UNIT FOUR

Preparing Research Proposal

A research proposal is a document that outlines a plan for a research project. a research proposal
is a blueprint for a research project, detailing what you intend to study, why it is important, and
how you will conduct the research. The research proposal is an important first step in the
research process. The proposal is a description of what the researcher plans to undertake and
why, as well as how the researcher plans to carry out the research project. As such, it serves as a
guide that keeps the researcher focused on the tasks that need to be done. It also provides the
research sponsor with a rationale for investing in the effort. The purpose of the final report, on
the other hand, is to explain what the researcher concluded from his or her analysis. Because it
serves as a guide or checklist, preparing a good research proposal in advance makes writing the
final report much easier.

Research proposal is the detailed plan of study. The intent of the written research proposal is to
present a focused and scholarly presentation of a research problem and plan. The objective in
writing a proposal is to describe what you will do, why it should be done, how you will do it and
what you expect will result. Being clear about these things from the beginning will help you
complete your research in a timely fashion. A vague, weak or fuzzy proposal can lead to a long,
painful, and often unsuccessful research writing exercise.

Although the proposal is a critical component of the total research process, it has too often been
ignored or simply left to the researcher to discover how it should be done. Or it is treated as
something that everyone intuitively knows how to write. Nothing could be further from the truth,
however. Poorly written proposals have been identified as one of the major causes of failure to
receive committee approval or, more importantly, failure to receive funding for the proposed
study (Wasby 2002).

A well-thought out and well-written proposal can be judged according to three main criteria.

 Is it adequate to answer the research question(s), and achieve the study objective?
 Is it feasible in the particular set-up for the study?
 Does it provide enough detail that can allow another investigator to do the study and
arrive at comparable results?

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 Components of a Research Proposal

Although there are slight differences among different disciplines, the essential/basic components
of a research proposal are similar. Different academic institutions (HLIs) may have their own
postgraduate manuals (guidelines) that depict the basic components and procedures that
postgraduate students needs to adhere to them while developing their proposals and writing
research reports. Components that appear to be common to many of these suggested guides
include;

(1) Title page

(2) An executive summary or abstract;

(3) An introduction, which includes background of the study, statement of the problem, research
Questions/Hypothesis, research objectives (General and Specific), significance of the study,
delimitations of the study, operational definition of key terms

(4) a review of the relevant literature;

(4) Research Methodology or Materials and Methods, including a plan for data analysis and
limitations; and work plan, budget breakdown.

(5) Reference, appendices, which may include a timeline, a budget, and copies of proposed
research instruments, discussion guides, and results of pilot studies, if any.

1. Title page; Definite and precise and should state your topic exactly with few words. Write
Names (your name, department/ faculty/college, the name of your advisor(s) and date of

submission, etc). All words in the title should be chosen with great care, and association with

one another must be carefully managed.

• The title page identifies the proposal and provides the endorsement of appropriate body
(advisor).
• A good title is defined as the fewest possible words that adequately describe the contents
of the study.
• Title is a label: it is not a sentence (Not > 15 words)
• Titles should almost never contain abbreviations.

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 • The title page has no page number and it is not counted in any page numbering.
1. The Abstract or Executive Summary
Although quite different in form, these two early elements serve very similar purposes. Both
elements are designed to be brief summaries of the material included in the full proposal. Both
should be written with the reader foremost in mind. That is, they are written in such a way that
the reader will be able to get a moderately complete overview of what the proposal is about. In
length, abstracts range from a low of about 100 words to a high of 300, with most closer to 200
words. An executive summary, which may be written in Italics, should not exceed one full page.
Both the abstract and the executive summary should outline the proposed research project and
present a brief statement of the research objectives and the methods proposed for accomplishing
them.
It is a one page concise summary of the proposal. It must elucidate readers why a particular topic
is important to address and how you will do it. Should show how your study is related to what is
already known about the topic and what new contribution your work will make.
Specify the question that your research will answer, establish why it is a significant question;
show how you are going to answer the question.

2. Introductory Part of the Research Proposal

Introduction highlights readers with the background information for the research proposal. Its
purpose is to establish a framework for the research, so that readers can understand how it is
related to other research. Include a hook at the beginning of the introduction. This is a statement
of something sufficiently interesting to motivate the reader to read the rest of the proposal, it is
an important/interesting scientific problem that your study either solves or addresses.

The purpose of the introduction is to provide the reader with enough background and content to
clearly understand what the research project is about. The introduction may include several or all
of the following elements:

 A statement of the research problem;

 A rationale for the proposed study that clearly indicates why it is worth doing;
 A brief description of the major issues and (known) problems to be addressed by the
research;

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  If a quantitative study, a statement of the hypotheses; if a qualitative study, a statement
of theory, if any. Note: these are not the statistical null and alternative hypotheses;
 Limitations you expect and definitions of key concepts;
 Sometimes, a review of the literature on the topic, although this is more often a separate
In the introductory section of the proposal include;
Comprises (some or all):
 Background of the study
 Statement of the problem
 Objectives/Purpose
 Research Questions
 Significance
 Delimitations/Scope
 Operational definition
 Organization of the study

In the Background of the study

It is the overall overview of the study from general to specific.

1) Summarize:
 What questions have researchers in this area been interested in?
 What methodologies have the researchers used?
 What are the key findings?

2) Criticize:
 What are some limitations or weaknesses of the research?
 How do these affect the conclusions that can be drawn from the study?

3). Synthesize:

 What are the main ideas and conceptual distinctions currently made in this research area?
 What are some "open questions" or unresolved debates?
 What are some potential ways these questions might be addressed in future studies?

Statement of the Problem

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The statement of the research problem is usually the chief component of this section. In much
academic research, the problem is derived from the literature; that is, researchers determine what
to study from what they read that others have proposed. Often, beginning academic researchers
are advised to follow this same path: study the journals of a discipline, pick a recognized
investigator or investigators, and then focus on research that closes identified gaps in the
published research. However, in fields of inquiry such as political science, research tends to be
more applied than theoretical. Thus, research problems often emerge from problems encountered
in the day-to-day operations of existing organizations, or they arise with proposed modifications
to existing organizational processes.

Once the general topic or problem has been identified, this should then be stated as a clear
research problem, which is, taken from just a statement about a problematic situation to a clearly
defined researchable problem that identifies the issues you are trying to address. It is not always
easy to formulate the research problem simply and clearly. In some areas of scientific research
the investigator might spend years exploring, thinking, and researching before they are clear
about what research questions they are seeking to answer. Many topics may prove too wide-
ranging to provide a researchable problem. Choosing to study, for instance a Public health issue
such as maternal mortality ratio, does not in itself provide a researchable problem at particular
district level. The problem is too wide-ranging for one researcher to address because it required
large denominator. Therefore it will be time and other resources unfeasible and the results from
such a study would consequently lack depth and focus.

An adequate statement of the research problem is one of the most important parts of the research.
Different researchers are likely to generate a variety of researchable problems from the same
situation since there are many research issues that can arise out of a general problem situation.
Your research will be able to pursue only one in depth. For a problem statement to be effective in
the planning of applied research it should have the following characteristics.

1. The problem reflects felt needs

2. The problem is non-hypothetical, i.e. it must be based on factual evidence

3. It should suggest meaningful and testable hypotheses – to avoid answers that are of little or no
use to the alleviation of the problem

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4. The problems should be relevant and manageable Formulating the research problem allows
you to make clear, both to yourself and the reader, what the purpose of your research is.
Subsequent elaboration of method should be oriented to providing information to address that
problem. The problem statement is therefore a very important device for keeping you on track
with your research. It is also one means by which your research will be evaluated – does the
research address the problem as stated.

 It consists of the question/problem you are trying to answer. Proposals are usually written
as a reaction/ response to problems. A problem could be defined as the issue that exists in
the literature, theory, or practice that leads to a need for the study. The problem
statement describes the context for the study and it also identifies the general analysis
approach.
 It is important in a proposal that the problem stand out that the reader can easily
recognize it.
 Effective problem statements answer the question “Why does this research need to be
conducted.”
 This question must be clearly answered before proceeding to the next step of the research
proposal
 It [SP] focuses on research lacunae/gap to be filled.
 A well-articulated statement of the problem forms the base for everything to follow in the
proposal and will render less problematic most of the conceptual, rhetorical and
methodological obstacles typically encountered during the process of proposal
development.

Objectives

Another important element in the Introduction section is a definitive statement of the study’s
objectives. Study objectives usually begin with a statement of the problem, a discussion of the
need for the project and the questions that the study is designed to answer, and the activities that
will take place. The objective (or goal) is a statement of what you expect to determine from the
findings. For example, in a research project to determine why a selected minority group exhibits
disproportionately low citizen participation in municipal planning sessions, a study objective

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might be to identify what causal factors influence the group’s involvement. The rationale for the
researcher might be a need to create activities and programs designed to elicit greater group
participation.

• The objectives of a research delineate the ends or aim which the inquirer seeks to bring
about as a result of completing the research undertaken.

• An objective may be thought of as either a solution to a problem or a step along the way
toward achieving a solution; an end state to be achieved in relation to the problem.

• The objectives of a research project summarize what is to be achieved by the study.

The Objectives should be;

• simple (not complex),

• specific (not vague),

• stated in advance (not after the research is done), and

• Stated using “action verbs” that are specific enough to be measured.

The objectives should start with words such as

• ‘to determine, to find out, to ascertain, to measure, to explore, to describe, to assess,

to investigate, to identify, to examine’ etc

• The wording of objectives determines the type of research (such as descriptive, co-
relational, experimental…) and the type of research design you need to adopt to achieve
them.

Commonly, research objectives are classified into general objectives and specific objectives.

• General objective

• What exactly will be studied?

• General statements specifying the desired outcomes of the proposed project

• • Specific objectives

• It identifies in greater detail the specific aims of the research project, often breaking
down what is to be accomplished into smaller logical components

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 • Should systematically address the various aspects of the problem as defined under
‘Statement of the Problem’ and the key factors that are assumed to influence or cause the
problem.

Research Questions/Hypothesis

• Either of them is used, but not both at the same time mostly.

• Research questions (interrogative form) are the alternative forms of research questions
(Affirmative form).

• A hypothesis is a tentative answer to a research problem that is advanced so that it can be

tested. It is appropriate to use a hypothesis when you are testing a theory. Developing
hypotheses requires that you identify one character, variable of a sampling unit that
causes, affects, or has an influence on, another character, variable of the same or other
sampling units. The character, variable that affects other variables or sampling units is
called the independent variable. The character, variable which is affected by the
independent variable is called the dependent variable or response variable.

Operational Definitions of Key Terms

• Here, you will give the working definition (s)/meaning (s) of the important/key terms
used in the proposal you develop.

• It should not, necessarily, be dictionary definitions/meanings of the terms/words

• Citations are not used unless otherwise it is mandatory.

Significance of the Study

It makes the purpose worth pursuing. The significance of the study answers the questions:

- Why is your study important?

- To whom is it important?

- What benefit(s) will occur if your study is done?

- Examples

• We develop theory to explain how...

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 • Our most important contribution is...

• This study advances our understanding of...

To date, no systematic investigation has considered…

Scope/ delimitation of the study

 The "scope" section is where you list what you are doing. The "bounds" section is where
you set the boundaries and you list something explicitly that you are not doing because
they are outside the bounds of the project.

 Example scope: In this study we gathered statistics about high school students enrolled in
public and private high schools.

 Example bounds: We did not study students in alternative educational settings such as
gendered (female-only or male-only) programs.

Organization of the Study

It is all lists of components/ chapters of the study.

3. Review of Related Literature

Literature review is an important part of any research. It gives a foundation for the research by
enlightening the researcher about the process. You need to provide evidence that you are aware
of the current trends and issues in your area of interest and cognizant of the current state of
knowledge on the subject. A “review of the literature” is a classification and evaluation of what
accredited scholars and researchers have written on a topic.

A literature review is simply the researcher’s detailed summary and interpretation of the
published articles, books, and related materials that pertain to the issues that frame the research
problem. A thorough analysis and interpretation of the published literature tells the researcher
what has or has not been studied and said about the issues, as well as the methods used to study
them, and thereby provides clear signals about how to plan and conduct the proposed research
project. Demonstrating a direct link to previous research in your proposal is always a good idea.
A literature review serves a number of additional functions (Wong 2002):

1. It demonstrates your knowledge of the problem and its larger theoretical foundation.

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2. It demonstrates your ability to critically evaluate relevant literature.
3. It shows your knowledge of the issues surrounding the research problem.
4. It indicates your ability to integrate and synthesize information.
5. It provides new insights and new models for the framework of your research.
6. It helps you to avoid “reinventing the wheel.”
7. It gives credit to those who have previously studied the problem.
8. It helps convince readers that your research will make a significant contribution to the
problem area and discipline.

In other words, a literature review is an account of previously published materials by experts and
researchers in a particular area of interest. To show where your study fits into the broader
scheme of things; how it connects with the existing body of knowledge on the subject.

• To show how your own research is original and promises to contribute to that pool of
knowledge.

• To help you locate information that may be relevant to your own research.

• To increase and display your knowledge of the subject – to the examiners in particular –
and to convince them and your peers of the need, relevance and importance of your
research. RL involves mainly two important activities.

• The first activity is selection of available documents (both published and unpublished)
on the topic, which contain information, ideas, data and evidence.

• This selection is written from a particular standpoint to fulfill certain aims or express
certain views on the nature of the topic and how it is to be investigated.

• The second activity is effective evaluation of these documents in relation to the research
being proposed.

Evaluation of Material

 After locating the material (book, article in a journal, etc.) you should evaluate it
before you gather any information from it.
 An early assessment is useful because it will enable you to avoid false and blind
leads.

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Literature review as sources of information
Any research, no matter the scope of the research, requires reading about:
 What other people have done in the area of your interest,
 How they have done it,
 What are the gaps in the research in that area?

Any new generation of knowledge is based on previous and existing knowledge. To write about
your findings you need to have information either to support or refute your arguments. Ideally
this reading should form the basis for choosing your research methodology. Reading continues
and spills over into the stage of data collection and analysis. Some reading is naturally required
at the stage of interpretation of the qualitative or quantitative data to embed your research in its
settings. Moreover, every new article you read will have a cumulative effect on the existing body
of knowledge in your mind, pushing to you reinterprets or rethinks some of your previous
assumptions or ideas. But there is a limit to the changes you can make in your literature review.
The best way is to prepare a first draft and then polish it at the stage of data interpretation when
you will be reading your literature review again to present your analysis in a coherent manner
with cross-references related to your literature review

Some reasons for including a literature review in your research paper/thesis are:

 Essential preliminary task in order to acquaint yourself with the available body of knowledge in
your area of interest.

 Literature review is integral part of entire research process and makes valuable contribution to
every operational step. Reviewing literature can be time-consuming, daunting and frustrating, but
is also rewarding.

Procedures for reviewing the literature are 1. Search for existing literature in your area of
study; 2. Review the literature selected; 3. Develop a theoretical framework; 4. Develop a
conceptual framework.
Sources of literature review Search for existing literature: To effectively search for literature in
your field of enquiry, it is imperative that you have in mind at least some idea of broad subject
area and of the problem you wish to investigate, in order to set parameters for your search.
Articles in Journals
 Books  Internet  Research Reports

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 Government Documents  Abstracts  Reviews
 Unpublished Theses  Electronic Research Information Center/Social Sciences
Citation

 Index/Dissertation Abstracts Index Most of this material is now available on the Internet.
Libraries in established higher education institutions are another rich resource for locating the
required materials.

How to organize a literature review

• A. Introduction: define the topic, together with your reason for selecting the topic. You
could also point out overall trends, gaps, particular themes that emerge, etc.

• B. Body: this is where you discuss your sources. Here are some ways in which you could
organize your discussion:

– Chronologically: for example, if writers' views have tended to change over time.

– thematically: take particular themes in the literature;

– Methodologically: here, the focus is on the methods of the researcher, for

example, qualitative versus quantitative approaches.

• C. Conclusion: summarize the major contributions, evaluating the current position, and
pointing out flaws in methodology, gaps in the research, contradictions, and areas for
further study.

Theoretical and Conceptual Framework

A theoretical and conceptual framework is essential for guiding research by providing a

structured approach to understanding the phenomena being studied. Here’s a breakdown of each
component and how they contribute to research design. Both theoretical and conceptual
frameworks are critical for grounding your research in existing knowledge and guiding your
study's design and analysis. They help clarify the research focus, establish the relevance of your
study, and enhance the overall rigor of your research process.

Theoretical Framework: A theoretical framework is a set of concepts and theories that

underpin the research. It provides a lens through which the research problem is viewed and
interpreted. Purpose:

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 o To explain the relationships between variables.
o To establish a foundation for hypotheses or research questions.
o To guide data collection and analysis.
Its components:
o Key Theories: Identify the relevant theories that relate to your research topic. For
example, if studying social behavior, you might reference social learning theory.
o Variables: Define the independent, dependent, and control variables based on the
theories.
o Assumptions: State the assumptions underlying the chosen theories.
Conceptual Framework

Conceptual frameworks are sometimes called “research” or “theoretical” frameworks.

Conceptual frameworks take a broad view of the program itself in order to clarify the
relationship of its activities and its main goals to the context in which it operates. It is also a
useful tool for identifying and illustrating a wide variety of factors and relationships that may
affect program success. The design should show the interrelationships between all factors that
are relevant to achieving the program’s goals. These factors can be systems, organizations,
government or institutional policies, infrastructure, population characteristics, or other features
of the operational landscape that may help or hinder the program’s success.

Constructing a conceptual framework clarifies your assumptions about the causal relationships
between significant features of the program context, clarifying aspects that your planned
intervention may affect as well as other factors beyond your control. Identifying the variables
that factor into program performance, and organizing the explicit ways they interact with each
other sets the stage for outlining the objective results you can reasonably expect from your
program activities.
A conceptual framework is a visual or written representation of the key concepts and variables in
your study and their relationships. Their purposes are;
o To provide a clear and concise overview of the research focus.
o To illustrate how the theoretical framework applies to the specific research
context.
o To help in the design of the research methodology.

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Components:
o Concepts: Identify the main concepts relevant to your research.
o Relationships: Describe how these concepts are interconnected, often in the form
of a diagram or flowchart.
o Operational Definitions: Define how each concept will be measured or identified
in the study.

4. Research Methodology Chapter

The research design and methods section describes the design or procedures you plan to
follow in conducting your research. Methods might be surveys, interviews, library research,
lab work, fieldwork, analysis of historical documents, analysis of physical artifacts, and
many others. The underlying purpose of the methods section is to inform others how you
plan to approach your research project. It must contain enough information to convince the
reader that your methodology is sound and appropriate. It is core part of the research
process. Research methods refer to the systematic approaches used to gather, analyze, and
interpret information. They are essential for conducting research in various fields, including
social sciences, natural sciences, humanities, and more.
Include:

• Description of study area

• Description of study design, Approach, data source and type

• Description of study participants/population

• Determination of sample size

• Description of sampling methods/Techniques

• Description of methods and tools of data collection

• Description of the expected outcome and explanatory variables… (if any)

• Description of data quality assurance – piloting, validity and reliability

• Description of the tools and methods of data analysis

• Procedures of data collection

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5. Work Plan and Budget breakdown

Work plan is a schedule, chart or graph that summarizes the different components of a research
proposal and how they will be implemented in a coherent way within a specific time-span.

It may include:

 The tasks to be performed;

 When and where the tasks will be performed;
 Who will perform the tasks and the time each person will spend on them;
 It describes the plan of assessing the ongoing progress toward achieving the research
objectives;
 The plan specifies how each project activity is to be measured in terms of completion, the
time line for its completion;
 A good work time plan enables both the investigators and the advisors to monitor project
progress and provide timely feedback for research modification or adjustments.
Budget Breakdown
Budget items need to be explicitly stated
• Cost for every budget item should be quantitatively shown
• Their might be a need for budget justification of certain costs whose requirement is not
obvious
 Typically, a proposal budget reflects direct and indirect costs
 Direct costs: Personnel; supplies, equipment; travel; communication;
6. Referencing and citation
Referencing and citation are critical components of research reports, as they provide a way to
acknowledge the sources of information and ideas used in your work. Reference is the full details
of sources that used in research. Citation also acknowledging of the author and works that
researcher have used either by quoting or paraphrasing. Sources cited in your paper must appear
on a reference list. This page should meet the following guidelines:
• General Rule
• A reference list appears as a separate page at the end of your paper.
• Write out the last name and first initials for each author of a given work.

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 • Capitalize the first words of the title and subtitle of each source on the reference
list, as well as any proper names.
The items in the reference list are arranged alphabetically by the authors' surname. The details, or
elements, which are included in most citations, should be presented in this order:
For a journal paper give:
• The names of the authors,
• The year of publication,
• The title of the paper,
• The title of the journal,
• The volume number of the journal,
• The first and last page numbers of the paper.
Example: Gilpin, Robert and David, Held. (1988)."The Global Political Economy." American
Economic Research Journal, 18 (3), 242-360.
• For a book give:
– the author,
– the year of publication,
– the title, and the edition number if there is one,
– the name of the publisher,
– The page numbers for your reference.
• For an internet reference give:
– the author of the web page,
– the title of the item on the web page,
– the date the item was posted on the web page
– the date the item was accessed from the web page
– The complete and exact URL.
When the book is published by non-governmental agencies (agents): In the place of the name of
the author, the agent (organization) will be followed and others items follow.
Example: Title =Introduction to Mathematics
Author = Alemayehu Yismaw Year of Publication: 1990
Place of Publication: Addis Ababa, Publisher: AAU Edition No: 2nd

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NB: Please remember that in Ethiopian case, there is no need to reverse the name. Hence, the
above information of the book can be written in such a way as follows.
Alemayehu,Yismaw.(1990). Introduction to Mathematics (2nd ed). Addis Ababa: AAU.
When there is no date, you use (nd) = no date and it can be written as:
Alemayehu, Yismaw. (nd). Introduction to Mathematics. (2nd ed). Addis Ababa: AAU.

Reference List: This is a comprehensive alphabetic list of all sources cited in the report, usually
placed at the end. It provides full details about each source, allowing readers to find them easily.
Types of Citations
 Indented Format: When direct quotation is more than four lines (40 words), according to
APA style, we can use this format, the quotation is put independently of the text and we don't use
quotation marks.
Example: Kerlinger (1980) stated that quantitative research deals with….
In text Format: When we use in text format we use quotation marks ("") and incorporate the
statement in the text. If the number of lines is equal to or less than four (≤4), you need to use in
text format.
Example: Kerlinger (1980, p.40) stated that research is, "systematic, controlled, empirical, and
critical investigation of natural phenomena guided by theory and hypotheses about the presumed
relations among such phenomena."
Citation Styles
Different academic fields use various citation styles, and it’s essential to follow the appropriate
one for your discipline. Common styles include:
APA (American Psychological Association): Often used in social sciences.
MLA (Modern Language Association): Common in humanities.
Chicago: use a footnote citation style
Harvard: is an author date style of citation etc.
IEEE (Institute of Electrical and Electronics Engineers): Engineering and technical
fields
Importance of Referencing and Citation
Credibility: Proper citations lend credibility to your work by showing that you have engaged
with existing research.

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Avoiding Plagiarism: Citing sources helps to avoid plagiarism by giving credit to the original
authors of the ideas or information you use.
Reader Guidance: References allow readers to locate the original sources for further reading or
verification.

Paraphrasing

Paraphrasing is the art of rewriting information and ideas from your reading in your own words.
It is better to paraphrase rather than quote directly as explaining ideas in your own words shows
that you really understand the reading you have done. A paraphrase is when you write published
information and ideas in your own words without changing its original meaning. It is a legitimate
way to include the ideas of others, when appropriately referenced.
A paraphrase is usually about the same length as the original, as opposed to a summary which is
usually much shorter. It is important that the sentence structure and the vocabulary are different
from the original. A summary is a concise record of the main points of a text presented in your
own words. Unlike a paraphrase, which is generally of a similar length to the original text, a
summary is much shorter.
• Paraphrasing involves putting a passage from source material into your own words. A
paraphrase must also be attributed to the original source. Paraphrased material is usually
shorter than the original passage, taking a somewhat broader segment of the source and

condensing it slightly. Paraphrasing is a valuable skill because;

• It is better than quoting information from an undistinguished passage.

• It helps you control the temptation to quote too much.
• The mental process required for successful paraphrasing helps you to grasp the full
meaning of the original.
5 Steps to Effective Paraphrasing
1. Reread the original passage until you understand its full meaning.
2. Set the original aside, and write your paraphrase on a note card.
3. Check your version with the original to make sure that it accurately expresses all the essential
information in a new form.
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4. Use quotation marks to identify any unique term or phraseology you have borrowed exactly
from the source.
5. Record the source (including the page) on your note card so that you can credit it easily if you
decide to incorporate the material into your paper.

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