CHAPTER THREE

RESEARCH PROPOSAL
 3.1. Introduction
 The research proposal is a detailed plan of a
study.
 The intent of the written research proposal is to
provide a focused and scholarly presentation of
a research problem and plan.
 A good research proposal centres in a good idea;
familiarity with the topic.
 Familiarity with a topic requires a preparation
period of reading, observation, discussion, and
incubation.
The objective in writing a proposal is to describe:
• what you will do?
• why it should be done?
• how you will do it?
The written proposal:
 forces researchers to clarify their thoughts and to
think about all aspects of the study;
 Serves as a guide
 is essential to get ethical approval, if the study
involves research on human subjects or experimental
animals
 is an essential component submitted for funding.

A proposal can be judged according to the following

main criteria.
Is it adequate to answer the research question(s),
and achieve the study objective?
Is it feasible in the particular set-up for the study?
Does it provide enough detail that can allow
another investigator to do the study and arrive at
comparable results?
 3.2. Components of a research
proposal
The basic components of a research proposal are very
much similar in many fields.
However, how they are phrased and presented may vary
among disciplines.
The following components may be taken as the usual
ones.
[Link] - the research topic
 The topic is the subject matter of a proposed study.
 Shows the central idea to learn about or to explore.
 The title should give a definite and concise indication of
what is to come.
 Titles should almost never contain abbreviations.
 Should be brief and eliminate unnecessary words;
 “An Approach to …., A study of …”, and so forth.
 consider a title of 12 -15 words
 Title page needs to show researcher’s name, the name of
department/faculty/college, the name of the advisor(s) and
date of delivery under the title.
 The title page has no page number and it is not counted in
any page numbering;
[Link]/background of the study
o The introduction provides background information for
the research proposal.
o Its purpose is to establish a framework for the
research, so that readers can understand how it is related
to other research.
o The introduction needs to create reader interest in the
topic,
o include a statement sufficiently interesting to encourage
readers to read further and see the significance in
the study
o The statement is an important problem that your study
intends to address.
 establish the problem that leads to the study,
 After establishing the research problem, justify its
importance by reviewing studies that have examined the
issue.
 The purpose of reviewing studies in the introduction is to
justify the importance of the study and to create
distinction between past studies and the proposed
one.
 After advancing the problem and reviewing the literature
about it, the researcher then identifies deficiencies (the
missing parts) found in the literature.
 In other words, the researcher needs to show why more
work is necessary (the proposed work)
 Deficiencies in past literature may exist because:
 topics not have been explored with a particular group,
sample or population;
 the literature may need to be replicated or repeated to
see if the same findings hold, given new samples of
people or new sites for study;
In any given study, authors may mention one or more of
these deficiencies.
Deficiencies can often be found in the “suggestions for
future research” sections of journal articles and authors
can refer to these ideas and provide further justification
for their proposed study.
In summary, when identifying deficiencies in the past
literature, proposal developers might use the following
research tips
o Cite several deficiencies to make the case even stronger for
a study
o Identify specifically the deficiencies of other studies
(methodological flaws, variables overlooked)
o Write about areas overlooked by past studies, including
topics, special statistical treatment, and so forth.
• Proposal writers need to tell how their planned study
will remedy or address these deficiencies and
provide a unique contribution to the scholarly
literature.
E.g. Because past studies have overlooked the
examination of financial institutions as providers of
finance to SMEs, the current study will include them
as the participants in the project and will try to
investigate about the issue
In summary, five components of writing a good
introduction:
a)establishing the problem leading to the study,
b)reviewing the literature about the problem;
c)identifying deficiencies in the literature about the
problem;
d)targeting an audience and noting the significance of
the problem for this audience;
e)identifying the purpose of the proposed study.
3. The research problem/Statement of the
problem/
is the problem or issue that leads to the need for a
study.
the issue that exists in the literature, theory, or practice
It might spring from an experience of researchers
have had in their personal lives or workplaces.
It may come from an extensive debate that has
appeared in the literature.
It might develop from policy debates in government
or among top executives.
 The research problem in a study begins to become clear
when the researcher asks:
 “what is the need for this study?” or “what problem
influenced the need to undertake this study?”,
 “Why does this research need to be conducted?” .
 If a researcher is unable to answer these questions clearly
then the statement of the problem is likely to be
ambiguous
 the research problem is often confused with the research
questions those questions that the investigator would like
to answer in order to understand or explain the problem.
4. Literature review (Chapter Two)
5. The Purpose Statement/Objective of the study/
 most important statement in the entire study and it needs
to be clearly presented.
 In journal articles, purpose statement is included in the
introduction
 in dissertations and dissertation proposals, it often stands
as a separate section.
 The purpose statement indicates ‘what you intend to
accomplish’.
 the purpose statement sets the objectives, the intent or the
major idea of a proposal or a study.
 This idea builds on the need (the problem) for the research
and is refined into specific questions (research
questions/hypotheses).

A Qualitative purpose statement
A good qualitative purpose statement contains
information about the:
 central phenomenon explored in the study,
 participants in the study and
 the research site.
• Use words such as purpose, intent or objective
Action verbs and phrases such as describe,
understand, develop, examine the meaning of or
discover, keep the inquiry open and convey an
emerging design.
Use neutral words and phrases – non directional
language – such as examine the ‘experience of
individuals’ rather than the “successful experiences
of individuals.”
Uses words showing the strategy of inquiry to be used
(an ethnographic, grounded theory, case study, narrative
approach)
Mention the participants in the study (individuals, a
group of people or an entire organization).
Identify the site for the research, such as classrooms,
organizations, programs, events, a certain
community etc.
A quantitative Purpose statement
Quantitative purpose statements differ from the qualitative models
in terms of the language and a focus on relating or comparing
variables
The design of the PS includes
 the variables in the study and their relationships
 the participants and
 the research site.
Major components of a good quantitative PS include:
use words such as purpose, intent or objective – Start with ‘the
purpose (or objective/intent of this study is/ was/ will be ...’
Mention the specific type of strategy of inquiry (survey or
experimental research) used in the study.
Identify the theory, model or conceptual framework.
Identify the independent and dependent variables used in the study.
Make reference to the participants (or the unit of analysis) in the study
and mention the research site.


A mixed methods purpose statement
It contains:
• the overall intent of the study,
• information about the quantitative and qualitative strands
of the study &
• a rationale of incorporating both strands to study the
research problem.
Begin with signalling words, such as “the purpose of” or
“the intent of”.
Indicate the overall intent of the study like “the intent is
to learn about organizational effectiveness” or “the
intent is to examine taxpayers compliance behaviour.”
Indicate the type of mixed methods design such as
sequential, or concurrent, that will be used.
 Discuss the reasons for combining both quantitative and qualitative
data. These reasons could be one of the following:
 To better understand a research problem by converging
(triangulating) broad numeric trends from quantitative research and
the detail of qualitative research.
 To explore participant views with the intent of building on these
views with quantitative research so that they can be explored with a
large sample of a population.
 To obtain statistical quantitative results from a sample and then
follow up with a few individuals to help explain those results in
more depth
a concurrent study with the intent of gathering both quantitative and
qualitative data merging or integrating them to best understand a research
problem.
The reason for combining both quantitative and qualitative data is to
better understand this research problem by converging both quantitative
(broad numeric trends) and qualitative (detailed views) data.
6. Research questions and hypotheses
From the broad, general purpose statement, the
researcher narrows the focus to specific questions to
be answered or predictions based on hypotheses to be
tested
Qualitative research questions
In a qualitative study, inquirers state research
questions, not objectives (i.e., specific goals) or
hypotheses.
These research questions assume two forms: a central
question and associated sub questions
Central research question is a broad question that
asks for an exploration of the central phenomenon or
concept in a study.
Sub questions need to be framed within the central
question
Begin the research questions with the words what or
 Use exploratory verbs that convey the language of
emerging design.
Discover
Seek to understand
Explore a process
Describe
 Use non directional rather than directional words that
suggest quantitative research such as ‘affect,’
‘influence,’ ‘impact,’ ‘cause,’ and ‘relate.’
Expect the research questions to evolve and change
during the study in a manner consistent with the
assumptions of an emerging design.
Often in qualitative studies, the questions are under
continual review and reformation.
Use open ended questions
Specify the participants and the research site for
the study
Quantitative research questions and hypotheses
In quantitative studies, investigators use research
questions and hypotheses and sometimes
objectives to shape and specifically focus the
purpose of the study.
Specific objectives indicate the goals or objectives
for a study.
 They often appear in proposals for funding, but tend to
be used less frequently.
Quantitative research questions inquire about the
relationships among variables that the investigator
seeks to know.
A research question poses a relationship between
two or more variables but phrases the relationship as
a question;
used especially in survey studies.
 Alternative hypothesis – the investigator makes
prediction about the expected outcome, basing this
prediction on prior literature and studies on the
topic that suggest a potential outcome.
 An alternative hypothesis may be stated in a
directional or non-directional form.
 A directional hypothesis statement indicates the
expected direction of results
Examples:
Publicly traded firms will have higher growth rates
than privately held firms
Publicly traded enterprises will have a larger
international scope than state-owned or privately
held firms
Another type of alternative hypothesis is non directional – a
prediction is made, but the exact form of differences (e.g.,
higher, lower, more, less) is not specified because the
researcher does not know what can be predicted from past
literature.
A non-directional one does not indicate the direction of the
difference or relationship;
Thus, the investigator might write ‘there is a difference’
between the two groups.
Mixed method research questions and hypotheses
No specific questions or hypotheses especially tailored to
mixed methods research.
Both qualitative and quantitative research questions (and or
hypotheses) need to be advanced in a mixed methods study in
order to narrow and focus the purpose statement.
order of the research questions and hypotheses.
In a two-phase project, the first –phase questions
would come first, followed by the second phase
questions so that readers see them in the order in
which they will be addressed in the proposed study.
In a single- phase strategy of inquiry, the questions
might be ordered according to the method that is
given the most weight in the design.
Null Hypothesis
 it makes a prediction that in the general population,
no relationships or no significant difference exists
between groups.
The wording is ‘there is no difference (or
relationship)’ between the groups.
7. Methodology
This section is like the heart of the research proposal.
Inquirer must decide exactly how he/she is going to
achieve the stated objective (specific research questions
and or hypotheses);
 Show the method of data collection and analysis
chosen;
Remember the criteria for the choice of methods;
• Philosophy of each approach, the research
problem, personal experiences and the
audience
Describe the nature of each approach adopted;
Provide the rationale for using each approach;
Quantitative Mixed Qualitative
 predetermined • both predetermined • emerging methods
and emerging • open-ended
 instrument based
methods questions
questions • both open ended and • interview data,
 performance data, closed ended observation data,
attitude data, questions document data, and
• multiple forms of audio-visual data
observational data
data drawing on all • text and image
and census data possibilities analysis
 statistical analysis •statistical and text •themes, patterns
analysis interpretation.
 statistical •A cross data base
interpretation interpretation
Research design (Ch-4)
Quantitative data collection methods
• Self-administered questionnaires- mail, in person
etc
• Interviews- face to face interviews; telephone
interviews ;
• Structured record reviews to collect financial,
medical or school information;
• a web-based or internet survey (administering it
online), and
• structured observation.
Data Collection Methods under qualitative
approach
Observations - the researcher takes field notes
on the behaviour and activities of individuals at the
research site.
In these field notes, the researcher records, in
unstructured or semi structured way, activities at
the research site.
• Gather observational notes by conducting an
observation as a participant.
• Gather observational notes by conducting an
observation as an observer.


Advantages of observations:
Researcher has first hand experience with
participants;
Researcher can record information as it occurs
Unusual aspects can be noticed during
observation;
Useful in exploring topics that may be
uncomfortable for participants to discuss
Disadvantages
Researcher may be seen as intrusive;
Private information may be observed that
researcher cannot report
Researchers may not have good attending and
observing skills ;
Qualitative interviews, the researcher
conducts interviews with participants,
These interviews involve unstructured and
generally open-ended questions that are few in
number and intended to elicit views and opinions
from the participants.
Options within interviews
Face-to-face interview (one – to - one),
Telephone interview
Focus group - researcher interviews participants
in a group; six to eight interviewees
Conduct unstructured, open-ended interviews and
take interview notes
Conduct unstructured, open-ended interview,
audiotape the interview, and transcribe the interview
Advantages
Useful when participants cannot be directly
observed
Participants can provide historical information
Allows researchers control over the line of
questioning
Limitations
Not all people are equally articulate and
perceptive;
Documentary analysis - collection of
documents.
may be public documents (e.g., newspapers,
minutes of meetings, official reports) or private
documents (e.g., personal journals, letters, e-
mails).
Have a participant keep a journal during the
research study – diary study
Collect personal letters from participants
Collect and analyse public documents (e.g.,
official memos, minutes, archival material)
Examine biographies etc


Advantages
Can be accessed at a time convenient to
researcher;
As written evidence it saves a researcher
time and expense of transcribing
Limitations
May be protected information unavailable to
public or private access
Requires the researcher to search out the
information in hard to find places;
Materials may be incomplete
The documents may not be authentic or
accurate
Audio visual materials
The data may take the form of photographs,
art objects, videotapes, or any forms of
sound.
Options to use them
Have participants take photographs or
videotapes
Videotape a social situation or an
individual/group
Examine photographs or videotapes
Collect sounds (e.g., musical sounds,)
Advantages
Provides an opportunity for participants to
directly share their reality
Limitations
May be difficult to interpret
The presence of an observer (e.g.,
photographer) may be disruptive and affect
responses
Criteria for selecting a research design
what factors affect a choice of one approach
over another for the design of a proposal?
The three approaches need to be seen
along with the research problem, the
personal experiences of the researcher and
the audience(s) for whom the report will be
written.
The research problem
It is an issue or concern that needs to be
addressed.
Some types of research problems call for
specific approaches. For example, if the
problem calls for
(a) the identification of factors that influence
an outcome;
(b) the utility of an intervention or
(c) testing a theory or explanation; then a
quantitative approach is appropriate
On the other hand, if a concept or
phenomenon needs to be understood or
explored further – qualitative approach
would be chosen
2. Personal experiences
Researchers’ own personal training and experiences
also influence their choice of approach.
An individual trained in technical writing, statistics
and computer statistical programs and familiar with
quantitative journals would most likely choose the
quantitative design.
On the other hand, individuals who enjoy conducting
personal interviews or making up unstructured
observations may gravitate to the qualitative approach.
The mixed methods researcher is an individual familiar
with both quantitative and qualitative research.


3. Audience
Finally, researchers write for audiences that
will accept their research.
These audiences may be journal editors,
journal readers, graduate committees,
conference attendees or colleagues in the
field.
The experiences of these audiences with
quantitative, qualitative and mixed methods
studies can shape the decision made about
this choice.
Population, Sample size and technique (Ch-5)
Model specification (Ch-5)
Data analysis techniques (Ch-5)
10. Significance of the study
describing the significance of the study for selected
audiences,
Show the importance of the problem for different
groups that may benefited from reading and using the
study.
By including this section, the researcher creates a
rationale for the importance of the study.
The more audiences that can be mentioned, the greater
the importance of the study and the more it will be seen
by readers to have wide application.
In designing this section, one might include:
 Three or four reasons that the study adds to the
scholarly research and literature in the field
 Three or four reasons about how the study helps
improve practice
 And three or four reasons as to why the study will
improve policy
8. Scope/Delimitation
 The focus of the study needs to be given
9. Limitation
Potential limitations of the study may also
be shown in the research proposal
11. Chapter structure/ organization of the research
report
The number of chapters in the report
The contents of each chapter
12. Work plan /timeline
Work plan is a schedule that shows the different components of a
research proposal and how they will be implemented within a
specific time-span.
It may include:
The tasks to be performed;
When and where the tasks will be performed;
Who will perform the tasks and the time each person will
spend on them;


13. Budget
Budget items need to be shown
•Cost for every budget item should be shown
•There may be a need for budget justification of
certain costs whose requirement is not obvious
•Typically, a proposal budget reflects the following
costs:
Personnel: Salaries and wages of all participants of
the study
• Consumable supplies: office supplies (stationeries)
• Equipment: properties which are expensive
• Travel: cost of projected-related travel
•Communications: postage, telephone, telegram,
fax, e-mail charges associated with a project
•Overhead costs for institutions
Budget justification
The budget justification follows the budget as an explanatory
note justifying briefly, in the context of the proposal, why the
various items in the budget are required.
14. References
You must give references to all the information that you
obtain from books, articles in journals, and other sources.
Referencing style
When identifying a useful document, make a complete
reference to the source using an appropriate style
Researchers need to use an appropriate and consistent
reference style throughout.
The most important style considerations involve in-text,
and end of text (list of references).
Different styles including APA, Harvard, Chicago, MLA etc