1

FORMULATION OF THE KEY ELEMENTS OF THE

CHAPTER ON INTRODUCTION OF PhD RESEARCH
PROPOSAL (AND THESIS)

By
Professor Faustino L. Orach-Meza
School of Sciences
Nkumba University
P.O. Box 237, Entebbe, Uganda
Phone: +256708571005; E-mail: orachfl@nkumbauniversity.ac.ug

A PRESENTATION AT THE SECOND SEMINAR ON RESEARCH

METHODS FOR PHD STUDENTS OF NKUMBA UNIVERSITY

20th October 2023

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Table of Contents

Introduction … … … … … … … … … 3

CONCEPTUAL PHASE OF RESEARCH … … … … … 3

Conceptualization … … … … … … … 3
Sources of Knowledge (Epistemology) … … … … 7
Sources of Research Ideas … … … … … … 8

IDENTIFICATION AND CHOICE OF RESEARCH TITLE … 8

THEORY AND CONCEPT … … … … … … … 9

FORMULATION AND WRITING OF THE INTRODUCTION … … 10

CHAPTER ONE: INTRODUCTION … … … … … … 11

Introduction (to Introduction) … … … … … … 11

Background … … … … … … … … … 11
Statement of the Problem … … … … … … … 14
Objectives … … … … … … … … … 16
Main Objective … … … … … … … 17
Specific Objectives … … … … … … … 17
Research Questions and Hypothesis … … … … … 17
Justification … … … … … … … … … 19
Significance … … … … … … … … … 20
Scope … … … … … … … … … … 20
Conceptual Framework … … … … … … … 21
Definition of Terms … … … … … … … … 22
Structure … … … … … … … … … 22

CONCLUSION … … … … … … … … … 22

REFERENCES CITED … … … … … … … … 22

LIST OF FIGURES

Fig. 1: The process of PhD Research … … … … … 2

Fig. 2: Conceptualization and PhD Research Process … … … 5
Fig. 3: Fundamentals of Conceptual Framework … … … … 19

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FORMULATION OF THE ELEMENTS OF THE CHAPTER ON INTRODUCTION

OF PhD RESEARCH PROPOSAL (AND THESIS)

INTRODUCTION

This presentation is on research topic formulation and writing of the background to research
problem, the problem statement, the objectives, the research questions and/or hypothesis, and
scope at Doctor of Philosophy level. The paper assumes that the PhD students are aware of the
demands and expectations of PhD research and have attempted the formulation of research topic
when preparing a synopsis or concepts as a requirement for admission to this University.

The objective of the presentation is to enable the students to understand and gain the ability for
the formulation of research idea, identification of research topic, compilation of the background
to the research problem, specification of the appropriate problem statement, determination of the
objectives, research questions, and hypothesis, and the specification of the scope of PhD
research. The students should, in the final analysis, be able to conceptualize research ideas,
identify the research topics to be investigated and the reasons for the investigation, and write
relevant and persuasive problem statement, justification, and significance with the use of
authoritative sources of knowledge before formulating the introductory chapter of the research
proposal and the eventual research report.

CONCEPTUAL PHASE OF RESEARCH

Conceptualization

Conceptual Phase is the thinking phase in which the standard elements are identification of the
research problem and title and their verification through literature review. It is the initial phase
of research which involves the intellectual process of developing a research idea into a realistic
and appropriate research design. One must be motivated to do research so that one is able to use
the sources of knowledge (epistemology) to conceive research ideas and eventually identify and
chose a research topic.

Conceptualization is defined in Thesaurus as “inventing or contriving an idea or explanation and

formulating it mentally”. It is the process of forming basic research ideas, designs, plans, or strategies
based on given facts, situations, and examples; it is basically creating something by thinking. This is the
thinking and planning stages of research in which the standard elements are (a) the identification of
the research problem or research question and title, (b) determination of the purpose of the study, (c)
searching and reviewing the literature relating to the question and developing a conceptual framework,
(d) defining and refining the research question or formulating a research hypothesis, (e) selecting the
research method and determining the design of the study, and (f) specifying the group of subjects to be
studied.

In conceptualization, it is important for the researcher (a) to have an inquisitive and imaginative mind,
(b) to have questioning attitude, and (c) must always be wondering why things are as they are. It is in
this way that the researcher is able to take advantage of the sources of research ideas all around from
(a) professional or other experiences in everyday life, (b) practical issues or burning questions, (c) past

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research from literature – past research often generates more questions, and (d) professional meetings,
conferences, workshops, consultations, and discussions.

Development of
Concept Paper
and Research Formulation
Topic of Research Data
Proposal Collection
Theoretical &
Framework on Analysis
Sources of
Research Ideas

Production
Research Ideas
of Ph.D
from Sources
of Knowledge CHALLENGES Thesis

Fig 1: The Process of Ph.D. Research

It is from conceptualization, i.e. from gathering and formulating good research ideas that a research
topic can be identified and a concept paper can be prepared (Sequeira 2014). In order to do this
successfully, the researcher must be motivated. See conceptualization model in Fig. 1

This is the thinking and planning stages of research in which the steps of the standard elements are:

(a) Step One: The Identification of the Research Problem or Research Question and Title

As mentioned in the overview of research, the research project begins with a problem or a
question for which an answer is being sought. Good research depends on good questions.
Without a workable and significant topic, the most carefully and skillfully designed research
project is of little value. Problems or questions may originate from various sources such as
personal experience, issues considered important by communities or organizations, healthcare
issues, and the literature or theories. Researchers normally proceed from the selection of a broad
topic area to the development of a set of specific questions that tell exactly what will be studied.
A clear researchable question is the key to the researcher’s decisions about the research design,
data to be collected and analyzed. Examples of research questions are:

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 What is human/wildlife conflict and why is it a problem? This question can lead to
defining the problem, collecting background information that is necessary to fully
understand the problem, methods that may have been used to solve similar problems, the
results obtained, and the necessity for the research being proposed.
 Should the use of marijuana be legalized?
 Is beauty pageant culture a positive aspect of Ugandan society, or something that should
be done away with?
 Why did Uganda get involved in the civil war in Southern Sudan recently?
 What is the relationship between a housekeeper’s job satisfaction and his/her tendency to
leave work?
 What is the effect of fisheries policy and laws on fishing activities on Lake Victoria?
 Does the development of oil and gas have negative impacts on wildlife in the national
parks where the plants are located?
 What is the growth rate of Nile Perch (Lates nilotica)?
 Why are apples not grown in Wakiso District in Uganda?

(b) Step Two: Determination of the Purpose of the Study

This is called the aim of the study. It explains why the question is important, and how the
answer to the question will serve or be utilized. The purpose is generated from the problem or
research question; it identifies the specific aim or goal of the study. It also describes the scope of
the research effort, and specifies the information that needs to be addressed by the research
process. Whereas the problem addresses the topic to be studied, the purpose gives the reason for
the study. The researcher may wish to identify, describe, investigate, explain, or predict a
solution to the problem, or to evaluate a practice or programme, or to develop an instrument.

An example of purpose for bullet six (6) is “to explore whether the fisheries policies and laws are
being adhere to or not by the practitioners, and how enforcement of the laws can be made more
effective, or whether alternative policies and laws should be developed. The solution could be
adhering to the appropriate policies and laws that would ultimately ensure the sustainability of
the fisheries.

(c) Step Three: Searching and Reviewing the Related Literature

Literature review generates a picture of what is known and not known about the research
problem. It is essential for the researcher to conduct a literature review in order to locate similar
or related studies that can serve as a basis for the study at hand. To build on, confirm, and/or
contradict the existing knowledge in the field, so that the researcher becomes aware of what has
been done. The review will also help the researcher to confirm and develop a theoretical or
conceptual framework for the study, as well as the relevant study methods and instruments or
tools with which to measure the study variables.

Literature review specifically provides the researcher with (i) ideas for defining concepts, (ii)
means for formulating operational definitions, (iii) relevant theories, (iv) related facts, issues, and
researchers, (v) prior findings, and (vi) instruments for measurement.

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The review should be comprehensive; it must cover all relevant research and supporting
documents in print, such as textbooks, report, journal articles, theses, dissertations, periodicals,
and citation indexes, and other indexes in websites on the internet. A thorough review of related
literature requires a great deal of time and effort. Computer generated searches can assist
tremendously with this step, but they should not totally replace the hard copy textual
investigations of a dedicated researcher.

It is essential to keep abreast of the literature in the researcher’s area of competence, as the initial
review of the literature may precede the identification of the problem as, through reading, the
researcher’s conceptual insights on ideas regarding possible topics, and even approaches or
techniques, may be stimulated.

(d) Step Four: Define and Refine the Research Question or Formulate a Research Hypothesis

In this step, the researcher must formulate the research problem in a way that facilitates further
research. This can be done by formulating appropriate specific research questions targeting
specific actions. The problem should be made measurable, or should be able to predict outcomes
or results in the form of dependent variables. A specific research question or problem is a
definite or clear expression about an area or concern, a condition to be improved upon, a
difficulty to be eliminated, or a troubling question that exists in scholarly literature, in theory, or
within existing practice that point to a need for a meaningful solution.

The questions and hypothesis that are based on the specific research objectives relate the
dependent variables of study to the independent variables.

(e) Step Five: Select the Research Method and Determine the Design of the Study

Develop a systematic and controlled plan for finding answers to the study question. This step
offers a map for organizing the methodology and way to capture the data needed for finding the
answers. It specifies the procedure to be used in the study including participants in the study,
how, when, and where data will be collected. The researcher must indicate what data will be
collected, when and how the data will be collected, who will collect the data, and how the data
will be analyzed.

(f) Specify the Group of Subjects to be Studied

Research project can focus on a specific group of people, facilities, park development, employee
evaluations, programmes, financial status, marketing efforts, or the integration of technology into
the operations. There is usually a universal group, target group, specific group, from which a
sample can be taken for the study. Defining the population assists the researcher to narrow the
scope of the study from a very large population to one that is manageable, identifies the group
that the researcher’s efforts will be focused on within the study, helps to ensure that the
researcher stays on the right path during the study, and defines the unit of analysis.

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Motivation

Research Data Collection and Production of PhD.

Research Proposal
Research Concepts Topics
Analysis Thesis
Ideas

Intuitive Source, Authoritative

Authoritative
Source:
Source, Empirical
(Literature
Source, and
Logical Source Review)

Fig 2: Conceptualization and Ph.D. Research Process

Sources of Knowledge (Epistemology) and Initiation of Researchable Ideas

Many sources of knowledge have been prescribed in epistemology (Pritchard 2004 and
Pritchard et al 2010), but the most common ones made use of in research are intuitive,
authoritative, empirical, and logical sources of knowledge (Orach-Meza 2016). For example,
when conceptualizing an initial idea for research, it may be through “intuition” or authoritative,
logical, and empirical sources. It is these sources of knowledge that a prospective researcher
uses to take advantage of the sources of research ideas that include everyday life experience,
practical issues, critical questions, reading and past research through literature review,
professional meeting and discussions, theories, personal interest, observations, information,
dreams, imaginations, and pop ups (fleeting thoughts).

Colman (2014) defined intuitive knowledge or intuition as “forms of knowing that are not necessarily
accompanied by verbal awareness of knowing”. It is based on personal feelings like belief, faith,
intuition, imagination, dreams, etc. It is perceived through the senses and left in its raw perception for
the mind to understand and make sense out of it.

Professional literature reviews and consultations with experts on an idea are sources of Authoritative
Knowledge or Authority. This is based on the validity of the sources of information received either

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from interaction with people, from literature, or from some Supreme Being in the form of ‘reality’ like
the knowledge of God. The literature review develops broad ideas of what is already known in a field,
and what questions are still unanswered. This process will assist the researcher in narrowing the
problem for investigation, and will highlight any theories that may exist to support the development of
research questions or hypotheses. The researcher must show that he/she has looked through the
literature and has found the latest updates in the field of study in order for a proposal to be convincing to
an audience. This process also helps to ensure that the proposed research is not just “reinventing the
wheel.” A discussion of the present understanding and/or state of knowledge concerning the problem or
issue sets the context for investigation.

Empirical Knowledge or Empiricism is derived from demonstrable and objective facts which are the
results of observation and/or experimentation (Bird 2013). It is knowledge gained through careful
observation. Empiricism, which involves sensory experience, comes in handy in research methodology
especially when engaging in procedures like experimental designs, data collection, data analysis, and
presentation of results.

Logical Knowledge or Logic is used in discussing answers to questions when reasoning from questions
to answers. According to Knorpp (1997) “logical knowledge” is arrived at by reasoning like from point
A to point B. It is creation of new knowledge through the application of logical reasoning. For instance,
to answer the question: “Where do mangoes come from?” will require reasoning about the development
of a mango tree, perhaps from a mango seed to the fruit.

Sources of Research Ideas

(a) Everyday life (Professional or other experiences)

(b) Practical issues (Burning questions)
(c) Past Research/Literature (Research often generates more questions)
(d) Professional meetings, conferences, workshops, etc.,
(e) Discussions

Identification and Choice of Research Topic

Research topic is the foundation on which everything else rests, so it is crucial to choose carefully.
Identifying and choosing the right research topic can be an agonizing exercise and many students often
struggle over the choice of an appropriate topic for many months despite the fact that the research ideas
may have already been formulated. A number of principles to follow come to mind, the most important
of which are interest and feasibility. Examine the following guidelines by Minichiello (2008) to
determine to what extent the topic that a researcher identifies meets the criteria:

 It must be interesting to the researcher. It takes great interest in a topic to sustain enthusiasm
and enjoyment, and hundreds of hours of effort. There must also be some excitement about the
topic. It may or may not be relevant to the current work position of the researcher; but if it is,
more interest may ensue.
 It must be within the researcher’s competence. Familiarity with an issue or phenomenon, and
some background in appropriate research methods, should, at the very least, save time and give
one a greater sense of direction and confidence.

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 It must be feasible. Does one, for instance, have the time and resources to pursue this topic?
Consider also the financial resources required to complete a project, ethical and legal issues
involved, distance, and likely access to information.
 It must be sufficiently delimited or scoped. The topic area, for instance, might be Senior
Executive Leadership but the problem might be expressed in terms of say, the relationship of
leadership qualities to output and efficiency. The advice from Long, Convey and Chwalek
(1985) is that the researcher must first “narrow or delimit your topic enough to make the purpose
of your research clear to yourself and others. Sufficient delimitation helps to organize your
literature search and produce a specific problem statement with accompanying theoretical
rationale”. It is important that the contextual scope is clearly articulated in the research.
 It must be manageable in size. It is a good idea to sketch an outline of what the chapters might
look like early on, keeping in mind word limits that are set. Clearly expressed specific
objectives and research questions should help to keep the focus in mind.
 It must have the potential to make a contribution to Knowledge or practice in the appropriate
area. Questions are asked about the “significance”, “value” or “use” of research. Ascertain what
is expected of the research in the program of study; what “contribution” is expected.

The above should be seen as some issues to consider in selecting a research topic and not as a complete
or prescriptive list of decision criteria. Further review of relevant literature will help to refine the
research idea and eventually the research methodology. A good research title or topic should have the
following characteristics:

 It should clearly represent the contents of the proposal and should have a single interpretation
that is free of ambiguity so that readers can easily understand the nature of the research and have
the same understanding like the researcher. It should provide research direction and set the whole
research methodology.
 It should be well-defined and well-phrased using simple words but not in a way that gives an
impression of multiple interpretations.
 It should not be biased or unethical.
 The titling should follow the Guidelines for Master’s and Ph.D. Research and Thesis of Nkumba
University.
 It should have current importance as an obsolete topic will not be attractive to the readers.
 It should be of benefit in the field in which the study is being conducted.

Theory and Concept

A concept is the researcher’s idea on the research problem conceived and how it will have to be
explored or investigated. It is founded on the theoretical framework which provides a general
representation of relationships between variables and parameters in a given research. Theories
are formulated to explain, predict, and understand phenomena and, in many cases, to challenge
and extend existing knowledge within the limits of critical bounding assumptions. The
theoretical framework is the structure that can hold or support a theory of a research study. It
introduces and describes the theory that explains why the research problem under study exists.

(a) Theoretical Framework

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A theory is any set of ideas in the form of interrelated constructs, definitions, and propositions or
an expression of someone’s profound insight into some aspect of nature, and a fresh and different
perception of an aspect of the world that can guide the specification of relations among variables,
with the purpose of explaining and predicting phenomena. They arise from repeated observation
and testing and incorporate facts, laws, predictions, and tested assumptions that are widely
accepted (e.g. relationship between a falling leaf and gravity or the theory that the earth was flat
but was successfully challenged).

The Theoretical Framework is the structure that can hold or support a theory of a research. It
introduces and describes the theory that explains why the research problem under study exists. In
addition, it provides the rationale for prediction about the relationships among variables of the
research.

(b) Concept Paper

A concept is mental image that summarizes a set of similar observations, feelings, or ideas into a
concrete set of information. A Concept Paper is, therefore, a short summary that tells the reader what
the research is all about, why it is important, and how it will be carried out. It gives a clear description
of the research topic and summary of what is already known about the topic, and a clear statement of the
research question.

PhD students are usually requested to prepare and submit a Concept Paper as part of the admission
process at Nkumba University at the beginning of their studies. It covers the preliminary description of
their research idea so that attempts are made to assist them to narrow down the research topic, what
literature to search and read, and what research methodology they should be considering as appropriate
for their research. It also assists the University to find suitable supervisors who have research interests
related to the topic.

FORMULATION AND WRITING OF THE INTRODUCTION OF PhD RESEARCH

CHAPTER ONE: INTRODUCTION

The Introduction to a research proposal or a thesis is the first Chapter and the most important
part designed to attract and retain the attention of readers. Its main purpose is to discuss the
problem that is to be addressed. An effective introduction discusses the meaningfulness of the
study with presentation of the nature of the research, the rationale and purpose of the research,
the research questions to be addressed, the significance of the research problem, and the
justification for the research. It also serves as an argument advocating the need to investigate the
chosen object of the study and gives a clear insight into the intentions of the research.

The way the texts of the introduction are written depends on the individual researchers. In
general, the Introduction should, according to Creswell (1994), be able to (a) “create a reader
interest in the topic”, (b) “lay the broad foundation for the problem that leads to the study”, (c)
“place the study within the larger context of the scholarly literature”, and (d) “reach out to a
specific audience”. It should include a short summary of the major questions behind the
research, and should provide the context of those questions within a larger academic framework

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through literature review. Those who read the Introduction should be able to understand what
the research is attempting to discern (discover) and why the study is needed.

The typical and topical contents of the Introduction include the following elements:

1.0 Introduction
1.1 Background (to the research being proposed or has been proposed)
1.2 Statement of the Problem (the issue to be addressed and the rationale)
1.3 Objectives (the intended achievements)
1.3.1 Main or General Objective
1.3.2 Specific Objectives
1.4 Research Questions and /or Hypothesis
1.5 Justification of the research
1.6 Significance of the Investigation
1.7 Scope of the Research
1.8 Conceptual Framework*
1.9 Definition of terms

This is the order in which they must appear in the Introduction. At times, the Conceptual
Framework* is covered under Literature Review.

1.0 Introduction (to Introduction)

An Introduction to a research proposal can be written first before the Chapters on Literature
Review and Methodology; but the one for the Thesis should be adjusted in the final form after
generating the findings. Continuous adjustment is necessary because the final introduction
cannot be written before the study has been carried out. The title and focus of the research can
change throughout the writing process. So it is after conducting the research and discovering
the findings that writing the introduction can be completed. The introduction should:

• Introduce the topic of the research, i.e. what the topic is, why it is relevant (purpose), and
what the issue is that will be researched (problem).
• Write a brief background to the topic like detailing factual information on the example of
“climate change and the sugar cane industry in Uganda”.
• Set out the aims and objectives of the research while highlighting the key research
questions to be answered. Note: The idea is to narrow the focus of the research topic to
specific niche like the effects of climate change such as temperature and rainfall on sugar
cane in Uganda.
• Summarize the purpose of each chapter and what it does.

1.1 Background

The Background introduces the research topic that has been identified and chosen before many
decisions about how to approach the research are made. It is the foundation on which to build
good research because it provides general information about the topic and emphasizes the main
aim of the study. It explains why this particular research topic is important and essential to

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understanding the main aspect of the study, and it justifies the need for conducting the study
besides summarizing what the study aims to achieve. It also contains the rationale, the key
problem statement, and a brief overview of research questions that are addressed in the rest of
the paper.

Reviewing and citing reference materials or general articles about the subject can allow the
student to articulate the research idea and assist in pointing out areas for further research.
Sources to consult include encyclopedias, articles in journals, books, authenticated on-line
materials, theses, dissertations, etc., to assist with authoritative information for preparing
conceptual, theoretical, historical, and contextual background that justifies the need for the
research.

Conceptual background is the information on the definition and origin of the current thinking
or concepts that led to the investigation being proposed and it is focused on what it will discover
as additions to the existing stock of knowledge. It also explains the nature, meaning,
implications and challenges associated with the study. See Grant and Onsanloo (2014) for
further details.

Theoretical background is a broad and established set of rules, truths, or principles on which
the study should be founded. It elaborates on past and new thinking or theories using “if” and
theorizes on the possibility of better results and outcomes using “such as” (Abend 2008). It
provides the theories on which the new ideas or proposals are based and explains the theories
that support the research topic, showing that the research is grounded in established ideas. It
must be based on relevant theories and models other researchers have developed. The best
approach is to pick out the key terms from the research title and/or research questions and relate
them to the gaps in the theories identified.

The theory must underpin the knowledge base of the phenomena to be investigated so that the
theoretical constructs can be applied to the study. The selected theories should guide and
resonate with every aspect of the research process from the definition of the problem, literature
review, methodology, presentation and discussion of the findings, and the conclusion (Akintoye
2015). It should also convince readers that the study is not based on personal instincts of the
researcher but rather firmly rooted in established theories selected by the researcher via credible
studies.

Historical background of the research can be considered as the coverage of the past knowledge
and the progress that has been made over the years in the subject area. It discusses the findings in
a chronological manner to accentuate the progress in the field and the missing points or gaps that
need to be addressed. Laurence (1984) termed it “using the past to study the present” which
means “understanding a subject in light of its earlier phases and subsequent evolution”.

Contextual background describes the relevant facts about the topic to be researched, explains
why this study area is important, states the currently trending topics of interest in this field,
describes the specific area within the research idea that will be researched, explains how the
proposed research will add to the stock of knowledge in the field of study, and summarizes the
existing research base in the field as well as identifying the gaps that study proposes to address.

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Suggested steps in framing the contextual background include: the following:

(a) Describe the field to be researched based on the topic.

(b) Justify the importance of the research topic in this discipline.
(c) Identify the currently trending topics in the research topic area.
(d) Describe the topical area within the discipline that the research is based in.
(e) Explain the contribution of new knowledge from this research to the discipline.
(f) Summarize the existing on-going research in the field and identify the gaps that your
study proposes to address.

Cite relevant references to support the above coverage.

Parares (2007) believed that “if a researcher is working within a particular theoretical
framework or line of inquiry, the theory or line of inquiry should be introduced and discussed
early, preferably in the Background. Remember that the theory or line of inquiry selected will
inform the statement of the problem, rationale for the study, questions and hypotheses, selection
of instruments, and choice of methods, ultimately, findings will be discussed in terms of how
they relate to the theory or line of inquiry that undergirds the study.” It is, therefore, in the
background that the researcher can clarify on the meaning of the chosen research topic, why the
topic was chosen, and the possible benefits to be derived from the findings.

Some researchers start writing their background with a quote or story, to capture the readers’
interest. They will then introduce their research topic with answers to questions, such as: What
is it that is required to be known or understood through the investigation? How did the
researcher get interested in the topic? Describe why there is need for the study and review what
is known about the topic as far as it is possible and cite relevant literature that calls for the need
for research in the proposed area or demonstrates the lack of attention to the topic. The
assumptions being made and the concepts being used for the investigation should be explained.
Justify the usefulness of the research by describing the benefits the intended audience or
beneficiaries shall derive from the research results. Is the research worth pursuing? The
background should be concluded with restatement of the research question.

In brief, the Background explains why the research topic is important and useful within the
research discipline and outlines the developments of conceptual, theoretical, historical, and
contextual perspectives from the literature that led to conceiving the current topic on the bases of
the gaps that have been identified. The Background should be organized along the following
steps or each perspective:

(a) Identification of the known issues and facts about the broad area of the topic.
(b) Identification of gaps or missing links that need to be addressed.
(c) Explanation of the need for addressing those gaps.
(d) Describing the rationale and hypothesis for the research.

This approach should provide a general information about the topic and emphasize the main aims
of the research.

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In addition, note that the introduction only contains preliminary data about the research topic
and does not state the purpose of the study while the background clarifies the importance of the
study in detail. The introduction provides an overview of the research topic from a broader
perpective while the background provides a detailed understanding of the topic. The
introduction should also end with the mention of the research questions, aims, and objectives of
the study, while the background follows no such format and only provides essential context to
the study.

Specifically, the background should be written as follows: (a) define the research topic and then
identify the target audience; (b) explain all theories, concepts, terms, and ideas that may feel
unfamiliar to the target audience thoroughly; (c) go through the relevant literature in detail,
taking notes while reading and cite the sources; (d) make sure that the background is focused on
important details, but also appeals to a broader audience; (e) current issues largely originate from
historical events or findings, such that if the research borrows information from a historical
context, add relevant data in the background, and if the research study or methodology is unique
or novel, provide an explanation that helps to understand the research better; (f) to make the
background engaging, build a story around the central theme of the research: (g) do not be
ambiguous and while writing, assume that the reader does not understand any intricate detail
about your research; (h) steer clear from topics that are not related to the key aspects of your
research topic; (i) do not place information without a structure: and (j) make sure that the
background reads in a chronological manner and organize the sub-sections so that it flows well.

1.2 Statement of the Problem

The clarity of the problem statement is an important aspect of the research proposal. Statement
of the Problem is a concise description of the issues that need to be investigated or the
question that needs to be answered. Creswell (1994) defined a problem as “the issue that
exists in the literature, theory, or practice that leads to a need for the study”, and according to
Wiersma (1995), the problem statement “describes the context for the study and it also identifies
the general analysis approach”.

These definitions indicate that the problem statement is more specific than a topic and it limits
the scope of the research problem. It introduces the reader to the focus and importance of the
problem, and orients the reader to the significance of the research, the research objectives and
questions, and the hypothesis to follow.

The statement places the problem identified in a context and provides the framework for
reporting the results by indicating the necessity for the research and explaining how the findings
will solve the problem. It states what will be studied, whether it will be done through
experimental or non-experimental investigation and what the purpose of the findings will be. It
should answer the question: What is to be investigated and why does this research need to be
conducted? In this question, the researcher will be looking for something wrong, something that
needs close attention, or something where existing methods no longer seem to be working and
the reason for the study..

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Many researchers consider formulating a clear, concise, and manageable research problem to be
the most difficult aspect of research. The problem must, in all cases, stand out so that the reader
can easily recognize it. Sometimes, obscure and poorly formulated problems are masked in an
extended discussion. In such a case, reviewers and/or supervisors will have difficulty
recognizing the problem. Answers to the following questions would show that the problem
being investigated is either important or unimportant:

• Is the problem of current interest and is it topical?

• Is the problem likely to continue into the future?
• Will additional findings about the problem have practical applications and theoretical
importance?
• How large, important, influential, or popular is the population affected by the problem?
• Would the research substantially revise or extend existing knowledge or create and
improve an instrument or some utility?
• Would the research findings lead to some useful change in best practice?
• Is there evidence or authoritative opinion from others to support the need for this
research?

Good and effective problem statement should close with a question or questions like the ones
below but which can be formulated in the form of statements:

• Why does this research need to be conducted?

• What is the problem and why is the problem worth any attention?
• Who has the problem and who is the client customer?
• What form can the resolution be?
• What is the scope and limitations (in terms of time, money, resources and technologies)?
• What does the client customer want?

The actual problem statement may comprise of only one sentence, but it is always accompanied
by several paragraphs that help to elaborate and that may include other elements of the research
proposal. Persuasive arguments are often presented as to why the problem is important enough
to study, and even include the opinions of other authoritative sources. Explain how the problem
relates to other research findings with evidence from the review of literature to demonstrate the
scope and depth of the problem. Dramatic and concrete illustrations of the problem should be
given as justification.

The following is an example of Problem Statement taken from the Ph.D. Thesis of Mwanjallolo
(2005) entitled: “Soil Erosion from Major Agricultural Land Use Types and Associated
Pollution Loading in Selected Lake Victoria Micro-Catchments”.

“Lake Victoria has experienced significant degradation due to human activities over the past
decades (LVEMP 2002). The lake receives excessive nutrients from terrestrial and atmospheric
sources. Agriculture activities are presumed to be major cause of the on-going degradation
(Lehman et. al. 1993 and World Bank 1999). In order to determine how best to approach the
restoration of Lake Victoria, it is necessary to understand the relative distribution and
contribution of nutrients and sediments from agricultural lands in the catchment. Equally

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important is the identification of best management practices for nutrient flow control within the
Lake Victoria catchment. Information on the land-use to target the best management practice to
use coupled with adequate policy implementation constitute a key for non-point pollution control
and sustainable resources management within the catchment.”

It should be noted that a research proposal might not be considered acceptable or credible if the
problem has not been clearly identified.

1.3 Objectives

The objectives of M.Sc. or Ph.D. or any other research summarize what is to be achieved by the
research or study. They should be closely related to the Statement of the Problem. The
objectives are the targets and desired outcomes of work to be achieved to find answers to the
problem or issue under investigation. They describe measurable outcomes of activities
undertaken through research to achieve or attain within a certain timeframe. An Objective is a
purpose or expected solution that can be reasonably achieved within the expected timeframe and
with the available resources. The objectives of the research may be to:

• Assess a better.........
• Overcome the difficulty with..........
• Discover the ........
• Understand the causes or effects of .......
• Provide a new interpretations of .......
• Develop a framework for............
• Determine growth rate............

Parares (2007) identified the following key points to be kept in mind when formulating the
objectives: Firstly, “try to incorporate a sentence that begins with ‘The Purpose of this study
is.................’ This will clarity in the mind as to the purpose and it will inform the reader directly
and explicitly”. Secondly, “Clearly identify and define the central concepts or ideas of the
study”. Thirdly, “identify the specific method of inquiry to be used”. Finally, “identify the unit
of analysis in the study.”

Ensure that the objectives of the research (a) cover the different aspects of the problem and its
contributing factors in a coherent manner and in a logical sequence, (b) are clearly phrased in
operational terms specifying exactly what the researcher is going to do, where, and for what
purpose, (c) are realistic considering local conditions where the research is going to take place,
and (d) use action verbs that are specific enough to be evaluated such as to assess, to identify, to
find out, to determine, to compare, to find, to verify, to calculate, to describe , to analyse, to
establish, etc.

A well-worded Main Objective, particularly Specific Objectives, should be Specific (it is with a
single key result), Measureable (it relates to behavior or issue that can be measured), Attainable
(it is realistic and can be done in terms of the available resources), Relevant (it is central to the
problem statement or goals being sought), and Time-bound (should be able to be accomplished

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within the time established for carrying out the research) i.e. make it SMART. The research
objective should be Relevant, Feasible, Logical, Observable, Unequivocal, and Measurable.

1.3.1 General or Main Objective

General, Broad, or Main Objective is a single statement or paragraph that explains what the
research intends to accomplish. It is a broad goal to be achieved and states what the researcher
expects to achieve by the study in general terms. It spells out what the goal of the research is and
should provide a specific and accurate synopsis of the overall purpose of the purposes. The
broad objective should foreshadow the hypotheses to be tested or the questions to be raised and
the significance of the study.

An example of General Objective from Mwajalolo (2005) is “To improve environmental quality
through identification of appropriate pollution mitigative measures to target hot spots in the
Lake Victoria Basin”.

1.3.2 Specific Objectives

To discern what should exactly be achieved, the general objective is broken down into smaller,
logically connected parts which are referred to as Specific Objectives. Specific Objectives
systematically address the various aspects of the problem as defined under “Statement of the
Problem”, and the key factors that are assumed to influence or cause the problem. The Specific
Objectives should specify what should be done in the research, where, and for what purpose.

The Specific Objectives help to (a) focus the study (narrow it down to essentials), (b) avoid the
collection of data which may not be strictly necessary for understanding and solving the
problem that were identified, and (c) organize the study in clearly defined parts or phases. It
should be noted that properly formulated specific objectives will facilitate the development of
the research methodology and will help to orient the collection, analysis, interpretation, and
utilization of data. Each one must meet the SMART criteria.

The examples of specific objectives from the Thesis of Mwajalolo’s (2005) are as follows:

a) To identify the land use type that loses most soil and nutrients in Kibale and Kisoma
micro-catchments.
b) To identify ‘hot spot’ areas for sediments and nutrients in Kibale micro-catchment.
c) To evaluate the effectiveness of contour bunds on controlling soil and water losses
from different land-use types of Kibale and Kisoma micro-catchments.

The first specific objective should focus on quantifying or specifying the problem as in this case.
This is necessary in many studies especially when a problem has been defined properly in the
Statement of the Problem but not quantified for which subsequently the major causes have to be
identified.

1.4 Research Question and /or Hypothesis

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Research Questions are questions or issues that need to be investigated for answers by carrying
out the proposed study. They are statements that identify the phenomenon to be studied. A well-
formulated research question is an important task in the research process because the question
becomes the driving force behind the research from beginning to end.

A research question is a statement that identifies the phenomenon to be studied. It is an

organizing element for the topic under study. It focuses the investigation into a narrow topic
area and guides every aspect of the research project including the literature review, the design of
the study, data collection, data analysis, interpretation of results and even the direction of the
discussion. The question responds to the inquiry as what the researcher wants to know most and
first about the topic.

A research question is always stated in question form. It may start out being rather general and
becomes focused and refined later on after the researcher has become more familiar with the
topic. The research questions can also evolve into hypothesis (or focused research questions).
The findings and the conclusions drawn should address the research questions. In the end the
success of the research depends on how well the research answers the questions. It is wise to
focus the research so that it can be undertaken easily by limiting the number of questions. The
researcher should not try to do too much in one study, although it is possible and quite common
to address several related research questions in one study. It is important to choose questions
along the following criteria.

a) They must not be too broad or general (although they can be made more focused later);
b) They should not have already been answered by previous research (although application
with variation is acceptable).
c) They ought to be questions that need to be answered where the answers are useful and
beneficial to people;
d) They must be questions that can be answered through empirical means.

Sometimes it is important for the researcher to decide on whether to use research questions or
hypothesis. Deciding whether to use questions or hypotheses depends on factors such as the
purpose of the study, the nature of the design and methodology, and the audience of the research
(at times even the taste and preference of supervisors)

Research Questions are relevant to normative or census type research. They are most often used
in qualitative inquiry, although their use in quantitative inquiry is becoming more prominent. A
research question normally poses a relationship between two or more variables but phrases the
relationship as a question. As stated earlier, it identifies the phenomenon to be studied.

A Hypothesis, on the other hand, is an educated guess or a tentative answer to the research
question. It is a focused statement about an expected relationship between one or more factors
and the problem under study that can be tested. A hypothesis represents a declarative statement
of the relations between two or more variables.

It is a specific, testable prediction about what you expect to happen in the study. For example, an
experiment designed to look at the relationship between sleep habits and better performance in

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class might have a hypothesis that states, "We predict that students with adequate sleep time will
perform significantly better." Unless your study is exploratory in nature, your hypothesis should
always explain what you expect to happen during the course of your research. A hypothesis
makes a specific prediction about a specified set of circumstances, and it is a speculative guess
that has yet to be tested.

Several types of hypotheses are often used in research, but the following are the most common:

a) Null Hypothesis: A null hypothesis is a negative statement which indicates no relationship or

correlation between two variables. For the objective “to determine whether there is a significant
relationship between the extent of mass media exposure and attitude towards land reform among
rural farmers”, the Null Hypothesis is “There is no significant relationship between the extent of
mass media exposure and attitude towards land reform among rural farmers.”
b) Alternative Hypothesis or Research Hypothesis: This is the positive form of the null
hypothesis. For the same objective, the hypothesis is: “There is a significant relationship
between mass media exposure and attitude towards land reform among rural farmers”.

Here are samples of null hypotheses from the Ph.D. Thesis of Mwajalolo (2005):

a) “There are no significant differences of soil and nutrient loss between marginally
productive annual land use types with less protective cover and other agricultural land
use types”.
b) “There is no significant difference in sediment and nutrient export coefficients of the
different land-use types of Kibale Micro-Catchment of the Lake Victoria Basin”.
c) “There is no significant effect of contour bunds on soil and nutrient losses from
agricultural land-use types in Kibale Micro-Catchment”.

1.5 Justification

Justification is the rationale for the research or the reason why the research is being conducted.
A doctoral student will obviously not be involved in conducting research on a particular topic
unless there is a practical and/or scientific relevance or good and justifiable reasons for doing so.
There must be some strong motivating factors (Kabumba 2014 and Orach-Meza 2016). These
reasons must be spelt out to convince the reader about the importance of the research. There are
a few best-practices criteria that can be used to assess the justification for research. These
include whether (a) the statement of the problem and the research questions are well-posed in a
form that can lead to a research design and analysis with scientific credibility, (b) the research
question requires data that are accessible or attainable at a reasonable cost or effort, (c) the
research question is posed in a way that can explain variability, different outcomes under
different conditions, (d) the units of analysis or observation have been clearly identified, (e) the
question posed is in a way that more than one result is possible, i.e. the working hypothesis can
be refuted, and (f) the research extend the bounds of understanding of the phenomena being
investigated, or the research extend, elaborate, or fill in gaps in the existing knowledge.

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Pajares (2009) considers that justifiable research should, of necessity, relate the research to two
potential audiences: “practitioners and professional peers”. That is why it is necessary to
indicate how the research will refine, revise, or extend existing knowledge in the area under
investigation relevant to the beneficiaries. He also feels the researcher should “think about
implications – how results of the study may affect scholarly research, theory, practice,
educational interventions, curricula, and policy”.

1.6 Significance

In research, significance denotes why the researcher is doing the research, what he/she is
studying, and what he/she hopes to achieve by completing the study. It is where the researcher
tries to convince an audience that the research is worth doing. It establishes why the audience
should want to read the proposal. It is also the part where the researcher explains how the study
would be beneficial to specific people or parts of the society, and how the beneficiaries could use
it.

A good significance for research should, according to Howie (2015) and Regoniel (2015)
provide satisfactory answers to the following questions:

• .Why is this research important?

• .What are the implications of doing it?
• .How does it link to other knowledge?
• .How does it stand to inform Policy making?
• .Why is it important to the understanding of the world?
• .What new perspective will it bring to the topic?
• .What use will the final research paper have for others in this field or in the general
public?
• .Who might you decide to share the findings with?

1.7 Scope

The scope, in M.Sc. or Ph.D. research, refers to the contextual, spatial, temporal, and logistical
range within which the research should operate or be conducted. Contents including the target
population, equipment, staffing, and time need to be scoped.

The first question facing a researcher in exploring the possibilities of carrying out investigations
on a selected research topic is how broad and encompassing the subject matter should be. In
the identification and choice of a topic, the researcher should have chosen a topic that is neither
to broad nor too narrow. The statement of the problem, the research objectives, and the research
questions should have delimited the scope already.

Second, the location where the research will be conducted and the space it will cover should be
clearly defined. In the case of the pollution loading research, a small section of Kibale District
was selected and the results were generalized for the whole of Lake Victoria since the findings
were generalizable.

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Third, the period within which the research can be performed and completed should be
established. How long it will run: for a week, a month, a year, ten years, etc., should be defined.
The period the object to be researched covers should also be specified; e.g. studying educational
system during the last ten years.

Finally, the research instruments (e.g. survey equipment, scales, interview protocols, observation
grids, etc.) and other logistics including the required technology and experts should all be
determined. The needed materials, the amount of resources required, and who the experts will be
for the research being proposed should be clearly defined.

1.8 Conceptual Framework

Concept is an idea of what something is or an intellectual representation of some aspect of

reality that is derived from observation made from phenomena; while Framework, according to
the Free Dictionary (2016), is a fundamental structure of concepts, values, and practices that
constitutes a way of viewing reality or “the abstract logical structure of meaning” that guide the
development of research. Framework is based on the identification of key concepts and the
relationships among those concepts.

A Conceptual Framework, as defined by Miles et al (1994), Khan (2011), and Regoniel (2016),
is “a visual or written product, one that explains either graphically or in narrative form, the main
things to be studied, i.e. the key factors, concepts, or variables, and the presumed relationships
among them”. It is, therefore, a type of intermediate theory that attempts to connect to all
aspects of an inquiry such as statement of the problem, objectives, research questions, literature
review, methodology, data collection and analysis. It consists of concepts that are placed within
logical and sequential design based on specific concepts and propositions derived from empirical
observation and intuition. It is used in research to outline possible courses of action or to present
a preferred approach to an idea or thought. It is also used to clarify concepts and propose
relationships among the concepts in a study and provides a context for interpreting the study
findings or explains observations.

Predictor, Stimulus,
Antecedent,
Criterion Response,
Manipulated, Moderating and Consequences,
Treatment Mediating outcome, effect
Variables

Independent Variables Dependent Variables

(Presumed Cause) (Presumed Effect)
Relationships

Confounding
Control and Intervening
Variables Variables
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Fig. 3: Fundamentals of Conceptual Framework

(Source: Miles et al. 1994 but modified)

In brief, a conceptual framework explains, either graphically or in narrative form the key factors,
constructs, or variables to be studied and the presumed relationships among them.

1.9 Definition of Terms

The proposal must be understandable to a general reader who may not know much about the
proposed research. This element gives the definition of important terms and concepts that are
usually stated in the text of the proposal. Subject-specific and technical terms must be defined.
Words that have different meanings in the context of the research from traditionally accepted
meanings, the terms should be defined. Reference should be made to authoritative sources when
defining.

The terms being defined should be arranged alphabetically and the definition should be stated in
complete sentences.

1.10 Structure of Presentation

Contribution of subsequent chapters to the overall aim of the research is covered in the structure.
The presentation in this Chapter started with background information on what is to be
investigated before defining the issues to be addressed in the problem statement. It included the
need for preliminary review of relevant literature on the uniqueness of the topic besides outlining
the objectives, the research questions and hypothesis, justification, significance, scope and the
fundamentals of conceptual framework. Definition of terms was included last.

CONCLUDING REMARKS

This Chapter on Introduction provides the necessary information to the reader on the topic of the
proposal. It is a mental road map that must answer for the reader the following questions about
the topic in research Proposal/Dissertation:

• What is/was being studied? (Clear statement of the Problem)

• Why is/was the topic important to investigate? (Clear description of the Purpose)
• What is known and not known about this topic? (Citation of relevant Literature)
• How will the research advance knowledge? (Contribution to Stock of Knowledge)

The presentation focused on the formulation of research idea and identification and choice of
research topic before developing and compiling the elements of the Introduction.

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