CHAPTER IV

Research Proposal and Guide

To Develop a Research Proposal
The ward “Research Proposal" is from two
words,
Research has been defined in first chapter.
Proposal - a course of action, activity etc.
proposed.
Therefore, it can be formally defined as a
written document requesting both
authorization and funds to undertake a
specific research project.
It systematically outlines the particular
research methodology
It also details the process that will be
utilized at each stage of the research
process 1
 Research Proposal (Cont…)
In research proposal:
What information will be required?
What research procedures will be
implemented Will be clearly specified
4.1. Function of the research
proposal
Research proposal may function at least
in three ways,
 as a means of communication,
 as a plan and
 as a contract

2
 Research Proposal (Cont…)
i.Proposal as a means of
communication:
serves to communicate the investigator’s
research plan to those who-give
consultations and / or disburse fund.
On the basis of this document the
graduate committee (GC) undertake
the function of:
review,
consultation and
approval for implementation of the
research project
3
 Research Proposal (Cont…)

In general,
the quality of assistance and
the probability of financial
support
will all directly depend on the
clarity and justification of the
proposal.
4
 Research Proposal (Cont…)

ii. Research proposal as plan:

It helps the researcher to organize his
idea in a systematic manner
A successful proposal sets out the plan
in step-by-step detail.
I.e., it provides an inventory of what
must be done and which materials have
to be collected as a preliminary step

5
 Research Proposal (Cont…)
iii. Proposal as a contract:
A completed proposal approved for execution
and signed by all members of the sponsoring
committee, constitute a bond of agreement
between the researcher and that committee.
An approved grant proposal results in a contract
between the investigator and funding sources.
 Proposal for thesis and dissertation should
be in final form prior to the collection of
data.
Once document is approved, neither the
student nor the sponsoring faculty should be
free to alter the fundamental terms of the
contract by unilateral decision. 6
 Research Proposal (Cont…)
Importance of the research proposal
It serves as a basis for determining the
feasibility of the research project.
It provides a systematic plan of
procedure for the researcher to follow.
It reduces the probability of costly
mistake.
Preparation of a full-fledged proposal is
not a one-time endeavor.
Rather it is the result of continuous
modification and amendment through
discussion with experts in the field.
7
 4.2. General Format and
Elements of Proposal
There is no a hard and a fast format in scientific
research proposal writing.
It varies from one organization to anther and
from one country to anther.
The major components (elements) are
 Title
 Abstract
 Introduction
 background
 Problem statement
 Objective of the study
 Significance of the study ( rationale),
 Scope of the study 8
 Elements of Proposal
(Cont…)
 Literaturereview
 Material and Methodology

 Work plan (time budget)

 Cost budget

 References

 Appendix

9
 Elements of Proposal
(Cont…)
1. Title:
The title should be as explicit as possible
and transparent
It should be clear and short
It should capture and reflect the content
of the proposal.
It should enable the readers to
understand the concepts of the study
Try to get the title down to one line or two
2. Abstract:
Is summary, which reflects the whole
content of the proposal (most of the
time less than 300 words?) 10
 Elements of Proposal
(Cont…)
Abstract should be,
 concise,
 informative and
 should provide brief information about
the whole problem to be investigated
The abstract of a proposal should contain the
following points
Title or topic of the research
Statement of the problem and objective
Methodology of investigation
Expected result (tentative only if a
researcher starts with a formulated
hypothesis) 11
 Elements of Proposal
(Cont…)

3. Introduction
This section in research proposal should give
the general background of the study and the
need for undertaking the study.
It reviews the previous work to reveal what is
known of the subject.
previous efforts to solve the problem that did
not succeed can be mentioned.

12
 Elements of Proposal
(Cont…)

The introductory part can be organized

as,
1.1. Background of the study
1.2. Statement of the problem
1.3. Objectives
1.4. Rationale (significance of the
study)
1.5. Scope of the study
13
 Elements of Proposal
(Cont…)
Statement of the problem
It clearly presents the issue at hand
Some question to be addressed in this part
may include
What are current and previous studies that
have been made on the issues to be
studied?
Why has the problem not been solved yet?
What is the present gap in knowledge and
current trend?
What do we intend to fill the gap or solve
the problem?
What makes worth studying? 14
 Elements of Proposal
(Cont…)
Objectives
In this section, the proposal indicates what is
expected to occur and why,
Suggests the variables that determine a
relationship,
Generally this section should focus on
points
What is to be achieved by the proposed
investigation?
It should be to the point and logically
arranged
In short it should show what kind of results
are expected from the proposed study 15
 Elements of Proposal
(Cont…)
The significance of the study (Rationale )
It provides some of the reasons for
doing the study and its importance.
The contribution of the research
output should be explicitly indicated
 Who will be benefited? in what form?
 Its contribution to the general
knowledge
 Its contribution in addressing societal
problem
16
 Elements of Proposal
(Cont…)
4. Literature review
Literature review means,
locating literatures in a variety of
sources
reading it carefully and thoroughly
organizing it into themes along with the
line of investigation.
Objective of the literature review
To establish familiarity with a body of
knowledge and establishes credibility:
A review tells a reader that he knows the
research area and knows the major issue.
17
 Elements of Proposal
(Cont…)

To integrate and summarize what

is known in the area.
A review pulls together and
synthesizes different results.
A good review points out areas,
 where prior studies agree,

 where they disagree,

 and major questions remain.

18
 Elements of Proposal
(Cont…)
Forms of reviewed literature, (what do
we review)
Theoretical works and review of them
Methodological review
Original findings and reviews of them
It takes a researcher log-time to
complete an extensive review of all
the relevant literature
Reviewing literature could take place in
three stages of the research project
These include,
i. At the beginning of the research: 19
 Elements of Proposal
(Cont…)
Why?
To check what other researches have
done
To focus your idea, and
To explore the context for your project
ii. During the course of research,
In order to keep our interest and up
to-date with development
For the better understanding of the
method we are using and the field we
are researching and,
It will serve as a source of data 20
 Elements of Proposal
(Cont…)
iii. After the research, with the objectives of
seeing what impact our work has had, and
To develop ideas for further research project
It is not necessary to have a separate heading
for the review of literature in a proposal.
In many respects it is more useful to show that
such a review has been made by citing useful
literature in,
problem statement (introductory part),
objective,
methodology
and where ever this information is useful

21
 Elements of Proposal
(Cont…)

5. Material and Methodology/ Data

and Methodology
The methodologies are the core
of the proposal
The methodologies are largely
descriptive.
This section is a prerequisite for
validating the results and hence
acceptability of the proposal
22
 Elements of Proposal
(Cont…)
An accurate, clear and valid
methodology is required, so that
peers can
replicate the experiments described in
an experimental research
modify them with the assurance that
the modification is different from the
original in particular way
apply them under different conditions
Methodology should give full details as
to how the research activity is going to
be carried out. 23
 Elements of Proposal
(Cont…)
This is the largest and the most
important part of the research proposal,
The researcher is advised to split it into
sub-sections.
Such effort makes the proposal
transparent and clear to the readers as
well as to the reviewing committee
The suggested sub-sections can be:
 Data (materials)
 Methodology (methods) used
24
 Elements of Proposal
(Cont…)
5.1. Data (some authors prefer Materials)
In this subsection, information required to
attack the problem is specified. That is,
Time that will be included (relevant time
period)
The site (location) of the study and
Variables or indicators identified by a
researcher are explained and justified to
show their relevancy to the current study,
The source of the data,
Detailed techniques of,
 sampling,
 data collection and method of analysis
25
would be left to the next sub section.
 Elements of Proposal
(Cont…)
5.2.Methods (Methodology)
In this subsection the details of all
technical matters will be explained,
Method of data collection:
Method of sampling:
The sample size determination
Description of the model
Method of analysis:
Method of presenting the outcome: Some
times it is worth to mention how the out
come of the research will be presented to
consumers (general public). 26
 Elements of Proposal
(Cont…)
6. Budget of Time:
It is a plan in terms of numbers of weeks
or months and expected completion dates.
It is a timetable explaining how the
researcher expects to carry out his project
The time required to complete each phase
of the research is helpful to both the
researcher and the reviewer.
The length of time required for
postgraduate study (Doctoral study) is
determined by the budget of the time
presented by students.
Thus, researcher should be realistic in
budgeting his time. 27
 Elements of Proposal (Cont…)
Activity Time in week (months) or even days
Jan Feb Mar. April May

145 days
Activity 1
30 days
Activity 2
41 days
Activity 3
45 days
Activity 4
58 day
Activity 5 28
 Elements of Proposal
(Cont…)
7. Cost budget
Most proposals put together with the
expectation that funding will be available
Thus, a list of items needed to carry out
the methodology is listed in some detail.
These are items like:
 Field expenses for data collection
 Payment for consultants
 Travel and related expenses
 A sum of money for contingencies
A carefully developed budget reflects the
seriousness of the proposal and the
degree to which it is a realistic
assessment of what is needed. 29
S.N Items Quantities/ Unit cost Total cost
Unit duratio in birr in birr
n
1 Stationary
 Disk Out
 compact disk »
(CD) »
 Flash disk »
 Paper »
 writing pad >>
 Photo copy

2 Supportive
services page
 Secretarial
service
 Internet
3 Transportation
4 Equipments Out
Data collection costs
• Training
• Service payment
• Travel expense 30
Contingency (10%)
 Elements of Proposal
(Cont…)
8. Reference (Bibliography)
All works cited in the proposal are
listed either
 alphabetically or
 numerically

at the end of the document usually under the

heading of “References or Bibliography “
References: are lists of literature, which
have been cited in the text of the document
Bibliography: includes also items, which
were not cited but are relevant to the
document.
31
 Elements of Proposal
(Cont…)
There are several ways of making citation
and recording references. The two main
systems are:
A) Harvard System: This system uses author’s
name, date, and page reference.
This system is used mainly by
 Anthropology,
 Social science and
 in life science research.

Harvard system is commonly used in

Business and Economics research.
B) Vancouver System: uses in-text number
instead of an author, date, and page 32
 Elements of Proposal
(Cont…)
In this system superscript or bracketed
text number is used in the text each
time the source is sited.
It is used in the natural sciences mainly,
chemistry,
physics and
mathematics.

33
 Elements of Proposal
(Cont…)
Example:
“In an investigation conducted in large
factories, Gibbs1 reported that absenteeism
was higher on the night shift than the day”
Or
“In an investigation conducted in large
factories, it has been reported that
absenteeism on the night shift was
measured and found to be significantly
higher……Gibbs1

1
Gibbs, Jennifer M. (1993) ‘Absenteeism in SME’s ,
International Small Business Journal, 13 (1), pp. 13-26.
34
 Elements of Proposal
(Cont…)
Harvard System
The reference list must include all
published works referred to in the text.
Each reference to a periodical
publication must include, in order,
 the name (s) of the author (s),
 the year of publication,
 the full title of the article,
 the publication in which it appears,
 and the volume and inclusive page
number 35
 Elements of Proposal
(Cont…)
Reference to a book must give,
the author or authors’ name (s),
the year,
the title,
the edition, if other than the first;
the publisher,
the city of publication, and the volume
number (if two or more).
36
 Elements of Proposal
(Cont…)
Styles of Citation and Documentation
All sources of materials, published or
unpublished must be credited and
correctly cited.
Failure to do so constitutes plagiarism.
Example of citation;
In an investigation conducted in large factories,
Gibbs (1993) reported that absenteeism was
higher on the night shift than the day

37
 Styles, Citation (Cont…)
Quotation and Paraphrase
Quotation: involves taking the precise
wording of the author in a sentence or
paragraph.
In such case we needs to put the sentence or
paragraph in a quotation mark (“ ”)
and we are required to cite the source,
which includes the name of the author, the
date of publication (the page number)
Note: the quoted sentence should be linked
with the previous or next issue in the
text. 38
 Styles, Citation (Cont…)
Example:
According to Litvack et al. (1998), in the
Third World countries, the change and the
emphasis on decentralization is derived
from different factors that include:
“the advent of multi-party political
systems in Africa; the transition from a
command to a market economy in Eastern
Europe and the former Soviet Union; the
challenge of ethnic and geographic
diversity in South Asia, as well as ethnic
tensions in other countries” 39
 Styles, Citation (Cont…)
Where a quotation has been changed or
words are added, it should be indicated as
follows:
1.“[…] it is clear that according to the current
understanding of governance, government is
one among many economic players or actors
that are concerned with the stability of the
financial sector.” (Author, year)
This indicates omitted parts before the
sentence included in the quotation
2.“Development is […] a cumulative process.”
This indicates that something has been
omitted in between.
40
 Styles, Citation (Cont…)
3. “The development should be
very well felt by [ the community ]
and local officials”
This shows that the community is
the author’s own insertion.
Sentence that is quoted from secondary
source, which was quoted by another
author is indicated by stating,
as quoted by Alex (2006)
41
 Styles, Citation (Cont…)

Paraphrasing- sources may be

paraphrased where exact wording is not
essential.
This means the researcher is adopting
the view pints of the author.
However, the researcher should not
change the original meaning while
paraphrase,
All paraphrased sources must be fully
cited.

42
 Elements of Proposal
(Cont…)
When citing within the paper
Single author: example Gorge Smith
1999 should be cited as (Smith, 1999)
Two authors: example Mathew White
and Fresew Belay 2004 should be cited
as (White and Fresew, 2004).
The same is true for three authors.
If it is more than three authors, use “et
al.”
Example, (Jackson et al.,2003) 43
 Reference
Reference/ Bibliography
It is a complete documentation of the
source materials used in the research.
The documentation system is not the
same for all types of source materials.
A) Reference for books
Davidson, Alan. B. (1994), the Pursuit of
Business, London, Chapman & Halls
B) Reference for Journal article
Porter, (1994), Competitive Advantage of
Nations, Harvard Business Review, 68(2),
pp. 73-83
44
 Reference (Cont…)
C) Other reference
It is possible to cite unpublished works
if they are relevant to the study.
Unpublished works are:
Personal communication with experts
(professionals).
Unpublished data collected by other
researchers
Unpublished research works
Public speeches
Conferences discussion and the like 45
 Reference (Cont…)

9. Appendix (Annex)
Information types provided in this
section are those additional details,
which are difficult to accommodate
within the standard headings

46
 Reference (Cont…)
Stuffs to be included in appendix
Detail Questionnaires and interview
schedules
Detailed experimental design (in
experimental research)
Detailed statistical procedures
Samples of research materials (chemical
and some biological materials)
Survey and other geographic maps
Pictures and maps
47
48
 Review Guide
Summarize the document
 The topic

 Objectives

 Method proposed to achieve the

objective
Note : It has to be very short ( do
not reproduce the proposal)
Strong side of the proposed study
49
 Review Guide (Cont…)
Limitation of the paper
 Is the topic relevant?
 Does it add value?

 Does the researcher know the relevant

information needed for the study?

 The soundness of the proposed

methodology?
Over all impression of the proposed
paper
Use 15 minute to review the paper 50