Writing a research

Proposal

Dr. Mekuriaw Alemayehu (PhD)

Associate professor of Public Health
 Objectives
• Develop a research proposal

• Critically review the research proposal

[Link] A. 2
 Planning research
• Generate idea
• Assemble team
• Work-up proposal
• Find appropriate funding body
• Submit application

[Link] A. 3
 Good Research
• Is simple
• Has clear question (s)
• Good rationale
• Appropriate method
• Clear expectation of the outputs

[Link] A. 4
 Components of a proposal
• Title
• Summary
• Introduction
• Objective
• Method
• Ethical considerations
• Work plan
• Dissemination and Utilization of Results
• Budget
• References
• annex

[Link] A. 5
 Title
 Should be in line with your general objective

 Should tell readers what your study is about

and where it will be done

[Link] A. 6
 Summary
Should reflect:
• Problem Statement
• Research objectives
• Research design
• Duration
• Total Budget
• Keep to about 250-300 words

[Link] A. 7
 Introduction
• Can be divided into 4 sections or the concepts
of the 4 sections can be merged together
• Sections:
– Background section
– Statement of the problem
– Literature review
– Justification of the study
– Significance of the study

[Link] A. 8
 Background
• Start by introducing the topic of your research and
providing a brief overview of its importance and
relevance.
• Including key events, developments, and theories
that have shaped the current understanding of the
subject.
• It help the reader to understand the context and
importance of your study.
• It is important to use clear and concise language
• provide references to support your statements
[Link] A. 9
 What is a research problem?
• A problem is a perceived difficulty, a feeling of
discomfort about the way things are, or a
discrepancy between what someone believes
should be the situation and what the situation
is in reality.

[Link] A. 10
Why is it important to state and define the
problem well?
A clear statement of the problem:
• Is the foundation for further development of the research
proposal (research objectives, methodology, work plan,
budget, etc)
• Makes it easier to find information and reports of similar
studies from which your own study design can benefit.
• Enables you to systematically point out why the proposed
research on the problem should be undertaken and what
you hope to achieve with the study results.

[Link] A. 11
What information should be included in the
problem statement?
• A brief description of socio-economic and cultural characteristics
and an overview of health status and the health-care system in
the country/district in as far as these are relevant to the problem.

• A concise description of the nature of the problem and of the

size, distribution and severity of the problem (who is affected,
where, since when, and what are the consequences for those
affected and for the services).

• An analysis of the major factors that may influence the problem

and a discussion of why certain factors need more investigation if
the problem is to be fully understood.
[Link] A. 12
What information should be included in the
problem statement? Cont..
• A brief description of any solutions to the problem
that have been tried in the past, how well they
have worked, and why further research is needed
(justification for your study).
• A description of the type of information expected
to result from the project and how this information
will be used to help solve the problem.
• If necessary, a short list of definitions of crucial
concepts

[Link] A. 13
 Statement of the Research Problem: Examples
Factors Contributing to Unattended Delivery among ANC Attendants at Government-
owned Health Centers in Addis Ababa.
Addis Ababa is the capital city of Ethiopia with an area of 530 km2 and a total
population of 3 Million. It has 10 sub- cities. The health service coverage of Addis
Ababa is 71%. There are 5 hospital, 24 health centers, 32 health posts & more than
500 private health institutions providing health services including ANC and Delivery.
ANC coverage of the city is estimated at 86%. Despite this high coverage of ANC only
56% of pregnant women give birth in health institutions, while the remaining 44%
deliver elsewhere, including unattended home deliveries. Unattended deliveries are
known to be associated with maternal and perinatal morbidity and mortality, such as
antepartum hemorrhage (APH), postpartum hemorrhage (PPH), birth trauma,
infection, and fistula. There are no studies that have examined the factors contributing
to unattended delivery despite high overall service coverage and antenatal care
coverage in Addis Ababa. Many health institutions attempt to improve the situation
through the training of traditional birth attendants, expanding health education and
community mobilization activities. However, these efforts are not based on systematic
evidence into possible determinants of the prevailing practice. The present study is
intended to contribute to bridging the information gap, and subsequently the
coverage of institutional deliveries in the city.
[Link] A. 14
 Reference
The Health Department of the Ethiopian
Science and Technology Commission in
collaboration with The Ethiopian Public Health
Association and Regional State Health
Bureaus. Proposal writing for health and
health-related research (training module 1).
June, 2005; Addis Ababa, Ethiopia

[Link] A. 15
 Literature review
• Search widely
– Electronic search engines (Pubmed, POPLINE…)
– Grey literature
• Reference all literature that you refer to in your review

• Evaluate the relevance of the literature to

your study
• Include information directly relevant to your
study
• There should be logical sequence in writing literature review
• Be concise

[Link] A. 16
 Literature review cont…

Importance of literature review:

• Prevents duplication
• Help to find out what others have learned
• Helps to become more familiar with the
various research approaches
• Helps to justify your research

[Link] A. 17
 Justification
• Why your research is needed?
• E.g
– Others not large enough
– Different populations
– Different intervention

[Link] A. 18
 Significance of the study
• Start by explaining the broader relevance of your
research topic.
• Highlight any practical implications of your research.
• Discuss the theoretical significance of your study.
• Consider the potential impact on future research.
• Be specific and concrete in your explanations
• Consider the audience for your research proposal.

[Link] A. 19
 Objectives
• A research objective summarize what is to be
achieved by the study.

• Identify General and Specific objectives.

[Link] A. 20
 Components of research methods
Study setting and period
Study design
Target population
Study population
Sample size and sampling procedure
Variables
Operational definitions of key terms
Data collection procedures
Plan for analysis of data and interpretation of the results
[Link] A. 21
 Study setting and period
 It is related to the study area and other characteristics
which are more related to the study; write as a brief
background; Health institutions, Schools, community
(1-2 Paragraphs)

Include map if possible

Write the time to which the data belongs to or the time

where the data represents the characteristics studied

[Link] A. 22
 Study design
Research design is the overall structure of the research

Focuses on what type of study is planned and what

kind of results are expected from the research

It is just like an architect translates a vision for a

building into blueprints, so an investigator translates
their research idea into a study design.

Ifthe necessary planning steps aren’t taken, you

never know what is going to happen
[Link] A. 23
 Types of Study Designs
(broadly)
Qualitative

Quantitative

 Experimental

 Observational

[Link] A. 24
Quantitative study designs

Case report
Case
series
Ecological
Cross-
sectional

[Link] A. 925
 Population and Sample
Broadly, population can be categorized as target/source
population and study population

Target population is a collection of items that have something in

common for which we wish to draw conclusions at a particular
time

In other words, there could be some elements of the target

population which are systematically excluded from the study
population and hence might not be represented in the sample

Study (sampled) Population: is a part of target population and

actually accessible and legitimate for data collection
[Link] A. 26
Population and Sample

[Link] A. 27
 Inclusion/ exclusion criteria
 Use inclusion criteria that would give you a larger study
population, but
 legitimate to answer the research question
Example: For a study to assess contraceptive utilization (family
planning): women aged 15-49 from a study area can be included
into the study
Exclusion criteria
 Think critically to find people who fulfill the inclusion criteria but
are not eligible
Example: Women who are infertile can be excluded from the study

NB: non-respondents and age below 15 and above 49 cannot

be part of exclusion criteria.

[Link] A. 28
 Sample size and sampling procedure
Whether the study type is quantitative or qualitative,
a standard sampling technique is important (except
census)

However, the sampling techniques in qualitative and

quantitative studies are different, and

depends on the respective aim of the study

 Qualitative study  Discovery,
 Quantitative study  Generalization

[Link] A. 29
 Sampling procedure
Qualitative studies use non-probability sampling
techniques:-
 Purposive

 judgment,

 quota,

 snowball sampling etc.

For example, these could enable researchers to recruit
individuals with rich information

[Link] A. 30
 Sampling procedure
In quantitative studies, a sound generalization of
population parameter needs a representative sample

Representative sample for generalization could be

obtained if:
 a probability sampling technique is employed
considering the distribution of key characteristics to
be studied
 a minimum but adequate sample size is drawn from
the population

[Link] A. 31
 Sampling procedure
Quantitative studies employee probability sampling
techniques:
 simple random sampling

 systematic random sampling

 stratified sampling

 cluster sampling

 multi-stage sampling etc

[Link] A. 32
 Sampling procedure
If the characteristic we are going to study is uniformly
distributed throughout the larger population, we can use:
 Simple random sampling (SRS), or
 Cluster sampling provided that there is a means to
cluster the population

If there is another variable by which the distribution of the

characteristic could importantly vary, we can stratify the
population by that variable (stratified sampling)

Stratification could be integrated with SRS,

systematic random sampling, cluster sampling, or
multistage sampling. [Link] A. 33
 Sampling procedure
Sometimes the population that we want to study could be
distributed in a very large geographic area or large population.
In that case, covering the whole study area will be costly.

 Multistage sampling could be more appropriate

Exercise
To study the prevalence of use of family planning in Addis Abeba
city, we may assume that the distribution is uniform in all the sub-
city of the city. Therefore, we can select 5 sub-city randomly from
which only some of the households and then at least one of the
women will be sampled.

Questions: In this example, identify the number and name of

stages?
[Link] A. 34
 Sample size allocation
 Sample size must be determined at a study population level first;

If there is stratification or clustering within a study population,

then sample size must be allocated across the strata/selected
clusters

There are different techniques of sample size allocations across

strata/clusters; the most important ones are:
 Proportional allocation
 Probability Proportional to Size (PPS)
 Equal allocation
 Optimal allocation (based on variance differences among the
strata)
 Cost based sample allocation
[Link] A. 35
 Sample size
 A minimum but adequate sample size can be determined using:-
 Thumb rule,
 Precision approach (single population proportion or mean
approach)
Power approach (two population proportion or mean
difference approach)

We may be required to consider design effect, a non response rate

(contingency), and/or the number of independent variables

[Link] A. 36
 Sample size
For qualitative study, it is very difficult to set the sample
size from the outset.

Of course, with a thorough look at of the resource and

time one has, and some reading of similar studies, one can
give a reasonable indication.

However, it is good to leave it for saturation of the study

[Link] A. 37
 Rules of thumb
1. If the population size is small (N ‹ 100), there is little
point in sampling. Survey the entire population.
2. If the population size is around 500, 50% should be
sampled.
3. If the population size is around 1500, 20% should be
sampled.
4. Beyond a certain point (N = 5000), the population size is
almost irrelevant and a sample size of 400 may be
adequate.
5. Statistician – maximalist – at least 500

[Link] A. 2 38
2
 Precision approach
Hence the absolute precision denoted by d is given as (N > 10,000):

Where ̂θ is an estimator for a certain parameter, θ, and

d  (Z / 2 )SE(ˆ ) SE(̂θ )is its standard error

Fo r m e a n estimation For p ro p o r t i o n
d  (Z / 2 )SE( X estimation d  (Z /

)d  ( Z  / 2 ) / n d  (Z /
2 ) S E ( p ˆ)
pˆ(1  pˆ) / n
n  (Z / 2 ) / d n2 )  ( Z  )
/ 2

n  ( Z 2
) 2
/ d 2 2 pˆ(1  2pˆ) / d
/2 ˆ
n  ( Z / )2 p ( 1  p̂ ) / d

[Link] A. 39
 Precision approach (Single population)
 We use single population formula if the aim is only to conduct a
descriptive study like proportion or mean estimation
 If we have two specific objectives, the first as prevalence objective
and the second as associated factors, then the prevalence
objective requires single population formula

In proportion estimation, p can be obtained from:

o previous studies
o conduct pilot study, or
o take 50%,
In mean estimation, use either
o previous study,
o conduct pilot study to get S, or
o for normally distributed target population, approximate
S = range/6
[Link] A. 40
Precision approach (Single proportion)
Example: If a researcher is interested to estimate the proportion
of patients who are unsatisfied by the health service they got in
a certain institution, then he/she can use a literature containing
the result indicated in the next slide to determine the sample
size (assume the researcher needs to have a precision of 5%)

This gives us a proportion = p = 303/(303+171) = 63.9%

Thus using a single population formula,
n =(Zα/2)2 p(1-p)/d2
= 1.96 2
*(0.639)*(0.36
1)/(0.05)2 =
354

[Link] A. 41
How to use results of other cross-sectional or cohort studies for
sample size determination

[Link] A. 42
[Link] A. 43
[Link] A. 44
[Link] A. 45
[Link] A. 46
 Variables of the study

Dependent variables
To describe or measure the problem under
study

Independent variables
To describe or measure the factors that are assumed to cause or
at least to influence the problem

[Link] A. 47
 Operationalizing variables (operational
definitions)
• Many variables can easily be measured
• For some variables it is some times not
possible to find meaningful categories unless
the variables are made operational with one
or more indicators
• Operationalizing variables means that you
make them measureable

[Link] A. 48
 Operationalizing cont…
• Ex1- determining level of knowledge
• There is a need to develop a series of questions to assess
knowledge
• The answer to these questions form an indicator of someone’s
knowledge on the issue, which can then be categorized
• E.g if 10 questions were asked, you might decide that the
knowledge of those with:
– 0 to 3 correct answers is poor
– 4 to 6 correct answers is reasonable, and
– 7 to 10 correct answers is good

[Link] A. 49
 Data collection
• Data collection techniques and tools
• Who will collect the data?
• Who will supervise the data collection?
• How long will take the data collection? etc

[Link] A. 50
 Data Quality Control Issues
Describe/provide:
• Operational definitions of crucial concepts
• Selection and training of field
workers/research staff
• Field testing the research methods and tools
• Supervision and quality control

[Link] A. 51
 Pretesting
• Pretest – usually refers to a small-scale trial of
particular research components

• Pilot study – is the process of carrying out a

preliminary study, going through the entire
research procedure with a small sample

[Link] A. 52
 Pretesting cont…
Why pretest or pilot study?
• It serves as a trial run that allows to identify
potential problems in the proposed study as a
result:-
– Time, effort and money can be saved in the long
run

[Link] A. 53
 What aspects of research methodology
can be evaluated during pretesting?
1) reaction of the respondents to the research
procedure. The following are determined:
• Availability of the study population
• Acceptability of the methods
• Acceptability of the questions asked
• Willingness of respondents to answer the
questions and collaborate with the study

[Link] A. 54
 Pretesting cont…
2) the data collection tools
• Whether the tools allow you to collect the
information you need and whether these tools
are reliable
• How much time is needed

[Link] A. 55
 Pretesting cont…
• Whether there is any need to revise the format or
presentation of interview guide/ questionnaires, including
whether:
– The sequence of questions is logical
– The wording of the questions is clear
– Translations are accurate
– Space for answers is sufficient
– There is a need to pre-categorize some answers or to
change closed questions into open-ended questions
– There is a need to adjust a coding system
– There is a need for additional instructions for
interviewers
[Link] A. 56
 Data management

• Data processing refers to:

– data entry onto a computer, and
– data checks and correction

• The aim of this process is to produce a

relatively ‘clean’ data set

[Link] A. 57
 Data management cont…
Data entry
• Data entry concerns the transfer of data from a
questionnaire to a computer file.

• It is converting data into a form that can be read and

manipulated by computers used in quantitative data
analysis.

• Before analysis, data must be checked for errors,

information that needs coding must be coded and
missing values must [Link]
dealtA. with 58
 Data management cont…
Data coding
• In general computers are at their best with numbers.

• Some statistical packages cannot analyze alphabetic

codes, some cannot understand open ended
responses,

• You must translate variables through coding.

[Link] A. 59
 Data management cont…
• Coding is assigning a separate (non-overlapping)
numerical code for separate answers and missing
values.

• Eg. Instead of using ‘Male’ and ‘Female’ for the

variable sex, it can be indicated as 1 = Male and 2 =
Female.

[Link] A. 60
 Data management cont…
• Missing values occur when measurements
were not taken, or respondents did not
answer questions.
• In general, missing values should not be
entered as a ‘blank’, because some statistical
packages interpret blanks as zero.
• Ideally, a code should be chosen to denote a
missing value (e.g. a code ‘9’ or ’99’ or ’999’

[Link] A. 61
 Data management cont…
Data Cleaning
• Once data have been gathered, they need to be
entered into a computer data file and checked for
errors.

• No matter how carefully the data have been entered

some errors are inevitable.

• The aim of this process is to produce a clean set of

data for statistical analysis.
[Link] A. 62
 Data analysis
A plan for data analysis should include the following
information:
• Identification of staff needed
• Identification of the analysis tasks to be completed
• Identification of the statistical software to be used for
the analysis
• A schedule or work plan for the analysis of the data
• A plan for quality control of the data analysis,
including regular checks which involve review and
assessment of the quality of a sample of the analysis
already performed
[Link] A. 63
 Ethical Considerations
• Professional obligation to safeguard the
safety of study subjects
• Refer to national and international
guidelines
• Describe potential ethical concerns and
mechanisms to minimize harm and
maximize benefits

Every research can potentially cause ethical concerns!!

[Link] A. 64
 Work plan

• Work plan summarizes (in a table, chart, graph)

the various components of a research project and how they
fit together.

• Includes:
– Tasks to be performed
– When the task will be performed
– Who will perform the task (identify human resource
needed for each task)
– Number of staff needed to perform the task

[Link] A. 65
 Work plan cont..
Ways of presenting a work plan

Work schedule
GANNT chart
PERT chart.

[Link] A. 66
 Work plan cont..
The Work Schedule
• Is a table
• Summarizes:
– tasks to be performed
– duration of each activity, and
– staff responsible.

• The work schedule does not show how various tasks are related, nor give a
visual picture of the time schedule.

[Link] A. 67
 Work plan cont..
The GANTT Chart
• Depicts graphically the order in which various tasks must be
completed and their duration of activity.

A typical Gantt chart includes the following information:

• The tasks to be performed
• Who is responsible for each task; and
• The time each task is expected to take.
• The length of each task is shown by a bar that extends over
the number of days, weeks or months the task is expected to
take.

• The Gantt chart doesn’t show how various tasks are related.
[Link] A. 68
GANNT CHART

[Link] A. 69
 Work plan cont..
The PERT Chart

• PERT - Program Evaluation Review Technique

• PERT chart involves identifying the various “steps” necessary
for implementing a project and then planning the optimal
feasible schedules for completing a study.
• PERT chart shows the steps or events in the project that must
be completed as well as illustrating graphically how the steps
are interrelated.
• It has the added advantage of helping the investigator
determine the best timing for particular tasks and how to
complete the project in the least possible time.
• It doesn’t indicate who will complete the work
• It is somewhat more complicated to use than the other techniques .
[Link] A. 70
 Dissemination and Utilization of
Results

• Briefly describe the dissemination plan

– Feedback to the community
– Feedback to local authorities
– Identify relevant agencies that need to be
informed
– Scientific publication
– Presentation in meetings/conferences

• Briefly describe how the study results

can be best translated into application
[Link] A. 71
 Budget
How should a budget be prepared?
• It is necessary to use the work plan as a starting
point.
• Specify, for each activity in the work plan, what
resources are required.

• Determine for each resource needed the unit cost

and the total cost.
• The budget for the fieldwork component of the work
plan will include funds for personnel, transport and
supplies.

[Link] A. 72
 Budget cont…
Advice on budget preparation
• Include a 5%-10% contingency fund
• If inclusion of a contingency fund is not allowed, an
alternative is to slightly over-budget in major
categories.

• ¨ Do not box yourself in too tightly with very detailed

categories and amounts, especially if regulations do
not allow adjustments afterwards.

• Ask the supervising agency to agree that, if necessary

there may be some transfer between ‘line items’ in
the budget. [Link] A. 73
 References
Methods of citations in preparing literature
review:

A) Vancouver system
This system have been adopted as standard by over 300 biomedical journals
• For an article the following information should be noted:
Author(s)’ Surname followed by initials. Title of article. Name of Journal.
Year, Volume(number): page numbers of article.
• Example: Louria DB. Emerging- and re-emerging infections: The societal
variables. International Journal of Infectious Disease. 1996, 1(2):59-62.

[Link] A. 74
 References cont…
• For a book the following information should
be noted:

• Author(s)’ Surname followed by initials. Title of book. Place:

Publisher, Year, Edition

• Example: Abramson JH. Survey methods in community

medicine. Edinburgh: Churchill Livingstone, 1990, 4th ed.

[Link] A. 75
 References cont..
• For a chapter in a book, the reference can
include:
• Author(s) of chapter (Surname(s) followed by initials). Chapter title. In:
Editor(s) of book, (Surname(s) followed by initials). (eds). Title of book.
Place: Publisher, Year: Page numbers of chapter.

• Example: Todd J and Barongo L. Epidemiological methods. In: Ng’weshemi

J, Boerma T, Bennett J and Schapink D (eds). HIV prevention and AIDS care
in Africa; A district level approach. Amsterdam: KIT Press, 1997: 51-68 .

[Link] A. 76
 References cont..
B) the Harvard System
• In other journals and books it is common to put the year, between
brackets, straight after the name of the author(s).
• This is called the Harvard system.
• Name of the author(s) (year). Title. Place of Publication: Publisher
• Ex- Abramson JH (1990), 4th ed. Survey methods in community medicine.
Edinburgh: Churchill Livingstone.
• There are more systems in use for referencing to literature.
• Always carefully look what system is used in the journal you are submitting
an article to and follow it systematically.

[Link] A. 77
 References cont…
• At present many journals use as few
punctuation marks as possible.
• Examples: In Harvard style, this looks as
follows:
• Abramson JH (1990) 4th ed. Survey methods in
community medicine. Edinburgh: Churchill
Livingstone.

[Link] A. 78
 References cont…
• When you use the Vancouver system, you will use
consecutive numbers in the text to indicate your
references
• At the end you will then list your references in that
order, using the format described above
• In Harvard System, put the surname of the author,
year of publication and number(s) of page(s) referred
to between brackets, (E.g. Shiva 1998:15-17)
• If this system of citation is used, the references at the
end of the proposal, should be listed in Alphabetical
order. [Link] A. 79
 Annex
• Include in the appendices of your proposal any
additional information you think might be
helpful to a proposal reviewer.
• For example, include:
– Biographical data on the principal investigator
– The study questionnaire if you have it.
– The consent form.
– A copy of the approval from the Institutional
Review Board.
[Link] A. 80
REVIEWING RESEARCH PROPOSAL

[Link] A. 81
 Reviewing a Research Proposal
• Basically it is checking whether the different
components of the proposal are properly
addressed
• There is no uniform review format
• Check lists are developed to systematically
review the different components of the
proposal

[Link] A. 82
 Possible check lists during review
• Does the project appear well thought through? (Is literature
review adequate?)
• Is the study justified?
• Is there a clear researchable question/objective?
• Is it an important area?
• Is the project timely?
• Are the findings likely to be generalizable?
• What is the potential value to the field of knowledge?
• What is the potential practical value?
• How appropriate is the overall study design?
• How suitable are the methods/measures to be used?
• Are ethical issues properly considered?

[Link] A. 83
First assignment that accounts 20%:
• mekuriaw04@[Link]
• +251920510050

[Link] A. 84