RESEARCH

NTA LEVEL 6 (CMT & NMT)

Masanja Shimbi, MD
 RESEARCH PROPOSAL
Outlines
• Define research proposal
• List components of a research proposal
• Describe different components of research proposal
 Research Proposals
• Research Proposal: A document written by a scientist that
describes in details the program for a proposed scientific
investigation.
• It can be envisaged as the process (step by step guidelines) of
planning and giving structure to the prospective research, with
the final aim of increasing the validity of the research.
• It is a written submission to spell out the nature of the design
and the means and strategies that are going to be used in a
logic format.
 Research Proposals
• A plan developed by researchers to guide how the research will be
conducted.
• A written plan identifying the major elements of a study, such as the
problem, purpose, and framework, and outlining the methods to
conduct the study; a formal way to communicate ideas about a
proposed study to receive approval to conduct the study and to seek
funding
• A document communicating a research problem, its significance,
proposed procedures for solving the problem, and, when funding is
sought, how much the study will cost.
 Research Proposals
• All research starts from an interest and a genuine curiosity
about something in the world around you.
• A proposal is not the same as finished research.
• Proposals are flexible and not ‘written in stone’.
 Importance of a Research proposal
• Provides a defined topic scope of the research
• Helps you to understand further how to address the technical
problems of writing research.
• The proposal helps researcher to plan his research in advance
• The proposal helps researchers to communicate the research
intention to other people
• The research proposal helps to mobilize findings from different
people and organization.
 Components of Research Proposal
• Introduction
• Background to the study
• Problem statement
• Rationale of the study
• Research question/hypothesis
• Research objectives
• Research variables
Components of Research Proposal
• Literature Review
• Research Methodology
• Study design
• Study area
• Study population
• Sampling procedure
• Sample size
• Data collection technique
• Data processing and analysis
• Dissemination of results
• Ethical considerations
• Study limitation
 Background to the study
• Background to the study serves a the basis of introducing the
problem to the reader
• Primary goal of this section is to catch the attention and interest of
the reader by giving a historical overview of the phenomenon
under study
• Background therefore involves reviewing literature which is related
to the topic under investigation as a way of establishing that a
relationship exists between the problem being investigate dand the
larger area of concern to people
• The literature reviewed normally covers global, regional and local
persipectives
 Problem Statement
• The first step in the development of research proposal is to
state the research problem
• A focal point of your research in precise and clear statement.
• Definition of the problem is essential in order to give clarity and
focus of the research
 Problem Statement
• Is essential in the planning of the research (e.g. research
objectives, hypothesis, methodology, work plan and budget)
• Is an integral part in selecting a research topic
• Helps in selection of the design and method to answer the
question
• It gives focus and importance of the problem and need for
research
 Problem statement
• This is very important for your research proposal.
• A poor problem statement will dilute or mislead your whole
study findings.
• Therefore, it is critical to thoroughly analyse and state your
problem clearly.
 Problem statement
• A clear problem statement makes it easier to find information
and reports of similar studies from which your own study design
can benefit.
• It also enables you to systematically point out the justification
for undertaking the proposed research, and what you hope to
achieve with the study results.
 Rationale of the study
• The rationale specifies the reasons for conducting the research
in light of current knowledge.
• It should include a well-documented statement of the
need/problem that is the basis of the study, the cause of this
problem and its possible solutions.
• Why is it important to fill the gap knowledge you have identified
in your research topic
• State how your research will address the gaps;
• State how the findings will be used to improve knowledge,
professional practices, policy or research practices.
 Rationale of the study
• It should answer the question of why and what: why the
research needs to be done and what will be its relevance.
• The magnitude, frequency, affected geographical areas, ethnic
and gender considerations of the problem and scientific
evidence in literature.
 Research question
• Is simply a question that identifies the phenomenon, situation or
certain characteristics to be studied.
• Research question may be defined as a question(s) that a
researcher intends to answer through doing a research.
 Characteristics of a good research
question
• A good question
• can be answered by a research study
• get adequate cases/subjects to answer the question
• is affordable in time and money
• is practical and feasible
• is interesting to the researcher
• can provide new answers or refute previous answers or
extends previous studies
• relevant and scientific sound
• Not a NO or YES question
 Research question examples
• What is the % of women aged 15-49 who use traditional planning methods in
region X?
• What is the % of women aged 15-49 who use modern planning methods in
region X?
• Does educational level of women influence use of modern planning
methods?
• What resources are helpful to students studying qualitative
methods?
• What is the impact of marriage/parenthood on HIV and AIDS
pandemic?
• Formulate research question from each of the following
 Malaria
 Breastfeeding
 Research Hypothesis
• Statement/a specific prediction about the nature and expected
direction of the relationship between two or more variables that
permit empirical testing in a selected population
• It is ideally a prediction of an expected relationship between one
or more factors and the problem under study which can be
tested.
• Are appropriate for field intervention or evaluation studies
• Exploratory studies do not normally require hypothesis
because they generally do not test relationships between
variables.
 Research Hypothesis
• Two types of research hypothesis are Null hypothesis and
Alternative hypothesis
• A null hypothesis is the one that is stated in negation form. It
indicates that there is no relationship between variables. It is
donated as (Ho).
• Example: Improved access and use of insecticide treated nets
will have no effect in the reduction of infant mortality in district A
within 6 years and if there is any demonstrable effect it will have
occurred by chance.
 Research Hypothesis
• Alternative hypothesis (working hypothesis) is stated to indicate
the actual expectation.
• It is donated as (H1).
 Difference between Null and Alternative Hypothesis

• The null hypothesis denies the existence of any significant

differences between any compared values and stresses that
even when such differences are observed, they have occurred
by chance.
• The alternative hypothesis is formulated in a way as to reject
the null hypothesis. It states that there is a significant cause of
the observed differences between compared values and that
the difference did not happen by chance.
 Formulating Research hypothesis
• Suggest the type of data that must be conducted in order to
measure the relationship among the variables.
• Indicate the major independent and dependent variables of
interest.
• A well-written hypothesis focuses the attention of the researcher
on specific variables
• Put distinction between independent and dependent variables.
 Formulating Research hypothesis
• An independent variable causes, determines, or influences the
dependent variable.
• Whenever the independent variable changes, the dependent
variable changes
 Formulating Research hypothesis
• The dependent variable depends on the independent variables
• The hypothesis needs to be statistically tested for significance
so as to prove the strength of association or to allow a research
reject/ accept the temporary phrase.
 Formulating Research hypothesis
• For Example: Those students who learn research methods
through conducting primary research will achieve higher grades
than those who learn through lectures and tutorials.
• To assess association( relationship) between educational level
of women and use of modern planning methods in region X.
• This hypotheses can then be tested.
 Formulating Research hypothesis
• Hypotheses can direct later research activities since they can
help determine the nature of the research and methods applied.
• Well-thought-out and focused research question leads directly
into your hypotheses
• What predictions would you make about the phenomenon you
are examining? This will be the foundation of your research
proposal.
 Research Objectives
• A research objective is statement that indicates what a research
intend to achieve
• Research studies should include a statement of
• Broad objective
• Specific objectives
 Why Should Research Objectives be
Developed?
• To clarify and focus your intentions /focus the study (narrowing
it down to essentials)
• To have a basis for measuring your achievements at the end of
the study
• To avoid the collection of data which are not strictly necessary
for understanding and solving the problem you have identified.
• To organise the study in clearly defined parts or phases.
• To facilitate the development of your research methodology and
orient the collection, analysis, interpretation and utilisation of
data.
 Characteristics of Research
Objectives
• Objectives must be SMART.
• S = Specific: Specifying exactly what you are going to do,
where, and for what purpose.
• M= Measurable: Can be evaluated.
• A = Action oriented.
• R = Realistic: Considering local conditions can be done.
• T = Time bound: When exactly will the activities be carried out?
 Broad Objectives
• Objectives should be closely related to the statement of the
problem.
• For example, if the problem identified is low utilisation of child
welfare clinics, then the general/broad objective of the study
could be to identify the reasons for this low utilisation, in order
to find solutions.
 Formulating Specific Objectives
• Specific objectives should systematically address the various
aspects of the problem as defined under 'Statement of the
Problem’ and the key factors that are assumed to influence or
cause the problem.
• They should specify what you will do in your study, where and for
what purpose.
• The first specific objective usually focuses on quantifying or
specifying the problem.
• An objective indicating how the results will be used should be
included in every operational study, either as part of the general
objective or as a specific objective.
 How to State Objectives
• It should 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.
 How to state Objectives
• Are realistic considering local conditions.
• Use action verbs that are specific enough to be evaluated.
• Examples of action verbs are, to determine, to reduce, to
compare, to verify, to calculate, to describe, and to
establish.
 How to state Objectives
• Avoid the use of vague non-action verbs such as, to appreciate,
to understand, or to study.
• Example of a Broad Objective: To reduce infant mortality by
30 percent within a period of six years by improving access and
use of insecticide impregnated bed nets in district A.
 Examples Specific objectives
• Specific objectives from the above broad objectives
• To increase availability of insecticide impregnated bed nets at
retailer shops and MCH clinics to 100 percent within 3 years in
district A.
• To increase the proportion of households with Insecticide
Treated Net (ITN) by 60 percent within 3 years in district A
• To increase utilization of insecticide impregnated bed nets at
household level to 80 percent within 4 years in district A
 Examples Specific objectives
• To ensure that 80 percent of under five children sleeping under
ITN within 4 years in district A
• To determine reduction of under-five mortality by 30 percent at
the end of six years of the intervention in district A
• Note: Keep in mind that when the project is evaluated, the
results will be compared to the objectives.
• If the objectives have not been spelled out clearly, the project
cannot be evaluated
 Research Variables
• Factor/characteristics of interest that a researcher would like to
handle, observe, investigate or manipulate in the research so as
to establish the relationship.
 Types of Research variables
• Dependent variables: Variables that researchers measure in
order to establish the change or effect created on them.
• A dependent variable waits for the effect and an independent
variable will create on it.
• Independent variable: This is a variable that you can handle or
manipulate to ascertain whether or not the results you obtain
are due to it.
• Extraneous variables or confounding variables: Its effect is not
needed in the study.
Direct Relationships between Independent and
Dependent Variables
LITERATURE REVIEW
 Literature Review
• A literature review provides a helpful guide to a particular topic.
• It can be used as a foundation and as support for a new insight
that you contribute.
• The focus of a literature review is to summarize and synthesize
the arguments and ideas of others without adding new
contributions.
• A researcher needs to find out what has been done already, and
build on that foundation, because scientific research is
cumulative.
 Literature review
• This involves determining what has been done and what still
needs to be done, and examining what books and professional
journals have already revealed in your area or country, or in
other areas/countries with similar problems/context.
 Importance of literature review
• It prevents you from duplicating work that has been done
before.
• It helps you to find out what others have learned and reported
on the problem you want to study.
• This may assist you in refining your statement of the problem.
• It helps you to become more familiar with the various research
approaches that might be used in your study.
• It should provide you with convincing arguments for why your
particular research project is needed.
 Sources of Information
• Individuals, groups, and organizations
• Published information (books, articles, indexes, abstract
journals).
• Unpublished information (other research proposals in related
fields, reports, records, computer databases)
• Different sources of information can be consulted and reviewed
at various levels of the administrative system within your
country and internationally
 Examples of Resources
• 1. Community and district or regional levels
• Opinions, beliefs of key informants (through interviews), in
addition to written sources
• Dispensary, health centre (HC) and hospital based data from
routine HMIS registers
• Clinical observations, reports of critical incidents
• Local surveys, annual service reports
• Statistics issued at ward, district and levels
• Newspapers, books, articles
 Examples of Resources
• 2. National level
• Articles from journals, books identified during literature
searches at university and other national libraries,
• Special collections, (e.g., newspapers, archival records,
library)
• Documentation, reports and raw data from MoHSW, central
statistical offices, non-governmental organisations (e.g.,
annual health sector indicator profile)
 Examples of Resources
• 3. International level
• Information from bilateral and multilateral organisations (e.g.
UNAIDS, USAID, UNICEF, WHO).
• Computerized searches for international literature (from
national library or international institutions).
Where Do You Put Which Information?
• Some literature can be used to describe the local context
(district, region, country) of a problem.
• All facts mentioned need a source, except some general and
well known statements.
• For the description of the selected problem, use all available
raw or published literature.
Where Do You Put Which Information?
• Literature from other countries or regions may be used to
illustrate your point.
• If these sources are many, you may have a separate section on
international literature.
• More complex studies using theoretical models should have a
separate section discussing these models, which could come
after the section of statement of the problem.
Where Do You Put Which Information?
• When drafting the background section or the statement of the
problem, usually do not describe sources one by one. Instead,
write a coherent discussion in your own words, using all
relevant literature linked to each other.
• It is possible to cite several sources for one statement.
• Reference all the literature referred to in your review.
• At the end of your paper, list your references in order.
Where Do You Put Which Information?
• In research proposals, the references come before the
annexes.
• Select one style of references (such as Vancouver, Harvard,
etc.) and use it consistently for citations and reference lists in
your proposal.
 Bias in Literature
• Bias: A distortion of the available information in such a way that
it reflects opinions or conclusions which do not represent the
real situation.
• Understanding the various types of bias helps to be critical of
the existing literature.
• If you have reservations about certain references or if you find
conflicting opinions in the literature, then discuss these openly
and critically.
• Such a critical attitude may help you avoid biases in your study.
 Bias in Literature
• Common types of bias in literature include
• Playing down controversies and differences in one's own
study results.
• Restricting references to those that support the point of view
of the author
• Drawing far reaching conclusions from preliminary or shaky
research results or making sweeping generalizations from
just one case or small study.
RESEARCH METHODOLOGY
RESEARCH METHODOLOGY
• Research Methodology
• Study design
• Study area
• Study population
• Sampling procedure
• Sample size
• Data collection technique
• Data processing and analysis
• Dissemination of results
• Ethical considerations
• Study limitation
 Methodology
• An art and science of conducting research such that the data,
findings and conclusion are credible and acceptable.
• It is the guiding theory or discipline and analysis of how
research should proceed.
 Research Design
• Research design is the strategy, the plan, and the structure of
conducting a research project.
• The research design is a comprehensive master plan of the
research study to be undertaken, giving a general statement of
the methods to be used.
• The function of a research design is to ensure that requisite
data in accordance with the problem at hand is collected
accurately and economically
 Research Design
• Research design tells you where you want to carry out your
study and a particular design.
• Indicate if your research design is a case study, Survey
research, Exploratory, Descriptive or causal research design,
Cross –sectional or longitudinal research design.
• Also indicate if your study is qualitative or quantitative design.
 Research Design
• For any design, adopted reasons for selecting that approach
must be spelt out.
• In selecting the design of the study, consider the type of
information you want to obtain and devise strategies to enable
you to obtain that information.
 Research Design
• The selection of an appropriate research design depends on:
• The state of knowledge about the problem
• The nature of the problem and its environment
• The resources available for the research
• The ingenuity and creativity of the researcher
 Types of research designs
 Quantitative Research Designs
• Exploratory design: The exploratory research design involves
getting a feel of the situation and emphasizes a discovery of ideas
and possible insights that may help in identifying areas of further
rigorous study
• Descriptive design
 This type of designs is employed to facilitate description and
inference building about population parameters and the
relationship among two or more variables.
 Description or inference could be quantitative or qualitative in
nature.
 Descriptive design only describes the phenomenon under
study attempting to establish a relationship between factors.
 It is the most commonly design used category of research
design.
 Types of research designs
• Explanatory design
 Explanatory design is a very structured in nature and sometime
referred to as analytical design
 It aimed at identifying any causal links between the factors or
variables that pertain to the research problem

• Experimental designs
 Experimental design is concerned with causal- and- effect
relationships
 Causal- and effect relationship occurs when one thing or event
makes some other thing or event to happen
 Experimental designs involves manipulation or control of the
independent variable (cause) and measurement of the dependent
variables (effect)
 Types of research designs
• Non-experimental designs
 Non-experimental designs do not involve manipulation of
various variables
 Examples are cross-sectional descriptive studies,
analytical studies, and longitudinal studies.
 Types of research designs
Qualitative Research Designs
• Phenomenological design: focuses on the lived experiences. It
usually describe the meaning that experiences hold for each
participant.
• Ethnographic design: involve studies of analysis of data about
the life ways or particular pattern of a culture (or sub-culture)
• Grounded theory: design that focuses on theory
construction/theory development.
• Historical study designs: Studies geared at analysing the data
from the past. Seeks to discover the events of the past and relate
them to what is happening to the present and to the future.
• Case study: Designs focusing into looking at in-depth examination
of people or groups of people, institutions, or organizations.
 Selecting a Research Design
• Research questions or objectives: quantitative research
questions or objectives are better addressed by quantitative
research designs ; whereas qualitative research questions are
better addressed by qualitative research designs ( e.g. case
study)
• Available resources: when resources are limited, descriptive
studies or explanatory research are suitable research designs
• Skills of the researcher: researchers with quantitative skills
tend to prefer quantitative research designs to qualitative
designs.
 Research setting (place of study)

 The research setting area is the location where a study is conducted.

 This denotes a place where study participants are located or where data
are collected by researchers
 Research settings are of three types:
o Natural research settings (field settings): an uncontrolled, real-life
situation or environment( e.g. village)
o Partially controlled research settings: environments that the
researcher manipulates or modifies in some way
o Highly controlled research setting: artificially constructed
environment developed for the sole purpose of conducting research
(e.g. laboratory).
SAMPLE AND SAMPLING
PROCEDURE
 Sample and sampling procedure
• Sample: In research, a sample is a representative part of the
population to which the research findings will be inferred to (the
study population).

• Sampling: Is thus a process or technique of choosing a sub-

group from a population to participate in study.
It is the process of selecting a sample out of the study
population.

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Definitions of Terms Related Sampling

Population
 Is a particular group of people, organizations, events
behaviours or other elements that are the focus of a
research
Target population
 Is the entire set of individuals or elements who meet the
sampling criteria
Accessible population
 is the portion of the target population to which the
researchers have reasonable access
 Definitions of Terms Related Sampling

Elements (sampling units)

 Elements are individual units of the population and sample.
 An element can be a person, an organization, event,
behaviour, or any other single unit of study.
 When elements are persons, they are usually referred to as
subjects or research participants or informants
Definitions of Terms Related Sampling

Sampling frame
 Usually denote a complete list of all the elements in a population who
meet the sampling criteria.
Sample
 Denotes a segment of population or a selected group of people or
elements for inclusion in a study
 Probability sample: a sample that has been selected using random
selection so that each unit in the population has a known chance of
being selected. It is generally assumed to be a representative sample
for the population
 Non-probability sample: a sample that has not been selected using a
random selection method. Essentially this implies that some units in the
population are more likely to be selected than others
Definitions of Terms Related Sampling
Sampling criteria
 Sampling criteria (eligibility criteria) include a list of characteristics
essential for membership or eligibility in the target population
 The sampling criteria determine the target population, and the
sample is selected from the accessible population within the target
population
 A research may have both inclusion and exclusion sampling criteria:
o Inclusion sampling criteria: are characteristics that a subject or
element must possess to be part of the target population. Example
inclusion sampling criteria may be the ability to read, to write
responses
o Exclusion sampling criteria: are characteristics that can cause a
person or element to be excluded from the target population.
Example exclusion criteria inability to read or write.
Definitions of Terms Related Sampling

Sampling plan
 Is a plan that describes the process and sampling techniques
(methods) for selecting a sample from sampling frame.
 Sampling process is important to researcher and research process
for the following two major reasons:
 It help to obtain sample from large population when the entire
population members cannot be included in the research
 It helps to use the limited research resources effectively to obtain
adequate information by using sample rather than entire
population.
 SAMPLING PROCEDURES
• Sampling techniques refers to the specific method, design,
approach, or strategy that a researcher decides to use to select a
sample from the larger population.
There are two mainly types of sampling procedure:
• Probability Sampling In which every unit in the population has
equal or at least a known chance of being selected in the sample.
• Non Probability Sampling which is used in some situations,
where the population may not be well defined or in those situations
in which there may not be great interest in drawing inferences from
the sample to the population.

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 Probability sampling techniques

• Simple random sampling technique

Every member of the population has an equal chance of
being selected.
It used when the population is small and all of its members
are known.
• Systematic random sampling technique
The process involves selecting every individual on the list,
using a starting point selected randomly.
Used when an ordered list of all members of the population
is available.
The interval is determined by dividing the study population to
 Probability sampling techniques
• Stratified sampling technique
In this technique, the population is categorised into strata or
layers
Used when the researcher knows some of the variables in
the population are critical to achieving representativeness.
Variables commonly used for stratification are age, gender,
ethnicity, socioeconomic status, geographical region, type of
institution, type of care, care provider, and site of care.
Pre-determined size is then selected from each group using
either Simple or Systematic random sampling
 Probability sampling techniques
• Cluster Sampling:
Cluster sampling involves grouping the population and then
selecting the groups or the clusters rather than individual
elements for inclusion in the sample.
• Multi-stage Sampling:
This technique is meant for big inquiries extending to a
considerably large geographical area like an entire country.
Under multi-stage sampling the first stage may be to select
large primary sampling units such as regions, then districts,
then towns and finally certain families within towns.
Thus sampling procedure is carried out in phases and may
involve more than one sampling method

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 Non-Probability Sampling techniques
• Purposeful sampling
• Extreme case sampling
• Maximum variation sampling
• Homogeneous sampling
• Critical case sampling
• Snowball or chain sampling

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 Sample Size Determination

 Sample size in in study varies depending on a number of factors,

which include the following:
 Nature of the study: qualitative studies tend to have small sample size
than quantitative research, which require a large sample.
 Number of variables: the more variables the large the sample
 Analysis techniques: quantitative analysis require large sample size
than qualitative analysis
 Nature topic: If the topic of your study is clear and the participants can
easily discuss it, fewer individuals are needed to obtain the essential
data. If the topic is difficult to define and awkward for people to discuss,
you will probably need a larger number of participants or informants to
 Sample Size Determination
• Sample determine size determination in quantitative studies can
be done by the following common approaches:
 Using a census for small populations: use the entire population as the
sample.
 Using a sample size of a similar study: use the same sample size as
those of studies similar to the one a researcher plan to do.
 Using published tables: rely on published tables which provide the
sample size for a given set of criteria; sample of these table are available
on the internet
 Using formulas to calculate a sample size: use formula to calculate
sample size.
 Sample Size Determination

• Sample size will be calculated using the Cochran

formula.

N= Z2 x P (1-P)

E2
 Sample Size Determination
Where;

N= required sample size

Z= reliability coefficient at 95% confidence interval (standard value

of 1.96)

P= proportion of population with characteristics of interest (from a

previous study)

E= margin of error at 5% (standard value of 0.05)

 Sample Size Determination
• Solvin’s formula if the population size is known
n= N/(1+Ne2)
Where
n= sample size
N=population size of problem of interest
e=margin of error
DATA COLLECTION
TECHNIQUES
 Definitions
• Data collection: Is the process of gathering and
measuring information on target variables in an
established system which then enables one to answer
relevant questions and evaluate outcomes.
• Data collection techniques: Refer to a variety of
methods which are used to gather information for the
study.

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 Data collection techniques
Written Questionnaire
• A questionnaire is a form containing a set of questions
submitted to people to gain statically information.
• A written questionnaire is a data collection method in
which written questions are presented that are to be
answered by the respondents in written form.
• The questions can be either open-ended or closed
• Self-administered questionnaire, can be administered by:
Mail
Gathering respondents in one place
Hand-delivering questionnaires to respondents and
collecting them later. 87
 Data collection techniques
Written Questionnaire
• Advantages:
Low cost when study is large
Free from interviewer bias
Respondents have adequate time to give out their
answers
Useful for Respondents not easily approachable
Useful in large studies
Permits anonymity and may result in more honest
responses.
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 Data collection techniques
Written Questionnaire
• Limitations:
Low rate of return of the duly filled in questionnaires
Bias due to non-response is undetermined
Used only when respondents are educated and cooperating
Control over questionnaire may be lost
Not flexible once the questionnaire has been dispatched out
Ambiguous replies or omissions creating difficult in
interpretation
Slowest method of all when mailing is used.
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 Data collection techniques
Interview
• This is a data-collection technique that involves oral questioning of
respondents, either individually or as a group.
• Interview is of three types:
Structured: fixed number of questions and limited choice of
answers.
Semi-structured: few questions as guidelines, other questions
added as necessary
Unstructured: No fixed questions at all, the researcher
determines the questions after immersing in the field for some
time.
• Can be administered by:
Face-to-face 90
 Data collection techniques
Interview
• Advantages:
Detailed information can be obtained.
Interviewer could overcome resistance of the respondent, if
any.
Provides flexibility to the interviewer to restructure, clarify, or
add probe questions.
Observation can also be applied during interview.
Is suitable for use with both literates and illiterates.
Has higher response rate than written questionnaires.
The interviewer can collect supplementary information about
the respondent’s personal characteristics and environment. 91
 Data collection techniques
Interview
• Limitations:
 It is very expensive and time consuming especially when the
sample is large.
 Chances of Interviewer as well as interviewee’s bias are high.
 People with certain high level positions like officials or
executives may not be easily approachable under this method
and to that extent the data may prove inadequate.
 Creating effective rapport with the interviewee may be a difficult.
 Some subjects may demand incentives during data collection
process.
 There may be a language barrier between an interviewer and
interviewee.
92
 Data collection techniques
Observation
• This technique involves systematically selecting, watching and
recording behavior and characteristics of living beings, objects
or phenomena.
• It can be undertaken in different ways:
 Participant observation: The observer takes part in the situation s/he
observes.
 Non-participant observation: The observer watches the situation, openly or
concealed, but does not participate.
• It becomes a scientific tool and method of data collection for
the researcher when:
 It serves a formulated research purpose.
 Is systematically planned and recorded.
93
 Is subjected to checks and controls on validity and reliability.
 Data collection techniques
Observation
• Advantages:
Subjective bias is eliminated, if observation is accurately done.
The information relates to what is currently happening.
Not complicated by either past behavior or future intentions or
attitudes.
Independent of respondent’s willingness to respond and hence
less demanding on active cooperation on the part of the
respondents.
Suitable in studies which deal with subjects who are not capable
of giving verbal reports of their feelings
94
 Data collection techniques
Observation
• Limitations:
It is an expensive method
Information provided by this method is very limited
Sometimes unforeseen events may interfere with the
observational task
Some subjects are rarely accessible to direct
observation
If subjects know that they are being observed, they
may change their behavior

95
 Data collection techniques
Reviewing documents
• This techniques involves reviewing documents obtained from
sources such as:
Health facilities
HIMS
Census
Unpublished reports
Published reports

96
 Data collection techniques
Reviewing documents
• Advantages:
It is inexpensive, because data is already there.
It permits examination of trends over the past.
• Disadvantages:
Data are not always easily accessible.
Ethical issues concerning confidentiality may arise.
Information may be inaccurate or incomplete.

97
 Data collection techniques
Focused Group Discussion
• In this technique a group of 6 - 12 informants freely and
spontaneously discuss a certain subject with the guidance of a
facilitator.
• It is a qualitative method and aims to be more than a question-
answer interaction.
• It is useful to:
 Focus research and develop relevant research hypotheses by exploring
in greater depth the problem to be investigated and its possible causes.
 Formulate appropriate questions for more structured, larger scale
surveys.
 Help understand and solve unexpected problems in interventions.
 Develop appropriate messages for health education programmes and 98
 Data collection techniques
Focused Group Discussion
• Advantages:
The researcher can interact with the participants, pose,
follow up questions or ask questions that probe more
deeply.
Results can be easier to understand than complicated
statistical data.
The researcher can get information from non-verbal
responses such as facial expressions or body language.
Information is provided more quickly than if people were
interviewed separately.
99
 Data collection techniques
Focused Group Discussion
• Limitations:
The small sample size means the groups might not be
a good representation of the larger population
Group discussions can be difficult to steer and control,
so time can be lost to irrelevant topics
Respondents can feel peer pressure to give similar
answers to the moderators’ questions
The moderators skills in phrasing questions along with
setting can affect responses and skew results

100
 Tools used for data collection techniques
Data Collection
Data Collection Tools
Techniques
Reviewing Checklist, data compilation forms
documents

Observation Eyes and other senses, pen/paper, watch,

scales, microscope, etc.

Interview Interview guide, check-lists,

questionnaire, tape recorder
Questionnaires Questionnaire
Focused group FGD guide, Check-lists, Tape recorder,
discussion Pen/pencil, Paper
 Importance of Combining Different Data
Collection Methods
• Data Collection techniques can be divided into two broad
categories; flexible and less flexible
• Flexible techniques:
These produce qualitative data that is often recorded in
narrative form.
They involve the identification and exploration of
variables that give insight in human behavior
(motivations, opinions, attitudes)
‘Why’, ‘What’ and ‘How’ are important questions
A.k.a qualitative research techniques
E.g loosely structured interviews, focus group
discussions, and participant observation,
 Importance of Combining Different Data
Collection Methods
• Less flexible techniques:
 These quantify the size, distribution, and association of
certain variables in a study population
 ‘How many?’ ‘How often?’ and ‘How significant?’ are
important questions
 A.k.a quantitative research techniques
 E.g Structured questionnaire
• These data collection techniques can complement each other and
when skillful combined in a single study may help to reduce
chance of bias
• Researchers often use a combination of flexible and less flexible
research techniques.
 Sources of bias in data collection
• Defective instruments: E.g Unstandardized weighing
scales, questionnaire with vaguely stated questions.
• Observer bias: Data collector seeing or hearing things
interested to
• Effect of the interview on the informant: The informant
mistrusting the intention of the interview and thus avoiding
certain questions or giving misleading answers.
• Information bias: For example may be due to
incomplete/unreadable medical records or gaps in
informants’ memory
 Sources of bias in data collection
Prevention
• Carefully planning the data collection process
• Pre-testing the data collection tools before they are used
• Adequately introducing the purpose of the study to
informants.
• Phrasing questions on sensitive issues in a positive way.
• Taking sufficient time for the interview
• Assuring confidentiality to informants
 Types of questions used in
questionnaire

Completely Open-Ended Questions (1)

• These are types of questions which permit free responses
which should be recorded in the respondents own words.
• They are useful for:
Obtaining in-depth information on facts with which the
researcher is not very familiar
Opinions, attitudes and suggestions of informants.
• E.g: What is your opinion on the services provided in the RCH?
 Types of questions used in
questionnaire
Completely Open-Ended Questions
• Advantages
 Allow probing more deeply into issues of interest.
 Issues not previously thought of when planning the study may be
explored, thus providing valuable new insights on the problem.
 Information provided in the respondents’ own words might be useful as
examples or illustrations, which add interest to the final report.
• Risks of Completely Open-Ended Questions
 Incomplete recording of all relevant issues
 Analysis is time-consuming and requires experience;
• Suggestions to Improve Use of Completely Open-Ended Questions
 Thoroughly training researchers and/or their assistants.
 Pre-test open-ended questions and, if possible, pre-categorize the most
common responses.
 Types of questions used in
questionnaire
Partially Categorized Questions
• These are questions in which some of the answers are pre-categorized.
• This help to facilitate recording and analysis,.
• More than one answer is usually allowed
• For example: ‘How did you become a member of the Village Health
Committee?’
a. Volunteered............................................................................................( )
b. Elected at a community meeting.......................................................... ( )
c. Nominated by community leaders.........................................................( )
d. Nominated by the health staff...............................................................( )
e. Other (specify): ......................................................................................
 Types of questions used in
questionnaire
Partially Categorized Questions
• Advantages
 Answers can be recorded quickly
 Analysis is easier.
• Risks of Partially categorized Questions
 If one pre-categorizes too early, a lot of interesting and valuable
information may never be recorded, or may end up in the category ‘other’.
 Researchers may try to force the information into the categories that are
listed and, by merely ticking, thus additional valuable information will be
lost.
 Researchers may stop after receiving the first answer, whereas more
than one response could be applicable.
 Little space for recording full responses
• Suggestions to Improve Use of Partially categorized Questions
 Clear guidelines have to be provided to interviewers.
 Types of questions used in
questionnaire
Closed Questions
• These are those questions having a list of possible options or answers
from which the respondents must choose.
• Commonly used for background variables such as age or if the
researcher is only interested in certain aspects of an issue and does
not want to waste time obtaining more information than one needs
• For example: Did you eat any of the following foods yesterday?’ (Circle
yes if at least one item in each set of items is eaten.)
a. Peas, beans, lentils - Yes No
b. Fish or meat - Yes No
c. Eggs - Yes No
d. Milk or cheese - Yes No
e. Insects - Yes No
 Types of questions used in
questionnaire
Closed Questions
• Advantages
It saves time
Comparing responses of different groups, or of the
same group over time, becomes easier.
• Risks of Closed Questions
In case of illiterate respondents, the interviewer may be
tempted to read the list of possible answers in the given
sequence, thereby influencing the choice of response
and introducing bias
 Stages in Questionnaire Design
1. Take objectives and variables as a starting point
2. Decide what questions will be needed to measure or (in the
case of qualitative studies) to define your variables and reach
your objectives
3. Formulate one or more questions that will provide the
information needed for each variable
4. Check whether each question measures one thing at a time
5. Avoid leading questions. A question is leading if it suggests a
certain answer
 Stages in Questionnaire Design
6. Sequencing the questions: design the questionnaire to be
‘informant friendly’ and be like a conversation.
7. Formatting the questionnaire:
 Introductory page
 Space to insert date, number e.t.c
 Subheadings for each group of questions
 Questions belonging together appear together
 Sufficient space for open questions.
8. Translation: in case one or more local languages is used.
DATA PROCESSING AND
ANALYSIS
 Definitions
Data Processing
• This is a process of editing, coding, classifying and tabulating
collected data so that they are amenable to analysis.
• It is an intermediary stage between data collection stage and
data analysis stage.
• It aims at preparing collected row data for smooth analysis.
Data Analysis
• Is the computation of certain measures along with searching for
pattern of relationship that exist among data groups.
• It is the process of testing the research hypothesis
115
 Planning for Data Processing and
Analysis
Purpose: A plan for processing and analyzing data helps the
researcher assure that:
• Analysis is feasible
• All the information s/he needs has indeed been collected, and in
a standardized way
• S/he has not collected unnecessary data which will never be
analyzed
• Handling of information becomes systematic and easy
• Tools for analysis and interpreting results are arranged before
hand
116
 Planning for Data Processing and
Analysis
When making a plan for data processing and analysis the
following important issues
should be considered:
• Sorting data
• Performing quality-control checks
• Data processing
• Data analysis

117
 Sorting Data
• This is important for facilitating subsequent processing and
analysis.
• Questionnaire for different study populations (e.g. health
workers, village and general population) should be numbered
separately.
• In comparative study sort the data right after collection into the
two or three groups that will be compared during data analysis.

118
 Performing Quality Control
Checks
• First in the field to ensure proper and complete data collection
and recording.
• Then before and during data processing, to ensure completeness
and internal consistency.
• Incomplete or inconsistent questionnaires may have to be
excluded from further analysis or returned to the respondent for
correction.

119
 Data Processing
This involves:
• Categorizing/classifying the data:
• Coding
• Summarizing the data in data master sheets, manual
compilation without master sheets, or data entry and
verification by computer

120
 Data Processing
Categorizing/classifying the data:
• This may fully be done earlier for data obtained through
closed questions.
• Answers to open-ended questions can be pre-categorized
to a certain extent depending on knowledge of possible
answers but there should always be a category of “others,
specify ….” whose categorization is done afterwards,
• For numerical variables, categorization is often done after
data collection
• Wrongly categorized data cannot be reclassified during
data analysis
121
 Data Processing
Data coding:
• This is a process of assigning letters, numbers or group of letters to responses.
• Developing a coding system is essential especially if data will be entered in a
computer for subsequent processing and analysis.
• The codes should be entered on the questionnaires (or checklists) themselves
and used during data processing.
• Common responses should have the same code in each question to minimize
mistakes by coders. For example:
 Yes (or positive response) code - Y or 1
 No (or negative response) code - N or 2
 Don’t know code - D or 8
 No response/unknown code - U or 9
• Codes for open-ended questions (in questionnaires) can be done only after
examining a sample of (say 20) questionnaires in which similar types of
responses are grouped into single categories to limit their number to at most 122
6
or 7.
 Data Processing
Summarizing Data: This can be achieved through:
• Data Master Sheets
 If data are processed by hand, it is often most efficient to
summarize the raw research data in a so-called data master
sheet, to facilitate data analysis.
 On a data master sheet all the answers of individual
respondents are entered by hand.
• Data Compilation by Hand
 Useful when the sample is small and the collected data is
limited.
 If only one person is doing the compilation use manual sorting.
 If a team of 2 persons work together use either manual sorting
or tally counting. 123
 Data Processing
Summarizing Data:
• Computer Compilation
 Not useful for small samples and in case data collection was
mainly through open questions.
 It is costful and time consuming.
 Computer compilation involves:
 Choosing an appropriate computer program
 Data entry
 Verification or validation of the data
 Programming (if necessary)
 Computer outputs/prints.
 The most widely used computer programs are Epi-info 6, LUTUS
124
1-2-3, dBase (versions III or IV) and SPSS
 Analysis and Interpretation of Data
Analysis of quantitative data: involves the production of
frequencies, tables, graphs that describe the data

125
 Analysis and Interpretation of Data
Frequency Counts
• From the data master sheets, simple tables can be made with
frequency counts for each variable in the questionnaire.
• A frequency count is an enumeration of how often a certain
measurement or a certain answer to a specific question occurs.
• It should be obtained for every question in the questionnaire.
• Frequency count helps to ensure:
The total number of responses in each question is correct
All codes are relevant to the question.
• For easy comparison of groups and especially if numbers are
large enough it is better to calculate the frequency distribution
126
in percentages.
 Analysis and Interpretation of Data
Cross-Tabulations
• This involves combination of information on two or more variables
in order to describe the problem or to arrive at possible
explanations for it.
• Generally two major kinds of cross-tabulations may be required in
a study:
Descriptive cross-tabulations: which aims at describing the
problem under study by presenting a combination of variables.
They are also used to describe the subjects’ background
variables like age, sex, profession, education.
Analytic cross-tabulations: Groups are compared in order to
determine differences, or exploring relationships between
variables. 127
 Analysis and Interpretation of Data
Interpretation of Results
• This refers to the task of drawing inferences from the
collected facts after an analytical and/or experimental study.
• Is done after collecting and analyzing the data.
• This has to be done very carefully to avoid drawing
misleading conclusions.
• Here the researcher can expose relations and processes
that bring about his findings.
• This involves combination of information on two or more
variables in order to describe the problem or to arrive at
possible explanations for it. 128
 Steps in Data analysis
Seven Steps in Analyzing Data
1. Step 1: Take a sample of (say 20) questionnaires and list all answers for a
particular question.
2. Step 2: To establish the categories and coding
3. Step 3: List the answers again, grouping those with the same code
together.
4. Step 4: Interpret each category of answers and try to give it a label that
covers the content of all answers.
5. Step 5: Try a next batch of 20 questionnaires and check if the labels work.
Adjust the categories and labels, if necessary.
6. Step 6: Make a final list of labels for each category and give each label a
code (keyword, letter or number).
7. Step 7: Code all your data, including what have already coded, and enter
these codes in the master sheet or in the computer. 129
Common Significance Tests for Statistical
Analysis
• Significance tests are a set of statistical analysis aimed at
determining whether the differences and associations found in
the study are significant.
• Any observed difference between groups or association
between variables can be a result of:
True association/differences
Chance
Bias
Confounding
• While bias and confounding can be excluded by checking the
study design, statistical significance tests help to rule out
whether the observed results could have occurred by chance. 130
Common Significance Tests for Statistical
Analysis
• The most common significance tests are:
 Student’s t – test
 The chi-square test (χ2)
• The general agreed convention is to take 5% and below as the cut off
point
• In stating the results mention the P value i.e. Probability of chance
value by stating whether it was less than 0.05, 0.01 or 0.001.
• It is important to note that ‘significant’ does not necessarily mean that
an observed difference or association is an important one clinically:
 Even a very small difference will show “statistical significance” if a big sample
is taken.
 An important difference may fail to reach statistical significance if the sample
is small
131