CHAPTER: THREE

RESEARCH PROPOSAL AND GUIDE TO PREPARE A PROPOSAL

The term "research proposal" is coined from two words, research and proposal. Research has
been defined in first chapter.

Proposal lexically means a course of, activity etc. proposed. Therefore, a research proposal can
be defined as a written document requesting both authorization and funds to undertake a specific
research project. It always includes a statement explaining the purpose of the study or a
definition of the problem. It systematically outlines the particular research methodology and
details the process that will be utilized at each stage of the research process

In research proposal:

 What information will be required?

 What research procedures will be implemented? Will be clearly specified so that

others may understand their exact implications.

4.1 Function of the research proposal

Research proposal may function at least in three ways, namely, as a means of communication, as
a plan and as a contract

i. Proposal as a means of communication serves to communicate the investigator’s research

plan to those who-give consultations and / or disburse fund. Proposal is the primary source on
which the graduate students’ thesis or dissertation committee must base the function of: review,
consultation and more importantly, approval for implementation of the research project

In general, the quality of assistance and the probability of financial support will all depend
directly on the clarity and justification of the proposal.

ii. Research proposal as plan helps the researcher to organize his idea in a systematic manner
and to look for strengths and flaws. A successful proposal sets out the plan in step-by-step detail.
That is, it provides an inventory of what must be done and which materials have to be collected
as a preliminary step.

Page 1 of 13
Generally, the acceptability of results is judged exclusively in terms of the adequacy of the
methods employed in recording, analyzing and interpreting the data in the planned study

iii. Proposal also functions as a contract. A completed proposal approved for execution and
signed by all members of the sponsoring committee, constitute a bond of agreement between the
researcher and that committee. An approved grant proposal results in a contract between the
investigator (and often the university) and funding sources.

Proposal for thesis and dissertation should be in final form prior to the collection of data. Once
document is approved in final form, neither the student nor the sponsoring faculty members
should be free to alter the fundamental terms of the contract by unilateral decision.

Importance of the research proposal

The research proposal has the following importance.

 It serves as a basis for determining the feasibility of the research project.
 It provides a systematic plan of procedure for the researcher to follow.
 It gives the research supervisor a basis for guiding the researcher while conducting
the study.
 It reduces the probability of costly mistake.
Preparation of a full-fledged proposal is not a one-time endeavor( tiret). But, is the result of
continuous modification and amendment through discussion with experts in the field.

4.2. General Format and Elements of Proposal

There is no a hard and a fast format in scientific research proposal writing. It varies from one
organization to anther and from one country to another. Some universities and funding agencies
make very specific demand for the format of proposals. Others provide general guidelines for
form and content. Though the format varies, the essence expressed in different proposal remains
the same.

The major components (elements) of a scientific research proposal

1. Abstract

2. Introduction (background and justification), Objective of the study

Page 2 of 13
 3. Literature review

4. Material and methods (methodology)

5. Work plan (time budget)

6. Cost budget

7. References

8. Appendix

Each of them can have their own separate section in research proposal. Some can be merged
some on the other hand can be split into separate section or into further subsections.

1. Title:

 The title should be as explicit as possible and transparent

 It should be clear and short

 It should capture and reflect the content of the proposal. It should enable the readers
to understand the concepts of the study

Try to get the title down to one line or two

2. Abstract:

Is summary, which reflects the whole content of the proposal (most of the time less than 300
words?)

Abstract should be concise, informative and should provide brief information about the whole
problem to be investigated

The abstract of a proposal should contain the following points

 Title or topic of the research

 Statement of the problem and objective

 Methodology of investigation

Page 3 of 13
  Expected result (tentative only if a researcher starts with a formulated hypothesis)

3. Introduction

This section in research proposal should give the general background of the study and the need
for undertaking the study. It reviews the previous work to reveal what is known of the subject.

Some question to be addressed in this part may include:

 What are current and previous studies that have been made on the issues to be studied?

 What is the present gap in knowledge and current trend?

 What makes worth studying?

 Why has the problem not been solved yet?

 What do we intend to fill the gap or solve the problem?

If the researcher finds this section to be very vast he can add (split this section) a section
(heading) called “rationale” and/or the problem statement.

1. The Rationale

The Rationale provides some of the reasons for doing the study and its importance. Citations
from past research may be relevant here; likewise recent political and economic events, previous
efforts to solve the problem that did not succeed can be mentioned. This section of the research
proposal can be merged with the above (introduction) section or in the objective part of the
proposal or in some cases where wider explanation and justification as to the rationale of the
proposed study is needed it can be shown in a separate section.

2. Objectives

In this section, the proposal can indicate what is expected to occur and why, suggest the variables
that determine a relationship, or provide an explanation for a phenomenon that has been
observed, which strengthens the proposal and research agenda.
Page 4 of 13
Generally this section should focus on the points

 What is to be achieved by the proposed investigation has to be stated plainly and

concisely

 Should be to the point and logically arranged

 Should be stated in a form which shows the relations between variables

 Must clearly state the target of the research activity, i.e., what kind of results are
expected or sought from conducting research.

3. Literature review

Literature review means locating literature in a variety of sources reading it carefully and
thoroughly organizing it into themes along with the line of investigation.

Objective of the literature review

 To establish a familiarity with a body of knowledge and establishes credibility: A review

tells a reader that he knows the research in an area and knows the major issue.
 To show the path of prior research and how a current project is linked to it: A review
outlines the direction of research on a question and shows the development of knowledge
A good review places a research project in a context and demonstrates its relevance by
making connections to a body of knowledge.
 To integrate and summarize what is known in the area. A review pulls together and
synthesizes different results. A good review points out areas where prior studies agree,
where they disagree, and major questions remain. It collects what is known up to a point
in time and indicates the direction for future research.
 To learn from others and stimulate new ideas. A review tells what others have found so
that a researcher can benefit from the efforts of others. A good review identifies blind
alleys and suggests hypotheses for replication. It divulges procedures, techniques, and
research design worth copying so that a researcher can better focus hypotheses and gain
new insights.
Types of reviewed literature can be

Page 5 of 13
  Theoretical works and review

 Methodological review

 Original findings and reviews of them

A. Theoretical Review
A theoretical review describes in a critical way the evolution of theories and the way they
are understood in different contexts. It draws on existing research literature to advance
theory in education research (APA, 2003). It primarily explains how a theory shapes
research and our understandings since research is carried out in the frame of exploring
theories. Founded on the literature new theoretical proposals can be assumed and
developed or existing theories can be analyzed, pointing out flaws or demonstrating the
superiority of one theory over another. Empirical information is presented only when it
affects theoretical issues.
B. Methodological Review

A methodological review describes employed research designs, methods and procedures in

educational research. It highlights strengths and weaknesses of methodological tools and
explores how methods constrain or open up opportunities for learning about educational
problems. The review focuses on new methodological approaches, modifications of existing
methods and discussions of quantitative and data analytic approaches.
It takes a researcher over year to complete an extensive professional summary review of all the
literature on a broad question. Reading or review for research could take place in three stages of
the research project. Theses include the following
1. At the beginning of the research: the objective here is
To check what other research has been done
To focus your idea, and
To explore the context for your project
2. During your research: with the objectives of
 keeping your interest and up to date with development
 helping you better understand the method you are using and the field you are
researching and,

Page 6 of 13
  serving as a source of data
3. After your research, with the objectives of
 seeing what impact you own work has had, and
 helping you develop ideas for further research project

It is not necessary to have a separate heading for the review of literature in a proposal. In many
respects it is more useful to show that such a review has been made by citing useful literature in
problem statement (introductory part), objective, methodology and where ever this information
has been helpful in developing the research proposal.

The researcher may decide to have a separate heading for review literature when he wants to
develop theoretical frameworks reviewed from different sources, detailed explanation and
extensive references of the research outcomes related to the proposed study.

7. Material and Methods (Methodology) or Data and Methodology

The methodologies are the core and the largest part of the scientific research proposal. The
methodologies are largely descriptive. This section is an essential prerequisite for validating the
results and hence acceptability of the proposal.

An accurate, clear and valid methodology is required so that peers can:

 replicate the experiments described in an experimental research

 modify them with the assurance that the modification is different from the original in
particular way

 apply them under different conditions

Methodology should give full details to show how the research activity is going to be carried out.
Since this section is the largest and the most important part of the research proposal, researchers
are advised to split it in to sub-sections. Such effort makes the proposal transparent and clear to
the readers as well as to the reviewing committee and therefore, minimizes the risk of being
rejected by a research committee (examiners board).

The suggested sub-sections can be:

Page 7 of 13
  Data (materials)

 Methodology (methods) used

7.1. Data (some authors prefer Materials)

In this subsection of the methodology, information required to attack the problem is explained.
Each variable or indicator identified by a researcher is explained and justified to show how it is
relevant to the current study. The source of the data, the site (location) of the study and time that
will be included (relevant time period) should also be specified. Detailed techniques of sampling,
data collection and method of analysis would be left to the next sub section. This is important
particularly when a researcher plans to collect primary data to test the basic hypothesis.

7.2. Methods (Methodology)

In this subsection the details of all technical matters will be explained, which includes,

Method of data collection: How the data are obtained from earlier specified sources? There are
different methods to collecting primary data. All available methods are expected to be considered
by a researcher and the best one is selected. The researcher explains and justifies how his
selection of a particular method is relevant and appropriate to his study.

Method of sampling: From which elements are the data collected? The researcher has to specify
the elements from which the desired information is collected and how these elements are
selected. There are different sampling techniques. The researcher is expected to consider all of
them and select the one, which is appropriate for the current study. Justification of his choice of
a particular sampling technique is relevant here. The sample size should also be specified with its
method of sample size determination.

Method of analysis: Once the information is collected how it will be processed and analyzed
should also be explained in this part. Particularly if the researcher uses mathematical models
like simple or multiple regression, time series or liner programming models, he has to show
their mathematical derivations and relations briefly to demonstrate their relevancy for the
current study.

Page 8 of 13
 Method of presenting the outcome: Sometimes it is worth to mention how the outcome of
the research will be presented to consumers (general public). This is important if the research
is not a part of a particular study program (like, master or doctoral study).

8. Budget of Time:

A timetable explaining how the researcher expects to carry out his project and when each of the
important phases will be completed is helpful to both the researcher and the reviewer. It is a plan
in terms of numbers of weeks or months and expected completion dates. Commonly researcher
presents it in a table form.

The length of time required for postgraduate study (Doctoral study) is determined by the budget
of the time presented by students. Thus, researcher should be realist in budgeting his time.

9. Cost budget

Most proposals put together with the expectation that funding will be necessary and an itemized
list of items needed to carry out the methodology is listed in some detail. Personal needs,
including the principal researcher’s time are included.

These are items like:

 Field expenses for data collection

 Pay for consultants where they are necessary

 Travel and all such items needed to be detailed

 A sum of money for contingencies

A carefully developed budget reflects the seriousness of the proposal and the degree to which it
is a realistic assessment of what is needed.

9. Reference (Bibliography/ Literature cited)

All works cited in the proposal are listed either alphabetically or numerically at the end of the
document usually under the heading of “References or Bibliography “

Page 9 of 13
Some conservative authors would like to make distinction between references and bibliography
as mentioned below.

 References: are lists of literature, which have been cited in the text of a document

 Bibliography: includes also items, which were not cited but are relevant to the
document.

There are several ways of making citation and recording references. The two main systems of
referring are:

A) Harvard System: This system uses author’s name, date, and page reference. This system is
used mainly by Anthropology, Social science and in life science research. Harvard system is
commonly used in business research.

B) Vancouver System: uses in-text number instead of an author, date, and page reference. The
same superscript or bracketed text number is given in the text each time the source is sited. It is
used in the applied science such as chemistry, physics and mathematics. Example:

“In an investigation conducted in large factories, Gibbs1 reported that absenteeism was higher on
the night shift than the day” Or

“In an investigation conducted in large factories, it has been reported that absenteeism on the
night shift was measured and found to be significantly higher…Gibbs1

Harvard System

Since this system is used in business research it is presented in some detail below.

 The reference list must include all published works referred to in the text.

 Each reference to a periodical publication must include, in order, the name(s) of the
author(s), the year of publication, the full title of the article, the publication in which it
appears, and the volume and inclusive page number

1
Gibbs, Jennifer M. (1993) ‘Absenteeism in SME’ s , International Small Business Journal, 13 (1),
pp. 13-26.

Page 10 of 13
  Reference to a book must give the author or authors’ name(s), the year, the title, the
edition, if other than the first; the publisher, the city of publication, and the number of the
volume (if two or more).

Example of some of the common types of literature citation as J. Hussey & R. Hussey (997) put
it presented here as follows

i.) Citation

Citation under the Harvard system:

In an investigation conducted in large factories, Gibbs (1993) reported that absenteeism was
higher on the night shift than the day

Citing more than one authors

A number of research studies have been conducted into the effect of the recession on small
business (Smith, 1984; Anderson, 1990; Jones, 1995)…

ii. Referring or listing the cited works

A) Reference for books

Davidson, Alan. B. (1994), the Pursuit of Business, London, Chapman & Halls

B) Reference for Journal article

Porter, Michael E. (1994), competitive advantage of nations, Harvard Business Review, 68(2),
pp. 73-83

C) Other reference

It is possible to cite quote or paraphrase unpublished work if they are relevant to the study.

Unpublished works are:

 Personal communication with experts (professionals).

 Unpublished data collected by other researchers

 Unpublished research works

Page 11 of 13
  Public speeches

 Conferences discussion and the like

The researcher should not put such an unpublished work in reference list unless it has been fully
approved and a date set for its publication.

Unpublished references are not usually found or catalogued in libraries. And such unpublished
reference should be placed in the body of the text, not in the reference list. Use parenthesis to
enclose the complete name of the author, the year (if available) and appropriate tattle, location,
or other information needed to establish the authenticity of the reference or help the reader locate
it.

E.g.,

“ ……………….” (David Lee, Cornell University, 1995 personal Communication)

It is also possible to use numbered footnote and will be referred to by using the number as a
superscript at the proper position.

9. Appendix (Annex)

It is not mandatory to have this section. If the researcher thinks that having this section will
increase the quality of the research proposal he is free to do so.

Information types provided in this section are those additional details, which are difficult to
accommodate within the standard headings

Stuffs to be included in appendix:

 Detail Questionnaires and interview schedules

 Detailed experimental design (in experimental research)

 Detailed statistical procedures

 Samples of research materials (chemical and some biological materials)

 Survey and other geographic maps

Page 12 of 13
Page 13 of 13