EMT 3355: RESEARCH METHODOLOGY

EMT 3355: RESEARCH METHODOLOGY

Course Content
• Introduction and definitions: Research, Research methodology,
Concept and significance of research. Types of research: survey,
experimental, simulation. Challenges in research, Research ethics and
informed consents. Introduction to research design: Importance of
knowing how research is done.
• Steps in the process of research: Identifying a hypothesis and/or
research problem, specifying a purpose, creating research questions.
Reviewing literature to ascertain what is known and identifying
research gaps. Introduction to quantitative and qualitative research,
data collection and analysis techniques.
• Sampling concepts: defining target population, representative
samples, potential consequences of unrepresentive sampling, over-
representative subgroups and weighting, sampling methods (cluster,
stratified, simple random).
• Introduction to applied statistics: Identifying the dependent and
independent variables. Confident levels, reliability and validity.
Summarizing and describing a collection of data, Mean, mode and
standard deviation.
• Inferential statistics: Drawing inference from data, Identifying
patterns, Regression analysis, T-test, Analysis of variance,
Correlations, Chi-square.
• Data mining in the world of data Time and cost budget.
• Methods of referencing.
• Research documents format: title page, abstract, introduction,
methodology, literature review and critique, research methodology and
methods of data analysis, results, discussion, conclusion(s),
recommendations, references, appendices.

Course Assessment
Continuous Assessment 30%
End of semester Examination 70%
 1. INTRODUCTION
1.1. Meaning of Research
• Research can be defined as an art of investigation
– Process of arriving at dependable solutions to
problems through systematic data collection,
analysis and interpretation of data
• A systematized effort to gain new knowledge; a
movement from the known to unknown
• Research deals with discovering, interpreting and
developing of methods and systems for the
advancement of human knowledge

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 Examples

How to increase the efficiency of How to avoid corrosion problems

gas turbine ? of Superheater tube bundles ?

How can we capture the real wind How to improve Biomass cooking
flow pattern in complex terrain ? systems in Kenya ?
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 Examples

CFD Experimental result

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 Examples

Gasification model
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 1. INTRODUCTION
The research process :
• The process is initiated with a question or problem
(Step 1)
• Next, goals and objectives are formulated to deal
with the question or problem (Step 2)
• Then the research design is developed to achieve
the objectives (Step 3)
• Results are generated by conducting the research
(Step 4)
• Interpretation and analysis of results follow (Step 5)

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1. INTRODUCTION

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 1.2. OBJECTIVE OF RESEARCH
• The purpose of research is to discover answers to
questions through the application of scientific
procedures
• The main aim of research is to find out the truth which
is hidden and which has not been discovered yet
Though each research study has its own specific purpose,
we may think of research objectives as falling into a
number of following broad groupings
• To gain familiarity with a phenomenon
• To know accurately the characteristics a problem
• To test a hypothesis of a causal relationship between
variables
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 1.3. MOTIVATION FOR RESEARCH
What makes people to undertake research? This is a
question of fundamental importance.
The possible motives for doing research may be either
one or more of the following :
• Desire to get a research degree
• Desire to face the challenge in solving the unsolved
problems
• Desire to get intellectual joy of doing some creative
work
• Desire to be of service to society
• Desire to get respectability
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 1.4. TYPES OF RESEARCH
The basic types of research are as follows :
1. Descriptive vs. Analytical
2. Applied vs. Fundamental
3. Quantitative vs. Qualitative
4. Conceptual vs. Empirical
5. Some Other Types of Research: All other types of
research are variations of one or more of the above
stated approaches, based on either the purpose of
research, or the time required to accomplish research,
on the environment in which research is done, or on
the basis of some other similar factor.
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 1.4.1. DESCRIPTIVE VS. ANALYTICAL
• In descriptive research, the researcher has to only
report what is happening or what has happened
• The main characteristic of this method is the
researcher has no control over the variables, he
can only report what has happened or what is
happening
• In analytical research, the researcher has to use
the already available facts or information, and
analyze them to make a critical evaluation of the
subject

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 1.4.1. DESCRIPTIVE VS. ANALYTICAL
• Analytical research attempts to explain why and
how. It usually concerns itself with cause – effect
relations among variables
• The distinction between descriptive and analytical
research is based on the question it asks.
Descriptive research attempts to determine,
describe, or identify what is, while analytical
research attempts to establish why it is that way
• Example : Explaining why and how the Kenyan
trade balance move in a particular way.

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 1.4.1. DESCRIPTIVE VS. ANALYTICAL
Descriptive Research Analytical Research

Describe characteristics of a group Explains characteristics of a group

Is more exploratory It is more explanatory

Answer the question “What?” Answer the question “Why?”

<>

Hypothesis needed No hypothesis needed?

The researcher only reports what is Uses the available facts or information, and analyze

happening or what has happened. them to make a critical evaluation of the subject.

Example : Examining the fluctuation Example: Explaining why and how the Kenyan

of Kenyan trade balance in 2019 trade balance move in a particular way.

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 1.4.2. APPLIED VS. BASIC
• An attempt to find solution to an immediate problem
encountered by a firm, an Industry, a business
organization, or the Society is known as Applied
Research.
• Gathering knowledge for knowledge’s sake is ‘Pure’ or
‘Basic’ or ‘Fundamental’ Research.
• An attempt to find solution to an immediate problem
encountered by a firm, an Industry, a business
organization, or the Society is known as Applied
Research.
• Gathering knowledge for knowledge’s sake is ‘Pure’ or
‘Basic’ or ‘Fundamental’ Research.
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 1.4.2. APPLIED VS. BASIC

• Basic research - Theoretical understanding

- Advancement of knowledge

• Applied research - Practical application of science

- Solve practical problems

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 1.4.2. APPLIED VS. BASIC
Basic Research Applied Research

Expands existing knowledge Solves practical problem

Theoretical in nature Practical in Nature

Less associated with technologies Associated with advancement of

Technology

Predicts future problems Creates solutions for future problems

Usually does not have direct commercial Has direct commercial objectives

objectives

Curiosity driven Clint or demand driven

Wider scope Specific in scope

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1.4.3. QUANTITATIVE VS. QUALITATIVE
• Quantitative research is a more logical and data-led
approach which provides a measure of what people
think from a statistical and numerical point of view.
For example, if you wanted to know how many of your
customers support a proposed change in your products
or service and how strongly (on a scale) they support
it.
• Qualitative research largely uses methods such as
questionnaires and surveys with set questions and
answers that respondents tick from a predefined
selection. Answers can be measured in strengths of
feeling such as ‘strongly agree’ ‘disagree’ or numbers.
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1.4.3. QUANTITATIVE VS. QUALITATIVE
• Unlike quantitative research which relies on numbers
and data, qualitative research is more focused on how
people feel, what they think and why they make
certain choices. For example, if you are thinking of
changing your branding you would carry out qualitative
research to see what emotional reactions people have
to the new identity and what they associate it with.
• Qualitative research is largely led with discussion
around certain concepts or ideas with open
questioning. Attendees are encouraged to explain or
describe their reasons for having certain responses
which can reveal underlying motivations, associations
and behavioral triggers.
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 1.4.3. QUANTITATIVE VS. QUALITATIVE
• Quantitative research aim to measure the
quantity or amount and compares it with past
records and tries to project for future period
• If you want to get inside your customers’ minds you
need to do qualitative research. Face-to-face
interviews and focus groups can provide valuable
insights into your products, your market and your
customers.

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 1.4.3. CONCEPTUAL VS. EMPIRICAL
• Conceptual research is that related to some abstract
idea(s) or theory. It is generally used by philosophers
and thinkers to develop new concepts.
• Conceptual research focuses on the concept or theory
that explains or describes the phenomenon being
studied. What causes disease? How can we describe the
motions of the planets? The conceptual researcher sits
at his desk with pen in hand and tries to solve these
problems by thinking about them.

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 1.4.3. CONCEPTUAL VS. EMPIRICAL
• On the other hand, empirical research relies on
experience or observation alone, often without
due regard for system and theory.
• It is data-based research, coming up with
conclusions which are capable of being verified
by observation or experiment.

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 1.5. EXPERIMENTAL VS. SIMULATION
• Experimental research helps to see the effects of
dependent variable & to explore a particular event.
• The researcher manipulates one or more variables
and controls and measures any change in other
variables using experimental approach.
• Before doing the experiment, it is good to know
what variables are to be tested and how they can
be controlled and measured.
• Laboratory based experiment is very helpful
procedure before developing or scale up the given
technology.
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 1.5. EXPERIMENTAL VS. SIMULATION
• Simulation involves devising a representation in a small
and simplified form (model) of a system, which can be
manipulated to gauge effects.
• It is similar to experimental design in the respect of this
manipulation, but it provides a more artificial
environment in that it does work with original materials
at the same scale. Models can be mathematical or
physical
• The performance of the model must be checked and
calibrated against the real system to check that the
results are reliable. Simulation enables theoretical
situations to be tested – what if ?
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 1.5. EXPERIMENTAL VS. SIMULATION
• Efficiency Improvement of Power Plant: Suppose we
want to improve the efficiency of large power plant.
However, it may need a huge investment to improve the
efficiency experimentally. Therefore, before going to the
decision, we have to perform simulation and optimization
so as the result from the simulation will help us to decide.
• Automotive related research: Before manufacturing a
car, the design will be checked from different perspective
using simulation: Strength, aerodynamics of the shape,
Fuel Economy and Environmental impact. The simulation
will also be validated using experimental result. Thus, it will
help us to better understand the system before going to
manufacturing.
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 1.5. EXPERIMENTAL VS. SIMULATION
• Human Body heat Transfer: Suppose we want to study in
detail the heat transfer phenomena of our body, it is very
difficult to study this heat transfer phenomena
experimentally, thus simulation can be done.
• Manufacturing Plant layout design: Layout of a company,
material flow, Operational requirement, process flow,
sequence of operation, cost of operation using virtually. What
is the best operational cost, less time and convenience?
• Transportation network: Considering transportation load,
number of vehicles, routes, number of passengers, how to
serve the users can be simulated without actually engaging
in the transportation. In doing that we can increase service
quality, cost optimization, travel distance optimization.
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 1.5. EXPERIMENTAL VS. SIMULATION
• Electrical Transmission losses: The electrical
distribution loss in Kenya is assumed to be 20 % to 22.7
%. Thus, doing research in reducing these losses and
giving recommendation for the government has a huge
benefits. This can don using simulation.
• Improving construction quality: Improving the quality of
road, building and other infrastructure related constriction
must be improved.
• Ergonomic Design (Workstation Design): Considering
the work situation, the input to the work and the human
body measurement in a given community , it is possible to
simulate virtually the workstation that can give a productive
environment.
AAIT SMIE 30
AAIT SMIE
 1.5. EXPERIMENTAL VS. SIMULATION
• Experimental research needs high investment
compared to simulation. However, we can have
more confidence to use the experimental research
output directly to the intended purpose. The
researcher may choose either simulation or
experimental approach or both of them to solve a
given problem. However, it is very important to
understand the basic science. Without knowing the
science in detail using simulation or experimental
result, will lead to confusion.

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 1.6. RESEARCH APPROACHES

• According to types of research discussed, there

can be two approaches to research:
– Quantitative approach
– Qualitative approach
• Quantitative approach can be further divided
into 3 groups:
• Inferential approach – infer characteristics of a
phenomenon through collection of data –
example CO2 emission.

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 1.6. RESEARCH APPROACHES
• Experimental approach – Researcher
deliberately changes some variables to know
the causal effect- example – effect of
temperature rise on plant growth under open
sky.
• Simulation approach – Researcher artificially
construct an environment and data can be
generated. This permits an observation of the
dynamic behavior of a system under controlled
conditions.

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 1.6. SIGNIFICANCE OF RESEARCH
• Research has its special significance in solving
various problems : Energy, Water, Technology,
Food….
• Research inculcates scientific and inductive
thinking and it promotes the development of
logical habits of thinking and organization.
• Research provides the basis for nearly all
government policies in our economic system.

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 1.6. SIGNIFICANCE OF RESEARCH
• The role of research in several fields of applied
economics, whether related to business or to the
economy as a whole, has greatly increased in
modern times.
• Research is equally important for social scientists
in studying social relationships and in seeking
answers to various social problems

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1.7. RESEARCH METHODS VERSUS METHODOLOGY

RESEARCH METHODS RESEARCH METHODOLOGY

 Research methods are the  Research methodology explains

methods by which you conduct the methods by which you may
research into a subject or a proceed with your research
topic  Research methodology involves
 Research methods involve the learning of the various
conduct of experiments, tests, techniques that can be used in
surveys and the like. the conduct of research and in
the conduct of tests,
experiments, surveys and
critical
 Research methods aim at finding  Research methodology aims at
solutions to research problems the employment of the correct
procedures to find out solutions
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1.8. IMPORTANCE OF KNOWING HOW RESEARCH IS DONE

• The study of research methodology gives the

student the necessary training in gathering
material and arranging or card-indexing them,
participation in the field work when required,
and also training in techniques for the collection
of data appropriate to particular problems, in the
use of statistics, questionnaires and controlled
experimentation and in recording evidence, sorting
it out and interpreting it.

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 1.8. IMPORTANCE OF KNOWING HOW RESEARCH IS DONE

• In fact, importance of knowing the methodology

of research or how research is done stems from the
following considerations :
– The knowledge of methodology provides good
training specially to new researcher and enables
him to do better research. It helps him to
develop disciplined thinking to observe the field
objectively.
– Knowledge of how to do research will inculcate
the ability to evaluate and use research results
with reasonable confidence.
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1.8. IMPORTANCE OF KNOWING HOW RESEARCH IS DONE

• When one knows how research is done, then one may

have the satisfaction of acquiring a new intellectual
tool which can become a way of looking at the world
and of judging everyday experience. Accordingly, it
enables use to make intelligent decisions concerning
problems facing us in practical life at different points of
time. Thus, the knowledge of research methodology
provides tools to took at things in life objectively.
• The knowledge of methodology helps the consumer of
research results to evaluate them and enables him to
take rational decisions.

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 1.9. RESEARCH PROCESSES
• Research process consists of series of actions or
steps necessary to effectively carry out research
and the desired sequencing of these steps.

II
I
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 1.9. RESEARCH PROCESSES
Formulate Problem

Determine Research Design

Design Data Collection

Method and Forms

Design Sample and Collect Data

III
IV Analyze and Interpret the Data

Prepare the Research Report

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1.9.1. PROCESS OF FORMULATING RESEARCH QUESTION [S]

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 1.10. CRITERIA OF GOOD RESEARCH

• The objective of the research clearly defined

• The research methodology used should be described in
sufficient detail to permit another researcher to repeat
the research for further advancement
• The writing should be done with complete frankness –
nothing which has bearing on the result should be
hidden
• The validity and reliability of data as a well as
calculations should be re-checked to avoid mistakes
• Conclusions should be confined to those justified by
data and analysis
• Researcher should be a person of integrity
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 1.10. CRITERIA OF GOOD RESEARCH
• Clarity and relevance of the problem
• Researchability of the problem
• Adequacy and relevance of the literature review
• Match between the purpose, design and method
• Suitability of the sampling procedure and the
sample
• Correctness of the analytical procedure
• Clarity of findings

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 1.11. PROBLEMS ENCOUNTERED BY RESEARCHERS IN
KENYA

• Insufficient interaction between academics and

practitioners
• Lack of training on the part of researchers
• Fear that information provided to researchers may
be used against them
• Secondary sources of data are not timely available

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 1.11. PROBLEMS ENCOUNTERED BY RESEARCHERS IN KENYA

Way forward to overcome research problems

in Kenya
• Greater interaction between academic institutions
and practicing organizations/ government/ NGOs
etc.
• More education and training on research
methodology
• National Policy on Research mentioning that
research data can not be used against the person
• Timely publication of secondary data and
enforcement of act on “Right to Information”

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 Research activities
The following are some of the research activities in the area of Renewable energy
technologies :
• Solar Energy
– Photovoltaic
• Low cost Photovoltaic
• Producing PV cells in Ethiopia
– Solar heating
• Low cost solar water heating systems
• Maximizing efficiency of solar water heating systems
• Low cost solar cooker
• Solar thermal power plant ?
• Biomass energy
– Improved Biomass cooking stove (ηth = 40 % )
--- > Finding ways to further increase the efficiency ?
– Biomass for electricity generation in Kenya?
– Biomass gasification technology ?
– Biomass pyrolysis technology ?
– Biochar from agricultural wastes ?
• Biogas upgrading and Electricity Generation from biogas ?
• Energy recovery from Waste (Combustion, Gasification and pyrolysis) ?
• Maximizing the energy potential of geothermal power plant
• Small scale hydropower plant
• Wind energy assessment in complex terrain with high resolution

AAIT SMIE 47
THE END

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 Research Methodology

Chapter 2 : Defining a Research Problem

1. DEFINING A RESEARCH PROBLEM

A problem properly stated

is half solved.
John Dewey

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 2.1. WHAT IS A RESEARCH PROBLEM ?

Defining a research problem is the fuel that drives

the scientific process, and is the foundation of any
research method and experimental design.
Research Problem: A situation or circumstance
that requires a solution to be described,
explained, or predicted.
The components of a research problem can be :
• There must be an individual or a group which has
some difficulty or the problem.
• There must be some objective(s) to be attained
at.
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 2.1. WHAT IS A RESEARCH PROBLEM ?

• There must be alternative means for obtaining

the objective(s) one wishes to attain.
• There must remain some doubt in the mind of a
researcher with regard to the selection of
alternatives. This means that research must
answer the question concerning the relative
efficiency of the possible alternatives.
• There must be some environment(s) to which the
difficulty pertains.

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 2.2. SELECTING THE PROBLEM

• The research problem undertaken for study must

be carefully selected.
• If there is a knowledge gap in an area that need
to be investigated, the research problem
identifies this gap.
• Most researchers find selecting a research
problem so difficult
• This difficulty arise not because there is a
limited range of reachable problems in sciences
but the inability to locate the socially relevant
topic without duplicating earlier studies.
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CRITERIA FOR SELECTING A RESEARCH PROBLEM

Details of the aspect of problem selection criteria

is listed below :
• The problem must be significant in the sense
that its solution should make a contribution to
the body of organized knowledge in the field
represented. The researcher should demonstrate
that the selected topic is likely to add
information to existing knowledge by making
more reliable knowledge available.
Furthermore, the problem should have either
theoretical or practical implication or both.
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CRITERIA FOR SELECTING A RESEARCH PROBLEM
• The problem should be a researchable one. There are
many problems that related to questions that can only be
subjected to philosophic rather than scientific
investigation. Researchable problem must be concerned
with the relationships between two or more variable that
can be defined and measured or explained.
• The problem should be one that will lead to new
problems and to further research. This criterion implies
that in so far as researchers often relate their problems
to existing knowledge in the field involved, attention
should be given to the selection of a problem whose
solution is likely to raise a number of other questions
for further research.
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CRITERIA FOR SELECTING A RESEARCH PROBLEM

• The problem must be suitable for the

researcher in several respects :
 The problem should be one which arouses the
researcher’s genuine interest. The research
must be personally important to the
researcher and enhancement his competence
 The problem should be in an area about which
one has both knowledge and experience. The
researcher must have a clear understanding of
the theoretical, conceptual and practical
aspects of the area of interest.
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CRITERIA FOR SELECTING A RESEARCH PROBLEM

• The problem should be sufficiently original.

One needs to posses personality attributes of
creativity, flexibility and foresight to be able to
select a research problem that does not involve
blind and objectionable duplications.
• The problem must be feasible
• The problem must be one that investigated and
completed within the allocated time limit.
• Subject which is overdone should not be
normally chosen

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CRITERIA FOR SELECTING A RESEARCH PROBLEM

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CRITERIA FOR SELECTING A RESEARCH PROBLEM

• Too narrow or too vague problems should be

avoided
• In general, the importance of the subject, the
qualifications and the training of a researcher,
the costs involved, the time factor are few
other criteria that must also be considered in
selecting a problem.

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CRITERIA FOR SELECTING A RESEARCH PROBLEM

In summary, the characteristics of a very good

research problem is listed below :
• The problem is significant
• The problem will lead further research
• The problem is researchable (it can be
investigated through the collection of data)
• The problem is suitable (it is interesting and
suits the researchers skills and available resource
• The problem is ethical (it will not cause harm to
subjects)

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CRITERIA FOR SELECTING A RESEARCH PROBLEM

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2.3. EVALUATION OF THE RESEARCH PROBLEM

• Will the research results have social, educational

or scientific value?
• Will it be possible to apply the results in practice?
• Will the research opt new problems and lead to
further research?
• Is there enough research gap left within the area
of research ?
• Will it be possible for another researcher to repeat
the research?
• Are you motivated to undertake the research?

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CRITERIA FOR SELECTING A RESEARCH PROBLEM

• Do you have the necessary knowledge and skills to

do the research?
• Do you have the necessary funds for the research?
• Do you have access to the administrative, statistic
and computer facilities the research necessitates?
• Is the problem new?
• Is the solution to this problem helpful for the
development of further knowledge?
• Is the problem feasible for researcher?

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 2. 3. NECESSITY OF DEFINING THE PROBLEM

• Quite often we all hear that a problem clearly

stated is a problem half solved.
• A proper definition of research problem will
enable the researcher to be on the track whereas
an ill-defined problem may create hurdles.
• Thus, defining a research problem properly is a
prerequisite for any study and is a step of the
highest importance.

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2. 4. TECHNIQUE INVOLVED IN DEFINING A
PROBLEM
Techniques involved are:
• Statement of the problem in a general way
• Understanding the nature of the problem
• Surveying the available literature
• Developing the ideas through discussions
• Rephrasing the research problem into a working
proposition

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 2.5. PROBLEM STATEMENT

• A concise wording of the problem to be tackled.

• Your research problem statement is the foundation
and focus of your research report.
• It is a clear, stand‐alone statement that makes
explicit what it is you are aiming to discover or
establish. A good problem statement is specific.
• Many researchers have difficulty formulating a
concise problem statement.
• The statement of the problem is sometimes written
as a separate chapter and sometimes located at
the very end of the review literature.
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 2.5. PROBLEM STATEMENT

At a minimum, a problem statement should include :

• What is the problem or defect ?
• Magnitude of the problem ?
• Where is the problem ?
• Why is it important to work on this problem ?

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 2.5. PROBLEM STATEMENT

1. Pizza Delivery Times : Pizza delivery times at

the Westside location have been averaging 38
minutes on Friday and Saturday nights (high
volume methods). As a result, 20 % of the Pizzas
are being delivered late (past 30 minutes).
Delivering piazza in less than 30 minutes is crucial to
increase revenue and customer satisfaction.

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 2.5. PROBLEM STATEMENT

2. Problem statements can be formatted as a

bulleted list or as paragraph:
• What is the problem : High defect rates
• Magnitude of the problem : 4.5 % of production
• Where is the problem : Assembly Line 1
• Why is it so important : Reducing defects is
critical to improve customer satisfaction.

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 2.5. PROBLEM STATEMENT

3. Second shift assembly line 1 is producing defects

at a rate of 4.5 % of production (based on the
number of returns we are receiving from customers).
Reducing defects is critical to improve customer
satisfaction.

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 2.5. PROBLEM STATEMENT

4. Even though plastic is a useful and versatile

material with a wide range of applications, the
disposal of plastic waste is problematic since they
are durable and persist in the environment. The
monitoring of plastic waste and research into its
impacts are still in their infancy, but so far the
implications are worrying. Besides, the problem of
plastics in developing countries is tripled since there
is no proper waste management to effectively either
recycle or to recovery energy from plastic waste.

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 2.5. PROBLEM STATEMENT
• Thus, recovery energy from plastic waste by
producing liquid fuels will be a great benefits by
solving the energy problems in developing,
reducing their environmental impacts and
generating incomes. Thus, in this work a novel
Waste-to-liquid fuels technology is designed,
manufactured and tested to be ready for the
society. The technology is intended to be a low
cost machine and serve the whole population of
Kenya.

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 QUAD CHART
Aims/Objective Audience or Stakeholders

• Why this project should be done ? • Who will be benefited for this project ?

• What for ? • Who will be involved in this project ?

Innovation: Impact

What is new in this project ?

• What is the impact of your research

Was it not done by others before ?

for the community/industry etc.?

What make this project different ?

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 EMT : 3355

RESEARCH METHODOGY

. Lecture 3

1
 Literature Search and Review
• A literature review synthesizes the key theories and results in a particular field of study.

• It describes, evaluates and critiques a large number of resources, then demonstrates how
work in that area evolved and discusses the influences that made a difference.
• Reviewing the literature can be time consuming, daunting and frustrating, but it is also
rewarding.
• Preliminary literature review can assist you in formulating your research problem,
establishing the theoretical roots of your study, clarifying your ideas and developing
your research methodology.
• During research, the literature review serves to enhance and consolidate your own
knowledge base and helps you to integrate your findings with the existing body of
knowledge 2
 Purpose of Literature Survey
• It provides a theoretical background to your study.

• It brings clarity and focus to your research problem.

• It helps you develop and improve your methodology.

• It helps you establish the links between what you are proposing to examine and
what has already been studied. ( To understand where you are going, it is important
to understand what came before you.)
• It enables you to show how your findings have contributed to the existing body of
knowledge in your profession. (It helps you to integrate your research findings into
the existing body of knowledge).

3
• It helps you broaden your knowledge base in your research area.

• It demonstrates to the reader that you are aware of up-to-date and important
knowledge on your topic.
• In a literature review, you demonstrate that you have read and understood previous
and current research in the your area of study.
• Literature search is a systematic and thorough search of all types of published
literature in order to identify a breadth of good quality references relevant to a
specific topic for review.
• The success of a research project is dependent on a thorough review of the
academic literature. 4
• Writing a literature review involves the following three steps:
1. Define your research topic: you must define your topic and components of your
topic

2. Search the relevant literature on your topic: use search tools (such as
the
library catalogue, databases, bibliographies) to find materials about your topic

3. Evaluate what you have found: read and evaluate what you have found in order
to determine which material makes a significant contribution to the understanding
of the topic.

5
 Preparing a literature review thus involves…..
• Searching for reliable, accurate and up-to-date material on your selected topic or
subject
• Reading and summarizing the key points from this literature

• Synthesizing these key ideas, theories and concepts into a summary of what is
known
• Discussing and evaluating these ideas, theories and concepts

• Identifying particular areas of debate or controversy

• Preparing the ground for the application of these ideas to new research

6
 Benefits of a good literature search
• This will prevent you from duplicating work which has already been done.

• By synthesizing information from previous studies, you will be able to provide a

stronger background, justification and discussion of your own study.
• Relevant studies can provide valuable insights and tips to make your own study
better, such as the best methodology or data analysis methods to use.
• You will be able to find gaps and weaknesses in the existing research and thereby
come up with useful and meaningful research questions.

7
 Literature Search
• Ensure you review reliable, accurate and up-to-date literature material.

• Know the key publications in your area.

• Knowing where and how to get such material is very crucial.

• There are three broad resources for literature:

 Books,

 Theses/dissertations

 Technical journals and magazines/conference proceedings

 IEEE Transactions on Signal Processing

 IEEE Signal Processing Magazine

 IEEE Wireless Communications

8
Technical Journals

9
Journal
s

10
 Tips for effective search of journal articles….

• Define your keywords

• Start your search-tools for searching

• Follow the citations

• Keep a written record of your searches

• Keeping up with literature

11
 Literature Review
• Review implies the careful selection of literature relevant to your topic and the
presentation, interpretation, classification and evaluation of literature.

Literature review is NOT:

1. A summary of previous works - It is not a case of accepting blindly what experts

have said and simply summarizing it.
• It is a case of using the information you find to inform and develop your work
while applying a critical assessment to the work that other people have done.
• Literature review is a critical, analytical account of the literature
pertaining a research topic. Organised around ideas or arguments

12
• 2. An annotated bibliography - In an annotated bibliography the writer presents a summary
and critical evaluation of each article or scholarly resource, one by one. There is little or no
connection made between the various articles or resources. A literature review is organised
around ideas or arguments.
• 3. An essay -In an essay a student is given a topic to discuss or a question to answer and the
writing is organised around responding to that topic or question. The essay progresses in a
linear way, where the student presents his/her first point, followed by an explanation which is
supported by the literature. The student then moves on to the second point and so on.
• 4. A presentation of your own argument, but its a synthesis of the arguments of others

13
 In the literature review, you WILL…..
• Not answer a question

• Identify a gap in existing knowledge, that is, you will identify what we still need to
know about this topic or issue.
• Compare and contrast different authors’ views on an issue

• Note areas in which authors are in disagreement

• Highlight gaps

• Identify any particular shortcomings of past research

14
 When reviewing a literature, look specifically for…,
a) The key point(s) discussed by the author:
b) What evidence has the author produced to support this central idea?
c) How convincing are the reasons given for the authors point of view?
d) Could the evidence be interpreted in other ways?
e) What is the author’s research method (e.g. qualitative, quantitative, experimental,
etc.)?
f) What assumptions are made by the author? Are they valid or they
can be criticized?
g) Has the author critically evaluated the other literature in the field?
h) Is the research data valid i.e. based on a reliable method and accurate
information?
i) What are the strengths and limitations of this study?
j) What does this literature contribute to my own topic or thesis?
15
• The literature review itself, however, does not present new primary scholarly
findings.

A literature review might be:

• A stand alone review article: Review articles provide an overview of recent
research focused on an issue or problem. Review articles are often published in
academic journals or as conference proceedings. This:
 Evaluates and synthesises existing literature related to a specific issue (i.e. shows
overlaps and gaps, implications, limitations). In other words, creates a picture
about what is known and unknown in the research area.
 Makes recommendations for further research to address gaps
16
• A section or chapter of a research proposal or research report. This:
 Provides a theoretical context or framework for the research being undertaken.

 Evaluates and synthesises existing literature related to a research question or

objective (i.e. shows key themes, overlaps, gaps, implications, significance,
limitations). In other words, creates a picture about what is known and unknown in
the research area.
 Clearly identifies the gap in the body of knowledge that the proposed research will
attempt to fill.
 Provides a rationale or justification for the research being proposed (in a proposal)
or reported on (in a research report).
17
 Research Gap

• The main purpose of doing a literature review is to identify a gap or gaps in the

literature pertaining the topic.

• When doing the literature review, be original and you should strive to show clearly

how the previous research is conflicting or lacking in some way.

• This lack is called a “gap”, and your research should strive to “fill” the gap

18
 Classification of Research Gaps

1. Theory-based gaps: Occurs when a theory or an aspect of a theory has not been
investigated thoroughly, or not been tested in a particular way.

2. Methodological gap: Occurs when a research design or methodology has not

been applied to a particular phenomenon.

3. Analytical gap: Occurs when a phenomenon has not been investigated using a
particular analytical approach i.e., qualitative vs. quantitative.

4. Knowledge-based gap: Most common, occurs when we don't know (enough)

about a phenomenon.

5. Relationship-based: Occurs when we know about certain issues or

variables
well, but are unsure about their relationship. 1
9
 Research Methodology

Chapter 4 : Research Design

 3.1. MEANING OF RESEARCH DESIGN

• A detailed outline of how an investigation will take

place. A research design will typically include how
data is to be collected, what instruments will be
employed, how the instruments will be used and
the intended means for analyzing data collected.
• Decisions regarding what, where, when, how much
• General plan to answer the research questions
• Clear objectives
• Methods employed
• Constraints

2
 3.1. MEANING OF RESEARCH DESIGN
• Based on Wyk Brian explanation “ research design
articulates what data is required, what methods
are going to be used to collect and analyze this
data, and how all of this is going to answer your
research question (Wyk 2010)” .

• A research design is the set of methods and

procedures used in collecting and analyzing
measures of the variables specified in the
problem research .

3
 3.1. MEANING OF RESEARCH DESIGN

• Do you have all the means to do the research ?

Data, Time , Location, Money, etc.

• Factors affecting the choice are the research

problem itself, the background and interests of the
researcher, and the intended audience.

4
 3.2. DESIGN VERSUS METHOD (DEVAUSE 2001)

• Research design is different from the method by

which data are collected.

• Many research methods texts confuse research

designs with methods.

• It is not uncommon to see research design treated

as a mode of data collection rather than as a
logical structure of the inquiry.

5
 3.2. DESIGN VERSUS METHOD (DEVAUSE 2001)

• Research methods and research design are terms

you must know before starting a research project.

• Both these elements are essential to the success of

a research project.

6
 3.2. DESIGN VERSUS METHOD (DEVAUSE 2001)

• Research design is the overall structure of a research

project. For example, if you are building a house, you
need to have a good idea about what kind of house you
are going to build; you cannot do anything without
knowing this. A research design is the same – you cannot
proceed with the research study without having a proper
research design’ [Link]
research-methods-and-research-design/

7
 3.2. DESIGN VERSUS METHOD (DEVAUSE 2001)

• Research methods are the procedures that are used

to collect and analyze data.

• Thus, the main difference between research methods

and research design is that research design is the
overall structure of the research study whereas
research methods are the various processes,
procedures, and tools used to collect and analyze
data.
8
 3.2. DESIGN VERSUS METHOD (DEVAUSE 2001)

Research Methods Research design

Research methods are the Research design is the overall

procedures that will be used to structure of the research
collect and analyze data

Focus on what type of Focuses on what type of study is

methods are more suitable to planned and what kind of results are
collect and analyze the expected from the research
evidence needed
Depend on the research Based on the research question
design
9
 3.2. NEED FOR RESEARCH DESIGN

• 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.
• Just as for better, economical and attractive
construction of a house, we need a blueprint (or
what is commonly called the map of the house)
prepared by an architect, similarly we need a
research design or a plan in advance of data
collection and analysis for our research project.
10
 3.2. NEED FOR RESEARCH DESIGN

• Helps to give directions

• Helps in decision making

• Prevents blind searching

• Helps to get a reliable result

• Makes research to be efficient

11
 3.3. FEATURE OF A GOOD DESIGN

• The design which gives the smallest experimental

error is supposed to be the best design in many
investigations.
• A research design which yields maximal
information with minimal expenditure of effort,
time and money.
• Thus, the question of good design is related to
the purpose or objective of the research problem
and also with the nature of the problem to be
studied.

12
 3.3. FEATURE OF A GOOD DESIGN

• A research design appropriate for a particular

research problem, usually involves the
consideration of the following factors:
(i) The means of obtaining information
(ii) The availability and skills of the researcher and
his staff
(iii) The objective of the problem to be studied
(iv) The nature of the problem to be studied
(v) The availability of time and money for the
research work

13
 3.4. HOW TO DEVELOP A RESEARCH DESIGN ?

• Classify the intended outcome

• Developing the research question

• What needs to be measured

• Select the population for the experiment

• Identify the ideal data collection method

• Use correct analysis tools

• Choose a channel for disseminating your findings

14
 3.5. COMPONENTS OF RESEARCH DESIGN (CRESWELL
2014)

• The research design should be able to provide

answers of the following reserve queries:

• What is the study about and, what type of data is

required?

• What is the purpose of study?

• What are the sources of needed data?

• What should be the place or area of the study?

15
SMIE
 3.5. COMPONENTS OF RESEARCH DESIGN (CRESWELL
2014)

• What time, approximately, is required for the study?

• What should be the amount of materials or number of

cases for the study?

• What type of sampling should be used?

• What method of data collection would be appropriate?

• How will data be analyzed?

• What should be the approximate expenditure?

• What should be the specific nature of the study?

16
 3.6. IMPORTANT CONCEPTS RELATING TO
RESEARCH DESIGN
• Before describing the different research designs, it
will be appropriate to explain the various concepts
relating to designs so that these may be better and
easily understood.
1. Dependent and independent variables
Independent variable : It is a variable that stands
alone and isn't changed by the other variables you
are trying to measure. For example, someone's age
might be an independent variable. Other factors
(such as what they eat, how many times they go to
school) aren't going to change a person's age.
17
 3.6. IMPORTANT CONCEPTS RELATING TO
RESEARCH DESIGN
• Dependent variable : is something that depends on
other factors. For example, a test score could be a
dependent variable because it could change
depending on several factors such as how much you
studied, how much sleep you got the night before,
etc.

18
 3.6. IMPORTANT CONCEPTS RELATING TO
RESEARCH DESIGN
2. Extraneous variable
• Extraneous Variables are unwanted variables that
influence the relationship between
the variables that an experimenter is examining.
Another way to think of this, is that these
are variables the influence the outcome of an
experiment, though they are not the variables that
are actually of interest.
• These are variables which mixes up the relationship
between the dependent and independent variables.

19
 3.6. IMPORTANT CONCEPTS RELATING TO
RESEARCH DESIGN
3. Control
• In experimental researches, the term „control‟ is
used to refer to restrain experimental
conditions.
4. Confounded relationship
• When the dependent variable is not free from
the influence of extraneous variable(s) the
relationship between the dependent and
independent variables is said to be
confounded/confused by an extraneous
variable(s).
20
 3.6. IMPORTANT CONCEPTS RELATING TO
RESEARCH DESIGN
5. Research hypothesis
• When a prediction or a hypothesized relationship
is to be tested by scientific methods, it is termed
as research hypothesis.
• The research hypothesis is a predictive statement
that relates an independent variable to a
dependent variable

21
 3.6. IMPORTANT CONCEPTS RELATING TO
RESEARCH DESIGN
6. Experimental and non-experimental hypothesis-
testing research
7. Treatments
• The different conditions under which
experimental and control groups are referred to
as treatment.
• For example, if we want to determine through an
experiment the comparative impact of three
varieties of fertilizers on the yield of wheat, in
that case the three varieties of fertilizers will be
treated as three treatments.
22
 3.6. IMPORTANT CONCEPTS RELATING TO
RESEARCH DESIGN
8. Experiments
• Experiment is the systematic procedure carried
out under controlled conditions in order to
discover an unknown effect and to establish a
hypothesis. Ex., an experiment to examine the
usefulness of a certain newly developed drug
9. Experimental unit(s)
• The pre-determined plots or the blocks, where
different treatments are used, are known as
experimental units. Example : Animal, human ,
plants….
23
 3.7. BASIC PRINCIPLES OF EXPERIMENTAL
DESIGN
• Experiment is defined as the systematic
procedure carried out under controlled conditions
in order to discover an unknown effect, to test or
establish a hypothesis.
• There are three principles of experimental designs:
1. The Principles of Replication
• The experiment should be repeated more than
once

24
 3.7. BASIC PRINCIPLES OF EXPERIMENTAL
DESIGN
2. The Principles of randomization
• Equal out the effects of unknown or uncontrollable
sources of variation (factors).
• For instance, if we 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.

25
 Examples
Research design
• Title: Simulation and Experimental analysis of used tire pyrolysis system
• Objective: To design, simulate and test tire pyrolysis system
• Methodology:
– Data required:
• Daily generation of used tire
• Sample preparation : particle size
– Testing of the sample : proximate and ultimate analysis, heating value
– Sizing of the pyrolysis unit considering hourly input and Energy Balance
– Manufacturing and testing of the system
• Expected result
– Comparison of simulation and experimental result
– Product characterization : Ultimate and proximate analysis, heating value
– Sensitivity analysis by varying important parameters : Temperature, size of the input,
flow rate and catalyst
• Budget Required : KES. 200,000
• Time required to finish the project : 8 months
• Constraints : Input of daily waste
26
UNIT-5
Sampling Design

Census and Sample Survey

All items in any field of inquiry constitute a ‘Universe’ or ‘Population.’ A complete enumeration
of all items in the ‘population’ is known as a census inquiry. It can be presumed that in such an
inquiry, when all items are covered, no element of chance is left and highest accuracy is
obtained. But in practice this may not be true. Thus, representatives of the universe must be
selected to conducted study. The selected items/participants are technically called a ‘sample(s) and the
selection process is called ‘sampling technique. Arithmetically, the population/universe is represented
with (N) and sample is designated by (n), which n < N.

Implications of Sample Design

A sample design is a definite plan for obtaining a sample from a given population. It refers to the
technique or the procedure the researcher would adopt in selecting items for the sample. Sample
design may as well lay down the number of items to be included in the sample i.e., the size of the
sample. Sample design is determined before data are collected. There are many sample designs
from which a researcher can choose depending on the nature of research.

Steps in Sample Design

While developing a sampling design, the researcher must pay attention to the following points:
(i) Type of universe: The first step in developing any sample design is to clearly define
the set of objects, technically called the Universe, to be studied. The universe can be
finite or infinite. In finite universe the number of items is certain, but in case of an
infinite universe the number of items is infinite, i.e., we cannot have any idea about
the total number of items. The population of a city, the number of workers in a
factory and the like are examples of finite universes, whereas the number of stars in
the sky, listeners of a specific radio programs, throwing of a dice etc. are examples of
infinite universes.
 (ii) Sampling unit: A decision has to be taken concerning a sampling unit before
selecting sample. Sampling unit may be a geographical one such as state, district,
village, etc., or a construction unit such as house, flat, etc., or it may be a social unit
such as family, club, school, etc., or it may be an individual. The researcher will have
to decide one or more of such units that he has to select for his study.
(iii) Source list: It is also known as ‘sampling frame’ from which sample is to be drawn.
It contains the names of all items of a universe (in case of finite universe only). If
source list is not available, researcher has to prepare it. Such a list should be
comprehensive, correct, reliable and appropriate. It is extremely important for the
source list to be as representative of the population as possible.
(iv) Size of sample: This refers to the number of items to be selected from the universe to
constitute a sample. This is a major problem before a researcher. The size of sample
should neither be excessively large, nor too small.
(v) Parameters of interest: In determining the sample design, one must consider the
question of the specific population parameters which are of interest. For instance, we
may be interested in estimating the proportion of persons with some characteristic in
the population, or we may be interested in knowing some average or the other
measure concerning the population. There may also be important sub-groups in the
population about whom we would like to make estimates. All this has a strong impact
upon the sample design we would accept.
(vi) Budgetary constraint: Cost considerations, from practical point of view, have a
major impact upon decisions relating to not only the size of the sample but also to the
type of sample. This fact can even lead to the use of a non-probability sample.
(vii) Sampling procedure: Finally, the researcher must decide the type of sample he will
use i.e., he must decide about the technique to be used in selecting the items for the
sample. In fact, this technique or procedure stands for the sample design itself.

Criteria of Selecting Sampling Procedure

Systematic bias results from errors in the sampling procedures, and it cannot be reduced or
eliminated by increasing the sample size. At best the causes responsible for these errors can be
detected and corrected. Usually a systematic bias is the result of one or more of the following
factors:
1. Inappropriate sampling frame: If the sampling frame is inappropriate i.e., a biased
representation of the universe, it will result in a systematic bias.
2. Defective measuring device: If the measuring device is constantly in error, it will result
in systematic bias. In survey work, systematic bias can result if the questionnaire or the
interviewer is biased. Similarly, if the physical measuring device is defective there will
be systematic bias in the data collected through such a measuring device.
3. Non-respondents: If we are unable to sample all the individuals initially included in the
sample, there may arise a systematic bias. The reason is that in such a situation the
likelihood of establishing contact or receiving a response from an individual is often
correlated with the measure of what is to be estimated.
4. Indeterminacy principle: Sometimes we find that individuals act differently when kept
under observation than what they do when kept in non-observed situations.
5. Natural bias in the reporting of data: Natural bias of respondents in the reporting of
data is often the cause of a systematic bias in many inquiries. There is usually a
downward bias in the income data collected by government taxation department, whereas
we find an upward bias in the income data collected by some social organization.

Different Types of Sample Designs

There are different types of sample designs based on two factors viz., the representation basis
and the element selection technique. On the representation basis, the sample may be probability
sampling or it may be non-probability sampling. Probability sampling is based on the concept of
random selection, whereas non-probability sampling is ‘non-random’ sampling. On element
selection basis, the sample may be either unrestricted or restricted. When each sample element is
drawn individually from the population at large, then the sample so drawn is known as
‘unrestricted sample’, whereas all other forms of sampling are covered under the term ‘restricted
sampling’.
Non-probability sampling: Non-probability sampling is that sampling procedure which does
not afford any basis for estimating the probability that each item in the population has of being
included in the sample. Non-probability sampling is also known by different names such as
deliberate sampling, purposive sampling and judgment sampling.
Probability sampling: Probability sampling is also known as ‘random sampling’ or ‘chance
sampling’. Under this sampling design, every item of the universe has an equal chance of
inclusion in the sample. It is, so to say, a lottery method in which individual units are picked up
from the whole group not deliberately but by some mechanical process.

How to Select Random Sample From Finite Universe

With regard to the question of how to take a random sample in actual practice, we could, in
simple cases like the one above, write each of the possible samples on a slip of paper, mix these
slips thoroughly in a container and then draw as a lottery either blindfolded or by rotating a drum
or by any other similar device. Such a procedure is obviously impractical, if not altogether
impossible in complex problems of sampling. In fact, the practical utility of such a method is
very much limited.

Fortunately, we can take a random sample in a relatively easier way without taking the trouble of
enlisting all possible samples on paper-slips as explained above. Instead of this, we can write the
name of each element of a finite population on a slip of paper, put the slips of paper so prepared
into a box or a bag and mix them thoroughly and then draw (without looking) the required
number of slips for the sample one after the other without replacement. This procedure will also
result in the same probability for each possible sample. We can verify this by taking the above
example. Since we have a finite population of 6 elements and we want to select a sample of size
3, the probability of drawing any one element for our sample in the first draw is 3/6, the
probability of drawing one more element in the second draw is 2/5, (the first element drawn is
not replaced) and similarly the probability of drawing one more element in the third draw is 1/4.
Since these draws are independent, the joint probability of the three elements which constitute
our sample is the product of their individual probabilities and this works out to 3/6 × 2/5 × 1/4 =
1/20. This verifies our earlier calculation.
Random number tables are also common for practical sampling. We can assign to numbers or ID
for all elements in universe and then draw samples from these numbers, we designated random
number table.

Random Sample from Infinite Universe

So far we have talked about random sampling, keeping in view only the finite populations. But
what about random sampling in context of infinite populations? It is relatively difficult to explain
the concept of random sample from an infinite population. However, a few examples will show
the basic characteristic of such a sample. Suppose we consider the 20 throws of a fair dice as a
sample from the hypothetically infinite population which consists of the results of all possible
throws of the dice. If the probability of getting a particular number, say 1, is the same for each
throw and the 20 throws are all independent, then we say that the sample is random. Similarly, it
would be said to be sampling from an infinite population if we sample with replacement from a
finite population and our sample would be considered as a random sample if in each draw all
elements of the population have the same probability of being selected and successive draws
happen to be independent. In brief, one can say that the selection of each item in a random
sample from an infinite population is controlled by the same probabilities and that successive
selections are independent of one another.

Complex Random Sampling Designs

Probability sampling under restricted sampling techniques, as stated above, may result in
complex random sampling designs. Such designs may as well be called ‘mixed sampling
designs’ for many of such designs may represent a combination of probability and non-
probability sampling procedures in selecting a sample. Some of the popular complex random
sampling designs are as follows:
(i) Systematic sampling: In some instances, the most practical way of sampling is to select
every ith item on a list. Sampling of this type is known as systematic sampling. An element of
randomness is introduced into this kind of sampling by using random numbers to pick up the unit
with which to start. For instance, if a 4% sample is desired, the first item would be selected
randomly from the first twenty-five and thereafter every 25th item would automatically be
included in the sample. Thus, in systematic sampling only the first unit is selected randomly and
the remaining units of the sample are selected at fixed intervals. Although a systematic sample is
not a random sample in the strict sense of the term, but it is often considered reasonable to treat
systematic sample as if it were
a random sample.
(ii) Stratified sampling: If a population from which a sample is to be drawn does not constitute
a homogeneous group, stratified sampling technique is generally applied in order to obtain a
representative sample. Under stratified sampling the population is divided into several sub-
populations that are individually more homogeneous than the total population (the different sub-
populations are called ‘strata’) and then we select items from each stratum to constitute a sample.
Since each stratum is more homogeneous than the total population, we are able to get more
precise estimates for each stratum and by estimating more accurately each of the component
parts, we get a better estimate of the whole. In brief, stratified sampling results in more reliable
and detailed information.
The following three questions are highly relevant in the context of stratified sampling:

(a) How to form strata?

(b) How should items be selected from each stratum?
(c) How many items are selected from each stratum or how to allocate the sample size of
each stratum?

Detailed procedure is illustrated below:

Regarding the third question, we usually follow the method of proportional allocation under
which the sizes of the samples from the different strata are kept proportional to the sizes of the
strata. That is, if Pi represents the proportion of population included in stratum i, and n
represents the total sample size, the number of elements selected from stratum i is n. Pi. To
illustrate it, let us suppose that we want a sample of size n = 30 to be drawn from a population of
size N = 8000 which is divided into
three strata of size N1 = 4000, N2 = 2400 and N3 = 1600. Adopting proportional allocation, we
shall get the sample sizes as under for the different strata:
For strata with N1 = 4000, we have P1 = 4000/8000
and hence n1 = n. P1 = 30 (4000/8000) = 15
Similarly, for strata with N2 = 2400, we have
n2 = n. P2 = 30 (2400/8000) = 9, and
for strata with N3 = 1600, we have
n3 = n. P3 = 30 (1600/8000) = 6.

Thus, using proportional allocation, the sample sizes for different strata are 15, 9 and 6
respectively which is in proportion to the sizes of the strata viz., 4000: 2400: 1600. Proportional
allocation is considered most efficient and an optimal design when the cost of selecting an item
is equal for each stratum, there is no difference in within-stratum variances, and the purpose of
sampling happens to be to estimate the population value of some characteristic. But in case the
purpose happens to be to compare the differences among the strata, then equal sample selection
from each stratum would be more efficient even if the strata differ in sizes. In cases where strata
differ not only in size but also in variability and it is considered reasonable to take larger samples
from the more variable strata and smaller samples from the less variable strata, we can then
account for both (differences in stratum size and differences in stratum variability) by using
disproportionate sampling design by requiring:

n1 n2 nk
  ....... 
N 1 1 N 2 2 N k k

This means:

n.N i  i
n1  for I = 1, 2 & k
N 1 1  N 2 2  ....  N k  k

Illustration 1
A population is divided into three strata so that N1 = 5000, N2 = 2000 and N3 = 3000. Respective
standard deviations are:

 1  15, 2  18,  3  5
How should a sample of size n = 84 be allocated to the three strata, if we want optimum
allocation using disproportionate sampling design?

Solution: Using the disproportionate sampling design for optimum allocation, the sample sizes
for different strata will be determined as under:

Sample size for strata with N1 = 5000

84(5000)(15)
n1 
(5000)15  ( 2000)18  (3000)5

6300000
  50
126000

Sample size for strata with N2 = 2000

84(2000)(18)
n2 
(5000)15  ( 2000)18  (3000)5

3024000
  24
126000

Sample size for strata with N3 = 3000

84(3000)(5)
n3 
(5000)15  ( 2000)18  (3000)5

1260000
  10
126000
In addition to differences in stratum size and differences in stratum variability, we may have
differences in stratum sampling cost, and then we can have cost optimal disproportionate
sampling design by requiring.

n.N i i
Ci
ni  for i=1, 2 & k
N 1 1 N 2 2  ......  N k  k

C1 C2 Ck

Where,
C1 = Cost of sampling in stratum 1
C2 = Cost of sampling in stratum 2
Ck = Cost of sampling in stratum k

(iii) Cluster sampling: If the total area of interest happens to be a big one, a convenient way in
which a sample can be taken is to divide the area into a number of smaller non-overlapping areas
and then to randomly select a number of these smaller areas (usually called clusters), with the
ultimate sample consisting of all (or samples of) units in these small areas or clusters.

Thus in cluster sampling the total population is divided into a number of relatively small
subdivisions which are themselves clusters of still smaller units and then some of these clusters
are randomly selected for inclusion in the overall sample. Suppose we want to estimate the
proportion of machine parts in an inventory which are defective. Also assume that there are
20000 machine parts in the inventory at a given point of time, stored in 400 cases of 50 each.
Now using a cluster sampling, we would consider the 400 cases as clusters and randomly select
‘n’ cases and examine all the machine parts
in each randomly selected case.

Area sampling: If clusters happen to be some geographic subdivisions, in that case cluster
sampling is better known as area sampling. In other words, cluster designs, where the primary
sampling unit represents a cluster of units based on geographic area, are distinguished as area
sampling. The plus and minus points of cluster sampling are also applicable to area sampling.

Multi-stage sampling: Multi-stage sampling is a further development of the principle of cluster

sampling. Suppose we want to investigate the working efficiency of nationalized banks in India
and we want to take a sample of few banks for this purpose. The first stage is to select large
primary sampling unit such as states in a country. Then we may select certain districts and
interview all banks in the chosen districts. This would represent a two-stage sampling design
with the ultimate sampling units being clusters of districts.
If instead of taking a census of all banks within the selected districts, we select certain towns and
interview all banks in the chosen towns. This would represent a three-stage sampling design. If
instead of taking a census of all banks within the selected towns, we randomly sample banks
from each selected town, then it is a case of using a four-stage sampling plan. If we select
randomly at all stages, we will have what is known as ‘multi-stage random sampling design’.

Sampling with probability proportional to size: In case the cluster sampling units do not have
the same number or approximately the same number of elements, it is considered appropriate to
use a random selection process where the probability of each cluster being included in the
sample is proportional to the size of the cluster. For this purpose, we have to list the number of
elements in each cluster irrespective of the method of ordering the cluster. Then we must sample
systematically the appropriate number of elements from the cumulative totals. The actual
numbers selected in this way do not refer to individual elements, but indicate which clusters and
how many from the cluster are to be selected by simple random sampling or by systematic
sampling. The results of this type of sampling are equivalent to those of a simple random sample
and the method is less cumbersome and is also relatively less expensive. We can illustrate this
with the help of an example.

Illustration
The following are the number of departmental stores in 15 cities: 35, 17, 10, 32, 70, 28, 26, 19,
26, 66, 37, 44, 33, 29 and 28. If we want to select a sample of 10 stores, using cities as clusters
and selecting within clusters proportional to size, how many stores from each city should be
chosen? (Use a starting point of 10).
Solution: Let us put the information as under (as indicated in the table):
Since in the given problem, we have 500 departmental stores from which we have to select a
sample of 10 stores, the appropriate sampling interval is 50. As we have to use the starting point
of 10*, so we add successively increments of 50 till 10 numbers have been selected. The
numbers, thus, obtained are: 10, 60, 110, 160, 210, 260, 310, 360, 410 and 460 which have been
shown in the last column of the table against the concerning cumulative totals. From this we can
say that two stores should be selected randomly from city number five and one each from city
number 1, 3, 7, 9, 10, 11, 12, and 14. This sample of 10 stores is the sample with probability
proportional to size.

City number No. of departmental stores Cumulative total Sample

1 35 35 10
2 17 52
3 10 62 60
4 32 94
5 70 164 110 160
6 28 192
7 26 218 210
8 19 237
9 26 263 260
10 66 329 310
11 37 366 360
12 44 410 410
13 33 443
14 29 472 460
15 28 500

Sequential sampling: This sampling design is some what complex sample design. The ultimate
size of the sample under this technique is not fixed in advance, but is determined according to
mathematical decision rules on the basis of information yielded as survey progresses. This is
usually adopted in case of acceptance sampling plan in context of statistical quality control.
ASSIGNMENT 1.

Common Research Data Collection Methods

Research is conducted using diverse techniques. Which approach one applies depends on the
nature of problem under assessment and desired objectives. The following are common research
methods used for investigation:
1. Survey/Questionnaire: involves collecting data via written structured items or through
interview. Of course, it is predominantly used in a written questionnaire form. More
explanations are discussed below. Main aspects of a questionnaire: Quite often
questionnaire is considered as the heart of a survey operation. Hence it should be very
carefully constructed. If it is not properly set up, then the survey is bound to fail. This fact
 requires us to study the main aspects of a questionnaire viz., the general form, question
sequence and question formulation and wording. Researcher should note the following
with regard to these three main aspects of a questionnaire:
(a) General form: So far as the general form of a questionnaire is concerned,
it can either be structured or unstructured questionnaire. Structured
questionnaires are those questionnaires in which there are definite,
concrete and pre-determined questions. The questions are presented with
exactly the same wording and in the same order to all respondents.
(b) Question sequence: In order to make the questionnaire effective and to
ensure quality to the replies received, a researcher should pay attention
to the question-sequence in preparing the questionnaire. A proper
sequence of questions reduces considerably the chances of individual
questions being misunderstood.
(c) Question formulation and wording: With regard to this aspect of
questionnaire, the researcher should note that each question must be very
clear for any sort of misunderstanding can do irreparable harm to a
survey.

2. Observation: direct observation of phenomena or behavior is carried out. One can

observe directly layout of plant, production workshop, work design and hazardous, like
unguarded machine on production floor. Then, an investigator records the events; its
limitation is observation alone cannot establish cau8sal relations unless supplemented
with another means.
3. Case study: in engineering field, the case study can focus on an individual company’s
events, or specific phenomena, problem, or success in that company. In most cases, its
reference point is based on an internal record, for example, the present sales volumes can
be compared to the previous sales volumes. Its drawback is there is no adequate room for
controlled comparison, as a result lacks important ingredient for testing causal relations.
It is advisable that to integrate a number of case studies on a similar issue for
generalization.
4. Interview: An interview is one of methods for data collection, but its capacity is limited
to a person’s response to the interview. This methodology could be supplemented with
another research technique to enhance its reliability.
5. Experimental: it is complex research technique, which deals with research variables in
controlled conditions. Phenomenon under study and extraneous variables relatively under
control. Detailed techniques related to experimental designed is explained above.
 6. Historical approach: the above methods applied primary data collection. On the other
hand, the historical approach used for collecting secondary data, which gathered
previously by a third party, such as government and private agencies, for example, an
investigator may use data collected by Ministry of Industry to analyze productivity rate in
Ethiopian manufacturing industries.

Common Sources of Error in Measurement

Measurement should be precise and unambiguous in an ideal research study. This objective,
however, is often not met with in entirety. As such the researcher must be aware about the
sources of error in measurement. As stated in Unit-3, the following are the possible sources of
error in measurement.
(a) Respondent: At times the respondent may be reluctant to express strong negative
feelings or it is just possible that he may have very little knowledge but may not admit his
ignorance. All this reluctance is likely to result in an interview of ‘guesses.’ Transient
factors like fatigue, boredom, anxiety, etc. may limit the ability of the respondent to
respond accurately and fully.
(b) Situation: Situational factors may also come in the way of correct measurement. Any
condition which places a strain on interview can have serious effects on the interviewer-
respondent rapport. For instance, if someone else is present, he can distort responses by
joining in or merely by being present. If the respondent feels that anonymity is not
assured, he may be reluctant to express certain feelings.
(c) Measurer: The interviewer can distort responses by rewording or reordering questions.
His behavior, style and looks may encourage or discourage certain replies from
respondents. Careless mechanical processing may distort the findings. Errors may also
creep in because of incorrect coding, faulty tabulation and/or statistical calculations,
particularly in the data-analysis stage.
(d) Instrument: Error may arise because of the defective measuring instrument. The use of
complex words, beyond the comprehension of the respondent, ambiguous meanings, poor
printing, inadequate space for replies, response choice omissions, etc. are a few things
that make the measuring instrument defective and may result in measurement errors.
 Another type of instrument deficiency is the poor sampling of the universe of items of
concern.

Processing and Analysis of Data

The data, after collection, has to be processed and analyzed in accordance with the outline laid
down for the purpose at the time of developing the research plan. This is essential for a scientific
study and for ensuring that we have all relevant data for making contemplated comparisons and
analysis. Technically speaking, processing implies editing, coding, classification and tabulation
of collected data so that they are amenable to analysis. The term analysis refers to the
computation of certain measures along with searching for patterns of relationship that exist
among data-groups. Thus, “in the process of analysis, relationships or differences supporting or
conflicting with original or new hypotheses should be subjected to statistical tests of significance
to determine with what validity data can be said to indicate any conclusions.

Processing Operations

With this brief introduction concerning the concepts of processing and analysis, we can now
proceed with the explanation of all the processing operations:

a) Editing: Editing of data is a process of examining the collected raw data (specially in
surveys) to detect errors and omissions and to correct these when possible.
b) Coding: Coding refers to the process of assigning numerals or other symbols to answers
so that responses can be put into a limited number of categories or classes. Such classes
should be appropriate to the research problem under consideration. They must also
possess the characteristic of exhaustiveness (i.e., there must be a class for every data
item) and also that of mutual exclusively which means that a specific answer can be
placed in one and only one cell in a given category set. Another rule to be observed is
that of unidimensionality by which is meant that every class is defined in terms of only
one concept.
c) Classification: Most research studies result in a large volume of raw data which must be
reduced into homogeneous groups if we are to get meaningful relationships. This fact
 necessitates classification of data which happens to be the process of arranging data in
groups or classes on the basis of common characteristics. Data having a common
characteristic are placed in one class and in this way the entire data get divided into a
number of groups or classes. Classification can be one of the following two types,
depending upon the nature of the phenomenon involved:
(i) Classification according to attributes: As stated above, data are classified on the basis of
common characteristics which can either be descriptive (such as literacy, sex, honesty,
etc.) or numerical (such as physical or chemical characteristics, height, income, etc.). Descriptive
characteristics refer to qualitative phenomenon which cannot be measured quantitatively; only
their presence or absence in an individual item can be noticed.
(ii) Classification according to class-intervals: Unlike descriptive characteristics, the
numerical characteristics refer to quantitative phenomenon which can be measured through some
statistical units. Data relating to income, production, age, weight, etc. come under this category.
Such data are known as statistics of variables and are classified on the basis of class intervals.
For instance, persons whose incomes, say, are within Birr 201 to Birr 400 can form one group,
those whose incomes are within Birr 401 to Birr 600 can form another group and so on.

An Illustrative Tally Sheet for Determining the Number

of 70 Families in Different Income Groups

Income groups Tally mark Number of families or Class frequency

Below 400 IIII IIII III II 13

401–800 IIII IIII IIII IIII IIII 20
801–1200 IIII IIII IIII 12
1201–1600 IIII IIII IIII IIIIII 18
1601 and
above IIII III 7
Total 70

Another example, inclusive type class intervals: They are usually stated as follows:
11–20
21–30
31–40
41–50
Here, the classification is made including minimum and maximum data in the sample. For instance,
minimum number is 11 and maximum is 50.