The Research Proposal: dos and donts

Frans Schuurman CIDIN Radboud University/Nijmegen Santrust/Ethiopia Santrust/Ethiopia 2011

Research Proposal I: Contents

Preliminary observations Iteration Orientation phase Narrowing down + exercise The research proposal

Research Proposal II: Contents

How to put it all together: the epistemological toolkit The micro-macro/structure-agency matrix Exercise

Preliminary observations
Research proposal as road map Different set-up of research proposals Different use of research proposal concepts Importance of communication with supervisor Energy invested in a research proposal is an investment for writing your thesis

Research Proposal: the basics

What: problem/theme > aim + research question Why : relevance > objective How : gathering data > methodology + analysis
clusters of research activities research prop. 30% data collection analysis 30% 20% 20%

writing thesis time

Starting up
Potential topics within your discipline/transdisciplinary Personal interest Final topic=Problem Practical Relevance Theoretical Research aim = Topic + Objective Policy Social Relevance= Research Objective (goal/purpose/justification) L I T E T R A T U R E R E V I E W

-Quantitative -Qualitative -Mixed Methods

The aim of the research: Format

The aim of the research is to study, to enquire into the nature of, to evaluate, to explain, to analyse, to describe, to explore, to understand, TOPIC X in order to design, test, inform, contribute to, improve, construct, enhance OBJECTIVE Y.

Research aim: examples

The aim of this research is to analyse the reasons for the low publication rates at South African universities in order to contribute to an institutional policy to improve those publication rates. The aim of this research is to analyse the role of social capital in providing for HIV/Aids orphans in low-income areas of Durban in order to contribute to the theoretical debate on the value of social capital analysis and to contribute to a more realistic policy to support HIV/Aids orphans.

Common Problem 1: Tautological Research Aim

The aim of this research is to analyse the reasons for UNISA to participate in the Santrust modules in order to contribute to the knowledge why UNISA participates in Santrust modules.

Common Problem 2: confusing sub-objectives with subquestions

I will identify A I will analyse B I will evaluate C I will compare and contrast X and Y -----------------------------------------------------------------------These are all sub-questions without a question mark!!

Common Problems 2: confusing subobjectives with sub-questions

Sub-Objectives? To know the perspective of the UNISA-staff To analyse the financial aspects for UNISA and the Ethiopian Ministry of Education To evaluate the contribution of UNISAstudents to Ethiopian development Sub-Questions! What are the perspectives of the UNISA-staff? What are the financial aspects etc. What is the contribution of UNISA-students to Ethiopian development?

Starting up
Potential topics within your discipline/transdisciplinary Personal interest Final topic=Problem Practical Relevance Theoretical Research aim = Topic + Objective Policy Social Relevance= Research Objective (goal/purpose/justification) L I T E T R A T U R E R E V I E W

-Quantitative -Qualitative -Mixed Methods

Quantitative and/or Qualitative

Quantitative To test a theory Known variables Numeric data Represent. sample Fixed questionnaire Statistical analysis Thesis: numbers Statistical generalization
Primary method Secondary method

Qualitative To build a theory Unknown variables Textual data Purposive sample Flexible instruments Search for concepts Thesis: words Theoretical generalization
Secondary method Primary method

Mixed methods

Starting up: Quantitative

Potential topics within your discipline/transdisciplinary Personal interest Final topic=Problem Practical Relevance Theoretical Research aim = Topic + Objective Central research question + sub-questions Policy Social L I T E T R A T U R E R E V I E W

Relevance= Research Objective

Working hypothesis + theoretical + analytical framework Methodology

Starting up: Qualitative

Potential topics within your discipline/transdisciplinary Personal interest Final topic=Problem (Practical) Relevance Theoretical Research aim = Topic + Objective Guiding research question + guiding sub-questions Positioning the research in meta-theoretical approaches e.g. symbolic interactionism, post-structuralism, grounded theory, etc. Methodology Policy Social L I T E T R A T U R E R E V I E W

Relevance= Research Objective

consistency Domain of your discipline

Methods

Research question

Relevance/ objective

Data/answer

Iteration
It doesnt matter where you start in thinking about your research as long as the elements in the proposal are logically related Change in one of the elements means changes in previous or later paragraphs Always control the research model after every change (=iteration).

Orientation phase
What is your research topic? Do you already have a question? Is there a lot of information about that topic? About what aspects there is a shortage of info? Is there a debate? Why do you find this research topic interesting? Why should others be interested (and specifically who?)? How does your research topic relate to your academic discipline? If you would formulate a working hypothesis what would that be? Is your conclusion about individuals, groups, situations and/or processes? Do you already have an idea about sub-questions? Did you already start with reading about the research location? Which methods are you going to use?

Narrowing down your topic: The Funnel approach

Conflicts Conflicts between religious groups Factors leading to conflicts Between Religious Groups (BRG) Political, Economic and Cultural factors leading to conflicts BRG Economic factors leading to conflicts BRG Economic factors leading to conflicts BRG in the South ...... in Asia ...... in India ...... in an Indian city ...... in Hyderabad TOPIC: Economic factors leading to conflicts between Muslims and Hindus in Hyderabad

Faulty narrowing down

1. 2. 3. 4. Learning processes Factors affecting learning processes Factors affecting learning processes of children Bilangualism affecting learning processes of children from ethnic minority groups 5. Bilangualism affecting learning processes of children from ethnic minority groups in Ethiopia 6. Bilangualism affecting learning processes of children from ethnic minority groups in Tigray

Faulty Narrowing down

Gender issues in development Womens empowerment Impact assessments: world of meanings of the actual actors vs. goals of NGOs and projects of development Microcredit Gendered - Caste discrimination and inequality of men and women in India Self Help Groups (SHGs) in India as strategy for empowerment Different social relations within and beyond the SHGs in India Access to, participation in and benefits from SHGs in India To what extent do different social relations amongst women in India influence the access to, participation in and benefits from SHGs?

 Title page with relevant info (Executive summary) Introduction

The paragraphs in the proposal

Problem statement/Literature Review Theoretical/conceptual framework Analytical framework Methodology

working hypothesis concepts/models/theories background information/the debate context of case-study

topic, relevance (aim of the research), research question

central research question + sub-questions + operationalization research model includes indication of data analysis

Ethics Time-schedule References

The components of the introduction

A. Presentation of research topic B. What is the problem? The Debate C. What do we need to know? The Niche D. Contribution of your research to solve the Niche: the aim of the research + central research question

A. Presentation of research topic. What do we know/where are we? (an example) Decentralization is considered by many a good idea. It experiences a lot of support among social scientists, policy-makers, social movements and NGOs. Social-democrats as well as neo-liberals are enthusiastic.

B. The problem/The debate (example)

However, there are dissident voices. Power asymmetry often reproduced at local levels. Lack of local social capital. Empowerment of the poor and marginalized people not necessarily enhanced.

C. What do we need to know? (example) Need to understand reasons for limited impact of decentralization. Specifically concerning the empowerment of the lowincome groups.

D. This is the contribution of my research (example)

The aim of this research is an analysis of the impact of decentralisation on the political empowerment of low-income groups in order to contribute to the debate on the role of decentralisation in good governance. Central research question: which factors influence the limited impact of decentralisation on the political participation in the Somali Region, Ethiopia.

The problem statement/Literature Review

Elaborate the debate concerning theme Summary of important findings Indicate the knowledge niche Relevant background of the case-study Introduce shortly the next paragraph (the theoretical/conceptual framework)

Theoretical/conceptual framework
Explain the working hypothesis (if there is one) Introduce concepts/models/theories which could be useful in your research E.g. empowerment, participation, power structures, discourses, social capital, gender dimensions etc. Compare and contrast; make your choice for a specific theoretical approach and defend it

Example: Concept: Two ways to conceptualize Empowerment of Women

Improved Health Access to Resources Reduction in Gender inequality Cairo Consensus (1994) Access to Resources Agency (= ability to use these resources) Achievements (=outcome of a combination of resources and agency) Kabeer (1999)

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From Concept to Model and Theory

Meta-theories: Marxism + Critical Realism

Access to Economic Resources

Substantive gender theories

Agency

Achievements

Analytical framework
Repeat research aim + central research question Link the concepts you use in a research model: present a figure with the dependent and independent variables and their interrelations Present the various hypotheses which explain the relations between the concepts in the model Present the sub-questions which relate to the hypotheses, specific concepts and their interrelations Operationalize concepts: i.e. explain shortly how you are measuring concepts.

EXAMPLE OF ANALYTICAL FRAMEWORK/RESEARCH MODEL Municipality: Open/close Left/right Participatory budget

Collective Social Capital: NGOs CBOs

Political Participation: knowledge attitude praxis Individual Social Capital: trust membership

Community Profile: crime rate infrastructure unemployment etc.

Individual characteristics gender Unknown age variables income education etc. how does participatory budgeting influence political participation in Cerro Navia, a municipality in Santiago de Chile?

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EXAMPLE OF ANALYTICAL FRAMEWORK/RESEARCH MODEL Central government: degree of devolution financial means coordination between ministries

Organization of NGOs and CBOs social capital trust

Role of Regional and Urban authorities

Political Participation: knowledge attitude praxis Role of Civil Sevants Reluctance to move Role of the army.

Regional Profile: Ethnic Infrastructure Economic problems etc.

Unknown variables

What explains the limited impact of decentralisation on the political participation of civil society in Somali region, Ethiopia, in the last decade?

Central research question

Organizes the research, gives direction and coherence Delimits the research, showing its boundaries Keeps the researcher focussed Points to data that will be needed

A good research question

Relates logically to research objective Clear, as succint as possible, with place (and time) Points to specific data Can be answered Make it as analytical as possible Incorporates concepts from the theoretical framework Avoid how to solve the problem questions Do not repeat research objective with a question mark Has a domain and variables

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Research question: Domain and Variables

Domain:
Units to be studied (people, strategies, etc.) Number of units (all, some, one) Area (Ethiopia, Addis, Somali Region, etc.) Time (always, last 5 years, etc.) Variables: The features of the domain to be studied

Example of domain and variables

To what extent are migrants to Addis Ababa in the last 5 years absorbed into the local labour market?

Internal and External Domain and Variables

Internal Domain: migrants to Addis in the last 5 years. Internal Variable: absorption into the local labour market. External Domain: migrants to large cities in Africa. External Variable: sustainability of urban economies in Africa.

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Good/Bad research questions

Does globalization affect Sweden? What is the connection between international coffee prices and living standards in Uganda? What political factors explain Chinas amazing economic growth in the last 20 years? What would have happened to Palestine if it would not have known Israeli occupation? What is the role of International Development Organizations in Palestine? How has migration affected land use patterns in XXX province in Mexico? Will Julius Malema be the next president of SA?

EXAMPLE OF ANALYTICAL FRAMEWORK/RESEARCH MODEL Municipality: Open/close Left/right Participatory budget

Collective Social Capital: NGOs CBOs

Political Participation: knowledge attitude praxis Individual Social Capital: trust membership

Community Profile: crime rate infrastructure unemployment etc.

Individual characteristics gender Unknown age variables income education etc. how does participatory budgeting influence political participation in Cerro Navia, a municipality in Santiago de Chile?

Analysis: Labelling
Variable Political Particip. Indicator Knowledge Sub-indic. Name of mayor Data-quant 65% Dataanalysis Members of social org. Same party Gender Id.as above Income Education Clientelism

Political Particip.

Attitude

Trust in 25% municipality

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Research methodology
In case of comparative research explain reasons why In case of a stratified sample specify as much as possible categories of respondents Explain the quota However, do not introduce new information in this paragraph Include pilot study if necessary Sub-questions could lead to various research methods Consider mixed methods and explain when you are using what method and why Include a preview of type(s) of data analysis

Mills Method of Difference

Positive case (community 1) A B C X=independent Variable (e.g. Micro-credit for women) -----------------------Y=dependent Variable (empowerment of women) Negative case (community 2) A B C NOT X

-------------------------Expected: NOT Y

Outcome

Difference in Difference

Treatment Group

Average Treatment Effect

Third observation Control Group Second observation First observation Time Treatment

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Time-schedule
Realistic If useful include pilot Estimate length of interviews according to pilot Reflection at half-time Prepare local presentation of research findings

References for time schedule

clusters of research activities

research prop.

30% data collection analysis 30% 20% 20%

writing thesis time

References
Make reference notes from the first moment of orientation Record all bibliographical data Try to read the original sources Refer in research proposal to literature as much as possible

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Final control
Is an answer to my research question relevant in terms of my research objective? Does my research question result in the type of knowledge I am looking for? And are the subquestions really contributing and do they not move outside my field of knowledge? Is my method of research correct and realistic?

Part II: How to put it all together

The epistemological toolkit The agency-structure/micro-macro matrix Exercise

Key dichotomies in social research

Structure System Cause Macro Objectivity/etic Quantitative Rational Global Agency Lifeworld Meaning Micro Subjectivity/emic Qualitative Irrational Local

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Structure: core elements

Potentiality

An interrelated set of positions Roles and resources attached to positions Rules to define roles, resources and relations between positions

Agency: core elements

Personal endowments (human, social, financial, physical capital) Internalized norms and values (habitus) Structurally awarded resources (entitlements) Experience (from the praxis) Agenda/strategy

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Structure-Agency/Micro-Macro Matrix
micro macro

structure

actors

Structure-Agency/Micro-Macro Matrix
micro - social, economic, structure
political, ecological character (inequality, gender, caste, unempl. etc.)

macro
- law - policies - culture - economic resources - the market

actors

- types of actors - characteristics - strategies - meaning - agenda

- idem
interaction power trust

The Matrix: decentralisation

micro structure
-social, political and economic structure of local community -power structure - cbos - local politicians - ngos - local power brokers

macro
- law - power relations between various administrative levels - resources - the president - metrop mayor - ministries - political parties - IDOs

actors

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Exercise
the aim of the research the central research question Max. 2 sub-questions the agency-structure/micro-macro matrix

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