Lecture 2: Research Proposal Development

Research Proposal Development
Workshop
Dr. Philip Vaughter, UNU-IAS
ProsPER.Net Young Researchers’ School
5th March, 2018
Yokosuska, Japan

“Good Proposal”
• Focused Objective
– Addressing a current need
• Well Structured
• Methodologically rigorous
• Achievable
• Clearly defined, relevant outcomes for
identified stakeholders

“Good Proposal”
• Focused Objective
– Addressing a current need
• Well Structured
• Methodologically rigorous
• Achievable
• Clearly defined, relevant outcomes for
identified stakeholders
• Fundable!

Focused Objective
4
• Develop four research proposals on topics we
covered in this year’s YRS: Sustainable Urban
Development for the World’s Megacities
• There are four research groups that have been assigned to
develop a research proposal on the following topics related
to the this year’s theme:
• Governance for sustainable development in megacities
• Urban ecosystems in megacities
• Housing and infrastructure in megacities
• Urban planning in megacities
• Aim to be interdisciplinary, focusing on cross-cutting
issues that can tie together many of the themes that
will be covered individually

Addressing a current need
• What is a mega city?
– There is no definitive definition, but most population scholars
define a megacity as a metropolitan area with over 10 million
inhabitants.
– Some researchers define an area by administrative units (UN
databases), while others use settlement patterns and
commuting zones (OECD databases)
– A megacity can be one metropolitan area, or two or more that
have converged – just be consistent with the definition you use
5

Addressing a current need
• Why are these important to the Asia-Pacific region?
– Using either definition of megacities, the majority of the
megacities currently in the world are in Asia – and all of these
are still growing in population!
7

Why the big deal about
methodology?
• A clear methodology section is one of the most
critical parts of a research proposal
• It is also the part that even the most experienced
researchers have difficulty in writing
10

Why the big deal about
methodology?
• Purpose of a methodology section
I. To explain how the data was generated
II. To explain how the data was analyzed
When writing a methodology, it is critical to provide
enough information so that others can repeat the
experiment/study and reproduce the results, or
understand the context the results were generated
in so that the audience can judge whether your
conclusions are valid.
11

Some tips for your methodology
section
• When writing a methodology section, it is best to be
direct and precise
• Try and operationalize any terminology you use so
that your audience can follow your methodology
clearly
12

Steps in writing your
methodology
1) Research Background
2) Goals and Objectives of the Research
3) Propose Methodology
4) Determine Sources of Data
5) Develop a Timeline
13

1) Research Background
• This is a reference back to literature review on the
given topic, explaining what methodologies have
been used by other researchers to examine the
same or similar topics.
• These methodologies do not necessarily have to
be incorporated into the study, but it is a good
idea to acknowledge them and explain why or
why not they are appropriate for the given study.
• Note: This is an important early step, but is not
research, it is review
14

2) Goals and Objectives of
Research
• In this section, lay out the research objective of
the given study
• Try and avoid vague terms here – just clearly
state what you will and will not be doing within the
scope of your research
15

3) Propose Methodology
• Present a rationale for why a given methodology
was chosen to investigate the field of interest.
• Helpful tip: present a flow chart of some form of
visual aid to illustrate the methodology being
presented
16

4) Determine Sources of Data
• Explicitly state what your sources of data will be.
Note, if you are collecting data on people or animals,
you will need to get ethical approval both from the
institution you are researching and potentially the
jurisdiction you will be researching in.
• Explicitly state what type of data you will be collecting
from your sources.
• Explain how this data will be gathered, including type
of sampling techniques or equipment used in the
collection process.
• If any measurements or categorizations are made
during data collection, explain briefly how these were
made.
17

5) Develop a Timeline
• Develop a timetable for completion of the various
stages of work for the methodology (e.g.,
methodology development, data
collection/fieldwork, data processing, analysis,
results interpretation, etc.)
18

Types of Data, Types of Research
Methods
Typically, researchers choose from three
methodological approaches:
I. Quantitative
II. Qualitative
III. Mixed
19

Quantitative Research Methods
• Quantitative research methods are characterized
by the collection of information which can be
analyzed numerically
• Results are typically presented using statistics,
tables, and/or graphs
• Because quantitative data is numeric, the
collection and analysis of representative samples
is commonly used
• The more representative the sample, the more
likely that the quantitative analysis will reflect
results that can be generalized
20

• However, even if sample is representative,
quantitative data can be useless unless the data
collection instruments are appropriate, well
designed, and clearly explained to the users of
the data
• Example: Data collected using poorly designed
questionnaires may solicit a huge amount of data,
but result in much of it being unusable because it
is impossible to generalize
• All too often, designers of data collection tools
frame qualitative questions quantitatively and
vice versa
21

• Strengths of Quantitative Data Analysis
 Numeric estimates
 Opportunity for relatively uncomplicated data
analysis
 Data which are verifiable
 Data which are comparable between different
communities and locations
 Data which do not require analytical judgment
beyond consideration of how information will be
presented in the dissemination process
22

• Weaknesses of Quantitative Data Analysis
 Gaps in information – ex., data which are not
included in collection cannot be included in analysis
 Labor intensive data collection process
 Often, limited participation by populations affected
in the information collection process
23

Qualitative Research Methods
• Qualitative research is by definition exploratory
• It is used when we don’t know what to expect,
how to define an issue, or there is a lack of
understanding of why and how variables are
affected
• Qualitative data is useful for both exploring both
groups and individual entities, and can generate
case studies and summaries rather than lists of
numeric data
• Qualitative data are often textual observations that
portray attitudes, perceptions, or intentions
24

• Qualitative methods and analysis provide added
value in exploring intangible factors
• Ex., cultural expectations, gender roles, individual
feelings
• Sample size must be big enough to assure
inclusion of most or all of the variance in the data
• Often times, the number of sample sites, groups,
or categorizations becomes obvious as
assessment progresses and new categories,
themes, and explanations stop emerging from the
data (theoretical saturation)
25

• Strengths of Qualitative Data Analysis
 Rich and detailed information
 Perspectives that can include specific cultural and
social contexts (the human voice)
 Inclusion of diverse cross-section
 Data collection which can be carried out with
limited resources
 Data collection which can be carried out with
limited respondents
26

• Weaknesses of Qualitative Data Analysis
 Results in data which are not objectively verifiable
 Requires a labor intensive analysis process
(categorization, recording, etc.)
 Needs skilled data collectors for consistency and
nuance
27

Mixed Research Methods
• A combination of both quantitative and qualitative research
methods for investigating a given research question
• Teams are often composed of an expert in quantitative
research, and expert in qualitative research, and an expert
in mixed research to help with dialogue
28

• Strengths of Mixed Methods Data Analysis
 Narrow views are often misleading, so approaching a subject
from different perspectives (paradigms) may help to gain a
more holistic view
 There are different levels of social research, and therefore
different methodologies may have particular strengths for
different levels
 Mixed methods fit well with pragmatism – the idea that
knowledge is useful when it has practical uses; therefore,
different recipients of the knowledge can either engage from a
qualitative or quantitative perspective, widening the
researchers’ potential audience
 Also potential for multiple types of validations!
29

• Weaknesses of Mixed Methods Data Analysis
 Some research perspectives (paradigms) may be seen as at
odds with each other, and therefore incompatible for a
research team
 Cultural issues affect world views of researchers, and this
may impact comparable analysis in mixed method research
 It is often easier for researchers to move from quantitative to
qualitative methodologies in their training, and not the reverse
30

Achievable
• All proposed activities for a research proposal should
be achievable with the time and resources available
to the researcher or research team
• Often, researchers think they can take on more than
they can finish in a given timeframe
• Remember, just because it is important does not
mean you or your team have the capacity to do it
– Take careful stock of who can do what by when
• Remember, it is better to under-promise and over-
deliver than over-promise and under-deliver

Achievable
• Scoping/brainstorming (Use free time
tonight and tomorrow to discuss ideas)
– What themes are emerging in the group in
relation to your assigned topic?
• Scoping (Work on this Tuesday - Friday)
– Develop your research question(s) and how you
will investigate it (them)

Achievable
• Focus on research questions
• Research objectives and focus questions for
each objective
• What methods and data will you use
• Assemble a timeline
33

Key Deliverables:
Proposal Presentation
Saturday, March 10th
(Preparation: Monday, March 5th - Friday, March 9th)
• Background and statement of the research
area/field
• Insight from field visits/lectures
• Research questions
• Methods
• Impacts and Outcomes
• Timeline
34

Key Deliverables
Research Proposal
• Send the final proposals and completed
templates to Philip by Monday, April 16th
• Should also achieve the following:
– Increase communication skills and
problem solving
– Develop management skills, including
delegation
– Work to deadline
35

Research Plan Development
Exemplar – Delhi Metro Project
Christopher Doll, Osman Balaban
ProsPER.Net Young Researchers’ School
3rd August 2011 Hosei University – Tama Campus

37
RESEARCH PLAN TEMPLATE 1 Research Questions and Outcomes
AREA/FIELD OF RESEARCH: identify broad topic area and brainstorm a list of possible questions, issues and problems that you will need to
investigate. Then try to narrow this down to a more specific Research Focus.
STATEMENT OF THE PROBLEM: While it is known that …………………………….. Research has yet been conducted to .........
PURPOSE: Therefore the overall goal/purpose of this research is to
………
RESEARCH QUESTION: Therefore the research question to be answered
by this research is ………
OUTCOMES/DELIVERABLES : The expected outcomes of this research will include:
Global and local environmental problems are pressing for sufficient attention and prompt actions. The growth of cities and continual increase in urban population in
developing countries are expected to intensify these problems under business-as-usual scenarios. However it’s not easy to convince developing countries to leave
BAU scenarios and undertake actions to tackle both global and local environmental problems. Even if they are willing to do so, their economic and human resources
may not suffice to create a significant change. Considering this challenge, several new concepts are being developed specifically to address the multiple urban
challenges in coordinated and less costly manner. In this respect, ‘co-benefits approach’, which promotes the implementation of policies that bring multiple benefits at
a time, has started to gain attention of researchers and policy-makers. The approach is argued to overcome the current challenges in cities of developing countries at
relatively lower costs when compared to the costs that were borne by today’s developed countries.
Hypothetically we know that policy initiatives in certain sectors can generate global and local environmental benefits simultaneously. The two main sectors in which
policies and initiatives could result in co-benefits are solid waste management and transportation. However in present we know very little about the current level of
co-benefits generated by certain initiatives and also we have limited knowledge and instruments to calculate or quantify co-benefits. Sufficient research has yet been
conducted to find out the extent to which current projects have generated co-benefits and to develop methodologies to quantify co-benefits. Therefore this research
set out to address and fulfill this gap in our knowledge and to improve our understanding of the links between co-benefits approach and policies in certain urban
sectors
To develop a methodology to quantify the environmental co-benefits of
urban transportation initiatives and to apply this methodology to calculate
the co-benefits of Delhi Metro Project.
What have been the environmental co-benefits of Delhi Metro Project
and how can these benefits be calculated?
1. Calculations on different environmental benefits generated by Delhi Metro Project.
2. A methodology or an evaluation tool that can be used to assess the effectiveness of transportation projects in generating co-benefits in different contexts.
3. A sound understanding of the role of urban transportation sector in tacking global and local environmental problems.

38
RESEARCH PLAN TEMPLATE 2 Goals and Objectives
RESEARCH QUESTION (from T1): OUTCOMES/DELIVERABLES (from T1):
OBJECTIVES: To achieve the research goal or answer the research question, the study will address the following objectives:
1. To
2. To
3. To
What have been the environmental co-benefits of Delhi Metro
Project and how can these benefits be calculated?
1. Calculations on different environmental benefits
generated by Delhi Metro Project.
2. A methodology or an evaluation tool that can be used to
assess the effectiveness of transportation projects in
generating co-benefits in different contexts.
3. A sound understanding of the role of urban
transportation sector in tacking global and local
environmental problems.
find out/calculate how many tones of GHG emissions have been reduced after Delhi Metro started to operate.
find out/calculate how much of air pollutants (SOx, NOx, PM10 etc.) have been reduced after Delhi Metro started to operate.
develop a methodology or a tool for quantification of global and local environmental co-benefits of a metro system.

39
RESEARCH PLAN TEMPLATE 3 Specific research questions
Identify the specific research questions that you will need to ask to find and analyse the information that will help you achieve each objective. They
may include a range of What, Why, Impact and Action focused questions and should reflect a sequence that can guide the sequence of data
collection and analysis steps. In the third column, reflect on any issues you are aware of either in initial scope or implications if for whatever reason
a certain question cannot be fully answered
Research objectives (from T2) Specific research questions What are the assumptions or known issues
involved and therefore the limitations with
this approach; is that satisfactory to set the
boundary of the thesis?
1.
2.
3.
To find out/calculate how many tones of
GHG emissions have been reduced after
Delhi Metro started to operate.
1.1 What is the linkage between a metro system and
GHG emissions?
1.2 What specific aspects of a metro system could
help to reduce GHG emissions?
1.3 How and which GHGs could be reduced through
the operation of a metro system?
To find out/calculate how much of air
pollutants (SOx, NOx, PM10, etc.) have been
reduced after Delhi Metro started to operate.
2.1 What is the linkage between a metro system and
air pollution?
2.2 What kind of air pollutants could be reduced by
a metro system and how?
2.3 What are the annual amounts of reduction in
different air pollutants due to the Delhi Metro?
To develop a methodology or a tool for
quantification of global and local
environmental co-benefits of a metro system.
3.1 What are the current tools and methodologies
available to make such quantification?
3.2 What are the strengths and weaknesses of
current tools and methodologies?
3.3 What kind of data is required to develop such
methodology and what are the possible ways of
collecting that data?

40
RESEARCH PLAN TEMPLATE 4 Sources, Collection, and Analysis of Data
Plan for data collection and analysis to provide evidence for answering the research questions defined for each objective
Specific research questions (from T3) Techniques of data collection Source of data Techniques of data analysis/
model development
1.1 What is the linkage between a metro
system and GHG emissions?
Interviews to collect data Delhi Metro Rail Corporation System boundary identification
1.2 What specific aspects of a metro system
could help to reduce GHG emissions
Literature review, expert interview Literature, experts System analysis
1.3 How and which GHGs could be reduce
through the operation of a metro system?
Literature review, expert interview Literature
system and air pollution?
Literature and interview on the metro DMRC, City officials, published literature
2.2 What kind of air pollutants could be
reduced by a metro system and how?
Mode share and shift data Literature, Central Road Research Board,
primary data
2.3 What are the annual amounts of reduction
in different air pollutants due to the Delhi
metro?
Air pollution data Delhi Committee on Pollution Control,
primary data collection
Trend analysis, source apportionment
study
3.1 What are the current tools and
methodologies available to make such
quantification?
Literature review Literature Collect and classify
3.2 What are the strengths and weaknesses of
current tools and methodologies?
Literature review, expert interview Literature, experts, researchers’ own
evaluations and observations
Comparative analysis, sensitivity analysis,
SWOT analysis
3.3 What kind of data is required to develop
such methodology and what are the possible
ways to collecting that data?
Literature review, expert interview,
panels
Previously collected primary and
secondary data
Survey of data availability and access

RESEARCH PROPOSAL TEMPLATE 5A
Plan for data collection and analysis to provide evidence for answering the research question
Research objectives Focussed research questions Techniques
data collection
Source of data Techniques
data analysis
1. To find out/calculate how many
tones of GHG emissions have
been reduced after Delhi
Metro started to operate
system and GHG emissions?
Interviews to collect data Delhi Metro Rail
Corporation
System boundary
identification
1.2 What specific aspects of a metro system
could help to reduce GHG emissions?
Literature review, expert
interview
Literature, experts System analysis
1.3 How and which GHGs could be reduced
through the operation of a metro system?
Literature review, expert
interview
Literature
1.4 What is the annual amount of reduction in
GHG emissions due to the Delhi Metro?
Interviews to collect data Delhi Metro Rail
Corporation
System/Line calculation
2. To find out/calculate how much
of air pollutants (SOx, NOx,
PM10 etc.) have been
reduced after Delhi Metro
started to operate
system and air pollution?
Literature and interview
on the metro
DMRC, City officials,
published literature
2.2 What kind of air pollutants could be
reduced by a metro system and how?
Mode share and shift
data
Literature, Central
Road Research
Board, Primary Data
2.3 What are the annual amounts of reduction
in different air pollutants due to the Delhi
Metro?
Air pollution data Delhi Committee on
Pollution Control,
Primary data
collection
Trend analysis, source
apportionment study,
3. To develop a methodology or a
tool for quantification of global
and local environmental co-
benefits of a metro system.
3.1 What are the current tools and
methodologies available to make such
quantification?
Literature search Literature Collect and classify
3.2 What are the strengths and weaknesses
of current tools and methodologies?
Literature review and
expert interviews
Literature, experts,
researchers own
evaluations and
observations
`Comparative analysis,
sensitivity analysis,
SWOT analysis
3.3 What kind of data is required to develop
such methodology and what are the
possible ways of collecting that data?
Literature search, expert
interviews and panels
Previously collected
primary and
secondary data
Survey of data
availability and access
3.4 What are the opportunities and barriers to
develop and apply such methodology?
Literature review and
interviews
Literature, experts,
researchers own
Cost analysis of
acquiring data, potential

SDGs as focus for integration?
• http://sustainabledevelopment.un.org/focussdgs.html
42

Some themes
• Co-benefits
– Air pollution, occupational health
• Relative roles of the public and private sector
• Role of industrial clusters
– Linkages with hinterland
• Design vs. technology
– Cooling, lighting..
• Poverty alleviation
– Community cooperation and incentives for
doing so
43

Lecture 2: Research Proposal Development

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