1. IFPRI The Art of
IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI
Proposal Writing
IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI
for Policy Research
IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI
IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI
IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI IFPRI
Compiled by Suresh Babu and Valerie Rhoe
INTERNATIONAL FOOD POLICY RESEARCH INSTITUTE

2. Objectives of the Workshop
IFPRI
Develop skills for preparing policy research
proposals
Understand the elements of a winning
proposal
Analyze some examples of good proposals
Gain practical skills for organizing the
components of a proposal
Review some of the existing resources
Page 2

3. What is a Research Proposal ?
IFPRI
A document
A logical presentation of a research idea
A new idea
Illustrates the idea’s significance
Shows the idea’s relationship to past
research
List research activities one proposes
Describes resources needed
Page 3

4. What Should a Research
Proposal Convey?
IFPRI
Enthusiasm
Impression
Reassurance
Model of clarity
Page 4

5. IFPRI
“it is what your writing
conveys to the reader
that is judged, regardless
of what you intended?”
Page 5

6. IFPRI
How does a
proposal
develop?
Page 6

7. The Proposal Development Process
IFPRI 1. Idea
2.Translate into a tentatively proposed set of activities
Potential sponsor unknown
Potential sponsor
3a. No Sponsor known
found 3. Search for sponsors
Reformulate 4. Select a few sponsors as prime targets
project
5. Selection of and contact with target sponsor
6. File “Intent to Submit” card, if required
Page 7

8. IFPRI 7. Firm up activities and design study
(keeping sponsor program goals in mind)
8. Estimate cost, including overhead, and
compare with likely sponsor support
Too low Too high
Good Match 9c. Adjust
9a. Take advantage activities to
of slack 9b.Prepare proposal to sponsor’s reduce costs
to improve specifications, Providing best fit to
study design
your goals and evaluation 9d. New problems
or better
Submit proposal for Consideration possibilities appear
Rejection? Resubmit or
SUCCESS ! pick new sponsor
Page 8

9. Basic Components
IFPRI
Title page
Abstract
Introduction
Problem statement
Literature review
Objectives
Page 9

10. Basic Components cont.
IFPRI
Project description
Budget
Budget explanation
Special considerations
Curriculum vitea
Appendices
Page 10

11. Title Page
IFPRI
Descriptive
Clear
Concise
One sentence
Avoid
• Jargon
• Words with multiple interpretations
• Flippancy
• Controversial terms
Fit title to mission of sponsor Page 11

12. Abstract
IFPRI
Other names:
• Executive summary
• Summary
Purpose:
• Summarizes key information
• Research significance
• Potential contribution
Page 12

13. Abstract: Content
IFPRI
Problem
Research objectives
Procedure and method
Likely outcomes and benefits
Credibility
• Institutions
• Researchers
At least 1 sentence per topic
Page 13

14. Introduction
IFPRI
Purpose
• Establish your credibility
• Significance of your research idea
• How research relates to the mission
and priorities of sponsoring
organization?
Page 14

15. Introduction: Content
IFPRI Background
Describe goals
Establish who you are
• Emphasize particular expertise
• Evidence of relevant accomplishments
Relate sponsors purpose and priorities to
research
Lead logically to the problem statement
Page 15

16. Problem Statement
IFPRI
Purpose
• Reason behind your proposal
• What you hope your research will
change?
Information is subject to:
• criteria of the donor’s program
Page 16

17. Problem Statement: Content
IFPRI
Show problem in the perspective of the
larger field
State problem generally
• Betterment of humankind
• Project’s contribution to theory and
knowledge of the phenomenon
• Describe the value of some concrete
applications of the knowledge
Page 17

18. Problem Statement: Other Suggestions
IFPRI
Limit the problem to the specific
• Don’t be too narrow
Don’t dwell on the obvious
Include a 2-3 sentence sketch of the
approach
Set the frame of reference
Page 18

19. Problem Statement: Checklist
IFPRI
Establish the importance and significance of
the problem
Justify why it is important to the sponsor
Feasible to solve the problem
Arouse the reader’s interest and encourage
him/her to read further
Relate problem to your organization’s goals
State the outcome in terms of human need
and societal benefits
Page 19

20. Literature Review: Purpose
IFPRI
Purpose
• Builds further understanding of the problem
Solidly anchored in past work yet moving beyond
that work
• It indicates:
one’s grasp of the field
one’s methodological sophistication in critiquing
other’s research
the breadth and depth of one’s reading
• How the project contributes to the forward
movement
Page 20

21. Literature Review: Content
IFPRI
Review of literature
• Discuss studies in sufficient detail
Summarize pertinent information
Describe how study contributes to this research
Indicate how this study moves beyond the past
study
Point out technical flaws
» Mention how you will avoid these flaws
Page 21

22. Content continued
IFPRI • Most recent literature in content and method
Review original work (primary sources)
» Do not use outdate sources
Select only relevant literature
» Social Science Citation Index
Use literature from other disciplines
Mention current research
» The Institute of Scientific Information
» Social Science and Humanities Proceedings Index
» Social Science Citation Index
» Speak with colleagues
Page 22

23. Content Continues
IFPRI
Discuss theoretical basis
Don’t include too many references and
do too little with them
• It is what you do with the references that
is the basis for judging this section.
• “no research bearing on the problem
[exist]”
Page 23

24. Quantitative Literature Review
IFPRI
To draw an overall conclusion
Methods
• Counting the positive, negative and neutral
results and comparing these with what
would be expected by chance
• Combing the results of individual studies
into a single-test of significance
• Developing a standard school estimate of the
average strength of treatment
Page 24

25. Should I Include a Quantitative
Literature Review?
IFPRI
Are there enough comparable
studies
Is the number of studies too large?
Could this be a first component of
the project?
Read “Primary, Secondary and
Meta-analysis” by Smith and Glass
(1977)
Page 25

26. Objectives: Purpose
IFPRI
Form the basis for judging the proposal
What you plan to accomplish
Show the reviewer that you have a clear
picture
Form the foundation
Assess the appropriateness of the study’s
proposed methods
Page 26

27. Objectives: Content
IFPRI
Specify the measurable outcomes
Define your research methods
Identify key study variables
Identify interrelationships of variables
Evaluate your outcomes
State the expected changes
State what means “success”
State purpose of study
Page 27

28. Objectives as Hypotheses
IFPRI
State as hypotheses
• Theoretical base
• Build bridge from theory to study
• Testable
• Translated into the research
operations
evidence of their truth and falsity
• Don’t state as a null hypothesis
Page 28

29. Objectives: Format
IFPRI
Are specific, concrete and achievable
1-2 sentences for each objective
Ordered by importance or contribution
Follow each major objective with its specific
sub-objectives
Avoid unnecessary wording
Stand out on page
• Bullets, numbers and indentions
Neatly flow
Page 29

30. Objectives: Common Errors
IFPRI
Vague generalities
Imbedding them
Undeveloped objectives
Page 30

31. Project Description
IFPRI
Purpose
• To describe project activities
• How objectives will be accomplished
• Describe the sequences, flow and
interrelationship of activities
• Planned staffing
Page 31

32. Project Description: Procedural
Section
IFPRI
Write 1 overview paragraph
Describe
• How?
• When?
• Why?
• Where?
Page 32

33. Procedure Section: Audience
IFPRI
Know one’s audience
• anticipate and meet their concerns
Difference about the best design
• Help them follow your line of reasoning
Page 33

34. Procedure Section: Limits
IFPRI
Restrain Procedure and Design to
Realistic Limits
• Level of resources
• Ethical considerations
• Access and cooperation to other
institutions
• Time available
Page 34

35. Procedural Section: Subsections
IFPRI
Population and sample
Design – an art
Data and instrumentation
Analysis
Work Plan
Expected end products
Page 35

36. Population and Sample
IFPRI
Clues to the generality of findings
• Sample size – statistically significant
Preciseness of estimate
How different are the individuals
How much certainty is required
• “Power analysis”
If you hope for statistically significant
result
Page 36

37. Population and Sample
IFPRI
Sampling plan:
• Nature of the plan
• If stratified, describe nature and
rational
• If random sampling is not feasible
Provide all information about the sample
Page 37

38. Survey Sampling
IFPRI
5 major types
• Simple random sampling
• Systematic sampling
• Stratified sampling
• Cluster sampling
• Hybrid sampling
Page 38

39. Survey Sampling cont.
IFPRI
Simple random sampling
• Process
List all elements of population
Select sample randomly using a table of
random numbers (lottery)
• Problems
Difficult to list entire population
Expensive
Page 39

40. Survey Sampling cont.
IFPRI
Systematic random sampling
• Process
Number each element
Select first element randomly
Then skip sample intervals
• Problem
Expensive to obtain a full list of
population
Page 40

41. Survey Sampling
IFPRI
Stratified random sampling
• Process
Divide population into strata
Draw sample from each strata
» Need to control size of each strata
Example: urban – rural strata (no strata
is skipped
Page 41

42. Survey Sampling cont.
IFPRI
Cluster sampling
• Addresses 2 problems
Lack of sampling frame (population list not
available)
Cost of reaching a sample element is very high
• Process (Multi-stage: areas & zones)
Randomly select zones
Randomly select communities
Randomly select households
Clusters must be selected randomly with equal
probability of getting selected
Page 42

43. Problems in Sampling
IFPRI
Non-sampling error (non-coverage
error)
• The omitted part of the target population
Example: Telephone surveys
• Wrong population being surveyed
Example:College students vs. college-age persons
• Low response rate
• Instrument error
Example: Wording of a question
• Interview error
Example: Female headed household/male
interviewers
Page 43

44. Problems in Sampling cont.
IFPRI
Sampling Error (SE)
• SE = Z (ơ/n1/2)
n SE
ơ SE (more heterogeniety)
Page 44

45. Determining Sample Size
IFPRI
Statistical method
• N = Z2 (ơ2/e2)
Rule of thumb
• Smaller population bigger sampling ratio
• Larger population small sampling ratio
• Population under 1000 30% of sample
• Population large 10,000 10% of sample
• Over 150,000 1%
• Over 10 million .25%
Page 45

46. Sampling Survey
IFPRI
Cluster sampling cont.
• Advantages
List required for selected communities only
Less sampling error
Proportionate sampling when cluster sizes
are different
Page 46

47. Design
IFPRI
A description of the structure of the study
• Protects against alternative explanations
• Shows how the situation will be structured
Least contamination
• Control variables
What are they?
» Did you compromise? If so, how?
How to control them?
• Design configuration that efficiently uses available
resources
• Give priority to the most serious alternative cause
of the effect
Page 47

48. Design: Common Errors
IFPRI
Lack of control group
Pretest effects
Hawthorne or reactive effect
Research expectancy effect
Regression effect
Over- and underachievers
Cross-validation
Page 48

49. Instrumentation and Data Collection
IFPRI Data collection
• Details
• Appropriateness for the task
• Comparable collection of data
How will you correct for undesirable variation?
Measures problem definition and explanation
• Describe the problem
• Justify the closest measure
• Use a new instrument
• Omitting the latter discussion is reason for
disapproval
Include all critical terms
Establish validity, reliability and objectivity
Page 49

50. Instrumentation and Data Collection:
Validity
IFPRI
Appearing to be congruent with the
constructed definition
Types of Validity
• Face validity
• Predictive and concurrent validity
• Construct validity
Page 50

51. Instrumentation and Data Collection:
Reliability
IFPRI
Types of Reliability
• Stability reliability
• Internal consistency reliability
• Equivalence reliability
Page 51

52. Instrumentation and Data Collection:
Objectivity
IFPRI
Observation scales require that all
observers use them the same way so
that they agree when rating the
same phenomenon
• Eg: quantities of output
Page 52

53. Instrumentation and Data Collection:
Sources of Instrument
IFPRI
Instrument clearance
• If administered a certain number of people
• Established vs. new instruments
• Problems in data collection
• Disturbance to the natural situation
Page 53

54. Instrumentation and Data Collection:
Sources of Instruments
IFPRI
Problems
• Using an observer, tape recorder, or
television camera may influence the
experimental variables or create
artificial situation.
What steps will you take to deal with this
problem?
Page 54

55. Questionnaire Preparation
IFPRI
Use a participatory approach with the
enumerator
Pre-test the questionnaire for logical flow and
best method of asking questions
Train the enumerators for data collection
Supervision of data collection
• Surprise Visits
• Recall the questionnaire during the supervision
Data cleaning
Data sharing with other researchers and donors
Page 55

56. Analysis
IFPRI
Consistency of methods with the objectives
Statistical assumptions and the data
• If not, what are your corrections?
New statistical techniques, computer
programming or other unfamiliar analytical
tools
• Adequately described
• Advantages over current methods clearly
indicated
• Back-up
Reveal the depth to which these problems have been
anticipated
Page 56

57. Work Plan
IFPRI
Also known as a time schedule
Gives a perspective of the project
Format
• Flow charts or diagrams
• Sequential statements of the operations
• Shows interrelationship between activities
Demonstrates relative length of each
activity
Page 57

58. Work Plan
IFPRI
Workload Analysis
• Week-by-week view of peaks and
valley in demand for personnel
• Does not compare personnel demands
with available staff
• Good for large, complex projects
• Place in the appendix
Page 58

59. End Product/ Deliverables
IFPRI
Describe these products/ Deliverables
Minimum end product/ Deliverables
Maximum end product/ Deliverables
Monthly and quarterly reports
Review copyright policy
Intellectual Property Rights
Page 59

60. Dissemination of Results
IFPRI
State anticipated journal articles,
monographs, conference, and workshop
presentations
• Give targeted dates
Why important?
Consider how the results will be used
Cost of specific modes of dissemination
Policy communication strategy
Page 60

61. Personnel
IFPRI
Director of Project
• Competence
• Relevant experience
• If lacking, highlight training that might
substitute
Other key staff members
• Qualifications
• Place 1 page CV in appendix
• Responsibilities
• Mix of expertise fits this project
Page 61

62. Personnel
IFPRI
Staff members with minor roles
• 1 paragraph on responsibilities, assignment,
and relevant background
Make each person’s assignment clear
Do not list persons without their
permission
Page 62

63. Personnel:
Organization and Management
IFPRI
Purpose
• To describe how the organization and
management will support the project
Content
• Record of successes
• Present evidence that team members
have worked together effectively
• Relation of project to the unit
Page 63

64. Personnel: New Researchers
IFPRI
Ask an established researcher to work with
you
• Active consultant
• Co-researcher
• Principal investigator
Letter from senior person
• Role
• Opinion of the junior staff
• Willingness to actively oversee the project
Page 64

65. Curriculum Vitea
IFPRI
Purpose
• To tell your education and professional
experiences
• To highlight unique background and
qualification
Page 65

66. Curriculum Vitea: Content
IFPRI
Education
• Recent degrees first
Year conferred
Specialty
Work history
• Relevant
• Chronologically
Teaching experience
Research experience
Graduate advising experience
Page 66

67. Curriculum Vitea: Content
IFPRI
Projects
Awards
Travel experience
Publications
• Relevant
• Past 5 years
• Append your most recent and relevant
publication
Focused on your research capabilities
Page 67

68. Curriculum Vitea
IFPRI
Do not:
• List extraneous information
• List personal information
• List non-relevant memberships
Page 68

69. Budget
IFPRI
Purpose
• Statement of proposed support and
expenditure
What it should do?
• Mirror research plan
• Credible
• Realistic
Page 69

70. Budget
IFPRI
Types of costs
• Direct costs
Personnel
Subcontracts and services
Materials and supplies
Communications
Reports and publications
Travel
Equipment rental and purchase
Page 70

71. Budget
IFPRI
Indirect costs (overhead costs)
• Cost of space
• Heat/ airconditioning
• Institutional administration
• Accounting
• Library
• Basic phone service/ fax/ email
Calculated as a percentage of direct cost
Page 71

72. Budget: Direct Cost
IFPRI
Personnel
• Largest expense category
• Each key staff member is shown the % of
time he/she will work on project over a year
Include annual and semi-annual wage increases
• Workload analysis will show if students or
temporary help is available
• Separate entry for fringe benefits
Page 72

73. Budget: Direct Cost
IFPRI
Subcontracts and services
• Separate budget category
• May need approval from sponsor
• Subcontractors indirect cost
• No fringe benefits
• Obtain cost estimates in writing
Page 73

74. Budget: Direct Cost
IFPRI
Materials and supplies
• Expendable
Stationary supplies
Duplication supplies
Audiotapes
Videotapes
Surveys
Computer supplies
• If high cost, then break into separate
categories
Page 74

75. Budget: Direct Cost
IFPRI
Communications
• Long-distance calls
• Postage
• Internet/ email connection
• Large entries should be explained
Page 75

76. Budget: Direct Cost
IFPRI
Reports and publications
• Cost of producing final report
• Cost of producing reports during the project
• Include estimated page charges from journals
• Find number of copies that can be duplicated
Page 76

77. Budget: Direct Costs
IFPRI
Travel
• In town and out of town
• Airfare
• Accommodations
• Ground transportation
• Professional conventions
• Per diem
• Justify foreign travel
Page 77

78. Budget: Direct Costs
IFPRI
Equipment rental and purchase
• Cost is > $500 and service life > 2 years
• Check inventory equipment
Own institutions
Neighboring institutions
• If unable to buy, can probably rent
Page 78

79. Budget
IFPRI
Contingency allowances
• Not explicitly in budget
• Higher personnel cost
• Can funds cross over to other
categories
Page 79

80. Budget: Rationale
IFPRI
Document how budget figures were
determined
Justify changes for multi-year
projects
Page 80

81. Budget: Key Questions
IFPRI
Will the budget …
• provide sufficient resources to carry out the
project?
• include a narrative that justifies the major items
of the budget?
• be in the format required by the sponsor and
your organization?
• provide enough detail that the reviewer can
easily see the way the items were calculated?
• show a clear relationship between the budget
items and the research activities?
• include any attachments or appendices to justify
unusual requests?
• identify evaluation and dissemination costs?
Page 81

82. Appendix
IFPRI Purpose
• To attach additional relevant information but is
peripheral and not absolutely required
Content
• Cooperation letter from administrators
• Sample items of new or unfamiliar tests and
technical information on their validity
• Description of unfamiliar statistical or research
procedures
• Samples of intended products
• Reprints of your articles
• Definition of terms
• Subcontract data Page 82

83. Appendix
IFPRI • Cooperative agreements
• Letters of support from collaborators/ cooperators
• Brochures about your research organization
• Department research reports
• Membership of research advisory boards
• An index
• Charts
Proposal section index to evaluation criteria
Personnel by required experience
Detailed work plan analysis
Personnel by task chart
Organizational chart
Textual or conceptual charts
» Referred to repeatedly
» Tab for easy access Page 83

84. Why Proposals Fail?
IFPRI
Procedure Section (Most common)
• Insufficient, vague or unclear description
• Discrepancies between the objectives and
procedures
• Design flaws
Problem Section
• Limited Significance
• Local significance
• Statements were nebulous, diffuse or unclear
• Insufficiently limited studies
• Lack of theoretical base
Page 84

85. Why Proposal fail? cont
IFPRI
Personnel
• Lack of training or experience
• Unfamiliarity with the literature or
methods
• Poor prior research record
• Heavy alliance on inexperienced
associates
• Low investment of researchers’ time
• Insufficient information on personnel
and their duties
Page 85

86. References
IFPRI AIM Tips on Writing Proposal.
http://minyos.its.rmit.edu.au/~rpyjp/Cdmatips.html
Access on 02/13/2001.
How to Write a Convincing Proposal: Strengthening Project Development, Donor
Relations, and Resource Mobilization in Agricultural Research. The Hague:
ISNAR. 2000.
Krathwohl, David. How to Prepare a Research Proposal: Guidelines for Funding
and Dissertations in the Social and Behavioral Sciences. Syracuse: Syracuse
University Press. 1998.
Reid, C.P. Patrick. Handbook for Preparing and Writing Research Proposals.
Vienna: IUFRO Special Programme for Developing Countries. 2000.
http://www.ersac.umn.edu/iufro/spdc/grantmanual.pdf Access on 02/13/2001.
Page 86

87. Appendix
IFPRI
Generating A Policy Oriented Research Idea
By
Manson Nwafor
Page 88

88. Generating A Policy Oriented Research Idea
IFPRI
Steps in the Policy Process
1. Define the societal problem
2. Generate a list of possible solutions
3. Evaluate the possible solutions
4. Select the most politically and socio-economically
suitable solution.
5. Implement and monitor the solution
6. Evaluate the implementation of the selected
solution
7. Go back to Step one where necessary
The policy maker needs research evidence that can
assist in steps 1 -3 – especially steps 2 and 3. Research
evidence is also needed in step 6.
Step 4 is more of a political/administrative decision
where many factors beyond the researcher’s scope of
work may be considered. Page 89

89. Generating A Policy Oriented Research
Idea
IFPRI
Sources of information on researchable
societal problems:
• Current news events
• Conclusions/Areas for further research from
previous studies
• Events occurring in similar localities
• Problems highlighted in stakeholder
workshops (Farmers, donors, policy makers,
agri-businessmen etc)
• Trends observed from Trends reports/trends
analysis
• Gaps/contradictions observed in the
government’s policy documents.
Page 90