Introduction to Research

Methods

Preface
Addis Ababa University Page 1

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
Page 2
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.

Page 3
 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 stiudy for the final assessment exam

Page 4
 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

Page 5
 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

Page 6
UNIT The Concept of Research

•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.

Page 7
 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 grass As we live in this world and interact with our surrounding we may be
green and the sky confronted with new ideas that may have important impact on our lives. We
blue?” 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 often ask:
 Does this food taste delicious to you?
 Did you hear someone cry for help?

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

Page 8
 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
Exercise
with that 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 judgment and
Experts, like all expertise when we consult, for example, electrician, civil engineer or
of us, can be 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?

Page 9
 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
1.1.3 The a Priori Method
reason” and not
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 knowledge.

The most Exercise

uncommon thing
in the world is Is there an a priori method without problems?
common sense.
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

Page 10
 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
Note that our experiences and perceptions of the world may be quite limited.
ultimate aim of
The concepts that we have about the world may be seriously misleading.
science.
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
fails, or knowing how bacteria will respond to a new type of drug?

Science only 1.2 The Scientific Method as a Source of Knowledge

deals with
testable ideas. 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.

Science and common sense differ in terms of:

 the use of conceptual schemes and theoretical structures
 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

Page 11
 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 follows logical steps,
which include:
 defining the problem
 making tentative explanations
 gathering information
 testing the validity of the hypothesis
 making conclusions as to whether the hypothesis can be accepted or
rejected

Scientific methods:
 find general rules,
 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 world, the
scientific method of knowing has some limitations.
 The scientific method cannot answer all questions
 Application of the scientific method can never capture the full
Research is an richness of the individual and the environment
attempt to search
 The measurement devices always have some degree of error.
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?

Page 12
“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, approaches
research. One and goals of research are described. Distinction has also been made
must be highly 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 to
imagination, understand the nature of the phenomena it presents to their senses. One of
determination, the means by which they set out to achieve these ends is research.
and a little luck. Research is an often-misused term; its usage in everyday language is very
One of the most different from the strict scientific meaning. In the field of science, it is
important
important to move away from the looser meaning and use it only in its proper
qualities in
doing context. Scientific research adheres to a set of strict protocols and long
research, I established structures.
found, was to
ask the right Research is defined as human activity based on intellectual application in
questions at the the investigation of matter. In other words, research is the systematic process
right time”. of collecting and analyzing information to increase our understanding of the
phenomenon under study. It is the function of the researcher to contribute to
Julius Axelrod 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.

Page 13
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
observations. Research is:
 Systematic - so ordered, planned and disciplined;

Page 14
  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 as follows. Research:
 is directed toward the solution of a problem;
 is based upon observable experience or empirical evidence;
 demands accurate observation and description;
 involves gathering new data from primary or first-hand sources or
using existing data for a new purpose;
 is characterized by carefully designed procedures, always applying
rigorous analysis. However, it is sometimes somewhat random and
unsystematic;
 requires expertise;
 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; and
 strives to be objective and logical, applying every possible test 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

Page 15
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 the

following important tasks.
 Describing phenomena
 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

Page 16
 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 causes of
Epistemology is how
low participation of females in politics and if the researcher predicted that an
we come to know. intervention program that raises females’ 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

Page 17
 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 Lesson 3: Philosophy of Research

how we come to
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.

Page 18
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 questions as:
 Are the objects that the researchers study real?
 How is research knowledge different from other forms of
knowledge, and does it have any special authority?
 What is a theory, and how can it be validated?
 What does it mean to find “laws” that enable us to predict
individual and group behavior?
 Is inquiry in the social sciences fundamentally different from
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

Page 19
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 following are three tenets
of positivism:
 Scientific attention should be restricted to observable facts;
‘‘inferred constructs,’’ such as beliefs or motives, have no place
in science,
 The methods of the physical sciences (e.g., quantification,
separation into independent and dependent variables, and
formulation of general laws) should also be applied to the social
sciences, and
 Science is objective and value free.

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

Page 20
 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
Research is the studied and the later describes the theory of how inquiry
systematic process should proceed.
of collecting and Scientific research has epistemological and philosophical roots.
analyzing  Positivism and post-positivism are the two philosophical
information to perspectives discussed in this unit.
increase our
understanding of the
phenomenon under
Assignment
study.
1. List the everyday sources of knowledge and give examples for each
of these sources of knowledge.

Page 21
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.

Page 22
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.

Page 23
 Types of Research
UNIT Key Concepts

•2•
Curiosity/motivation Exploration
Descriptive Qualitative
Explanatory 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.

Mode of Delivery and Assessment

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.

Page 24
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 can be
classified in terms of:
 goal of research,
 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

Page 25
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 categories:
 experimental,
 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

Page 26
experiments.

1.6 Classification of Research by Fields of Study

Research can also be classified based on fields of study. Therefore, there

are:
 natural science research,
 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.

Page 27
 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 basically concerned
Basic research lays
with the formulation of a theory or a contribution to the existing body of
down the
foundation for the
knowledge. That is, basic research is designed to add to an organized body
applied research
of scientific knowledge and does not necessarily produce results of
that follows immediate practical value.

The major aims of basic research include:

 Obtaining and using empirical data to formulate, expand, or
evaluate theory; and
 Discovery of knowledge solely for the sake of knowledge.

Hence, basic research may take any of the following forms:

 Discovery: where a totally new idea or explanation emerges 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.

In general, basic research:

 Represents a rigorous and structured type of analysis;
 Employs careful sampling procedures in order to extend the
findings beyond the group or situation; and

Page 28
  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
Basic research lays feel that the time has come for a shift in emphasis away from purely basic
down the research and toward applied science. This trend, they feel, is necessitated by
foundation for the the problems resulting from globalization, migration, overpopulation,
applied research pollution, and the overuse of the earth's natural resources.
that 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.

Applied research:
 Is conducted in relation to actual problems and under the conditions
in which they are found in practice;
 Employs methodology that is not as rigorous as that of basic
research;
 Yields findings that can be evaluated in terms of local
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

Page 29
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

Page 30
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 are:
 Surveys
 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 features. It is useful in that it usually:
 gathers data on a one-shot basis and hence is economical 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

Page 31
  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.

Page 32
In general, observation study has the following important features:
 The first and most fundamental principle is that of 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

Page 33
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 researches.

It involves:
 Explaining things not just reporting. Why? Elaborating and
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

Page 34
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 understand and clarify a problem. Exploratory research helps to:
 determine the best research design,
 develop hypotheses,

Page 35
  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.

Page 36
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

Page 37
 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, questionnaire,
Collection introspection. schedule or
Methods structured interviews.
 Formulation of Open loosely specified questions and possible answers. Closed questions and answer
Questions and Questions and answers are exchanged in two way categories to be prepared in advance.
Answers communication between researcher and
research participant.
 Selection of Information maximization guides the selection of Representativeness as proportion of
Respondents respondent. Every respondent may be unique (key person). population N. Sample selection,
sample size according to
assumptions about distribution in
population N. Respondents
should be directly comparable.
 Timing of Parallel with data collection After data collection
Analysis
 Application of Are rarely used. Methods of analysis are formulated during Standard statistical methods are
Standard the data collection process. frequently used
Methods of
Analysis
 Typical forms Critical analysis and interpretation of source Cross tabulations, correlation
of Analysis materials. Selection, systematizing and summarizing analysis and tests of significance on
interview transcripts and observations. numerical data
 The Role of 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. The data. The process of analysis is
contents of the new concepts are studied and basically deductive.
illustrated. Practical application of theory is illustrated by
cases.

Page 38
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.

Page 39
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 quantitative research.

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?

Page 40
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
quantitative research.
 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.

Page 41
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?

Page 42
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?

Page 43
UNIT Process in Research Proposal Development

•3• Research proposal Research problem

Key Concepts

Research questions Research objectives

Literature review Research design Sampling
Sample size determination 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

Mode of Delivery and Assessment

 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

Page 44
 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:

Page 45
 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.

The written proposal:

 forces the students to clarify their thoughts and to think about all
aspects of the study;
 is a necessary guide if a team is working on the research;
 is essential if the study involves research on human subjects or on
experimental animals, in order to get the institution’s ethical approval;

Page 46
  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 to

three main criteria.
 Is it adequate to answer the research question(s), and
achieve the study objective?
 Is it feasible in the particular set-up for the study?
 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

Page 47
 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 a o Description of variables
mini version of the o Data quality assurance
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

Page 48
 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 that your research will answer,
First impressions are establish why it is a significant question; show how you are going to
strong impressions: answer the question. Do not put information in the abstract that is not in the
make your title an main text of your research proposal. Do not put references, figures, or tables
attention grabber. in the abstract.

Page 49
 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
the reader to
 Identify the basic content of a document quickly and
accurately,
 Determine its relevance to their interests, and
 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.)

The introduction also should address the following points:

 Sufficient background information to allow the reader to

Page 50
 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

Page 51
 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 the research (problem
Statement of the
identification). The question that he/she should ask him/herself is: Are
problem
there questions about this problem to which answers have not been found up
encapsulates the to the present? The research problem should be stated in such a way that it
question you are would lead to analytical thinking on the part of the researcher with the aim
trying to answer. of 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

Page 52
 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 own merit. A
The literature review
literature review is a description of the literature relevant to a particular
asks how similar and field or topic. It gives an overview of what has been said, who the key
related questions writers are, what are the prevailing theories and hypotheses, what questions
have been answered are being asked, and what methods and methodologies are appropriate and
before. useful. As such, it is not in itself primary research, but rather it reports on
other findings.

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

Page 53
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

Page 54
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.

Issues to remember: A literature review must do the following things:

 be organized around and related directly to the research question
you are developing
 synthesize results into a summary of what is and is not known
 identify areas of controversy in the literature
 formulate questions that need further research

Ask yourself the following type of questions:

 What is the specific research question that my literature review
helps to define?
 What type of literature review am I conducting? Am I looking at
issues of theory? methodology? policy? quantitative research?
qualitative research ?
 What is the scope of my literature review? What types of
publications am I using? What discipline am I working in?
 How good was my information seeking? Has my search been 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 my paper?
 Have I critically analyzed the literature I use? Do I follow through a
set of concepts and questions, comparing items to

Page 55
 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:

Page 56
  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.

Page 57
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

Page 58
 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 research

Methods/proced proposal. You must decide exactly how you are going to achieve your stated
ures show how you objectives: i.e., what new data you need in order to shed light on the
will achieve the problem you have selected and how you are going to collect and process this
objectives, answer data. The activities should be described with as much detail as possible, and
the questions. 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.

Page 59
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:

Page 60
  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

Page 61
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.

Page 62
 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

Page 63
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.

Page 64
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

Page 65
 affects the sample size. For instance, the necessary sample size to
You have to make a achieve a certain level of precision will be about the same for a
trade-off between population of one million as for a population twice that size.
generating a large  The sampling and estimation methods: Not all sampling and
enough sample size estimation methods have the same level of efficiency. You will need
to make a valid a bigger sample if your method is not the most efficient. But because
generalization to the of operational constraints and the unavailability of an adequate
population and the frame, you cannot always use the most efficient technique.
many constraints
that appear with When the study is designed to find a difference or an association, you may
increasing sample not find a difference or an association. In this case, we still want to calculate
size. statistical probability that we may have missed a 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,

Page 66
 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 description of the type of statistical tests (if necessary) that
The work plan is will be performed to answer that research question. Be specific. State what
the timeline that variables will be included in the analyses and identify the dependent and
shows when independent variables if such a relationship exists. Decision making criteria
specific tasks will (e.g., the critical alpha level) should also be stated, as well as the
have been computer software that will be used (if there is a need to use one). These
accomplished. 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 decision to
informs the use the design, methodology, and analyses you have selected.
reader how long
it will take to
achieve the
2.10 Work plan
objectives/answ
er the 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.

Page 67
 Issues to remember: In the work plan:
 Different components/phases/stages of the study should be
stated
 Description of activities in each phase
 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 answer the
question. The GANTT Chart

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

Budget items need to be explicitly stated

 Cost for every budget item should be quantitatively
shown
 Their might be a need for budget justification of
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

Page 68
 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

Indirect costs:
 Those costs incurred in support and management of the
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

Page 69
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.

Page 70
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.

For a journal paper give:

 the names of the authors,
 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.

For a book give:

 the author,
 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.

For an internet reference give:

 the author of the web page,
 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)

Page 71
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.

Page 72
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.

Write the introduction section of the topic you identified.

Write the statement of the problem for your topic.

Review literature for your identified topic

Formulate your own research question and hypothesis (relevant to your

topic)

Develop a conceptual framework (if needed)

Page 73
Define clearly your general and specific objectives.

Write clearly the research design/methods for the identified topic.

Develop your work plan

Prepare estimated budget of your research

Choose one method of citing references and write all the references you
used.

Page 74
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

Page 75
UNIT Process in Conducting Research
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

Page 76
Utilizing a more the way data collected and the limitation of the work may help.
appropriate
analytical method Data Analysis: Method to collect data and the following data analysis
can rectify faulty technique should match; occasionally problem may emerge as one start to do
data analysis. But a data analysis.
faulty experimental
design will require
re-doing the Reporting Conclusions: Writing up and / or further dissemination.
experiment.
Conceptualization and contextualization have already been covered 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.

Page 77
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.

Page 78
 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 butter” There are two main types of observation - participant and non- 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:

Page 79
 Advantages Disadvantages

Requires little training or familiarization. Time consuming.

“Some people see Can understand meanings behind actions.

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

Flexibility - researcher may come across

conditions and events previously not If covert is it ethical?
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

Page 80
 groups, such as chat addicts.

Asking the correct Exercise

(in time, structure) The year 2009 marks 150 years since the publication of “On the
question is half of origin of species” by Charles Darwin. The impact of this
the answer. publication on the science of life on earth is well established.
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
four reasons do you most go?
 to meet friends
 to drink alcohol
 to watch sport
 to play pool or darts

Page 81
“When I ask you What is the primary reason you applied to the AAU graduate
‘what is life?” I do program?
not expect a ‘yes’ or  to expand my knowledge base
‘no’; answer!  to earn a better salary
And should I ask  to get a promotion
how old you are  had no specific reason, but did because my friends were
there is no need for applying
you to give me your
memoirs!” Open ended question:
People go to the bar for different reasons; for what reason do
you 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:

Advantages Disadvantages
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 of appears to be an inaccurate answer and little check on
people. 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.

Page 82
 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 Exercise

you know is right, The census is a form of research that uses a questionnaire that all
what don’t you citizens are expected to provide information for. Does the census
know that is conducted in Ethiopia have open- or closed-ended questions?
wrong?”
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

Page 83
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.

Advantages Disadvantages
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 early Whole process is time
results. consuming.

Recording techniques may cause

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

Page 84
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.

General tips for carrying out interviews:

 Begin with an explanation of who you are and what the survey is
about and ensure confidentiality.
 Try to achieve rapport with the respondent: be friendly and look
as if you are enjoying the interview and are interested in what
they have to say.
 Be aware of the importance of body language in face-to- 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

Page 85
Almost all locally produced goods; while the other group will design close
documents reflect ended interview questions. Each group will interview the other group
the inherent bias of and record the answers. In the end, the class together will review the
the author. questions and answers and discuss which of the two approaches
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

Page 86
results of the analysis.

Advantages Disadvantages

Subject to bias and subjectivity - impossible to allow for

The data never alters and biases introduced by the fact that the document studied
can be subject to re- has been written for a particular purpose and is the
analysis. 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.

General guidelines for carrying out document analysis:

 Decide initially on categories for research,
 Keep focused; do not let your research become too wide.

Examples of use:
 For studying racial or sexual bias in newspapers, school textbooks
etc.
 To obtain a historical understanding of a particular institution or
group.
 Commonly used in triangulation, (need to define this term!)
 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

Page 87
 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 between
accepted, cannot be different variables and to predict possible outcomes, or causal effects.
experimental
proven. Case in Experiments can be designed from models of systems, which aim to define
point: Darwin’s links between variables and outcomes.
“Theory of Advantages Disadvantages
evolution” Does not explain why variables are linked to
Can extend powers of particular outcomes - can not explain why
deductive reasoning. particular variables are important.

Model produced is limited to one situation

Attempts to be objective -
and therefore may not apply to others.
maths is 'neutral'.

Is an aid to causal explanation and

Inability to distinguish causal from
can therefore help calculate the
accidental relations.
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

Page 88
Results: “One third social sciences such as psychology, health care and education.
of the mice
responded to the In order for an experiment to take place, using the most basic research
treatment, one third strategy the researcher should deliberately alter at least one particular
showed no element or factor of the study, known as variables, in order to assess the
response, and one effects of this change on behavior. The effect of this alteration is assessed.
mouse escaped” Measurement is required before, during and after the experiment. The
experiment has to be replicable and 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 ……………..

Experimental Research is often used where:

 There is time priority in a causal relationship (cause precedes
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

Page 89
correlating are not proof that there is causation. Experiments are more often
of quantitative nature than qualitative nature, although it happens.

General tips for carrying out experiments:

 Careful preparation is essential and experienced researchers
should be consulted before experimentation begins.
 Project design, sample selection and measurement of dependent
variables are crucial to the success of the research.

Advantages Disadvantages
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

Page 90
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.

Page 91
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

Page 92
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

Page 93
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

Page 94
What design you
ii) Qualitative Research
choose depends on
different factors.
There are various designs that are used in research, all with specific advantages
What information do and disadvantages:
you want?
How reliable should i) True Experimental Design
the information be? Is
it ethical to conduct ii) Quasi-Experimental Design
the study?
iii) Double-Blind Experiment
What is the cost of the
design? iv) Descriptive Research

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

Page 95
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.

Page 96
Page 97
UNIT Research Ethics

•5• Ethics Justice

Non- maleficence
Key Concepts
Code of ethics Beneficence
Respect for persons/autonomy

Protection of the impaired/diminished autonomy

Informed consentConfidentiality 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

Page 98
. “…training in research ethics in particular. It is intended to sensitize you about research ethics and
research ethics
provide a context for discussion of ethical issues and ethical dilemmas in research
should be able to
and enhance your awareness about basic ethical principles and procedures for
help researchers safeguarding research participants’ interests.
grapple with ethical
dilemmas in that it Ethics is one of the most crucial areas of research, with deception, misconduct and
introduces abuses in research increasingly becoming a crucial area of discussion, for instance,
researchers to some between psychologists, philosophers, ethical groups, health professionals and
important concepts, researchers engaged in various fields of research.
tools, principles, and
methods that can be The history and development of international research ethics guidance is, for
useful in resolving example, strongly reflective of abuses and mistakes made especially in the course of
these dilemmas” biomedical research. Today it is widely acknowledged that researchers without
(Resnik, ND). training and awareness of principles of research ethics are at risk of perpetrating
abuses or making mistakes of real 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

Page 99
 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 distinguishing
etiquette. 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 disagreements is that all people recognize some common ethical
norms but different individuals interpret, apply, and balance these norms in different
It is important to ways in light of their own values and life experiences.
remember that
ethics and law Most societies also have legal rules that govern behavior, but ethical norms tend to
are not the same 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.

Page 100
 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 against
Education might be
fabricating, falsifying, or misrepresenting research data promote the truth and avoid
the vessel that helps
error. Second, since research often involves a great deal of cooperation and
you cross the vast
ocean of knowledge,
coordination among many different people in different disciplines and institutions,
but where would many of these ethical standards promote the values that are essential to
you land without an collaborative work, such as trust, accountability, mutual respect, and fairness. For
ethical compass? example, many ethical norms in research, such as guidelines for authorship,
copyright and patenting policies, data sharing policies, and confidentiality rules in
peer 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.

Page 101
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

Page 102
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.

Page 103
 2.2 Research ethics when dealing with human participants

2.2.1 Basic principles

A researcher’s aim What are the fundamental research ethics principles? All research involving human
should always be to beings should be conducted in accordance with three basic ethical principles, namely
benefit humanity. respect for persons, beneficence and justice. These three core principles, originally
And humanity is included in The Belmont Report which came out in 1979, form the universally
each and everyone accepted basis for research ethics. It is generally agreed that these principles, which
of us. 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. 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.

Page 104
 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

Page 105
 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 easily justified when it arises from
interventions or procedures that hold out for them the prospect of, for example,
The researcher is direct health-related benefit. Risk that does not hold out such prospect must be
a product and justified by the anticipated benefit to the population of which the individual
member of a
research participant is representative.
community; and
thus cannot, in
We evaluate the cost and benefits for most decisions in life, whether we are aware of
the sole pursuit
it or not. This can be quite a dilemma in some research projects and/or experiments.
of his research
The first thing to do before designing a study is to consider the potential cost and
interest, discount
benefits of the research. Are the benefits so good that they will outweigh the costs?
the values,
norms, cultures,
Stem cell research is one example of an area with difficult ethical considerations.
and traditions of As a result, stem cell research is restricted in many countries, because of the major
the community. 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 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
Animal use in research process or its outcomes.
research is often
critical to the 2.2.2 Informed consent
success of a
project. The
Informed consent is a process by which a study participant voluntarily confirms
researcher has an
his or her willingness to participate in a particular trial/study, after having been
ethical obligation
informed of all aspects of the trial/study that are relevant to the study
to treat the
participant’s decision to participate.
animals in a
humane manner.
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

Page 106
 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
level of protection afforded to them. Do you think those animals who, by
A signature at the
virtue of being domesticated, should be afforded a more rigorous standard
bottom of the
of treatment than those that are not domesticated? Should mammals be
consent form simply
give special consideration over reptiles or amphibians?
implies that the
study participant has
understood and
A vaccine for HIV/AIDS is nearing clinical trial. You, as the researcher,
agreed to what he
believe you are at the brink of major breakthrough. What are some of the
was told, it does not ethical issues you will need to navigate to undertake the clinical human
mean that he was trial? Does the potential benefit for many supersede the harm that the trial
fully and completely might cause to a few?
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

Page 107
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

Page 108
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

Page 109
 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

A society is not This category often include, fetuses, pregnant women and human in vitro
judged by the way it fertilization, prisoners and children.
caters to the strong
and invincible, but Uncomprehending study participants
rather by the way it
tends to the weak Persons unable to understand and cooperate may defeat purpose of the research or
and vulnerable. harm themselves. These includes, mentally retarded, uneducated, senile,
linguistically disadvantaged, inebriated, unconscious 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

Page 110
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.

Page 111
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

Page 112
 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 numbers of hours that people drive.
Recent studies show
that Gregor Mendel,
the father of modern Clearly, it would be useful to have more data on this topic, but so far there is no
day genetics, altered evidence that science has become ethically corrupt. However, even if misconduct is
his data to make it rare, it can have a tremendous impact on research. Consider an analogy with crime:
more convincing. it does not take many murders or rapes in a town to erode the community's sense
of trust and increase the community's fear 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.

Page 113
 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?

Another example where there may be some ignorance or at least some mistaken
traditions is the problem of conflicts of interest in research. A researcher may think
Deception in
that a "normal" or "traditional" financial relationship, such as accepting stock or a
research is one area
consulting fee from a drug company that sponsors her research, raises no serious
where balancing the
ethical issues. Or perhaps a university administrator sees no ethical problem in
needs for statistical
taking a large gift with strings attached from a pharmaceutical company. Maybe a
accuracy and validity
against ethics is
physician thinks that it is perfectly appropriate to receive a $300 finders fee for
always a very
referring patients into a clinical trial.
difficult 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

Page 114
 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 modified The Tuskegee experiments
data, then it would
be unethical The Zimbardo’s Stanford Prison Experiments
commission; or
they may not
report it at all and
The Piliavin and Piliavin Experiment
then it would be
unethical omission.
But if they can find
a scientifically Lesson 3: Codes and Policies for Research Ethics
grounded
explanation for the
unexpected result, 3.1 Underlying principles of ethics codes
then they are true
scientists. Given the importance of ethics for the conduct of research, it should come as no
surprise that many different professional associations, government 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

Page 115
 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
believe the words Carefulness: Avoid careless errors and negligence; carefully and critically
you utter, cannot examine your own work and the work of your peers. Keep good records of research
trust the numbers activities, such as data collection, research design, and correspondence with
you publish and agencies or journals.
cannot depend on
the integrity of your Openness: Share data, results, ideas, tools, resources. Be open to criticism and
work … then who new ideas.
will be there to call
you a scientist. Respect for Intellectual Property: Honor patents, copyrights, and other forms
of intellectual property. Do not use unpublished data, methods, or 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.

Page 116
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.

Page 117
 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
truth is tantamount  Publishing the same paper in two different journals without
to deliberate telling the editors
deception.  Submitting the same paper to different journals without telling the
editors
 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

Page 118
  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 Committee or
Institutional Review Board for Human Subjects Research without
Even the smallest of
telling the committee or the board
dishonest acts are
unacceptable.
 Not reporting an adverse event in a human research
experiment
 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

Page 119
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

Page 120
 some kind of agreement with the other team, whether the other team also has
A dilemma arises some information it is willing to share, etc.
when a personal
What are the different options?
choice and an
ethical imperative
It is important to spell out the various options as well. People may fail to see
are not in different options due to a limited imagination, bias, ignorance, or fear. In this
congruence. case, there may be another choice besides 'share' or 'don't share,' such as
'negotiation.'

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?

Page 121
  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

Page 122
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

Page 123
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:

Page 124
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

Page 125
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.

Page 126
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

Page 127
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

Page 128
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.

Page 129
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.

Page 130
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..

Page 131
UNIT Reporting Research Findings

•6• Effective communication

Purpose of report
Audience/reader
Organization
Key Concepts

Style Clarity Delivery

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.

Page 132
 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 turn
you into an accomplished author. However, it will provide you with
Writing is a purpose
guidelines and tips that will improve your writing skills sufficiently to
driven activity.
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

Page 133
 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 thing to do.

One does not 1.1.2 The target audience

write to himself,
writing is Once an idea has been identified or formulated, then the effort will be to
targeted for the present this idea in the best possible way to the target audience. Which
benefit of others. 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. Of
course, at times it may be necessary to prepare a report for policy makers,
general public, etc., in these instances you should tailor your report to the
perceived level of scientific understanding.
Focus on the
need of the Unfortunately, while writing their thesis, most graduate students focus on
reader, not on their advisor or at most the graduate examining committee as their target
the writer’s reader. This is a common fallacy that you need to avoid at all cost. Your
desire. 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

Page 134
 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 scientists, you
will have a set of things you want to say and feel compelled to say it
The key to somewhere in the paper … which may not necessarily be the most suitable
making writing place. A hotchpotch of information is not the aim of writing a scientific
informative is report. Due emphasis should be given to how the flow of information is
organization. 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
- Results
- Discussion/Conclusion
- References
Sometimes you - Appendices, where applicable
can judge a book
by its cover. A more detailed discussion on what each component constitutes and an
effective way to determine what type of information is included in

Page 135
 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.

Depending on the type of publication, the month and year, institutional

An abstract is the identifiers, etc will also make up part of the title page. Please consult the
summary of the Council of Graduate Study’s or your department’s manual for the specifics.
paper that is read
the most.
1.2.2 Acknowledgement

The acknowledgement is non-contentious in most respects. Generally, those

persons who have professionally contributed to the

Page 136
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

Page 137
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

Page 138
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.

Page 139
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

Page 140
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.

Page 141
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

Page 142
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

Page 143
 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

Page 144
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,

Page 145
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

Page 146
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.

Page 147
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

Page 148
 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

Page 149
 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

Page 150
 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

Page 151
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

Page 152
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.

Page 153
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?

Page 154
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?

Page 155
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.

Page 156
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.

Page 157
 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 [email protected] (please indicate in the subject line “Comments on
Research Methods Module”.

Page 158
i