AAU Research Methods

Introduction to Research
Methods
(Preparatory module for Addis Ababa University graduate programs)
compiled by
Abiy Zegeye
Alemayehu Worku
Daniel Tefera
Melese Getu
Yilma Sileshi
Graduate Studies and Research Office

Addis Ababa University
September 2009
Addis Ababa University Page 1

Preface
From the dawn of human history, people have been engaged in exploring their surrounding; and
in more recent history this exploration has extended to the cosmos. It is an innate human nature
to be curious, to want to know or learn something new. When something catches the eyes of a
young child, he or she examines the thing, studies it, observes it, and touches it so as to learn
about the phenomenon. From passive observations and active interactions a child gradually
learns about his/her world. In other words, the child is applying some kind of procedure or
approach in his/her day-to-day living to discover new knowledge about the world and express the
knowledge gained. The methods or approaches used, however, are not systematic or structured.
As adults, when you experience something new, you go beyond your five senses and raise
different questions about the phenomenon you encountered. And then you start to explore about
it so as to get convincing answers to your questions. You use various ways of learning about the
new phenomenon. The way of knowing about the phenomenon may not be the same for all
people. And the answers you may get about the questions you raised are not absolute, since there
is no absolute truth.
As prospective graduate students, you are now embarking on a scientific journey. By the time
you finish your post-graduate training you would have acquired sufficient know-how, and
critical and analytical thinking to be able to frame your questions in a scientific context, as well
as devise ways to systematically obtain answers to your questions. In short, you will conduct
scientific research.
As a scientist you will be expected to adapt to standards and norms about what constitutes
research, how research is conduct, and how research output is communicated. The main thrust of
this preparatory module is to lay the foundation for the more rigorous training and research you
will encounter upon joining your postgraduate program.
The wealth of scientific information that is now available to you is the cumulative effort of many
that preceded you in your area of study. The entire scientific endeavor is based on implicit trust.
You are the beneficiaries of many years of scientific output that was done rigorously and
honestly. Can you imagine what could happen if everyone “cooked” their data to fit their
hypothesis? That is why this preparatory module also covers the ethics of scientific inquiry and
reporting.
From where you stand now, you may perceive research as some lofty enterprise that only a gray
bearded, bespectacled know-it-all can dare undertake. By the end of this preparatory module, it is
hoped that scientific research is de-mystified and made accessible. Moreover, we hope that the
entire exercise will sharpen your understanding of scientific research methods, and sufficiently
increase your confidence to explore new frontiers of science.

Note to the Student
As an incoming graduate student, there is an expectation on the part of the Addis Ababa
University’s Office of Graduate Studies and Research that you, as a prospective graduate
student, have all the necessary educational background that prepared you for graduate studies.
However, this may not always be the case. Therefore, the Office of Graduate Studies and
Research deems it necessary to provide certain intensive preparatory trainings to ensure that all
incoming graduate students have strong English language skills, an understanding of basic
research methods and a solid grasp of basic computational and quantitative skills.
This ‘Research Methods’ module is one component of the intensive preparatory training
sanctioned by the AAU. The module is designing with the aim of imparting the basic concepts,
principles and processes of research methods. The compilers of this introductory ‘Research
Methods’ module are aware that the entire content may not be fully suited to all fields of
specialization nor to the educational background of all students. However, the compilers have
made an effort to make this module generic enough that all prospective graduate students will
take away some concepts that will be useful to them.
The module is organized in three broad categories: viz, knowing what research is, planning
research and conducting research. The six units are sequenced in a way that closely follows the
process from inception to conclusion of a research project as depicted in the flow chart below. A
more in-depth coverage of the data analysis component will be dealt with in the ‘Quantitative
and Computational’ sister module. The interpretation and conclusion, obviously, will be up to
you to derive from the results of your data analysis.
This module will also present you with an opportunity to familiarize yourself with the intensive
modular approach now being implemented by the Office of Graduate Studies and Research of
the AAU. The instructors’ role in the delivery of the module content is limited to imparting basic
ideas and concepts, answering or clarifying questions, and facilitating discussion forums. A
substantial portion of the course delivery depends on your self-learning. To gain maximum
benefit from this module you must:
- read ahead
- attend all lectures
- actively participate in the classroom
- do all exercises and assignments
- actively interact in discussion forums
- start writing the mini-proposal early
- revise and study for the final assessment exam

A simple schematic representation of the research process
Knowing research methods
Identify research problem Practical judgment
Preliminary literature review
Develop research idea
Formulate research problem Theoretical framework
Literature review
Research hypothesis & design
Data collection
Data analysis
Interpretation & conclusion
Publication

Table of Content
Unit 1: The Concept of Research

Lesson 1: Sources of Knowledge
Lesson 2: Definition and Purposes of Research
Lesson 3: Philosophy of Research
Unit 2: Types of Research

Lesson 1: Classification of Research
Lesson 2: Basic and Applied Research
Lesson 3: Descriptive, Explanatory and Exploratory Research
Lesson 4: Qualitative and Quantitative Research
Unit 3: Process in Research Proposal Development

Lesson 1: What is the Research Proposal?
Lesson 2: Components of Research Proposal
Unit 4: Process in Conducting Research

Lesson 1: The Research Processes
Lesson 2: The Research Processes Described
Unit 5: Research Ethics

Lesson 1: The Basics
Lesson 2: Research Ethics Explained
Lesson 3: Codes and Policies for Research Ethics
Unit 6: Reporting Research Findings

Lesson 1: Writing a Scientific Report
Lesson 2: Oral Presentation
Reproduction, distribution or sale of this material without the express authorization of the Office
of the Graduate Studies and Research of the Addis Ababa University is strictly forbidden.
FOR USE BY AAU GRADUATE PROGRAMS ONLY

The Concept of Research
UNIT
•1• Key Concepts
Common sense Science

Deductive reasoning Epistemology
Inquiry Empirical
Objectives
After completing this unit you should be able to:
• Distinguish the difference between the two sources or

approaches to knowledge (commonsense vs. science/
everyday observations vs. planned observations);
• Distinguish between science and commonsense;
• Differentiate between the various ways of knowing;
• Give example of each way of knowing;
• Define the concept of research;
• Explain the purpose of research;
• Describe the difference between research methodologies and

research methods;
• Explain the assumptions that underlie research

methodologies;
• Describe the epistemological issues that underlie scientific

inquiry; and
• Discuss the philosophy of research.
Mode of Delivery and Assessment
Brainstorming session, group discussions, and lecture will be the

major modes of delivery. Students will be assessed for this unit
through group assignments and individual tests.

Lesson 1: Sources of Knowledge
This lesson deals with the two major approaches of knowing the
world: everyday experience and science. It answers questions like
what is the difference between common sense knowledge and
science? Are they alike? What are the various forms of knowing?
1.1 Everyday Experience as Sources of Knowledge
“Why is the As we live in this world and interact with our surrounding we may be
grass green and confronted with new ideas that may have important impact on our
the sky blue?” lives. We get access to this new information through our senses ---
the most immediate way of knowing something. This is what we call
sensory knowledge. Reflecting on your own experiences, do you
think your senses provide a perfect means of observation?
• Are eye witnesses to a crime as reliable as some people
•
think?
•
Are the stars in the night sky actually twinkling?
Does the sun really move across the sky?
We may also use the opinion of others as sources of knowledge. We

might have experienced a stimulus with our senses but we want to
check on the accuracy and authenticity of these sensations. We
• Does this food taste delicious to you?

often ask:
• Did you hear someone cry for help?

Being open
minded is not Exercise
about accepting
new ideas that Do you rely only on your senses and trust the data you collected,
fit neatly into because it has been said, “seeing is believing”? How reliable are
our existing your senses?
knowledge. It is
the willingness Do you think that a majority opinion defines what is true?
and readiness
to question our
There are also other ways of knowing from our everyday
most ardent
beliefs in the
experiences. These are presented below.
face of new
evidence. 1.1.1 The Method of Tenacity
The term tenacity refers to the acceptance of a belief based on the

idea that “we have always known it to be this way”. In other
words, it represents the automatic acceptance of the prevailing

traditional beliefs and customs in which we have been socialized.
We accept those beliefs and customs as true without exploring them
and then behave with it. Even when we come across evidences that
contradict our beliefs, we still tend to cling to our traditional belief.
As a way of learning about the surrounding world the method of

tenacity has two problems:
1. The information may gain wide acceptance through its
familiarity alone.
Your point of
2. Tenacity offers no means for correcting erroneous ideas.
view is correct,
as long as it
agrees with that Exercise
of your boss.
Is darker colored injera more nutritious?
Give two examples of the general beliefs that you have accepted
without evaluating them. For instance, in some cultures Female
Genital Cutting (FGC) is an accepted practice.
1.1.2 The Method of Authority
If we enter into a new culture, we may experience so many things for

which we are not familiar. If we are naïve to most of the practices
what we do, is we ask someone in that culture who is supposed to
have the knowledge – an authority figure. We are likely to ask others
whom we think have a wealth of experience and knowledge about
the cultural practices of the community. We may, then, accept a new
idea or information stated by this authority figure.
In many cases, referring to an authority, especially in areas about

which we know nothing, is useful and beneficial. We often rely on the
Experts, like all judgment and expertise when we consult, for example, electrician,
of us, can be civil engineer or chemist.
mistaken
Remember that authority can be incorrect and at times can lead
people in the wrong directions. Hence, it is important to examine the
basis of the authority’s claims. We have to raise questions like, are
these claims based on opinion, tradition, or direct experience? How
valid are the sources of this information?
Exercise
In our day-to-day living we accept what we have been told by an

authority figure, for example, a physician may tell us that smoking
affects our health. Can you list examples that can be explained in
terms of the method of authority?

Is everything published in a newspaper or book always true and
accurate?
Is there a problem if we unquestioningly accept the knowledge and

A priori
expertise of others?
propositions
“agree with
reason” and not 1.1.3 The a Priori Method
necessarily with
experience. The idea that underlies the a priori method is that first we develop
general knowledge, opinion, or belief about the world through the
aforementioned methods or personal observation of things around
us and then we draw new and specific conclusion from this general
knowledge. As a result it is also known as a deductive reasoning.
Our intellect allows us to use sensory data to develop a new kind of
knowledge.
If we take the FGC example once again, a person living in a culture

where the practice of female genital cutting is common and well
accepted may draw specific knowledge that the practice is against
the rights of females because it is the removal of a body part without
asking the consent of the victims.
Reason and logic are the basic tools of an a prior method and often
take the form of a logical syllogism such as All men are tall; Alemu
is a man; therefore, Alemu is tall. Hence, logical conclusions may
not necessarily lead to correct conclusions.
We all use reason everyday as we try to solve problems and

understand relationships. As useful as it is to be reasonable,
however, reason alone will not always produce the appropriate
The most knowledge.
uncommon
thing in the
world is Exercise
common sense.
Is there an a priori method without problems?
Draw your own syllogistic conclusion: Ethiopia has the best long-
distance runners in the world. Mossisa is an Ethiopian, therefore …
Does this conclusion always hold true?
1.1.4 Common Sense
This method of knowing offers an improvement over acceptance

based on tenacity, authority, or reason because it appeals to direct
experience. Common sense is based on our own past experiences

and our perceptions of the world. It originates from our day-to-day
practical experiences and in turn guides our daily interaction with our
surrounding.
Theory is the
ultimate aim of
science. Note that our experiences and perceptions of the world may be quite
limited. The concepts that we have about the world may be seriously
misleading. Although common sense may help us deal with the
routine aspects of daily life, it may also form a wall and prevent us
from understanding new ideas.
Exercise
Since common sense is related to our practical experience, can you

say that it is the method of knowing is devoid of shortcomings?
What is the difference between common sense and science?
Where would it be more appropriate to apply common sense:

knowing what will happen to the price of teff when the rainy season
Science only fails, or knowing how bacteria will respond to a new type of drug?
deals with
testable ideas. 1.2 The Scientific Method as a Source of Knowledge
Science is a body of systematized knowledge. In scientific method

ideas are evaluated and corrected through dispassionately observing
by means of our bodily senses or measuring devices - in this case
science can be seen as a systematic and controlled extension of
common sense - and using reason to compare various theoretical
conceptualization based on experience – which represents a direct
application of the principles of logic. This blend of direct sensory
experience (or measurement) and reason gives science a self-
corrective nature.
One of the characteristics of science is a reliance on information that

is verifiable through experience. That is, it must be possible for
different people in different places and at different times using the
same method to obtain comparable results.
• the use of conceptual schemes and theoretical structures

Science and common sense differ in terms of:
• the notion of control

• the explanations of different observed phenomena
The difference between common sense and science revolves around

the concepts systematic and controlled. Scientists systematically
build theoretical structure, test them for internal consistency, and

subject aspects of them to empirical test.
The scientific method of knowing is the scientific research, and its

goal is the discovery of regularities of nature and their representation
in theories from which predictions can be made.
The steps in the scientific method guide researchers in planning,

conducting, and interpreting research studies. Scientific research
• defining the problem

follows logical steps, which include:
• making tentative explanations

• gathering information
• testing the validity of the hypothesis
• making conclusions as to whether the hypothesis can be
accepted or rejected
• find general rules,

Scientific methods:
• collect objective evidences,

• make testable statements,
• adopt a skeptical attitude about all claims,
• are creative,
• are public, and
• are productive.
It should be noted that, apart from its importance in knowing the
• The scientific method cannot answer all questions

world, the scientific method of knowing has some limitations.
• Application of the scientific method can never capture the full
• The measurement devices always have some degree of error.

Research is an richness of the individual and the environment
attempt to
search for truth.
Exercise
What is the difference between common sense and science?

What are the steps that people should follow in scientific methods of
knowing?
What are the strengths of scientific method?
What are the limitations of scientific method of knowing?
Can you subject a faith-based knowledge to a scientific method?

“I soon learned Lesson 2: Definition and Purposes of Research
that it did not
require a great
brain to do
original In this lesson the concept of research is defined and the purposes,
research. One approaches and goals of research are described. Distinction has
must be highly also been made between terms like methods and methodologies.
motivated,
exercise good 2.1 Scientific Research Defined
judgment, have
intelligence, People have long strived to come to grips with their environment and
imagination, to understand the nature of the phenomena it presents to their
determination, senses. One of the means by which they set out to achieve these
and a little luck. ends is research. Research is an often-misused term; its usage in
One of the most everyday language is very different from the strict scientific meaning.
important In the field of science, it is important to move away from the looser
qualities in
meaning and use it only in its proper context. Scientific research
doing research,
I found, was to adheres to a set of strict protocols and long established structures.
ask the right
questions at the Research is defined as human activity based on intellectual
right time”. application in the investigation of matter. In other words, research is
the systematic process of collecting and analyzing information to
Julius Axelrod increase our understanding of the phenomenon under study. It is the
function of the researcher to contribute to the understanding of the
phenomenon and to communicate that understanding to others. It
may be said that the general aims of research are to observe and
describe, to predict, to determine causes and explain.
2.2 Scientific Research Explained
The strict definition of scientific research is performing a methodical

study in order to prove a hypothesis or answer a specific question.
Finding a definitive answer is the central goal of any experimental
process.
Research must be systematic and follow a series of steps and a rigid

standard protocol. These rules are broadly similar but may vary
slightly between the different fields of science. Scientific research
must be organized and undergo planning, including performing
literature reviews of past research and evaluating what questions
need to be answered.
Any type of ‘real’ research requires some kind of interpretation and

an opinion from the researcher. This opinion is the underlying
principle, or question, that establishes the nature and type of
experiment.

The scientific definition of research generally states that a variable
must be manipulated; although case studies are purely observational
science and do not always comply with this norm.
For a successful career in science, you must understand the

methodology behind any research and be aware of the correct
protocols. Science has developed these guidelines over many years
as the benchmark for measuring the validity of the results obtained.
Failure to follow the guidelines will prevent your findings from being
accepted and taken seriously. These protocols can vary slightly
between scientific disciplines, but all follow the same basic structure.
For any study, there must be a clear procedure so that the experiment
can be replicated and the results verified. Again, there is a bit of a
gray area for observation-based research, as is found in
anthropology, behavioral biology and social science, but they still fit
most of the other criteria.
Most scientific research looks at an area and breaks it down into

easily testable pieces, i.e. breaking down a large and seemingly
insurmountable problem into manageable chunks. The incremental
experimentation of the individual pieces will allow the larger questions
to be approached and answered.
In conclusion all scientific research has a goal and ultimate aim,

repeated and refined experimentation gradually reaching an answer.
These results are a way of gradually uncovering truths and finding out
about the processes that drive the universe around us. Only by having
a rigid structure to experimentation, can results be verified as
acceptable contributions to science. Some other areas, such as
history and economics, also perform true research, but tend to have
their own structures in place for generating solid results. They also
contribute to human knowledge but with different processes and
systems.
As explained above, scientific research is a systematic attempt to

obtain answers to meaningful questions about phenomena or events
through the application of scientific procedures. It is impartial,
objective, empirical and logical analysis and recording of controlled
observations that may lead to the development of generalizations,
principles or theories, resulting into some extent in prediction and
control of events that may be causes or consequences of specific
phenomena. The analysis of the above given definition of research
will identify the salient features that distinguish it from casual
• Systematic - so ordered, planned and disciplined;

observations. Research is:

• Controlled - the researcher can have confidence in his/her
•
research outcomes;
Empirical - putting beliefs, ideas, or assumptions to a test;
•
and
Critical - many truths are tentative and are subject to change
as a result of subsequent research.
Exercise
What do the terms systematic and controlled represent in scientific

research?
2.3 Characteristics of Scientific Research
As mentioned above research has been considered as an impartial,

objective, empirical and logical analysis and recording of controlled
observations that may lead to the development of generalizations,
principles or theories, resulting, to some extent, in prediction and
control of events that may be causes or consequences of specific
phenomena. We can summarize the main characteristics of research
• is directed toward the solution of a problem;

as follows. Research:
• is based upon observable experience or empirical evidence;

• demands accurate observation and description;
• involves gathering new data from primary or first-hand
• is characterized by carefully designed procedures, always

sources or using existing data for a new purpose;
applying rigorous analysis. However, it is sometimes
• requires expertise;
somewhat random and unsystematic;
• is characterized by patient and unhurried activity;

• is carefully recorded and reported;
• sometimes requires courage;
• emphasizes the development of generalizations, principles, or
theories that will be helpful in predicting future occurrences;
• strives to be objective and logical, applying every possible test

and
to validate the procedures employed, the data collected, and

the conclusion reached.
2.4 Goals of Scientific Research
The purpose of scientific research is problem solving. The problem

could be of an immediate and practical value or they could be of
theoretical nature. That is, research focuses on answering various

questions and acquiring new knowledge. It is the primary tool used in
virtually all areas of science to expand the frontiers of knowledge. In
addition, by conducting research, researchers attempt to reduce the
complexity of problems, discover the relationship between seemingly
unrelated events, and ultimately improve the way we live.
On the whole, across all types of science, research is frequently

used for describing a thing or event, discovering the relationship
between phenomena, or making predictions about future events. In
short, research can be used for the purposes of description,
explanation, prediction, and control all of which make important and
valuable contributions in solving practical problems and also in the
expansion of what we know and discovery of new knowledge.
Seeking solutions to practical or theoretical problems involves doing
• Describing phenomena
the following important tasks.
• Explaining phenomena
• Predicting phenomena
• Controlling phenomena
• Comparing phenomena
2.4.1 Description
Description represents efforts exerted to give pictorial account of the

phenomenon being studied. It is actually the first step in research
since it provides the basis for further exploration about the
phenomenon under consideration.
E.g. If a researcher collects data about women’s participation in

politics and reports their level of participation based on the data
collected, then we can say that females’ participation in politics has
been described.
E.g. A researcher may also describe that water in the solid state that
in its liquid state.
In description, the researcher attempts to find answers to the

questions “what,” “who,” and “where?”
2.4.2 Explanation
In explanation, the researcher is interested in exploring the reasons

or the causes of the occurrence of certain behavior or event. It
involves understanding the cause – and – effect relationship
between phenomena. Attempts have been made to answer the

question “why?”
E.g. Why do females fail to actively participate in politics? Here the

researcher attempts to answer the causes of low level of
participation females in politics. Is there causal link between gender
and level of participation in politics?
E.g. Why does ice have lower density than water?
Having found possible causes for a particular happening or state of

affairs, the researcher has to build generalizations that will explain a
wider body of knowledge in the area.
2.4.3 Prediction
In research, generalization is made not only to explain the past but

also to predict what will happen in the future. A widely based
conceptual framework or theory will be used to make prediction
about the variable of interest.
E.g., Females’ empowerment improves their level of participation in

politics.
2.4.4 Control
Researchers are also interested in influencing or changing a

particular event or condition for different purposes. Therefore, the
description, explanation, and or prediction of events which result
from any research undertaking are not casual or without aim. It is to
explore and allow possibilities of control – to intervene and
subsequently observe an expected result.
E.g., If educational level and male dominance are identified as the

Epistemology is causes of low participation of females in politics and if the researcher
how we come to predicted that an intervention program that raises females’
know. educational level and changes males’ attitude increases females’
level of participation in politics, the researcher will introduce the
intervention package to bring about the desired change.
2.4.5 Comparison
The researcher may also be interested in comparing two or more

groups on a certain behavior. The purpose here is to explore
whether two or more groups are similar or different with respect to
the occurrence of certain event. Comparison may take different
forms. Instead of comparing groups on one behavior, the researcher

may instead compare different behaviors in one group simply to
determine which behavior is more likely to occur in this same group
of individuals.
E.g., Is there gender difference in terms of level of participation in

politics?
2.6 The Difference between Research Method and Research

Methodology
Although the terms methods and methodologies are often used

synonymously, it is helpful for you to understand that the terms
convey/carry different meanings.
A method is a particular research technique or way to gather

evidence about a phenomenon. Therefore, methods are the specific
research tools we use in research projects to gain fuller
understanding of phenomena. That is, the range of approaches
used in research to gather data which are to be used as a basis for
inference and interpretation, for explanation and prediction.
E.g., surveys, interviews, participant observations
Methodology describes “the theory of how inquiry should proceed”

that “involves analysis of the principles and procedures in a
particular field of inquiry.” It involves the researchers’ assumptions
about the nature of reality and the nature of knowing and knowledge.
In other words, methodology represents “a theory and analysis of
how research does or should proceed.” Methodology encompasses
our entire approach to research. Our assumptions about what we
believe knowledge is are embedded in methodological discussions
and therefore have consequences for how we design and implement
research studies.
Epistemology is
how we come to Lesson 3: Philosophy of Research
know.
All research is based on assumptions about how the world is

perceived and how we can best come to understand it. Of course,
nobody really knows how we can best understand the world, and
philosophers have been arguing about that very question for long. In
this lesson attempt has been exerted to look at how most
researchers approach the question of how we know about the world
around us. Thus, you will learn the major philosophical schools of
thought.

3.1 Epistemological Issues in Research
Epistemology is a branch of philosophy that studies the nature of

knowledge and the process by which knowledge is acquired and
validated. Some epistemologists have a particular interest in the
nature of inquiry and knowledge in the natural sciences and others
in social sciences. These philosophers tried to seek answers to
• Are the objects that the researchers study real?

questions as:
• How is research knowledge different from other forms of
• What is a theory, and how can it be validated?

knowledge, and does it have any special authority?
• What does it mean to find “laws” that enable us to predict
• Is inquiry in the social sciences fundamentally different from

individual and group behavior?
inquiry in the natural sciences?

As philosophers have investigated that nature of scientific inquiry
over a period of many centuries, they have different schools of
thought. There are different schools of thought that describe the
nature of reality but we will focus on the major ones.
As described earlier, epistemology is a philosophy of knowledge and

methodology is also concerned with how we come to know, but is
much more practical in nature. Epistemology and methodology are
intimately related: the former involves the philosophy of how we
come to know the world and the latter involves the practice.
Exercise
What is epistemology?
Is there difference between epistemology as a philosophy of
knowledge and methodology?
3.2 Positivism and Post-Positivism
When people are asked about science, they think individuals who
work with facts in the laboratory. A scientist is someone who is
brilliant who thinks, spins complex theories, and spends his/her time
in ivory towers aloof from the world and its problems. Such kinds of
stereotypes about science come from a period where science was
dominated by a particular philosophy - positivism.
Positivism is a position that holds that the goal of knowledge is

simply to describe the phenomena that we experience. Positivists
believe that the purpose of science is simply to stick to what we can
observe and measure. Knowledge of anything beyond that is

impossible. According to this philosophical thought the key approach
of the scientific method is the experiment, the attempt to discern
natural laws through direct manipulation and observation. The
• Scientific attention should be restricted to observable facts;

following are three tenets of positivism:
‘‘inferred constructs,’’ such as beliefs or motives, have no
• The methods of the physical sciences (e.g., quantification,

place in science,
separation into independent and dependent variables, and

formulation of general laws) should also be applied to the
• Science is objective and value free.

social sciences, and
On the other hand, post-positivism rejects the central tenets of

positivism. A post-positivist might begin by recognizing that the way
scientists think and work and the way we think in our everyday life
are not distinctly different. Scientific reasoning and common sense
reasoning are essentially the same process. The difference between
the two is not in kind but it is in terms of degree – as has been
mentioned earlier science is the extension of commonsense
knowledge.
Most post-positivists are constructivists who believe that we each

construct our view of the world based on our perceptions of it.
Because perception and observation is fallible, our constructions
must be imperfect. It is difficult to believe that individual scientists
would perfectly see the reality as it is. Scientists, like any other
human being, are inherently biased by their cultural experiences,
worldviews, and so on. We are all biased and all of our observations
are affected (theory- laden). So what is objectivity?
Positivists and post-positivists differ in the way they look at

objectivity. Positivists believed that objectivity is a characteristic that
resided in the individual scientist. Scientists are responsible for
putting aside their biases and beliefs and seeing the world as it
'really' is. Post-positivists reject the idea that any individual can see
the world perfectly as it really is. Our best hope for achieving
objectivity is to triangulate across multiple fallible perspectives. Thus,
objectivity is not the characteristic of an individual; it is inherently a
social phenomenon.
Although positivism conceived a social and cultural life as objective,

quantitative, or empirical, and governed by “laws,” it was increasingly
argued that social life was in many ways subjective and socially
constituted. It has been argued by post-positivism that positivistic
science was inappropriately applied to social and cultural life. This

required a research methodology that could capture the actual
nature of social and cultural life.
Exercise
What is the main theme of positivism?

In your opinion, which tenet best describes modern scientific
research?
Unit Summary
• There are two broad sources of knowledge: Everyday

experience as a source of knowledge and scientific method as
•
a source of knowledge.
Everyday sources of knowledge include the method of tenacity,
•
authority, a priori method and common sense.
The scientific method as a source of knowledge represents
•
scientific research.
The goal of research is problem solving. The problem could be
of an immediate and practical value or they could be of
•
theoretical nature.
The specific purposes of scientific research include description,
•
explanation, prediction, control and comparison.
Scientific research relies on the application of the scientific
•
method, a harnessing of curiosity.
Research provides scientific information and theories for the
explanation of the nature and the properties of the world around
•
us.
Research is systematic, controlled, empirical and critical
•
investigation of natural, behavioral and social phenomena.
There is difference between research method and research
methodology the former represents a particular research
technique used to gather data about the phenomenon being
studied and the later describes the theory of how inquiry
Research is the
•
should proceed.
systematic
•
Scientific research has epistemological and philosophical roots.
process of
collecting and
Positivism and post-positivism are the two philosophical
analyzing perspectives discussed in this unit.
information to
increase our Assignment
understanding
of the 1. List the everyday sources of knowledge and give examples for
phenomenon each of these sources of knowledge.
under study.
______________________________________________________

______________________________________________________
2. What are the limitations of using everyday experience as sources of

knowledge?
________________________________________________________
____________________________________________________
3. How do lay people and scientists differ in the way they use theories?
________________________________________________________
____________________________________________________
4. Some researchers argue that positivism is less successful in its

application to the study of human behavior? Why?
________________________________________________________
____________________________________________________
5. Why is the scientific method superior to any other sources of

knowledge?
________________________________________________________
____________________________________________________
6. Research methods can be considered as simply technical exercises.

Argue against or for by citing evidences..
________________________________________________________
______________________________________________________
7. Describe the limitations of scientific method by giving at least one

example.
________________________________________________________
________________________________________________________
8. What is objectivity for positivism and post-positivism?

________________________________________________________
________________________________________________________
References
1. Belay Tefera (2007). Research Methods in Behavioral Sciences:

Modular Text for Psychology Students.

2. de Marrais, K & Lapan, S.D. (eds.) (2004). Foundations for
Research: Methods of Inquiry in Education & the Social
Sciences. Mahwah: Lawrence Erlbaum Associates.
3. Gay, L.R.; Mills, G.E.; & Airasian, P. (2009). Educational
Research: Competencies for Analysis and Applications (9th ed.).
New Jersey: Pearson.
4. Marczyk, G.; DeMatteo, D.; and Festinger, D. (2005).
Essentials of Research Design and Methodology. New Jersey:
John Wiley & Sons, Inc.
5. Mitchell, M.L. & Jolley, J.M. (2004). Research Design (5th ed.).
Wadsworth: Thomson.
6. Ray, W. J. (2003). Methods Toward a Science of Behavior and
Experience (7th ed.). Wadsworth: Thomson.

Types of Research
UNIT Key Concepts
Curiosity/motivation Exploration
•2• Descriptive
Explanatory
Qualitative
Quantitative
Objectives
After completing this unit you will be able to:
• Classify research into different types based on different

criteria;
• Describe the difference between basic research and applied

research;
• Identify the link between basic and applied research;
• Identify the situations where basic or applied research can be

conducted
• List the aims of basic and applied research;
• Discriminate among descriptive, explanatory and exploratory

research;
• Identify the different types of descriptive and explanatory

research;
• Discuss when to use descriptive or explanatory or exploratory

research;
• Explain the uses of each of the three types of research;
• Define qualitative and quantitative research; and
• Distinguish between qualitative and quantitative research.
Group discussions to debate types of research, and lecture will be

the major modes of delivery. Students will be assessed for this unit
through written test and group assignment based on group
discussion.

Lesson 1: Classification of Research
In this lesson an attempt has been to introduce the classification of

research. There are different ways of classifying research. It is really
difficult to propose a single classification method that fits different
disciplines and is acceptable by all. For example, some classify
research as theoretical and applied research, descriptive and
explanatory research, quantitative and qualitative research,
conceptual and empirical research, and other types of research.
Others classify research in a different way. It should also be noted
that there is no clear dividing line between one method and the
other. There are always overlaps in a sense that one method some
how includes the other. Some researchers rather prefer to treat each
type of research separately instead of looking at a method as a
subset of a broad category.
In this module we use the following ways of classifying research only

for the purpose of illustrating how research is classified. Research
• goal of research,
can be classified in terms of:
• specific objectives of research,

• approaches of research,
• designs,
• the type of data used in research, and
• fields of study.
1.1 Classification of Research based on the Goal of Research
As you will recall, it has been mentioned in Unit One that the goal of
research is problem solving. The nature of the problem that the
research attempts to solve could be theoretical or practical – building
a theory or solving immediate practical problems. These two types of
problems that the research tries to solve leads to two broad
classifications of research:
• basic research, and
• applied research.
1.2 Classification of Research based on the Specific

Objectives of Research
From your knowledge of Unit One, research also addresses specific

purposes. Your interest could be describing a phenomenon of

interest or explaining causal link between two variables. Or you may
be interested in comparing two or more groups on the basis of a
particular phenomenon. Research, therefore, can be classified
differently when the issues at hand are specific objectives of
research. Hence, according to the specific objectives research can
be classified as:
• descriptive,
• explanatory, or
• exploratory research.
1.3 Classification of Research based on Approaches of

Research
Research can be classified as qualitative research and quantitative

research when the issue at hand is the approaches to be employed
in conducting research. As mentioned above, this structure is mainly
for educational purpose. Otherwise, some even argue that these
approaches lie on a continuum ranging from unstructured qualitative
approach to a structured quantitative approach.
1.4 Classification of Research based on Designs
Another way of classifying research is by design. Once the

researcher has determined the specific question to be answered and
has operationalized the variables and research question into a clear,
measurable hypothesis, the next task is to consider a suitable
research design. Although there are endless ways of classifying
research designs, they usually fall into one of three general
• experimental,
categories:
• quasi-experimental, and
• non-experimental.
1.5 Classification or Research by Type of Data
Depending of the type of data generated and used research can be

classified as Primary research (also called field research) and
Secondary research (also known as desk research). Primary
research involves the collection of data that does not already exist
whereas secondary research involves the summary, collation and/or
synthesis of existing data rather than generating primary data,
where data are collected from, for example, research subjects or

experiments.
1.6 Classification of Research by Fields of Study
Research can also be classified based on fields of study. Therefore,
• natural science research,

there are:
• social science research,

• educational research,
• behavioral science research,
• health science research, etc.
Exercise
What is the difference between natural science research and social

science research?
Describe the difference between descriptive and explanatory
research?
How do you choose a particular type of research?
Lesson 2: Basic and Applied Research
The purpose of research can be a complicated issue and varies

across different scientific fields and disciplines. At the most basic
level, science can be split, loosely, into two types, ‘pure research’
and ‘applied research’.
Both of these types follow the same structures and protocols for
propagating and testing hypotheses and predictions, but vary slightly
in their ultimate purpose. An excellent example for illustrating the
difference is by using pure and applied mathematics.
Pure mathematics is concerned with understanding underlying

abstract principles and describing them with elegant theories.
Applied mathematics, by contrast, uses these equations to explain
real life phenomena, such as mechanics, ecology and gravity.
In this Lesson you will get the opportunity to understand the

difference between basic and applied research and the situations
under which basic and applied research can be conducted. And in
this section, the nature of basic or pure research will be discussed.
You will learn the features basic research. Moreover, the nature of
applied or operational research will be discussed. You will learn the
basic features applied research.

2.1 Pure/Basic Scientific Research
Some science, often referred to as ‘pure science’, is about explaining

the world around us and trying to understand how the universe
operates. It is about finding out what is already there without any
greater purpose of research than the explanation itself. It is a direct
descendent of philosophy, where philosophers and scientists try to
understand the underlying principles of existence.
Basic research (also called fundamental or pure research) has as

its primary objective the advancement of knowledge and the
theoretical understanding of the relations among variables. It is
Basic research
basically concerned with the formulation of a theory or a contribution
lays down the
foundation for to the existing body of knowledge. That is, basic research is
the applied designed to add to an organized body of scientific knowledge and
research that does not necessarily produce results of immediate practical value.
follows
• Obtaining and using empirical data to formulate, expand, or

The major aims of basic research include:
• Discovery of knowledge solely for the sake of knowledge.

evaluate theory; and
• Discovery: where a totally new idea or explanation emerges

Hence, basic research may take any of the following forms:
from empirical research which may revolutionize thinking on

that particular topic.
• Invention : where a new technique or method is created.
• Reflection : where an existing theory, technique or group of
ideas is re-examined possibly in a different organizational or
social context.
The driving force in basic research is a researcher’s curiosity or

interest in a scientific question. The motivation behind is to expand
human knowledge, not to create or invent something that has
practical significance.
Whilst offering no direct benefits, pure research often has indirect

benefits, which can contribute greatly to the advancement of
humanity. For example, pure research into the structure of the atom
has led to x-rays, nuclear power and silicon chips.
• Represents a rigorous and structured type of analysis;

In general, basic research:
• Employs careful sampling procedures in order to extend the

findings beyond the group or situation; and

• Has little concern for the application of the findings or social
usefulness of the findings.
2.2 Applied Scientific Research
Applied research is designed to solve practical problems of the

modern world, rather than to acquire knowledge for knowledge's
sake. One might say that the goal of the applied scientist is to
improve the human condition. It is undertaken to solve immediate
practical problem and the goal of adding to the scientific knowledge
is secondary. Some scientists feel that the time has come for a shift
Basic research
lays down the in emphasis away from purely basic research and toward applied
foundation for science. This trend, they feel, is necessitated by the problems
the applied resulting from globalization, migration, overpopulation, pollution, and
research that the overuse of the earth's natural resources.
follows
Applied scientists might look for answers to specific questions that
help humanity, for example medical research or environmental
studies. Such research generally takes a specific question and tries
to find a definitive and comprehensive answer.
The purpose of applied research is about testing theories, often

generated by pure science, and applying them to real situations,
addressing more than just abstract principles. Applied scientific
research can be about finding out the answer to a specific problem,
such as ‘Is global warming avoidable?’ or ‘Does a new type of
medicine really help the patients?’
The primary purpose for applied research is discovering, interpreting,

and the development of methods and systems for solving practical
problems on a wide variety of real life situations of our world and the
universe.
• Is conducted in relation to actual problems and under the

Applied research:
• Employs methodology that is not as rigorous as that of basic

conditions in which they are found in practice;
• Yields findings that can be evaluated in terms of local

research;
applicability and not in terms of universal validity.
2.3 Distinction between Basic and Applied Research
Traditionally, basic and applied research were seen as activities of a

different nature, carried out by different institutions and financed from

different sources. It is, however, difficult to draw a clear boundary
between these two types of research. Researchers believe that
basic and applied types of research should not be thought of as two
mutually exclusive categories, into one or the other of which all
instances of research can be placed unambiguously. Even thinking
of basic and applied as representing ends of a continuum is an
oversimplification because research often yields results that have
both theoretical and practical implications.
It may be appropriate to view the distinction as better considered a

matter of emphasis than as representing a true dichotomy. Some
researchers prefer to focus on one type of research or the other,
addressing natural curiosity or concerns about specific problems
faced by humans. Others may flit back and forth, or find themselves
starting a research which could be considered basic which turns
applied, or vice versa. Although for applied researchers the focus of
research for which the practical motivation is relatively strong, we
believe that much of their work include both theoretical and practical
concerns and the same applies true for researchers who conduct
basic research.
Exercise
Is there commercial value involved in the discoveries that result from

basic research?
Is basic research important for progress to take place?
When do we use basic research?
Is applied research different from action research?
Is applied research the order of the day? If yes why?
When do we use applied research?
How do basic and applied researches differ?
Which is more important?
When is each type of research useful? Can you give examples?
Lesson 3: Descriptive, Explanatory and Exploratory

Research
As mentioned above research can be classified as descriptive and

explanatory depending on the specific purpose that the research
tries to address. Descriptive research sets out to describe and to
interpret what is. It looks at individuals, groups, institutions, methods
and materials in order to describe, compare, contrast, classify,
analyze and interpret the entities and the events that constitute the
various fields of inquiry. It aims to describe the state of affairs as it

exists.
On the other hand, explanatory research, aims at establishing the

cause and effect relationship between variables. The researcher
uses the facts or information already available to analyze and make
a critical evaluation of the data/information. Exploratory research is
less formal, sometimes even unstructured and focuses on gaining
background information and helps to better understand and clarify a
problem. It can be used to develop hypotheses and to develop
questions to be answered.
3.1 Descriptive Research
As said earlier, the goal of descriptive research is to describe some

aspect of a phenomenon, i.e., the status of a given phenomenon. It
can help understand a topic and lead to causal analysis. Descriptive
research, therefore, involves a variety of research methods to
achieve its goal. The methods that come under descriptive research
• Surveys
are:
• Correlation studies
• Observation studies
• Case studies
The details of the methods are given in the subsequent units.
3.1.1. Surveys
Surveys gather data at a particular point in time with the intention of

describing the nature of existing conditions, or identifying standards
against which existing conditions can be compared, or determining
the relationships that exist between specific events. They may vary
in their levels of complexity and in terms of their scope. Typically
survey method is used to scan a wide field of issues, populations,
programs etc. in order to measure or describe any generalized
• gathers data on a one-shot basis and hence is economical

features. It is useful in that it usually:
and efficient;
• represents a wide target population
• generates numerical data;
• provides descriptive, inferential and explanatory information;
• manipulates key factors and variables to derive frequencies;
and

• presents material which is uncluttered by specific contextual
factors.
Surveys can be distinguished as cross-sectional and longitudinal.

Longitudinal surveys can further be classified as trend studies,
cohort studies and panel studies.
Exercise
In what situation is survey more appropriate?

Distinguish among the different types of surveys.
3.1.2 Correlational Studies
Correlational studies trace relationships among two or more

variables in order to gain greater situational insight. We may wish to
know, for example, whether there is relationship between sex and
choice of field of study; whether criminal behavior is related to social
class background; or whether an association exists between the
number of years spent in full-time education and subsequent annual
income. In this case we conduct correlational study- where
researchers measure a number of variables for each participant,
with the aim of studying the associations among these variables.
The purpose of correlational studies is not to establish cause-effect
relationship among variables but to determine whether the variables
under study have some kind of association or not. Variables being
studied may have positive or negative relationship or they may not
have relationship at all.
Exercise
Give examples of variables that are positively or negatively related,

or are unrelated.
3.1.3 Observation Studies
There are many instances where we may be interested in a behavior

that occurs in its natural environment. In such situation we conduct
observation studies. What is observation study? Observation
studies, as their name implies, involve observing and recording of
behavior or trait or attribute as it occurs in its natural settings.

• The first and most fundamental principle is that of
In general, observation study has the following important features:
noninterference.
• Second, observation study involves the observation and
detection of invariants, or behavior patterns or other
phenomena that exist in the real world.
• Third, observation study is particularly useful when we know
little or nothing about a certain subject.
• Finally, observation study is basically descriptive. Although it
can provide a somewhat detailed description of a
phenomenon, it cannot tell us why the phenomenon occurred.
Exercise
Give examples of variables that can be studied most effectively with

observation studies.
3.1.4 Case Studies
Case studies emphasize detailed contextual analysis of a limited

number of events or conditions and their relationships. They are
largely descriptive examinations, usually of a small number of sites
(small towns, hospitals, schools). Case studies can provide very
engaging, rich explorations of a project or application as it develops
in a real-world setting.
Exercise
When do you decide to use case study than surveys or correlational

study?
What are the problems associated to case study?
3.2 Explanatory Research
When we encounter an issue that is already known and have a

description of it, we might begin to wonder why things are the way
they are. The desire to know "why," to explain, is the purpose of
explanatory research. It is a continuation of descriptive research and
builds on exploratory and descriptive research and goes on to
identify the reasons for something that occurs. The researcher goes
beyond merely describing the characteristics, to analyze and explain
why or how something is happening. Thus, explanatory or analytical
research aims to understand phenomena by discovering and

measuring causal relations among them. That is, explanatory
research looks for causes and reasons. For example, it is one thing
to describe the crime rate in a country, to examine trends over time
or to compare the rates in different countries. It is quite a different
thing to develop explanations about why the crime rate is as high as
it is why some types of crime are increasing or why the rate is higher
in some countries than in others.
Exercise
The way in which researchers develop research designs is

fundamentally affected by whether the research question is
descriptive or explanatory. Discuss.
Explanatory research builds on both exploratory and descriptive
• Explaining things not just reporting. Why? Elaborating and

researches. It involves:
enriching a theory's explanation.

• Determining which of several explanations is best.
• Determining the accuracy of the theory; test a theory's
predictions or principle.
• Providing evidence to support or refute an explanation or
prediction.
• Testing a theory's predictions or principles.
Answering the why questions involves developing causal

explanations. Causal explanations argue that phenomenon Y is
affected by factor X. In this example, the cause or the reason is Y
which is technically termed as independent variable and the effect or
the behavior is X which is also known as dependent variable. Some
causal explanations will be simple while others will be more complex.
There are two types of explanatory research:

„ Experimental research
„ Ex post facto research
3.2.1 Experimental Research
In its simplest form, experimental research involves comparing two

groups on one outcome measure to test some hypothesis regarding
causation. The key element in true experimental research is
scientific control and the ability to rule out alternative explanations.
An experimenter interferes with the natural course of events, in order

to construct a situation in which competing theories can be tested. It
is the best method when the purpose of research is to determine
causal influences between variables. In experimental research, the
researcher intentionally manipulates one variable to measure its
effect on the other.
3.2.2 Ex Post Facto Research
Ex post facto research is a method of teasing out possible

antecedents of events that have happened and cannot, therefore,
be engineered or manipulated by the investigator. Ex post facto in
research means after the fact or retrospectively and refers to
those studies which investigate possible cause-and-effect
relationships by observing an existing condition or state of affairs
and searching back in time for plausible causal factors.
If a researcher is interested in investigating the reasons why fatal

traffic accident is increasing in Ethiopia, he/she can not do it by
randomly assigning research participants into experimental and
control group. There is no way in which a researcher can study the
actual accidents because they have happened . What a researcher
can do, however, is to attempt to reconstruct the causal link by
studying the statistics, examining the accident spots, and taking
note of the statements given by victims and witnesses. This means
that a researcher is studying the independent variable or variables in
retrospect for their possible relationship to, and effects on, the
dependent variable or variables.
Exercise
What are the characteristics of ex post facto research?
Why do we use ex post facto research?
What is the difference between experimental research and ex post
facto research?
3.3 Exploratory research
Exploratory research is conducted when there are few or no earlier

studies to which references can be made for information. It provides
insights into and comprehension of an issue or situation for more
rigorous investigation later. Exploratory research is a type of
research conducted because a problem has not been clearly
defined. Its purpose is to gain background information and better
• determine the best research design,

understand and clarify a problem. Exploratory research helps to:
• develop hypotheses,

• develop questions to be answered,
• understand how to measure a variable,
• determine data collection method, and
• determine selection of subjects.
It can be said that exploratory research is generally a precursor to

a more formal study. It helps save time, and resources. If a
researcher is starting a new project, she/he probably should start
with exploration. Exploratory research often relies on secondary
research such as reviewing available literature and/or data, or
qualitative approaches such as informal discussions with
consumers, employees, management or competitors, and more
formal approaches through in-depth interviews, focus groups,
projective methods, case studies or pilot studies.
The results of exploratory research are not usually useful for

decision-making by themselves, but they can provide significant
insight into a given situation. Although the results of qualitative
research can give some indication as to the "why", "how" and
"when" something occurs, it cannot tell us "how often" or "how
many."
Exercise
What are the methods used in exploratory research?

The aim of exploratory research is to look for patterns, ideas or
hypotheses rather than testing or confirming a hypothesis. WHY?
Lesson 4: Qualitative and Quantitative Research
There is no consensus about how to conceptualize the actual

undertaking of research. However, as you might recall from Lesson
2.1, we mentioned that there is a tendency to divide research into
qualitative and quantitative when approach to research has been
considered as the criterion of classification. Quantitative and
qualitative methods raise a number of fundamental epistemological
issues and visions of what science is. Each method derives from
contrasting academic and philosophical traditions. Quantitative
methods are identified with the so-called ‘‘hard science’’
disciplines, whereas qualitative methods, with the social sciences.

4.1 Qualitative Research
Qualitative research involves studies that do not attempt to quantify

their results through statistical summary or analysis. Qualitative
research seeks to describe various aspects about behavior and
other factors studied in the social sciences and humanities. In
qualitative research data are often in the form of descriptions, not
numbers. But sometimes results of qualitative research are
subjected to relatively less rigorous quantitative treatment. Often the
goal of qualitative research is to look for meaning. That is, stress is
laid on the socially constructed nature of reality, the intimate
relationship between the research and researched and situational
constraints that shape the enquiry.
Qualitative research is characterized by adherence to diverse array

of orientations and strategies for maximizing the validity of
trustworthiness of study procedures and results. It is thus a type of
empirical enquiry that entails purposive sampling for gathering data.
It typically involves in-depth interviews, group discussions, artifact
studies, projective techniques, and observations without formal
measurement. A case study, which is an in-depth examination of
one person, is a form of qualitative research. Qualitative research is
much more time consuming, but provides more richness to the data.
In epistemological terms, qualitative research is identified with
phenomenological and interpretative research.
Exercise
What is qualification in qualitative research?

What are the advantages and disadvantages of qualitative
research?
4.2 Quantitative Research
Quantitative research is the systematic and scientific investigation of

quantitative properties and phenomena and their relationships. The
objective of quantitative research is to develop and employ
mathematical models, theories and hypotheses pertaining to natural
phenomena. The process of measurement is central to quantitative
research because it provides the fundamental connection between
empirical observation and mathematical expression of an attribute.
It usually starts with a theory or a general statement proposing a

general relationship between variables. With this approach it is likely
that the researchers will take an objective position and their
approach will be to treat phenomena as hard and real. As a result

proponents of such studies claim that quantitative research is
undertaken in a value free framework. Quantitative researchers
favor methods such as surveys and experiments, and will attempt
to test hypotheses or statements with a view to infer from the
particular to the general. This approach typically concentrates on
measuring or counting and involves collecting and analyzing
numerical data and applying statistical tests.
Exercise
In what sense is quantitative research different from qualitative

research?
What are the advantages and disadvantages of quantitative
research?
What does quantification mean?
4.3 Characteristics of Qualitative and Quantitative

Research
The main characteristics of qualitative and quantitative research

are summarized in the following table.
Characteristics Qualitative Research Quantitative Research
• Typical Data Participant observation, semi-structured interviews, Laboratory observations,
Collection introspection. questionnaire, schedule or
structured interviews.
• Formulation of
Methods
Open loosely specified questions and possible Closed questions and answer
Questions and answers. Questions and answers are exchanged in categories to be prepared in
Answers two way communication between researcher and advance.
research participant.
• Selection of Information maximization guides the selection of Representativeness as proportion
Respondents respondent. Every respondent may be unique (key of population N. Sample
person). selection, sample size according
to assumptions about distribution
in population N. Respondents
• Timing of
should be directly comparable.
Parallel with data collection After data collection
• Application of
Analysis
Are rarely used. Methods of analysis are formulated Standard statistical methods are
Standard during the data collection process. frequently used
Methods of
• Typical forms
Analysis
Critical analysis and interpretation of source Cross tabulations, correlation
of Analysis materials. Selection, systematizing and analysis and tests of significance
• The Role of
summarizing interview transcripts and observations. on numerical data
Existing theories are typically used only as point of A-priori deducted theories are
Theories in the departure for the analysis. Theories are further operationalised and tested on
Analysis developed by forming new concepts and relations. data. The process of analysis is
The contents of the new concepts are studied and basically deductive.
illustrated. Practical application of theory is
illustrated by cases.

4.4 Differences between Qualitative and Quantitative
Research
The above summary also provides us with important features

where qualitative and quantitative researches differ. In addition we
may summarize the differences between the two approaches as
follows:
1. They differ in terms of the nature of reality. Quantitative

researchers believe that there are human characteristics and
processes that constitute a form of reality in that they occur
under a wide variety of conditions and thus can be generalized
to some degree. On the other hand, qualitative researchers
believe that there are no human characteristics and processes
from which generalizations can emerge. Instead, each subject
or phenomenon is different and can only be studied
holistically.
2. They also differ in terms of the relationship of the researcher to

the research participants. In quantitative research, the
researcher can function independently of the participants of
the research to a major degree, although some interaction is
probably inevitable. Whereas in qualitative research the
researcher and the research participant interact to influence
one another and are inseparably interconnected. In addition, in
qualitative research the research participants play a role in
interpreting the outcomes of the study.
3. Qualitative research often does not know what it is looking for

whereas quantitative research does - designs and
measurements decisions are made prior to conducting the
research. In qualitative research the design of the research
emerges as the research progresses. That is, in qualitative
inquiry the investigator starts with a very tentative design and
develops the design as the inquiry progresses.
4. Qualitative researchers are often immersed in the data and

look at it more subjectively whereas quantitative research
demands objectivity.
5. Qualitative research typically employs small samples than

quantitative research.

6. The ultimate goal of research in quantitative research is to
develop a body of knowledge in the form of generalization that
will hold at least to some degree over time and in contexts
similar to those in which the generalizations were developed.
In Qualitative research the aim of inquiry is to develop a body
of knowledge that is unique to the individual being studied,
and that can be used to develop hypotheses about the
individual.
7. Qualitative research describes meaning or discovery whereas

quantitative establishes relationship or causation. That is, in
quantitative research, given sufficient research with valid
measures, every action or effect can be explained by a cause
or combination of causes that precede the effect in time. In
qualitative research all elements in the situation are in a state
of mutual simultaneous interaction so it is impossible to
distinguish causes from effects.
8. Quantitative inquiry should be made as value-free as possible

through the use of sound research design and objective data
collection procedures. Qualitative research, on the other hand,
is value-bound because inquiries are inevitably influenced by
the values of the researcher, the choice of theory, the
methodology employed, and the values inherent in the context
of the inquiry.
9. Qualitative research uses unstructured data collection

whereas quantitative research uses structured data collection
methods. In qualitative research, humans are the primary
data-gathering instrument. Non-human instruments –
measurement instruments are the data gathering tools in
Exercise
Qualitative and quantitative approaches differ in terms of the

objectives of research. Discuss.
Which of the two approaches emphasizes the use of intuitive

insights in conducting research?

Unit Summary
• There are different ways of classifying research. As

illustration, in this module research is classified based on goal
of research, specific objectives of research, approaches of
research, designs, the type of data used in research, and
•
fields of study.
In terms of goals, research is divided into basic and applied
•
research.
In terms of specific objectives, research is divided into
•
descriptive, explanatory, and exploratory research.
In terms of approach, research is divided into qualitative and
•
In terms of design, research is divided into experimental,
•
quasi-experimental, and non experimental research.
In terms of the type of data to be generated, research can be
•
classified as primary and secondary research.
In terms of fields of study, research can be classified as
natural science, social science, health science, engineering,
•
behavioral science, etc. research.
The aim of basic research is the advancement of knowledge
•
and involves rigorous and structured type of analysis.
Applied scientific research can be about finding out the
•
answer to a specific problem.
Descriptive research sets out to describe and to interpret what
•
is.
Explanatory research, aims at establishing the cause and
•
effect relationship between variables.
Exploratory research focuses on gaining background
information and helps to better understand and clarify a
•
problem.
The methods that come under descriptive research are:
surveys, correlation studies, observation studies, and case
•
studies.
There are two types of explanatory research: experimental
•
research and ex post facto research
Qualitative and quantitative approaches differ in terms of the
nature of reality, relationship of the researcher to the research
participants, the possibility of generalizations, the possibility of
causal linkage, and in terms of the role of values in research.

References
1. Belay Tefera (2007). Research Methods in Behavioral Sciences:

Modular Text for Psychology Students.
2. de Marrais, K & Lapan, S.D. (eds.) (2004). Foundations for
Research: Methods of Inquiry in Education & the Social
Sciences. Mahwah: Lawrence Erlbaum Associates.
3. Gay, L.R.; Mills, G.E.; & Airasian, P. (2009). Educational
Research: Competencies for Analysis and Applications (9th ed.).
New Jersey: Pearson.
4. Marczyk, G.; DeMatteo, D.; and Festinger, D. (2005). Essentials
of Research Design and Methodology. New Jersey: John Wiley
& Sons, Inc.
5. Mitchell, M.L. & Jolley, J.M. (2004). Research Design (5th ed.).
Wadsworth: Thomson.
6. Ray, W. J. (2003). Methods Toward a Science of Behavior and
Experience (7th ed.). Wadsworth: Thomson.
Assignment
1. Which of the two types of research (basic or applied) will be the

focus of your graduate research?
_____________________________________________________
_____________________________________________________
2. Is there commercial value involved in the discoveries that result

from basic research?
_______________________________________________________
_______________________________________________________
3. Is basic research important for progress to take place?

_______________________________________________________
_______________________________________________________
4. When do we use basic research?

_______________________________________________________
_______________________________________________________
5. Is applied research different from action research?

_______________________________________________________
_______________________________________________________
_

6. When do we use applied research?
________________________________________________________
________________________________________________________
7. How do basic and applied researches differ? Is one type of research

more important than the other?
________________________________________________________
________________________________________________________
8. When is each type of research useful? Can you give examples?
________________________________________________________
________________________________________________________
9. Why is qualitative research inductive in its nature?

________________________________________________________
________________________________________________________
10. Which of the two approaches involves flexible methods of data

collection?
________________________________________________________
________________________________________________________

UNIT Process in Research Proposal Development
Key Concepts
•3• Research proposal Research problem
Research questions Research objectives
Literature review Research design
Sample size determination Sampling methods
Probability sampling Non-probability sampling
Objectives
The objective of this unit is to demonstrate the various steps involved

in the development of a research proposal. After completing this unit
you should be able to:
• Know the contents of a research proposal
• Describe how to identify a research topic
• Identify a research problem and formulate a research

question/hypothesis
• Set the objectives/aims
• Develop a research design and methods
• Prepare a review of the literature related to the topic
• Cite references
• Prepare work plan
• Identify resources required and prepare a budget
• Produce a complete research proposal
• The training method applied is based on learning by doing.

Students will themselves develop a mini-research proposal.
Thus, the course should not be perceived as having a
teacher-student orientation. It should rather provide a forum
for sharing information where everyone can contribute the

benefits of his or her own experience and knowledge. This
sharing will add greatly to the richness and relevance of the
research methods module. There will be lectures, exercises,
•
individual assignments and group discussions.
Students will work individually or in small groups and design
mini-research proposals, step by step, on a problem (research
question) they have selected. As each new step is introduced,
new concepts and research procedures will be presented.
The participants will immediately apply these in the proposals
they are developing.
Lesson 1: What is the Research Proposal?
1.1 Introduction
Before an attempt is made to start with a research project, a

research proposal should be compiled. For the beginner researcher,
this is usually among the most difficult parts. It is, however, the most
important aspect of the research project and should be considered
carefully by the researcher. This does not only require subject
knowledge, but also insight into the problem that is going to be
investigated, so as to give logic and structure to the research
envisaged. This unit of the research methodology module is a guide
to write a research proposal. Use the guidelines as a point of
departure for discussions with your advisor/instructor. They may
serve as a straw-man against which to build your understanding of
both your study and of proposal writing.
Students are advised to read the module beforehand so that they

can benefit, as much as possible, from the presentations and group
work. It may be extremely useful for the students to (re)read the
module after the presentation and group work as well.
1.2 Identifying a research topic
Defining the problem is the first step and one of the most difficult in
research undertaking. There is a tendency for the beginner in
research to ask questions that are usually diffuse or vague. Each
topic that is proposed for research has to be judged according to
certain guidelines or criteria. There may be several ideas to choose
from. Before deciding on a research topic, each proposed topic must
be compared with all other options. The guidelines or criteria
discussed on the following can help in this process:

Criteria for selecting a research topic:
•
•
Relevance/Significance
•
Avoidance of duplication
•
Urgency of data needed (timeliness)
•
Feasibility of study
•
Applicability of results
•
Interest to the researcher
Ethical acceptability
1.3 What is a research proposal?

After proper and complete planning of a research, the plan should be
written down. The research proposal is the detailed plan of study. The
term "research proposal" indicates that a specific course of action will
be followed. It is a document which sets out your ideas in an easily
accessible way. The intent of the written research proposal is to
present a focused and scholarly presentation of a research problem
and plan. The early presentation of a research plan in the post
graduate training of students is intended to promote critical and
analytical thinking, focused research effort, and extensive interaction
with their thesis advisor throughout the research. The objective in
writing a proposal is to describe what you will do, why it should be
done, how you will do it and what you expect will result. Being clear
about these things from the beginning will help you complete your
research in a timely fashion. A vague, weak or fuzzy proposal can
lead to a long, painful, and often unsuccessful research writing
exercise. A clean, well thought-out, proposal forms the backbone for
the research itself. A good research proposal hinges on a good idea.
Getting a good idea hinges on familiarity with the topic. This assumes
a longer preparatory period of reading, observation, discussion, and
incubation. Read everything that you can in your area of interest.
Figure out what are the important and missing parts of our
understanding. Figure out how to build/discover those pieces. Live
and breath the topic. Talk about it with anyone who is interested. Then
just write the important parts as the proposal.
• forces the students to clarify their thoughts and to think about

The written proposal:
• is a necessary guide if a team is working on the research;

all aspects of the study;
• is essential if the study involves research on human subjects or

on experimental animals, in order to get the institution’s ethical
approval;

• is an essential component submitted for funding.
From the process of the development of the research proposal,

students benefit from the advise of their supervisor(s), experts and
colleagues in referring to their plan. But once a proposal for a study
has been developed and approved, and the study has started and
progressed, it should be adhered to strictly and should not be
changed. Violations of the proposal can discredit the whole study.
A well-thought out and well-written proposal can be judged according
• Is it adequate to answer the research question(s), and

to three main criteria.
• Is it feasible in the particular set-up for the study?

achieve the study objective?
• Does it provide enough detail that can allow another

investigator to do the study and arrive at comparable
results?
Issues to remember: Know your area of expertise: what are your

strengths and what are your weaknesses? Play to your strengths,
not to your weaknesses. Do not assume that, because you do not
understand an area, no one understands it or that there has been no
previous research conducted in the area. If you want to get into a
new area of research, learn something about the area before you
write a proposal. Research previous work. Be a scholar. Before you
start work on your research proposal, find out whether you’re
required to produce the proposal in a specific format. Most graduate
programs at Addis Ababa University have a general outline and a
guide as to how many pages to produce.
Exercise
Why do you need to write a good research proposal?
Who do you think will want to read your research proposal?
Lesson 2: Components of a Research Proposal
The basic components of a research proposal are the same in many

fields. However, how they are phrased and staged may vary by
discipline. The following components can be regarded as steps in
the writing of the research proposal. They are important and should
be followed for the actual composition of the proposal. The
organization of the contents of a proposal may vary somewhat with
the nature of the activity proposed. Generally, the basic components

of a proposal are described in this unit in the order in which they
most logically appear in a proposal. However, when it comes to
related research, the inquirer may find it useful, even necessary, to
incorporate some parts of the discussion into other sections of the
proposal.
Issues to remember: It is important to remember the components

will not always appear in all postgraduate programs at AAU, as
separate sections, or in the order listed here. Once you've learned
the basic rules for research proposal, you can apply them to any
research discipline.
Components of a research proposal:

1. Title page
2. Summary/Abstract
3. Introduction/Background
4. Statement of the problem
5. Literature review
6. Hypotheses /Questions
7. Conceptual framework
8. Objective/Aim of the study
9. Research methods, materials and procedures
o Study area
o Study design
o Study subjects
o Eligibility Criteria (if any)
o Sample size
o Sampling methods
o Method of data collection
The abstract is o Description of variables
a mini version of o Data quality assurance
the proposal o Operational definitions
o Plan of data analysis
10. Work plan
11. Budget
12. References
13. Appendices/Annexes
2.1 Title page

A title ought to be well studied, and to give, so far as its limits permit,
a definite and concise indication of what is to come. The title of your
research proposal should state your topic exactly in the smallest

possible number of words. Put your name, the name of your
department/faculty/college, the name of your advisor(s) and date of
delivery under the title.
All words in the title should be chosen with great care, and
association with one another must be carefully managed. The title
page identifies the proposal and provides the endorsement of
appropriate body (advisor). A good title is defined as the fewest
possible words that adequately describe the contents of the study.
Title is a label: it is not a sentence. Titles should almost never
contain abbreviations. The title page has no page number and it is
not counted in any page numbering.
Exercise
What do you think of the following the research topics? Discuss on
their merits and provide your own alternative titles.
How does the human brain work when faced with stress?
The workings of the human brain in times of stress.
Stress and the human brain.
Effect of stress on short-term memory
Abebe’s memory function during semester final exams
2.2 Summary/Abstract
The abstract is a one page brief summary of the thesis proposal. It
needs to show a reasonably informed reader why a particular topic is
important to address and how you will do it. To that end, it needs to
show how your work fits into what is already known about the topic
and what new contribution your work will make. Specify the question
First that your research will answer, establish why it is a significant
impressions are question; show how you are going to answer the question. Do not
strong put information in the abstract that is not in the main text of your
impressions: research proposal. Do not put references, figures, or tables in the
make your title abstract.
an attention
grabber.

Issues to remember: The abstract is a concise summary of the
material presented in the proposal. Though it appears at the front
of the proposal, it is written last. A well-prepared summary enables
• Identify the basic content of a document quickly and

the reader to
• Determine its relevance to their interests, and

accurately,
• Decide whether they need to read the document in its entirely
Exercise
Do you think it would be appropriate to include your methods in the
abstract?
Summarizing a wide topic is more difficult than it sounds. By way of
illustration, make single sentence statements on the following topics:
The role of water in living organisms.
Differences between males and females.
The political history of Ethiopia.
Status of child health care in Ethiopia.
Environmental impact of urban living.
2.3 Introduction/background
The introduction is the part of the proposal that provides readers with
the background information for the research proposal. Its purpose is
to establish a framework for the research, so that readers can
understand how it is related to other research. Be sure to include a
hook at the beginning of the introduction. This is a statement of
something sufficiently interesting to motivate your reader to read the
rest of the proposal, it is an important/interesting scientific problem
that your study either solves or addresses. The introduction should
cite those who had the idea or ideas first, and should also cite those
who have done the most recent and relevant work. You should then
go on to explain why more work is necessary (your work, of course.)
• Sufficient background information to allow the reader to

The introduction also should address the following points:

understand the context and significance of the question you
•
are trying to address.
Proper acknowledgement of the previous work on which you
•
are building.
Sufficient references such that a reader could, by going to the
library, achieve a sophisticated understanding of the context
•
and significance of the question.
The introduction should be focused on the research
•
question(s).
All cited work should be directly relevant to the goals of the
•
research.
Explain the scope of your work, what will and will not be
•
included.
A verbal "road map" or verbal "table of contents" guiding the
•
reader to what lies ahead.
Is it obvious where introductory material ("old stuff") ends and
your planned contribution ("new stuff") begins?
Issues to remember: In summary, the introduction/background

section should contain a rationale for your research. Why are you
undertaking the project? Why is the research needed? This rationale
should be placed within the context of existing research or within
your own experience and/or observation. You need to demonstrate
that you know what you’re talking about and that you have
knowledge of the literature surrounding this topic. If you’re unable to
find any other research that deals specifically with your proposed
project, you need to say so, illustrating how your proposed research
will fill this gap. If there is other work that has covered this area, you
need to show how your work will build on and add to the existing
knowledge. Basically, you have to convince people that you know
what you’re talking about and that the research is important.
Exercise
Is it appropriate to include in the introduction theories, hypothesis
and findings that go against your stated hypothesis?
Is it appropriate to include research works in progress that offer an
alternative hypothesis?
2.4 Statement of the problem

Most research proposals, whether designed for master's theses or
doctoral dissertations, may be considered as responses to a

problem. A problem might be defined as the issue that exists in the
literature, theory, or practice that leads to a need for the study. The
prospective researcher should think on what caused the need to do
Statement of the research (problem identification). The question that he/she
the problem should ask him/herself is: Are there questions about this problem to
encapsulates which answers have not been found up to the present? The research
the question problem should be stated in such a way that it would lead to
you are trying to analytical thinking on the part of the researcher with the aim of
answer. possibly concluding solutions to the stated problem. The problem
statement describes the context for the study and it also identifies
the general analysis approach. It is important in a proposal that the
problem stand out—that the reader can easily recognize it. Effective
problem statements answer the question “Why does this research
need to be conducted.” If a researcher is unable to answer this
question clearly and succinctly, and without resorting to hyper-speak,
then the statement of the problem will come off as ambiguous and
diffuse. The most frequent dilemma among graduate students is their
seemingly aimless search for a problem significant enough to pursue
and discrete enough to handle. A well-articulated statement of the
problem establishes the foundation for everything to follow in the
proposal and will render less problematic most of the conceptual,
rhetorical and methodological obstacles typically encountered during
the process of proposal development. This means that, in
subsequent sections of the proposal, there should be no surprises,
such as categories, questions, variables or data sources that come
out of nowhere: if it can't be found in the problem statement section,
at least at the implicit level, then it either does not belong in the study
or the problem statement needs to be re-written.
Exercise
Formulate a problem statement in your specific area of research
interest
Evaluate the research questions provided below and answer the
following questions:
- Do the questions offer significant area of research?
- Are they testable (i.e. can you obtain answers to these questions?)
- Are they too broad/narrow?
- Propose alternatives that refine the questions.
“Does frequent use of mobile phones increase the risk

of brain cancer?”
“Which of the following cultivars (varieties) of sorghum
produces the highest yield in semi-arid regions of
Ethiopia?”
“Does capital punishment serve as a deterrent to
violent criminals?
2.5 Literature review

To conduct research regarding a topic, by implication, means that
the researcher has obtained sound knowledge with regard to the
research topic. It is therefore imperative that the researcher, at the
time of the submission of the research proposal, clearly indicates
what theoretical knowledge he possesses about the prospective
research.
What is a literature review?
Literature review is not a compilation of every work written about a

topic. It is not simply a list of sources reviewed separately for their
The literature own merit. A literature review is a description of the literature
review asks relevant to a particular field or topic. It gives an overview of what has
how similar and been said, who the key writers are, what are the prevailing theories
related and hypotheses, what questions are being asked, and what methods
questions have and methodologies are appropriate and useful. As such, it is not in
been answered itself primary research, but rather it reports on other findings.
before.
A literature review uses as its database reports of primary or original
scholarship, and does not report new primary scholarship itself. The
primary reports used in the literature may be verbal, but in the vast
majority of cases reports are written documents. The types of
scholarship may be empirical, theoretical, critical/analytic, or
methodological in nature. Second a literature review seeks to
describe, summarize, evaluate, clarify and/or integrate the content of
primary reports.
The stages of a literature review
Define the problem
It is important to define the problem or area which you wish to

address. Having a purpose for your literature review will narrow the

scope of what you need to look out for when you read.
Carry out a search for relevant materials
Relevant materials will probably comprise a range of media:

• books (monographs, text books, reference books);
• articles from journals, whether print or electronic (but make
sure electronic journals have been subject to the peer review
process);
• newspaper articles;
• historical records;
• commercial reports and statistical information;
• government reports and statistical information;
• theses and dissertations;
• other types of information which may be relevant to your
particular discipline.
Initial appraisal from raw bibliographical data:

• What are the authors’ credentials? are they experts in the
field? are they affiliated with a reputable organization?
• What is the date of publication, is it sufficiently current or will
knowledge have moved on?
• If a book, is it the latest edition?
• Is the publisher a reputable, scholarly publisher?
• If it is a journal, is it a scholarly journal peer reviewed?
Appraisal based on content analysis:

• Is the writer addressing a scholarly audience?
• Do the authors review the relevant literature?
• Do the authors write from an objective viewpoint, and are their
views based on facts rather than opinions?
• If the author uses research, is the design sound?
• Is it primary or secondary material?
• Do the authors have a particular theoretical viewpoint?
• What is the relationship of this work to other material you
have read on the same topic, does it substantiate it or add a
different perspective?
• Is the author's argument logically organized and clear to
follow?
• If the author is writing from a practice-based perspective, what
are the implications for practice?
How to organize a literature review
There are a number of ways of organizing a literature review. Here is

one suggestion:
A. Introduction: define the topic, together with your reason for

selecting the topic. You could also point out overall trends,
gaps, particular themes that emerge, etc.
B. Body: this is where you discuss your sources. Here are some
ways in which you could organize your discussion:
o chronologically: for example, if writers' views have
tended to change over time. There is little point in
doing the review by order of publication unless this
shows a clear trend;
o thematically: take particular themes in the literature;
o methodologically: here, the focus is on the methods
of the researcher, for example, qualitative versus
quantitative approaches.
C. Conclusion: summarize the major contributions, evaluating

the current position, and pointing out flaws in methodology,
gaps in the research, contradictions, and areas for further
study.
• be organized around and related directly to the research question

Issues to remember: A literature review must do the following things:
• synthesize results into a summary of what is and is not known

you are developing
• identify areas of controversy in the literature

• formulate questions that need further research
• What is the specific research question that my literature

Ask yourself the following type of questions:
• What type of literature review am I conducting? Am I looking

review helps to define?
at issues of theory? methodology? policy? quantitative
• What is the scope of my literature review? What types of

research? qualitative research ?
• How good was my information seeking? Has my search been

publications am I using? What discipline am I working in?
wide enough to ensure I've found all the relevant material?

Has it been narrow enough to exclude irrelevant material? Is
the number of sources I've used appropriate for the length of
• Have I critically analyzed the literature I use? Do I follow

my paper?
through a set of concepts and questions, comparing items to

each other in the ways they deal with them? Instead of just
listing and summarizing items, do I assess them, discussing
•
strengths and weaknesses?
Have I cited and discussed studies contrary to my
•
perspective?
Will the reader find my literature review relevant, appropriate,
and useful?
Exercise
Is wikipedia an authoritative scholarly source of information?
You are studying the impact of flooding on loss of livestock in a

region of Ethiopia. Would the Ethiopian Herald newspaper be a
reliable source of information for such a study?
2.6 Questions and/or Hypotheses
Hypotheses and questions are linked to the speculative proposition

of the problem statement, can be inferred from the overall
conceptual framework of a study, and are of critical importance to
data analysis and interpretation. In research studies, the term
hypotheses implies a derivation, within a hypothetic-deductive
theoretical system, of a particular assertion or prediction. The
hypothesis is subject to test, i.e., to confirmation or rejection on
empirical grounds. The term question implies an interrogative
statement that can be answered by data, which is logically related to
the same conceptual framework, but which does not necessarily
stem from that framework through logical deduction.
Questions are most often used in qualitative inquiry, although their

use in quantitative inquiry is becoming more prominent. Hypotheses
are relevant to theoretical research and are typically used only in
quantitative inquiry. A research question poses a relationship
between two or more variables but phrases the relationship as a
question; a hypothesis represents a declarative statement of the
relations between two or more variables. Deciding whether to use
questions or hypotheses depends on factors such as the purpose of the
study, the nature of the design and methodology of the research. Make a
clear and careful distinction between the dependent and independent
variables and be certain they are clear to the reader. Hypotheses are
thus tentative statements that should either be acknowledged or
rejected by means of research.
Because hypotheses give structure and direction to research, the
following aspects should be kept in mind when formulating a
hypothesis:

• Hypotheses can only be formulated after the researcher has
gained enough knowledge regarding the nature, extent and
intensity of the problem.
• Hypotheses should figure throughout the research process in
order to give structure to the research.
• Hypotheses are tentative statements/solutions or explanations
of the formulated problem. Care should be taken not to over-
simplify and generalize the formulation of hypotheses.
• The research problem does not have to consist of one
hypothesis only. The type of problem area investigated, the
scope of the research field are the determinate factors on how
many hypotheses will be included in the research proposal.
Issues to remember: A research hypothesis is usually stated in an

explanatory form, because it indicates the expected reference of the
difference between two variables. In other words it verifies the reference that
the researcher expects by means of incorporating selected research
procedures. The research hypothesis may be stated in a directional or non-
directional form. A directional hypothesis statement indicates the expected
direction of results, while a non directional one indicates no difference or no
relationship.
Exercise
Formulate hypotheses for the questions at the end of 3.2.4
2.7 Conceptual framework
Every research activity is conceptualized and will be carried out

within some contextual framework. This contextual framework is in
part conceptual, in part valuational, and in part practical (or
operational), and all of these factors must typically be considered.
A conceptual framework is described as a set of broad ideas and

principles taken from relevant fields of enquiry and used to structure
a subsequent presentation. When clearly articulated, a conceptual
framework has potential usefulness as a tool to scaffold research
and, therefore, to assist a researcher to make meaning of
subsequent findings. Such a framework should be intended as a
starting point for reflection about the research and its context. The
framework is a research tool intended to assist a researcher to
develop awareness and understanding of the situation under scrutiny
and to communicate this.

Exercise
What are some examples of constraining contextual factors?
2.8 Objective/aim of the study
The objectives of a research delineate the ends or aim which the
inquirer seeks to bring about as a result of completing the research
undertaken. An objective may be thought of as either a solution to a
problem or a step along the way toward achieving a solution; an end
state to be achieved in relation to the problem. The objectives of a
research project summarise what is to be achieved by the study.
Objectives should be closely related to the statement of the problem.
After statement of the primary objective, secondary objectives may
be mentioned.
•
Objectives should be
•
simple (not complex),
•
specific (not vague),
stated in advance (not after the research
•
is done), and
stated using “action verbs” that are
specific enough to be measured.
Commonly, research objectives are classified into general

objectives and specific objectives. The general and specific
objectives are logically connected to each other and the specific
objectives are commonly considered as smaller portions of the
general objectives. It is important to ascertain that the general
objective is closely related to the statement of the problem.
• General objective
o What exactly will be studied?
o General statements specifying the desired outcomes of
•
the proposed project
Specific objectives
o Specific statements summarizing the proposed
activities and including description of the outcomes and
their assessment in measurable terms
o It identifies in greater detail the specific aims of the
research project, often breaking down what is to be
accomplished into smaller logical components
o Specific objectives should systematically address the
various aspects of the problem as defined under
‘Statement of the Problem’ and the key factors that are

assumed to influence or cause the problem. They
should specify what you will do in your study, where
and for what purpose
Why should research objectives be developed?
The formulation of objectives will help you to:

• Focus the study (narrowing it down to essentials);
• Avoid the collection of data which are not strictly necessary
for understanding and solving the problem you have
identified; and
• Organize the study in clearly defined parts or phases.
Properly formulated objectives will facilitate the development of your

research methodology and will help to orient the collection, analysis,
interpretation and utilization of data.
Issues to remember: Keep in mind that when a proposal is evaluated, the

anticipated results will be compared to the objectives. If the objectives have
not been spelled out clearly, the proposal cannot be evaluated.
Take care that the objectives of your study:

• Cover the different aspects of the problem and its contributing factors in
a coherent way and in a logical sequence;
• Are clearly phrased in operational terms, specifying exactly what you
are going to do, where, and for what purpose;
• Are feasible;
• Are realistic considering local conditions;
• Are phrased to clearly meet the purpose of the study; and
• Use action verbs that are specific enough to be evaluated.
2.9 Methods, material and procedures

The methods or procedures section is really the heart of the
Methods/proced research proposal. You must decide exactly how you are going to
ures show how achieve your stated objectives: i.e., what new data you need in order
you will achieve to shed light on the problem you have selected and how you are
the objectives,
going to collect and process this data. The activities should be
answer the
questions. described with as much detail as possible, and the continuity
between them should be apparent. Indicate the methodological steps
you will take to answer every question, to test every hypothesis
illustrated in the Questions/Hypotheses section or address the
objectives you set.

What belongs in the "methods" section of a research proposal?
• Information to allow the reader to assess the believability of
•
your approach.
Information needed by another researcher to replicate your
•
experiment.
•
Description of your materials, procedure, theory.
Calculations, technique, procedure, equipment, and
•
calibration plots.
•
Limitations, assumptions, and range of validity.
Description of your analytical methods, including reference to
any specialized statistical software.
The proposal should describe in detail the general research plan.

(may not necessarily be true for all types of research)
̈ Description of study area
̈ Description of study design
̈ Description of study participants
̈ Eligibility criteria ( if any)
̈ Determination of sample size (if any)
̈ Description of selection process (sampling method)
̈ Methods of data collection
̈ Description of the expected outcome and explanatory
variables… (if any)
̈ How data quality is ensured
̈ Operational definition
̈ Presentation of the data analysis methods
Issues to remember: Be aware of possible sources of error to

which your design exposes you. You will not produce a perfect, error
free design (no one can). However, you should anticipate possible
sources of error and attempt to overcome them or take them into
account in your analysis.
Important components of the materials and methods section are

described in detail below.
2.9.1 Study design
The study type may dictate certain research designs. More
commonly, the study objectives can be achieved through a number
of alternative designs. Students have to select the most appropriate
and most feasible design.
The type of research design chosen depends on:

• the type of problem;
• the knowledge already available about the problem; and
• the resources available for the study.
Generally, there are two main categories of research design:

observational study, and experimental or intervention study. In the
observational study, the researchers stand apart from events taking
place in the study. They simple observe and record. In the
experimental or intervention study, the researches introduce an
intervention and observe the events which take place in the study.
Observational studies
An observational study may be exploratory, descriptive or analytical.
An exploratory study is a small-scale study of relatively short
duration, which is carried out when little is known about a situation or
a problem. If the problem and its contributing factors are not well
defined, it is always advisable to do an exploratory study before
embarking on a large-scale descriptive or analytic study. Small-scale
studies may be called exploratory case studies if they lead to
plausible assumptions about the causes of the problem and
explanatory case studies if they provide sufficient explanations to
take action. A descriptive study is an observational study that simply
describes the distribution of a characteristic. An analytical study
(correlation in some disciplines) is an observational study that
describes associations and analyses them for possible cause and
effect. An observational study may be cross-sectional or longitudinal.
In cross-sectional study, measurements are made on a single
occasion. In a longitudinal study, measurements are made over a
period of time. A longitudinal observational study may be
retrospective or prospective. In a retrospective study, the
researchers study present and past events. In a longitudinal
prospective study, the researchers follow subjects for future events.
Experimental or intervention studies
In the experimental or intervention study, the investigators test the

effect of an intervention on the events taking place in the study. An
experimental or intervention study may be controlled or non-
controlled. A controlled experimental study may be randomized or
non-randomized. Randomized controlled trials are intervention
studies characterized by the prospective assignment of subjects,
through a random method, into an experimental group and a control

group. Controlled trails without randomization are intervention
studies in which allocation to either experimental or control groups is
not based on randomization, making assignment subject to possible
biases influence study results.
2.9.2 Sampling
Sampling for quantitative studies
Sampling is the process of selecting a number of study units from a

defined study population. Often research focuses on a large
population that, for practical reasons, it is only possible to include
some of its members in the investigation. You then have to draw a
sample from the total population. In such cases you must consider
the following questions:
• What is the study population you are interested in from which

we want to draw a sample?
• How many subjects do you need in your sample?
• How will these subjects be selected?
The study population has to be clearly defined. Otherwise you

cannot do the sampling. Apart from persons, a study population may
consist of villages, institutions, plants, animals, records, etc. Each
study population consists of study units. The way you define your
study population and your study unit depends on the problem you
want to investigate and on the objectives of the study.
The key reason for being concerned with sampling is that of

validity—the extent to which the interpretations of the results of the
study follow from the study itself and the extent to which results may
be generalized to other situations with other people or situation.
Sampling is critical to external validity—the extent to which findings
of a study can be generalized to people or situations other than
those observed in the study. To generalize validly the findings from a
sample to some defined population requires that the sample has
been drawn from that population according to one of several
probability sampling plans. By a probability sample it is meant that
the probability of inclusion in the sample of any element in the
population must be given a priori. All probability samples involve the
idea of random sampling at some stage. Probability sampling
requires that a listing of all study units exists or can be compiled.
This listing is called the sampling frame. Of course, at times, it is
impossible to obtain a complete list of the population.

Another reason for being concerned with sampling is that of internal
validity—the extent to which the outcomes of a study result from the
variables that were manipulated, measured, or selected rather than
from other variables not systematically treated. Without probability
sampling, error estimates cannot be constructed. Perhaps the key
word in sampling is representative. If researchers want to draw
conclusions which are valid for the whole study population, which
requires a quantitative study design, they should take care to draw a
sample in such a way that it is representative of that population. A
representative sample has all the important characteristics of the
population from which it is drawn.
Examples of probability sampling

A sample is a
representative
of the Simple random sampling
population
under study. The guiding principle behind this technique is that each element
must have an equal and nonzero chance of being selected. This can
be achieved by applying a table of random numbers or a computer
generated random numbers to a numbered sampling frame. Another
approach involves drawing numbers from a container. The product of
this technique is a sample determined entirely by chance. It should
be noted, however, that chance is “lumpy”, meaning that random
selection does not always produce a sample that is representative of
the population. Imagine, for example, a sampling frame comprising
10,000 people. Furthermore, consider that altitude is a critical
variable, and that the composition of the sampling frame is as
follows: 1,500 are from high altitude ; 7,500 are from medium altitude
white, and 1,000 are from low altitude. You are going to select a
sample of 500 people from this sampling frame using a simple
random sampling technique. Unfortunately, the simple random
selection process may or may not yield a sample that has equivalent
altitudinal proportions as the sampling frame. Due to chance,
disproportionate numbers of each altitudinal category may be
selected.
Systematic sampling
The systematic random sampling technique begins with selecting

one element at random in the sampling frame as the starting point;
however, from this point onward, the rest of the sample is selected
systematically by applying a predetermined interval. For example, in
this sampling technique, after the initial element is selected at
random, every “kth” element will be selected (kth refers to the size of
the interval—the ratio of the population to sample size) and becomes
eligible for inclusion in the study. The “kth ” element is selected

through the end of the sampling frame and then from the beginning
until a complete cycle is made back to the starting point (that is, the
place where the initial random selection was made). If there is a
cyclic repetition in the sampling frame, systematic sampling is not
recommended.
Stratified sampling
Stratified random sampling begins with the identification of some

variable, which may be related indirectly to the research question
and could act as a confounder (such as geography, age, income,
ethnicity, or gender). This variable is then used to divide the
sampling frame into mutually exclusive strata or subgroups. Once
the sampling frame is arranged by strata, the sample is selected
from each stratum using simple random sampling or systematic
sampling techniques. It is important that the sample selected within
each stratum reflects proportionately the population proportions;
thus, you can employ proportionate stratified sampling.
Cluster sampling
It may be difficult or impossible to take a simple random sample of

the units of the study population at random, because a complete
sampling frame does not exist. Logistical difficulties may also
discourage random sampling techniques (e.g., interviewing people
who are scattered over a large area may be too time-consuming).
However, when a list of groupings of study units is available (e.g.,
villages or schools) or can be easily compiled, a number of these
groupings can be randomly selected. Then all study units in the
selected clusters will be included in the study.
Multistage sampling
Multistage cluster sampling is used when an appropriate sampling

frame does not exist or cannot be obtained. Multistage cluster
sampling uses a collection of preexisting units or clusters to “stand
in” for a sampling frame. The first stage in the process is selecting a
sample of clusters at random from the list of all known clusters. The
second stage consists of selecting a random sample from each
cluster. Because of this multistage process, the likelihood of
sampling bias increases. This creates a lack of sampling precision
known as a design effect. It is recommended to consider the design
effect during sample size determination.

Purposeful sampling strategies for qualitative studies
Qualitative research methods are typically used when focusing on a

limited number of informants, whom you select strategically so that
their in-depth information will give optimal insight into an issue about
which little is known. This is called purposeful sampling. There are
several possible strategies from which a researcher can choose.
Often different strategies are combined, depending on the topic
under study, the type of information wanted and the resources of
the investigator(s).
2.9.3. Sample Size
Sample size in quantitative studies
Having decided how to select the sample, you have to determine

the sample size. The research proposal should provide information
and justification about sample size. It is not necessarily true that the
bigger the sample, the better the study. Beyond a certain point, an
increase in sample size will not improve the study. In fact, it may do
the opposite; if the quality of the measurement or data collection is
adversely affected by the large size of the study. After a certain
sample size, in general, it is much better to increase the accuracy
and richness of data collection (for example by improving the
training of interviewers, by pre-testing of the data collection tools or
by calibrating measurement devices). than to increase sample size.
Also, it is better to make extra effort to get a representative sample
rather than to get a very large sample.
The level of precision needed for the estimates will impact the
sample size. Generally, the actual sample size of a study is a
compromise between the level of precision to be achieved, the
research budget and any other operational constraints, such as time
(see 3.2.7). In order to achieve a certain level of precision, the
sample size will depend, among other things, on the following
factors:
• The variability of the characteristics being observed: If every

person in a population had the same salary, then a sample of
one person would be all you would need to estimate the
average salary of the population. If the salaries are very
different, then you would need a bigger sample in order to
•
produce a reliable estimate.
The population size: To a certain extent, the bigger the
population, the bigger the sample needed. But once you
reach a certain level, an increase in population no longer

affects the sample size. For instance, the necessary sample
size to achieve a certain level of precision will be about the
You have to
make a trade-off same for a population of one million as for a population twice
•
between that size.
generating a The sampling and estimation methods: Not all sampling and
large enough estimation methods have the same level of efficiency. You will
sample size to need a bigger sample if your method is not the most efficient.
make a valid But because of operational constraints and the unavailability
generalization of an adequate frame, you cannot always use the most
to the efficient technique.
population and
the many
When the study is designed to find a difference or an association,
constraints that
appear with you may not find a difference or an association. In this case, we still
increasing want to calculate statistical probability that we may have missed a
sample size. difference or an association that exists in the population, but was not
found in the sample. This so-called statistical power of the study
depends also on the size of the sample. The larger the sample size,
the higher the power of the study. For calculating sample size before
the study begins, the researchers have to make a decision on the
level of statistical power they are willing to accept for the study.
Traditionally, most studies set a power of 80%.
The effect size in a study refers to the actual size of the difference
observed between groups or the strength of relationships between
variables. The likelihood that a study will be able to detect an
association between the variables depends on the magnitude of the
association you decide to look for. Large sample sizes are needed to
detect small differences. The choice of effect size is difficult and
arbitrary, but it must be set beforehand and must make a meaningful
difference. In designing a study, the researcher chooses the size of
effect that is considered important.
Sample size in qualitative studies
There are no fixed rules for sample size in qualitative research. The
size of the sample depends on what you try to find out, and from
what different informants or perspectives you try to find that out. You
can start with two or four Focus Group Discussions (FGDs)
depending on the complexity of the research objectives. If the
different data sets reconfirm each other you may stop at this point;
otherwise you conduct one or two FGDs more till you reach the point
of redundancy, i.e. no new data comes up any more. In exploratory
studies, the sample size is therefore estimated beforehand as
precisely as possible, but not determined. Richness of the data and
analytical capability of the researcher determine the validity and
meaningfulness of qualitative data more than sample size. Still,

sampling procedures and sample size should always be carefully
explained in order to avoid the allusion of haphazardness.
2.9.4. Analysis Plan
Specify the analysis procedures you will use, and label them
accurately. The analysis plan should be described in detail. If coding
procedures are to be used, describe reasonable detail. If you are
triangulating, carefully explain how you are going to do it. Each
research question will usually require its own analysis. Thus, the
research questions should be addressed one at a time followed by a
The work plan is description of the type of statistical tests (if necessary) that will be
the timeline that
performed to answer that research question. Be specific. State what
shows when
specific tasks variables will be included in the analyses and identify the dependent
will have been and independent variables if such a relationship exists. Decision
accomplished. making criteria (e.g., the critical alpha level) should also be stated,
as well as the computer software that will be used (if there is a need
to use one). These help you and the reader evaluate the choices you
made and procedures you followed.
A work plan Issues to remember: Provide a well thought-out rationale for your
informs the decision to use the design, methodology, and analyses you have selected.
reader how long
it will take to
achieve the
objectives/answ
er the 2.10 Work plan
questions.
Work plan is a schedule, chart or graph that summarizes the
different components of a research proposal and how they will be
implemented in a coherent way within a specific time-span.
It may include:
The tasks to be performed;
When and where the tasks will be performed;
Who will perform the tasks and the time each person will
spend on them;
It describes the plan of assessing the ongoing progress
toward achieving the research objectives;
The plan specifies how each project activity is to be
measured in terms of completion, the time line for its
completion;
A good work time plan enables both the investigators and
the advisors to monitor project progress and provide timely
feedback for research modification or adjustments.

• Different components/phases/stages of the study should be
Issues to remember: In the work plan:
• Description of activities in each phase

stated
• Time required to accomplish the various aspects of the study

The Budget should also be indicated
section will
show how much
it will cost to
The GANTT Chart
answer the
question.
A GANTT chart is a planning tool that depicts graphically the order in
which various tasks must be completed and the duration of each
activity.
The GANTT chart indicates:

• the tasks to be performed;
• who is responsible for each task; and
• the time each task is expected to take.
When drawing The length of each task is shown by a bar that extends over the
up a budget, be
number of days, weeks or months the task is expected to take.
realistic. Do no
attempt to be
too frugal to
2.11 Budget and funding
demonstrate
how cheaply Most often than not, you will require to secure funds from a funding
you can run the organization to cover the cost of conducting a research project. The
project. At the
same time, do
items to consider when drawing up a budget requirement are
not be too outlined below. In addition, it is important to remember that the
expensive so as funding agency will invariably also read through the whole proposal
not to deter the (not just the budget requirement). Therefore, it is critical that the
fund providers. entire proposal document is well thought out and written to
effectively communicate the aim of the research and how you plan to
achieve it.
• Cost for every budget item should be quantitatively

Budget items need to be explicitly stated
• Their might be a need for budget justification of

shown
certain costs whose requirement is not obvious
Typically, a proposal budget reflects direct and indirect costs.
Direct costs:
̈ Personnel: Salaries and wages of all participants of
the study Principal investigator; supervisor; data
collector; drivers; guards; data entry clerks, data

analysis, report writing, etc
̈ Consumable supplies: office supplies (stationeries),
computers, chemicals, and educational materials
̈ Equipments: properties which are expensive
̈ Travel: cost of projected-related travel
̈ Communications: postage, telephone, telegram, fax,
e-mail charges associated with a project
̈ Publication: the cost incurred of preparing and
publishing the results of the research. It includes:
technical reports, manuscripts, illustrations, graphics,
photography, slides, and overheads
̈ Other direct costs: costs of all items that do not fit into
any of the above direct costs
• Those costs incurred in support and management of the

Indirect costs:
proposed activities that can not be readily determined by

direct measurement. Examples includes;
̈ Overhead costs for institutions or associations
̈ General administrative cost
̈ Operational and maintenance
̈ Depreciation and use allowance
Budget justification
It is not sufficient to present a budget without explanation. The
budget justification follows the budget as an explanatory note
justifying briefly, in the context of the proposal, why the various items
in the budget are required. Make sure you give clear explanations
concerning why items that may seem questionable or that are
particularly costly are needed and discuss how complicated
expenses have been calculated. If a strong budget justification is
presented, it is less likely that essential items will be cut during
proposal review.
Obtaining funding for research projects
To conduct research, it is usually necessary to obtain funding for the
research project. Such funding may be available from local, national
or international agencies. In addition, to preparing a good research
proposal, the following strategies are useful for researchers to
increase the chances of securing adequate funds:
A. Familiarize yourself with the policies and priorities of funding
agencies. Such policies and priorities may be:
- Implicit, i.e. known to officials in the agency and to other local

researchers who have previously been funded by that agency.
Obtain the names of such persons and make direct contact with
them.
- Explicit, i.e. available from policy documents issued by the agency.
The funding policies of many agencies may emphasize:
* a priority given to research aimed at strengthening a particular
program
* institution building (i.e. building the capacity of an institution to
do research)
* targeted to a specific thematic area of research (for example,
health, family planning, etc.)
B. Identify the procedures, deadlines an dformats that are relevant to
each agency.
C. Obtain written approval and support from relevant local and
national authorities and submit together with our proposal.
D. If you are a beginning researcher, associate yourself with an
established researcher/advisor. Host agencies scrutinize the
‘credibility’ of the researcher to whom funds are allocated. Such
credibility is based on previous projects that were successfully
completed.
E. Build up your own list of successfully completed projects (i.e. your
own reports, publications, etc.)
2.12 References
You must give references to all the information that you obtain from
books, papers in journals, and other sources. References may be
made in the main text using index numbers in brackets (Vancouver
style) or authors name (Harvard style). You will also need to place a
list of references, numbered as in the main text (or alphabetically
ordered), at the end of your research proposal. The exact format for
depicting references within the body of the text and as well as the
end of the proposal varies from one discipline to another. It is best
that you consult with someone who is familiar with the format in your
particular area of research.
The information you give in the reference list must be enough for
readers to find the books and papers in a library or a database. It
also demonstrates to those interested in your proposal how well
versed you are on the particular area of research.

As a general guideline, there are certain items that must be included
from each source reference. As mentioned above, the exact format
applicable to your particular area of study will be left for you to find
out.
• the names of the authors,

For a journal paper give:
• the year of publication,

• the title of the paper,
• the title of the journal,
• the volume number of the journal,
• the first and last page numbers of the paper.
• the author,
For a book give:
• the year of publication,

• the title, and the edition number if there is one,
• the name of the publisher,
• the page numbers for your reference.
• the author of the web page,

For an internet reference give:
• the title of the item on the web page,

• the date the item was posted on the web page
• the date the item was accessed from the web page
• the complete and exact URL.
Particularly with references obtained from websites, it is important to

establish the reputability and reliability of the website you are making
reference to.
Every reference in your main text must appear in the list at the end
of your proposal, and every reference in the list must be mentioned
in your main text.
2.13 Appendices/Annexes
Include in the appendices of your proposal any additional information
you think might be helpful to a proposal reviewer. For example,
include:
•
•
Questionnaire & other collection forms
Dummy tables
•
•
Biographical data on the principal investigator
The consent form (if any)

Exercise
Would it be appropriate to draw your sample only from AAU
graduate students to study the incidence of seasonal flu in Addis
Ababa? Why?
Can you obtain a complete and accurate list of residents in Addis
Ababa? If not, how would you proceed to gather your sample?
In a study that investigates the rise of sea levels due to global
warming, is it meaningful to try and detect millimeter level differences
every week? How about if your measurement is done every decade?
Summary
Scientific research commences with the writing of a research

proposal which is a detailed plan that the researcher intends to
follow and which will give an adjudicator or evaluator a clear idea of
what the researcher plans to do and how he or she intends to
complete the research. The research proposal contains a description
of the research topic and the literature survey, motivation for the
research, a statement of the problem, a hypothesis, the research
methodology to be used, clarification of terms, and the sources
consulted to demarcate the research problem
Quality writing is critical in all good proposals. It should be clear,

concise, and free of jargon. There should be no spelling or
grammatical errors, and the proposal should be easy to read. Sloppy
proposals and proposals laden with jargon do not provide a positive
image to the reader, nor do they lend confidence that solid research
will follow. Proposals that are well-written and attractive are a
pleasure to read, and they make a good impression with
readers/reviewers.
References
1. Bowling, A. (2002). Research methods in health: Investigating
health and health services (2nd Ed). Berkshire: Open University
Press.
2. Brownlee, A., Nchinda, T. C., and Yolande M.-G. (1984) How to
develop proposal and design research to solve priority health
problems. Boston: WHO/Boston University Health Policy Institute.
3. Day, R. A. (1996) How to write and publish a scientific paper (4th
Ed). Cambridge: Cambridge University Press.
4. Dooley, D. (2004) Social Research Methods. New Delhi: Prentice-
Hall of India
5. Fathalla, M.F. (2004) A practical Guide for Health Research.

Cairo: WHO Regional Office for the Eastern Mediterranean.
6. Majumdar, P.K. (2005) Research Methods in Social Science. New
Delhi: Viva Book private Limited.
7. Varkevisser, C.M., I. Pathmanathon and A. Brownlee (2003)
Designing and conducting health system research projects, Vol.1:
Proposal development and field work. KIT Publisher, Amsterdam,
IDCRC in association with WHO Regional Office for Africa.
Assignment
Identify your own research topic.
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Write the introduction section of the topic you identified.
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Write the statement of the problem for your topic.
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Review literature for your identified topic
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Formulate your own research question and hypothesis (relevant to
your topic)
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Develop a conceptual framework (if needed)
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Define clearly your general and specific objectives.
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Write clearly the research design/methods for the identified topic.
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Develop your work plan
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Prepare estimated budget of your research
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Choose one method of citing references and write all the references
you used.

Flowchart: Steps in the development of a research proposal
NB: Development of a research process is a cyclical process. The

double-headed arrows indicate that the process is never linear.
Adapted from the International Development Research Center: Designing and

Conducting Health Systems Research Projects, VOLUME 1

Process in Conducting Research
UNIT Key Concepts
•4• To identify a correct problem to solve under given resources (time,

material, budget and personal will) is half of the solution.
Objectives
At the end of this unit, you would have obtained a solid grasp of the
key process required to conduct a successful research. You must
remember that some processes are more appropriate to a specific
field; various fields employ specific methods to conduct research,
here, attempt is made to highlight
Mode of delivery and assessment
o Lecture;
o group discussion – to debate on common
processes required in conducting research,
o group assignment – to report on finding of students
group discussion
Lesson 1: The research processes
There are a number of stages in the research process, although their

number and description tends to vary between authors. One
simplified view would see these as five stages which include
conceptualization, contextualization, data collection and / or
generation, data analysis and reporting conclusions. A brief
description of the five stages are given below.
Conceptualization: Defining the 'problem'; establishing the research
questions; identifying the aims; specifying the testable hypotheses;
deciding on the research approach; identifying the most appropriate
way of undertaking the data collection and/or generation. This stage
is the most difficult one for novice researchers. Linking the problem
and objective/aim of the research with appropriate data collection
method often requires careful thinking and advice from senior
researchers.
Contextualization: Putting the research in the context of similar

research that has been done in the past. If there is similar research
was done elsewhere, looking carefully the methodology used and

the way data collected and the limitation of the work may help.
Utilizing a more
appropriate
analytical Data Analysis: Method to collect data and the following data
method can analysis technique should match; occasionally problem may emerge
rectify faulty as one start to do data analysis.
data analysis.
But a faulty
experimental Reporting Conclusions: Writing up and / or further dissemination.
design will
require re-doing Conceptualization and contextualization have already been covered
the experiment. in Unit 3; and data reporting will be covered in Unit 6. The mechanics
of data analysis will covered in the sister module on “Quantitative
methods and computational”. In this Unit, we will cover the following:
Data Collection and /or generation: Applying the chosen

method(s).
Although organized in a systematic stage-by-stage approach, in

practice it is to be noted that the nature of the research process is
intrinsically iterative. You may need to move forwards and
backwards between these stages as the circumstances determine.
The availability of data, for example, located only during the data
gathering exercise, may influence a modification of the specified
aims. In certain circumstances it may become apparent that the data
required to answer a research question is not available. This can
result in a rethink of the initial stages and a modification of the
research design. Thus, researchers need to think carefully about the
likely accessibility of data during the design phase. They must also
be prepared to be flexible and adaptable during the research.
Regardless, it is still important that all available information be used

to properly design the experiment. Moreover, it is also prudent to
make back-up plans to accommodate necessary changes as
mentioned above. And if unforeseen circumstances arise, well, then
as the primary research, you must devise ways by which to salvage
as much of your research project as possible.
Exercise
Meseret discovers that the experimental design she is using is not

suited to the type of research she is conducting. How would you
advise her to proceed?
1.1 Research Methods – data collection and analysis

You need to operationalise the research problem by choosing the
most suitable research method, or technique, for your specific study.

There are a number of different research methods available and one
should be selected which is most likely to meet the objective of the
research and gather the correct type of information. Each technique
is designed to get certain types of information and not others. Viable
methods should be weighed up in terms of their advantages and
disadvantages.
Research methods should be seen as complementing and

supporting each other. In a more generalized way, research is often
broken down into two different approaches:
Quantitative research: research involving numerical or statistical

data. Emphasis is on the quantifiable observations of the
research i.e. numbers involved. This type of research is mainly
objective.
Qualitative research: an approach to gather non-numerical data

and related ways of analysis where emphasis is on the qualitative
results. Words and observations are used to express the reality
where 'getting close to the data' and an 'in-depth' approach are key
concerns. This type of research is mainly subjective.
Whilst the distinction is often made between these two approaches,

they should not be seen as mutually exclusive, or alternative
perspectives, and are often used in conjunction with each other.
Below follows a list of individual research methods (observation

studies, questionnaires, interviews, focus groups, document
analysis, experimental research, and mathematical modeling)
incorporating a brief description, advantages and disadvantages,
ways of collecting data, general hints for carrying out the research
and some examples of their use.
Exercise
A study is conducted to assess the effect of the provision of 1mg
folic acid per day to pregnant women on the birth weight of their
babies. In this study, is the researcher interested in quantitative or
qualitative results?
If the above study, was to observe the effect on the alleviation of

post-partum depression would your answer be different? Suggest
ways in which one can ‘measure’ post-partum depression.

Lesson 2: The Research Processes Described
2.1 Observation studies
Observation refers to the process of observing and recording events

or situations. The technique is particularly useful for discovering how
individuals or groups of people or animals (and in some instances
inanimate objects) behave, act or react.
“What I hear is
milk, but what I
report is There are two main types of observation - participant and non-
butter” participant:
Participant observation is usually limited to studies of human subjects.

The researcher becomes part of the group studied and participates in
their daily life and activities: observing their everyday situations and
their behavior in these situations. Conversation is used in order to
discover the subjects' own interpretations of events.
In non-participant observation the researchers simply observe the

activities without taking part themselves. Whilst this has the
advantage of preventing the researcher from unduly influencing or
becoming involved in activities they may not wish to take part in (for
example dangerous or criminal actions), they are less likely to
understand fully the meanings behind behavior in the group studied.
Beside the study of human subjects, non-participant observation can
also be used to study animal behavior. The observation and recording
of natural phenomenon can also be considered observation study.
In human observation studies the observer can remain covert, hiding

their true identity as a researcher, or overt, where their identity is
revealed to those studied. It is argued that covert research will lead
to a more valid study as the subjects are less likely to modify their
behavior if they do not know they are the subjects of research.
However, the ethics of such studies should be questioned - have we
the right to do this? In all research we have a responsibility to those
being studied and research should not interfere with their physical,
social or mental welfare.
Advantages and disadvantages of observation studies are described below:

Advantages Disadvantages
Requires little training or familiarization. Time consuming.
“Some people Can understand meanings behind

Problems with recording data.
see things as actions.
they are and Behavior can be observed in its natural
ask why, I Can only study a small group.
environment, the subject is undisturbed.
dream things
that never were Cannot make generalizations - no
and ask why Can study deviant groups. way of judging whether the group is
not.” typical.
Flexibility - researcher may come

across conditions and events previously If covert is it ethical?
not comprehended.
Moral, legal and injury risks

associated with this method.
Data collection: It is impossible to keep a record of everything and

you must decide at the outset where your interests lie. You may
decide to film or tape record events, although the cost of this may be
quite substantial. Data is often recorded through writing up notes in
private after the event or you could set up your own complex system
with specific categories of behavior for post-observation recordings
using graphs, charts and plans. These will vary depending on the
specific problem under investigation; there is no one perfect example
that can be used in all situations.
What is important is careful preparation before observation begins;

remember the aim of observation is to be unobtrusive so that
behavior remains as normal as possible. Placing a tape recorder
under someone's nose or scribbling down notes in front of them will
not help to maintain this. There are disadvantages with this method
of gathering data. The most common criticism is that it is highly
subjective, dependent in large on the researcher's own focus and
ideas of what should be recorded and their own interpretations of
what they have observed.
General ideas for carrying out observation are that it is not an easy
option for a research project but a method that takes meticulous
planning. One should enter the field with a clear idea of exactly what
it is one wishes to discover or vast amounts of time and effort can be
wasted.
Examples of use of participant observation include studies of the

social structure and functioning of small communities or deviant

groups, such as chat addicts.
Asking the
Exercise
correct (in time, The year 2009 marks 150 years since the publication of “On the
structure) origin of species” by Charles Darwin. The impact of this
question is half publication on the science of life on earth is well established.
of the answer. Recall some of the ways in which the major method of study was
observational. Do you think this was participatory or non-
participatory observational study? Also relate Darwin observation
to Yardi new finding of October 2009.
A space capsule is deliberately sent on a trajectory to collide with

Mars. A scientist trains the high-powered Hubble telescope on the
planet’s surface where the capsule will impact to observe the
debris cloud. Do you think this is an observational study?
2.2. Questionnaires
A questionnaire is a type of survey where respondents write

answers to questions posed by the researcher on a question
form. A number of respondents are asked identical questions, in
order to gain information that can be analyzed, patterns found and
comparisons made.
Questionnaires are extremely flexible and can be used to gather

information on almost any topic involving large or small numbers
of people. The commonest type of questionnaire involves closed
choice or fixed questions where the respondent is required to
answer by choosing an option from a number of given answers,
usually by ticking a box or circling an answer. These types of
questionnaires only gather straightforward, uncomplicated
information, and only simple questions can be asked. The open-
ended questionnaire differs in that it allows the respondent to
formulate and record their answers in their own words. These are
more qualitative and can produce detailed answers to complex
problems.
Example:
Closed choice question:
People go to a bar for different reasons; for which of the following
• to meet friends
four reasons do you most go?
• to drink alcohol
• to watch sport
• to play pool or darts

What is the primary reason you applied to the AAU graduate
“When I ask
• to expand my knowledge base
program?
you ‘what is
• to earn a better salary

life?” I do not
• to get a promotion
expect a ‘yes’ or
• had no specific reason, but did because my friends were

‘no’; answer!
And should I
ask how old you applying
are there is no
need for you to Open ended question:
give me your
People go to the bar for different reasons; for what reason do you
memoirs!”
most go?
..............................................................................................................
List the top five reasons why you applied to the AAU graduate
program?
..............................................................................................................
There are advantages and disadvantages associated with each type
of method. Open ended questions give a greater insight and
understanding of the topic researched but may be difficult to classify
and quantify and must be carefully interpreted. Fixed choice
questions are easy to classify and quantify, require less time, effort
and ingenuity to answer but do not allow the respondents to qualify,
develop or clarify their answers.
Examples of advantage and disadvantages of questioners:
Quick. Limited answers only can be given.
Cheap. Lack of qualitative depth results in superficiality.
No way of probing for more information in

Efficient.
superficial responses.
Not always accurate - not possible to verify what

Can reach a large number appears to be an inaccurate answer and little
of people. check on honesty of responses. Questions may
mean different things to different people.
Consistent format means
there is little scope for bias
Predetermined boxes may not be appropriate.
introduced by different
researchers.
Low response rate.
Construction difficult - instructions must be clear

and unambiguous and questions carefully
worded.

Data collection: the information required will be recorded on the form
itself by the respondent. Questionnaires can be given to the
respondent personally and completed on the spot, or can be posted,
which, although much quicker, increases the cost and decreases the
response rate and hence representativeness. Web based
questionnaires are often seen as easy to respond to by survey
participants, but there is an implicit bias in that only those with
internet access and are computer literate can participate.
General tips for constructing questionnaires:

Get the beginning right - this will encourage respondents to read
on. One should state what the survey is about and roughly how long
it will take to complete.
Make the questionnaire look attractive - use space well and avoid
a cramped appearance.
Use a large enough type size and avoid block capitals so that
questions can be easily read.
Keep sentences short and sentence construction simple - the
wording of the questionnaire is very important. Avoid leading
questions which direct the respondent in a particular way e.g. isn’t it
true to say that.....
Avoid jargon and technical terms - make sure the question is
unambiguous - each question should only have a single
interpretation.
Watch out for double questions - that is those asking two separate
questions at once.
“If you know

what you know Exercise
is right, what The census is a form of research that uses a questionnaire that all
don’t you know citizens are expected to provide information for. Does the census
that is wrong?” conducted in Ethiopia have open- or closed-ended questions?
Form groups of five students each. Each group would like to study
the daily habits (routines) of unemployed youth in Addis Ababa.
Each group is expected to formulate a questionnaire with five
questions (you have the option of making it open- or closed ended).
Compare the questions with those of the other groups, and discuss
the merits and shortcomings of the ways in which each question or
type of question is formulated.
2.3 Interviews
Interviews are limited to cases where the subjects of study are

humans. Interviews are a type of survey where questions are
delivered in a face-to-face encounter by an interviewer. The

interview is like a conversation and has the purpose of obtaining
information relevant to a particular research topic. It is initiated by the
researcher and is focused on specific content.
As with questionnaires interviews can be approached from either a

quantitative or qualitative angle and there are many variations on the
general method. Purely quantitative interviews are rather like a
closed ended questionnaire that the interviewer fills in for the
respondent. These are highly structured, formal interviews which
are determined in advance and have fixed responses.
At the other end of the scale, the unstructured, purely qualitative

interview is rather like an informal conversation. Here questions are
asked in the natural course of interaction and arise from the
particular context.
A large number of interviews will fall somewhere in between these

two extremes and are known as semi-structured interviews. These
have specific questions already predetermined that are asked to the
respondent in a particular order, or topics and issues to be covered
in the course of the interview.
There are advantages and disadvantages associated with each type

of method. Structured interviews maximize reliability and are easier
to classify and quantify. By contrast unstructured interviews can give
a greater insight and more in-depth understanding of the topic
researched, but need more expertise to control and more time for
analysis.
High response rate. Limited sample only.
Can be difficult to analyse

Can collect complex information.
(especially in-depth interviews).
High degree of researcher control

May be a hostile reaction.
achieved.
Can be made more responsive to Whole process is time
early results. consuming.
Recording techniques may

Relaxed environment.
cause problems.
There is room for interviewer
bias - this should be
acknowledged.

Data collection: a structured format can leave the interviewer with
the job of simply ticking a number of boxes on a form, however a
less structured format necessitates a different technique for
recording data. A tape recorder is often used to collect information
in an unstructured interview. This has the advantage over note
taking in that everything will have been recorded, details can not be
missed, and the interviewer can give their full attention to the
respondent. However, the interviewee may be uncomfortable
knowing they are on tape. Alongside this, transcribing the tapes is a
very time consuming process; this is something to bear in mind if
embarking on this method of data collection for your research
project.
• Begin with an explanation of who you are and what the

General tips for carrying out interviews:
• Try to achieve rapport with the respondent: be friendly and

survey is about and ensure confidentiality.
look as if you are enjoying the interview and are interested
• Be aware of the importance of body language in face-to-

in what they have to say.
face interviews.
Research has shown that interviewees are more at ease with

someone who is like them in terms of ethnicity, class, sex, speech
and dress code. Whilst the majority of these cannot be changed,
you can dress in a similar manner to your interviewee; if interviewing
a nomadic community in their locality they are unlikely to be wearing
a suit: T-shirt and shorts would be more suitable.
Be familiar with your questions and ask them in a neutral manner,

endeavor not to lead respondents to answer in a certain way. Be
aware of your role as an interviewer, which is to listen, not to speak.
Take a full record of the interview either through tape-recording or
note taking. Prompts may be necessary if information is not given
freely.
Examples of use of interviews:

When a researcher aims to discover detailed answers to complex
questions in a face-to-face situation. The respondents can give quite
elaborate answers e.g. opinion polls, life histories.
Exercise
Divide the class into two groups. One group will design open-ended
interview questions to gauge the level of consumer confidence on

locally produced goods; while the other group will design close
Almost all
ended interview questions. Each group will interview the other group
documents
reflect the and record the answers. In the end, the class together will review the
inherent bias of questions and answers and discuss which of the two approaches
the author. was more informative.
2.4 Focus Groups
The focus group is a type of interview that involves carefully selected

individuals who usually do not know each other. They generally
consist of 7-10 members alongside the researcher. These
individuals are selected as they hold particular characteristics which
the researcher believes are necessary to the topic of focus. A group
discussion is held in a permissive environment in order to extract
opinions and share ideas and perceptions through group interaction.
It is not necessary to reach a consensus.
Focus groups are extremely useful in providing qualitative data
which gives an insight into attitudes and perceptions difficult to
obtain using other procedures. The researcher acts as a moderator
and listener posing predetermined open ended questions which the
respondents answer in any way they choose.
2.5 Document Analysis
This refers to the process of using any kind of document, films,

television programs and photographs as well as written sources,
such as books, papers and letters, for analysis in relation to a
particular research question. It can be used as the singular method
of research or as a supplementary form of inquiry.
Document analysis, also referred to as content analysis, differs from
the majority of research methods in two major ways.
- It is an indirect form of research; it is something that has
been produced, so the investigator is not generating
original data.
- It is an 'unobtrusive', or 'non-reactive' method. This refers
to the fact that the document will not be affected in any
way by your research; it cannot react as a human can.
In general, documents have been written from the perspective of

those from official sources but a different perspective can be gained
from using personal accounts and oral testaments such as letters,
diaries, and autobiographies.
Reliability and validity are central concerns in document analysis.

Documents generally exist for some purpose and the knowledge of
this purpose is important in understanding and interpreting the

results of the analysis.
Subject to bias and subjectivity - impossible to allow

The data never alters and for biases introduced by the fact that the document
can be subject to re- studied has been written for a particular purpose and
analysis. is the author's own particular account; events may be
sensationalised, subject to political bias etc.
Unobtrusive. Evidence may be out of date.
Events can be compared

May not be accurately recorded.
over time and cultures.
Gives an expert
Documents available may be limited.
understanding.
Cheap. Can be laborious and time consuming.
Computers can aid

analysis and lead to
complete reliability in
applying the rules you set
down for coding the text.
Data collection: a recording unit must be defined. For example, a

study of newspaper content may concentrate on the number of
stories on a particular topic or the column inches devoted to a
particular subject. There is a vast range of research possibilities for
which document analysis may be used, however all must construct
particular categories for analysis.
• Decide initially on categories for research,

General guidelines for carrying out document analysis:
• Keep focused; do not let your research become too wide.
• For studying racial or sexual bias in newspapers, school

Examples of use:
• To obtain a historical understanding of a particular institution

textbooks etc.
• Commonly used in triangulation, (need to define this term!)

or group.
• Can also be used for analyzing qualitative research data from

interviews etc.
Exercise
If you are tasked to study the last few days of the late Emperors
reign, what documents would you use as reference and do you think

you should use recent documents or those that were
contemporaneously published? Discuss and debate the reliability of
contemporaneous sources and sources that were published three
decades since the reign ended.
Some scientific 2.6 Mathematical Modeling

findings, even
though widely Mathematical modeling can be used to analyze relationships
accepted, between different variables and to predict possible outcomes, or
cannot be causal effects.
experimental
proven. Case in Experiments can be designed from models of systems, which aim to
point: Darwin’s
define links between variables and outcomes.
“Theory of
evolution” Advantages Disadvantages
Does not explain why variables are
Can extend powers of linked to particular outcomes - can not
deductive reasoning. explain why particular variables are
important.
Model produced is limited to one
Attempts to be objective -
situation and therefore may not apply to
maths is 'neutral'.
others.
Is an aid to causal explanation
Inability to distinguish causal from
and can therefore help calculate
accidental relations.
the effects of actions.
Could be built on preconceptions.
Examples of use:
To consider why there is gender difference in the intake of students

in science and technology fields at AAU. Using mathematical
modeling it is possible to isolate variables that may have an effect on
the choices that men and women make.
Exercise: A dietician would like to construct a mathematical model

that describes physical features to body weight. What variables do
you think would be relevant to consider?
2.7 The experimental method
This method involves setting up an experiment in order to test a

particular theory or hypothesis. In its simplest terms experimentation
is concerned with seeing what changes occur if something new is
tried out and with the effects of these changes on something else
(Robson, 1978). It is a method particularly associated with the
physical and life sciences although the approach is also used in

social sciences such as psychology, health care and education.
Results: “One
third of the mice
responded to In order for an experiment to take place, using the most basic
the treatment, research strategy the researcher should deliberately alter at least
one third one particular element or factor of the study, known as variables, in
showed no order to assess the effects of this change on behavior. The effect of
response, and this alteration is assessed. Measurement is required before, during
one mouse and after the experiment. The experiment has to be replicable and
escaped” produce more or less the same results if it is to have any
significance.
There are two different types of experiment, the laboratory

experiment and the field experiment.
1. In laboratory experiments the researcher will conduct a

small-scale study where subjects can be manipulated, observed and
tested in a highly controlled environment. In these types of studies,
the data obtained is often subjected to statistical analysis (the sister
module on “Quantitative and computational methods” will cover the
statistical tools and methods). Such research creates an artificial
situation where events normally linked are separated.
2. A field experiment is an experiment that takes place outside

the laboratory. This leads to a decrease in researcher control,
which may hide the effects of changes made, but the results gained
can be still be generalized to the real world.
Research into human behavior tested by experimentation is subject

to much criticism for ethical reasons. The method could be
beneficial or disadvantageous but until the experiment has been
completed it is not known which ……………..
• There is time priority in a causal relationship (cause precedes

Experimental Research is often used where:
effect),
• There is consistency in a causal relationship (a cause will

always lead to the same effect), and
• The magnitude of the correlation is great.
If the researcher suspects that the effect stems from a different

variable than the independent variable, further investigation is
needed to gauge the validity of the results. An experiment is often
conducted because the scientist wants to know if the independent
variable is having any effect upon the dependent variable. Variables

correlating are not proof that there is causation. Experiments are
more often of quantitative nature than qualitative nature, although it
happens.
• Careful preparation is essential and experienced

General tips for carrying out experiments:
researchers should be consulted before experimentation
• Project design, sample selection and measurement of

begins.
dependent variables are crucial to the success of the

research.
Ideas can be tested in a Where human subjects are involved it is
controlled way. generally viewed as unethical.
Ideal for investigating causal Results may be different in the real world to
relationships. those discovered in a controlled environment.
The influence of all variables can never be

eliminated; many different circumstances
Can generalize effects.
potentially function as variables that can affect
the outcome.
Scientifically validated findings
Restricted range.
give greater value to research.
Large amount of preparation is required.
Humans may respond to expectations of the

experiment not to the experiment itself.
Advantages and disadvantages of experimental method are given

below.
Exercise
A trial is conducted to study the effect of an environmental pollutant

(lead in paint) on the occurrence of pancreatic cancer in mice. What
is the cause and effect that the researcher is trying to establish? If
the outcome of this study shows that there is no causal relationship,
does this imply that the experiment was a failure?
References
Bell J. (1993) Doing Your Research Project. A Guide for First-Time

Researchers in Education and Social Science, Buckingham: Open

University Press. See Part two: Selecting methods of data collection
pp. 61-122.
Blaxter L, Hughes C. and Tight M (1996) How to Research,

Buckingham: Open University Press
See Chapter three: Thinking about methods pp. 53-91.
Burgess RG (1984) In the field: An Introduction to Field Research,

London: Allen and Unwin.
See Chapter 6: Using personal documents pp. 123-142.
Campbell D T & Stanley JC (1963). Experimental and Quasi-

Experimental Designs for Research. Chicago: Rand McNally.
Cook T and Campbell D (1979) Quasi-experimentation: Design and

Analysis for Field Settings, Chicago: Rand McNally.
Douglas J (1985) Creative Interviewing, Beverley Hills, CA: Sage.
Fisher R A (1959). Statistical Methods & Scientific Inference. New

York: Hafner Publishing.
Hague, P. (1993) Questionnaire Design, London: Kogan Page.
Holstein JA and Gubrium JF (1995) The Active Interview, Newbury

park (Ca): Sage.
Kane E (1990) Doing Your Own Research. How to do Basic

Descriptive Research in the Social Sciences and Humanities,
London: Marion Boyars. See Part two: How do you find it pp.151-
120.
Krueger R (1994) Focus groups. A practical guide for applied

research, 2nd edition, Sage: London.
Lipsey, MW (1990) Design Sensitivity: Statistical Power of

Experimental Research, Newbury Park: Sage.
McCall G and Simmons JL (eds) (1969) Issues in Participant

Observation Reading: Addison-Wesley
Patrick J (1973) A Glasgow Gang Observed, London: Eyre-Methuen.

Whyte, WF (1993) Street Corner Society: The Social Structure of an
Italian Slum, 4th edition,Chicago: University of Chicago Press.

Pedhazur, E. J. (1997). Multiple Regression in Behavioral Research
(Third Edition). Fort Worth: Harcourt Brace. Student (1931). The
Lanarkshire milk experiment. Biometrika, 23, 398-404.
Scott J (1990) A Matter of Record: Documentary Sources in Social

Research, Cambridge: Polity Press.
Scott J (1991) Social Network Analysis: A Handbook, London: Sage.
Spradley J P (1980) Participant Observation, London: Holt, Rinehart

and Winston
Stewart, D. and Shamdasani, P. (1990) Focus Groups: Theory and

Practice, Newbury Park: Sage
Sudman, S. (1982) Asking Questions: A Practical Guide to

Questionnaire Design, San Fransisco: Jossey-Bass.
Thiessen H (1997) Measuring the Real World: A Textbook of Applied

Statistical Methods, Chichester: Wiley.
Annex I: Some Key Concepts for the Design and Review of

Empirical Research.
Adapted from Dayton, C. Mitchell
In the social and health sciences, statistical methods based on probabilistic

reasoning are routinely employed in the evaluation of empirical studies.
SEVEN CRITERIA FOR EMPIRICAL RESEARCH
(A) Randomization: Ideally, subjects should be randomly selected from

the target population and then randomly assigned to treatment conditions.
Internal validity (though not external validity) can be attained if available
samples are randomly assigned to treatment conditions.
Quasi-experimental designs such as cohort studies require pre-measures

and other covariates that allow for statistical adjustment in an attempt to
control for history and other threats. Similarly, case-control studies require
covariates for adjustment purposes.
However, it should be noted that adjustment for all relevant, non-

randomized competing causes in non-experimental studies is an
essentially hopeless task. Pedhazur (1997) notes that analysis of
covariance (ANCOVA) can be used for increasing precision in

experimental studies and for attempting to adjust for initial differences in
non-experimental studies. The application of ANCOVA for the first purpose
is well founded, and may prove useful in diverse research areas. The
applications of ANCOVA for the second purpose, however, is highly
questionable because it is fraught with serious flaws (p. 628).
Unfortunately, application of ANCOVA in quasi-experimental and
nonexperimental research is by and large not valid (p. 654).
(B) Control: Extraneous factors associated with variation in an outcome

variable can be controlled by techniques such as selection, stratification,
and possibly statistical adjustment or can be randomized. For example, if
there are known socio-economic status (SES) differences on a dependent
variable, the researcher can: (i) select cases within a relatively narrow
range of SES so that its impact becomes negligible or, at least, lessened;
(ii) stratify experimental cases into SES blocks that can be incorporated
into the design and analysis; or (iii) obtain a suitable measure of SES and
partial out its influence. In experimental settings, the benefit of all of these
procedures is to reduce unexplained within-group variation and, thereby,
both increase the likelihood of detecting an effect (i.e., increase power) and
reduce the uncertainty associated with the magnitude of an effect (i.e.,
decrease the width of confidence intervals). Alternatively, the research can
ignore SES differences, randomly assign cases to groups, and lose the
above benefits.
(C) Reliability: It is preferred that outcomes (and covariates) be assessed

with relatively little measurement error. Other things being equal,
unreliability increases unexplained variation within groups and reduces the
power of the analysis. In practice, it may be impractical to assess the
reliability of measurement procedures within the scope of a given study,
but the selection of measurement instruments should certainly take this
factor into consideration. On the other hand, if a study involves
observations or ratings by judges, some effort must be undertaken to
assure consistency of measurement across raters or judges.
(D) Validity: In selecting a relevant measure for an outcome variable, it is

critical that logical inferences can be made from the operationalizations
upon which the measure was based to the theoretical constructs relevant
to the study. Construct validity refers to the degree to which inferences of
this type can legitimately be made.
(E) Implementation of Treatment Variable: An overlooked consideration

in many studies is the provision of evidence that the independent variable
of interest has actually been applied as intended. Student (1931) described
a famous failure of implementation. In 1930 in Scotland the Department of
Health conducted the Lanarkshire Milk Experiment to investigate the
advantage of giving extra milk to schoolchildren. The experiment, involving
20,000 children, was seriously compromised by some teachers who gave
the extra milk to students they considered most needy as opposed to those
selected by randomization. The lesson is that there must be some record
or documentation supporting the fact that the intended treatment has taken

place.
(F) Analysis Issues: Research studies without serious design limitations

may nevertheless suffer from inadequate or inappropriate analyses. While
there are often alternative analytical approaches that result in equivalent
analyses with respect to interpretation of results, it is also the case that
inappropriate analysis may limit interpretability. Among issues that arise
reasonably often are: (a) failure to utilize an appropriate unit of analysis
(e.g., ignoring nesting of students within schools and employing ordinary
ANOVA when hierarchical linear modeling would be more appropriate); (b)
arriving at models by exploratory procedures but interpreting results as if
models were confirmed (e.g., using stepwise multiple regression to
"confirm" the importance of predictor variables or using model modification
indices in structural equation modeling to alter an initial model to improve fit
to data); (c) deriving estimates from complex survey designs without
considering design issues (e.g., neither using weighted estimates nor
modeling the design when analyzing NAEP data); and (d) ignoring
distributional assumptions with parametric procedures such as multiple
regression, ANOVA, structural equation modeling, etc. (e.g., ignoring the
impact of outliers, extremely skewed distributions of residuals, or lack of
homogeneity of variance). There are, of course, many more subtle issues
such as the mistaken notion that non-parametric tests for location (e.g.,
Mann-Whitney U) are insensitive to homogeneity of variance assumptions.
(G) Interpretation Issues: While the use of inferential statistical methods

has been a valuable tool in many applied research fields, their use has also
led to some unfortunate opportunities to make incorrect or misleading
interpretations of results. Recent emphasis on reporting effect sizes may
be viewed as valuable, but all too often this takes the form of comparing a
computed effect size (e.g., standardized absolute mean difference) with
some completely arbitrary standard (e.g., .5 as indicating a "medium"
effect). In fact, a statistically significant outcome for, say, a two-
independent-sample t test for means merely suggests that the result is
"surprising" when compared to a model of chance variation. The practical
interpretation of the observed outcome must be made within the context of
the research setting.
Annex II: Research design

Different research designs have different attributes. The design is the
structure of any scientific work. It gives direction and systematizes the
research. The method you choose will affect your results and how you
conclude the findings. Most scientists are interested in getting reliable
observations that can help the understanding of a phenomenon.
There are two main approaches to a research problem:
i) Quantitative Research

ii) Qualitative Research
What design you
choose depends
on different
factors. There are various designs that are used in research, all with specific
advantages and disadvantages:
What information
do you want? i) True Experimental Design
How reliable
should the ii) Quasi-Experimental Design
information be?
Is it ethical to iii) Double-Blind Experiment
conduct the
study? iv) Descriptive Research
What is the cost
of the design? v) Archive Study
vi) Literature Review
vii) Case Study
viii) Survey
ix) Twin Studies
x) Meta-analysis
xi) Systematic Reviews
xii) Observational Study
xiii) Naturalistic Observation
xiv) Field Experiment
xv) Cohort Study
xvi) Longitudinal Study
xvii) Factorial Design
xviii) Case Control Study
xix) Pilot Study
Annex III: Some useful terms
Action research is a methodology that combines action and research to

examine specific questions, issues or phenomena through observation and
reflection, and deliberate intervention to improve practice.
Applied research is research undertaken to solve practical problems

rather than to acquire knowledge for knowledge sake.
Basic research is experimental and theoretical work undertaken to acquire

new knowledge without looking for long-term benefits other than the

advancement of knowledge.
Qualitative research is research undertaken to gain insights concerning

attitudes, beliefs, motivations and behaviors of individuals to explore a
social or human problem and include methods such as focus groups, in-
depth interviews, observation research and case studies.
Quantitative research is research concerned with the measurement of

attitudes, behaviors and perceptions and includes interviewing methods
such as telephone, intercept and door-to-door interviews as well as self-
completion methods such as mail outs and online surveys.
Clinical trials are research studies undertaken to determine better ways to

prevent, screen for, diagnose or treat diseases.
Epidemiological research is concerned with the description of health and

welfare in populations through the collection of data related to health and
the frequency, distribution and determinants of disease in populations, with
the aim of improving health.

Research Ethics
UNIT Key Concepts
•5• Ethics
Justice
Code of ethics
Beneficence
Non- maleficence Respect for persons/autonomy
Protection of the impaired/diminished autonomy
Informed consent Confidentiality
Identifiers
Objectives
At the end of this unit, you will:
• be sensitized about research ethics and be able to decipher

the basic principles of research ethics, duties and
•
responsibilities as a researcher towards study participants;
have increased awareness about research ethics and thereby
respect the rights of study participants and uphold research
•
ethical standards while conducting research;
have enhanced awareness of the existence of relevant
•
standards of ethics in research; and
have enhanced competence in research ethics so that you
adhere to ethical principles and rules by following existing
ethical clearance standard operating procedures in Ethiopia.
Mode of delivery and assessment
̇ Lecture
̇ Review, presentation and discussion of
selected case materials
̇ Preparation of informed consent form and
information sheet by trainees
̇ Review of standard operating procedures
̇ Group discussion
Lesson 1: The Basics
This unit of the module entitled research ethics aims at introducing you to
the concept of ethnics in research in general and basic principles of

research ethics in particular. It is intended to sensitize you about research
. “…training in ethics and provide a context for discussion of ethical issues and ethical
research ethics
dilemmas in research and enhance your awareness about basic ethical
should be able
to help principles and procedures for safeguarding research participants’ interests.
researchers
grapple with Ethics is one of the most crucial areas of research, with deception,
ethical misconduct and abuses in research increasingly becoming a crucial area of
dilemmas in that discussion, for instance, between psychologists, philosophers, ethical
it introduces groups, health professionals and researchers engaged in various fields of
researchers to research.
some important
concepts, tools, The history and development of international research ethics guidance is,
principles, and for example, strongly reflective of abuses and mistakes made especially in
methods that
the course of biomedical research. Today it is widely acknowledged that
can be useful in
resolving these researchers without training and awareness of principles of research ethics
dilemmas” are at risk of perpetrating abuses or making mistakes of real
(Resnik, ND). consequences. Thus, there is a growing recognition that any researcher
conducting research, particularly on/with human participants, should
undergo formal research ethics training.
Research ethics deals primarily with the interaction between researchers

and the people they study (and in recent decades, on laboratory animals as
well); while professional ethics deals, among others, with additional issues
such as collaborative relationships among researchers, mentoring
relationships, intellectual property, fabrication of data and plagiarism
(plagiarism will be covered in the last unit of this module).
Agreed-upon standards for research ethics help ensure that as researchers

we explicitly consider the needs and concerns of the people we study, that
appropriate oversight for the conduct of research takes place, and that a
basis for trust is established between researchers and study participants.
Ethics in research are very important when you're going to undertake a

research (perform an experiment, conduct an interview, participant
observation, etc.). They apply when you are planning, conducting and
evaluating research. Whenever we conduct research on/with people, the
well-being of research participants must be our top priority. The research
question is always of secondary importance. This means that if a choice
must be made between doing harm to a participant and doing harm to the
research, it is the research that is sacrificed.
1.1 What is ethics in research?
The word ethics comes from a Greek word ‘ethos’ (character). Ethics is a
systematic study of value concepts, ‘good’, ‘bad’, ‘right’, ‘wrong’ and the
general principles that justify applying these concepts. It is not considering

the poor hapless participant at the expense of science and society. It is to
learn how to make research “work” for all concerned.
Ethics is not
about When most people think of ethics (or morals), they think of rules for
etiquette. distinguishing between right and wrong, such as the Golden Rule ("Do unto
others as you would have them do unto you"), a code of professional
conduct like the Hippocratic Oath ("First of all, do no harm"), a religious
creed like the Ten Commandments ("Thou Shalt not kill..."), or wise
aphorisms like the sayings of Confucius. This is the most common way of
defining "ethics": ethics are norms for conduct that distinguish between
acceptable and unacceptable behavior.
Most people learn ethical norms at home, at school, in religious institutions,

or in other social settings. Although most people acquire their sense of
right and wrong during childhood, moral development occurs throughout
life and human beings pass through different stages of growth as they
mature. Ethical norms are so ubiquitous that one might be tempted to
regard them as simple commonsense. On the other hand, if morality were
nothing more than commonsense, then why are there so many ethical
disputes and issues in many societies? One plausible explanation of these
It is important to
disagreements is that all people recognize some common ethical norms but
remember that
ethics and law different individuals interpret, apply, and balance these norms in different
are not the ways in light of their own values and life experiences.
same
Most societies also have legal rules that govern behavior, but ethical norms
tend to be broader and more informal than laws. Although most societies
use laws to enforce widely accepted moral standards and ethical and legal
rules use similar concepts. An action may be legal but unethical or illegal
but ethical. We can also use ethical concepts and principles to criticize,
evaluate, propose, or interpret laws. Indeed, in the last century, many social
reformers urged citizens to disobey laws in order to protest what they
regarded as immoral or unjust laws. Peaceful civil disobedience is, for
instance, an ethical way of expressing political viewpoints.
Another way of defining 'ethics' focuses on the disciplines that study

standards of conduct, such as philosophy, theology, law, psychology, or
sociology. For example, a "medical ethicist" is someone who studies ethical
standards in medicine. Finally, one may also define ethics as a method,
procedure, or perspective for deciding how to act and for analyzing
complex problems and issues. For instance, in a complex issue like global
warming, one may take an economic, ecological, political, or ethical
perspective on the problem. While an economist might examine the cost
and benefits of various policies related to global warming, an environmental
ethicist could examine the ethical values and principles at stake in the
issue.

Many different disciplines, institutions, and professions have norms for
behavior that suit their particular aims and goals. These norms also help
members of the discipline to coordinate their actions or activities and to
establish the public's trust of the discipline. For instance, ethical norms
govern conduct in medicine, law, engineering, and business. Ethical norms
also serve the aims or goals of research and apply to people who conduct
scientific research or other scholarly or creative activities, and there is a
specialized discipline, research ethics, which studies these norms.
1.2 Why is research ethics important?
There are several reasons why it is important to adhere to ethical norms

in research. First, some of these norms promote the aims of research,
such as knowledge, truth, and avoidance of error. For example, prohibitions
Education might
against fabricating, falsifying, or misrepresenting research data promote the
be the vessel
that helps you truth and avoid error. Second, since research often involves a great deal of
cross the vast cooperation and coordination among many different people in different
ocean of disciplines and institutions, many of these ethical standards promote the
knowledge, but values that are essential to collaborative work, such as trust,
where would accountability, mutual respect, and fairness. For example, many ethical
you land without norms in research, such as guidelines for authorship, copyright and
an ethical patenting policies, data sharing policies, and confidentiality rules in peer
compass? review, are designed to protect intellectual property interests while
encouraging collaboration. Most researchers want to receive credit for their
contributions and do not want to have their ideas stolen or disclosed
prematurely.
Third, many of the ethical norms help to ensure that researchers can be
held accountable to the public. For instance, US federal policies on
research misconduct, on conflicts of interest, on the human study
participant’s protections, and on animal care and use are necessary in
order to make sure that researchers who are funded by public money can
be held accountable to the public. Fourth, ethical norms in research also
help to build public support for research. People are more likely to fund
research project if they can trust the quality and integrity of research.
Finally, many of the norms of research promote a variety of other important
moral and social values, such as social responsibility, human rights,
animal welfare, compliance with the law, and health and safety. Ethical
lapses in research can significantly harm human and animal subjects,
students, and the public. For example, a researcher who fabricates data in
a clinical trial may harm or even kill patients and a researcher who fails to
abide by regulations and guidelines relating to radiation or biological safety
may jeopardize his health and safety or the health and safety of staff and
students.

Exercise
Form the class into two groups: one group will argue the position that
‘ethics is absolute’ and the other groups will argue the position that ‘ethics
is relative’. Allow the groups to discuss their position and prepare debating
points and opening remarks. After which, the two groups will select leaders
who will lead the debate. The instructor will serve as moderator while the
rest of the class will be observers (and at times be allowed to pose
questions to the opposing side).
It is common knowledge that aiding a fugitive from the law is illegal. If the
fugitive happens to be someone you know very well and s/he asks you to
pass a message to his/her family … will you do it? Do you consider this act
contrary to the law forbidding ‘assistance to a fugitive’? And is it ethical?
Lesson 2: Research Ethics Explained
2.1 Some theories of ethics
Utilitarianism: founded on the ability to predict the consequences of an

action; the choice that yields the greatest benefit to the most people is the
choice that is ethically correct. One benefit of this ethical theory is that the
utilitarian can compare similar predicted solutions and use a point system to
determine which choice is more beneficial for more people. This point
system provides a logical and rationale argument for each decision and
allows a person to use it on a case-by-case context.
There are two types of Utilitarianism: act utilitarianism and rule

utilitarianism
Act utilitarianism adheres exactly to the definition of utilitarianism. A
person performs the acts that benefit the most people, regardless of
personal feelings or the societal constraints such as laws.
Rule utilitarianism takes into account the law and is concerned with
fairness. A rule utilitarian seeks to benefit the most people but through the
fairest and most just means available. Therefore, added benefits of rule
utilitarianism are that it values justice and includes beneficence at the same
time.
Inherent in both are the flaws associated with predicting the future.
Although people can use their life experiences to attempt to predict
outcomes, no human being can be certain that his predictions will be true.
This uncertainty can lead to unexpected results making the utilitarian look
unethical as time passes because his choice did not benefit the most
people as he predicted. Another assumption that a utilitarian must make is
that he has the ability to compare the various types of consequences
against each other on a similar scale. However, comparing material gains
such as money against intangible gains such as happiness is impossible

since their qualities differ to such a large extent; it does not allow for the
existence of supererogation or heroes. In other words, people are obligated
to constantly behave so that the most people benefit regardless of the
danger associated with an act.
Deontology
The deontological theory states that people should adhere to their
obligations and duties when analyzing an ethical dilemma. A person who
follows this theory will produce very consistent decisions since they will be
based on the individual's set duties. Deontology provides a basis for special
duties and obligations to specific people. It also praises those deontologists
who exceed their duties and obligations, which is called "supererogation”.
One weakness of this theory is that there is no rationale or logical basis for
deciding an individual's duties. Sometimes a person's duties conflict;
deontology sometimes is not concerned with the welfare of others.
Rights
The rights set forth by a society are protected and given the highest priority.
Rights are considered to be ethically correct and valid since a large or
ruling population endorses them. Individuals may also bestow rights upon
others if they have the ability and resources to do so.
A major complication is that one must decipher what the characteristics of a

right are in a society. The society has to determine what rights it wants to
uphold and give to its citizens. In order for a society to determine what
rights it wants to enact, it must decide what the society's goals and ethical
priorities are. Therefore, in order for the rights theory to be useful, it must
be used in conjunction with another ethical theory that will consistently
explain the goals of the society.
Virtue: Judges a person by his character rather than by an action that may
deviate from his normal behavior. It takes the person's morals, reputation
and motivation into account when rating an unusual and irregular behavior
that is considered unethical. Major flaw is that it does not take into
consideration a person's change in moral character.
Casuist: compares a current ethical dilemma with examples of similar

ethical dilemmas and their outcomes. This allows one to determine the
severity of the situation and to create the best possible solution according
to others' experiences. A casuistical theory also assumes that the results of
the current ethical dilemma will be similar to results in the examples. A
major drawback to this ethical theory is that there may not be a set of
similar examples for a given ethical dilemma.

2.2 Research ethics when dealing with human participants
2.2.1 Basic principles
What are the fundamental research ethics principles? All research involving
A researcher’s
human beings should be conducted in accordance with three basic ethical
aim should
always be to principles, namely respect for persons, beneficence and justice. These
benefit three core principles, originally included in The Belmont Report which came
humanity. And out in 1979, form the universally accepted basis for research ethics. It is
humanity is generally agreed that these principles, which in the abstract have equal
each and moral force, guide the conscientious preparation of proposals for scientific
everyone of us. studies. In varying circumstances they may be expressed differently and
given different moral weight, and their application may lead to different
decisions or courses of action. Below the aforementioned three basic
research ethics principles are briefly discussed one by one.
1. Respect for persons/autonomy incorporates at least two fundamental

ethical considerations, namely:
a) Respect for autonomy, which requires that those who are capable of
deliberation about their personal choices should be treated with respect for
their capacity for self-determination; and
b) Protection of persons with impaired or diminished autonomy, which

requires that those who are dependent or vulnerable be afforded security
against harm or abuse (For the details please see the Nuremberg Code
1979).
Autonomy or respect for persons requires a commitment to ensuring the

autonomy of research participants, and where autonomy may be
diminished, to protect people from exploitation of their vulnerability. The
dignity of all research participants must be respected. Adherence to this
principle ensures that people will not be used simply as a means to achieve
research objectives. According to this principle a study participant has
rights to privacy and confidentiality.

2. Beneficence refers to the ethical obligation to maximize benefits and to
minimize harms. This principle gives rise to norms requiring that the risks of
research be reasonable in the light of the expected benefits, that the
research design be sound, and that the investigators be competent both to
conduct the research and to safeguard the welfare of (“mental integrity”,
psychological well-being) of the study participants. Beneficence further
proscribes the deliberate infliction of harm on persons; this aspect of
beneficence is sometimes expressed as a separate principle, non-
maleficence (do no harm). Beneficence requires a commitment to
minimizing the risks associated with research including psychological and
social risks and maximizing the benefits that accrue to research
participants. Researchers must articulate specific ways this will be
achieved.
3. Justice refers to the ethical obligation to treat each person in

accordance with what is morally right and proper, to give each person what
is due to him or her. In the ethics of research involving human research
participants the principle refers primarily to distributive justice, which
requires the equitable distribution of both the burdens and the benefits of
participation in research. Justice requires a commitment to ensuring a fair
distribution of the risks and benefits resulting from research. Those who
take on the burden of research participation should share in the benefits of
the knowledge gained. In other words, the people who are expected to
benefit from the knowledge should be the ones who are asked to
participate.
Differences in distribution of burdens and benefits are justifiable only if they

are based on morally relevant distinctions between persons; one such
distinction is vulnerability. "Vulnerability" refers to a substantial incapacity
to protect one's own interests owing to such impediments as lack of
capability to give informed consent, lack of alternative means of, for
instance, obtaining medical care or other expensive necessities, or being a
junior or subordinate member of a hierarchical group. Accordingly, special
provision must be made for the protection of the rights and welfare
of vulnerable persons.
Sponsors of research or investigators cannot, in general, be held

accountable for unjust conditions where the research is conducted, but they
must refrain from practices that are likely to worsen unjust conditions or
contribute to new inequities. Neither should they take advantage of the
relative inability of low-resource countries or vulnerable populations to
protect their own interests, by conducting research inexpensively and
avoiding complex regulatory systems of industrialized countries in order to
develop products for the lucrative markets of those countries.
In general, the research project should leave low-resource countries or

communities better off than previously or, at least, no worse off. It should be
responsive to their health needs and priorities in that any product
developed is made reasonably available to them, and as far as possible
leave the population in a better position to obtain effective health care and
protect its own health.
Justice requires also that the research be responsive to the conditions or

needs of vulnerable research participants. The research participants
selected should be the least vulnerable necessary to accomplish the
purposes of the research. Risk to vulnerable research participants is most
The researcher
easily justified when it arises from interventions or procedures that hold out
is a product and
member of a for them the prospect of, for example, direct health-related benefit. Risk that
community; and does not hold out such prospect must be justified by the anticipated benefit
thus cannot, in to the population of which the individual research participant is
the sole pursuit representative.
of his research
interest, We evaluate the cost and benefits for most decisions in life, whether we are
discount the aware of it or not. This can be quite a dilemma in some research projects
values, norms, and/or experiments. The first thing to do before designing a study is to
cultures, and consider the potential cost and benefits of the research. Are the benefits so
traditions of the good that they will outweigh the costs? Stem cell research is one example
community.
of an area with difficult ethical considerations. As a result, stem cell
research is restricted in many countries, because of the major and
problematic ethical issues.
In addition to the three above mentioned established principles, some

bioethicists have suggested that a fourth principle, respect for
communities, should be added. Respect for communities “confers on the
Animal use in
researcher an obligation to respect the values and interests of the
research is community in research and, wherever possible, to protect the community
often critical to from harm”. Some scholars believe that this principle is, in fact,
the success of a fundamental for research when community-wide knowledge, values, and
project. The relationships are critical to research success and may in turn be affected by
researcher has the research process or its outcomes.
an ethical
obligation to 2.2.2 Informed consent
treat the
animals in a Informed consent is a process by which a study participant voluntarily
humane
confirms his or her willingness to participate in a particular trial/study, after
manner.
having been informed of all aspects of the trial/study that are relevant to
the study participant’s decision to participate.
Research on/with human study participants should be carried out only by,
or strictly supervised by, suitably qualified and experienced investigators
and in accordance with a protocol that clearly states: the aim of the
research; the reasons for proposing that it involves human beings; the

nature and degree of any known risks to the study participants; the sources
from which it is proposed to recruit study participants; and the means
proposed for ensuring that study participants' consent will be adequately
informed and voluntary. The protocol should be scientifically and ethically
appraised by one or more suitably constituted review bodies, independent
of the investigators/researchers.
New vaccines and medicinal drugs, for instance, before being approved for
general use, must be tested on human study participants in clinical trials;
such trials constitute a substantial part of all research involving human
study participants.
As you have seen above informed consent is a process and acknowledges

respect for persons. It is not a legal document. It is rather a risk
management tool for an investigator/researcher.
Exercise
It is sometimes said that it is easier to do research using human

participants than laboratory animals, because humans can speak for
themselves and agree or decline to participate in a research project.
However, the rights of animals are advocated by animal rights groups and
in some countries dictated by laws. How far should the researcher go to
protect the animals? What would you consider inhumane treatment of
animals?
Even among animals, a crude distinction is made between “beady eyes”

(such as mice, birds, etc) and “sad eyes” (such as dogs, rabbits, etc) in the
A signature at
the bottom of level of protection afforded to them. Do you think those animals who, by
the consent virtue of being domesticated, should be afforded a more rigorous standard
form simply of treatment than those that are not domesticated? Should mammals be
implies that the give special consideration over reptiles or amphibians?
study participant
has understood A vaccine for HIV/AIDS is nearing clinical trial. You, as the researcher,
and agreed to believe you are at the brink of major breakthrough. What are some of the
what he was ethical issues you will need to navigate to undertake the clinical human
told, it does not trial? Does the potential benefit for many supersede the harm that the trial
mean that he might cause to a few?
was fully and
completely
informed. What if the clinical trial is for a drug to treat HIV/AIDS? Would it be ethical
to subject some study participants to a placebo under the false pretense
that they are receiving an experimental drug?
Goal of informed consent
The main goal of informed consent is to make sure that the study

participant has understood and make choices freely whether to begin or
continue participation in a study. And the essential elements of informed
consent are: information, comprehension and autonomy of study
participants and consent. In short it is a process which addresses three
important questions namely, Who? When? How? The provision of
information about the proposed research project to potential study
participants is of critical important in informed consent.
The information should consist of statement of objectives//purpose,

invitation to participation (voluntary participation and withdrawal),
explanation of procedure (selection criteria), description of discomforts &
risks, expected costs and benefit for participation, availability of provision of
care and compensation in case of injury, disclosure of alternatives,
confidentiality/privacy, compensation for injury, voluntary
participation/withdrawal (no-coercive disclaimer), offer contact persons for
answering questions, consent to incomplete disclosure. Additional
information on source of funding, conflict of interest, new information will be
provided.
Comprehension: while preparing a consent form the researcher has to use

local language with simple & clear language (understood by the study
participants), short words & sentences. The researcher should use
educational intervention prior to obtaining the consent of study participants.
The researcher should avoid the use of technical terms, statements of
waiver of study participants’ rights, avoid wording that suggests coercion or
overly reassuring language and claims of, for example, safety or efficacy.
Informed consent: upholds autonomy or respect for persons which

requires legal capacity to give consent; free power of choice, without undue
force, fraud, deceit, duress, constraint or coercion. Fiduciary relationship
(duty to protect) between investigator and study participants; signing of the
consent form with written documentation, the contract signify agreement,
not legally binding; no statement abandoning legal cover; commitment to a
fiduciary relationship; and renegotiation from time to time.
The researcher should also remember that: a signature by a study

participant is required but the process is more important. And the “witness”
signature implies the participant did sign, but not necessarily understood
the informed consent form.
The researcher has to be trained and be knowledgeable about the

proposed study. S/he has no relationship with the potential study
participant. Moreover whenever there is significant new information that
may affect the study participant’s voluntarily participation before the
proposed research is begun, then the researcher has the obligation to
make sure that the information is made available to a study participant and

continue to consent when there is significant new information.
In general a researcher has to answer all questions raised by a study

participant and provide the study participant with adequate information and
make sure that s/he understood the information; and s/he is given enough
time to consider all options. And the process is free from coercion/undue
influence. Coercion in this context is understood to be absence of any overt
threat of harm presented by a person in order to obtain compliance; undue
influence; and offering an excessive, improper reward to obtain compliance.
The researcher has also the obligation to make sure that the study setting
is: quiet, comfortable, and takes place in a private setting.
Privacy and confidentiality
The concept of confidentiality is a key element of research ethics in that the

researcher needs to know which types of information can or cannot be
shared with a third part with/without the consent of the study participant. In
this regard attention should be paid to the following kinds of information.
1) Individually identifiable: they directly identify the individual or

reasonably could be used to identify an individual.
2) De-identified; those without individual identifiers.
Identifiers: names, all geographic information, all elements of dates

(except year), including birth, death admission and discharge dates,
telephone and fax numbers, electronic mail addresses, social security
numbers, medical record numbers, health plan beneficiary numbers,
account numbers, certificate/license numbers, vehicle identifiers and serial
numbers, including license plate numbers, device identifiers and serial
numbers, web universal resource locators (URLs), internet protocol (IP)
address numbers, biometric identifiers, including finger and voice prints, full
face photographic images and any comparable images, and any other
unique identifying number, characteristic or code..
The confidentiality of records that could identify study participants should

be protected, respecting the privacy and confidentiality rules in accordance
with the applicable regulatory requirements. Records that contain the
following types of information can be included in this category: genetic
information; psychological well-being, sexual attitudes, preferences,
practices; substance abuse or illegal behavior; and other information which
may “stigmatize” or alienate study participants; may be culture specific.
2.2.3 Research on/with vulnerable groups
Vulnerable and less advantaged persons are: persons who are

absolutely or relatively incapable of protecting their interests; have
insufficient power, intelligence, resources, strength or other needed
attributes to protect their own interests through informed consent.
Special populations
This category often include, fetuses, pregnant women and human in vitro
A society is not
judged by the
fertilization, prisoners and children.
way it caters to
the strong and Uncomprehending study participants
invincible, but
rather by the Persons unable to understand and cooperate may defeat purpose of the
way it tends to research or harm themselves. These includes, mentally retarded,
the weak and uneducated, senile, linguistically disadvantaged, inebriated, unconscious
vulnerable. and dying.
Sick study participants
Illness is indicative of the disturbance of the capacity to perform roles and

tasks effectively. Types: persons with prolonged chronic illness – more
prone to take risks to gain relief, even if remote; depressed persons;
suffering persons; emergency cases; hospitalized patients; dying.
Dependent study participants
The dependence of the study participant on the researcher by virtue of

his/her relationship/s with an investigator; and types of dependence can
include: administrative availability – patients, students, employees,
prisoners, etc.; threatened relationships – fear of jeopardizing
relationships if they refuse to participate; poor persons – unable to secure
money by ordinary means.
Minority groups
Determined by age, race, sex, ethnicity, etc.; gays; elderly (ageism – there
seems a deep and profound prejudice against the elderly in many
societies).
Study participants in unusual circumstances
Such persons include sexual abuse / rape victims; domestic violence

victims; HIV-AIDS / STD cases; and victims of war.
Protection of vulnerable and /or special populations
Protection of vulnerable populations: public concern for vulnerable study

participants has been expressed by the reactions to the following
studies/expedients: Nazi Experiments and the Nuremberg Trials; Tuskegee
Syphilis Study – involvement of black males; Willowbrook Study – hepatitis
study among children in New York State institution for mentally defective
persons; Jewish Chronic Disease Hospital Study – injection of live cancer
cells into patients to study transplant rejection process; and San Antonio
Contraceptive Study – study of side effects of contraceptives on Mexican
American women.
The use of vulnerable persons as study participants that are not forbidden
by ethical codes or regulations needs justification for their inclusion such
as unsuitability of less vulnerable populations for the proposed study; and it
requires the use of mitigating measures to address their vulnerabilities. For
instance, in a study on health issues that involves fetuses, pregnant women
and human in virtro-fertilization the researcher has to ensure that
appropriate studies on animals and non pregnant individuals have been
conducted; and therefore there is a minimal risk. And the investigator
should have no part and no procedures introduced to terminate pregnancy
or determine viability of fetus; and there is no inducement (monetary, etc.)
to terminate pregnancy.
The protection of special populations such as prisoners requires that one

prisoner or prison representative be on Institutional Review Board (IRB); no
special privileges are given to prisoners recruited to the study; there is fair
selection of prisoner study participants; that the risks are commensurate to
the risks of non prisoners; information is given in understandable language;
that parole boards do not credit prisoner participation; and follow up
examination/assessment is done when necessary.
The protection of special populations like children first the researcher has to
establish the existence of the need for a generalizable knowledge about the
study participants, and second due consideration is given to the
appropriateness of the age group (adults before children) and appropriate
consent form is used to obtain consent. Further more, permission of
parents or guardians is required; children’s assent (take into account age,
maturity and psychological state of children); documentation of consent and
assent, and so on depending on the specific rules and regulation of the
country in question. In such a study the risks are determined by IRB as
follows: category one- Minimal risk; category two - Direct benefit; category
three- No direct benefit.

In general the protection of special populations entails that: use of less risky
study participants if possible; regular hospital patients should not be
deprived of standards of care; determination of appropriate study
participant population’s related to risks in study intervention; vulnerability
issues should take higher precedence than investigator convenience; and
risk of washout periods should be assessed.
2.2.4 Mitigating procedures for protection of vulnerable persons
Some suggested mitigating procedures for the protection of vulnerable

persons includes the following measures. Exclusion of vulnerable study
participants; increasing the capacity of vulnerable study participants to give
free consent; improvement of quality of consent process; creative and
innovative ways of giving information and improving comprehension; putting
institutional policies regarding recruitment of patients, students, etc. in
place; careful calculation of fees paid to participants; adherence to
confidentiality rules; setting up physical structures to ensure protection of
privacy; debriefing procedures after data gathering; counseling study
participants at risk; and avoiding circumstances that will expose study
participants to social risks or stigmatization during the research process.
2.2.5 Deception and misconduct in research: some examples
Ethics is one of the most crucial areas of research, with deception and
research increasingly becoming a crucial area of discussion between
psychologists, philosophers and ethical groups. There is no doubt that, for
many psychological and sociological experiments, the less that the study
participant knows the better. Unfortunately, this intent can stray into
harming people, intentionally or otherwise, and psychology associations
across the world have to constantly update their ethical codes to
incorporate new discoveries about the human mind.
Many of you may be wondering why you are being required to have training
in research ethics. You may believe that you are highly ethical and know
the difference between right and wrong. You would never fabricate or falsify
data or plagiarize. Indeed, you also may believe that most of your
colleagues are highly ethical and that there is no ethics problem in
research.
If you feel this way, relax. No one is accusing you of acting unethically.
Indeed, the best evidence we have shows that misconduct is a very rare
occurrence in research. For example, there have been 200 confirmed
cases of misconduct in federally funded research in the USA in the last 200
years, which works out to a rate of 1in 10,000 (or 0.01%). Of course, this
estimate may be extremely low due to various biases related to under-
reporting. Several studies have surveyed researchers to ask them whether

they have observed misconduct or know about a case of suspected
misconduct. There is a great deal of variation in these results, ranging from
3% to 12% who say they have observed misconduct or know about a case
of suspected misconduct. These results, though much higher than 0.01%,
still do not support the hypothesis that is common in science, especially
when you consider these results in relation to the larger body of research. If
5-10% of drivers have witnessed a fatal traffic accident, this does not prove
that fatal traffic accidents are common, if you consider this in light of total
Recent studies
numbers of hours that people drive.
show that
Gregor Mendel,
the father of Clearly, it would be useful to have more data on this topic, but so far there
modern day is no evidence that science has become ethically corrupt. However, even if
genetics, misconduct is rare, it can have a tremendous impact on research. Consider
altered his data an analogy with crime: it does not take many murders or rapes in a town to
to make it more erode the community's sense of trust and increase the community's fear
convincing. and paranoia. The same thing is true with the most serious crimes in
science, i.e. fabrication, falsification, and plagiarism. However, most of the
crimes committed in science probably are not tantamount to murder or
rape. Most of the crimes in science, like most of the crimes in society, are
probably the less serious but ethically significant misdeeds that are
classified by a government as 'deviations.' Moreover, there are many
situations in research that are genuine ethical dilemmas.
Will training and education in research ethics help reduce the rate of
misconduct in science? It is too early to tell. The answer to this question
depends on how one understands the causes of misconduct. There are two
main theories about why researchers commit misconduct. According to the
"bad apple" theory, most scientists are highly ethical. Only researchers who
are morally corrupt, economically desperate, or psychologically disturbed
commit misconduct. Moreover, only a fool would commit misconduct
because science's peer review system and self-correcting mechanisms will
eventually catch those who try to cheat the system. In any case, a course in
research ethics will have little impact on "bad apples," one might argue.
According to the "stressful" or "imperfect" environment theory, misconduct
occurs because various institutional pressures, incentives, and constraints
encourage people to commit misconduct. Often cited here pressures to
publish or obtain grants or contracts, career ambitions, the pursuit of profit
or fame, poor supervision of students and trainees, and poor oversight of
researchers. Moreover, defenders of the stressful environment theory point
out that science's peer review system is far from perfect and that it is
relatively easy to cheat the system. Erroneous or fraudulent research often
enters the public record without being detected for years. To the extent that
research environment is an important factor in misconduct, a course in
research ethics is likely to help people to get a better understanding of
these stresses, sensitize people to the various ethical concerns, and
improve ethical judgment and decision making.

Misconduct probably results from environmental and individual causes, i.e.
when people who are morally weak, ignorant, or insensitive are placed in
stressful or imperfect environments. In any case, a course in research
ethics could still be useful in helping to prevent deviations from norms even
if it does not prevent misconduct. Many of the deviations that occur in
research may occur because researchers simple do not know or have
never thought seriously about some of the ethical norms of research. For
example, some unethical authorship practices probably reflect years of
tradition in the research community that have not been questioned seriously
until recently. If the director of a lab is named as an author on every paper
that comes from his lab, even if he does not make a significant contribution,
what could be wrong with that? That's just the way it's done, one might
argue. If a drug company uses ghostwriters to write papers "authored" by its
physician-employees, what's wrong about this practice? Ghost writers help
write all sorts of books these days, so what's wrong with using ghostwriters
in research?
Deception in Another example where there may be some ignorance or at least some
research is one mistaken traditions is the problem of conflicts of interest in research. A
area where researcher may think that a "normal" or "traditional" financial relationship,
balancing the such as accepting stock or a consulting fee from a drug company that
needs for sponsors her research, raises no serious ethical issues. Or perhaps a
statistical university administrator sees no ethical problem in taking a large gift with
accuracy and strings attached from a pharmaceutical company. Maybe a physician thinks
validity against
that it is perfectly appropriate to receive a $300 finders fee for referring
ethics is always
a very difficult patients into a clinical trial.
process.
If "deviations" from ethical conduct occur in research as a result of
ignorance or a failure to reflect critically on problematic traditions, then a
course in research ethics may help reduce the rate of serious deviations by
improving the researcher's understanding of ethics and by sensitizing him
or her to the issues.
Finally, training in research ethics should be able to help researchers

grapple with ethical dilemmas in that it introduces researchers to some
important concepts, tools, principles, and methods that can be useful in
resolving these dilemmas.
It is often difficult to balance ethics in research. The case studies presented

in the exercise below are examples of how science has to constantly refine
and update ethical codes. The some researcher projects are
unambiguously evil extreme (such as the ones conducted by the Nazi era
doctors on Jews and even those considered genetically ‘inferior’ Germans).
But most cases deemed unethical, are well -intentioned researches that
can ended up straying onto the wrong side of the divide. It is because this

balancing act is so difficult that an independent ethics committee reviews
and approves so that unintended unethical lapses do not occur.
Exercise
Each student is expected to read the below presented case studies about
ethics in research beforehand. During the discussion session, some
The urge by
researchers is to students will be required to make a five minutes presentation on one of the
overlook data that cases. The presentation will center on identifying the ethical lapses, and the
does not fit nicely remedial measures that it requires. The case studies are classic, illustrative
into their and true; they are:
preconceived
expectation. If
they report a The Tuskegee experiments
modified data,
then it would be The Zimbardo’s Stanford Prison Experiments
unethical
commission; or
they may not
The Piliavin and Piliavin Experiment
report it at all and
then it would be
unethical
omission. But if Lesson 3: Codes and Policies for Research Ethics
they can find a
scientifically
grounded 3.1 Underlying principles of ethics codes
explanation for
the unexpected Given the importance of ethics for the conduct of research, it should come
result, then they as no surprise that many different professional associations, government
are true
scientists.
agencies, and universities have adopted specific codes, rules, and policies
relating to research ethics. Other influential research ethics policies include,
for example, the Uniform Requirements (International Committee of Medical
Journal Editors), the Chemist's Code of Conduct (American Chemical
Society), Code of Ethics (American Society for Clinical Laboratory Science)
Ethical Principles of Psychologists (American Psychological Association),
Statements on Ethics and Professional Responsibility (American
Anthropological Association), Statement on Professional Ethics (American
Association of University Professors), The Nuremberg Code and The
Declaration of Helsinki (World Medical Association). The following is a
rough and general summary of some ethical principals that various codes
address:
Honesty: Strive for honesty in all scientific communications. Honestly

report data, results, methods and procedures, and publication status. Do
not fabricate, falsify, or misrepresent data. Do not deceive colleagues,
granting agencies, or the public.
Objectivity: Strive to avoid bias in experimental design, data analysis, data

interpretation, peer review, personnel decisions, grant writing, expert
testimony, and other aspects of research where objectivity is expected or

required. Avoid or minimize bias or self-deception. Disclose personal or
financial interests that may affect research.
Integrity: Keep your promises and agreements; act with sincerity; strive for
consistency of thought and action.
If others cannot
Carefulness: Avoid careless errors and negligence; carefully and critically
believe the
words you utter, examine your own work and the work of your peers. Keep good records of
cannot trust the research activities, such as data collection, research design, and
numbers you correspondence with agencies or journals.
publish and
cannot depend Openness: Share data, results, ideas, tools, resources. Be open to
on the integrity criticism and new ideas.
of your work …
then who will be Respect for Intellectual Property: Honor patents, copyrights, and other
there to call you forms of intellectual property. Do not use unpublished data, methods, or
a scientist. results without permission. Give credit where credit is due. Give proper
acknowledgement or credit for all contributions to research. Never
plagiarize.
Confidentiality: Protect confidential communications, such as papers or

grants submitted for publication, personnel records, trade or military
secrets, and patient records.
Responsible Publication: Publish in order to advance research and

scholarship, not to advance just your own career. Avoid wasteful and
duplicative publication.
Responsible Mentoring: Help to educate, mentor, and advise students.

Promote their welfare and allow them to make their own decisions.
Respect for colleagues: Respect your colleagues and treat them fairly.
Social Responsibility: Strive to promote social good and prevent or

mitigate social harms through research, public education, and advocacy.
Non-Discrimination: Avoid discrimination against colleagues or students

on the basis of sex, race, ethnicity, or other factors that are not related to
their scientific competence and integrity.
Competence: Maintain and improve your own professional competence

and expertise through lifelong education and learning; take steps to
promote competence in science as a whole.
Legality: Know and obey relevant laws and institutional and governmental
policies.

Animal Care: Show proper respect and care for animals when using them
in research. Do not conduct unnecessary or poorly designed animal
experiments.
Human study participants’ protection: When conducting research on

human study participants minimize harms and risks and maximize benefits;
respect human dignity, privacy, and autonomy; take special precautions
with vulnerable populations; and strive to distribute the benefits and
burdens of research fairly.
3.2 Ethical decision making in research (case studies)
Although codes, policies, and principals are very important and useful, like
any set of rules, they do not cover every situation that arises in research,
they often conflict, and they require considerable interpretation. It is
therefore important for researchers to learn how to interpret, assess, and
apply various research rules and how to make decisions about how to act in
various situations. The vast majority of decisions that people must make in
the conduct of research involve the straightforward application of ethical
rules. For example, consider the following cases:
Case 1:
The research protocol for a study of a drug on hypertension requires the
administration of the drug at different doses to 50 laboratory mice, with
chemical and behavioral tests to determine toxic effects of the drug. Tom
has almost finished the experiment for Dr. Q. He has only 5 mice left to do.
However, he really wants to finish his work in time to go to Florida on spring
break with his friends, who are leaving tonight. He has injected the drug in
all 50 mice but has not completed all of the tests. He therefore decides to
extrapolate from the 45 completed results to produce the 5 additional
results.
Many different research ethics policies would hold that Tom has acted
unethically by fabricating data. If this study were sponsored by a federal
agency, such as the NIH, his actions would constitute a form of research
misconduct, which a government can define as "fabrication, falsification,
or plagiarism" (or FFP). Actions that nearly all researchers classify as
unethical are viewed as misconduct. It is important to remember, however,
that misconduct occurs only when researchers intend to deceive: honest
errors related to sloppiness, poor record keeping, miscalculations, bias,
self-deception, and even negligence do not constitute misconduct. Also,
reasonable disagreements about research methods, procedures, and
interpretations do not constitute research misconduct. Consider the
following case.

Case 2:
Dr. T has just discovered a mathematical error in a paper that has been
accepted for publication in a journal. The error does not affect the overall
results of his research, but it is potentially misleading. The journal has just
gone to press, so it is too late to catch the error before it appears in print. In
order to avoid embarrassment, Dr. T decides to ignore the error.
Clearly, Dr. T's error is not a form of misconduct nor is his decision to take
no action to correct the error. Most researchers as well as many different
policies and codes, including ECU's policies, would say that Dr. T should
tell the journal about the error and consider publishing a correction or
errata. Failing to publish a correction would be unethical because it would
violate norms relating to honesty and objectivity in research.
There are many other activities that a government may not define as
"misconduct" but which are still regarded by most researchers as unethical.
These are sometimes called "other deviations" from acceptable research
practices. Some of these might include:
•
Withholding the
Publishing the same paper in two different journals without
truth is
telling the editors
•
tantamount to
deliberate Submitting the same paper to different journals without telling
the editors
•
deception.
Not informing a collaborator of your intent to file a patent in
order to make sure that you are the sole inventor
• Including a colleague as an author on a paper in return for a
favor even though the colleague did not make a serious
contribution to the paper
• Discussing with your colleagues data from a paper that you
are reviewing for a journal
• Trimming outliers from a data set without discussing your
reasons in paper
• Using an inappropriate statistical technique in order to
enhance the significance of your research
• Bypassing the peer review process and announcing your
results through a press conference without giving peers
adequate information to review your work
• Conducting a review of the literature that fails to acknowledge
the contributions of other people in the field or relevant prior
work
• Stretching the truth on a grant application in order to convince
reviewers that your project will make a significant contribution
to the field
• Stretching the truth on a job application or curriculum vita
• Giving the same research project to two graduate students in
order to see who can do it the fastest

• Overworking, neglecting, or exploiting graduate or post-
doctoral students
• Keeping original data at home or taking it with you when you
move
• Failing to maintain research data for a reasonable period of
time
• Making derogatory comments and personal attacks in your
review of author's submission
• Promising a student a better grade for sexual favors
• Using a racist epithet in the laboratory
• Making significant deviations from the research protocol
approved by your institution's Animal Care and Use
Even the
Committee or Institutional Review Board for Human Subjects
smallest of
Research without telling the committee or the board
•
dishonest acts
are Not reporting an adverse event in a human research
experiment
•
unacceptable.
Wasting animals in research
• Exposing students and staff to biological risks in violation of
your institution's biosafety rules
• Rejecting a manuscript for publication without even reading it
• Sabotaging someone's work
• Stealing supplies, books, or data
• Rigging an experiment so you know how it will turn out
• Making unauthorized copies of data, papers, or computer
programs
• Owning in stock or having some other form of benefit in a
company that sponsors your research and not disclosing this
financial interest
• Deliberately overestimating the clinical significance of a new
drug in order to obtain economic benefits
Many of these actions would be regarded as highly unethical and

some might even be illegal depending on the society in question.
Most of these would also violate different professional ethics codes
or institutional policies. However, they might not fall into the narrow
category of actions that a government classifies as research
misconduct. Indeed, there has been considerable debate about the
definition of "research misconduct" and many researchers and policy
makers are not satisfied with a government's narrow definition that
focuses on "fabrication, falsification, or plagiarism". However, given
the huge list of potential offenses that might fall into the category
"other deviations," and the practical problems with defining and
policing these other deviations, it is understandable why government
officials might choose to limit their focus.
Finally, situations frequently arise in research in which different

people disagree about the proper course of action and there is no
broad consensus about what should be done. In these situations,
there may be good arguments on both sides of the issue and
different ethical principles may conflict. These situations create
difficult decisions for research known as ethical dilemmas.
Consider, for example, the following case:
Case 3:
Dr. S is a post-doctoral student in computer science working on

some programs that eliminate computer viruses. Two other graduate
students are working with her on the project, which is directed by a
senior researcher. Dr. S has just received an email from a research
team that is working on a similar project at another university. The
other team would like Dr. S to share some preliminary data and
designs related to the project. Dr. S has not applied for a patent on
this research, although she has discussed possible patents with her
supervisor.
Dr. S faces a difficult choice. On the one hand, the ethical norm of
openness obliges her to share data and designs with the other team.
If both teams work together, they may both benefit and help each
other as well as the profession and society. On the other hand, if she
shares data and designs with the other team, then they may not give
her (or her team) proper credit and they may win the race to be the
first team to be credited with the discovery. By sharing information,
Dr. S could jeopardize potential patents and other intellectual
property interests. It seems that there are good arguments on both
sides of this issue and Dr. S needs to take some time to think about
what she should do. What are some steps that researchers, such as
Dr. S, can take to "solve" ethical dilemmas in research? The
following is a series of questions that can help people resolve ethical
dilemmas:
What is the problem or issue?
It is always important to get a clear statement of the problem. In this

case, the issue is whether to share information with the other
research team.
What is the relevant information?
Many bad decisions are made as a result of poor information. To

know what to do, Dr. S needs to have more information concerning
such matters as university policies that may apply to this situation,
the team's intellectual property interests, the possibility of negotiating

some kind of agreement with the other team, whether the other team
also has some information it is willing to share, etc.
A dilemma
arises when a What are the different options?
personal
choice and an It is important to spell out the various options as well. People may fail
ethical to see different options due to a limited imagination, bias, ignorance,
imperative are or fear. In this case, there may be another choice besides 'share' or
not in 'don't share,' such as 'negotiation.'
congruence.
How do ethical codes or policies as well as legal rules apply to
these different options?
The university may have its own policies on intellectual property or

data management that applies to this case. Broader ethical rules,
such as openness and respect for intellectual property, may also
apply to this case. Relevant laws that would apply to this case might
include laws relating to patents, such as laws on prior disclosure and
preliminary patents.
Are there any people who can offer ethical advice?
It may be useful to seek advice from a colleague, a senior

researcher, your department chair, or anyone else you can trust. In
this case, Dr. S might want to talk to her supervisor before making a
decision.
After answering these questions, a person facing an ethical dilemma

may decide to ask more questions, gather more information, explore
different options, consider other ethical rules, and so on. However, at
some point he or she will have to make a decision and then take
action. Ideally, a person who makes a decision in an ethical dilemma
should be able to justify his or her decision to himself or herself, as
well as colleagues, administrators, and other people who might be
affected by the decision. He or she should be able to articulate
reasons for his or her conduct and should be able to explain how he
or she arrived at his or her decision. He or she should therefore
examine carefully the different options in light of the information and
problems raised. The following are some questions one might
consider at arriving at a final decision.
• Which choice could stand up to further publicity and scrutiny?

• Which choice could you not live with or be unable to defend?
• Think of the wisest person you know.
• What would he or she do in this situation?
• Which choice would be the most just, fair, or responsible?

• Which choice will probably have the best overall
consequences?
After considering all of these questions, one still might find it difficult to
decide what to do. If this is the case, then it may be appropriate to consider
other ways of making a decision, such as going with one's gut feeling,
seeking guidance through prayer or meditation, or even flipping a coin.
Endorsing these methods in this context need not imply that ethical
decisions are irrational or that these other methods should be used only as
a last resort. The main point is that human reasoning plays a pivotal role in
ethical decision-making but there are limits to its ability to solve all ethical
dilemmas in a finite amount of time.
3.3 Bioethics
Bioethics requires special mention because of the current trend and

progress in use of modern day molecular genetics, molecular biology,
human reproductive technology, etc and its direct impact on the lives of
millions of people and its assault on the common sensibilities of today’s
world.
The goal of Bioethics is not only the development of, or adherence to a

code of set of precepts but a better understanding of the issues. It is
prepared to ask deep philosophical questions about the nature of ethics,
the value of life, what it is to be a person, the significance of being human.
Bioethics embraces issues of public policy as well as the direction and
control of science.
Examples: new technology (organ transplant) and developments (stem cell

research) in health care and biomedical sciences; Increasing power of
scientists and doctors over patients and communities; The value-laden
nature of medical decision-making and a critical questioning of the bases of
decisions; and New social perspectives – abortion, right to die, etc.
Exercise
Just over three decades ago, the first test tube baby was born in England,
and thus ushering in the age of in vitro fertilization (IVF). At the time, there
was heated debate about whether the practice is ethical, but now the
technology is so pervasive and common place not many people consider it
a moral assault. Do you consider IVF unethical?
Human cloning is likely to be possible in the next couple of decades. The

bioethicists are rushing to lay the ethical ground rules for the inevitable.
However, some biologists do not consider producing human clones any
more controversial than was IVF many years ago. Do you think there will
come a time, when the majority in society will accept human cloning as a

simple medical procedure?
Are persons highly trained in the field of ethics more ethical than the
average lay person on the street?
3.4 Roles of ethical review board/committee
National (centralized) or local review. Ethical review committees may be

created under the aegis of national or local health administrations, national
(or centralized) medical research councils or other nationally representative
bodies. In a highly centralized administration a national, or
centralized, review committee may be constituted for both the scientific and
the ethical review of research protocols. The authority of a local ethical
review committee may be confined to a single institution or may extend to
all institutions in which biomedical research is carried out within a defined
geographical area. The main responsibilities of an ethical review
board/committee are:
• to determine that all proposed interventions, particularly the

administration of drugs and vaccines or the use of medical devices
or procedures under development, are acceptably safe to be
undertaken in humans or to verify that another competent expert
body has done so;
• to determine that the proposed research is scientifically sound or to

verify that another competent expert body has done so;
• to ensure that all other ethical concerns arising from a protocol are
satisfactorily resolved both in principle and in practice;
• to consider the qualifications of the investigators, including education

in the principles of research practice, and the conditions of the
research site with a view to ensuring the safe conduct of the trial;
and to keep records of decisions and to take measures to follow up
on the conduct of ongoing research projects.
3.5 Ethical clearance procedures in Ethiopia
Highlights of the review process

The National Ethical Review Committee works under the auspices of
the Ethiopian Science and Technology Ministry. The committee is
composed of members with a diverse educational background drawn
from different research institutes and universities. The committee’s
work is facilitated by the Office of the Secretariat and reports to the
National Health Science and Technology Council of the Ministry. The
committee is expected to be neutral and operate independently. The

Committee reviews research proposals on health issues, clinical
trials and social science and behavioral research proposals on
sensitive issues like HIV/AIDS. The ethical review process is
rigorous. Researchers are expected to follow the guideline prepared
by the Ministry in 2005. The guideline has detailed information on the
obligations and responsibilities of the researcher, the rights of study
participants, data safety and management procedures, material
(specimen) transfer agreements and so on. The committee uses the
following ethical review form while assessing the ethical implications
of a proposed research project.
National Health Science and Technology Council

National Ethical Clearance Committee
ETHICAL REVIEW FORM
Title:__________________________________________________
No Criteria/item Rating
1 Consent form -yes
Does the consent form contain all the necessary -requires revision
information that the subject should be aware of? -no
-not applicable
-not attached
2 Are the objectives of the study clearly stated? -yes
-no
3 Are the methods ethically sound? -yes

-justice -not well
-beneficence described
-respect for persons -no
4 Are provisions to overcome risks well described -yes
and acceptable? -no
-DSMC -not applicable
5 Are there provisions to provide standard/best -yes
proven care? -no
-not applicable
6 Are the safety procedures in the use of vaccines, -yes
drugs and other biological products acceptable? -no
-not applicable
7 Are the procedures to keep confidentiality well -yes
described? -no
-not applicable
8 Are the proposed researchers competent to carry -yes
out the study in a scientifically sound way? -no
-not applicable
-unable to
assess
9 Does it have a material transfer agreement? -yes
-no
-not applicable
Recommendation: ----Approved ----Approved on conditions----Not
approved
Remarks:

Summary
What are the fundamental research ethics principles? All research

involving human beings should be conducted in accordance with three
basic ethical principles, namely respect for persons, beneficence and
justice. It is generally agreed that these principles, which in the abstract
have equal moral force, guide the conscientious preparation of proposals
for scientific studies. In varying circumstances they may be expressed
differently and given different moral weight, and their application may lead
to different decisions or courses of action.
1.Respect for persons/autonomy incorporates at least two fundamental

ethical considerations, namely: a) Respect for autonomy, which requires
that those who are capable of deliberation about their personal choices
should be treated with respect for their capacity for self-determination; and
b) Protection of persons with impaired or diminished autonomy, which
requires that those who are dependent or vulnerable be afforded security
against harm or abuse. Autonomy or respect for persons requires a
commitment to ensuring the autonomy of research participants, and where
autonomy may be diminished, to protect people from exploitation of their
vulnerability. The dignity of all research participants must be respected.
Adherence to this principle ensures that people will not be used simply as a
means to achieve research objectives. According to this principle a study
participant has rights to privacy and confidentiality.
2. Beneficence refers to the ethical obligation to maximize benefits and to

minimize harms. This principle gives rise to norms requiring that the risks of
research be reasonable in the light of the expected benefits, that the
research design be sound, and that the investigators be competent both to
conduct the research and to safeguard the welfare of (“mental integrity”,
psychological well-being) of the study participants. Beneficence further
proscribes the deliberate infliction of harm on persons; this aspect of
beneficence is sometimes expressed as a separate principle, non-
maleficence (do no harm).
3. Justice refers to the ethical obligation to treat each person in

accordance with what is morally right and proper, to give each person what
is due to him or her. In the ethics of research involving human research
participants the principle refers primarily to distributive justice, which
requires the equitable distribution of both the burdens and the benefits of
participation in research. Justice requires a commitment to ensuring a fair
distribution of the risks and benefits resulting from research. Those who
take on the burden of research participation should share in the benefits of
the knowledge gained.
In addition to the three above mentioned established principles, some

bioethicists have suggested that a fourth principle, respect for
communities, should be added. Respect for communities “confers on the
researcher an obligation to respect the values and interests of the
community in research and, wherever possible, to protect the community
from harm”. Some scholars believe that this principle is, in fact,
fundamental for research when community-wide knowledge, values, and
relationships are critical to research success and may in turn be affected by
the research process or its outcomes.
Why is research ethics important? There are several reasons why it is

important to adhere to ethical norms in research. First, some of these
norms promote the aims of research, such as knowledge, truth, and
avoidance of error. Second, since research often involves a great deal of
cooperation and coordination among many different people in different
disciplines and institutions, many of these ethical standards promote the
values that are essential to collaborative work, such as trust,
accountability, mutual respect, and fairness. Third, many of the ethical
norms help to ensure that researchers can be held accountable to the
public. Fourth, ethical norms in research also help to build public support
for research. People are more likely to fund research project if they can
trust the quality and integrity of research. Fifth, many of the norms of
research promote a variety of other important moral and social values,
such as social responsibility, human rights, animal welfare, compliance with
the law, and health and safety. Ethical lapses in research can significantly
harm human and animal subjects, students, and the public.
Informed consent is a process by which a study participant voluntarily

confirms his or her willingness to participate in a particular trial/study, after
having been informed of all aspects of the trial/study that are relevant to the
study participant’s decision to participate. Research on/with human study
participants should be carried out only by, or strictly supervised by, suitably
qualified and experienced investigators and in accordance with a protocol
that clearly states: the aim of the research; the reasons for proposing that it
involves human beings; the nature and degree of any known risks to the
study participants; the sources from which it is proposed to recruit study
participants; and the means proposed for ensuring that study participants'
consent will be adequately informed and voluntary. The protocol should be
scientifically and ethically appraised by one or more suitably constituted
review bodies, independent of the investigators/researchers.
The following is a rough and general summary of some ethical principals

that various codes address: honesty, objectivity, integrity, carefulness,
openness, confidentiality, responsible publication, responsible mentoring,
respect for colleagues, nondiscrimination, competence, legality and respect
for intellectual property.

Appendix I: Terminologies
Assent: Agreement of the potential study participant to participate in

a research. It usually required for research involving children and
adults with diminished capacity.
Assent
< 6 yr No assent
7-12 yr Separate assent form
13-17 yr Assent section of
Adult informed consent
Respect for persons

Autonomous persons
Autonomous choices
Autonomy
Freedom of will
Freedom of action
Free to choose and act
Privacy and confidentiality
Promotes informed consent
Autonomy in research
Voluntary participation
Adequate information to make informed consent
Comprehension
Full disclosure of risks and benefits
No undue inducement
Voluntary termination
Continuing disclosure
Legally authorized representative
Culturally appropriate consent
Beneficence
Common definition – acts of kindness or charity that go beyond strict
obligation
To do good
Prevent evil or harm
Ought to remove evil or harm
Endeavor to benefit where possible
In health care; an obligation to improve health
In research; Maximize benefits and minimize risks of possible harms
Balance risks and benefits
Promotes risk benefit analysis, post trial benefits, etc
“I will follow that system of regimen which according to my ability and
judgment, I consider for the benefit of my patients and abstain from
whatever is deleterious and mischievous.” Hippocratic Oath, 400 BC

Types of harm
Physical
Psychological
Financial
Harm to ones reputation
Types of Benefits
Individual benefit
Community benefits
Social benefits
Types of Community Benefits, for example, in Health Research

Provision of health care in resource poor communities;
Salaries, infrastructure, incentives to research participants, etc.
Sustaining health care improvements by planning for gradual phase-out
with the community and local authorities;
Appropriate training and technology transfer; and
Access to trial products, infrastructure and knowledge by the research
participants, the community and the host country.
Community Benefits
Post study benefits may also include:
a) disseminating the study results with the study participants, the
community and health authorities;
b) presenting results in simple, understandable language; and
c) establishing personal contacts and attendance of community meetings.
Justice
To each his or her due
Equal treatment – Different treatment requires justification (experience,
age, deprivation, competence, merit, position, etc.)
What is deserved – People should be treated fairly, and should be given
what they deserve in the sense of what they have earned (Beauchamp and
Childress)
Promotes issues on study participant selections, what is owed them, how
they are treated during and after research, etc.
Fair distribution
Principles of distribution of burden and benefits
To each person an equal share
To each person according to individual need
To each person according to individual effort
To each person according to societal contribution
To each person according to merit

Application to health research, for example,
Recruitment of charity ward patients while benefits of health care enjoyed
by private patients
Nazi use of war prisoners perceived as grave injustice
Tuskegee patients deprived of treatment when it was already available
Recruitment of vulnerable population because they are available, easier to
manipulate and not because they manifest any condition related to the
study
Application to health research
Applicant should not be selected due to social characteristics such as
socioeconomic class or race, unless justified by study objectives
Women have been underrepresented in certain research studies
Counselor client relationship
Teacher student relationship
Appendix II: International instruments and guidelines
The first international instrument on the ethics of medical research, the

Nuremberg Code, was promulgated in 1947 as a consequence of the trial
of physicians (the Doctors’ Trial) who had conducted atrocious experiments
on unconsenting prisoners and detainees during the Second World War.
The Code, designed to protect the integrity of the research subject, set out
conditions for the ethical conduct of research involving human subjects,
emphasizing their voluntary consent to research.
The Universal Declaration of Human Rights was adopted by the General

Assembly of the United Nations in 1948. To give the Declaration legal as
well as moral force, the General Assembly adopted in 1966 the
International Covenant on Civil and Political Rights. Article 7 of the
Covenant states "No one shall be subjected to torture or to cruel, inhuman
or degrading treatment or punishment. In particular, no one shall be
subjected without his free consent to medical or scientific
experimentation". It is through this statement that society expresses the
fundamental human value that is held to govern all research involving
human subjects – the protection of the rights and welfare of all human
subjects of scientific experimentation.
The Declaration of Helsinki, issued by the World Medical Association in

1964, is the fundamental document in the field of ethics in biomedical
research and has influenced the formulation of international, regional and
national legislation and codes of conduct. The Declaration, amended
several times, most recently in 2000, is a comprehensive international
statement of the ethics of research involving human subjects. It sets out
ethical guidelines for physicians engaged in both clinical and nonclinical
biomedical research.

Since the publication of the CIOMS 1993 Guidelines, several international
organizations have issued ethical guidance on clinical trials. This has
included, from the World Health Organization, in 1995, Guidelines for Good
Clinical Practice for Trials on Pharmaceutical Products; and from the
International Conference on Harmonisation of Technical Requirements for
Registration of Pharmaceuticals for Human Use (ICH), in 1996, Guideline
on Good Clinical Practice, designed to ensure that data generated from
clinical trials are mutually acceptable to regulatory authorities in the
European Union, Japan and the United States of America. The Joint United
Nations Program on HIV/AIDS published in 2000 the UNAIDS Guidance
Document Ethical Considerations in HIV Preventive Vaccine Research.
In 2001 the Council of Ministers of the European Union adopted a Directive

on clinical trials, which will be binding in law in the countries of the Union
from 2004. The Council of Europe, with more than 40 member States, is
developing a Protocol on Biomedical Research, which will be an additional
protocol to the Council’s 1997 Convention on Human Rights and
Biomedicine.
Not specifically concerned with biomedical research involving human

subjects but clearly pertinent, as noted above, are international human
rights instruments. These are mainly the Universal Declaration of Human
Rights, which, particularly in its science provisions, was highly influenced by
the Nuremberg Code; the International Covenant on Civil and Political
Rights; and the International Covenant on Economic, Social and Cultural
Rights. Since the Nuremberg experience, human rights law has expanded
to include the protection of women (Convention on the Elimination of All
Forms of Discrimination Against Women) and children (Convention on the
Rights of the Child). These and other such international instruments
endorse in terms of human rights the general ethical principles that underlie
the CIOMS International Ethical Guidelines. Nuremberg Code 1947
Declaration of Helsinki 2000 WHO guidelines
References
Angell, M.. (1988) “Ethical Imperialism? Ethics in International Collaborative

Clinical Research.” New England Journal of Medicine.
Berg, Bruce L. (1995). Qualitative Research Methods for the Social

Sciences. 2nd ed. Boston: Allyn & Bacon.
Churchill LR, Assessing Benefits in Clinical Research. Why Diversity
in Benefit Assessment Can Be Risky.
Dooley, D. (2003) Social Research Methods. 3rd ed. New Delhi: Prentice-
Hall of India PLC.

Ethiopian Science and Technology Commission, National Health and
Science and Technology Council, Health Department (2005) National
Health Research Ethics Guideline, (4th Edit.). Addis Ababa, Ethiopia
Goldner, J. A. (2000) Dealing with Conflict of Interest in Biomedical

Research: IRB Oversight as the Next Best Solution to the Abolitionist
Approach. Journal of Law, Medicine and Ethics. 28: 379-404.
Jones, J. H. (1993). Bad Blood: The Tuskegee Syphilis Experiment. New
York: Free Press.
Kuper, J. (ed.) (1987) Methods, Ethics and Models. London & New York:
Rutledge & Kegan Paul.
Lewis, J. A. et al. (2002) Placebo-Controlled Trials and the Declaration of

Helsinki. The Lancet Publishing Group. WWW. thelancet.com
Miller FG. (2003) Ethical issues in research with healthy volunteers:

risk-benefit assessment. Clinical Pharmacology and Therapeutics.
Weijer C. (2000) The ethical analysis of risk. Journal of Law,

Medicine & Ethics..

Reporting Research Findings
UNIT
Key Concepts
•6• Effective communication
Purpose of report
Audience/reader
Organization
Style Delivery
Clarity Informativeness
Objective
After completing this unit you will have acquired the skills necessary
to effectively communicate your research findings using both a
written and oral medium.
● to prepare a scientific presentation
● to identify your audience
● to organize your presentation to be informative
● stylistic issues to make your presentation interesting
● avoiding common errors
Mode of Delivery
The content of this Unit are delivered through lectures, mock

presentations, and peer evaluation of mock presentations. For best
outcome, the active and full participation of the entire class as an
audience and evaluator of the mock presentations is essential.
Students will be assessed based on assignments, class
participation, and the mock presentation.
Lesson 1: Writing a Scientific Report
In today’s digitized world, written scientific reports are ubiquitously

accessible to readers all over the planet. A masters thesis generated
in AAU maybe read by another scientist sitting in Mongolia.
Therefore, the revolutionary effect of the Internet and the digital work
place has ratcheted up the need to produce written scientific reports
that are of good quality and standard. In cyberspace, where a
multitude of similar reports are available, the only reason that a
reader chooses to read a paper is if it is informative, clear, and
understandable.

Today, one of the most basic means of communication in our
professional life is written presentation, such as scientific paper,
technical report, assignment report, abstract, theses, conference
report, etc. Written presentations have one striking characteristics
which is different from that of verbal presentations, that is, written
presentations are exposed to readers. The communication between
author(s) and readers are in indirect way. In contrast, verbal
presentations are exposed to an audience, Poster is a kind of
combination of written presentation and verbal representation. Thus,
to avoid any confusion on the part of the reader, written
presentations demand logic, clarity and precision.
1.1 The fundamental elements of good writing
Writing is an art. And this lesson will not impart the artistic skills to
Writing is a turn you into an accomplished author. However, it will provide you
purpose driven with guidelines and tips that will improve your writing skills
activity. sufficiently to serve a purpose.
1.1.1 Purpose
A specific type of written presentation has to meet a specific need

which depends on the purpose of the writing. We will limit our
discussion to technical papers that are most likely to be read by
individuals with sufficient level of scientific background. Even
amongst these types of written papers, a variety of formats, editorial
requirements, etc. are applicable depending on the particular area of
scientific endeavor and/or the specific publication (E.g. journal,
technical manual, etc). It would be unrealistic to cover all possible
formats, therefore, we will limit ourselves to a generic format that is
more widely pertinent to what you, as a graduate student, will
encounter.
Writing, like any other human activity, is driven by a purpose. So the

initial step to writing well is knowing the purpose of writing. In the
case of scientific writing, the purpose is to get across an idea, a
finding, etc. across to a wider readership. Once you become fully
aware of the purpose of your writing, the quality of the paper you
write will show substantial improvement (at least in form, if not in
style). Hence, a poorly written paper is either a consequence of
deficiency in understanding the purpose of writing, or lack of proper
implementation.
The purpose of writing a scientific report is to communicate an idea

or set of ideas to people who want to understand the level of
scientific progress in a specific area of specialization, and many a

times to even carry the idea(s) further. Scientific progress is the
cumulative effect of ideas that were effectively communicated over
many centuries. Some ideas are obviously better than others and
one cannot argue that effective writing by itself will ensure that the
idea will push the frontiers of science. On the contrary, a very good
idea that is not effectively communicated may be lost in the growing
volume of reports and thus not impact or contribute to the
advancement of science.
For this lesson, we will assume that you have a promising idea that
will add value to the pursuit of knowledge or towards solving a
problem. The idea could be a result from an experiment, a model to
describe an event or phenomenon, or a new technique. If you do not
have an idea that you wish you to communicate, then you should
seriously reconsider whether preparing a scientific report is the right
One does not thing to do.
write to himself,
writing is 1.1.2 The target audience
targeted for the
benefit of Once an idea has been identified or formulated, then the effort will
others. be to present this idea in the best possible way to the target
audience. Which brings us to the question, “Who is the relevant
target audience?”. Writing a scientific report to a narrow base of
esoteric experts is not desirable. After all, we want the report to be
read by as many interested current and future researchers as
possible. In your case, it is safe to assume that the potential reader
will be intelligent and have some basic scientific background, but no
more. In other words, someone like you … a post-graduate student.
Focus on the Of course, at times it may be necessary to prepare a report for policy
need of the makers, general public, etc., in these instances you should tailor
reader, not on
your report to the perceived level of scientific understanding.
the writer’s
desire.
Unfortunately, while writing their thesis, most graduate students
focus on their advisor or at most the graduate examining committee
as their target reader. This is a common fallacy that you need to
avoid at all cost. Your thesis, your seminar report, etc. should be
written for all interested current and future researchers. Not properly
identifying your reader usually leads to some mistakes in writing
(such as use of abbreviations).
Having properly identified the relevant reader of the scientific paper,

we need to understand this audience. Anyone who picks up to read
your writing is either interested in acquiring new information or
achieving a better understanding. Therefore, in order to serve the
reader, your paper should have pertinent information. Moreover, the
information you would like to convey must be presented in an

arrangement such that the reader will not spend an inordinate
amount of time in extracting the information. It is usually the case
that graduate students tend to forget who the thesis/paper is being
written for and thus their written products do not appeal to a wider
audience.
1.2 The Organization
Again, please remember that we are here dealing with a generic

scientific paper. Therefore, the mode of organization presented here
is applicable in most cases, but not necessarily all cases.
Regardless the mode of organization, organization is very important
to convey your ‘idea’ in a comprehensive and meaningful way.
Perhaps more frequently with graduate students than seasoned

The key to scientists, you will have a set of things you want to say and feel
making writing compelled to say it somewhere in the paper … which may not
informative is necessarily be the most suitable place. A hotchpotch of information
organization. is not the aim of writing a scientific report. Due emphasis should be
given to how the flow of information is organized to attain a fluidity
and cohesiveness to the reader. Remember you are writing to
provide a scientific service to the reader, not to unload all that you
know onto a white sheet of paper.
The organization of the paper refers to the structure, i.e. the

sequence in which you present each type of information. The
scientific report should have distinctive and clearly evident
component parts. It is always desirable for you to create an outline of
the paper based on the component parts and filling in the major
points you want to cover in each part. This will organize your
thoughts and will make the writing process less painful. Below you
will find the list of the parts of a typical scientific report:
- Title
- Acknowledgement
- Abstract
- Introduction
- Materials and methods
Sometimes you - Results
can judge a - Discussion/Conclusion
book by its - References
cover.
- Appendices, where applicable
A more detailed discussion on what each component constitutes and

an effective way to determine what type of information is included in

each component is presented.
1.2.1 Title
The title is a short statement that encapsulates the main thrust of the
paper. Perhaps thousands of people will read the title, but only those
interested will continue to read through the entire paper. But for
those interested few, the first exposure they have to what the paper
covers is the title. The title should accurately reflect the content of
the paper. A specific and concise title is crucial to persuade the
reader to continue reading the paper. As a general guideline, avoid
overtly general terms, idiosyncratic abbreviations. And always pay
proper attention to syntax that may convey unintended meanings.
Title should accurately reflect the content of the paper. A specific

and concise title is part of the paper’s life. General terms in the title
are meaningless. Additionally, proper syntax has to be carefully
arranged to avoid any misunderstanding. Abbreviations usually
should not appear in the title.
The title is not the only item that goes on the title page. The list of
authors is the next important item on the title page. Authorship
represent honor and responsibility. The list of authors should include
only those who made significant contribution to the work.
Conventionally, the first author is the person who made the major
contribution to the work and is responsible for most of the data
presented in the paper. The last author is the principal investigator
who initiated the idea and supported the study. The authors whose
names are listed in between the first and the last are the people who
contributed intellectually to the research significantly in the order of
the list.
In your case, the thesis will only have your name. However, should
your thesis work lead to a publication in a journal, others who
contributed to the work, including your advisors. will be part of the list
of authors.
An abstract is
the summary of Depending on the type of publication, the month and year,
the paper that is institutional identifiers, etc will also make up part of the title page.
read the most. Please consult the Council of Graduate Study’s or your department’s
manual for the specifics.
1.2.2 Acknowledgement
The acknowledgement is non-contentious in most respects.

Generally, those persons who have professionally contributed to the

work be it in kind or in ideas must be acknowledged. This is a
professional courtesy that not only is a show of gratitude, but also
truthfully indicates to the reader who has played a part in project.
Next, you also need to acknowledge the institutions that have

provided funding, research space, manpower, etc towards your
research project. This is particularly important since most of these
institutions extend their resources with the express intent to have
their names mentioned in publications. Not including institutional
sponsors will likely result in these institutions being reluctant in future
collaborations.
Finally, you may want to mention those individuals who have

provided personal support and assistance that is separate from
professional help. However, do not overdo it. It is not necessary to
mention your entire extended family and their spouses.
A point of note: avoid using the publication from making political or

religious declarations. Your scientific report is the result of a scientific
endeavor; it is best to keep it that way. Mentioning God as the
Almighty that made this work possible is not an appropriate
acknowledgement. Or thanking a political party that has created the
political system that enabled you to conduct your research is
unseemly.
Be courteous at all times. There is no need to mention those

individuals that hampered or somehow made your work more
difficult. This is an absolute no-no. The scientific report is not the
place to settle scores or air grievances … whether they be personal,
professional or institutional.
1.2.3 Abstract
Even though, the abstract immediately follows the title page, it is

usually best to write it after you have written the entire paper. Next to
the title, the abstract is the next thing that an enticed reader will
peruse. The abstract is a summary of the information in the paper. It
enables the readers to identify the basic content of the document
quickly and accurately. Therefore, in less than 250 words (may
extend to 500 words, see specific guidelines), an abstract should
include (1) the principal objective and scope of the investigation; (2)
describe the methodology employed; (3) summarize the results; and
(4) state the principal conclusion.
If you think this is easy to do, you will be mistaken. It is much harder
to summarize an entire body of work in a few hundred words than it

is to write the entire paper. To appreciate the enormity of this task,
try and summarize the most interesting work you have read into an
abstract.
If the title is the bait that lures the reader, the abstract is the hook
that captures his/her attention to continue reading.
1.2.4 Introduction
In writing the introduction, ask yourself, what is the problem? why am

I and why would others be interested in it? And what is the body of
scientific work that supports this work and makes it scientifically
feasible?
You must remember that that there are slight variations in how the
organization of the paper progresses. In some disciplines, there is a
separate component that reviews the literature. So make note of
these distinctions as you continue to read.
The introduction starts the paper itself. The purpose of the

introduction should be to provide sufficient background information to
allow the readers to understand and evaluate the results of the
present study without needing to refer to previous publications on the
topic. Your aim is to guide readers to understand your research; the
introduction should present the nature and scope of the problem you
studied. By reviewing the pertinent literature you orient the readers
to the present problem that you are attempting to address. Readers
are interested in knowing why you chose the research project and
why it is that important. In this section, definitions of problem should
be given with some explanations. Also, the necessary information
related to the problem to be solved should be provided here. This
part shows specific background of the project to readers.
Usually at the end of the introduction, you will insert an itemized list
of the general and specific objectives/aims of the research project.
This will provide the reader an anchor against which s/he will view
your approach to the problem and the answer/conclusion you derive
in the end.
1.2.5 Materials and methods
By now your reader is fully aware of the basic scientific work that has
led to your research work, and what problem your research is
attempting to address. In the current component, you will describe in

detail on how and with what means you accomplished your project.
The materials and methods section answers the question: “how did
you study the problem?”. The contents of this component are
discipline specific. In the social sciences, you may not have
laboratory equipment, but you may list the questionnaire you used. It
is also important to describe the experimental design used, and how
the data was analyzed (the statistical tools employed – which is
covered in the sister preparatory module “Quantitative and
computational methods”). This will allow the reader to assess
whether you have properly planned and executed the research
project.
The information provided should be as detailed as possible.

Remember you are not writing the scientific report to gather dust on
some shelf. It is likely that another researcher with similar interests
might want to replicate your experiments or employ your material
and methods to conduct another experiment in a similar line.
1.2.6 Results
This component is the core section of the scientific report and will be
heavy on tables, figures, charts, etc. The results component answers
the question: “What did you obtain from the experiments you
conducted?”. You are expected to present the results you obtained
from the materials and methods described above. The presentation
of the results must be clear and arranged in a logical order.
If your research was quantitative, then it is best to present your

results in tables and figures instead of words. However, make sure
that you properly label your tables and note the legends of your
figures. Each table or figure should be a stand alone as an
information snippet. The words in the body of the paper that
accompany each table or figure are to provide further elaboration of
the results. At times the reader may chose to skim through the
charts, tables and figures presented in your results section to get a
quick grasp of the results you obtained to help him/her decide on
whether to read the entire paper.
It is important that you draw the attention of the reader to those

results that you deem significant or interesting. But this is not limited
only to those portions of the results that support your hypothesis, but
also to those results that seem to go contrary to your expectation.
Indicate trends or changes that the average reader may not easily
observe.

The results component is the body of your entire work. There is
always the temptation to not include those outcomes that do not
support or go contrary to your expectation. Omitting these results is
unprofessional and will not present the entire picture to your reader.
A not uncommon practice is to include comparative results from

other works in the results section. This may be acceptable in some
disciplines, but in most cases, the results component only states the
results you obtained from your original work.
1.2.7 Discussion/Conclusion
Depending on your area of specialization this component may be

called discussion or conclusion. It basically answers the question:
“What do the results mean?”. The results you obtained are not
isolated from previous scientific knowledge. Therefore, you not only
provide the reader with interpretation of the results, but you are also
expected to put your interpretation in context of the existing body of
scientific knowledge.
At this point, you would have reached a point where you can
incorporate your objective in the discussion and establish a clear and
unambiguous statement on how your interpretation of the results has
addressed your objectives.
A common mistake by graduate students is to make overreaching

generalizations that go beyond the scope of the results you obtained.
Avoid hyperbole at all costs! An illustrative example would be the
graduate student who found that a nomadic community consumes
an average of half liter of camel milk a day, and then extrapolates to
state that an average Ethiopian consumes that amount of milk a day.
Overreaching conclusions are hazards that, at times, even seasoned
scientists fall into.
In totality, the results component should contain the following

considerations: summing the work in the output of the work
accomplished; give further research direction or suggestions. In this
way, the paper leaves the readers with a clear impression about your
work.
1.2.8 References
The references section lists all the previously published sources of

information that you have cited in the body of the paper. Only the
papers cited, not all the papers that you have read or consulted, are
referenced. If you deem a source of information should be cited in

the references section, then you must have mentioned it in the body
of the paper.
Sources of information are not limited to articles in refereed journals.

At times you may even include unscientific sources such as
newspaper articles, notes from interviews, etc. In rare occasions you
may require to include unpublished results that you obtained through
professional acquaintances.
The format in which the references are cited various from one
discipline to the next. It is best to consult the conventional format
pertinent in your area of study. However, generally, you include the
authors, the title of the article, the journal name, the year of
publication, the volume and number of the journal and finally the
page numbers in which the article cited is found. When the source of
information is a book, a newspaper article, web page, etc. the
manner in which they are references may be different (Refer to Unit
3). The most important thing to keep in mind is that the references
section is for the benefit of the reader. Should the reader wish to go
back to the original paper s/he should be able to do so easily.
The reference section is the one section of a thesis or other similar

publication that a graduate student gives the smallest attention to.
But it must be remembered that, a person assessing your written
report will view your references section as a bellwether on how
meticulous you are in your work. A sloppily prepared reference
section reflects negatively on the author of the paper. Do not assume
that the person reviewing the paper will not pay due attention to the
references section.
1.2.9 Appendices
The written scientific report may also include appendices where you
may present forms used, a more detailed presentation of your
results, etc. The inclusion of an appendix is decided on a case-by-
case basis and is not essential to make the report technically
complete.
Exercise
Do you think the purpose of writing a newspaper article and that of a

scientific report are the same? How?
Does a novel (other work of fiction) require organization as does a

scientific report? Discuss.

Lesson 2: Presenting Research Findings
At the end of the last lesson, we covered how to properly

communicate research findings through written reports. Most often
than not, you will be called upon to present the same findings as an
oral presentation and an accompanying written report. And at times,
you may also be asked to review literature and present your finding
as an oral presentation.
An oral presentation, unlike written presentations, is a direct

communication between presenter and audience. If writing a
scientific report for the first time is viewed as challenging cerebral
exercise analogous to mountain climbing, then oral presentation is
even more exigent when you embark on it for the first time. If you
approach it methodically however, it is not too difficult to undertake.
In this section, we will cover some basic guidelines that will help you
prepare and execute both oral and written presentations effectively.
Effectiveness, in this case, does not imply overwhelming your
audience with mountains of indecipherable data thus leaving them
wondering whether to admire your ability to actually understand the
material or to be irritated that there time was wasted with no gain of
information.
Presentation, particularly oral presentation, requires a lot of practice

before you can master the art of gauging your presentation to your
audience in a clear, interesting and informative manner. The content
of this lesson will help you overcome some of the shortcomings
commonly observed in a novice presenter --- typically post-graduate
students.
2.1 Oral Presentation
Just over a decade ago, most public scientific oral presentations

were supported with slides. Thanks to the ubiquity of computers and
LCD projectors, the chore of having to take pictures of notes, charts
and figures has now been supplanted by a presentation software
(the most commonly used being PowerPoint™).
The presentation software makes the task of preparing, editing and

displaying slides much more facile and user friendly. However, it
goes without saying that one should be computer literate and
possess the basic skills in using presentation software. It is beyond
the scope of this module to delve into the mechanics of using

presentation software such as Microsoft’s PowerPoint™. However,
this material will be covered by the sister preparatory module on
“Computational and quantitative methods”. The discussion
henceforth focuses on the style and substance of making an oral
presentation and not on the techniques required to make PowerPoint
slides.
2.1.1 Preparing an oral presentation
Stylistic Issues: The Slide
Despite the fact that it is commonly called “oral presentation” An oral

presentation is equally visual as it is an auditory medium. Therefore
emphasis should also be given to the way the slides are designed
and presented.
The slide should be clearly visible and legible to the audience

members sitting at the very back of the room. Therefore there are
certain points to consider:
1. Layout: The background color of the slide and the color of

the text should have a sharp contrast. If the background of
the slide is dark then the text should be light in color and
provide ample contrast (“light” does not necessarily mean
“bright”). For example, if the background is midnight blue,
then the text could be white or bright yellow. At times even
different hues of color do not provide sufficient contrast.
For example, using orange on black background is tiring to
the eye and not sufficient contrast is available. If unsure
about what color combination to use for the text and
background, the safest choice is to use black text on white
background.
2. Background: After you have chosen an appropriate
background for your slides. Stick to your choice and use
the same background throughout the presentation. Also,
particularly for scientific presentations, a plain background
is preferred (a gradient of the shades of the same color is
also acceptable). If you are inclined to add graphic,
picture, etc. in your background, make sure that it is
subject appropriate and does not draw attention away from
the text and figures that you are attempting to
communicate. Party balloons, a motorcycle flying off a cliff,
etc are not deemed appropriate.
3. Font: ‘Small’ case letters are easier to read than
‘CAPITALIZED’ letters. If you feel you need to use
CAPITAL letters, use them sparingly. The type and size of

the font are equally important. Do not use script fonts; they
may seem fancy on an invitation card, but are unsuitable
for professional/ scientific presentations. Select a font type
that is easily legible and has sufficient spacing between
letters (do not use condensed fonts, where one letter
appears to overlap with the next). As to the font size, a
good starting point is twenty-four , however, you

may need to adjust the font size particularly for titles,
graph legends, etc. There is also a strong inclination to
use bold font types throughout. This is not necessary: limit
the use of bold fonts for titles, headers and words you
want to emphasize.
The best way to assess whether your slides are clear and legible is
to view them projected on a white wall or screen and yourselves
seated a fair distance away (if opportunity allows, you should
preview your slides in the same auditorium or conference room
where the actual presentation is scheduled to take place). In this pre-
presentation screening, view all your slides critically. If you need to
make adjustments to enhance the view-ability of your text, figures,
etc. then this is the best time to do it. This will help you avoid making
apologies during the actual presentation for incompatible colors,
fonts that are too small, etc.
As stated earlier, the oral presentation is a visual as well as an

auditory medium. Most of your slides should contain figures (whether
images, graphs or tables) whenever possible. You should limit the
use of text only to state the problem, frame the problem in the
appropriate context, summarize results and state major conclusions.
Even in cases where you need to use text, a slide with more than a
few lines of text will bore your audience. State key concepts in
bulleted phrases or short declarative statements and cover the
details verbally.
One of the most common errors committed by graduate students is

to write every single word on their slides in full sentences to help
them remember what they want to say. This usually leads to the
penchant of reading the text from the slide verbatim. It is safe to
assume that the audience is literate and can read for themselves,
making the presenter a redundant actor that does not add value to
the presentation.
Moreover, crowding each slide with a dense thicket of text is mind-

numbing. The same applies to tables that are overcrowded. Simplify

the tables so that you only have a few columns. If need be,
breakdown your table into bite-sized snippets that the audience can
absorb and digest.
Minor errors such as misspelled words, grammatical errors,

punctuation mistakes, etc. convey to the audience that you have not
put in enough attention to the work that you planned to present in
public. The corollary from these types of errors is the audience will
be skeptical about the soundness of the work you are presenting. If
you did not pay attention to the material displayed in public, can you
really be trusted to pay due diligence during the actual conduct of the
research? Errors that you could have easily corrected in a few
minutes will taint the entire body of your work. Avoid such errors at
all costs! If your spelling and grammar is not up to par, you can
always make use of the built-in spelling and grammar checker in the
presentation software, or even better consult a friend or an advisor.
The Presenter
Even though a work being presented in an oral presentation may be

a collaborative effort, it is customary that only one person takes up
the role of a presenter. Particularly at the postgraduate level, you are
most likely to be the sole candidate to prepare and present an oral
presentation.
An oral presentation is not only a presentation of the body of your

work, but you are also presenting yourself as the person who
conducted the research project. So you should pay attention to your
own present-ability as you do your work. Oral presentations, such as
seminars and defenses are venues that provide you with an
opportunity to impress your colleagues, and fellow scientists. Who
knows, perhaps your future prospective employer may be in the
audience!
There are accepted norms that a presenter should generally follow.

Primary among these is physical appearance. Try and dress
appropriately. There is no defined dress code, but there are certain
“don’ts” that you should always follow.
- Do not dress shabbily
- Do not come with unkempt hair
- Do not wear slippers
- Do not wear jeans and T-shirt, or other extremely casual
attire
The audience has taken the time and effort to attend your
presentation; proper attire returns that show of respect. Further,

shabby dress unnecessarily draws the attention of the audience
away from the slides and the core ideas you are trying to
communicate.
Aside of your clothing and grooming, certain mannerisms may be

magnified and in full display when standing in front of an audience.
You may already have these mannerisms, or they may be the
symptoms of standing nervously in front of an unfamiliar crowd.
Regardless, you are not alone, anxiety over public appearances are
all too common in persons who have little or no experience in public
speaking. The mannerisms could be manifested in many ways, for
example, gestures such scratching your nose or behind the ear,
straightening your eyebrows, vigorously rubbing the palms, etc.; or
they could be vocal such as clearing your throat frequently, pausing
with “umms”, mumbling, etc.; or they could be motions, such as
pacing back and forth, swaying on your heals, etc.
You, as the presenter, may not be aware of these symptoms of

anxiety. It usually takes another person to point them out to you. But
once you are made aware of the peculiarities, you should
consciously try to suppress them while rehearsing your presentation.
In time, as your exposure and experience in public speaking grows,
you will gain confidence and will overcome the anxiety and the
symptoms that go along with it.
Organization
A well-organized oral presentation is smooth and effectively

communicates the core concepts of the presentation to the
audience. The presentation could be a graduate seminar,
thesis/dissertation defense, a scientific meeting talk, etc. Regardless
the venue for the presentation, there are some basic organizational
principles that are common to all.
The entire presentation should be related to the topic thesis,

hypothesis, objective or question you are addressing. Side issues
usually distract the audience from the core idea(s) you are trying to
impart.
2.1.2 Practicing for an oral presentation
After completing the slide preparation, it is imperative that you

rehearse the presentation.
It is not sufficient that you memorize every single word. The slides
(as described above) are essentially talking points for you the

presenter and highlights for the audience. Practice the talk until it is
smooth and you no longer require supplemental notes to guide you.
Even for material that you are very familiar with, it may at times
stump you … and the presentation is neither the time nor the place
to pause in search of an appropriate word. But it is OK for you to
prepare notes as a security blanket in case you hit a mental block.
It helps to memorize an opening remark for the beginning of the talk

to break the ice, as well as alleviate the sense of anxiety that you
may be feeling and propel you into the automatic mode. For
example, you may say “Thank you everyone for coming to this talk.”
or “I am happy to have this opportunity to deliver this talk.” Moreover,
include transition sentences that will make the move from one slide
to the next a natural progression. Also prepare closing remarks for
the conclusion of the talk. Sentences that start with phrases such as
“In conclusion …”, “In summary …” or “The final point I would like to
make …” indicates to your audience that the talk is nearing an end.
It is not uncommon for inexperienced presenters to just giggle

nervously, or say “That’s is it!” at the end of a talk. Have an ending
prepared such as “Thank you for your attention, does anyone have
any questions?” or “That concludes my talk, I will be happy to take
your questions.”
There is no substitute for repeatedly practicing the talk. Once you

have put the final touches to your preparation, rehearse and practice
the talk until it becomes second nature and you no longer need to
refer to your notes. Do it in front of a mirror, for friends, while
walking, etc. The practice exercise will strengthen your confidence
about the impending presentation, thus lowering your anxiety to a
manageable level. Your goal when rehearsing should be to make the
actual presentation seem effortless, well thought out and effective.
Oral presentations commonly have strict time limits for the

presentation and QandA sessions. The rehearsal will also assist you
in timing yourself. The rule of thumb is that it takes one minute per
slide. Nonetheless, there is a lot of leeway depending on the content
of a slide and how much you want to dwell on it.
The predilection of post-graduate students is to use up all the time

allotted for the talk and the QandA session just for the talk, so as to
cut back on the amount of questions they will receive. But you
should remember that the QandA session is part and parcel of the
presentation, and after sitting through your talk, the audience will
want to and has the right to ask questions at the end.

If you have practiced sufficiently and adjusted your presentation to
the time allotted, there will be no need to skip over slides without
discussing them, or to increase your pace to finish on time. After all,
the oral presentation is not for your benefit, but for the benefit of the
audience.
2.1.3 Delivering an Oral Presentation
The talk
If you had sufficient practice with your presentation, the delivery of

the oral presentation will be straightforward and easy. Regardless,
there are certain points you should heed during the actual delivery of
the oral presentation. Moreover, the points we discussed above in
terms of your personal appearance, the stylistic and editorial issues
of the slides, etc all contribute to the success --- or failure of the
effectiveness of the presentation.
The seminar or thesis defense is a professional talk --- make your

talk professional. A few pointers are:
- Before heading to the venue of the presentation, it will be

extremely helpful to have copies of the abstract of your
presentation to later handout to the audience. Additionally,
you should prepare a few items that the person introducing
you for the day can refer to during the introduction.
- Begin your presentation on time. You should actually
arrive at the venue of the presentation well ahead of time
to set up your audiovisual equipment and to check that
they are working appropriately. Moreover, arriving early
will give you the opportunity to check that your slides are
clearly view-able to the audience in that particular
room/hall and what lighting conditions are ideal.
- Familiarize yourself with where the light switches are
located, how the audiovisual equipment works, and how to
get on and off the stage if there is one.
- Arriving early will also afford you some time to discuss with
the organizer(s) of the seminar about outstanding issues
such as the preparing copies of the abstract, to go over
the introductory notes, etc.
- If you have availed yourself on time and set up your gear
for the presentation, the actual start of the seminar is up to
the individual organizing the event. The organizer may
decide to wait a few minutes to allow the audience to take
their seat, to allow invited guests to arrive, etc. These
considerations are up to the organizer, therefore, do not

be pushy in insisting to start on time. You must make
allowance for time that may be wasted before the start of
the talk. Therefore, it is not advisable to have made prior
plans to attend to immediately after the end of the
seminar. If you are in a hurry to leave because of another
engagement, your impatience will be evident and not
kindly received.
- During the presentation, project your voice to the person
seated at the very back. This does not mean you should
shout, but that you speak loud enough to be heard. This
may not be a major problem if the venue is equipped with
a sound system.
- Enunciate your words clearly so that your audience is not
left guessing what it is you said. Mumbling through a talk
usually means you will lose the attention of your audience.
- Do not speak in a monotone. If you sound bored about
your own presentation, it will be hard to raise the interest
of the audience.
- It is natural to be nervous at an oral presentation and thus
talk rapidly to get over the process as quickly as possible.
If you have rehearsed your talk, this should not be a major
problem, but it could still arise. In such instances focus on
talking deliberately and purposefully. This will dampen
your urge to rush through the presentation.
- Make eye contact with your audience. One of the
symptoms of anxiety is to face the slide projection on the
screen to avoid having to look into a room full of people
who hang on your every word. Avoiding eye contact sends
the subtle signal that you are unsure and ill at ease.
Moreover, if you are turned away from your audience, your
talk will not be audible beyond the first few rows in the
room.
- Take sufficient time to describe the axes on graphs, the
symbols in your figures, the columns in your tables, etc.
Even though you are seeing the slides for the umpteenth
time, remember that this is the first exposure your
audience has to them. You should provide your audience
with basic descriptions of figures to help them assimilate
the information.
- Draw the attention of your audience to the points you wish
to highlight by using a pointer such as a laser, a stick or
the computer mouse. If none of these tools are available to
you, you may also use your finger.
- Make sure that you do not block the view of the audience.
This can be easily achieved by positioning the visual aid in
a neutral spot where you or others will not be an

obstruction.
- When making reference to the work of others, always
mention the name(s) of those responsible for the work. Do
not just say “The people who did this work …” or “They
determined that …”. Instead say “Fisseha et al. studied
this same problem …” or “Netsanet and Samrawit suggest
…”. When your presentation is a course seminar where all
the data presented is generated by others, it is prudent to
source the citation on the slide (Usually at the bottom of
the slide).
- When discussing a certain value or figure, actually state
the number or outcome. It is not uncommon to hear a
graduate student say “The growth was by that much …”
[while pointing at the number] without actually stating the
value; or “You can see the trend in the graph …” without
actually describing the trend. Alternatively, it is best to say
“The growth was 25 percent more …” [while pointing at the
number]; or “The trend shows a steep decline…” [while
pointing at the graph].
- Begin the presentation confidently, progress from one
slide to the next smoothly and end the presentation
gracefully. This can easily be achieved by the pointers
indicated above: have an introductory remark, transition
statement and concluding remark prepared and
memorized.
- If you had assistance from others during the conduct of
your research project (such as your research advisor, a
statistician who helped with the data analysis, a fellow
scientist who loaned you equipment, etc.) then it is
expected that you acknowledge and thank these
individuals. This is usually done on the very last slide of
the presentation.
- Actually, the more seasoned presenters usually have one
last slide after acknowledgements. In order not to leave
the screen blank, it is desirable to have a slide with a pithy
comment, an overarching statement, a relevant picture,
etc that will stay on the screen during the QandA session.
- After you have completed your talk, ask the organizers to
please turn on the light so that the QandA session will be
conducted in an illuminated room. A lit room will allow you
to easily and quickly see those participants in the audience
who are raising their hands to ask a question or make a
comment. It will also make the back and forth with the
audience more engaging (Have you ever tried to talk to
someone in a dark room?).
- Finish on time! The beginning of the talk is usually beyond

your control. But it is up to you to make sure you do not go
over the allotted time.
Questions and Answers
At the end of the talk, you should have opened the floor by inviting
questions about the talk. At this juncture, it is important to note that
the success of your talk in terms of arousing interest and being
informative can indirectly be gauged by the type and number of
questions asked. Particularly with graduate students such as
yourself, the tendency is to inundate the audience with vast amounts
of incomprehensible information to illicit awe at your mastery of the
subject while at the same time to preemptively dissuade the
audience from asking questions.
If the audience does not come forward to ask questions, it is either

because it did not find the presentation interesting or else no new
information has been gained. Having several people raising their
hands to ask questions is actually a confirmation that the audience is
engaged and is a form of flattery to the speaker.
That said, even with a very interesting presentation, the QandA

session is also limited by time and therefore, you should try and give
as many people as possible the opportunity to ask. Usually, at the
end of the talk, the organizer of the seminar will take the floor
alongside the speaker and thank the presenter and open the floor for
questions. At times the organizer will take the lead in identifying
persons in the audience who want to pose a question; at other times
the speaker him/herself may be the one leading the QandA session.
(This is the type of issue that you, as the speaker, should discuss
before the presentation).
To keep the rest of the audience involved, it is always good to

restate a question as you understand it before beginning to answer.
This will give the entire audience a chance to hear the question, and
the one asking the question a chance to see if you have understood
the question put forth. If you do not clearly understand the questions
posed, do not feel obliged to answer --- instead, politely ask the
person to clarify or repeat the question.
Once you are satisfied that you understand the question, and the
person asking seems likewise satisfied, then proceed to answer the
question to the entire audience and not to just the person who posed
the question. At all costs, try and avoid turning the QandA session
into a dialogue between yourself and the person asking the question.
At times, it is probable that the person is not satisfied with the

answer and may pose a follow-up question. In such instances, it is
customary to attempt to clarify your answer. But if the person is
insistent and continues to ask subsequent questions, you should
courteously decline to engage in a verbal altercation with a single
member of the audience. You may say things like “Perhaps, I have
not clearly understood the question. I would be happy to continue
this discussion right after the talk.” Or “That probably requires a fair
amount of time to discuss. Will you be available to continue this after
the talk is over?”
Never be rude to the audience or a member of the audience! An

audience member who is persistently and insistently asking
questions is not because s/he wants to embarrass you in front of
your peers, but rather because s/he wants to engage in an honest
scientific debate about a matter of importance or interest him/her.
The one thing that the vast majority of graduate students fear is
being asked a question that they have no answer for. If you have
had sufficient preparation for the talk, and you know the subject
material well, this should not occur frequently. But you must
remember, that even the best experts in any field do not have all the
answers. If you do not know the answer to a question, do not just
state “I do not know the answer”. If you have absolutely no idea on
how to answer the question, you can simply acknowledge the
importance of the question and state that you do not have a ready
answer. For example, you can say “That is really an interesting
question, but I can not provide you with a satisfactory answer now.”
Or “ Your question is a very good observation, if you have the time, I
would like to hear your thoughts right after the talk is concluded”.
But if you can, it is always better to speculate than not provide a
response to a question. Just make sure that the audience fully
understands that you are merely speculating and not stating a
definitive answer.
DO NOT under any circumstance make up an answer if you do not

have one! Fibbing an answer usually leads to more questions on the
topic for which you are not equipped to deal with. Making up a false
answer diminishes your credibility as a scientist in the eyes of your
peers, and will significantly lower the acceptability of your otherwise
well prepared and delivered talk.
2.1.4 Attending other oral presentations
In most instances, particularly during scientific symposia, there will

be other presentations scheduled along with your own. This may
also hold true where you have several thesis defenses or seminar

courses presentations scheduled in succession.
In such situations, it is extremely impolite to just show up to deliver

your talk and then leave without attending the other talks. It is
professional courtesy to attend as many talks as possible within a
single session, if not all of them.
This may mean that you will be attending talks that you have
tangential or no interest in, or in an extreme case, you cannot follow
the content very well. Regardless, professional courtesy dictates that
you continue to attend such talks. As much as possible, listen closely
and try to acquire as much information as you can. You should pay
particular attention to the conclusion so that you can at least take
away something from the talk.
2.2 Research Seminars
Research seminars are presentations of original research conducted

by the presenter only or the presenter in collaboration with other
colleagues who have contributed to the work. In the case of MSc/MA
students, the most likely and only time you will deliver a research
seminar is during the defense of your thesis. However, research
seminars also include presentations at symposia, conferences, etc.
that communicate your original research work to a wider pool of
other interested individuals.
If the presentation is a product of your own research, then the topic

is your research, and the remaining components of your presentation
will be the methods employed, the results obtained, the conclusion
drawn and at times the recommendations made. In addition, you
should survey the current literature related to your area of research
and integrate it into your presentation. In most cases, the literature
search would already have been mostly done during the
development of the research proposal and write-up of the thesis. The
methods used, the results obtained and the conclusions and
recommendations drawn should come naturally since it is your own
work.
A research seminar is typically organized with the same order and

elements of a research publication, that is: Introduction, Objectives,
Methods, Results, and Conclusions/ Recommendations; and the
Acknowledgement (where appropriate) usually comes at the end in
an oral presentation.

2.3 Course seminar
A course seminar’s primary function is to succinctly review recent

progress on a particular topic. Overall, the paper summarizes the
current state of knowledge of the topic. It creates an understanding
of the topic for the reader by discussing the findings presented in
recent original research papers.
There is an inclination among graduate students to view course

seminars as a report. It is not merely a report on some references
you come across. Instead, it is a review process that synthesizes the
results from several primary publications to produce a coherent
argument about a topic or focused description of a field. The course
seminar should succinctly review recent progress in a particular
topic. Overall, the paper summarizes the current state of knowledge
of the topic. It creates an understanding of the topic for the reader by
discussing the findings presented in recent research papers.
When the presentation is a graduate seminar course, it is likely that

you will select a topic in conjunction with your seminar advisor. The
topic should encapsulate the hypothesis or question you are trying to
address. It is important that the topic not be too broad since the
seminar has a short time restriction: but the topic should neither be
too narrow such that the available background material is insufficient
to make the seminar factual and interesting. Once you have selected
a topic, clearly state the hypothesis or question at hand. You then
proceed to collect the relevant data and do a thorough analysis of
the data. This should not be limited to those studies that support
your hypothesis, but should also touch upon those that contradict
your hypothesis or offer alternate hypothesis.
Exercise
What are some of the consequences of preparing slides with the

entire talk and reading each word verbatim? Think in terms of voice
projection, maintaining eye contact, keeping the interest of the
audience.
As regards to question 1 above, would it be better to read of your

notes instead of the slides?
What would be the best way of suppressing peculiar mannerisms

that surface during public speaking?

Summary
The culmination of a research project is the dissemination of the

output to the wider scientific community. The communication of the
research outcome can be in the form of a written report, an oral
presentation and/or a hybrid of the two (poster).
Aside of the factualness of the report, there are also other points to
consider to ensure that the ‘idea’ you are trying to convey is
effectively communicated.
Always remember that scientific findings are reported for the benefit
of the reader/audience. And keep in mind the purpose behind a
scientific report is to convey an ‘idea’. Hence, your report must be
clear, well organized, thoroughly edited, informative and interesting.
If you can not attract and then capture the attention of the
reader/audience your scientific report will not garner any interest
from your colleagues and peers.
Common errors in written a report, such as misspelled words, in

accurately cited reference, etc will diminish what may otherwise be a
well written report. Be meticulous in your writing to maintain the
credibility of your report. Also with oral presentations, stylistic
mishaps of slides and peculiar mannerisms of the presenter lessen
the audience’s reception of your presentation.
Particularly with written reports, there are variations in terms of the

organization, format and style of writing from one field of
specialization to the other. You must familiarize yourself with the
accepted norm within your area of study.
Assignment
1. Why do you need to effectively communicate your research

findings?
-------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------
2. Where, within a written scientific report, is it most appropriate to

include your opinions as regards your findings?
----------------------------------------------------------------------------------------

3. You find, in a published paper, a very well written sentence that
captures exactly what you have been trying to compose yourself.
You decide to use the sentence within your thesis without citing it.
You justify this to yourself by saying that you had the idea but just
did not have the words for it until you came across this sentence.
Would this be an acceptable practice? Why?
--------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------
4. What do you believe is your biggest drawback in delivering a

public oral presentation? How do you propose to overcome it?
--------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------
5. As a graduate student you will have ample opportunity to attend

various seminars, conferences, workshops, thesis/dissertation
defenses, presentation by guest speakers, etc. What would be the
benefit of attending as much of these as possible?
---------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------
6. Clarity in writing is essential in any scientific report. At times, a

novice scientist may try to impress the reader with an overtly
complex wording and turn of phrase. For example, can you re-write
the following saying in everyday language that most anyone can
understand: “Positioning the non-motorized mobility contraption
anterior to the equine.”
----------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------
7. By now, you would have completed, or nearly completed your

mini-proposal. Summarize your mini-proposal in 60 words of less.

References
Alley, Michael (2008) The craft of scientific presentations: Critical
steps to succeed and critical errors to avoid. New York, Springer-
Verlag, LLC.
Alley, Michael (2008) The craft of scientific writing, 3rd Ed. New
York, Springer-Verlag, LLC.
Jackson, Sherri (2007) Research methods: A modular approach.
Cengage Learning.

Comments and suggestions
The compilers of this module have exerted due diligence to make it as complete and accurate
as possible in short period of time. Regardless, it is possible that you will come across errors,
omission, etc. We would be very grateful if you would communicate your comments and
suggestions for further refinement of this module.
You may write your comments on this sheet of paper and submit it to your instructor or email
your comments to abiyze@yahoo.com (please indicate in the subject line “Comments on
Research Methods Module”.

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Introduction to Research

Graduate Studies and Research Office

Addis Ababa University Page 1

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Knowing research methods

Identify research problem Practical judgment

Preliminary literature review

Develop research idea

Formulate research problem Theoretical framework

Research hypothesis & design

Interpretation & conclusion

Addis Ababa University Page 4

Unit 1: The Concept of Research

Unit 2: Types of Research

Unit 3: Process in Research Proposal Development

Unit 4: Process in Conducting Research

Unit 5: Research Ethics

Unit 6: Reporting Research Findings

FOR USE BY AAU GRADUATE PROGRAMS ONLY

Addis Ababa University Page 5

Common sense Science

After completing this unit you should be able to:

• Distinguish the difference between the two sources or

• Distinguish between science and commonsense;

• Differentiate between the various ways of knowing;

• Give example of each way of knowing;

• Define the concept of research;

• Explain the purpose of research;

• Describe the difference between research methodologies and

• Explain the assumptions that underlie research

• Describe the epistemological issues that underlie scientific

• Discuss the philosophy of research.

Mode of Delivery and Assessment

Brainstorming session, group discussions, and lecture will be the

Addis Ababa University Page 6

1.1 Everyday Experience as Sources of Knowledge

• Are eye witnesses to a crime as reliable as some people

We may also use the opinion of others as sources of knowledge. We

• Does this food taste delicious to you?

• Did you hear someone cry for help?

The term tenacity refers to the acceptance of a belief based on the

Addis Ababa University Page 7

As a way of learning about the surrounding world the method of

1.1.2 The Method of Authority

If we enter into a new culture, we may experience so many things for

In many cases, referring to an authority, especially in areas about

In our day-to-day living we accept what we have been told by an

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Is there a problem if we unquestioningly accept the knowledge and

If we take the FGC example once again, a person living in a culture

We all use reason everyday as we try to solve problems and

1.1.4 Common Sense

This method of knowing offers an improvement over acceptance

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Since common sense is related to our practical experience, can you

What is the difference between common sense and science?

Where would it be more appropriate to apply common sense:

Science is a body of systematized knowledge. In scientific method

One of the characteristics of science is a reliance on information that