CHAPTER THREE

THE RESEARCH PROPOSAL

Introduction

Research proposal is a written document of research plan meant to convince specific readers
whereas research design deals with choosing a specific holistic research design from among all
possible research designs to address the research topic. Hence, it can be claimed that a research
proposal presumes availability of the research design. A research proposal is usually required
when the research project is to be commissioned and the researcher is expected to compete
with other researchers to get research fund or else when the research project is a requirement
for partial fulfillment of an academic degree such as BSc, MSc or PhD. For example, a senior
essay research proposal is intended to convince your supervisor that your senior essay is a
worthwhile research project and that you have the competence and the work plan to complete it.

3.2 Types of research proposal

Research proposals can be generally classified into student, internal and external. Student research
proposals range between term paper and senior essay that are least complex to MSc thesis and
PhD dissertation that are most complex. The form and content of student research proposal
differs according to complexity of the student research. For instance, term papers are meant for
teaching students as to how to do research where as senior essay, thesis or dissertation are
supposed to develop students’ knowledge on a specialized field. Research proposals are internal
if they target an entity or organization and are prepared by individual or a team of researchers
who are part of the entity or organization. For instance, academic and administrative staff
research proposals of Wolaita Sodo University addressing efficiency and effectiveness of the
university are internal proposals. The organization or entity usually provide budget for large
scale internal research projects even though it is also not uncommon for the researcher to self-
sponsor small scale research projects.

Research proposals that are not either in the student or internal proposal categories are external
research proposals. External research proposals are either solicited or unsolicited. Solicited
research proposals are when the customer asks for a proposal. For instance, students that look for
masters scholarships abroad are expected to sell themselves by writing best research proposal

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according to the specific guidelines in the call for scholarship. In fact research proposal is
usually a mandatory requirement to get PhD scholarship. Likewise, large scale research projects
such as the NORAD of Norway, the IUC of Belgium, and the NUFU of the Netherlands call for
research proposals for funding. Hence research proposals that are addressed to NORAD, IUC,
NUFU etc funds are all solicited external proposals.

3.3 Sections of a research proposal

Section of a research proposal varies from one type of research proposal to the other. In addition,
for practical reasons many research funding agencies prefer their own research proposal format.
For instance, Mekelle University has its own research proposal guideline based on which staff
research proposals of the university are assessed.

The most common sections of a large scale research proposal are: the title, abstract, introduction,
literature review, importance/benefits of the study, data and method, method of data analysis,
qualification of the researcher, facilities and other resources, budget, time schedule, project
management, bibliography, and appendix. For a small scale research proposal, the most common
sections could be: the title, introduction, literature review, data and method, importance/benefits
of the study, cost and time budget, and bibliography.

3.3.1 Title

Title or topic of a research proposal tells what the research proposal is all about. It should be
catchy, concise and descriptive. Title selection presumes extensive literature review related to the
area of research interest. For example, the research topic on “Determinants of Private Investment
in Tigray Regional State” is good because it is concise and at the same time contains the three
basic elements of a topic: the thing that is going to be explained (or explanandum), the thing that
explains the explanandum (or explanan) and a geographical scope. The explanandum of the
aforementioned topic is private investment because your research is expected to draw
conclusions pertaining to private investment. The explanans are captured by the word
determinants. The actual factors that determine private investment are not stated in the topic
because it has to be very concise. Hence, the key word “determinants” is used. And finally, the
phrase “Tigray Regional State” puts a geographical delimitation of the proposed research.

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Therefore, whenever you design your topic it is better to think in terms of the most important
explanan and explanandum and delimitation of the proposed research.

3.3.2 Abstract

Abstract is a brief summary of approximately 300 words. It should include the research question,
the rationale for the study, the hypothesis (if any), the method, and expected value addition.
Abstract is usually done after you finish your research proposal. The basic purpose of an abstract
is to market the research idea especially when you require funding for the research project.
Funding organizations accept hundreds of research proposals from different corners of the world.
Similarly, senior essay supervisors at your university usually supervise a number of students.
Hence do not expect that the busy proposal reviewer will be reading the whole contents of your
research proposal instead she reads the abstract part.

Therefore, if you have done excellent research proposal but you carelessly have written the
abstract then your research proposal is going to be rejected. This implies that you need to
carefully and elegantly write the abstract of your research proposal. Example 3 is the abstract
section of a research proposal titled “Small and Micro Enterprises financing preference in
Tigray region: Does POH hold?” prepared by the author of this teaching material.

Example 3: Gebregziabher (2009b) This paper aims to investigate the determinants of financing
preferences of micro and small enterprises (MSEs) owners in Tigray regional state of Ethiopia in
light of the Pecking Order Hypothesis (POH). Structured questionnaires will be used to collect
data from 120 MSEs in six zonal towns of Tigray regional state. Logistic regression model will
be used to empirically test the literature-driven hypotheses.

The abstract in example 3 presents that purpose of the research will be explanation, method of
data collection will be survey, the researcher will have ex post control of variables, time
dimension of the research will be cross-sectional, the research will be carried on a field
environment, and the research will have breadth than depth (i.e. it will be quantitative research).
It is worthwhile to note that good abstract of a research proposal contains all dimensions of the
research design.

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3.3.3 Introduction

The introduction part summarizes the whole content of your research proposal in a logical way
that chains theoretical framework, problem statement, conceptual framework, hypothesis or
research question, and objective of the study. Theoretical framework is derived from the
scientific paradigm1 your research topic is preferably in. That is, a scientific paradigm helps you
design an “eye-glasses” for your thought based on which you would see the natural and social
worlds. Theoretical framework is the summarized form of your theoretical literature review. It
draws a boundary within which the research problem is stated. In general, it serves as a
background or context for your research problem and in particular, it serves the following
purposes; 1) it helps you to clearly see the most important concepts of your research, 2) it can
provide you with a general framework for data analysis, and 3) it is essential in preparing
research proposals that have descriptive or explanatory purpose. In exploratory researches little
is known about the research topic hence you may not have theoretical framework.

Statement of the problem part of your research proposal reflects the gap and justifies that the
issue is worth researching. The problem statement is usually general, encompassing all of the
most important concepts in the topic. Hence, statement of the problem has to be more focused
making use of conceptual framework - an operationalization of the theoretical framework.
Conceptual framework is the summarized form of your empirical literature review. It reflects
your own position on the problem and it guides you how to analyze your research problem.

The difference between theoretical and conceptual frameworks lies on the degree of abstraction
of the concepts among which interrelationships are to be created. The theoretical framework
creates interrelationship among higher level concepts or constructs thereby forming a set of
propositions and the conceptual framework creates interrelationship among lower level concepts
or variables thereby forming a set of hypotheses. The conceptual framework needs to be
summarized using hypothesis or research question. The relationship among theoretical
framework, statement of the problem, conceptual framework, and hypothesis or research
question is depicted in Figure 1.

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Once you optimally focus your research problem until a hypothesis or a research question it is
right time to write about objective of the study. A research problem may not be fully captured by
one hypothesis or one research question. In this case, your research proposal may have one
general objective and a set of specific objectives. The last paragraph of your introduction has to
summarize the problem you are addressing in your planned research, that is, sell your point to the
reader.

Figure 1: Structure of the introduction part

The Introduction part of a research proposal usually contains 300 to 500 words but the number
of words could be higher if your literature review is merged with the introduction part.

3.3.4 Literature Review

Literature review is a body of text that aims to review the critical points of current knowledge
about your research topic. A well-structured literature review is characterized by a logical flow
of ideas, current and relevant references with consistent and appropriate referencing style; proper
use of terminology, and an unbiased and comprehensive view of the previous research regarding
your research topic.

Theoretical and empirical literature reviews

Literature review can be broadly classified into theoretical and empirical literature review. The
theoretical literature review builds the detailed theoretical framework for

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your research that is an elaborated version of the one in the introduction part. This detailed
theoretical framework can be structured as: 1) present critical review of alternative theories that
can possibly help you as possible points of view to look at your research problem, 2) make
appropriate citation, 3) consult experts and add your informed reflections on the theories, 4)
illustrate your theoretical framework (i.e. interrelationships among constructs) using a diagram,
and 5) state the most important propositions that characterize your research problem. On the
other hand, you can build the detailed conceptual framework for your research proposal in the
literature review part the same way as that of detailed theoretical framework.

The literature review serves several important functions some of which are: 1) Ensures that you
are not “reinventing the wheel”, 2) Gives credits to those who have laid the groundwork for your
research, 3) Demonstrates your knowledge of the research problem, 4) Demonstrates your
understanding of the theoretical and research issues related to your research question, 5) Shows
your ability to critically evaluate relevant literature information, 6) Convinces your reader that
your proposed research will make a significant and substantial contribution to the literature (i.e.,
resolving an important theoretical issue or filling a major gap in the literature), 7) Indicates your
ability to integrate and synthesize the existing literature, and 8) Provides new theoretical insights
or develops a new model as the conceptual framework for your research.

Referencing Styles

The term ‘reference’ refers to those consulted materials that are actually cited in-text, that is,
when your research includes paraphrased empirical and theoretical quotations from published
papers of other writers. On the other hand, bibliography refers to all materials consulted
regardless of whether they are in-text referenced or not. There are two types of references: To
write reference bibliography, there are a number of referencing styles such as Harvard Style,
Chicago Style, American Psychological Association (APA) Style and etcetera. In this teaching
material we use American Psychological Association (APA) style of referencing because of its
predominant use in social sciences. However, you need to remember the fact that sometimes the
sponsor requires specific style of referencing.

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In-Text Citation using APA style

In-text citation in the APA style requires the author and the year method. Page numbers are
required for direct quotes. In-text citations rely on signal phrases that indicate the reader where
you got your information using such verbs as: stated, noted, found etc. You can also have in-text
citation without signal phrases using phrases such as: some authors explored, one study
concluded, one writer asserted etc. If you are summarizing or paraphrasing others’ work you
need to put it within quotation. For example, you may cite as follows: According to
Gebregziabher (2009b), self-initiated startup businesses follow the Pecking Order Hypothesis
(p.333). Alternatively, the same quotation can be re-written as; self-initiated startup businesses
follow the Pecking Order Hypothesis (Gebregziabher, 2009b, p.333).

There are two types of quotations these are short and long quotation. A direct quotation of less
than 40 words is called short quotation. For example, you may cite as follows: In his 2009 study,
Gebregziabher noted, “MSE owners that started their business based on self-initiation exhibit a
strong tendency to use internal sources before looking for external source of finance” (p.333).
Long quotation is direct quotation of more than 40 words. Long quotation can be cited as in the
second paragraph of Example 4 but page number has to be included at the end of the indented
paragraph.

In-text citation from a research paper of two authors should always include last names of both
authors. For example, you may cite as: Gemechu and Amare (2008, p.15) emphasized …. If the
in-text citation is from a research paper of three to five authors simply list name of the first
author and add the phrase “et.al.”. For example, you may cite as: Alemtsehay, et.al. (2004),
concluded ….

If the author is unknown, use the title of the work in the signal phrase or give the first word or
two of the title in the parenthetical citation. For example, you may cite as: one 2008 guide, “APA
In-Text Citation Guidelines” stated that an in-text citation should include author and year of
publication. Alternatively, this can be re-written without signal as follows: “In an APA style of
In-Text Citation author name and year of publication are written” (“APA In-Text Citation
Guidelines”, 2008).

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If the author is an organization or government agency, use the name of the organization in your
signal phrase or parenthetical citation. For example, you may cite as: according to

Mekelle University (2009), “BPR implementation resulted in improved research performance”.

Alternatively, this can be re-written without signal as follows: One study has shown that BPR
implementation resulted in improved research performance (Mekelle University, 2009). You can
also use an abbreviation in your in-text citation as follows: In its study, MU (2009) concluded
that BPR implementation resulted in improved research performance.

If your in-text citation involves citing memos, letters, emails, interviews etc you need to label the
type of communication and the exact date on which it occurred but you need not write it in your
reference list. For example, you may cite as follows: Meseret (Personal Interview, November 05,
2010) indicated that her study on class participation of students verified the importance of active
participation.

Example 5 is the literature review part of the research proposal on “Small and Micro Enterprises
financing preference in Tigray region: Does POH hold?” It illustrates the way hypothesis can be
formulated based upon prior researches. H1, H2, and H3 are hypothesis number 1, 2, and 3
respectively.

What is plagiarism?

Plagiarism is wrongful appropriation of others’ idea, thoughts, expression, close imitation etc as
if it were your own original work. However, this does not mean that you can not use research
papers of others’ in your research proposal. You can use others’ work but you must acknowledge
the source using an appropriate reference. Plagiarism is not only copying and pasting of a text
without reference but also presentation of others’ idea as once own. If you use your own
previous research work in your current research proposal without citation it is called self
plagiarism.

3.3.5 Data and Method

The introduction, literature review and importance of the study sections of your research
proposal communicate the “what” questions namely: what objective the research has and what
value will your research add to the sponsor. The data and method section of your research

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proposal answers the “how” questions since it provides your work plan and describes the
activities necessary for the completion of your project. The data and method part of your
research proposal has to include such subsections as: 1) study design, 2) data type and source, 3)
population and sample size, 4) model specification (if any), 5) data source and method of data
collection, 6) data collection instrument and procedure, 7) instrument validity and reliability, and
8) data analysis techniques and any computer program to be used.

The guiding principle for writing the method section is that it should contain sufficient
information for the reader to determine whether your methodology is sound. Some even argue
that a good proposal should contain sufficient details such that another qualified could be able to
replicate the research whenever necessary. Besides, you need to demonstrate your knowledge of
alternative methods and make the case that your approach is the most appropriate and most valid
way to address your research question.

It is worthwhile to note that your research question may be best answered by qualitative
research. However, since many reviewers are still biased against qualitative research, you may
need to justify your qualitative method. Furthermore, since there are no well established and
widely accepted canons in qualitative analysis, your method section needs to be more elaborate
than what is required for traditional quantitative research. More importantly, the data collection
process in qualitative research has a far greater impact on the results as compared to quantitative
research.

3.3.6 Method of data analysis

In small scale research proposals the method of data analysis is one part of the data and method
section of the research proposal. For large scale research proposals and PhD dissertation
however, it may be preferable to present the method of data analysis in a separate section.
Method of data analysis encompasses sub-sections of the research proposal starting from data
collection up to the nature and form of results. If a research proposal uses an operations research
or econometric model then the method of data analysis is relatively easy to write since standard
operations research and econometric models are available on software routines such as SPSS,
STATA, SAS, MATLAB and the like. Sometimes, the method of data analysis part of large scale
research proposals and PhD dissertations might have a plan to develop new software program for

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data analysis purposes or extend an existing software routine by writing programming codes. If a
research proposal adopts qualitative research, as it is in most case study researches, the method
of data analysis part has to be explicitly stated in light to the available literature. Some of the
qualitative methods of data analysis are: 1) analytic induction, 2) grounded theory, 3) domain
analysis, 4) logical analysis, 5) quasi statistics, 6) event analysis, and 7) content analysis.

3.3.7 Importance/Benefits of the study

This section allows you to write about why the research has to be done. Especially for large
scale commissioned research proposals the importance/benefits of the study section is considered
as justification to get fund. Hence, this section helps you to understand the research outcomes
your sponsor expects. Moreover, this section indicates how clearly you understood the research
problem. If you fail to correctly understand the research problem then you may face difficulties
in writing the importance/benefits of the study. The converse is also true. If you face difficulties
in writing the importance/benefits of the study then you failed to correctly understand the
research problem.

3.3.8 Qualification of the researcher

For internal and external research proposals and that of PhD proposal, the researcher’s
qualification section of a research proposal informs the sponsor about research capability of the
researcher. Large scale research proposals are usually prepared by a team of researchers in which
one of them is principal investigator. In student research proposals, the student is the principal
investigator. Content of the qualification of the researcher section has to refer to the relevant
areas of expertise and experience only. However, Curriculum Vitae (CV) of the researchers can
be attached as an appendix if the Request for Proposal (RFP) requires it.

3.3.9 Facilities and other resources

Types of facilities and special resources required to undertake the research project depends on
the research design. For instance, if a research design uses a quantitative research design with
survey method of data collection then the researcher needs at least transportation facility to reach
the research subjects. Whereas, if the research design uses simulation instead of field research
then the researcher needs computer and simulation software programs. If the research design

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uses observation method of data collection instead of survey, then facilities such as conference
halls and special equipments such as recording tapes might be required.

Internet facility is a very important resource for researchers because millions of published
research papers are available on different journal databases such as J-store
(http://www.jstor.org), Science Direct (http://www.sciencedirect.com), Emerald
(http://www.emeraldinsight.com), and the like. Further, researchers use the internet to look for
research funds.

Sometimes, research projects are also supported by stakeholders other than the sponsor. For
example, if a research project targets auditing practice in Tigray regional state then audit bureau
of the regional state could provide assistance in terms of facilities and human resource. These
types of institutional collaboration have to be taken into account in the research proposal.

3.3.10 Budget

For large scale research proposals, the budget section of a proposal should be presented in
accordance to the budget format provided by the sponsor. For example, the first grant application
form of International Foundation for Science (IFS) that can be downloaded from
http://www.ifs.se includes a budget format composed of: 1) Equipment, 2) Expendable supplies,
3) literature, documentation, and information, 4) local travel, 5) extra manpower, and 6) other
costs. Detailed presentation of the budget section of a research proposal could help you to ex
ante manage possible budget constraint.

3.3.11 Time Schedule

A research project has a beginning and an ending time. During this project period, the research
requires both material and human resource deployment. Preferably a research project has to be
modularized into major milestones. For example, a pilot study can be the first milestone that
could help you to complete your research proposal. Completion of a research proposal can be
taken as the second milestone. You might want to test your questionnaire so as to revise it before
it is administered. Hence, questionnaire testing is the third milestone. In general, a research
process may be classified into component milestones and each milestone may have specific
activities. Time duration has to be assigned to each of the activities.

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3.3.12 Project management

Large scale research projects such as PhD dissertation take 3 to 4 years. Hence, the project
demands better organization of material and human resources. You can use the logical
framework tool of project management. The logical framework (logframe) approach to project
management top-down integrates the project goal or impact with project purpose, intermediate
objectives, outputs, and activities of the project.

Goal or impact of the research project along with its indicators and means of verification has to
be defined in measurable terms. Purpose or outcomes of the research project have to be
formulated along with: their indicators, means of verification, and important assumptions. The
researcher has to formulate intermediate objectives that are necessary to achieve the purpose or
outcomes. Each intermediate objective shall have its own indicators, means of verification, and
important assumptions.

Each intermediate objective has a number of outputs that in turn are made up of many activities.
If each activity is assigned budget variable and fixed costs then each output can have total budget
figure. Estimated budget of each intermediate objective will be the sum of output budgets under
it. Similarly, the total project budget will be the sum of estimated budgets of each project
purpose or outcome. The activity or task scheduling, calculation of critical path, and generation
of different types of project reports can be managed using project management software such as
MS Project 2007.

3.3.13 Bibliography

Your bibliography might include Books, Journal Articles, Magazines and Newspapers, and
sometimes other media such as Television and Radio depending on the nature of data your
research demands. Bear in mind that Books and Text-Books are different. Usually, Text-Books
are not preferred sources of literature for your research because they are “tertiary” sources of
data. In other words, Text-Books are neither primary nor secondary sources of data collection.

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APA Style of referencing Books

A book is referenced by writing name of the authors, year of publication in bracket, title of the
book (in italics), edition, publisher, and place of publication respectively. For example: Gitman,
L. (2003). Managerial Finance. Dryden Press, Hinsdale Illinois. If the book has no author then
you need information regarding title of the book, city where the book was published, and
publisher. Oxford Dictionary, (2nd ed.), (1991). Oxford University Press, USA. Similarly, citation
of an online book, journal, or any other online material for that matter has to include the date it
was viewed. For instance: Trochim, W.M. (2004). The research methods knowledge base, 2 nd ed.
Retrieved November 14, 2009, fromhttp://www.socialresearchmethods.met/kb/index.htm.

APA Style of referencing Journal Articles

A journal article can be referenced by writing name of the authors, year of publication, ‘title of
article’ (in single quotation marks), title of the journal (in italics), volume number, issue number,
and page numbers. For example: Gebregziabher (2009b). ‘Financing preferences of micro and
small enterprise owners in Tigray: does POH hold?’Journal of Small Business and Enterprise
Development, 16 (2), 322-334. If a journal article has no author then it can be cited as follows:
‘Building human resources instead of landfills’ 2000. Biocycle, 41 (12), 28–9.

APA Style of referencing Magazines and Newspapers

Magazine and newspaper articles can be used to support an empirical fact. Magazine articles are
cited similar to that of journal articles except that the date of publication should be written. For
example: Kluger, J. (2008, January 28). Why we love. Time, 171(4), 54-60. Newspaper article
can be cited as: Tesfaye, K. (2010, September 10).

Unchanged Trade Flows May Nullify Impact of Devaluation. Addis Fortune, 11 (541). Retrieved
from http://www.addisfortune.com/economic_commentary.htm. Similarly, articles from web 2.0
services such as wikipedia can also be cited as: Research Funding. (2010, August 27). In
Wikipedia, the free encyclopedia. Retrieved, September 16, 2010, from
http://en.wikipedia.org/wiki/Research_funding.

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APA Style of referencing Audio-Visual Media

Sometimes, audio-visual media can also be referenced. Audio-visual references shall include the
following: name and function of the primary contributors (e.g., producer, director), date, title, the
medium in brackets, location or place of production, and name of the distributor. For example:
Anderson, R., & Morgan, C. (producers). (2008, June 20). 60 Minutes [Television broadcast].
Washington, DC: CBS News.

3.3.14 Appendix

The data collection apparatus such as the questionnaire and curriculum vitae of the researchers
and other very important documents are attached as an appendix to the research proposal. For a
material to be attached as an appendix it should be very important to the research proposal.

3.4 Sources of research funding

Sources of research funding can be broadly classified into two as: government and corporate.
Government research funds are common in developed countries. Most of these countries spend
1.5 % to 3% of their GDP on research (“Research Funding”, 2010). Governments give research
grants mainly to universities and research institutes. Most university researches aim at
publication whereas industry researches focus on commercialization. The universities and
research institutes usually invite researchers and prospective Masters and PhD students in the
form of call for research grants and scholarships.

Some of the government sponsored student research grants targeting African students are:

a) For Undergraduate Thesis Award: http://globetrotter.berkeley.edu/RADW/index.html

b) For Masters Thesis Award: http://www.ascleiden.nl/Research/Award/
c) For different types of research grants: http://www.ifs.se/

In order to prepare a research proposal for funding it is advisable to refer web sites such as:
http://www.learnerassociates.net/proposal/.

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3.5 Evaluating the research proposal

To recall your memory, we defined a research proposal as a written document of research plan
that is meant to convince specific readers. Hence, every research proposal is subject to
evaluation. On top of this, most research grants are very competitive. That is, you research
proposal has to compete with other research proposals in order to get fund. In this teaching
material, we shall give emphasis to the evaluation of undergraduate senior essay research
proposal.