How to Write a Successful Doctoral Research Proposal: The Makerere Format

1. How to Write a Successful Doctoral Research Proposal: The Makerere Format By David Onen (Ph.D.) EASHESD, College of Education and External Studies Makerere University A Paper Presented on 12th June, 2014 at a Doctoral Colloquium at the College of Education & External Studies, Makerere University

2. Introduction… • Writing and submitting an acceptable research proposal is not easy. • At Makerere University, the time for producing a dissertation proposal is “frustrating” for many doctoral students! • But, a few students still write it in time: • How do those students write their proposals? • What do they write that others don’t? • What is a research proposal and how important is it in a study? • What are the elements of a proposal and what does he Makerere guideline say about proposal? Dr. D, Onpen

3. What is a Research Proposal? • The word ‘proposal’ literally means a suggestion put forward for consideration or discussion by others. • Applied loosely, a proposal is a suggestion to resolve an identified research problem. • Technically, a proposal is a written presentation of an intended research specifying the problem, the purpose, scope/objectives, methodology, references and the financial plan/budget (Mak. 2011; Amin, 2003). • It is an overview of the intended research describing the proposed project: its design, financial requirements and its potential contribution to the existing body of knowledge (Oso & Onen, 2009). Dr. D, Onen

4. Role of a Research Proposal • Most researchers do not understand the value of research proposals. • Yet, one’s research is only as good as his/her proposal. • Wong (2002) points out that a research proposal is used to: • Convince other people and the supervisor that the researcher has a worthwhile project to study. • Demonstrate expertise in a particular area of study . • Demonstrate one’s competency in his/her area of study. • To produce a roadmap that the student will follow during his/her dissertation project; • Help in making admissions or progression decisions on the candidate. Dr. D, Onen

5. Types of proposals • Broadly, research proposals can be categorized into: quantitative and qualitative proposals. • A quantitative proposal describes an inquiry informed by the philosophy of logical positivism and one that seeks to understand the world in quantitative and numerical terms. • While, a qualitative proposal is one which describes any inquiry that seeks to understand the world within the total context of what creates meaning out of people’s lived experiences (Amin, 2005). • The writing of quantitative and qualitative proposals differs. • Amin (2005) asserts that quantitative studies are theory-based. Meanwhile, qualitative proposals describe inquires which may not be grounded in any theory. Dr. D, Onen

6. Fig. 1: Structure of a Research Proposal Dr. D, Onen

7. Title • A research title is written on the first page, which is not paginated. • A title is a statement or phrase describing the topic of the study. • A good title should not exceed 20 words (Makerere University, 2011) • The Makerere format requires the following features on the title page: • University Name & Logo. NB: This is usually ignored at CEES. • The Study Title. • Name of the student in order of First, Middle to Last Name.. • Purpose of the Write-up or publication. • Date of Publication. NDr. D, Onen

8. UNIVERSITY LOGO • RESEARCH TOPIC • BY-LINE • AUTHOR(S) NAME(S) • PREVIOUS QUALIFICATIONS • A PROPOSAL SUBMITTED TO … IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE/DIPLOMA OF (---NAME OF THE DEGREE/DIPLOMA---) IN (---AREA OF SPECIALIZATION---) • DATE OF SUBMISSION MAKERERE UNIVERSITY EFFECT OF REMUNERATION ON MOTIVATION OF DIPLOMA TEACHERS IN PRIMARY SCHOOLS IN UGANDA DAVID MUSOKE BEd; MEd (Mak) A PROPOSAL SUBMITTED TO THE DIRECTORATE OF RESEARCH AND GRADUATE TRAINING IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE AWARD OF THE DEGREE OF PHILOSOPHY IN EDUCATION OF MAKERERE UNIVERSITY JANUARY 2014 Fig. 2: General Outlook of the Title Page Dr. D, Onen

9. Declaration • In this section, the student ‘swears’ that this work is his/hers and as far as he/she knows, the work has never been submitted for any academic award anywhere else. • Usually, the statement goes like this: • “I declare that this proposal titled “….”.is my original work and to the best of my knowledge, it has never been submitted to any university or institution for any academic award whatsoever.” • Below this statement, the student puts his/her name, signature and the date when this ‘vow’ is made. • It is aimed at discouraging plagiarism in academia. Dr. D, Onen

10. Approval • This section contains a declaration by the supervisor(s) that he/she has supervised the writing of the Proposal and recommends it for submission. • Usually it goes with a statement like: • This proposal titled “…” has been submitted with my (or our) approval as the University’s Supervisor (s). • Names of the supervisor (s) should be put below this declaration and the space where he/she can append his/her signature and the date when this approval is made. Dr. D, Onen

11. Tableof Contents • This is a list of headings and sub-headings and their corresponding page numbers. • This is important in guiding the reader where contents of particular sub-headings are placed in the book. • The table of contents must be written according to an approved format. • The researcher should note particularly the indentation of the sub-titles under each major title. • The wordings of sub-titles in the table of contents must match the sub-headings contained in the text. • It is better to generate the Table of Contents automatically. Dr. D, Onen

12. Listof Tables • This shows the list of tables in the Proposal and their corresponding pages. • The titles of the tables must be clear and descriptive. • They should be progressively and consistently numbered throughout the Proposal. Dr. D, Onen

13. List ofFigures • This shows caption of illustrations used in the Proposal and their corresponding pages. • The same conditions as for list of tables described above should apply. Dr. D, Onen

14. List of Abbreviations (or Acronyms) • In this section, the researcher presents the list of abbreviations or acronyms as used in the proposal. • The title of the section should indicate so. • This may include list of symbols and scientific terms that are used in the text. • NOTE: • Pagination of all the preliminary pages up to this point should be in Lowercase Roman Numerals. Dr. D, Onen

15. THE TEXT - CHAPTER ONE • The Chapter titled is INTRODUCTION • Other Sub-titles in the Introduction Include: • Introduction • Background to the Study • Statement of the Problem • Purpose of the study • Specific Objectives • Research Questions/Hypotheses • Scope of Study • Significance of the Study • Justification of the Study • The Conceptual Framework (Debatable) Dr. D, Onen

16. Background to the Study • The background introduces the status, rationale and the theoretical orientation of the study. • It is provides evidence and conditions of the existing situation to make the reader feel the urgency of the problem. • Cresswell (2003) suggests that the background should be introduced with a good ‘narrative hook’ – a set of statements relevant to the theme being studied which attracts the reader to the work. • A research background has four main dimensions: the historical, theoretical, conceptual and contextual dimensions. Dr. D, Onen

17. In the introduction to Introduction • The following are included: 1. An opening remark in which the researcher draws the attention of the reader to the importance of the issue(s) under investigation. 2. The researcher points out that what is prevailing in his/her area or context of research seems different with the ‘ideal or expected’ situation. In other words, the author creates and problem scenario. 3. The researcher points out what this study will address or focus on, and 4. The author alerts the reader of what this chapter will entail. • Cresswell(1994) calls these opening remarks a “narrative hook”. Dr. D, Onen

18. The Historical Background • The first part of the historical background is ‘a narration of the history of the phenomenon under investigation’. • Here, the researcher tells the reader what was the ‘conditions’ like in the past; what is it like today? • In the second part, the writer reflects on the work of other researchers in this field. • But, the efforts of previous scholars must be down-played or criticized. • The researcher can describe the history from a global or regional to a contextual perspective. Dr. D, Onen

19. The Theoretical Background • The second part of the background is the theoretical background. • In the theoretical background, the researcher describes the theory (or theories) on which the study will be based. • It describes “any” discovered relationships between the variables in the study and the theory to be used. • The researcher should briefly describe the theory (or theories) and justify how it relates to the variables under investigation. Dr. D, Onen

20. The Conceptual Background • The third dimension of the background is the conceptual basis of the background. • In the conceptual background, the researcher provides the definitions of terms in the topic. • First, the variables should be defined literally. • Second, the researcher should look at the definitions of the concepts from experts. • Third, the variables should be defined in terms of their dimensions and indicators. This termed operationalization. Dr. D, Onen

21. The Contextual Background • In the contextual background, the researcher describes the problems in the context of the study. • He/she describes the problem in each isolated variable, pointing out the gaps that need to be filled by the study. • It is presented in several paragraphs, each paragraph describing the problems associated with each ‘operational variable’ or more specifically, each construct. • The background should be concluded by presenting the main question (or questions) to be answered by the study and should point directly to the research problem and act as an introduction to it. Dr. D, Onen

22. Statement of the Problem • A statement of the problem describes what the researcher has identified as existing in literature, theory or practice – a condition which needs to be probed and solutions found. • It is a statement that describes the ‘why’ of the study. • A good problem should be specifically limited in scope so as to be manageable. • It should also be clearly stated, be feasible, and significant • A problem statement can be written in a declarative form or in question form. Dr. D, Onen

23. Writing the Problem Statement… • Start by describing the ideal situation; that is, the ideal relationship between your study variables. • Then describe the actual situation prevailing in your research area or context. • Provide evidence of the intensity and magnitude (or scope) of the existing problem. • Give the implications of the current situation. • Then state what needs to be done. Dr. D. Onen

24. Purpose of Study • In this section, the researcher states the main objective of the study. • The researcher should point out what he/she intends to achieve, overall, in the study. • He/she should use active verbs to tell the reader what he/she intends to do e.g. to examine, describe, investigate, analyse, demonstrate, etc. • He/she should clarify on the actual things he/she would like to carry out e.g. effects, implications, impact, relationships, differences,, similarities, etc. • The purpose statement is captured in a single line or paragraph; it should therefore, be precise and concise. Dr. D, Onen

25. SpecificObjectives • Objectives are specific goals arising directly from the purpose of the study. • A good objective should be: S.M.A.R.T , indicate the target population and the variables to be investigated. • Once the variables in the topic have been operationalized, the task of the researcher is to express the relationship between each specific aspect of the variables. • The words used to write objectives should be those that ‘imply action’ and which can be observed or measured. • The rule-of-thumb is to connect each specific unit of the operationalized variable to each other using a suitable verb. Dr. D, Onen

26. Independent Variable Dependent Variable IV DV DV1 Operations of the DV DV2 IV DV3 DV4 Models for Deriving Study Objectives Figure 2: Model 1 objectives Figure 3: Model 2 Objectives DV IV IV DV Figure 5: Model 3 objectives Dr. D. Onen Figure 4: Model 3 objectives

27. Objectives For Mediating Studies… Dependent Variable Moderating Variable independent Variable MV1 b a IV DV e c d MV2 Figure 6: Model 5 objectives Dr. D. Onen

28. ResearchQuestions/Hypotheses • Questions and hypotheses are usually used alternately i.e. If questions are posed, hypotheses should not be stated at the same time. • A researcher uses questions when he/she is not sure of the possible solutions to the research problem. • To write research questions, a researcher restates each objective in question form, being careful to: • Avoid questions that require Yes/No answers. • Ensure that questions are systematically and logically consistent. • Ensure that all variables in the objectives are included in the question. Dr. D, Onen

29. Research Hypotheses • A hypothesis is a proposal about a solution to a problem: an “intelligent” or an “educated” guess to solve a problem. • They are declarative statements on the relationships between two or more variables on the nature of some phenomenon. • They form the elements for testing to enable the researcher make an opinion about certain phenomenon being investigated. • A well-stated hypothesis should be testable, clear and precise. It should also indicate both the IV & DV. • Hypothesis may be stated in either null form (Ho) or in alternative (or directional) form (HA). • A Null Hypothesis states that there is no relationship between the variables being studied . • Meanwhile, a directional (alternative) hypothesis states the relationship between the variables being investigated . Dr. D, Onen

30. Scope of Study • In this section of the Proposal, the researcher describes the width and breadth of the study in terms of: • Geographical coverage (physical area covered by the study) • Sample coverage (the part or whole of the population the study covers) • Content coverage (the dimensions of the variables the study looks at) • Time coverage (the time period covered by the study) Dr. D, Onen

31. Significance of Study • In this section, the researcher describes the relevance of the study in terms of its academic contributions and practical use that might be made of the findings. • It is always stated as a suggestion or intended expectation from the study. • The researcher should identify the potential parties and how they may benefit from the study. • These parties are often: • Policy-makers - depending on the area of research • Practitioners - those who participate in the activities under investigation • Scholars – fellow researchers and academicians Dr. D, Onen

32. Justification of the Study • In the section for justification, the researcher provides arguments to defend the need for the study. • Some of such arguments include: • That what is being investigated is important/critical/topical. • That the area being investigated has ‘knowledge gaps’ that need to be filled. • The study intends to justify the applicability of a certain theory in a given field. • The study will be of use to different stakeholders. Dr. D, Onen

33. The Conceptual Framework • A Conceptual Framework is a scheme of concepts (or variables) which the researcher will operationalize in order to achieve set objectives. • It is a schematic (or a diagrammatic) presentation of the theory. • In developing a conceptual framework, a researcher should: • Place the IVs on the left and DVs) on the right separated by EVs • Use one-way arrow leading from each determining variable to each variable dependent on it. • One-way arrow suggests the presence of a hypothesis about causality. • Use curved double-headed arrows to show unanalysed correlations between variables. Dr. D, Onen

34. CHAPTER 2 - LITERATURE REVIEW • This is Chapter Two of the research Proposal. • It starts with an introduction. • In the Introduction, the researcher prepares the reader’s mind for what he/she can expect to find in the whole Chapter. • The researcher should endeavour to make the Introduction appealing to draw the reader’s interest on the entire Chapter. Dr. D, Onen

35. CHAPTER 2 - LITERATURE REVIEW • After the Introduction, the researcher presents the Theoretical Framework or Theoretical Review. • A Theoretical Framework is an examination of the existing or self-formulated theories in relation to the research objectives. • It refers to a set of interrelated variables, definitions and propositions that present a systematic view of a phenomenon being investigated. Dr. D, Onen

36. Theoretical Framework • In developing a theoretical framework, the researcher should: • Name the theory and its source. • Indicate where the theory has been used and who used it. • Describe the propositions or hypotheses in the theory. • Explain the variables in the study. • Discuss the implications of the theory to the study. • It is also important to mention a few competing theories in the same area. Dr. D, Onen

37. Review of Related Literature • This involves the systematic identification, location and analysis (or evaluation) of the documents containing information that are related to the research problem. • The purpose of literature review is to help the researcher develop a thorough understanding and insight into previous works and trends pertaining to the research problem. • Literature review should be carried out on sub-headings corresponding to the study objectives. • The review should be critical (pointing out the gaps) and analytical ( grouping similar works together) Dr. D, Onen

38. CHAPTER THREE METHODOLOGY • Introduction • Research Design • Study Population • Target Population • Accessible Population • Sample Size and Sample Distribution • Sampling Techniques • Data Collection • Methods • Instruments • Quality Control • Validity • Reliability • Research Procedure • Data Analysis • Ethical Considerations Dr. D, Onen

39. Introduction • In the introduction, the researcher needs to tell the reader what he/she should expect in the chapter. • The style of making the reader aware and interested in this section of the proposal depends on the writing skills of the researcher. • Effort must be made to make the reader feel like knowing more what is contained in the chapter. Dr. D, Onen

40. Research Design • In this section, the researcher describes the nature of the pattern ( or framework) the research intends to follow. • This is termed the research design. • The design is the plan or strategy for conducting the research. • Broadly, research designs are divided into: qualitative & quantitative designs. • However, within these broad classifications, there are specific designs categorized according to particular criteria. • The researcher should describe the specific research design, rather than the paradigm. • Before choosing a design, a researcher should consider the purpose/objectives/hypotheses/questions of the study. Dr. D, Onen

41. Figure 3: Classification of Quantitative Research Designs Dr. D, Onen

42. Dr. D, Onen Figure 4: Classification of Qualitative Research Designs

43. Study population • The study population is the target group under investigation. • It is the entire set of objects, things and people under consideration in an investigation. • Target Population • The target population refers to the total number of subjects or the total environment of interest to the researcher. • Sometimes the population is too large or too scattered that a sample cannot logically be drawn from the whole population. • In which case, the researcher may describe an accessiblepopulation. Dr. D, Onen

44. Accessible population • An accessible population is part of the target population which the researcher can reach and out of which the researcher can draw a sample. • The choice of the target and the accessible populations must be justified. • The researcher should describe the characteristics of the population in terms of size, sub groups and all other variables of interest. • The researcher needs to point out that the study targets such and such a group of his/her population. • Remember, population includes people, schools, hospitals, groups, etc. depending on what your study focuses on. Dr. D, Onen

45. Sample Size and Sample Distribution Table 1: Sample Size and Sample Distribution • A sample is part of the target or accessible population that the researcher has chosen to study, representing the rest of the other members of the population. • In this section, the researcher should tell the reader the size of the sample size and how that sample size has been determined. • The researcher should also indicate the composition of the sample population by category and size. Dr. D, Onen

46. Determination of Sample size • There are many methods for determining sample size in a study. • The method chosen depends on several factors including: information on target/accessible population, knowledge of technique, etc. • Common methods for determining Sample sizes include: • Use of statistical tables for determining sample size, e.g. Krejcie and Morgan (1970). • Use of established mathematical formulae, e.g. Amin (2004) • Adapting sample size from a similar study whose findings are published in a referred journal. • Using Non-Statistical methods, e.g. Kathuri and Pals (1993) Dr. D, Onen

47. NON-STATISTICAL METHOD OF DETERMING SAMPLE SIZE Source: Adapted from Kathuri & Palls (1993). Dr. D, Onen

48. Sample size in Qualitative Studies • In qualitative research, since it involves an intensive study of individuals, a small sample is usually required. • In most cases, the researcher does not determine the sample size in advance. • The researcher simply moves to the field and as he/she analyses the information collected, saturation is reached and at which point data collection is stopped. Dr. D, Onen

49. Sampling Techniques • In this section, the researcher describes how he/she will select, with reasons, the units and subjects that will make up his/her study sample population. • The researcher can use several sampling methods in a single study. • The choice depends on the nature of data to be collected, time, nature of target population, etc. • Some of sampling techniques the researcher can use include: Probability Sampling Techniques • Simple Random Sampling • Stratified Random Sampling • Systematic Sampling • Area (Cluster) Sampling Non-probability Sampling Techniques • Convenience Sampling • Purposive Sampling • Quota Sampling • Snow-ball (or Networking) Sampling Dr. D, Onen

50. Data Collection Methods Quantitative Data collection Methods Qualitative Data collection Methods • Questionnaire Survey • Interview Survey • Observation • Documentary Analysis • Key informant Interview • Focused Group Discussion • Observation • Documentary analysis • Study of Artifacts • Testimonies of Witnesses Dr. D, Onen