CHAPTER TWO

RESEARCH PROPOSAL

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Introduction

 Most research activities follow the following

steps:
1. Selecting a topic
2. formulating the research problem and research
questions
3. Extensive literature survey
4. Formulating the working hypothesis
5. Preparing the research design and determining
the sample design
6. Collecting and analyzing the data
7. Generalizations and interpretations of results
8. Preparing the report and presentation of the
results (formal write up of conclusions reached)
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1. Identification of a Research Topic
To do a research a topic or a research problem
must be identified.

What is a Research problem?

A research problem refers to some difficulty,
which a researcher experiences in the context
of either a theoretical or practical situation and
wants to obtain a solution for it.

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 A research topic should seek to advance the
state of science
o It usually starts with a felt practical or
theoretical difficulty.
o It should ask a question to which the answer is
not known
o It should ask an interesting question
o It should be as objective as possible

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Important sources to select a research
problem

Professional experience
Own professional experience is the most
important source of a research problem.
o Contacts and discussions with research
oriented people,
o attending conferences, seminars, and
o listening to learned speakers are all helpful in
identifying research problems.

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Inferences from theory and professional
literature

Research problems can also emanate from

inferences that can be drawn from theories or
from empirical literature.
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.

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Technological and social changes

New developments bring forth new

development challenges for research.
New innovations and changes need to be
carefully evaluated through the research
process.
In general, the most fundamental rule of good
research topic is to investigate questions that
sincerely interest you.

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The following points are important in
selecting a research problem:
 Subject, which is overdone, should be
avoided since it will be difficult to throw any
new light in such cases for the average
researcher.
 Controversial subjects should not become

the choice of the average researcher.

 Too narrow or too broad or vague problems

should be avoided
 In addition, the importance of the subject in

terms of:
 The qualification and training of researcher,

 The cost involved and the time factor, etc.

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In general, 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.

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2. Definition and Statement of the Problem

 After a topic has been selected the next task is

to define it clearly.
 To define a problem means to put a fence
around it.
 It involves the task of laying down the
boundaries within which a researcher shall
study the problem.
 The researcher must be certain that he knows
exactly what his/her problem is before he/she
begins work on it.
 A problem clearly defined is a problem half
solved.

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Defining the problem unambiguously 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
Hence, 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.

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Useful steps in defining the research
problem
a) Statement of the problem in a general
way
Problem should be stated in a broad and
general way keeping in mind either some
practical concern or some scientific or
intellectual interest.
b) Understanding the nature of the problem
 The next steps is to understand its origin and
nature clearly.
 The best way to understand the problem is to
discuss it with other more acquainted or experienced
people.
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c) Survey of the available literature
The researcher must devote sufficient time in
reviewing both the conceptual and empirical
literature.
This exercise enables the researcher to :
 find out what data are available
 find out if there are gaps in theories, and
 find out whether the existing theory is
applicable to the problem under study.
 find out what other researchers have to

say about the topic,

 ensure that no one else has already

exhausted the questions that you aim to

examine, etc.
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d) Developing the idea 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.

e) Rephrasing the research problem

 The researcher must sit to rephrase the research
problem into a working proposition.
 Through rephrasing, the researcher puts the
research problem in as specific terms as possible
so that it may become operationally viable and
may help in the development of a working
hypothesis.
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f) In addition

 Technical terms or phrases, with special

meanings used in the statement of the problem
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.

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3. Extensive Literature Survey

Once the problem is formulated, the

researcher should undertake an extensive
literature survey connected with the problem.
 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.

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The main goals are:

To familiarize oneself with the issue and

establish credibility
To show the path of prior research and how
current project is linked to it
To integrate and summarize what is known in
the area
To learn from others and stimulate new ideas.

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From the survey of the literature, you will know
whether your question has not been answered
elsewhere
You will also know what other people have said
about similar topics.
You can learn how other people faced
methodological and theoretical issues similar to
your own
You can learn about sources of data that you
might not have known before

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You can know other researchers tackling similar
problems
Potential literature sources :
 General information: Google, etc.

 Books: Library, amazon.com

 Articles:

 JSTOR: www.jstor.org

 Econ Lit

 Web Pages

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4. Developing of working hypothesis

A hypothesis is a statement, which predicts the

relationship between two or more variables.
Formulating an appropriate and realistic research
hypothesis is a sine quo non for a sound research.
The role of the hypothesis is to guide the
researcher by delimiting the area of research and
keep him/her on the right track.
It is a tentative answer to a research question
that can be confirmed or refuted by data
Formulating hypothesis is particularly useful for
causal relationships.

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Main problems in formulating a working
hypothesis

Formulation of a hypothesis is not an easy task.

The main problems that may arise include:
 The lack of clear theoretical framework
 The lack of ability to utilize that theoretical

framework logically
 The failure to be acquainted with available

research techniques so as to be able to phrase

the hypothesis properly.

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Characteristics of useable hypotheses

The hypothesis must be conceptually clear.

the concept should be clearly defined,
the hypothesis should be commonly accepted
one. In other words, the hypothesis should be
stated in simple terms.
The hypothesis should have empirical referents.
no useable hypothesis embody moral judgments.
while a hypothesis may study value judgment
such a goal must be separated from a moral
preachment or a plea for acceptance of one’s
values.
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c) The hypothesis must be specific.
all the operations and predictions indicated by
it should be spelled out.
d) It should be related to available
techniques.
A theorist who does not know what techniques
are available to test his/her hypothesis is on a
poor way to formulate useable hypothesis.
e) It should be related to a body of theory.
It should posses theoretical relevance.
f) The hypothesis should be testable.
hypothesis should be formulated in such a way
that it is possible to verify it.

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5, Scope and Limitations

(a) Geographical limitations

The study might only focus on some regions,
even though the question pertains to a given
country Ethiopia
(b) Limitations by industry or occupation
The study might only be able to capture some
industries or occupations- formal or informal
sector.
C) Limitations by subject matter
The researcher also must know that many other
interesting questions may arise that are outside
of the scope of the study.

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6. Preparing the Research Design
 The research design is a plan that specifies the
sources and types of information relevant to the
research question. i.e,
It is the arrangement of conditions for the
collection and analysis of data in a manner that
aims to combine relevance to the research
purpose.
 It is the conceptual structure, plan, and
strategy of investigation within which research
is conducted.
 It constitutes the blue print for the collection,
measurement and analysis of data.
The design that gives the smallest experimental
error is the best design.
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The following elements are critical when making
design decisions:
What type of data is required (required data)
Where can the required data be found
What will be the sampling design
What techniques of data collection will be used
How will the data be analyzed (method of data
analysis)

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7. Selecting the Sample
The researcher must decide the way of
selecting a sample.
Samples could be either probability or no
probability samples.
8. Execution of the Project
Execution involves how the survey is
conducted, by means of structured
questionnaire or otherwise, etc.
Several ways of collecting the data exist. They
may differ in terms of
 money costs
 time costs and
 other resources
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Survey data can be collected by any one or
more of the following ways:
 By observations
 Through personal interviews
 Through telephone interviews
 By mailing questionnaires/through
schedules

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9. Analyzing the Data
After the data have been collected the
researcher turns to the task of analyzing them.
The analysis may involve a number of closely
related operations such as:
 Editing of the raw data

 Summarizing and tabulation of the data to

obtain answers to research questions

 Drawing statistical inferences.

 Various statistical software are available for data

entry and analysis.
 SPSS, STATA, Cspro, Spreadsheet programs such as

Excel, Lotus, etc.

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Second round editing is done once the data entry
is completed by examining the frequency
distributions, averages, ranges ,modes, etc. to
detect outliers.

Analysis is completed with the preparation of

descriptive tables, running econometric and
mathematical models or programming models.

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10. Interpretation and Generalizations
 Explaining and discussing the research results in
line with the theoretical framework is part of the
interpretation exercise.
 The real value of research lies in its ability to
arrive at certain generalizations.

11. Preparation of the Report

 The research process is completed only when the
results are shared with the scientific community.
 Report should be written in concise and objective
style in simple language avoiding vague
expressions.

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Preparing the Research Proposal
The research proposal helps the researcher to
organize his/her ideas in a form whereby it will
be possible for him/her to look for flaws or
inadequacies and is a pre requisite in the
research process.
It serves as a basis for determining the
feasibility of the project and provides a
systematic plan of procedure to follow.
It assures that the parties understand the
project’s purpose and method of investigation.
It provides an inventory of what must be done
and which materials have to be collected
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The research proposal should usually contain
the following categories of information:

I. Introduction: this part should include the

following information

The title: the title or the topic should be worded in

such a way that it suggests the theme of the study.
It should be long enough to be explicit but not too
long so that it is tedious – usually between 15 and
25 words.
It should contain the key words that indicate the
subject.

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There are three types of 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’.
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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’.

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2. Statement of the Problem

This section makes up between one fourth and

one half of the proposal.
It is an expansion of the title.
It introduces the research by giving
background, presenting the research problem
and saying how and why this problem will be
“solved.“

Without this important information the reader

cannot easily understand the more detailed
information about the research that comes later.
It also explains why the research is being done
(rationale) which is crucial for the reader to
understand the significance of the study.
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The problem statement should make a
convincing argument that there is not sufficient
knowledge available to explain the problem or
there is a need to test what is known and taken as
fact.
 It should provide a brief overview of the
literature and research done in the field related
to the problem and of the gaps that the
proposed research is intended to fill.

Some ways to demonstrate 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.
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3. Objectives of the study
In this section the specific activities to
performed are listed.
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.

This section is rather brief usually not more

than half a page at most.
 This is because the rationale for each
objective will already have been established
in the previous section.

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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.
That is, the specific objectives are operational
and indicate the type of knowledge to be
produced, audiences to be reached, etc.
An objective for a proposal should be Specific,
Measurable, Achievable, Realistic and Time-
bound – that is, SMART.

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4. Review of the Literature:

The theoretical and empirical framework from

which the problem arises must briefly be discussed.
For this purpose , both conceptual and empirical
literature is to be reviewed.
The researcher has to make it clear that his
problem has roots in the existing literature but
it needs further research and exploration.

The analysis of previous research eliminates the

risk of duplication of what has been done.

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5. The Hypothesis:
 questions that the research is designed to answer
are usually framed as hypothesis to be tested on
the basis of evidence.
 It gives direction to the data gathering procedure.
6. Significance of the Study:
 This section justifies the need of the study.
 It describes the type of knowledge expected to be
obtained and the intended purpose of its
application.
 It should indicate clearly how the results of the
research could influence theory or practice.

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The Rational for undertaking a research
study can be:
1. to show the existence of a time lapse
between the earlier study and the present
one, and therefore, the new knowledge,
techniques or considerations indicate the
need to replicate the study.
2. to show that there are gaps in knowledge
provided by previous research studies and to
show how the present study will help to fill in
these gaps and add to the quantum of
existing knowledge.

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Hence, the justification should answer the
following:
How does the research relate to the priorities
of the Region and the country?
What knowledge and information will be
obtained?
What is the ultimate purpose that the
knowledge obtained from the study will serve?
How will the results be disseminated?
How will the results be used, and who will be
the beneficiaries?

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7. Definition of terms and concepts
it is necessary to define all unusual terms and
concepts that could be misinterpreted.
 Technical terms or words and phrases having
special meanings need to be defined
operationally.
8. Scope and limitations of the study
boundaries of the study should be made clear with
reference to :
I. the scope of the study by specifying the areas to
which the conclusions will be confined and
II. the procedural treatment including the sampling
procedures, the techniques of data collection
and analysis, etc.
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9. Basic assumptions:
assumptions are statements of ideas that are
accepted as true.
They serve as the foundation upon which the
research study is based.

II) Methodology
The methodology will explain how each specific
objective will be achieved.
It is impossible to define the budgetary needs of
the research project in the absence of a solid
methodology section.

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a) Procedures for collecting data – the details
about the sampling procedures and the data
collecting tools are described.
I. Sampling – in research situations the
researcher usually comes across
unmanageable populations in which large
numbers are involved.
II. Tools (instruments) – in order to collect
evidence or data for a study the researcher
has to make use of certain tools such as
observations, interviews, questionnaires, etc.

The proposal should explain the reasons for

selecting a particular tool or tools for collecting the
data.
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b) Procedures for treating data (method of
analysis)
 In this section, the researcher describes how
he/she organizes, analyses and interprets the
data.
 The details of the statistical techniques and the
rationale for using such techniques should be
described in the research proposal.
(i) Statistical inference models
 Regression analysis is a good analytical tool,
providing a method to test various hypotheses
relating to the classical economic theory.
 The analysis is built upon the casual factor-effect
analytical framework.
 A range of regression models as well as various
ways of estimating regression coefficients, the
most common being the OLS method. 47
(ii) Mathematical programming models

An example of a mathematical programming

model is the linear programming model.
It is, however, only one example from a wide
range of mathematical models.
There are also non-linear and dynamic
mathematical programming models that
address a range of economic and policy
analysis questions and hypotheses.
The central theme in these models is to optimize
an objective functions subject to a set of
constraints.
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(iii) Simulation models

Simulation is the operation of an abstract

prototype of a real system designed to trace out
dynamic interactions.

Simulation models have acquired substantial

appeal among policy analysts because of their
ability to explore the consequences of a wide
range of alternative sets of policies, plans and
even management strategies.

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III) Budgeting and Scheduling the Research
Research costs money, depending on its
complexity and number of people and activities
employed.
A proposal should include a budget estimating
the funds required for travel expenses, typing,
printing, purchase of equipment, tools, books, etc.
It would include all or some of the following
items:
 Management time
 Bought out resources time
 Data collection
 Data analysis cost – software and hardware
 Transport cost
 Respondent’s incentives 50
Research must also be scheduled appropriately.
 Researcher should also prepare a realistic time
schedule for completing the study within the
time available.
 Dividing a study into phases and assigning
dates for the completion of each phase helps
the researcher to use his time systematically.
IV. Citations and references
It is important that you correctly cite all consulted
published and unpublished documents.
This allows the reader to know the sources of your
information.
Every reference you cite must appear in the list of
references at the end of the proposal.
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VI. Bibliography

Be sure to include every work that was referred

to in the proposal.
You do not have to refer to any other works if
you do not want to; the bibliography does not
have to be long or complete.
Formats vary slightly by journal, etc.
A common format:
For a book: Smith, Adam (1776). An Inquiry
into the Nature and Causes of the Wealth of
Nations. London: Dent and Sons publishing.
For an article: Coase, Ronald (1937). “The
Nature of the Firm.” Economica 4, 386-405.
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VII. Appendix

Mathematical formulae or proofs that are

referred to in the proposal
Supporting documentation and evidence-
letter from owner of data, etc.
permission from any necessary authorities
Evidence of material support
Evidence of researcher qualifications
Other supporting documentation
For secondary data, documentation that the data
are available, and that they contain the
measurements you need
For primary data, documentation that you will be
able to collect the data
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