Writing an Effective Proposal: How & Why

Writing an Effective Proposal: How & Why Dr. Moawia Ali Hassan Alshiek MD Department of Family & Community Medicine, College of Medicine, Najran University KSA Abstract After more than a decade of teaching the course of research skills, I believe that the need for reference works on proposal writing for students and researchers is an essential handout. Not only to acquire the ability to write successful researched proposals but also to share my experience with them. The purpose of this review is to screen research skills literature to identify how and why proposals are written. Ultimately, to provide a document that guides students and researchers to write an effective proposal for their research projects. I found following accredited proposal guidelines will help to produce an effective successful document. However, there is no one single format but general template. Every institution, journal or funding agency has its own format. But all have this sequence: introduction, objectives, methodology, workplan, budget, references and annexes. 1) Background: There is no single formula for a strong effective proposal. There are a number of precepts that are consistently found in successful proposals. The sooner one learns them, the better.(1) When a social scientist desires to conduct an experiment, he first develops a proposal. The proposal introduces the problem, the significance of a stud as ell as the e pe i e te s esea h uestio a d h pothesis. It also gi es a ief e pla atio of the theory guiding the study, a review of relevant literature pertaining to the theory, and the procedure for the experiment.(2) The goal of a research proposal is to present and justify the need to study a research problem. As well as, to show design elements and procedures for conducting the research. It goes without saying the proposal must provide persuasive evidence that a need exists for the proposed study.(3) A research proposal is intended to convince others that you have a worthwhile research project and that you have the competence and the work-plan to complete it. Generally, a research proposal should contain all the key elements involved in the research process and include sufficient information for the readers to evaluate the proposed study.(4) Regardless of the research area and the methodology chosen, all research proposals must address the following questions: What you plan to accomplish, why you want to do it and how you are going to do it.(5) In my experience as a teacher, I have worked with many under and post graduate students who have deep passionate interest to pursue their dissertations. Often, however, they are embarrassed by the lack of an appropriate and feasible plan to carry the project. One Research Director, of Graduate Program in Counselling Psychology epo ted Most students and beginning researchers do not fully understand what a research proposal means, nor do they understand its importance. To put it lu tl , o e s esea h is o l as a good as o e s p oposal . A high quality proposal, on the other hand, not only promises success of the project, but also impresses your funders, supervisors and readers about your potential as a researcher.(6) A proposal outlines your plan for a research project. Proposals vary significantly by field. This review focuses on proposals for academic papers and research projects. But grant and funding proposals, policy proposals, and building proposals all follow different formats.(7) However, proposal for academic papers-articles- usually follow an author guide in the specific journal. 2) What is a proposal? Research proposals have different purposes and particular disciplinary requirements. But generally research proposals share a number of common elements. These include a title, aims of the research, literature review, 1 | P a g e * smart for mean specific, measureable, achievable, reliable, time limited, feasible, observable and realistic. methodology, resources, bibliography and so forth. Nevertheless, before considering these elements one should be aware that the research proposal is underpinned by three principal questions. These questions must be addressed in the research proposal; the a e the hat, h a d ho of the esearch.(8) Regardless of your research area and the methodology you choose, all research proposals must address the following questions: What you plan to accomplish, why you want to do it, and how you are going to do it. (9) The exact format and requirements for a research proposal can vary slightly depending on the type of research being proposed and the specific demands of the institution you plan to submit your proposal to. But there are a few basics that are almost always needed. Overall, a good research proposal takes time to write and must identify what the proposed research will address and why the proposed research is so important.(10) 3) What does the proposal look like? The proposal is not a fixed blueprint. One cannot predict his findings beforehand. Also, cannot mechanically stick to an argument since the research will inevitably alter or even change one's initial expectations. There is no fixed formula for writing a proposal. However, the challenge is to convince scientific community members that a scientific problem is identified. A theoretical background and a methodical approach to solve the problem are set. Lastly, all these within a realistic time frame and at reasonable expenses to be provided.(11) Before the proposal is developed, remember that a research proposal takes time. The process starts by identifying a focused research question to be answered. Next a research protocol is created. It needs to be appropriate to the research question, but also feasible in terms of time, resources and ethical considerations.(12) The WHO convened a training module on Health System Research (HSR); developed by an interdisciplinary, international team of practical researchers in 1996.(13) Originally designed for health managers at different levels as a tool to develop problem solving research in the Southern African Region. I used this module contents in my teaching at different levels of students for many years. The module conceptualizes the proposal as the written thinking of the researcher. Also, contains detailed instructions for group work on the successive steps in the development of the proposal. I found these steps as providing practical guideline steps on how to write strong effective proposal Figure (I). The basic common components of the proposal are shown in Box (1) Box (1): The components of a strong effective proposal Title page: whether writing a paper or research project. The institution name, title of the study, prinicipal investigator and others, supervisors in case of writing a thesis or dissertation. 1. Summary or abstract 2. Introduction: 1.1 definition of the problem 1.2 statement & analysis of the problem 1.3 Background information (Literature review) 1.4 justification/ rationale 1.5 expectation & utilization 1.6 hyypothesis if any 3. Objectives: general & spesific 4. Methodology: 3.1 Study type variables, data collection techniques 3.2 study area 3.3 study population 3.4 sampling 3.5 study varibles 3.6 plan for data collection 3.7 plan for data processing and analysis 3.8 ethical considerations 3.9 poilt study 3.10 limitation of the study 5. Work plan: (plan for administration, monitoring, & utilization of results 6. Budget: (including explanatory note on major budget posts) 7. Annexes 1. References List 2. List of abbreviations (if applicable) 3. Data collection instruments 4. ect. 2 | P a g e * smart for mean specific, measureable, achievable, reliable, time limited, feasible, observable and realistic. The proposal should have sufficient information to convince the readers that research idea is important. Also, the researchers have a good grasp of the relevant literature and the major issues. That the methodology is sound. A good research project may run the risk of rejection simply because the proposal is poorly written. Therefore, it pays if the writing is coherent, clear and compelling. 4) Shared experience: During my teaching the course of research skills I noticed that students and researchers alike do not stick to practical guidelines to finish their proposals. The first mistake is that they consider the proposal guidelines as a linear process. Figure (I) Steps in the development of a Health Systems Research proposal questions(13) Questions you must ask Steps you will take What is the problem and why Should it be studied? Selection, analysis & statement of the research problem Problem identification, prioritizing, analysis & justification Literature review Literature and other available information What information is available? Formulation of Why do we want to carry out the research? research objectives What do we hope to achieve? What additional data do we need to meet our research objectives? How are we going to collect this information? Who will do what, and when? What resources do we need to carry out the study? What resources do we have? Research methodology Work plan Budget How will the project be administered? How will utilisation of results be ensured? Plan for project administration and utilization of results Important elements of each step General and specific bjectives & hypotheses Variables, types of study, data collection techniques, sampling, Plan for data collection, data processing and analysis, ethical considerations & pre-test or pilot study human resources timetable material support, equipment & money Administration, monitoring identification of potential users 3 | P a g e * smart for mean specific, measureable, achievable, reliable, time limited, feasible, observable and realistic. How will we present our proposal briefing sessions and Proposal summary to relevant authorities, community lobbying and the funding agencies? NB: Development of a research process is a cyclical process. The double-headed arrows indicate that the process is never linear. While it is a cyclic one; after finishing one step you should revisit it back for refinement and update of all your steps. A second drastic problem is asking somebody a problem to research on it. Actually, I consider selection of a researchable problem like a othe a . “he is the o l one who conceived, give birth and cater for it. From my experience if you ask a problem from someone you will be dependent on him. Another not less drastic mistake is the inability to define state and analyze the research problem into dependent and independent variables. Usually, the former describe the problem under study and the latter is concerned about the factors that might describe, affect, influence the problem or associated with it. After identifying the core problem you should: Identify the factors that may have contributed to the problem. Clarify the relationship between the problem and contributing factors. It is helpful to visualize these interrelationships in the form of a diagram. The basic principles of constructing such a diagram are illustrated in Figure (II). It sho s a stud titled fa to s affe ti g he oglo i le el i fe e tha ea s hild e Figure (II) Elements of a problem analysis diagram(13) ? Gender Mother’s education ? Problem HB % in fewer than 5 Tribe Income ? Gender The relationships between contributing factors and the problem can be indicated by arrows, either one-way (for cause-effect relationships) or two-way arrows (for mutual relationships). The core problem can be identified by drawing a double line around it. A well-defined, stated and analyzed problem will lead to good hypothesis, objectives, definition of dependent and independent variables and methods and materials of study. Most important is the formulation of smart* objectives. Where the dependent variable gives the general whereas, the independent variables form the specific objectives of the study. The other components apart from defining, stating and analyzing the problem are easy to do if this step is well done. 5) Components of the proposal: Front page: Some authorities ask for personal data (name, academic title, your position at your own university, date of birth, nationality, your contact information, institutional contact). Words in the title should be chosen with great care, and their association with one another must be carefully considered. While the title should be 4 | P a g e * smart for mean specific, measureable, achievable, reliable, time limited, feasible, observable and realistic. brief, it should be accurate, descriptive and comprehensive, clearly indicating the subject of the investigation.(11) The title represents the front page and should show in chronological order: names of institutions, departments, and title of the study, candidate name, qualifications and date, reasons for submission, supe iso s names and qualifications. Title: It should be informative, concise, and descriptive and reflects the different parts of the research. For example, the phrase, "An investigation of . ." could be omitted. Often titles are stated in terms of a functional relationship, because such titles clearly indicate the independent and dependent variables. However, if possi le, thi k of a i fo ati e ut at h title. A effe ti e title ot o l p i ks the eade s i te est, ut also predisposes him/her favorably towards the proposal. Also, the title should be in line with the general objective specific enough to tell the whole story.(6) Summary or Abstract: The summary or abstract is a brief account of the entire proposal, typically ranging from 150 to 250 words. It is different from a thesis statement in that the abstract summarizes the entire proposal, not just mentioning the stud s pu pose o h pothesis. The efo e, the a st a t should outli e the p oposal s ajo headi gs: the research question, theoretical framework, research design, sampling method, instrumentation, and data and analysis procedures.(2) A good summary-abstract accurately reflects the content of the proposal. Although, last to prepare but the first to see. Because, proposals for funding, approval and clearance might meet busy authorities so, a summary is needed. Not more than one page containing the essential information like the study objectives, design, population, sampling, study area and cost of the study. Introduction: In the real world of higher education, a research proposal is most often written by scholars seeking grant funding for a research project or it's the first step in getting approval to write a doctoral dissertation.(3) It provides background information for the research (i.e. the problem being addressed) and is typically structured from general information to narrow or focused ideas; whereupon your research question/s or hypotheses are presented.(14) The main purpose of the introduction is to provide the necessary background or context for the research problem. How to frame the research problem is perhaps the biggest problem in proposal writing. It typically begins with a statement and analysis of the problem followed by the information background, rational or justification for the proposed study.(4) The introduction starts logically from general to specific to hold the attention of the reader. Most of it is written from the references using the Vancouver citation style or as dictated by the sponsors. Should contain the following points:1. Definition, statement and analysis of the problem by the dependent and independent variables. 2. Background information about the problem globally and locally. 3. Expected outcome and utilization i.e. what the researcher expect to come out with and who will make use of the results of the study. 4. Rationale/ justification why this problem is studied i.e. importance of the problem. 5. Hypothesis and aim: hypothesis means wither the researcher want to generate or test a hypothesis and aim means broad statement of the objectives. Objectives: what the researcher wants to do? Objectives should be closely related to the statement of the problem. For example, if the problem identified is low utilization of child welfare clinics, the general objective of the study could be to identify the reasons for this 5 | P a g e * smart for mean specific, measureable, achievable, reliable, time limited, feasible, observable and realistic. low utilization, in order to find solutions.(13) The research objectives should be general and specific. The former is related to the problem i.e. dependent variable; the latter are related to the independent variables. Should be s a t fo the stud . Specific objectives should systematically address the various aspects of the problem as defi ed u de “tate e t of the P o le a d the ke fa to s that a e assu ed to i flue e o ause the problem. They should specify what you will do in your study, where and for what purpose. Also, the general o je ti e state e t should i lude Ws hat ou a t to do, he , he e a d h . A e a ple to la if this is shown in Box (2). Methodology: Or Methods & Materials The Methodology section is very important because it tells your Research Committee how you plan to tackle your research problem. It will provide your work plan and describe the activities necessary for the completion of your project.(5) A well-developed methodology section is crucial, particularly if you intend to conduct significant empirical research. Be sure to include specific techniques, not just your general approach.(15) Typically, it uses subheadings (i.e. Subjects, Instrumentation, Data Collection, Methods of Analysis etc.) and is written with a future aspect, e.g. the research will initially examine water treatment processes. After finishing setting your objectives; now you must decide exactly how you are going to achieve them. That is what new data you need in order to shed light on the problem you have selected and how you are going to collect and process this data. The questions shown in Figure (III) and Table (1) below cover the major issues that must be examined as you develop your research design. Box (2): For an example a study into the cost and quality of home-based care for HIV/AIDS patients and their communities in Zimbabwe, developed at a HSR workshop, had as its general objective:(13) General Objective: To explore to what extent community home-based care (CHBC) projects in Zimbabwe provide adequate, affordable and sustainable care of good quality to people with HIV/AIDS, and to identify ways in which these services can be improved. It was split up in the following specific objectives: 1. To identify the full range of economic, psychosocial, health/nursing care and other needs of patients and their families affected by AIDS. 2. To determine the extent to which formal and informal support systems address these needs from the viewpoint of service providers as well as patients. 3. To determine the economic costs of CHBC to the patient and family as well as to the formal CHBC programs. 4. To relate the calculated costs to the quality of care provided to the patient by the family and to the family/patient by the CHBC programme. 5. To determine how improved CHBC and informal support networks can contribute to the needs of persons with AIDS and other chronically and terminally ill patients. 6. To use the findings to make recommendations on the improvement of CHBC to home care providers, donors and other concerned organizations, including government. 6 | P a g e * smart for mean specific, measureable, achievable, reliable, time limited, feasible, observable and realistic. Table (1) Questions you should ask when designing methods & materials Ten Questions? Quantitative- Qualitative Selection of variables Study type & design Study area Study population Sampling Methods of collection Pre-testing Ethical consideration Data processing & analysis 1. What approach? 2. What data? 3. How to collect data? 4. Form where? 5. From whom? 6. How & how much? 7. What tools? 8. What validity? 9. Who is harmed? 10. What to do with data? The Work plan: A work plan is a schedule, chart or graph that summarizes the different components of a research project and how they will be implemented in a coherent way within a specific time-span. A work schedule is a table that summarizes the tasks to be performed in a research project, the duration of each activity and who is responsible for the different tasks. A Gantt chart is a planning tool that depicts graphically the order in which various tasks must be completed and the duration of each activity.(13) The first draft of the work plan should be prepared when the project proposal is being developed, so the schedule can be discussed easily with the relevant authorities. A more detailed work plan should be prepared after the pre-test in the study area. There should be no hesitation in revising work plans as necessary, based on a reassessment of what can be realistically accomplished in the coming months. Table (2) in the main text and Table (3) in Annex (II) illustrates the concept of a work plan in a Gantt chart and a schedule. Table (2) Example of a Gantt showing the tasks and time dimension 1 Time Task 2 3 4 5 6 7 8 9 1 0 1 1 1 2 1 3 1 4 1 5 1 6 1 7 1 8 1 9 2 0 2 1 2 2 2 3 2 4 Literature review Submission of proposal Design of a research plan Getting permissions & approvals Designing sample frame Design & testing questionnaire, Conducting pilot study Designing final questionnaire Editing of completed questionnaires, Analysis of data Report up of findings Meet with committee + submission of final report Presentation of final research product(s) 7 | P a g e * smart for mean specific, measureable, achievable, reliable, time limited, feasible, observable and realistic. Figure (III) Questions you should ask when designing methods & materials What new information do we need? What approach will we follow to Collect this information? What tools do we need to collect it? Where should we collect it? How many subjects do we include in the study and how do we select them? When and with whom will we collect the data? What will we do with the collected data? Selection of variables Selection of type of study Selection and development of data collection techniques Sampling Plan for data collection Plan for data processing and analysis (Module 13) Are we likely harming anyone as a result of the study? Ethical considerations How can we determine whether our methods for data collection are correct before implementing the study? Pre-testing the methodology (piloting) Note: The steps are interrelated. The process is usually cyclical in nature. After completing a step, you should review previous steps to ensure consistency in your proposal. The Budget: The budget request should be realistic for the project and reflect the goals of the project. It must also be consistent with the requirements of the project. It should request sufficient resources needed to carry out the project, not be excessively high. Should be complete, unambiguous and carefully review your budget to ensure that ineligible items do not appear in it. Most reviewers of projects look carefully at the proposed budgets to find evidence of careful reflection and realistic project planning.(16) It should how much the study costs for 8 | P a g e * smart for mean specific, measureable, achievable, reliable, time limited, feasible, observable and realistic. categories and Justification. The categories should show the total cost for each item. That is personnel, supplies, transport and; others preferably in a schedule. Justification means providing strong evidence that ensures against cutting the budget. It describes why the different items are needed as shown in the schedule. An example of this is shown in Annex II. 6) Why do we write the proposal? Why a good preparation is needed? A good preparation for a research proposal is necessary as: this is vital for grant application in a competitive environment because funding is very competitive. It assists the researcher in project formulation, planning, performance and monitoring of the research. The quality of the proposal contributes to the evaluation outcome and a poorly prepared proposal may not be considered at all or cannot be considered fairly.(5) Furthermore, it shows how the researcher thinks and presenting his ideas for review and criticism. 7) Annexes:  References List (Written in Vancouver Style or as the required by instructions)    Map of the area etc. List of abbreviations (if applicable) Data collection instruments e.g. the questionnaire if any, any tool or equipment Practical points  Before start writing think of your readers.  Stick to the instruction and guidelines of the institution, journal or funding agency.  When stating and analyzing your problem into dependent and independent put it in operational terms i.e. whether you want to describe, associate, compare or predict the relationship between the two.  State your objectives into operational term as general and specific. You should show in the general objective what you want to do using an action verb, where you want to do it, when and why you want to do it. The first W indicate your intension, the second the study area, the third during which time and the last one refers to the specific objectives.  In designing your methods and material address the 10 questions shown in Table (2)  In your work plan show the tasks to be performed; when and where the tasks will be performed; and who will perform the tasks and the time each person will spend on them. See Annex (II)  Your budget request should be realistic for the project and reflect the goals of the project. See Annex (III)  References List (Written in Vancouver Style or as the required by instructions) 9 | P a g e * smart for mean specific, measureable, achievable, reliable, time limited, feasible, observable and realistic. 8) Annexes Annex (I) Refrences 1) Andrew J. Friedland and Carol L. Folt. Writing Successful Science Proposals [Internet]. SECOND EDI. New Haven & London: Yale University Press; 2009. 222 p. Available from: https://www.amazon.com/WritingSuccessful-Science-Proposals-Second/...%0A 2) University DB. How to Write a Research Proposal [Internet]. 2009. Available from: www.dbu.edu/uwc/documents/HowtoWriteaProposalTemplate.pdf 3) U i e sit of “outhe Califo ia. O ga izi g You “o ial “ ie es ‘esea h Pape : W iti g a ‘esea h Proposal [Internet]. 2017. Available from: www.usc.edu/writingguide/researchproposal 4) Sidik SM. How to Write a Research Proposal Articles. Fam Physician [Internet]. 2006;13(3):4–7. Available from: https://www.researchgate.net/profile/Sherina_Mohd_Sidik/publication 5) C a le G, O “ulli a E. Ho to W ite a ‘esea h P oposal a d “u eed. 2007; Fe ua . A aila le from: http://www.worldscientific.com/doi/pdf/10.1142/9781783267606_fmatter 6) Wong PTP. How to Write a Research Proposal [Internet]. 2002. Available from: http://www.drpaulwong.com/how-to-write-a-research-proposal/ 7) Utah Valle U i e sit : W iti g Ce te . ‘esea h P oposal Fo ats [I ternet]. 2017. Available from: www.uvu.edu/writingcenter 8) Reilly L. How to Write a Research Proposal [Internet]. 2009. Available from: www.uwa.edu.au 9) Paul T. P. Wong. How to Write a Research Proposal. Available from: http://www.drpaulwong.com/howto-write-a-research-proposal/ 10) Parts WT, Sections H, Community WT. Wiki How to Write a Research Proposal. :3–5. Available from: www.wikihow.com/Write-a-Research-Proposal 11) Shapek R. Writing assignment series How to write a research proposal [Internet]. 2011. Available from: www.studygs.net/proposal.htm 12) Marja J. Verhoef RJH. Writing an Effective Research Statement [Internet]. Report. Calgary, Alberta, Canada; 2008. Available from: www.ais.up.ac.za/health/blocks/block2/researchproposal.pdf 13) Brownlee A, Publishers KIT. Designing and Conducting Health Systems Research Projects Designing and Co du ti g Health “ ste s ‘esea h P oje ts Volu e I : P oposal De elop e t a d Field o k [Internet]. Vol. I. 2003. 1-352 p. Available from: www.archives.who.int/prduc2004/Resource_Mats/ 14) The University of Melbourne. Writing a Research Proposal [Internet]. 2015. Available from: www.services.unimelb.edu.au/academicskills 15) FindAPhD.com. Writing a Good PhD Research Proposal [Internet]. Sheffield, S1 2NU, UK.; 2017. Available from: https://www.findaphd.com/advice/finding/writing-phd-research-proposal.aspx 16) National Science Foundation. A guide for proposal writing [Internet]. Arlington, Virginia; 2017. Available from: http://www.nsf.gov/pubs/2004/nsf04016/nsf04016.pdf 10 | P a g e * smart for mean specific, measureable, achievable, reliable, time limited, feasible, observable and realistic. Anennex (II) example of a work schedule Table (3) Factors associated with maternal mortality, Mongo district, Zambia(13) 11 | P a g e * smart for mean specific, measureable, achievable, reliable, time limited, feasible, observable and realistic. Anennex (III) example of a budget Table (4) Costs involved in fieldwork for a maternal mortality study Mongo district, Zambia (13) 12 | P a g e * smart for mean specific, measureable, achievable, reliable, time limited, feasible, observable and realistic.