review is a critical look at the existing research that is significant to the work that
you are carrying out. Some people think that it is a summary: this is not true. Although you
need to summarize relevant research, it is also vital that you evaluate this work, show the
relationships between different works, and show how it relates to your work. In other words,
you cannot simply give a concise description of, for example, an article: you need to select
what parts of the research to discuss (e.g. the methodology), show how it relates to the other
work (e.g. What other methodologies have been used? How are they similar? How are they
different?) and show how it relates to your work (what is its relationship to your
methodology?).

Keep in mind that the literature review should provide the context for your research by looking
at what work has already been done in your research area. It is not supposed to be just a
summary of other people's work! Here are some of the questions your literature review should
answer:
1. What do we already know in the immediate area concerned?
2. What are the characteristics of the key concepts or the main factors or variables?
3. What are the relationships between these key concepts, factors or variables?
4. What are the existing theories?
5. Where are the inconsistencies or other shortcomings in our knowledge and
understanding?
6. What views need to be (further) tested?
7. What evidence is lacking, inconclusive, contradictory or too limited?
8. Why study (further) the research problem?
145
 9. What contribution can the present study be expected to make?
10. What research designs or methods seem unsatisfactory?

1.3.2 Some traps to avoid:

Trying to read everything! As you might already have discovered, if you try to be
comprehensive you will never be able to finish the reading! The idea of the literature review is
not to provide a summary of all the published work that relates to your research, but a survey
of the most relevant and significant work.
Reading but not writing! It's easier to read than to write: given the choice, most of us would
rather sit down with a cup of coffee and read yet another article instead of putting ourselves in
front of the computer to write about what we have already read! Writing takes much more
effort, doesn't it? However, writing can help you to understand and find relationships between
the work you've read, so don't put writing off until you've "finished" reading - after all, you
will probably still be doing some reading all the way through to the end of your research
project. Also, don't think of what you first write as being the final or near-final version.
Writing is a way of thinking, so allow yourself to write as many drafts as you need, changing
your ideas and information as you learn more about the context of your research problem.
Not keeping bibliographic information! The moment will come when you have to write your
references page . . . and then you realize you have forgotten to keep the information you need,
and that you never got around to putting references into your work. The only solution is to
spend a lot of time in the library tracking down all those sources that you read, and going
through your writing to find which information came from which source. If you're lucky,
maybe you can actually do this before your defence - more likely, you will unable to find all
your sources, a big headache for you and your committee. To avoid this nightmare, always
keep this information in your notes. Always put references into your writing. Notice how on
this course we have referenced the works that we have referred to - you should do the same.

Literature review: an example

Here is an example of using the literature to explain and define a problem. This example is
taken from an introduction because most thesis literature reviews tend to be too long for us to
easily look at. Although your literature review will probably be much longer than the one
below, it is useful to look at the principles the writers have used.

On the optimal container size in automated warehouses

Y. Roll, M.J. Rosenblatt and D. Kadosh, Proceedings of the Ninth ICPR
Automated storage and retrieval systems (AS/RS) are being introduced into the
industry and warehousing at an increasing rate. Forecasts indicate that this trend will
continue for the foreseeable future (see [1]). Research in the area of AS/RS has
followed several avenues. Early work by Hausman, Schwarz and Graves [6, 7] was
concerned with storage assignment and interleaving policies, based on turnover rates of
146
 the various items. Elsayed [3] and Elsayed and Stern [4] compared algorithms for
handling orders in AR/RS. Additional work by Karasawa et al. [9], Azadivar [2] and
Parry et al. [11] deals with the design of an AS/RS and the determination of its
throughput by simulation and optimization techniques.

Several researchers addressed the problem of the optimal handling unit (pallet or
container) size, to be used in material handling and warehousing systems. Steudell [13],
Tanchoco and Agee[14], Tanchoco et al. [15] and Grasso and Tanchoco [5] studied
various aspects of this subject. The last two references incorporate the size of the pallet,
or unit load, in evaluation of the optimal lot sizes for multi-inventory systems with
limited storage space. In a report on a specific case, Normandin [10] has demonstrated
that using the 'best-size' container can result in considerable savings. A simulation
model combining container size and warehouse capacity considerations, in an AS/RS
environment, was developed by Kadosh [8]. The general results, reflecting the
stochastic nature of the flow of goods, are similar to those reported by Rosenblatt and
Roll [12]. Nevertheless, container size was found to affect overall warehousing costs.

In this paper, we present an analytical framework for approximating the optimal size of
a warehouse container. The approximation is based on series of generalizations and
specific assumptions. However, these are valid for a wide range of real life situations.
The underlying assumptions of the model are presented in the following section.

Notice how the writers have:

 grouped similar information: "Steudell [13], Tanchoco and Agee[14], Tanchoco et al. [15]
and Grasso and Tanchoco [5] studied various aspects of this subject."
 shown the relationship between the work of different researchers, showing
similarities/differences: "The general results, reflecting the stochastic nature of the flow of
goods, are similar to those reported by Rosenblatt and Roll [12]."
 indicated the position of the work in the research area history: "Early work by Hausman,
Schwarz and Graves [6, 7] . . . "
 moved from a general discussion of the research in AS/RS to the more specific area
(optimal container size) that they themselves are researching i.e. they relate previous work
to their own to define it, justify it and explain it.

1.4 METHOD OR RESEARCH DESIGN

The method section answers two main questions:
 How was the data collected or generated?
 How was it analyzed?

147
In other words, it shows your reader how you obtained your results. But why do you need to
explain how you obtained your results?
1. We need to know how the data was obtained because the method affects the results. For
instance, if you are investigating users' perceptions of the efficiency of public transport in
Bangkok, you will obtain different results if you use a multiple choice questionnaire than if
you conduct interviews. Knowing how the data was collected helps the reader evaluate the
validity and reliability of your results, and the conclusions you draw from them.
2. Often there are different methods that we can use to investigate a research problem. Your
methodology should make clear the reasons why you chose a particular method or
procedure.
3. The reader wants to know that the data was collected or generated in a way that is
consistent with accepted practice in the field of study. For example, if you are using a
questionnaire, readers need to know that it offered your respondents a reasonable range of
answers to choose from (asking if the efficiency of public transport in Jimma is "a.
excellent, b. very good or c. good" would obviously not be acceptable as it does not allow
respondents to give negative answers).
4. The research methods must be appropriate to the objectives of the study. If you perform a
case study of one commuter in order to investigate users' perceptions of the efficiency of
public transport in Bangkok, your method is obviously unsuited to your objectives.
5. The methodology should also discuss the problems that were anticipated and explain the
steps taken to prevent them from occurring, and the problems that did occur and the ways
their impact was minimized.
6. In some cases, it is useful for other researchers to adapt or replicate your methodology, so
often sufficient information is given to allow others to use the work. This is particularly the
case when a new method had been developed, or an innovative adaptation used.

1.4.1 Common Problems

 irrelevant detail
 unnecessary explanation of basic procedures
 Remember that you are not writing a how-to guide for beginners. Your readers will be
people who have a level of expertise in your field and you can assume that they are familiar
with basic assessments, laboratory procedures etc, so do not explain these in detail.
 problem blindness: Most of us encounter some problems when collecting or generating our
data. Do not ignore significant problems or pretend they did not occur. Often, recording
how you overcame obstacles can form an interesting part of the methodology, and means
you can also give rationale for certain decisions, plus a realistic view of using the methods
you chose.

1.4.2 Writing Your Own Method Section

148
The methodology you followed for the collection of your data should be described in detail.
The methodology section should include a description of:
 the study type;
 major study themes or variables (a more detailed list of variables on which data was
collected may be annexed);
 the study population(s), sampling method(s) and the size of the sample(s);
 data-collection techniques used for the different study populations;
 how the data was collected and by whom;
 procedures used for data analysis, including statistical tests (if applicable).
If you have deviated from the original study design presented in your research proposal, you
should explain to what extent you did so and why. The consequences of this deviation for
meeting certain objectives of your study should be indicated. If the quality of some of the data
is weak, resulting in possible biases, this should be described as well under the heading
‘limitations of the study’.

1.5 RESULTS OR FINDINGS

The result section includes: 1) Statement of results: the results are presented in a format that is
accessible to the reader (e.g. in a graph, table, diagram or written text). Notice that raw data is
usually put in an appendix, if it is included at all. 2) Explanatory text: all graphs, tables,
diagrams and figures should be accompanied by text that guides the reader's attention to
significant results. The text makes the results meaningful by pointing out the most important
results, simplifying the results (e.g. "nearly half" instead of "48.9%"), highlighting significant
trends or relationships (e.g. "the rate of oxygenation decreases as the temperature decreases"),
and perhaps commenting on whether certain results were expected or unexpected.

1.5.1 Common Problem

The text includes too much detail that simply repeats data presented in graphs, tables, etc.
without making the results meaningful. As a solution, remember that tables etc. are used to
present a lot of information efficiently, but that your job is to direct the reader's attention to
significant parts of this information.

1.5.2 Organization
There are two basic ways of organizing the results:
1. Presenting all the results, then giving a discussion (perhaps in a different section)
2. Presenting part of the results then giving a discussion, presenting another part then
giving a discussion, etc.
The method of organization you use will depend on the quantity and type of results you obtain
from your research. You should look for a method of presentation that makes the information
and ideas you are presenting as clear as possible to the reader.

149
1.5.3 Advice
References to the figure and to the appendix are generally put in parentheses, e.g. "(see
Appendix)" because this information is of secondary importance. Of primary importance are
the results themselves, so most of the sentences focuses on them. Look at the following two
sentences. Which one is more effective? Remember the purpose of the text in a results section.
a) Table 1 shows the results from the laboratory experiment.
b) The results from the laboratory experiment indicate that the reaction proceeds faster in the
presence of this metal (see Table 1).

For example: In a study on malnutrition, the chapter ‘Findings’ may look like this:

Chapter 4: Findings
4.1 Description of the sample
(e.g., location, age, marital status, education, socio-economic status, of mothers; age and sex of
children weight/measured by research area).
4.2 Extent and seasonal variation of malnutrition in district X
4.3 Possible causes of malnutrition
4.3.1 Limited availability of food
4.3.2 Non-optimal utilisation of available food
4.3.3 High prevalence of communicable diseases
4.3.4 Limited access to MCH and weaknesses in MCH/nutrition services
This system of numbering is flexible and can be extended according to need with further
headings or subheadings. It allows you to keep an overview of the process when different
group members work on different sections of the report at the same time.

If your findings are very elaborate so that you have sub-sub-subheadings with 4 or 5 digits, you
might decide to split up the findings into several chapters. In addition, you may consider
leaving off some of the numbering on sub-sections; if it is clear under what major heading they
belong. However, keep all the numbering until the final draft, as it helps you keep your report
in order when various members of the group are working on different sections.

TABLES and FIGURES in the text need numbers and clear titles. It is advisable to first use the
number of the section to which the table belongs. In the last draft, you may decide to number
tables and figures in sequence. Include only those tables and figures that present main findings
and need more elaborate discussion in the text. Others may be put in annexes, or, if they do not
reveal interesting points, be omitted.

Note that it is unnecessary to describe in detail a table that you include in the report. Only
present the main conclusions.
150
1.6 DISCUSSION
The purpose of this section is for comment on and explanation of the results. It includes:
Explanation of results: the writer comments on whether or not the results were expected, and
presents explanations for the results, particularly for those that are unexpected or
unsatisfactory.
References to previous research: comparison of the results with those reported in the
literature, or use of the literature to support a claim, hypothesis or deduction.
Deduction: a claim for how the results can be applied more generally (a conclusion based on
reasoning from the results, e.g. we fed fish a new feed, all the fish gained weight, therefore the
new feed causes fish to gain weight).
Hypothesis: a more general claim or possible conclusion arising from the results (which will
be proved or disproved in later research).

1.6.1 Common Problem

The discussion does not discuss - simply supplies more detail about the results obtained.
Solution: remember that the discussion should explain the results.

1.6.2 Organization
There are two basic ways of organizing the results and discussion. (1) Presenting all the results,
then giving a discussion (perhaps in a different section) and (2) Presenting part of the results
then giving a discussion, presenting another part then giving a discussion, etc. The method of
organization you use will depend on the quantity and type of results you obtain from your
research. You should look for a method of presentation that makes the information and ideas
you are presenting as clear as possible to the reader.

1.6.3 Some advice

 If you are putting your discussion into a discussion section separate from the results, you
may want to provide a summary of the results to remind your reader of your main
findings.
 Put your results in context (e.g. by comparing them with previous research, or with
existing theory) in order to explain them.
 Give reasons to account for differences between your research and previous research or
existing theory, or to explain unexpected results.
 Although there may be some repetition of information in the results and discussion
sections, it should be kept to a minimum.
 Remember too that the focus should be different: while you are simply presenting results
and making them meaningful to your reader in results section, in the discussion section you
are explaining them.

151
1.7 CONCLUSIONS AND RECOMMENDATIONS
The purpose of this section is to give a summary of:
 What was learned (this usually comes first)
 What remains to be learned (directions for future research)
 The shortcomings of what was done (evaluation)
 The benefits, advantages, applications, etc. of the research (evaluation)
 Recommendations

1.7.1 Common Problems

Too long. The conclusion section should be short. Often the conclusion section is as little as
2.5% of an entire piece of published research.
Too much detail. Conclusions that are too long often have unnecessary detail. The conclusion
section is not the place for details about your methodology or results. Although you should
give a summary of what was learnt from your research, this summary should be short, since the
emphasis in the conclusions section is on the implications, evaluations, etc. that you make.
Failure to comment on larger, more significant issues. Whereas in the introduction your
task was to move from general (your field) to specific (your research), in the concluding
section your task is to move from specific (your research) back to general (your field, how
your research will affect the world). In other words, in the conclusion you should put your
research in context.
Failure to reveal the complexities of a conclusion or situation. Negative aspects of your
research should not be ignored. Problems, drawbacks etc. can be included in summary in your
conclusion section as a way of qualifying your conclusions (i.e. pointing out the negative
aspects, even if they are outweighed by the positive aspects).
Lack of a concise summary of what was learned. In order to be able to discuss how your
research fits back into your field of study (and the world at large) you need to summarize it
very briefly. Often the summary is only a few sentences.
Failure to match the objectives of the research. Often research objectives change while the
research is being carried out. This is not a problem unless you forget to go back and rewrite
your original objectives in your introduction so that they accurately reflect what you were
trying to accomplish in your research (not what you thought you might accomplish when you
began). Here is an example of an objective and conclusion that do not match:
Objective: The main objective of this study was to assess the impact of road building on
villages on rural communities.
Conclusion: The model produced in this study can accurately predict the social and economic
impact of road building on villages in rural communities. If we rewrite the objective to match
what we actually did (we developed a model), it will fit the conclusion:

152
Rewritten objective: The main objective of this study was to develop a model to predict the
social and economic impact of road building on rural communities.

The conclusions and recommendations should follow logically from the discussion of the
findings. Conclusions can be short, as they have already been elaborately discussed. As the
discussion will follow the sequence in which the findings have been presented (which in turn
depends on your objectives) the conclusions should logically follow the same order.

It makes easy reading for an outsider if the recommendations are again placed in roughly the
same sequence as the conclusions. However, the recommendations may at the same time be
summarised according to the groups towards which they are directed, for example:
 policy-makers,
 health and health-related managers at district or lower level,
 health and health-related staff who could implement the activities,
 potential clients, and
 the community at large.
Remember that action-oriented groups are most interested in this section. In making
recommendations, use not only the findings of your study, but also supportive information
from other sources. The recommendations should take into consideration the local
characteristics of the health system, constraints, feasibility and usefulness of the proposed
solutions. They should be discussed with all concerned before they are finalised.

If your recommendations are short (roughly one page), you might include them all in your
summary and omit them as a separate section in order to avoid repetition.

1.8 REFERENCES
The references in your text can be numbered in the sequence in which they appear in the report
and then listed in this order in the list of references (Vancouver system). Another possibility is
the Harvard system of listing in brackets the author’s name(s) in the text followed by the date
of the publication and page number, for example: (Shan 2000: 84). In the list of references, the
publications are then arranged in alphabetical order by the principal author’s last name. You
can choose either system as long as you use it consistently throughout the report.

1.9 ANNEXES OR APPENDICES

The annexes should contain any additional information needed to enable professionals to
follow your research procedures and data analysis. Information that would be useful to special
categories of readers but is not of interest to the average reader can be included in annexes as
well. Examples of information that can be presented in annexes are:
 tables referred to in the text but not included in order to keep the report short;

153
  lists of hospitals, districts, villages etc. that participated in the study;
 questionnaires or check lists used for data collection.

ACTIVITY
In a company named XYZ, there have been increasing number of strikes. You have to found
various reasons of strikes. Answer the following questions:
(i) what information need to be collected
(ii) Write a few lines–starting and ending–of your report

9.2 DRAFT AND FINALIZE THE REPORT

2.1 STYLE AND LAYOUT

2.1.1 Style of writing

Remember that your reader:
 Is short of time
 Has many other urgent matters demanding his or her interest and attention
 Is probably not knowledgeable concerning ‘research jargon’
Therefore the rules are:
 Simplify. Keep to the essentials.
 Justify. Make no statement that is not based on facts and data.
 Quantify when you have data to do so. Avoid ‘large’, ‘small’; instead, say ‘50%’, ‘one
in three’.
 Be precise and specific in your phrasing of findings.
 Inform, not impress. Avoid exaggeration.
 Use short sentences.
 Use adverbs and adjectives sparingly.
 Be consistent in the use of tenses (past or present tense). Avoid the passive voice, if
possible, as it creates vagueness (e.g., ‘patients were interviewed’ leaves uncertainty as
to who interviewed them) and repeated use makes dull reading.
 Aim to be logical and systematic in your presentation.

2.1.2 Layout of the report

A good physical layout is important, as it will help your report:
 make a good initial impression,
 encourage the readers, and
 give them an idea of how the material has been organised so the reader can make a
quick determination of what he will read first.
Particular attention should be paid to make sure there is:

154
  An attractive layout for the title page and a clear table of contents.
 Consistency in margins and spacing.
 Consistency in headings and subheadings, e.g.: font size 16 or 18 bold, for headings of
chapters; size 14 bold for headings of major sections; size 12 bold, for headings of sub-
sections, etc.
 Good quality printing and photocopying. Correct drafts carefully with spell check as
well as critical reading for clarity by other team-members, your facilitator and, if
possible, outsiders.
 Numbering of figures and tables, provision of clear titles for tables, and clear headings
for columns and rows, etc.
 Accuracy and consistency in quotations and references.

2.2 THE WRITING PROCESS

Writing is a process. The way to learn to write is by writing. It takes time and effort, and it
improves with practice. There is no single correct way to write, but some methods are
associated with good writing. The writing process has three steps. Beginning writers jump to
the second step and end there, which results in poor-quality writing.
1. Prewriting: Prepare to write by arranging notes on the literature, making lists of ideas,
outlining, completing bibliographic citations, and organizing comments on data analysis.
2. Composing: Get your ideas onto paper as a first draft by freewriting, drawing up the
bibliography and footnotes, preparing data for presentation, and forming an introduction
and conclusion.
3. Rewriting: Evaluate and polish the report by improving coherence, proofreading for
mechanical errors, checking citations, and reviewing voice and usage.

WRITING PROCESS

Many people find that getting started is difficult. Prewriting means that a writer begins with a
file folder full of notes, outlines, and lists. You must think about the form of the report and
audience. Thinking time is important. It often occurs in spurts over a period before the bulk of
composing begins.

Some people become afflicted with strange ailment whey they sit down to compose writing. It is
known as a writer’s block – a temporary inability to write. It comes when the mind goes blank,
the fingers freeze, and panic sets in. Writers from beginners through experts occasionally
experience it. If you experience it, calm down and work on overcoming it.

Numerous writers begin to compose by freewriting, a process of sitting down and writing down

155
everything you can as quickly as it enters into your mind. Freewriting establishes a link
between a rapid flow of ideas in the mind and writing. When you freewrite, you do not stop to
reread what you wrote, you do not ponder the best work, you do not worry about correct
grammar, spelling, or punctuation. You just put ideas on paper as quickly as possible to get
and keep the creative juices or ideas flowing. You can latter clean up what you wrote.

Perhaps one in a million writers is a creative genius who can produce a first draft that
communicates with astounding accuracy and clarity. For the rest of us writing means that
rewriting – and rewriting again – is necessary. It is not unusual to for a professional
researcher to rewrite a report a dozen times. Do not become discouraged. If anything, the idea
of rewriting reduces the pressure; it means you can start writing soon and get out a rough
draft that you can polish later. You should plan to rewrite a draft at least three or four times. A
draft is a complete report, from beginning to end, not a few rough notes or an outline.

When rewriting, the focus is on clear communication, not pompous or complicated language.
‘Never be ashamed to express a simple idea in simple language. Remember that complicated
language is not in itself a sign of intelligence’.
Professional writers always have others read and criticize their writing. New writers soon
learn that friendly, constructive criticism is very valuable. Sharing your writing with others
may be difficult at first. It means exposing your written thoughts and encouraging criticism.
Yet, the purpose of the criticism is to clarify writing, and the critic is doing you a favor.

Rewriting involves two related procedures: revising and editing. Revising is the process of
inserting new ideas, adding supporting evidence, deleting or changing new ideas, moving
sentences around to clarify meaning, or strengthening transitions and links between ideas.
Editing is the process of clearing up and tightening the more mechanical aspects of writing,
such as spelling, grammar, usage, verb tense, sentence length, and paragraph organization.
When you rewrite, go over a draft and revise it brutally to improve it. This is easier if some
time passes between a draft and rewriting. Phrases that seemed satisfactory in a draft may
look fuzzy or poorly connected after a week or two.

Even if you have not acquired typing skills or access to a word processor, it is a good idea to
type, or print out if you use a word processor, at least one draft before the final draft. This is
because it is easier to see errors and organization problems in a clean, typed draft. Feel free to
cut and paste, cross out words, or move phrases on the typed copy.

Rewrite the introduction and title after completing a draft so that the accurately reflect what is
said. Titles should be short and descriptive. They should communicate the topic and the major
variables to readers.

156
2.2.1 Common weaknesses in writing
Writing is always a challenging job, which requires courage. Starting is usually most difficult.
Do not be afraid to make mistakes, otherwise you will never begin! However, it is good to be
aware of common pitfalls, which you might try to avoid.

An almost universal weakness of beginning report writers is omitting the obvious. Hardly
ever does the description of the country or area contain sufficient data to permit outsiders to
follow the presentation of findings and discussion without problems. On the other hand, some
data (e.g., exact geographical location on the globe) could be left out which are usually in.

Endless description without interpretation is another pitfall. Tables need conclusions, not
detailed presentation of all numbers or percentages in the cells, which readers can see for
themselves. The chapter discussion, in particular, needs comparison of data, highlighting of
unexpected results, your own or others’ opinions on problems discovered, weighing of pro’s
and con’s of possible solutions. Yet, too often the discussion is merely a dry summary of
findings.

Neglect of qualitative data is also quite common. Still, quotes of informants as illustration of
your findings and conclusions make your report lively. They also have scientific value in
allowing the reader to draw his/her own conclusions from the data you present. Sometimes
qualitative data (e.g., open opinion questions) are just coded and counted like quantitative data,
without interpretation, whereas they may be providing interesting illustrations of reasons for
the Behavior of informants or of their attitudes. This is serious maltreatment of data that needs
correction.

2.2.2 Revising and finalizing the text

Having done the ‘analytical’ and ‘creative’ work, you now need to put on your critical
judgment hat. You need to take a step back and review your report from your audience’s
viewpoint. Remember, their viewpoint is different. They are looking for reasons to believe.
They need to be comfortable with your report and accept your findings without there being
niggling doubts over the content and the conclusions. The following questions should be kept
in mind when reading the draft:
 Have all important findings been included?
 Do the conclusions follow logically from the findings? If some of the findings
contradict each other, has this been discussed and explained, if possible? Have
weaknesses in the methodology, if any, been revealed?
 Are there any overlaps in the draft that have to be removed?
 Is it possible to condense the content? In general, a text gains by shortening. Some parts
less relevant for action may be included in annexes. Check if descriptive paragraphs
may be shortened and introduced or finished by a concluding sentence.
157
  Do data in the text agree with data in the tables? Are all tables consistent (with the
same number of informants per variable), are they numbered in sequence, and do they
have clear titles and headings?
 Is the sequence of paragraphs and subsections logical and coherent? Is there a smooth
connection between successive paragraphs and sections? Is the phrasing of findings and
conclusions precise and clear?
 Perform a spell check and grammar check.
How confident would you be in a report if:
 there were spelling and grammar mistakes?
 the style used was inconsistent?
 the content did not address the object/remit of the report?
 conclusions/findings were inconsistent with, or not supported by, the evidence and
arguments in the report?
If the author did not have either the time or the inclination to get the simple things right, how
confident can you be that they got the difficult things right? These are reasons NOT to believe.
They are avoidable. So avoid them!

SUMMARY
 There are three main ways of reporting your findings: written reports, journal articles and
oral presentations. Before starting your research, find out whether you are going to be
restricted by structure, style and content of your final report.
 Think about your audience and produce your report accordingly.
 A traditional written report includes the following:
- title page
- contents page
- list of illustrations
- acknowledgements
- abstract/summary
- introduction
- background
- methodology/methods
- findings/analysis
- conclusions
- recommendations
- further research
- references
- bibliography
- appendices.

158
 If you are interested in writing an article for journal, do your market research. Make sure
that the subject matter, style, structure and length of your article suit the journal.
 Try to seek advice and comments from people experi-enced in writing journal articles.
 Think about producing your first article with another, more experienced researcher.
 Remember that anyone can reproduce reports or arti-cles on-line. If you were to do so, your
work would reach wider audience than it might do otherwise.
 When making oral presentations always be prepared. Arrive early, make sure equipment
works and that you have everything you need.
 Show that you are interested in what you are saying and try to keep audience interest by
using visual aids and altering tone, pitch and gestures.
 Don’t shrug off questions or patronise your audience pitch your presentation at the right
level.
 Never let an audience leave without taking away re-cord of what you have said.

REVIEW QUESTIONS
1. What is meant by "consider the audience" when writing a research report?
2. What are the various criteria used for classification of written report?
3. What are the essential contents of the following parts of research report?
a. Table of contents
b. Title page
c. Executive summary
d. Introduction
e. Conclusion
f. Appendix

REFERENCES

Cooper, R. D. & Emory, C. W. (1995). Business research methods (5th ed.). USA: McGraw
Hill.
DR. Vatsyayan (1989); Methods & techniques of Social Survey and Research (in questions &
answers), Kedar Nath Ram Nath, New Delhi.
Gibaldi, Joseph (1995). MLA handbook for writers of research papers (4th ed.). USA: The
Modern Language Association of America.
Green, E. P., Tull, D. S. & Albaum, G. (1998). Research for marketing decisions. New Delhi:
Prentice Hall of India.
Hussey, J. & Hussey, R. (1997). Business research, a practical guide for undergraduate and
postgraduate students, Great Britain: Macmillan Press LTD.
Kothari, C. R. (1990). Research methodology, methods & techniques. New Delhi: Wishwa
Prakashan, Wiley Eastern Limited.

159
Kumar, R. (2005). Research methodology, a step-by-step guide for beginners (2nd ed.).
London: Sage Publications
Locke, F. L., Spirduso, W., & Stephen, S. (1993). Proposal that work- a guide for planning
dissertation and grant. California: Sage Publications, Inc. Newbury Park.
Yin, K. R. (1994). Case study research, designs and methods (2nd ed.). USA: Sage Production
Editor.
Zikmund, G. W. (1998). Business research methods (5th ed.). USA: The Dryden Press,
Oklahoma State University.

160