Proposal presentation2

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INTERNATIONAL FOOD POLICY RESEARCH INSTITUTE

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The Art of

Proposal Writing

for Policy Research

Compiled by Suresh Babu and Valerie Rhoe

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Objectives of the Workshop

Develop skills for preparing policy research proposals

Understand the elements of a winning proposal

Analyze some examples of good proposals

Gain practical skills for organizing the components of a proposal

Review some of the existing resources

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What is a Research Proposal ?

A document

A logical presentation of a research idea

A new idea

Illustrates the idea’s significance

Shows the idea’s relationship to past research

List research activities one proposes

Describes resources needed

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What Should a Research

Proposal Convey?

Enthusiasm

Impression

Reassurance

Model of clarity

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“it is what your writing

conveys to the reader that is judged, regardless of what you intended?”

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How does a

proposal

develop?

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The Proposal Development Process

1. Idea

2.Translate into a tentatively proposed set of activities

Potential sponsor unknown Potential sponsor

known

3. Search for sponsors

3a. No Sponsor

found

Reformulate

project

4. Select a few sponsors as prime targets

5. Selection of and contact with target sponsor

6. File “Intent to Submit” card, if required

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7. Firm up activities and design study

(keeping sponsor program goals in mind)

8. Estimate cost, including overhead, and

compare with likely sponsor support

9a. Take advantage

of slack

to improve

study design

Too low

9b.Prepare proposal to sponsor’s

specifications, Providing best fit to

your goals and evaluation

Good Match 9c. Adjust

activities to

reduce costs

Too high

9d. New problems

or better

possibilities appear Submit proposal for Consideration

SUCCESS ! Rejection? Resubmit or

pick new sponsor

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Basic Components

Title page

Abstract

Introduction

Problem statement

Literature review

Objectives

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Basic Components cont.

Project description

Budget

Budget explanation

Special considerations

Curriculum vitea

Appendices

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Title Page

Descriptive

Clear

Concise

One sentence

Avoid

• Jargon

• Words with multiple interpretations

• Flippancy

• Controversial terms

Fit title to mission of sponsor

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Abstract

Other names:

• Executive summary

• Summary

Purpose:

• Summarizes key information

• Research significance

• Potential contribution

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Abstract: Content

Problem

Research objectives

Procedure and method

Likely outcomes and benefits

Credibility

• Institutions

• Researchers

At least 1 sentence per topic

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Introduction

Purpose

• Establish your credibility

• Significance of your research idea

• How research relates to the mission

and priorities of sponsoring

organization?

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Introduction: Content Background

Describe goals

Establish who you are

• Emphasize particular expertise

• Evidence of relevant accomplishments

Relate sponsors purpose and priorities to

research

Lead logically to the problem statement

Present in brief concise manner and no jargon

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Problem Statement

Purpose

• Reason behind your proposal

• What you hope your research will

change?

Information is subject to:

• criteria of the donor’s program

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Problem Statement: Content

Show problem in the perspective of the larger field

State problem generally

• Betterment of humankind

• Project’s contribution to theory and knowledge of the phenomenon

• Describe the value of some concrete applications of the knowledge

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Problem Statement: Other Suggestions

Limit the problem to the specific

• Don’t be too narrow

Don’t dwell on the obvious

Include a 2-3 sentence sketch of the

approach

Set the frame of reference

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Problem Statement: Checklist

Establish the importance and significance of the problem

Justify why it is important to the sponsor

Feasible to solve the problem

Arouse the reader’s interest and encourage him/her to read further

Relate problem to your organization’s goals

State the outcome in terms of human need and societal benefits

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Literature Review: Purpose

Purpose

• Builds further understanding of the problem

Solidly anchored in past work yet moving beyond that work

• It indicates:

one’s grasp of the field

one’s methodological sophistication in critiquing other’s research

the breadth and depth of one’s reading

• How the project contributes to the forward movement

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Literature Review: Content

Review of literature

• Discuss studies in sufficient detail

Summarize pertinent information

Describe how study contributes to this research

Indicate how this study moves beyond the past

study

Point out technical flaws

» Mention how you will avoid these flaws

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Content continued • Most recent literature in content and method

Review original work (primary sources)

» Do not use outdate sources

Select only relevant literature

» Social Science Citation Index

Use literature from other disciplines

Mention current research

» The Institute of Scientific Information

» Social Science and Humanities Proceedings Index

» Social Science Citation Index

» Speak with colleagues

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Content Continues

Discuss theoretical basis

Don’t include too many references and

do too little with them

• It is what you do with the references that

is the basis for judging this section.

• “no research bearing on the problem

[exist]”

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Quantitative Literature Review

To draw an overall conclusion

Methods

• Counting the positive, negative and neutral

results and comparing these with what

would be expected by chance

• Combing the results of individual studies

into a single-test of significance

• Developing a standard school estimate of the

average strength of treatment

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Should I Include a Quantitative

Literature Review?

Are there enough comparable studies

Is the number of studies too large?

Could this be a first component of the project?

Read “Primary, Secondary and Meta-analysis” by Smith and Glass (1977)

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Objectives: Purpose

Form the basis for judging the proposal

What you plan to accomplish

Show the reviewer that you have a clear picture

Form the foundation

Assess the appropriateness of the study’s proposed methods

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Objectives: Content

Specify the measurable outcomes

Define your research methods

Identify key study variables

Identify interrelationships of variables

Evaluate your outcomes

State the expected changes

State what means “success”

State purpose of study

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Objectives as Hypotheses

State as hypotheses

• Theoretical base

• Build bridge from theory to study

• Testable

• Translated into the research

operations

evidence of their truth and falsity

• Don’t state as a null hypothesis

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Objectives: Format

Are specific, concrete and achievable

1-2 sentences for each objective

Ordered by importance or contribution

Follow each major objective with its specific sub-objectives

Avoid unnecessary wording

Stand out on page

• Bullets, numbers and indentions

Neatly flow

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Objectives: Common Errors

Vague generalities

Imbedding them

Undeveloped objectives

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Project Description

Purpose

• To describe project activities

• How objectives will be accomplished

• Describe the sequences, flow and

interrelationship of activities

• Planned staffing

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Project Description: Procedural

Section

Write 1 overview paragraph

Describe

• How?

• When?

• Why?

• Where?

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Procedure Section: Audience

Know one’s audience

• anticipate and meet their concerns

Difference about the best design

• Help them follow your line of reasoning

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Procedure Section: Limits

Restrain Procedure and Design to

Realistic Limits

• Level of resources

• Ethical considerations

• Access and cooperation to other

institutions

• Time available

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Procedural Section: Subsections

Population and sample

Design – an art

Data and instrumentation

Analysis

Work Plan

Expected end products

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Population and Sample

Clues to the generality of findings

• Sample size – statistically significant

Preciseness of estimate

How different are the individuals

How much certainty is required

• “Power analysis”

If you hope for statistically significant

result

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Population and Sample

Sampling plan:

• Nature of the plan

• If stratified, describe nature and

rational

• If random sampling is not feasible

Provide all information about the sample

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Survey Sampling

5 major types

• Simple random sampling

• Systematic sampling

• Stratified sampling

• Cluster sampling

• Hybrid sampling

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Survey Sampling cont.

Simple random sampling

• Process

List all elements of population

Select sample randomly using a table of

random numbers (lottery)

• Problems

Difficult to list entire population

Expensive

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Systematic random sampling

• Process

Number each element

Select first element randomly

Then skip sample intervals

• Problem

Expensive to obtain a full list of

population

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Survey Sampling

Stratified random sampling

• Process

Divide population into strata

Draw sample from each strata

» Need to control size of each strata

Example: urban – rural strata (no strata

is skipped

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Cluster sampling

• Addresses 2 problems

Lack of sampling frame (population list not

available)

Cost of reaching a sample element is very high

• Process (Multi-stage: areas & zones)

Randomly select zones

Randomly select communities

Randomly select households

Clusters must be selected randomly with equal

probability of getting selected

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Problems in Sampling

Non-sampling error (non-coverage error)

• The omitted part of the target population

Example: Telephone surveys

• Wrong population being surveyed

Example:College students vs. college-age persons

• Low response rate

• Instrument error

Example: Wording of a question

• Interview error

Example: Female headed household/male interviewers

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Problems in Sampling cont.

Sampling Error (SE)

• SE = Z (ơ/n1/2)

n SE

ơ SE (more heterogeniety)

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Determining Sample Size

Statistical method

• N = Z2 (ơ2/e2)

Rule of thumb

• Smaller population bigger sampling ratio

• Larger population small sampling ratio

• Population under 1000 30% of sample

• Population large 10,000 10% of sample

• Over 150,000 1%

• Over 10 million .25%

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Sampling Survey

Cluster sampling cont.

• Advantages

List required for selected communities only

Less sampling error

Proportionate sampling when cluster sizes

are different

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Design

A description of the structure of the study

• Protects against alternative explanations

• Shows how the situation will be structured

Least contamination

• Control variables

What are they?

» Did you compromise? If so, how?

How to control them?

• Design configuration that efficiently uses available resources

• Give priority to the most serious alternative cause of the effect

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Design: Common Errors

Lack of control group

Pretest effects

Hawthorne or reactive effect

Research expectancy effect

Regression effect

Over- and underachievers

Cross-validation

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Instrumentation and Data Collection

Data collection

• Details

• Appropriateness for the task

• Comparable collection of data

How will you correct for undesirable variation?

Measures problem definition and explanation

• Describe the problem

• Justify the closest measure

• Use a new instrument

• Omitting the latter discussion is reason for disapproval

Include all critical terms

Establish validity, reliability and objectivity

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Instrumentation and Data Collection:

Validity

Appearing to be congruent with the

constructed definition

Types of Validity

• Face validity

• Predictive and concurrent validity

• Construct validity

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Reliability

Types of Reliability

• Stability reliability

• Internal consistency reliability

• Equivalence reliability

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Objectivity

Observation scales require that all

observers use them the same way so

that they agree when rating the

same phenomenon

• Eg: quantities of output

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Sources of Instrument

Instrument clearance

• If administered a certain number of people

• Established vs. new instruments

• Problems in data collection

• Disturbance to the natural situation

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Sources of Instruments

Problems

• Using an observer, tape recorder, or

television camera may influence the

experimental variables or create

artificial situation.

What steps will you take to deal with this

problem?

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Questionnaire Preparation

Use a participatory approach with the enumerator

Pre-test the questionnaire for logical flow and best method of asking questions

Train the enumerators for data collection

Supervision of data collection

• Surprise Visits

• Recall the questionnaire during the supervision

Data cleaning

Data sharing with other researchers and donors

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Analysis

Consistency of methods with the objectives

Statistical assumptions and the data

• If not, what are your corrections?

New statistical techniques, computer programming or other unfamiliar analytical tools

• Adequately described

• Advantages over current methods clearly indicated

• Back-up

Reveal the depth to which these problems have been anticipated

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Work Plan

Also known as a time schedule

Gives a perspective of the project

Format

• Flow charts or diagrams

• Sequential statements of the operations

• Shows interrelationship between activities

Demonstrates relative length of each

activity

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Work Plan

Workload Analysis

• Week-by-week view of peaks and

valley in demand for personnel

• Does not compare personnel demands

with available staff

• Good for large, complex projects

• Place in the appendix

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End Product/ Deliverables

Describe these products/ Deliverables

Minimum end product/ Deliverables

Maximum end product/ Deliverables

Monthly and quarterly reports

Review copyright policy

Intellectual Property Rights

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Dissemination of Results

State anticipated journal articles,

monographs, conference, and workshop

presentations

• Give targeted dates

Why important?

Consider how the results will be used

Cost of specific modes of dissemination

Policy communication strategy

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Personnel

Director of Project

• Competence

• Relevant experience

• If lacking, highlight training that might

substitute

Other key staff members

• Qualifications

• Place 1 page CV in appendix

• Responsibilities

• Mix of expertise fits this project

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Personnel

Staff members with minor roles

• 1 paragraph on responsibilities, assignment,

and relevant background

Make each person’s assignment clear

Do not list persons without their

permission

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Personnel:

Organization and Management

Purpose

• To describe how the organization and

management will support the project

Content

• Record of successes

• Present evidence that team members

have worked together effectively

• Relation of project to the unit

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Personnel: New Researchers

Ask an established researcher to work with you

• Active consultant

• Co-researcher

• Principal investigator

Letter from senior person

• Role

• Opinion of the junior staff

• Willingness to actively oversee the project

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Curriculum Vitea

Purpose

• To tell your education and professional

experiences

• To highlight unique background and

qualification

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Curriculum Vitea: Content

Education

• Recent degrees first

Year conferred

Specialty

Work history

• Relevant

• Chronologically

Teaching experience

Research experience

Graduate advising experience

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Curriculum Vitea: Content

Projects

Awards

Travel experience

Publications

• Relevant

• Past 5 years

• Append your most recent and relevant publication

Focused on your research capabilities

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Curriculum Vitea

Do not:

• List extraneous information

• List personal information

• List non-relevant memberships

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Budget

Purpose

• Statement of proposed support and

expenditure

What it should do?

• Mirror research plan

• Credible

• Realistic

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Budget

Types of costs

• Direct costs

Personnel

Subcontracts and services

Materials and supplies

Communications

Reports and publications

Travel

Equipment rental and purchase

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Budget

Indirect costs (overhead costs)

• Cost of space

• Heat/ airconditioning

• Institutional administration

• Accounting

• Library

• Basic phone service/ fax/ email

Calculated as a percentage of direct cost

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Budget: Direct Cost

Personnel

• Largest expense category

• Each key staff member is shown the % of

time he/she will work on project over a year

Include annual and semi-annual wage increases

• Workload analysis will show if students or

temporary help is available

• Separate entry for fringe benefits

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Budget: Direct Cost

Subcontracts and services

• Separate budget category

• May need approval from sponsor

• Subcontractors indirect cost

• No fringe benefits

• Obtain cost estimates in writing

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Budget: Direct Cost

Materials and supplies

• Expendable

Stationary supplies

Duplication supplies

Audiotapes

Videotapes

Surveys

Computer supplies

• If high cost, then break into separate categories

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Budget: Direct Cost

Communications

• Long-distance calls

• Postage

• Internet/ email connection

• Large entries should be explained

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Budget: Direct Cost

Reports and publications

• Cost of producing final report

• Cost of producing reports during the project

• Include estimated page charges from journals

• Find number of copies that can be duplicated

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Budget: Direct Costs

Travel

• In town and out of town

• Airfare

• Accommodations

• Ground transportation

• Professional conventions

• Per diem

• Justify foreign travel

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Budget: Direct Costs

Equipment rental and purchase

• Cost is > $500 and service life > 2 years

• Check inventory equipment

Own institutions

Neighboring institutions

• If unable to buy, can probably rent

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Budget

Contingency allowances

• Not explicitly in budget

• Higher personnel cost

• Can funds cross over to other

categories

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Budget: Rationale

Document how budget figures were

determined

Justify changes for multi-year

projects

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Budget: Key Questions

Will the budget …

• provide sufficient resources to carry out the project?

• include a narrative that justifies the major items of the budget?

• be in the format required by the sponsor and your organization?

• provide enough detail that the reviewer can easily see the way the items were calculated?

• show a clear relationship between the budget items and the research activities?

• include any attachments or appendices to justify unusual requests?

• identify evaluation and dissemination costs?

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Appendix

Purpose

• To attach additional relevant information but is peripheral and not absolutely required

Content

• Cooperation letter from administrators

• Sample items of new or unfamiliar tests and technical information on their validity

• Description of unfamiliar statistical or research procedures

• Samples of intended products

• Reprints of your articles

• Definition of terms

• Subcontract data

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Appendix

• Cooperative agreements

• Letters of support from collaborators/ cooperators

• Brochures about your research organization

• Department research reports

• Membership of research advisory boards

• An index

• Charts

Proposal section index to evaluation criteria

Personnel by required experience

Detailed work plan analysis

Personnel by task chart

Organizational chart

Textual or conceptual charts

» Referred to repeatedly

» Tab for easy access

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Why Proposals Fail?

Procedure Section (Most common)

• Insufficient, vague or unclear description

• Discrepancies between the objectives and procedures

• Design flaws

Problem Section

• Limited Significance

• Local significance

• Statements were nebulous, diffuse or unclear

• Insufficiently limited studies

• Lack of theoretical base

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Why Proposal fail? cont

Personnel

• Lack of training or experience

• Unfamiliarity with the literature or methods

• Poor prior research record

• Heavy alliance on inexperienced associates

• Low investment of researchers’ time

• Insufficient information on personnel and their duties

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References

AIM Tips on Writing Proposal.

http://minyos.its.rmit.edu.au/~rpyjp/Cdmatips.html

Access on 02/13/2001.

How to Write a Convincing Proposal: Strengthening Project Development, Donor

Relations, and Resource Mobilization in Agricultural Research. The Hague:

ISNAR. 2000.

Krathwohl, David. How to Prepare a Research Proposal: Guidelines for Funding

and Dissertations in the Social and Behavioral Sciences. Syracuse: Syracuse

University Press. 1998.

Reid, C.P. Patrick. Handbook for Preparing and Writing Research Proposals.

Vienna: IUFRO Special Programme for Developing Countries. 2000.

http://www.ersac.umn.edu/iufro/spdc/grantmanual.pdf Access on 02/13/2001.

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Page 88

Appendix

Generating A Policy Oriented Research Idea

By

Manson Nwafor

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Page 89

Generating A Policy Oriented Research Idea

Steps in the Policy Process

1. Define the societal problem

2. Generate a list of possible solutions

3. Evaluate the possible solutions

4. Select the most politically and socio-economically

suitable solution.

5. Implement and monitor the solution

6. Evaluate the implementation of the selected

solution

7. Go back to Step one where necessary

The policy maker needs research evidence that can

assist in steps 1 -3 – especially steps 2 and 3. Research

evidence is also needed in step 6.

Step 4 is more of a political/administrative decision

where many factors beyond the researcher’s scope of

work may be considered.

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Page 90

Generating A Policy Oriented Research

Idea

Sources of information on researchable societal problems: • Current news events

• Conclusions/Areas for further research from previous studies

• Events occurring in similar localities

• Problems highlighted in stakeholder workshops (Farmers, donors, policy makers, agri-businessmen etc)

• Trends observed from Trends reports/trends analysis

• Gaps/contradictions observed in the government’s policy documents.

Proposal presentation2

Technology

research proposal

research idea

new sponsor page

flaws page

mission of sponsor page

knowledge page

research willchange

contentifprishow problem

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