Scientific Research Methods

Joint Masters of Science of Program

with Debre Markos University
Yom Institute of Economic Development
 Contents:
Introduction
Formulation of Research problem and
Hypothesis
Literature Review
Research Design and Methods of Research
Census and Sample Investigation
Data Collection Processing and Analysis
Writing the Research Report for Proposal
and Research Paper
Section One: - Introduction
1.1. Definition of Research
1.2. Philosophy of Research
1.3. Objective of Research
1.4. Motivation in Research
1.5. Characteristics of Research
1.6. Scientific Approaches
1.7. Classification of Research
1.7. Types of Research
1.8. Research Ethics
1.1. Definition of Research
1.1 Definition of Research
We all possess the vital instinct of
inquisitiveness.
When the unknown confronts us, we wonder and
probe to attain full understanding of the
unknown.
This inquisitiveness is the mother of all
knowledge.
The method, which we employ for obtaining the
knowledge of whatever the unknown is,
therefore, research.
Research is more than a reflection of our opinions
and prejudices.
Research is defined as:
a search for knowledge in a scientific manner.
“a careful investigation or inquiry specially
through search for new facts in any branch of
knowledge.”
a “systematized effort to gain new knowledge.”
a movement from the known to the unknown.
a voyage of discovery.
‘Research’ refers to the systematic method
consisting of:
enunciating the problem,
formulating a hypothesis,
collecting data,
analyzing the data and
reaching certain conclusions.
Social research should also fulfil the following requirements:
1. systematic, i.e. follows precise methods that are logically
consistent, transparent and open to scrutiny
2. non-discriminatory and non-exploitative to its
subjects, i.e. neither directly or indirectly should
discriminate against its subjects, physically or mentally
harm them, nor exploit them for own profit
3. open to criticism, i.e. research should be made public
through publications and be open to scrutiny both for its
procedures and its findings, and
4. independent, i.e. be free from direct or indirect
censorship
1.2 Philosophy of Research:
Epistemology vs. Ontology
 Research is about acquiring new knowledge. Our study
of research methods should therefore at least partly be
concerned with study of knowledge and ways of
obtaining it.
 Epistemology is the branch of philosophy that studies
knowledge. It attempts to answer the basic question:
what distinguishes true (adequate) knowledge from false
(inadequate) knowledge?
History of Epistemology:
Plutonian Epistemology: - Knowledge is merely an
awareness of absolute, universal Ideas or Forms,
existing independently of any subject trying to
apprehend to them.
2. Aristotelian Epistemology: - Puts more emphasis on logical
and empirical methods for gathering knowledge, yet he still
accepts the view that such knowledge is an apprehension of
necessary and universal principles .
3. Cartesian Rationalist Epistemology: - Sees knowledge as
the product of rational reflection
4. Reflection-Correspondence Theory: Knowledge results
from a kind of mapping or reflection of external objects,
through our sensory organs, possibly aided by different
observation instruments, to our brain or mind. Though
knowledge has no a priori existence, like in Plato's conception,
but has to be developed by observation, it is still absolute, in
the sense that any piece of proposed knowledge is supposed to
either truly correspond to a part of external reality, or not.
5.
5. Kantian Synthesis Theory: - According to Kant, knowledge
results from the organization of perceptual data on the basis
of inborn cognitive structures, which he calls "categories".
This epistemology does accept the subjectivity of basic
concepts, like space and time, and the impossibility to reach
purely objective representations of things-in-themselves. Yet
the a priori categories are still static or given.
6. Pragmatism: - Knowledge consists of models that attempt to
represent the environment in such a way as to simplify
problem-solving. No model can ever hope to capture all
relevant information, and even if such a complete model
would exist, it would be too complicated to use in any
practical way. Therefore we must accept the parallel existence
of different models, even though they may seem
contradictory. The model which is to be chosen depends on
the problems that are to be solved. The basic criterion is that
the model should produce correct (or approximate)
predictions (which may be tested) or problem-solutions, and
be as simple as possible. Further questions about the "Ding an
Sich" or ultimate reality behind the model are meaningless.
1.2 Philosophy of Research: EPISTEMOLOGY
 Epistemology is the branch of philosophy that deals
with how knowledge of such phenomena is acquired,
and what counts as knowledge.
 What is (or should be) regarded as acceptable
knowledge in a discipline?
◦ Can (should) the social world be studied according to
the same principles as the natural sciences?
 If the answer is YES, the research follows the
doctrine of the natural science epistemology:
Positivism (and also Realism)
 If the answer is NO, the research follows the
opposite to positivism doctrine: Interpretivism
Three epistemological positions:

A) Positivism: -
• Positivism refers to the school of thought that the only ‘true’
or valid form of knowledge is that which is ‘scientific’.
• The principles and methods of the natural sciences (such as
chemistry or physics) are used to study human behaviour,
which in itself is objective and tangible in nature.
• The researcher can observe human behaviour and measure
‘facts’, and ‘laws’ or theories of behaviour can be developed.
• Concepts such as feelings, emotions, beliefs and so on have
no place in research as they cannot be directly observed or
measured, they are unreliable and they are not constant over
time.
• Measurements should be objective. This approach involves
precise measurements, which can be controlled or manipulated
by the researcher. Others could see the same evidence for
themselves and reach the same conclusions.
• Such exact measurement allows statistical analysis which
provides an impartial and precise answer. Careful research
designs can show causal relationships, for example X causes Y.
The researcher has no influence on the findings, and has no
personal influence on the results.

Research philosophy used by the natural sciences

 The researcher = an objective analyst of the external world; the
end product of the research are law-like generalizations
 Makes detached interpretations about the data that have been
collected in an objective manner
◦ the researcher is independent of the subject of the research:
 the researcher does not affect the subject of the research
 the researcher is not affected by the subject of the research
 Focus on
◦ highly structured methodology and methods (e.g., questionnaires) to
facilitate replication
◦ observations can be quantified; this permits statistical analysis
• Concepts such as feelings, and emotions form the
basis of the interpretative approach. They are not
measured numerically – such an approach would
argue that these concepts are too complex to be
reduced to numbers.
• Rather, they are ‘measured’ using words, statements
and other non-numerical measures, collecting data
from the viewpoint of the participant.
• The data is then interpreted by the researcher, who
attempts to uncover meanings, values, explanations
and so on.
• This approach also avoids any search for ‘truth’,
instead seeking understanding.
B) Realism

 Shares two features with Positivism:

◦ A belief that the natural and social sciences should apply the same
kind of approach to the collection of data and to explanation
◦ A view that there is an external reality which is separate from our
description of it
 Realism is an attempt by some researchers in social
sciences to adjust Positivism to studies of social
phenomena
◦ In particular, it allows for inclusion into their explanations of
theoretical terms that sometimes cannot be observed
◦ It also recognizes that people cannot be studied in the style of
natural sciences; that it is important to understand how people
think and interpret things, to take context (e.g., time and place)
into account
C) Interpretivism
 Interpretivists suggest that individuals have freedom to
act in particular ways, and that they experience things
differently. Thus, the researcher has to interpret ‘reality’
from each individual’s experiences.
 Opposite to Positivism
 Argues that the social world of business and management
is too complex and unique for the traditional natural
sciences approaches
◦ Therefore, it cannot be generalized; it depends on
particular sets of circumstances and individuals
 It is the role of interpretivists to seek to understand the
subjective reality of those that they study
◦ to understand their motives, actions, and intentions
1.2 Philosophy of Research: ONTOLOGY: -
 Ontology refers to the philosophy of the existence and nature of
phenomena.
 Can (should) social entities be considered objective entities
◦ If the answer is YES: the research takes a position of
Objectivism (social phenomena confront us as external
– independent and objective – facts)
 or are they social constructions
◦ If the answer is NO: the research takes a position of
Constructionism (Constructivism) –
social phenomena and their meanings are continually being
accomplished by social actors; the phenomena are not only
produced through social interactions, but they are in a constant
state of revision
(1) Objectivism: an ontological position
that implies that social phenomena confront us
as external facts that are beyond our reach or
influence
◦ For example, an organization has rules and
regulations; standarized procedures for getting things
done; there is a hierarchy; mission statement;
individuals have to conform to these rules; they do
jobs to which they are appointed; they are told what
to do and they tell others what to do; otherwise, they
may be reprimanded or even fired
(2)Constructionism (Constructivism)
An ontological position that asserts that social
phenomena and their meanings are continually
being accomplished by social actors
It implies that social phenomena and categories are
not only produced through social interactions but
they are in a constant state of revision
◦ For example, in some organizations rules are less
extensive and less rigorously imposed than in other classic
organizations
 They are not commands but rather general understandings; the
outcome are agreed-upon patterns of action in different situations
that are the product of negotiations among the different parties
involved
 The social order is in a constant state of change (e.g., in a hospital,
everyday interactions may be more important than the official rules
 Links between Epistemology and
Ontology
Epistemological orientation of Positivism is
most likely linked to Ontological orientation of
Objectivism (and Realism)
Interpretivism is usually linked to
Constructionism
Research strategies (emerge from the above):
◦ Quantitative research strategy (usually linked to
Positivism and Objectivism/Realism and to Deductive
Research)
◦ Qualitative research strategy (usually linked to
Interpretivism and Constructionism and to either
Inductive Research or Grounded Theory)
1.3 Objectives of Research
1.3 Objectives 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 as yet.
Though each research study has its own specific
purpose, we may think of research objectives as
falling into a number of the following broad
groupings:
Objectives of Research
1. To gain familiarity with a phenomenon or to
achieve new insights into it;
2. To portray accurately the characteristics of a
particular individual, situation or a group;
3. To determine the frequency with which
something occurs or it’s associated with
something else;
4. To test a hypothesis of a causal relationship
between variables.
Motivations in 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:
1. Desire to get a research degree along with its
consequential benefits;
2. Desire to face the challenge in solving the
unsolved problems, i.e., concern over practical
problems initiates research;
Motivations in Research
3. Desire to get intellectual joy of doing some
creative work;
4. Desire to be of service to society;
5. Desire to get respect;
6. Curiosity about new things,; and
7. Desire to understand causal relationships
1.4. Characteristics of Research
 1.4. Characteristics of Research
Research is defined as the scientific investigation of phenomena which
includes collection, presentation, analysis and interpretation of facts that
lines an individual’s speculation with reality.
Characteristics of Research: -
1.Empirical:- Research is based on direct experience or observation by
the researcher.
2.Logical: -Research is based on valid procedures and principles.
3.Cyclical.:-Research is a cyclical process because it starts with a
problem and ends with a problem.
4.Analytical:-Research utilizes proven analytical procedures in gathering
the data, whether historical, descriptive, and experimental and case
study.
5.Critical.: -Research exhibits careful and precise judgment.
6.Methodical: Research is conducted in a methodical manner without
bias using systematic method and procedures.
7.Replicability: - The research design and procedures are replicated or
repeated to enable the researcher to arrive at valid and conclusive results.
Characteristics of the Researcher:

1) Intellectual Curiosity: A researcher undertakes a

deep thinking and inquiry of the things, and
situations around him.
2) Prudence: The researcher is careful to conduct
his research study at the right time and at the right
place wisely, efficiently, and economically.
3) Healthy Criticism: The researcher is always
doubtful as to the truthfulness of the results.
4) Intellectual Honesty: An intelligent researcher is
honest to collect or gather data or facts in order to
arrive at honest results.
5) Intellectual Creativity: A productive and
resourceful investigator always creates new
researches.
1.5. Classification of Research
 1.5. Classification of Research
 Research comes in many shapes and sizes. Before a researcher b
egins to conduct a study, he or she must decide on
a specific type of research.  
 Good researchers understand the advantages and
disadvantages of each type, although most end up specializing in
one.
 For classification of research we shall look from four dimensions
1. The purpose of doing research;
2.  The intended uses of research;
3.  How it treats time i.e. the time dimension in research; and
4. The research (data collection) techniques used in it.
 1) Research Classification by The purpose of doing research;

A)Exploratory or Formulative
 You may be exploring  new topic or issue in order to learn about it. If the issue was new or the
researcher has written little on it, you began at
the beginning. This is called exploratory research. 

 Exploratory research may be the first stage in a sequence of studies. 

 A researcher may need to know enough to design and execute a second, more systematic as well

as extensive study.

 When a researcher has a limited amount of experience with or knowledge about a

research issue, exploratory research is useful preliminary step that helps ensure that a
more rigorous, more conclusive future study will not begin with an inadequate
understanding of the nature of the management problem.

 The findings discovered through exploratory research would the researchers to

emphasize learning more about the particulars of the findings in subsequent
conclusive studies.
Goals of Exploratory Research
1) Become familiar with the basic facts, setting, and concerns;
2) Develop well grounded picture of the situation;
3) Develop tentative theories, generate new ideas, conjectures,
or hypotheses;
4) Determine the feasibility of conducting the study;
5) Formulate questions  & refine issues for more systematic inquiry
6) Develop techniques and a sense of direction for future research.
B) Descriptive Research
 Descriptive research presents a picture of the specific
details of a situation, social setting, or relationship. The
major purpose of descriptive research, as the term
implies, is to describe characteristics of a population or
phenomenon. Descriptive research seeks to determine the
answers to who, what, when, where, and how questions.
Labor Force Surveys, Population Census, and
Educational Census are examples of such research.
 Descriptive study offers to the researcher a profile or
description of relevant aspects of the phenomena of
interest. Look at the class in research methods and try to
give its profile ¬ the characteristics of the students. When
we start to look at the relationship of the variables, then it
may help in diagnosis analysis.
Goals of Descriptive Research

1) Describe the situation in terms of its characteristics 
2) Give a verbal or numerical picture (%) of the situation;
3) Present background information;
4) Create a set of categories or classify the information;
5) Clarify sequence, set of stages; and
6) Focus on `who,' `what,' `when,' `where,' and `how' but not why?
C) Explanatory Research
 When we encounter an issue that is already known and
have a description of it, we might begin to wonder why
things are the way they are.
 The desire to know "why," to explain, is the purpose of
explanatory research. It builds on exploratory and
descriptive research and goes on to identify the reasons
for something that occurs. Explanatory research looks
for causes and reasons.
 For example, a descriptive research may discover that
10 percent of the parents abuse their children, whereas
the explanatory researcher is more interested in learning
why parents abuse their children
Goals of Explanatory Research
1) Explain things not just reporting. Why? Elaborate and enrich
 a theory's explanation.
2) Determine which of several explanations is best.
3) Determine the accuracy of the theory; 
4) Test a theory's predictions or principle.
5) Advance knowledge about underlying process.
6) Build and elaborate a theory; 
7) Elaborate and enrich a theory's predictions or principle.
8) Extend a theory or principle to new areas and new topics:
9) Provide evidence to support or refute 
10)Test a theory's predictions or principles
 2) Research classification by USE

A) Basic Research
 Basic research advances fundamental knowledge about
 the human world. 
 It focuses on refuting or
supporting theories that explain how world operates
what makes things happen, why social
 relations are a certain way, and why society changes. 
 Basic research is the source of most new scientific
ideas and ways of thinking about the world. 
 It can be exploratory, descriptive, or explanatory; 
however, explanatory research is the most common.
 Basic research generates new ideas, principles and
theories, which may not be immediately utilized; though
are the foundations of modern progress and development
in different fields.
 A new idea or fundamental knowledge is not generated
only by basic research. Applied research, too, can build
new knowledge. Nonetheless, basic research is essential
for nourishing the expansion of knowledge. Researchers at
the center of the scientific community conduct most of the
basic research
B) Applied Research
 Applied researchers try to solve specific policy problems or help
practitioners accomplish tasks. Theory is less central to them than
seeking a solution on a specific problem for a limited setting.
 Applied research is frequently a descriptive research, and its main
strength is its immediate practical use. Applied research is
conducted when decision must be made about a specific real-life
problem.
 Applied research encompasses those studies undertaken to answer
questions about specific problems or to make decisions about a
particular course of action or policy.
 For example, an organization contemplating a paperless office and
a networking system for the company's personal computers may
conduct research to learn the amount of time its employees spend at
personal computers in an average week
Types of Applied Research
i) Action research
ii) Impact Assessment Research
iii) Evaluation Research
C. Basic and Applied Research Compared
 The procedures and techniques utilized by basic and
applied researchers do not differ substantially.
 Both employ the scientific method to answer the
questions at hand.
 The consumers of applied research findings are
practitioners. Often, someone other than the researcher
who conducted the study uses the results of applied
research. This means that applied researchers have an
obligation to translate findings from scientific technical
language into the language of decision makers or
practitioners.
 The results of applied research are less likely to enter the
public domain in publications. Results may be available
only to a small number of decision makers or
practitioners, who decide whether or how to put the
research results into practice and who may or may not use
the results.
 Applied and basic researchers adopt different orientations
toward research methodology.
 Basic researchers emphasize high standards and try to
conduct near-perfect research.
 Applied researcher make more trade-offs. They may
compromise scientific rigor to get quick, usable results.
Compromise is no excuse for sloppy research, however.
Applied researchers squeeze research into the constraints
of an applied setting and balance rigor against practical
needs.
 Such balancing requires an in-depth knowledge of
research and an awareness of the consequences of
compromising standards
4) Research by Time Dimension:
1. Cross-Sectional Research
2. Longitudinal Research
3. The panel study 
4. A cohort analysis
5)Research (data collection) Techniques Used
 Quantitative: - Experiments, Surveys,
and Content Analysis and Using Existing Statistics
 Qualitative :- Field Research, Case Study and
Focus Group Discussion
1.6. Scientific Approaches
1.6 Scientific Approaches
 The general process called the scientific approach is
influenced by the philosophical views.
 The approach can be characterized as having the following
general steps:
◦ Identifying the problem/issue/question.
◦ Defining the research objectives
◦ Develop approaches for achieving the objectives
◦ Conduct the analysis
◦ Interpret the result and draw conclusions.
 Scientific Approaches:
Deductive and Inductive Thinking
 The modern method of science is broadly of two types:
Induction and Deduction.
 Deductive reasoning works from the more general to the
more specific.
◦ Also called a "top-down" approach.
◦ begin with a theory – to specific hypotheses – into
observations.
◦ test the hypotheses with specific data- a confirmation (or
not) of our original theories.
Deductive Reasoning
 Scientific Approaches:
Deductive and Inductive Thinking
 Inductive reasoning works the other way, moving from
specific observations to broader generalizations and theories.
◦ this is a "bottom up" approach.
 We begin with specific observations and measures, begin to
detect patterns and regularities, formulate some tentative
hypotheses, and finally end up developing some general
conclusions or theories.
Inductive Thinking
1.7.Types of Research
1.7.Types of Research
 The basic types of research are as follows:
(i) Descriptive vs. Analytical:
 Descriptive research includes surveys and fact-
finding enquiries of different kinds.
 The major purpose of descriptive research is
description of the state of affairs as it exists at present.
 In social science and business research we quite often
use descriptive research.
 In analytical research, the researcher analyzes
information to make a critical evaluation of the
material.
Types of Research
(ii) Applied vs. Fundamental: Research can either be
applied (or action) research or fundamental (basic
or pure) research.
 Applied research aims at finding a solution for an
immediate problem facing a society or an
industry/organization,
 Fundamental research is mainly concerned with
generalizations and with the formulation of a theory.
Types of Research
(iii) Quantitative vs. Qualitative:
Quantitative research is based on the
measurement of quantity or amount.
It is applicable to phenomena that can be
expressed in terms of quantity.
Qualitative research is concerned with qualitative
phenomenon whose aim is to discover the
underlying motives of human behaviour.
 If you: Then Use:
• want to conduct statistical analysis

• want to be precise
Quantitative
• know what you want to measure

• want to cover a large group

• want narrative or in-depth information

• are not sure what you are able to measure Qualitative

• do not need to quantify the results

Types of Research
(iv) Conceptual vs. Empirical:
Conceptual research is that related to some
abstract idea(s) or theory.
It is used to develop new concepts or to reinterpret
existing ones.
Empirical research relies on experience or
observation alone, often without due regard for
system and theory.
It is data-based research.
It comes up with conclusions which are capable of
being verified by observation or experiment.
1.8. Research Ethics
1.8 Research Ethics
Ethics: The established customs, morals, and fundamental
human relationships that exist throughout the world.

Ethical Behavior: Behavior that is morally accepted as good or

right as opposed to bad or wrong. General ethical rules apply
also to the researchers.
 Researchers, subjects, funding bodies and society may have
conflicting incentives.

A. Researchers-researchers

 Researchers may be unethical on researchers

Plagiarism: using words or ideas without proper

acknowledgment
• Plagiarism is the unauthorized use of someone else's thoughts or
wording either by

o Incorrect documentation, failing to cite your sources altogether, or

o Simply by relying too heavily on external resources.

• Whether intentional or unintended some or all of another author's ideas

become represented as your own.
• Plagiarizing undermines your academic integrity.

o It betrays your own responsibilities,

o As a student writer,

o Your audience, and

o The very research community you were entering by deciding to

write a research paper in the first place.
B. Researchers-society

 Falsifying data: Changing data

 Fabrication: Making up data

 Irresponsible policy advise

 Waste of research fund

C. Funding bodies-researchers

 Fund allocations directing research

 i.e. ‘money buying research results’?

 Therefore, some important shared values for the responsible
conduct of research include:

 HONESTY — conveying information truthfully and

honoring commitments,

 ACCURACY — reporting findings precisely and taking

care to avoid errors,

 EFFICIENCY — using resources wisely and avoiding

waste, and

 OBJECTIVITY — letting the facts speak for

themselves and avoiding improper bias
 Summary for Chapter One
Distinctions can also be made between
quantitative and qualitative research. Quantitative
research is based upon numerical measurement
and analysis. Qualitative research is based upon
non-numerical analysis of words, feelings,
emotions and so on.
Research may follow a deductive or an inductive
process. Deductive research involves the testing
of a predetermined theory, explanation or
hypothesis. Inductive research generates the
explanation from the data collected.
Chapter Two: Formulation of Research
Problem and Hypothesis
2.1. Research Problem
2.1.1. Source of Research Problem
2.1.2. Criteria of a good Research Problem
2.1.3. Formulating and testing of the problem
2.2. Research Hypothesis
2.2.1. Characteristics of a usable hypothesis
2.2.2. Difficulties in formulating Hypothesis
2.2.3. Hypothesis Testing
2.2.4. Criteria for Good Hypothesis
The Research Process
 Before embarking on the details of research
methodology and techniques, it seems appropriate
to present a brief overview of the research process.

 Research process consists of series of actions or

steps necessary to effectively carry out research and
the desired sequencing of these steps
 Design the
Define the research Review the Formulate Research
problem Literature Hypotheses (including
Sampling)

Collect Data

Analyze Data

Interpret and
Report
2.1.Souces of Research Problem
A Research problem is a discrepancy
between what one knows and ought to know
to solve a problem. Sources are:
1.Experiences
2.Literatures
3.Theories
4.Reports
5. Technology
6. Inconsistence in past studies
2.2. Criteria of good research problem

1. Interests
2. Researchable
3. Feasible/practical
4. Significance
5. Economics
2.3. Formulating a Research Process
1. Defining a problem
2. Showing the severity of the problem with data
3. Showing the extent of the problem with data
4. Showing the gap in the previous studies and your
value-added
Defining the Research Problem
 Knowing what to research and its purpose is key to the first step in
the research design.
 A good research topic is broad enough to allow you to find plenty of
material, but narrow enough to fit within the size and time constraints
of your paper.
• To do a research a topic or a felt practical or theoretical difficulty
must be identified.
 The problem identification affects the quality, usefulness,
effectiveness and efficiency of the research activity.
 Defining the problem, showing the severity of the problem, showing
the extent of the problem, and showing the gaps
Defining the Research Problem
What does one mean when he/she wants to define
a research problem?
The answer may be that one wants to state the
problem along with the bounds within which it is
to be studied.
 It involves the task of laying down boundaries
within which a researcher shall study the
problem.
How to define a research problem is undoubtedly
a herculean/exceptional task.
Defining the Research Problem
However, it is a task that must be tackled
intelligently to avoid the perplexity encountered in
a research operation.
Defining a research problem properly and clearly
is a crucial part of a research study and must in no
case be accomplished hurriedly.
However, in practice this is frequently overlooked,
which causes a lot of problems later on.
Hence, the research problem should be defined in
a systematic manner, giving due emphasis to all
relating points.
The research problem and objectives
 The researcher must know exactly what his/her
problem is before he/she begins working on it.
 A problem clearly defined is a problem half solved.

◦ Problem definition or problem statement is a clear

and precise statement of the question or issue to be
investigated.
 Laying down the boundaries within which a
researcher shall study the problem.
 Helps to narrow the perspectives of the problem to a
set of issues on which new information is sought.
The research problem and objectives
Defining the problem clearly will help to find
answers to questions like:
◦ What data are to be collected?
◦ What characteristics of data are relevant and
need to be studied
◦ What relations are to be explored
◦ What techniques are to be used for the purpose
The research problem and
objectives
In the formal definition of the problem the
researcher is required
 to describe the background of the study, its
theoretical basis and underlying assumptions in
concrete, specific and workable questions.
The problem statement should make a convincing
argument that there isn’t sufficient knowledge
available to explain the problem or
◦ there is, at least, a need to test what is known and
taken as fact.
The research problem and objectives
 Some ways to show that you are adding to the knowledge
in your field:
 Gap: A research gap is an area where no or little
research has been carried out.
 The research problem is defined by asking a question to
which the answer is unknown, and which you will
explore in your research.
◦ Counter-claiming: A conflicting claim, theory or
method is put forward.
◦ Continuing a previously developed line of enquiry:
Building on work already done, but taking it further (by
using a new sample, extending the area studied, taking
more factors into consideration, taking fewer factors into
consideration, etc).
The research problem and
objectives
 The researcher should be focused, and should single out
and clearly state the problem.
 S/He should ask whether the problem is:
Amenable to empirical investigation or evaluation
through collection and analysis of relevant data
Brief, clear and precise
Researchable in respect to appropriate sources of
data/information that can provide solutions to the
problem identified
Solvable
Fitting itself well to established theories or concepts

76
The research problem and
objectives
 In defining the statement of the problem, the following
questions could be helpful:
Who is affected and how?
What is missing and where?
What went wrong and to what extent?
What are the notable effects, where, extent for whom?
Is the problem self-expressive or does it generate other
problems?
What have others to say about it? Establishing the gap!

77
The research problem and
objectives
The problem is very important in the sense that it should
receive considerable and persuasive attention
 Its importance is inevitably subjective and will vary from
researcher to researcher.
Objectivity can be injected by answering questions such
as:
 Is the problem of current interest? Is it topical (up-to-
date)?
 Is the problem likely to continue into the future?
 Would the information about the problem have
practical application?
The research problem and
objectives
 Will the information about the problem have
theoretical importance?
 How large is the population affected by the problem?
 Would this study substantially revise or extend existing
knowledge?
 Would this study create or improve an instrument of some
utility?
 Would research findings lead to some useful change in
best practice?
 Is there evidence or authoritative opinion from others to
support the need for this research?
The research problem and
objectives
 The problem statement could close with a question.
 Typically, the question could contain two variables, a
measurable relationship, and some indication of
population.
 A good example of research question:
 "What is the relationship between farm productivity and
farmer use of fertilizer"?
 The information needed is:

◦ Productivity levels
◦ Some measure of fertilizer use.
The research problem and
objectives
 Hazardous noise is an important occupational health
problem because it leads to hearing loss and may lead to
increased stress and other deleterious physiological effects.
More than 30 million workers are exposed to hazardous
noise on the job…Use of hearing protection devices,
specifically ear plugs is known to reduce noise exposure
and prevent noise – induced hearing loss… there are,
however, relatively few investigators who have examined
factors related to the low use of hearing protection by
workers.

Start from here!

The research problem and
objectives
 A bad example might be: "What is the best way to train
for use of fertilizer"?
-This is insufficient because:
 What are the variables?
 What will be measured?
 What relationships
The research problem and objectives
Steps in defining the research problem:
a) Statement of the problem in a general way
◦ Problem stated in a broad and general way keeping in
mind the practical concern or the scientific or
intellectual interest.
 b)Understanding the nature of the problem more clearly
◦ The next steps is to understand its origin and nature
clearly.
 The best way is to discuss it with other more acquainted
or experienced people.
The research problem and objectives
c) Developing the ideas through discussion
◦ Discussion concerning a problem often
produces useful information.
◦ The discussion sharpens the researcher’s focus
of attentions on specific aspects of the study.
d)  Survey of the available literature
Devote sufficient time to review both the
conceptual and empirical literature.
The research problem and objectives
 This exercise enables the researcher to
1. find out what data are available
2. find out whether the existing theory is
applicable to the problem under study.
3. ensure that no one else has already
exhausted the questions that he/she aims to
examine, etc.
e) Rephrasing the research problem:
◦ Researcher rephrases the research problem into a
working proposition.
◦ Rephrasing – putting the research problem in as
specific terms as possible.
The research problem and objectives
f) In addition
◦ Technical terms or phrases, with special meanings
should be clearly defined.
◦ Basic assumptions or postulates relating to the
research problem should be clearly stated.
◦ The suitability of the time period and the sources of
data available must be considered in defining the
problem.
◦ The scope of the investigation within which the
problem is to be studied must be mentioned
explicitly in defining a research problem.
The research problem and objectives
Objectives of the study:
◦ This is the step of rephrasing the problem into
operational or analytical terms, i.e. to put the problem
in as specific terms as possible.
◦ in this section the specific activities to be achieved are
listed.
 The main purposes of the study must be clearly
enunciated.
 The general objective provides a short statement of the
specific goals pursued by the research.
 The specific objectives are the objectives against which
the success of the whole research will be judged.
The research problem and objectives
◦ The specific objectives are operational and indicate
the type of knowledge to be produced, audiences to
be reached, etc.
 An objective should be Specific, Measurable,
Achievable, Realistic and Time-bound – that is,
SMART.
◦ It must flow logically and clearly from the purpose,
problem statement and justification already stated.
Identification of a Research Topic
 There are three types of research titles:
◦ Indicative title:
 they state the subject of the proposal rather than
expected outcomes.
 Example: The role of agricultural credit in alleviating
poverty in a low-potential area of Ethiopia.
◦ Hanging titles have two parts: a general first part
followed by a more specific second part.
• Example: ‘Alleviation of poverty in low-potential area
of Ethiopia: the impact of agricultural credit’.
Identification of a Research Topic
 Question-type titles are used less commonly than
indicative and hanging titles.
 However, they are acceptable where it is possible to
use few words – say less than 15.
◦ Example: ‘Does agricultural credit alleviate poverty
in low-potential areas of Ethiopia?’
Identification of a Research Topic
Where do research topics come from?
 A topic must spring from the researcher’s mind like a
plant springs from its own seed.
◦ It could be generated by the researcher
 The best way to identify a topic is to draw up a shortlist
of possible topics that have emerged from your reading
or from your own experience that look potentially
interesting.
◦ A general area of interest or aspect of a subject matter
(agriculture, industry, social sector, etc.) may have to
be identified at first.
Identification of a Research Topic
A) Professional Experience
 Own professional experience is the most important source
of a research problem.
 Many researchers are directly engaged in program
implementation and come up with a topic based on what
they see happening around them.
◦ Contacts and discussions with others,
◦ attending conferences, seminars, and
◦ listening to learned speakers
 are all helpful in identifying research problems.
Identification of a Research Topic
b) Inferences from the literature
 Another source for research ideas is the theoretical or
empirical literature in your specific field.
 Many researchers get ideas for research by reading the
literature and thinking of ways to extend or refine previous
research.
 Two types of literature can be reviewed.
 The conceptual literature
 The empirical literature
 Research reports, bibliographies of books, and articles,
periodicals, research abstracts and research guides suggest
areas that need research.
Identification of a Research Topic
C) Provided by a client
◦ Requests For Proposals (RFPs) are published by
government agencies and some companies.
 These RFPs describe some problem that the agency
would like researchers to address -- they are virtually
handing the researcher an idea.
 The RFP describes the problem that needs addressing,
the contexts in which it operates, the approach they
would like you to take to investigate to address the
problem, and the amount they would be willing to pay
for such research.
Identification of a Research Topic
d) Technological and Social Changes
◦ New developments bring forth new development
challenges for research.
e) Other Sources
 Many researchers simply think up their research topic on
their own.
 No one lives in a vacuum, so we would expect that the
ideas you come up with on your own are influenced by
your background, culture, education and experiences.
Identification of a Research Topic

 In any case, the most fundamental rule of good research is

to investigate questions that sincerely interest you.
 i.e. research which a researcher honestly enjoys even if
he/she encounters problems frustrating or discouraging.
 The following points are important in selecting a research
problem or a subject for research.
 Subject, which is overdone, should be avoided since it
will be difficult to throw any new light in such cases
for the average researcher.
 Identification of a Research Topic
 Controversial subjects should not become the choice of the
average researcher.
 Too narrow or too broad or vague problems should be
avoided
 The importance of the subject in terms of:
The qualification and training of researcher,
The cost involved and the time factor, etc.
 Identification of a Research Topic
 The choice of a research topic is not made in a vacuum and
is influenced by several factors:
Interest and Values of the Researcher,
Current Debate in the Academic world,
Funding,
The value and power of the subject, etc.
 Many of these involve making tradeoffs between rigor and
practicality.
 2.2. Research Hypothesis
 Itis a tentative prediction or explanation about
the relationship between variables: Ho and H1

 It is simple or complex and directional or non-

directional.

 Purpose of Research Hypothesis

1. Unifying the theory to reality

2. Extends knowledge
3. Give direction to research
2.2.1. Characteristics of a usable hypothesis

1. Specify relationship
2. Testable
3. Justifiable
4. Concise
2.2.2. Difficulties in formulating Hypothesis
 The degree of challenges to the hypothesis depends on the type of
a problem and its importance. It can range from just seeking a
good enough solution to a much more rigorous challenges.
 The terms challenging may include:

1. Verification
2. Justification
3. Refutability
4. Validity
5. Rectification
6. Repeatability
7. Falsification
 2.2.3. Hypothesis Testing
There are four procedures:
1. Stating the hypothesis
2. Setting the criteria for a decision
3. Collecting data
4. Evaluate the H0
Problem: Type I (When Ho is wrongly rejected) and Type
II accept Ho wrongly when it is false in fact)
Decision
Reject Ho Accept Ho
Truth Ho Type I Right Decision
H1 Right Decision Type II
2.2.4. Criteria for Good Hypothesis
1. Identify Y and X variables
2. Specify the nature of relationship
3. Simple and concise, better to have several hypothesis
that one complicated hypothesis
4. Does not included reference to specific measure
5. Does not refer to specific statistical procedures that
will be used in analysis
6. Implies the population you are going to study
7. Is falsifiable and testable
Chapter Three: Research Design
3.1. Definition and Components of Research Design
3.2. Related literature review
3.2.1. Characteristics of Related Literature
3.2.2. Recording of Reading for Literature
3.2.3. Note taking: Reviewing the literature
3.2.3.1. Paraphrasing
3.2.3.2. Incorporating Direct Quotes
3.2.4. Proper Citation Style
3.3. Research Proposal
3.5.1. Importance of Research Proposal
3.5.2. Elements of a Research Proposal
3.1. Definition and Components of Research Design
 The formidable problem that follows the task of
defining the research problem is the preparation of the
research design.
 Decisions regarding what, where, when, how much, by
what means concerning an inquiry or a research study
constitute a research design.
 “A research design is the arrangement of conditions for
collection and analysis of data in a manner that aims to
combine relevance to the research purpose with
economy in procedure.”
 It is the conceptual structure within which research is
conducted; it constitutes the blueprint for the
collection, measurement and analysis of data.
As such the design includes an outline of what the
researcher will do from writing the hypothesis and its
operational implications to the final analysis of data
i.What is the study about?
ii.Why is the study being made?
iii.Where will the study be carried out?
iv.What type of data is required?
v.Where can the required data be found?
vi.What periods of time will the study include?
vii.What will be the sample design?
viii.What techniques of data collection will be used?
ix.How will the data be analyzed?
x. In what style will the report be prepared?
In short, research design consists of:
(i) The plan that specifies the sources and
types of information relevant to the research
problem.
(ii) The strategy specifying which approach
will be used for gathering and analyzing the
data.
(iii) The time and cost budgets since most
studies are done under these two constraints.
 
 
3.2. Related literature review
 Once the problem is formulated, the researcher should
undertake an extensive literature survey connected with the
problem.
 Others have conducted research that is related to the
topic.
 The purpose of the literature survey is to provide the
researcher with an understanding of the literature as it
relates to the current project.
 The literature survey enables you to learn as much as
you can from the efforts of others.
 Like most aspects of research it needs thoughts and
planning.
 Literature Review
 It “is a written summary of journal articles, books and
other documents that describes the past and current state
of information, organizes the literature into topics and
documents a need for a proposed study.”
 Well-written analytical narrative that brings a reader up-
to-date on what is known on a given topic, but also
provide fresh insights that advance knowledge
Resolve conflicts between studies
Identify new ways to interpret research results
Creating a path for future research

109
Literature Review
 Academic journals, conference proceedings,
dissertations, government reports, policy reports,
publications of international organizations, books, etc.
must be tapped depending on the nature of the problem.
◦ Usually one source leads to the next and the best place
for the survey is the library.
The main goal is:
◦ to familiarize yourself with the issue and prevent
duplication of what had already been done.
Literature Review
 Severalarticles can be summarized in one mention
◦ E.G- There have been numerous studies attempting to
measure the return to education (see Becker (1963);
Mincer (1968); Angrist and Krueger (1988); Bound et al.
(1991)).”
Steps to Conduct a Literature Review
• Step 1: Identify Key Terms or “Descriptors”
• Extract key words from your title (remember, you may
decide to change the title later)
• Use some of the words other authors reported in the
literature
• Scan both electronic and library journals from the past
10 years and look for key terms in the articles

• Creswell, J.W. (2005) Educational Research: Planning, Conducting, and

Evaluating Quantitative and Qualitative Research
 Steps to Conduct a Literature Review
• Step 2: Locate Literature
• Use academic libraries, do not limit your search to
an electronic search of articles
• Use primary and secondary sources.
• A “primary source” is research reported by the
researcher that conducted the study.
• A “secondary source” is research that summarizes
or reports findings that come from primary sources
 Step 2: Locate Literature
• It is “best to report mostly primary sources”
• Search different types of literature: summaries,
encyclopedias, dictionaries and glossaries of terms,
handbooks, statistical indexes, reviews and
syntheses, books, journals, indexed publications,
electronic sources, abstract series, and databases
 Steps to Conduct a Literature Review

• Step 3: Critically Evaluate and Select Literature

• Rely on journal articles published in national journals
• Prioritize your search: first look for refereed journal
articles, then, non-refereed articles, then books, then
conference papers, dissertations and theses and then
papers posted to websites
• Look for research articles and avoid as much as
possible “opinion” pieces
• Blend qualitative and quantitative research in your
review
 Steps to Conduct a Literature Review
• Step 4: Organize the Literature
• Create a “file” or “abstract” system to keep track of what
you read. Each article you read should be summarized in
one page
• Study-by-study Review: a detailed summary of each
study under a broad theme is provided. Link summaries
(or abstracts) using transitional sentences. Must be
organized and flow coherently under various
subheadings. Avoid string quotations (i.e., lengthy
chunks of text directly quoted from a source)
Steps to Conduct a Literature Review
• Step 5: Write a Literature Review
• Types of Reviews:
• Thematic Review: a theme is identified and studies
found under this theme are described. Major ideas and
findings are reported rather than details.
• Review in chronological order
• Review across countries
Literature Review
Structuring the review:
◦ Summarize every article briefly; a sentence or two
will do
◦ Interpret the article in light of its relevance to your
own study
◦ Critique it, if necessary
◦ Show the stock of knowledge building up over the
course of the literature
◦ Show how your research topic adds naturally to this
stock of knowledge
Research Proposal
1. Your proposal should have the following elements in order.
2. Title page
3. Table of contents
4. Background of the study
5. Statement of the Problem(Defining the problem, severity of the
problem, extent of the problem, gap analysis)
6. Objective of the study (major and specific objectives)
7. Research Questions
8. Hypothesis of the study
9. Scope of the study
10. Significance of the study
11. Literature review (Theories, empirics and conceptual framework)
12. Methods of the study ( Research design, model specification, data
nature and source, estimation method)
13. Work plan (time and budget)
14. List of references
Conceptual Framework
 What is conceptual Framework?
 It is a theoretical structure of assumptions, principles,
and rules that holds together the ideas comprising a
broad concept.
 It described as the abstract, logical structure of meaning
that guide the development of the study.
 All frameworks are based on the identification of key
concepts and the relationships among those concepts.
 It consists of concepts that are placed within a logical and
sequential design.
It represents less formal structure and
used for studies in which existing theory
is inapplicable or insufficient.
Based on specific concepts and
propositions, derived from empirics
observation and intuition.
May deduce theories from conceptual
framework.
Purpose of Conceptual framework
To clarify concepts and propose
relationships among the concepts in a study
To provide a context for interpreting the
study findings
To explain observations
To encourage theory development that is
useful to practice
“The terms conceptual framework and theoretical
framework are sometimes used interchangeably, but they
have different meanings.”
Theoretical Framework
 The theory provides a point of focus for attacking
the unknown in a specific area
If a relationship is found between two or more
variables a theory should be formulated to explain
why the relationship exists
Theories re purposely created and formulated,
never discovered; they can be tested but never
proven
It consists of theories that seem to be interrelated.
More formal and used for studies based on
existing theories.
Derived from specific concepts and propositions
that are induced or deduced.
Purpose of Theoretical Framework
To test theories
To make research findings meaningful
and generalizable
To establish orderly connections between
observations and facts
To predict and control situations
To stimulate research
 Chapter Four: - Census and
Sample Investigation

4.1. Over View of Census and Sample Investigation

4.2. Sampling
4.2.1. Types of Sampling Techniques
4.2.1.1. Probability sampling techniques
4.2.1.2. Non-probability Sampling Technique
4.2.2. Sampling and Non-Sampling Errors
Sampling Techniques
Non-Probability Sampling Probability Sampling
Techniques techniques

Judgmenta Convenience Quota Snowball

l

Simple Random Systematic Stratified Cluster

Non-probability Sampling Techniques
 Judgmental: we use different strategies to sample
Typical cases
Heterogeneity
Extreme cases
Confirming and non-confirming cases
 Purposive
 Visiting places near roads, towns, etc
 Interviewing people available during data collection
 Observing whichever areas key actors want to show us
 Advantage(s)=easy, fast and may help us collect data that
would not have been collected.
 Disadvantage(s)= not representative
Non-probability Sampling Techniques
 Quota: quotas are assigned to different strata groups and
interviewers are given quotas to be filled from different
strata.
◦ A researcher first identifies categories of people (e.g.,
male, female) then decides how many to get from each
category.
 Snowball (Network) Sampling – chain sampling
◦ This is a method for identifying and selecting the cases
in a network.
◦ It begins with one or a few people or cases and use
them to establish contact with others.
 You start with one or two information-rich key
informants and ask them if they know persons who
know a lot about your topic of interest.
Probability Sampling Techniques
1. Simple Random Sampling (SRS)
◦ The simplest and easiest method.
◦ each element of the population has an equal chance of
being selected into the sample.
◦ It assumes that an accurate sampling frame exists.
◦  Usually two methods are adopted to pick a sample.
 E.g., simple random sampling for household surveys
1.Population = all households in the country
2.Sampling frame = the list of all households (20 million
in Ethiopia?)
3.Sample size = say we have resources to cover only
20,000 households
4.Sampling fraction 20,000/20,000,000 or 0.1%
5.Select randomly 20,000 households from the long list
of 20,000,000 households
Probability Sampling Techniques
Systematic Sampling Technique
 In SYSTEMATIC SAMPLING individuals are chosen at
regular intervals (for example every nth) from the
sampling frame.
◦ The major advantages of SS are its simplicity and
flexibility.
◦ instead of a list of random numbers, the researcher
calculates a sampling interval.
 The sampling interval is the standard distance
between elements selected in the sample.
Probability Sampling Techniques
 E.g., a systematic sample is to be selected from 1200
students of a school.
The sample size to be selected is 100.
 The sampling fraction is: 100/1200= sample size/study
population = 1/12
 The sampling interval is therefore 12.
 The first student in the sample is chosen randomly, for
example by blindly picking one out of twelve pieces of
paper, numbered 1 to 12.
If number 6 is picked -every twelfth student will be
included –i.e. 6, 18, 30, 42, etc.
Probability Sampling Techniques
Stratified Sampling
 A population is subdivided into the appropriate strata
and a simple random sample taken using either SRS or
SS techniques from each stratum.
 Particularly useful when we have heterogeneous
populations.
E.g., low income, middle income, high income areas
Probability Sampling Techniques
The reasons for stratifying
To increase a sample’s statistical efficiency (smaller
standard errors).
To provide adequate data for analyzing the various
subpopulation.
To enable different research methods and procedures to
be used in different strata.
 Can be multiple stage stratified random sampling
 E.g., in the household survey we may be interested to have
sufficient number of households from each region of
Ethiopia; stratify by region!
Probability Sampling Techniques
How to Stratify
◦ Three major decisions must be made in order to stratify
the given population into some mutually exclusive
groups.
 (1) What stratification base to use: stratification would be
based on the principal variable under study such as
income, age, education, sex, location, religion, etc.
Probability Sampling Techniques
(2) How many strata to use: there is no precise answer as to
how many strata to use.
◦ The more strata the closer one would be to come to
maximizing inter-strata differences and minimizing
intra-strata variables.
(3) What strata sample size to draw: different approaches
could be used:
 One could adopt a proportionate sampling procedure.
 Or use disproportionate sampling, which allocates
elements on the basis of some bias.
Probability Sampling Techniques
 Cluster Sampling:
1. It may be difficult or impossible to take a simple random
sample because a complete sampling frame does not exist,
or
2. Logistical difficulties may also discourage random
sampling techniques
 E.G.: interviewing people who are scattered over a
large area may be too time-consuming).
 The selection of groups of study units (clusters) instead of
the selection of study units individually is called
CLUSTER SAMPLING.
 It is cost effective (High economic efficiency)
 It involves sampling of groups
 Clusters are often geographic units (e.g., districts, villages)
or organizational units (e.g., clinics, etc).
Probability Sampling Techniques
 E.g., sampling for household survey in Addis Ababa
◦ Probably no complete sampling frame and costly to
cover simple random sample
◦ Randomly select from sub-cities (clusters)
◦ Randomly select kebeles from sub-cities (clusters)
◦ Then randomly select households from the selected
kebeles
Steps in Sampling Design
a) Identifying the relevant population: when one wants to
undertake a sample survey the relevant population from
which the sample is going to be drawn need to be
identified.  
 Example: if the study concerns income, then the
definition of the population as individuals or
households can make a difference.
b) Determining the method of sampling:
 Whether a probability sampling procedure or a non-
probability sampling procedure is to be used.
Steps in Sampling Design
c) Securing a sampling frame:
 A list of elements from which the sample is actually
drawn is important and necessary.
d) Identifying parameters of interest:
 what specific population characteristics (variables and
attributes) may be of interest.
e) Determining the sample size
 The determination of the sample size deepens on several
factors.
Determining the sample size
 Research designs with too small sample size are unethical
◦ because they waste resources as they can only provide
anecdotal evidence.
If the sample size is too small, the data will be unusable.
 Research studies that use too large samples i.e., larger than
needed, also are unethical because:
they waste time and financial resources,
 Determining the sample size
 human subjects may also undergo unnecessary
experimental procedures that could be distressful and
painful.
 Sample size determination hinges on:
i) Degree of homogeneity: The size of the population
variance is an important parameter.
 The greater the dispersion in the population the larger
the sample must be to provide a given estimation
precession.
 Determining the sample size
ii) Degree of confidence required: Since a sample can never
reflect its population for certain, the researcher must
determine how much precision s/he needs.
 Precision is measured in terms of
 (i) An interval range (the margin of error).
 (ii) The degree of confidence (how sure you are)
 Determining the sample size
iii) Number of sub groups to be studied:
If the research is to make estimates on several subgroups
of the population then the sample must be large enough
for each of these subgroups to meet the desired quality
level.  
iv) Cost: cost considerations have a major implications.
All studies have some budgetary constraint and hence
cost dictates the size of the sample.
Determining the sample size
V) Prior information: If similar previous study exists we can
use that prior information to determine our sample size.
using prior mean and variance estimates or
stratifying the population to reduce variation within
groups.
samples that have met the requirements of the
statistical methods from past researches.
Researchers use it because they rarely have
information on the variance or standard errors.
Determining the sample size
vi) Practicality: Of course the sample size you select must
make sense.
 We want to take enough observations to obtain
reasonably precise estimates of the parameters of
interest but we also want to do this within a practical
resource budget.
 Therefore the sample size is usually a compromise between
what is DESIRABLE and what is FEASIBLE.
In general, the smaller the population, the bigger the
sampling ratio has to be for a reasonable sample.
Determining the sample size
 Hence:
For small populations (under 1000 a large sampling ratio
(about 30%). Hence, a sample size of about 300 is
required.
For moderately large population (10,000), a smaller
sampling ratio (about 10%) is needed – a sample size
around 1,000.
To sample from very large population (over 10 million),
one can achieve accuracy using tiny sampling ratios
(.025%) or samples of about 2,500.
 How to Calculate Sample Size for Different Study
Designs
 Inthe recent era of evidence-based medicine, statistics
has come under increased scrutiny.

 Evidence is as good as the research it is based on,

which in turn depends on the statistical soundness of
the claims it make.

 One of the important issues faced by a biomedical

researcher during the design phase of the study is
sample size calculation. 

 It is very important to understand that method of

sample size calculation is different for different study
designs and one blanket formula for sample size
calculation cannot be used for all study designs.
Sample size calculation for cross sectional
studies/surveys

Cross sectional studies or cross sectional

survey are done to estimate a population
parameter, for instance, Prevalence of some
disease in a community or finding the
average value of some quantitative variable
in a population.
Note that sampling size varies with the kind
of studies like case control, animal study,
time series etc.
For cross sectional data, the sample size
formula for qualitative variable and quantities
variable are different as presented below:
 For qualitative variable
 Suppose an epidemiologist want to know proportion of
children who are hypertensive in a population then this
formula should be used as proportion is a qualitative
variable. Sample size by Godden (2004)

 Where n is the total sample size, P is the sample

proportion based on previous studies or pilot studies, u
is the acceptable error term (let the error term be 0.05),
(Z=1.96) is the standard normal variable in the accepted
level of the error term, the level of confidence (α=0.05)
will be used to check the level of significance
 For example: Let us assume that a researcher wants to
estimate proportion of patients having hypertension in
pediatric age group in a city. According to previously
published studies actual number if hypertensive may not
be more than 15 percent. The research wants to calculate
this sample size with the precision (MRE 5 percent) and
a type I error of 5 percent. So if we use the above
formula, the sample size is 196.

pqz 2 0.15*0.85*(1.96) 2
n 2  2
 196
u 0.05
For Quantitative Variable
 Suppose the same researcher is interested in knowing
average systolic blood pressure of children of the same
city then below mentioned formula should be used as
blood pressure is a quantitative variable.

SD * z1 / 2 2
n
d2
 Where Z is the standard normal variate as mentioned
before. SD is the standard deviation of variable. It can
be taken from previous done study. d is the absolute
error or precision as mentioned before. Let SD=25
25 *1.96 2
n 2
 96
5
 Problems in Sampling
 Two types of errors:
 Non sampling errors
 Sampling errors
1. Non Sampling errors: are biases or errors due to fieldwork
problems, interviewer induced bias, clerical problems in
managing data, etc.
◦ These would contribute to error in a survey,
irrespective of whether a sample is drawn or a census
is taken.
2. sampling errors are error which is attributable to sampling,
and which therefore, is not present in information gathered
in a census.
 Problems in Sampling
1.Non-Sampling Error: refers to
◦ Non-coverage error
◦ Wrong population is being sampled
◦ Non response error
◦ Instrument error
◦ Interviewer’s error
Non-Coverage sampling error: This refers to sample frame
defect.
◦ Omission of part of the target population (for instance,
soldiers, students living on campus, people in hospitals,
prisoners, households without a telephone in telephone
surveys, etc).
 Problems in Sampling
The wrong population is sampled
◦ Researchers must always be sure that the group being
sampled is drawn from the population they want to
generalize about or the intended population.
Non response error – Common in self-administered surveys
◦ This error occurs when you are not able to find those
whom you were supposed to study.
◦ Some people refuse to be interviewed because they are
ill, are too busy, or simply do not trust the interviewer.
◦ When one is forced to interview substitutes, an
unknown bias is introduced.
 Problems in Sampling
Instrument error
◦ The word instrument in sampling survey means the
device in which we collect data- usually a questionnaire.
◦ When a question is badly asked or worded, the resulting
error is called instrument error.
 Example: leading questions or carelessly worded
questions may be misinterpreted by some researchers.
 Problems in Sampling
Interviewer error :
◦ Enumerator can distort the results of a survey by in-
appropriate suggestions, word emphasis, tone of voice
and question rephrasing.
◦ Cheating by enumerators -with only limited training and
under little direct supervision.
◦ Perceived social distance between enumerator and
respondent also has a distorting effect.
 E.G: questions about sexual behavior might be
differently answered depending on the gender of the
interviewer.
 Problems in Sampling
2 Sampling Errors
◦ Error which is attributable to sampling, and which
therefore is not present in a census.
◦ Sampling errors can be calculated only for probability
samples.
◦ Increasing the sample size is one of the major instruments
to reduce the extent of the sampling error.
◦ Sampling error is related to confidence intervals.
 A narrower confidence interval means more precise
estimates of the population for a given level of confidence.
 Recap: Sampling
 The sampling process
 Step 1: Define the population, sampling units, extent and
time.
 Step 2: Get a research permit if this is required in the place
you work in.
 Step 3: Construct the sampling frame.
 Step 4: Determine the sample size.
 Step 5: Select a sampling procedure.
 Step 6: Select the sample.

158
Chapter Five: Data Collection and
Management
/Data Processing and Analysis/

5.1. Coding, editing and cleaning the data

5.2. Data analysis
5.3. Testing hypothesis
 Introduction
◦ Proper data collection, retention, and sharing are vital to
the research enterprise.
 Data refers to any group of facts, measurements, or
observations used to make inferences about the problem of
investigation.
◦ can range from material created in a laboratory, to
information obtained in social-science research, such as a
filled-out questionnaire, video and audio recordings, or
photographs, etc.
 Introduction
 No research project has unlimited funds, so selection of the
most promising data usually is affected by the priorities of
cost and convenience.
 So, design an experiment that creates meaningful and
unbiased data, that will not waste resources, and that will
appropriately protect human and animal subjects.
 If data are not recorded in a fashion that allows others to
validate findings, results can be called into question.
 Data Collection Methods

 Itis the process of gathering and measuring information on

variables of interest in an accepted systematic fashion.
 Data collection methods vary by discipline and data types;
but the emphasis on ensuring accurate collection remains
the same.
 Data Collection Methods
 Consequences from improperly collected data:
Inability to repeat and validate the study.
Distorted, inaccurate findings.
Wasted resources.
Misleading other researchers to pursue fruitless avenues
of investigation.
 Data Collection Methods
 More importantly, poor collection may cause
disproportionate harm when the results of the flawed
research are used to support public policy suggestions.
 It is critical that researchers have sufficient skills to ensure
the integrity of their data collection efforts.
◦ For instance: Quality data collection requires a rigorous
and detailed recruitment and training plan for data
collectors.
 Data management issues
 Storage and Protection
Research data must be stored securely both during a
research project and after it ends.
Risks like fire, water or other environmental damage, or
common technical failures like hard disk crashes, must
be considered.
Make backup copies of the data periodically and store
the copies in a secure location.
 Data management issues
 Confidentiality
Confidentiality refers to limiting information access and
disclosure to authorized users and preventing access by
or disclosures to unauthorized persons. Policies on
who can handle which portion of data,
at what point during the project,
for what purpose, and so on.
 Data management issues

 Integrity
Integrity refers to the trustworthiness of the
information.
Data should not be modified inappropriately,
whether accidentally or deliberately.
The right information is used.
 Data Collection Techniques
 Data can be acquired from Secondary and primary
sources or from both.
Secondary Sources of data
◦ Secondary sources are those, which have been
collected by other individuals or agencies.
◦ As much as possible secondary data should always be
considered first, if available.
 Why reinvent the wheel if the data already exist.
 Data Collection Techniques
 But, when dealing with secondary data you should ask:
 Is the owner of the data making them available to you?
 Is it free of charge? If not, how will you pay?
 Are the data suitable for your investigation?
 A description of the sampling technique, i.e., how the
sample was collected.
 Data Collection Techniques
Sources of Secondary Data
 Secondary data may be acquired from various sources:
 Documents (reports of various kinds, books,
periodicals, reference books (encyclopedia),
university publications (thesis, dissertations, etc.),
policy documents, statistical compilations,
proceedings, personal documents (historical
documents, Data archives, etc.
 The Internet
 Data Collection Techniques
Advantages of Secondary data
 Can be found more quickly and cheaply.
 Most researches on past events or distant places have
to rely on secondary data sources.
Limitations
◦ Authenticity: not much may be known about
 genuine?
 credible?
 representative?
 Data Collection Techniques

 Completeness: The information often does not meet one’s

specific needs.
 Definitions might differ, units of measurements may
be different and different time periods may be
involved.
◦ Data could also be out of date.
 Data Collection Techniques

Primary Sources of Data

 Data that come into being for the first time by the
researcher.
◦ There are two approaches to primary data collection:
 the qualitative approach and
 the quantitative approach
 Data Collection Techniques
Triangulation
 refers to the use of more than one approach to the
investigation of a research question in order to enhance
confidence in the findings.
 The purpose of triangulation is to obtain confirmation
of findings through convergence of different
perspectives.
Why use triangulation
◦ By combining multiple methods, and empirical
materials, researchers can hope to overcome the
weakness or biases and problems that are associated with
a single method.
 Data Collection Techniques
Taxonomy of triangulation
1. Data triangulation: Involves gathering data at different
times and situations, from different subjects using different
sampling techniques.
◦ Surveying relevant stakeholders about the impact of a
policy intervention would be an example.
E.G: Using survey data with time series data.
 Data Collection Techniques
2. Investigator triangulation: involves using more than one
field researcher to collect and analyze the data relevant
to a specific research object.
 Asking scientific experimenters to attempt to replicate
each other’s work is an example.
3. Theoretical triangulation: involves making explicit
references to more than one theoretical tradition to
analyze data.
 This is intrinsically a method that allows for different
disciplinary perspectives.
 Data Collection Techniques
4. Methodological triangulation: combination of different
research methods or different varieties of the same method -
two forms of methodological triangulation.
Within method triangulation involves making use of
different varieties of the same method.
making use of alternative econometric estimators would
be an example.
Between method triangulation involves making use of
different methods.
Using ‘quantitative’ and ‘qualitative’ methods in
combination..
 Data Collection Techniques
Quantitative Primary Data Collection Methods
 This method involves the collection of data so that
information can be quantified and subjected to statistical
treatment.
 Primary data may be collected through:
Direct personal observation method, or
Survey or questioning other persons,
From a literature search, or by combining them.
 Data Collection Techniques
The Observation Method
◦ Observation includes the full range of monitoring
behavioral and non-behavioral activities.
 Advantages
 It is less demanding and has less bias.
 One can collect data at the time it occurs and need not
depend on reports by others.
 with this method one can capture the whole event as it
occurs.
 Data Collection Techniques
Weakness of the Method
 The observer normally must be at the scene of the event
when it takes place.
◦ But it is often difficult or impossible to predict when
and where an event will occur.
 It is also a slow and expensive process.
 Its most reliable results are restricted to data that can be
determined by an open or deliberate action or surface
indicator.
 Limited as a way to learn about the past, or difficult to
gather information on such topics as intensions,
attitudes, opinions and preferences.
 Data Collection Techniques

The Survey Method:

 To survey is to ask people questions in a questionnaire
- mailed or handled by interviewers.
Strength of the Survey Method
 It is a versatile or flexible method - capable of many
different uses.
 Surveys tend to be more efficient and economical than
observations -surveying using telephone or mail is less
expensive..
 Data Collection Techniques
Weakness of the Method
◦ The quality of information secured depends heavily on
the ability and willingness of the respondents.
 A respondent may interpret questions or concept
differently from what was intended by the researcher.
 A respondent may deliberately mislead the researcher
by giving false information.
 Data Collection Techniques
 Surveys could be carried out through:
 Face to face personal interview
 By telephone interview
 By mail or e-mail, or
 By a combination of all these.
a) Personal Face to face Interview
◦ It is a two-way conversion where one person interviews
another person for detailed information.
 Data Collection Techniques
Advantages
The depth and detail of the information exceeds the
information secured from telephone or mail surveys.
Interviewers can probe additional questions, gather
supplemental information through observation, etc.
Interviewers can make adjustments to the language of
the interview because they can observe the problems and
effects with which the interviewer is faced.
 Data Collection Techniques
Limitations of the Method
The method is an expensive enterprise – (e.g., locating
respondents)
Hence, personal interviews are generally used only
when subjects are not likely to respond to other survey
methods.
susceptible to interviewers’ bias/mistakes
Interviewer may also be reluctant to visit unfamiliar
neighborhoods.
 Data Collection Techniques
b) Telephone Interview
◦ Telephone can be a helpful medium of communication
in setting up interviews.
◦ Telephone surveys are the fastest method of gathering
information from a relatively large sample.
 generally last less than ten minutes.
 Data Collection Techniques
Strength of this method
◦ Moderate travel and administrative costs
◦ Faster completion of study
◦ Responses can be directly entered on to the computer
Limitations of this method
◦ Respondents must be available by phone.
◦ The length of the interview period is short.
◦ those interviewed by phone find the experience to be less
rewarding than a personal interview.
 Data Collection Techniques
C) Interviewing by mail (Solicited responses)
◦ Self-administrated questionnaires.
◦ They are ideal for large sample sizes, or when the sample
comes from a wide geographic area.
 Advantages
◦ Lower cost than personal interview
◦ Persons who might otherwise be inaccessible can be
contacted (major corporate executives)
◦ Less interviewer bias
◦ better protects privacy/anonymity
 Data Collection Techniques
Disadvantages
◦ Non response error is high
◦ Large amount of information may not be acquired
d) Online Surveys (E-mail and internet)
◦ E-mail surveys are relatively new and little is known
about the effect of sampling bias in internet surveys.
Advantages:
◦ Very inexpensive -saves inputting costs as well
◦ Respondents feel privacy
 Data Collection Techniques

Disadvantages:
◦ Very biased toward wealthy - in Ethiopia
◦ Biased toward young everywhere – even the very poor
have less online access in industrialized world
 the demographic profile of the internet user does not
always represent the general population.
◦ Therefore, before doing an e-mail or internet survey,
carefully consider the effect that this bias might have on
the results.
Questionnaire Design
 Actual instrument design begins by drafting specific
measurement questions in the form of a questionnaire.
 Questionnaires are easy to analyze.
Data entry and tabulation can be easily done with
many computer software packages.
 Questionnaires are familiar to most people.
Nearly everyone has had some experience completing
questionnaires and they generally do not make people
apprehensive.
 Questionnaire Design
 Questionnaires reduce bias.
There is uniform question presentation.
The researcher's own opinions will not influence the
answer.
 Mailed questionnaires are less intrusive.
When a respondent receives a questionnaire by mail,
he/she is free to complete the questionnaire on his/her
own time-table.
 Questionnaire Design
The main Components of a questionnaire
◦ Identification data: respondent’s name, address, time
and date of interview, code of interviewer, etc.
◦ Instruction: Include clear and concise instructions on
how to complete the questionnaire.
◦ Information sought: major portion of the questionnaire
◦ Covering letter: brief purpose of the survey, who is
doing it, time involved, etc.
 Questionnaire Design
 When the goals of a study can be expressed in a few clear
and concise sentences, the design of the questionnaire
becomes considerably easier.
 Hence, ask only questions that directly address the study
goals.
◦ Avoid the temptation to ask questions because it would
be "interesting to know".
 Questionnaire Design
 As a general rule, long questionnaires get less response
than short questionnaires.
◦ Hence, keep your questionnaire short to maximize
response rate – essentials.
 Minimizing the number of questions is highly desirable,
but we should never try to ask two questions in one.
 Questionnaire Design
 Indeveloping a survey instrument the following issues
need to be considered carefully:
 Question content
 Question wording
 Response form
 Question sequence
 Questionnaire Design
1. Question Content
 Question content depends on the respondent’s:

◦ ability, and
◦ willingness to answer the question accurately.
a) Respondents’ ability:
◦ The respondent information level should be
assessed.
 Questions that overtax the respondent’s recall
ability may not be appropriate.
 Questionnaire Design
b) Willingness of respondent to answer
◦ Even if respondents have the information, they may be
unwilling to give it.
◦ Some of the main reasons for unwillingness:
 The situation is not appropriate for disclosing the
information – embarrassing or sensitive
 Disclosure of information is a potential threat to the
respondent
 topic is irrelevant and uninteresting for them.
 Questionnaire Design
 to secure more complete and truthful information
 Use indirect statements i.e., “other people”
 Change the design of the questioning process.
 Apply appropriate questioning sequences that will
lead a respondent from „safe“ question gradually to
those that are more sensitive.
 Begin with non-threatening and interesting
questions.
 Questionnaire Design
Different types of questions
 Types of questions depend on research question and affect
the nature of analysis
◦ Attributes – characteristics of respondents (e.g., age,
sex, etc.)
◦ Behaviour – what people do
◦ Beliefs – what people believe
◦ Knowledge – what people know
◦ Attitudes – what is desirable
 Questionnaire Design

 Questions should be
◦ Relevant
◦ reliable – same response by same individual and
different people should understand the question the
same way
◦ discriminating – should capture sufficient variation
◦ increasing response rates – sensitive questions and
poor survey administration can reduce response rates
Questionnaire Design
 Questions should be
◦ Simple and short
◦ About issues respondents have knowledge of
◦ With same meaning to all
 Questions should not be
◦ Double-barrelled – do not ask two questions
◦ Leading – push people to answer in a certain way
◦ Avoid words like usually, often, sometimes,
occasionally, seldom, etc.
 Questionnaire Design
2. Question Wording: Using Shared Vocabulary
 In a survey the two parties must understand each
other and this is possible only if the vocabulary used
is common to both parties.
 So, don’t use uncommon words or long sentences or
abbreviations and make items as brief as possible.
And, don’t use emotionally loaded or vaguely
defined words.
 Questionnaire Design
3. Response structure or format -
 Refers to the degree and form of the structure imposed on
the responses.
◦ Open-ended or closed questions
a) Open Ended Questions
◦ In open-ended questions respondents can give any
answer.
 They may express themselves extensively.
 The freedom may be to choose a word in a “fill in “
question.
 Questionnaire Design
Advantage
◦ Permit an unlimited number of answers
◦ Respondents can qualify and clarify responses
◦ Permit creativity, self expression, etc.
Limitations
 responses may not be consistent.
 Some responses may be irrelevant
 Comparison and statistical analysis difficult.
 Articulate and highly literature respondents have an
advantage, etc.
 Questionnaire Design
b) Closed Questions
◦ Generally preferable in large surveys.
 dichotomous or multiple-choice questions.
Advantages
◦ Easier and quicker for respondents to answer
◦ Easier to compare the answers of different respondents
◦ Easier to code and statistically analyze
◦ Are less costly to administer
◦ reduce the variability of responses
◦ make fewer demands on interviewer skill, etc.
◦ don’t discriminate against the less talkative
 Questionnaire Design
Limitations
◦ Can suggest ideas that the respondents would not
otherwise have
◦ too many choices can confuse respondents
 During the construction of closed ended questions:
 The response categories provided should be exhaustive.
 They should include all the possible responses that
might be expected.
 The answer categories must be mutually exclusive.
 Questionnaire Design
4) Question Sequence – the order of the questions
 The order in which questions are asked can affect the
overall data collection activity.
 Grouping questions that are similar will make the
questionnaire easier to complete, and the respondent will
feel more comfortable.
◦ Questions that use the same response formats, or those
that cover a specific topic, should appear together.
 Questionnaire Design
 Questions that jump from one unrelated topic to another
are not likely to produce high response rates.
 Each question should follow comfortably from the
previous question.
 Transitions between questions should be smooth.
 Questionnaire Design
5) Physical Characteristics of a Questionnaire
 An improperly laid out questionnaire can lead respondents
to miss questions, can confuse them.
 So, take time to design a good layout
◦ ease to navigate within and between sections
◦ ease to use the questionnaire in the field; e.g., questions
on recto and codes on verso sides of the questionnaire
◦ leave sufficient space for open-ended questions
◦ questionnaire should be spread out properly.
 Questionnaire Design
 Putting more than one question on a line will result in
some respondents skipping the second question.
 Abbreviating questions will result in misinterpretation
of the question.
Formats for Responses
◦ A variety of methods are available for presenting a
series of response categories.
 Boxes
 Blank spaces
 Questionnaire Design
Providing Instructions
◦ Every questionnaire whether to be self administered by
the respondent or administered by an interviewer should
contain clear instructions.
 General instructions: basic instructions to be followed in
completing it.
 Introduction: If a questionnaire is arranged into subsections
it is useful to introduce each section with a short statement
concerning its content and purpose.
 Questionnaire Design
 Specific Instructions: Some questions may require
special instructions.
 Interviewers instruction: It is important to provide clear
complementary instruction where appropriate to the
interviewer.
 Questionnaire Design
6) Reproducing the questionnaire
 A neatly reproduced instrument will encourage a higher
response rate, thereby providing better data.
◦ Pilot Survey: The final test of a questionnaire is to try
it on representatives of the target audience.
◦ If there are problems with the questionnaire, they
almost always show up here.
 Data Management
 Data analysis ranges from very simple summary statistics
to extremely complex multivariate analyses.
Data Preparation and Presentation
 Data processing starts with the editing, coding,
classifying and tabulation of the collected data.
Data Management
i)  Editing
◦ Editing of data is the process of examining the
collected raw data to detect errors and omissions.
◦ In general one edits to assure that the data are:
Accurate
Consistent with other information/facts gathered
Uniformly entered
 Data Management
 The editing can be done at two levels
a)  Field level Editing
 After an interview, field workers should review
their reporting forms, complete what was
abbreviated, translate personal shorthand, rewrite
illegible entries, and make callback if necessary.
b) Central editing
 when all forms have been completed and returned to
the office data editors correct obvious errors such as
entry in wrong place, recorded in wrong units, etc.
 Data Management
ii) Coding
 Coding refers to the process of assigning numerals to
answers so that responses can be put into a limited
number of categories or classes -coding sheet.
iii)  Classification and Tabulation
 large volume of raw data must be reduced into
homogenous groups if we are to get meaningful
relationships.
 Classification is the process of arranging data in groups or
classes on the basis of common characteristics.
 Data Management
 Tabulation is the orderly arrangement of data in columns
and rows.
 Simple or complex tables.
◦ Simple tabulation gives information about one variable.
◦ Complex tabulation shows the division of data into two
or more categories.
 SPSS, R, excel, STATA, etc.
 Data Management
 Tabulation provides the following advantages:
It conserves space and reduces explanatory and
descriptive statement to a minimum.
It facilitates the process of comparison
It facilitates the summation of items and the detection
of errors and omissions
It provides a basis for various statistical computations
such as measures of central tendencies, dispersions, etc.
Data Measurement

•Data Measurement
•Measurement of the data is the first step in the
process that ultimately guides the final analysis.

•Consideration of sampling, controls, errors

(random and systematic) and the required precision
all influence the final analysis.

•Validation: Instruments and methods used to

measure the data must be validated for accuracy.
•Precision and accuracy…Determination of error
•Social vs. Physical Sciences
Thank You