Beruflich Dokumente
Kultur Dokumente
CHAPTER 3
Presenting Methodology
and Research Approach
65
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2: Research Sample
Describe the research sample and the population from which that sample was drawn. Discuss the
sampling strategy used. (Depending on the qualitative research tradition, a sample can include people,
texts, artifacts, or cultural phenomena.) In this section, describe the research site if appropriate
(program/institution/organization).
5: Data-Collection Methods
Explain that a selected literature review preceded data collection; although this informs the study,
indicate that the literature is not data to be collected. Identify and present all the data-collection
methods you used, and clearly explain the steps taken to carry out each method. Include in the
discussion any field tests or pilot studies you may have undertaken. To show that you have done a
critical reading of the literature, you may be required to discuss the strengths and weaknesses of
each method of data collection used. In this regard, you may either include in this section what the
literature says about each of the methods you will be using, or the literature on methods may be a
separate section.
7: Ethical Considerations
This section should inform the reader that you have considered the ethical issues that might arise
vis-à-vis your study and that you have taken the necessary steps to address these issues.
8: Issues of Trustworthiness
This section discusses the criteria for evaluating the trustworthiness of qualitative research—
credibility, dependability, and transferability. Moreover, you must indicate to the reader that you
have a clear understanding of the implications thereof vis-à-vis your own study and the strategies
you employed to enhance trustworthiness.
(Continued)
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were contacted, the number of individuals people who have experienced the same phe-
contacted, and the percentage of those who nomenon. In a grounded theory study, you
agreed to participate (i.e., the response rate). would choose the strategy known as theoret-
You also need to discuss why the specific ical sampling (or theory-based sampling),
method of sample selection used was con- which means that you examine individuals
sidered most appropriate. who can contribute to the evolving theory. In
In qualitative research, selection of the a case study, you might use the strategy of
research sample is purposeful (Patton 1990, maximum variation to represent diverse cases
2002). This type of sampling is sometimes to fully display multiple perspectives about
referred to as purposive sampling (Merriam, the cases. Appendix C presents an overview
1998) or judgment sampling (Gay, Mills, of the variety of purposeful sampling strate-
& Airasian, 2006). The logic of purposeful gies used in qualitative research.
sampling lies in selecting information-rich Once you have offered a rationale for
cases, with the objective of yielding insight your sampling strategy, you need to go on to
and understanding of the phenomenon under discuss the nature and makeup of your par-
investigation. This method is in contrast to ticular sample. Describe who these individu-
the random sampling procedures that char- als are, disclose how many individuals
acterize quantitative research, which is based constitute the sample, and provide relevant
on statistical probability theory. Random descriptive characteristics (e.g., age, gender,
sampling controls for selection bias and occupation, level of education, etc.). It is
enables generalization from the sample to a helpful to include charts to augment and
larger population—a key feature of quantita- complement the narrative discussion. Pro-
tive research. Remember, one of the basic viding information regarding selection proce-
tenets of qualitative research is that each dures and research participants will aid
research setting is unique in its own mix of others in understanding the findings. Having
people and contextual factors. The resear- provided a description of the research sample
cher’s intent is to describe a particular con- and the setting, you are now ready to pro-
text in depth, not to generalize to another ceed to explain exactly what types of infor-
context or population. Representativeness in mation you will need from the participants.
qualitative research is secondary to the par-
ticipants’ ability to provide information
Overview of Information Needed
about themselves and their setting.
As its name suggests, a qualitative researcher This section briefly describes the kinds
has reasons (purposes) for selecting specific of information you need to answer your
participants, events, and processes. The pur- research questions and thus shed light on the
poseful selection of research participants thus problem you are investigating. Four areas of
represents a key decision in qualitative information are typically needed for most
research. Thus, in this section, you need to qualitative studies: contextual, perceptual,
identify and provide a brief rationale for your demographic, and theoretical. The following
sampling strategy. The strategy that you sections define the content and the specific
choose depends on the purpose of your study, relevancy of each of these areas.
and you need to make that clear in your dis-
cussion. For example, in a phenomenological
Contextual Information
study, you might employ “criterion-based
sampling.” Criterion sampling works well Contextual information refers to the con-
when all the individuals studied represent text within which the participants reside or
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work. It is information that describes the data point (e.g., age) may explain a certain
culture and environment of the setting, be it finding that emerged in the study.
an organization or an institution. It is essen- Demographic information is typically col-
tial information to collect when doing a case lected by asking participants to complete a
study set in a particular site or multiple simi- personal data sheet either before or after the
lar sites because elements within the environ- interview or other data-collection methods
ment or culture may, as Lewin (1935) take place. The information is then arrayed
reminds us, influence behavior. Lewin’s fun- on a matrix that shows participants by
damental proposition is that human behavior pseudonym on the vertical axis and the demo-
is a function of the interaction of the person graphic data points (age, gender, education,
and the environment. This theory is particu- etc.) on the horizontal axis, as illustrated in
larly relevant when one is trying to under- Table 3.2. This demographic matrix, which
stand the learning behaviors of a discrete is usually presented in the prior section, in
segment of a population in a particular orga- which you discuss your research sample, can
nizational or institutional setting. also later be used in conjunction with fre-
Given the nature of contextual informa- quency charts. The latter, to be explained fur-
tion, such a review would provide knowledge ther later on, table the findings to help you
about an organization’s history, vision, with cross-case analysis, which is required
objectives, products or services, operating later in the dissertation process. A sample
principles, and business strategy. In addition, completed participant demographics matrix
information on an organization or institu- appears as Appendix D.
tion’s leaders and its structure, organiza-
tional chart, systems, staff, roles, rules, and
Perceptual Information
procedures would be included in this area of
information. The primary method of collect- Perceptual information refers to partici-
ing contextual information is through an pants’ perceptions related to the particular
extensive review of organization/institutional subject of your inquiry. Particularly in
internal documents, as well as a review of qualitative research when interviews are
relevant external documents that refer in often the primary method of data collec-
some way to the organization or institution. tion, perceptual information is the most
Documentation can be of a descriptive and/or critical of the kinds of information needed.
evaluative nature. Perceptual information relies, to a great
extent, on interviews to uncover partici-
pants’ descriptions of their experiences
Demographic Information
related to such things as: how experiences
Demographic information is participant influenced the decisions they made, whether
profile information that describes who the participants had a change of mind or a shift
participants in your study are—where they in attitude, whether they described more of
come from, some of their history and/or a constancy of purpose, what elements rel-
background, education, and personal infor- ative to their objectives participants per-
mation such as age, gender, and ethnicity. ceived as important, and to what extent
Such demographic information is needed to those objectives were met.
help explain what may be underlying an indi- It should be remembered that perceptions
vidual’s perceptions, as well as the similari- are just that—they are not facts—they are
ties and differences in perceptions among what people perceive as facts. They are
participants. In other words, a particular rooted in long-held assumptions and one’s
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Years
Participant Enrolled
(by pseudonym) Age Male % Female % Ethnicity Education In . . .
Participant 1
Participant 2
Participant 3
Participant 20
N = 20
own view of the world or frame of reference. directly related to the research questions, there-
As such, they are neither right nor wrong; fore providing answers to the respective
they tell the story of what participants research questions. For planning purposes, the
believe to be true. alignment indicates the particular methods you
will use to collect the information. It is useful
to array a table similar to Table 3.3, which
Theoretical Information
illustrates how you might go about setting up
Theoretical information includes informa- such a matrix. A sample matrix showing a
tion searched and collected from the various completed overview of information needed is
literature sources to assess what is already presented as Appendix E.
known regarding your topic of inquiry.
Theoretical information serves to:
Research Design
• Support and give evidence for your method- Once you are clear about the information
ological approach;
you need and the methods you will use to
• Provide theories related to your research
obtain that data, you are ready to develop
questions that form the development and
ongoing refinement of your conceptual
and present your research design. Whatever
framework; combination of methods you choose to use,
• Provide support for your interpretation, there is a need for a systematic approach to
analysis, and synthesis; and your data. The main objectives of this section
• Provide support for conclusions you draw are to identify and present the data-collection
and recommendations you suggest. methods and explain clearly the process you
undertook to carry out each method. Be sure
It is recommended that you create a matrix to include in your discussion any field tests or
that aligns your research questions with the pilot studies you may have undertaken to
information you assess is needed and the meth- determine the usefulness of any instruments
ods that you will use to collect that informa- you have developed. Because the research
tion. Creating this type of alignment ensures design in qualitative research is flexible, also
that the information you intend to collect is mention any modifications and changes you
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(a) Contextual
To provide context Organizational background, history, Document
and background and structure; mission; vision; values; Review,
products; services; organizational culture; Observation
leadership; staff and site description
might have made to your design along the developed from the literature review was used
way. That is, describe all the steps that you to guide the data analysis, interpretation, and
took as you moved through the study to col- synthesis phases of the research. This litera-
lect your data. Indicate the order in which ture review statement comes before the iden-
these steps occurred, as well as how each step tification and description of methods because,
informed the next. The narrative can be although the literature review is ongoing, gen-
accompanied by a flowchart or diagram that erating new information and supporting evi-
illustrates the steps involved. A sample dence, it is not a data-collection method per
research design flowchart appears in se. You are now ready to discuss the methods
Appendix F. you will use in your study.
Appropriate methods are derived from
having done your analysis of the kinds of
Methods of Data Collection
information you need to answer your
research questions. The discussion of meth- Qualitative researchers are concerned
ods and process is preceded by a brief state- about the validity of their communication.
ment concerning your literature review. The To reduce the likelihood of misinterpreta-
purpose of this brief pre-data-collection liter- tion, we employ various procedures, includ-
ature review statement is to underscore: ing redundancy of data gathering and
(a) the theoretical grounding for the study, procedural challenges to explanation. These
(b) that the review of the literature was procedures, called triangulation, are consid-
ongoing and related research was continually ered a process of using multiple perceptions
updated, and (c) that the conceptual framework to clarify meaning. Keep in mind that the use
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you have done this for each of your research in preparation to write up and present your
questions, you should have a list of 12 to 15 findings (chap. 4) and then how you went on
interview questions. To do a preliminary test of to analyze and interpret your findings (chap. 5).
your interview questions, think about all prob- Thus, it is important to note that this section
able responses you might get from each inter- of chapter 3 can be written only after you
view question, and reframe the questions until have written up the findings and analysis
you are satisfied they will engender the kind of chapters of your dissertation.
responses that refer directly to the research The process of data analysis begins with
questions. A sample of a completed interview putting in place a plan to manage the large vol-
schedule or interview protocol based on ume of data you collected and reducing it in a
research questions is presented as Appendix H. meaningful way. You complete this process to
Constructing a matrix that lists the identify significant patterns and construct a
research questions along the horizontal axis framework for communicating the essence of
and the interview questions down the vertical what the data revealed given the purpose of
axis can further indicate the extent to which your study. Here your conceptual framework
your interview questions have achieved the becomes the centerpiece in managing the data.
necessary coverage of your research questions. The categories that comprise your conceptual
Table 3.4 is an illustration of this approach. framework become the repositories of your
This type of matrix, which allows a visual data. Thus, as you look at your raw data, cat-
overview of the required coverage of the egorize them within the construct of your con-
research questions via the interview schedule, ceptual framework and assign initial codes to
in conjunction with pilot interviews, can help relevant quotes. This iterative process of open
you further refine your interview questions. coding leads to the ongoing refinement of what
will become your final coding schema.
Generally, include your coding schema or cod-
Data Analysis and Synthesis
ing legend as an appendix. Appendix I is a
In this section, you report on how you completed coding scheme sample. In addition,
managed, organized, and analyzed your data it is useful to show the reader how your coding
Research Questions
Interview
Questions 1: 2: 3: 4:
(a) provide a detailed description of how you process: data collection, data analysis and
went about analyzing your data, (b) refer to interpretation, and dissemination of the
the matrices that you used to display your research findings. For the most part, issues of
data, and (c) identify the coding processes ethics focus on establishing safeguards that
used to convert the raw data into themes for will protect the rights of participants and
analysis. Your description should include include informed consent, protecting partici-
specific details about how you managed the pants from harm, and ensuring confidential-
large amount of data. Include information ity. As a qualitative researcher, you need to
about the computer software, Post-it notes, remain attentive throughout your study
index cards, flip charts, or other processes to the researcher–participant relationship,
that you used. This list helps the reader which is determined by roles, status, and
clearly understand how and in what ways cultural norms.
you reduced or transformed your data. In this section of chapter 3, you need to
As a last point in this section, it is impor- show the reader that you have considered the
tant that researchers understand what is ethical issues that might arise vis-à-vis your
meant by synthesis of the data. Whereas own study, you are sensitive to these issues,
analysis splits data apart, synthesis is the pro- and you have taken the necessary steps to
cess of pulling everything together: (a) how address these issues. In most instances, you
the research questions are answered by the will be talking in generalities; the potential
findings, (b) how the findings from inter- issues that could arise apply to any qualitative
views are supported from all other data- research study and are usually not specific to
collection methods, (c) how findings relate to your own. Because protection of human sub-
the literature, and (d) how findings relate to jects is such an important issue in social
the researcher’s going-in assumptions about the science research, the main point is that you
study. This process is not linear; rather, you acknowledge and convey to the reader that
describe your findings, interpret and attach you have considered and taken heed of the
meaning to them, and synthesize throughout issues involved. Remember, informed consent
your discussion. is central to research ethics. It is the principle
that seeks to ensure that all human subjects
retain autonomy and the ability to judge for
Ethical Considerations themselves what risks are worth taking for
As researchers, we are morally bound to the purpose of furthering scientific knowl-
conduct our research in a manner that mini- edge. In this regard, it is important that you
mizes potential harm to those involved in the include in your appendix a copy of the con-
study. We should be as concerned with pro- sent form that you used in your study. A sam-
ducing an ethical research design as we are an ple consent form appears in Appendix K.
intellectually coherent and compelling one.
Colleges, universities, and other institu-
Issues of Trustworthiness
tions that conduct research have institutional
review boards (IRBs) whose members review In quantitative research, the standards
research proposals to assess ethical issues. that are most frequently used for good and
Although all studies must be approved by convincing research are validity and relia-
your institution’s IRB committee, there are bility. If research is valid, it clearly reflects
some unique ethical considerations sur- the world being described. If work is reli-
rounding qualitative research because of its able, then two researchers studying the
emergent and flexible design. Ethical issues same phenomenon will come up with com-
can indeed arise in all phases of the research patible observations. Criteria for evaluating
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qualitative research differ from those used with readers. You should continually
in quantitative research, in that the focus is monitor their own subjective perspec-
on how well the researcher has provided tives and biases by recording reflective
evidence that her or his descriptions and field notes or keeping a journal through-
out the research process.
analysis represent the reality of the situa-
b. Discuss how you engaged in repeated
tions and persons studied. In this section of
and substantial involvement in the field.
chapter 3, you need to clarify to the reader
Prolonged involvement in the field facili-
how you have accounted for trustworthi- tates a more in-depth understanding of
ness regarding your own study. the phenomenon under study, convey-
As mentioned previously, qualitative ing detail about the site and the par-
research is characterized by an ongoing dis- ticipants that lends credibility to your
course regarding the appropriate and accept- account.
able use of terminology. Current thinking c. An aspect of credibility involves
has led some qualitative researchers to checking on whether your interpreta-
develop alternative terminology to better tion of the processes and interactions
reflect the nature and distinction of qualita- in the setting is valid. Typically, qual-
itative researchers collect multiple
tive research, whereas others still feel
sources of data. The information pro-
comfortable borrowing terminology from
vided by these different sources
quantitative research. While some qualitative
should be compared through triangu-
researchers argue for a return to terminology lation to corroborate the researcher’s
for ensuring rigor that is used by mainstream conclusions.
science (Morse, Barrett, Mayan, Olson, & d. Triangulation of data-collection meth-
Spiers, 2002), others object to the use of tra- ods also lends credibility. Using multi-
ditional terms such as validity and reliability, ple methods corroborates the evidence
preferring instead credibility and dependabil- that you have obtained via different
ity. This contrast is a matter of institutional means.
and/or personal preference, and we recom- e. Present negative instances or dis-
mend that you check with your advisor in crepant findings. Searching for varia-
tion in the understanding of the
this regard. Lincoln and Guba (1985) and
phenomenon entails seeking instances
Guba and Lincoln (1998), among others,
that might disconfirm or challenge the
belong to the latter camp, proposing various
researcher’s expectations or emergent
criteria for evaluating the trustworthiness of findings. Because real life is composed
qualitative research: of different perspectives that do not
1. Credibility: This criterion refers to always coalesce, discussing contrary
information adds to the credibility of
whether the participants’ perceptions match
your account.
up with the researcher’s portrayal of them. In
f. To ensure that the researcher’s own
other words, has the researcher accurately biases do not influence how partici-
represented what the participants think, feel, pants’ perspectives are portrayed, and
and do? Credibility parallels the criterion of to determine the accuracy of the find-
validity (including both validity of measures ings, you can make use of “member
and internal validity) in quantitative research. checks,” which entails sending the
Evidence in support of credibility can take transcribed interviews or summaries
several forms: of the researcher’s conclusions to
a. Clarify up front the bias that you, as participants for review.
the researcher, bring to the study. This g. Use “peer debriefing” to enhance the
self-reflection creates an open and accuracy of your account. This process
honest attitude that will resonate well involves asking a colleague to examine
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your field notes and then ask you ques- “thick description” (Denzin, 1989/2001).
tions that will help you examine your Thick description is a vehicle for com-
assumptions and/or consider alterna- municating to the reader a holistic and
tive ways of looking at the data. realistic picture.
b. The amount of detailed information
2. Dependability: This criterion parallels that is provided by the researcher
reliability, although it is not assessed through regarding the context and/or background
statistical procedures. Dependability refers to also offers an element of shared
whether one can track the processes and pro- experience.
cedures used to collect and interpret the data:
a. Provide detailed and thorough expla- This section of the dissertation’s chapter 3
nations of how the data were collected addresses this central question: How do we
and analyzed, providing what is
know that the qualitative study is believable,
known as an “audit trail.” Although it
accurate, and plausible? To answer this ques-
is not possible to include all of your
data in the findings chapter, many
tion, one must have some knowledge of the
qualitative researchers make it known criteria of trustworthiness in qualitative
that their data are available for review research and the approaches to addressing
by other researchers. these criteria. You need to discuss the criteria
b. Ask colleagues to code several inter- for evaluating the trustworthiness of qualita-
views, thereby establishing inter-rater tive research and to indicate to the reader
reliability. This process of checking on that you have a clear understanding of the
the consistency between raters reduces implications thereof vis-à-vis your own
the potential bias of a single researcher study. As the researcher, you are expected to
collecting and analyzing the data. display sensibility and sensitivity to be the
3. Transferability: Although qualitative research instrument. Begin this section by
researchers do not expect their findings to discussing what validity and reliability in
be generalizable to all other settings, it is qualitative research involves, using references
likely that the lessons learned in one setting from the literature to support your state-
might be useful to others. Transferability is ments. Then go on to talk about the strate-
not whether the study includes a represen- gies that you have employed to enhance the
tative sample. Rather, it is about how well trustworthiness of your own study vis-à-vis
the study has made it possible for the validity (credibility), reliability (dependabil-
reader to decide whether similar processes ity), and generalizability (transferability).
will be at work in their own settings and
communities by understanding in depth Limitations of the Study
how they occur at the research site. Thus,
Confusion sometimes exists around the
transferability refers to the fit or match
terms delimitations and limitations, and this
between the research context and other
issue deserves some clarification. Delimitations
contexts as judged by the reader. As a cri-
clarify the boundaries of your study. They
terion of trustworthiness, transferability is
are a way to indicate to the reader how you
assessed by the following factors:
a. The richness of the descriptions narrowed the scope of your study. As the
included in the study give the discus- researcher, you control the delimitations, and
sion an element of shared or vicarious you should make this clear. Typical delimita-
experience. Qualitative research is tions are selected aspects of the problem,
indeed characterized generally by time and location of the study, sample
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selected, and so on. Limitations of the study thoroughly elaborated, and hence would
expose the conditions that may weaken the require a much more extensive discussion.
study (Locke, Spirduso, & Silverman, 2000;
Rossman & Rallis, 2003).
In this section of chapter 3, you cite poten-
SECTION II: APPLICATION
tial limitations and your means of addressing/
guarding against these limitations. Regardless
of how carefully you plan a study, there are
always some limitations, and you need to CHAPTER III
explicitly acknowledge these. This section
Methodology
describes the problems inherent in qualitative
research and how you can control for these Introduction
limitations to the extent possible. In most The purpose of this multicase study was to
instances, you can control for limitations by explore with a sample of doctoral candidates
acknowledging them. Limitations arise from, their perceptions of why they have not managed
among other things, restricted sample size, to complete their dissertations. The researcher
sample selection, reliance on certain tech- believed that a better understanding of this phe-
niques for gathering data, and issues of nomenon would allow educators to proceed from
researcher bias and participant reactivity. a more informed perspective in terms of design
Discussing limitations is intended to show the and facilitation of doctoral programs. In seeking
reader that you understand that no research to understand this phenomenon, the study
project is without limitations, and that you addressed five research questions: (a) On comple-
have anticipated and given some thought to tion of their coursework, to what extent did par-
the shortcomings of your research. Stating the ticipants perceive they were prepared to conduct
limitations also reminds the reader that your research and write the dissertation? (b) What did
study is situated with a specific context, and participants perceive they needed to learn to
the reader can make decisions about its use- complete their dissertation? (c) How did partici-
fulness for other settings. pants attempt to develop the knowledge, skills,
and attitudes they perceived are necessary to
complete the dissertation? (d) What factors did
Chapter Summary
participants perceive might help them to com-
The purpose of a final culminating sum- plete the dissertation? (e) What factors did par-
mary is to tie together everything that you ticipants perceive have impeded and/or continue
have presented in this chapter. Provide a short to impede their progress in working toward com-
summary overview, making sure to cover all pleting their dissertation?
the sections of this chapter, recapping and This chapter describes the study’s research
highlighting all the important points. Keep methodology and includes discussions around the
the discussion concise and precise. following areas: (a) rationale for research approach,
The application section that follows is a (b) description of the research sample, (c) summary
skeleton view of what a methodology chap- of information needed, (d) overview of research
ter should look like. The methodology chap- design, (e) methods of data collection, (f) analysis
ter, as evidenced from the prior instructions, and synthesis of data, (g) ethical considerations,
is lengthy, and much detail is required in (h) issues of trustworthiness, and (i) limitations of
each section. In an actual dissertation, the study. The chapter culminates with a brief con-
each section of this chapter would be more cluding summary.
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Rationale for Qualitative Research Design social unit, or system bounded by time or place (Berg,
2004; Creswell, 1998; Merriam, 1998; Merriam &
Qualitative research is grounded in an essen- Associates, 2002; Miles & Huberman, 1994; Stake,
tially constructivist philosophical position, in the 1994, 1995, 2000, 2001). As Merriam (1998) indi-
sense that it is concerned with how the complexi- cates, qualitative case study is an ideal design for
ties of the sociocultural world are experienced, understanding and interpreting educational phe-
interpreted, and understood in a particular con- nomena. As she describes it,
text and at a particular point in time. The intent of
qualitative research is to examine a social A case study design is employed to gain an in
situation or interaction by allowing the researcher depth understanding of the situation and mean-
to enter the world of others and attempt to ing for those involved. The interest is in process
achieve a holistic rather than a reductionist under- rather than outcomes, in context rather than a
standing (Bogdan & Biklen, 1998; Locke et al., specific variable, in discovery rather than confir-
2000; Mason, 1996; Maxwell, 2005; Merriam, mation. Insights gleaned from case studies can
directly influence policy, practice, and future
1998; Merriam & Associates, 2002; Patton, 1990;
research. (Merriam, 1998, p. 19)
Schram, 2003; Schwandt, 2000). Qualitative
methodology implies an emphasis on discovery
The present research fit well with Merriam’s cri-
and description, and the objectives are generally
teria because it sought to better understand why
focused on extracting and interpreting the mean-
certain people who complete the coursework do
ing of experience (Bogdan & Biklen, 1998; Denzin
not go on to complete the dissertation and hence
& Lincoln, 2003; Merriam, 1998). These objectives
do not graduate with a doctoral degree.
are contrasted with those of quantitative research,
where the testing of hypotheses to establish facts
and to designate and distinguish relationships The Research Sample
between variables is usually the intent.
It was the researcher’s contention that purely A purposeful sampling procedure was used to
quantitative methods were unlikely to elicit the select this study’s sample. To yield the most infor-
rich data necessary to address the proposed mation about the phenomenon under study, pur-
research purposes. In the researcher’s view, the poseful sampling is a method that is typical of case
fundamental assumptions and key features that study methodology (Patton, 1990; Silverman,
distinguish what it means to proceed from a qual- 2000). The researcher sought to locate individuals
itative stance fit well with this study. These fea- at a variety of universities. Thus, a snowball sampling
tures include (a) understanding the processes by strategy, sometimes referred to as network or chain
which events and actions take place, (b) develop- sampling (Miles & Huberman, 1994; Patton, 2002),
ing contextual understanding, (c) facilitating inter- was employed, whereby participants were asked to
activity between researcher and participants, refer other individuals whom they knew to be ABD.
(d) adopting an interpretive stance, and (e) main- The criteria for selection of participants were:
taining design flexibility.
• All participants were enrolled in a doctoral pro-
gram for at least 3 years, and
Rationale for Case • All participants completed the coursework and
passed the certification examination.
Study Methodology
Within the framework of a qualitative approach, A delimiting time frame of 3 years was
the study was most suited for a case study design. As decided on by the researcher to ensure adequate
a form of research methodology, case study is an experience in a doctoral program. Purposeful
intensive description and analysis of a phenomenon, sampling allowed for sampling across various
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locations in the United States. The research sam- 1. Preceding the actual collection of data, a
ple included 20 individuals. Included in the selected review of the literature was conducted to
sample were individuals from doctoral programs study the contributions of other researchers and
at nine universities, including Columbia University, writers in the broad areas of higher educational
programs and adult learning theory.
Wayne State University, University of Massachusetts,
University of Georgia, University of Southern 2. Following the proposal defense, the researcher
California, University of Michigan, Rutgers acquired approval from the IRB to proceed
University, Fordham University, and Northwestern with the research. The IRB approval process
University. Purposeful selection also was based on involved outlining all procedures and pro-
variation across certain distinguishing character- cesses needed to ensure adherence to stan-
istics. Although participants were all ABD doc- dards put forth for the study of human
subjects, including participants’ confidentiality
toral candidates, there were differences among
and informed consent.
them along the following parameters: length of
time spent in doctoral program, university and 3. Potential research participants were contacted by
discipline, gender, age, and occupation. telephone, and those who agreed to participate
were sent a questionnaire by mail. The survey was
designed to collect demographic as well as per-
Information Needed to
ceptual data.
Conduct the Study
4. Semistructured, in-depth interviews were con-
This multicase study focused on 20 doctoral
ducted with 20 ABD doctoral candidates in nine
candidates from nine universities located in differ-
universities located across the United States.
ent regions of the United States. In seeking to
understand why these doctoral candidates have 5. Interview data responses were analyzed within
not obtained doctoral degrees, five research ques- and between groups of interviewees.
tions were explored to gather the information 6. Critical incident instruments were given to partic-
needed. The information needed to answer these ipants at the end of each interview to check data
research questions was determined by the concep- collected through other means. Of the 20 partic-
tual framework and fell into three categories: ipants, 12 responded.
(a) perceptual, (b) demographic, and (c) theoreti-
7. A focus group was conducted with six ABDs who
cal. This information included: were drawn from the pool of participants identi-
fied for this study to cross-check data from that
• Doctoral candidates’ perceptions of what they group with the data collected through interviews.
needed to know and how they went about
obtaining what they needed to conduct their
research and complete their dissertations. Literature Review
• Demographic information pertaining to partici-
pants, including years in program, doctoral pro- An ongoing and selective review of literature
gram concentration/discipline, age, gender, and was conducted to inform this study. Two topics of
ethnicity. literature were identified: higher education doc-
• An ongoing review of the literature providing toral programs and adult learning theory. The focus
the theoretical grounding for the study. of the review was to gain a better understanding of
what prompted participants to enroll in doctoral
programs, the requirements and challenges
Overview of Research Design
inherent in these programs, and the effect on
The following list summarizes the steps used to participants and the means they took to meet the
carry out this research. Following this list is a more requirements and overcome the challenges they
in-depth discussion of each of these steps. faced.
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as the framework to develop the interview ques- a data-collection method first formulated by
tions. Matrices were constructed to illustrate the Flanagan (1954), are useful because qualitative
relationship between this study’s research ques- research methodology emphasizes process and is
tions and the interview questions as they were based on a descriptive and inductive approach to
being developed. Three doctoral colleagues were data collection (Bogdan & Biklen, 1998). Of partic-
then asked to review and provide feedback to the ular importance is that written critical incident
researcher. Their comments were incorporated, and reports probe assumptions, allowing time for reflec-
the researcher resubmitted the schedule of ques- tion (Argyris & Schon, 1996; Brookfield, 1991;
tions to her advisor. With the advisor’s approval, Marshall & Rossman, 2006).
two pilot interviews were conducted by phone. Although there is support in the literature for
The preliminary themes that emerged from the the use of the critical incident as an effective
pilot interviews revolved around reasons that technique for enhancing data collection, with sev-
individuals enroll in doctoral programs and their eral authors noting its advantages (Bogdan &
learning during the process. From the pilot inter- Biklen, 1998; Brookfield, 1986, 1987, 1991;
views, a series of open-ended questions was Flanagan, 1954), the researcher was mindful of
developed, which enabled the researcher the Brookfield’s repeated caution that critical inci-
flexibility to allow new directions to emerge dur- dents cannot be the sole technique for collecting
ing the interview. The final interview schedule is data. Critical incidents are too abbreviated to pro-
included as Appendix H. vide the rich descriptions that can be obtained in
interviews and observations. A further concern
Interview Process. The researcher sent individual regarding the use of critical incident reports has
e-mails to prospective participants describing the to do with the accuracy of data because this tech-
purpose of the study, inviting their participation, nique relies solely on the respondents’ recall. A
and requesting a convenient date and time for a related concern is that, although reporting infor-
telephone interview. The researcher sent confirm- mation that respondents perceive is important,
ing e-mails to the 20 individuals who agreed to be the researcher may fail to report salient incre-
interviewed. The interviews took place between mental data and the information, as such, may be
August and October 2006. Before the interview incomplete.
commenced, the interviewee was asked to review The critical incident instrument was developed
and sign a university consent form required for par- by the researcher and further refined by her advi-
ticipation in this study (see Appendix I). All inter- sor. The instrument was field tested in conjunction
views were conducted telephonically and were with the pilot interviews. The results of the field test
tape recorded in their entirety. At the end of each called for minor revisions, and these were incorpo-
interview, the interviewee was asked to complete rated into a final critical incident form/instrument.
and return by e-mail the critical incident instru- This instrument is included as Appendix M.
ment, which had been prepared by the researcher. The critical incident instrument was subse-
On completion of the interview, the audio tape was quently given to the 20 participants in this study at
transcribed verbatim. the end of each interview by the researcher. The
instrument asked respondents to think about a spe-
cific time when they felt ill-prepared to conduct
Phase III: Critical Incidents
some part of the dissertation process. Specifically,
The researcher selected critical incident instru- participants were asked to briefly describe the inci-
ments with the intention of corroborating interview dent, indicating who was involved, what they
data and, further, to allow the uncovering of per- learned, and how they thought their learning
ceptions that might not have been revealed would influence how they would handle
through the interviews. Critical incident reports, similar situations in the future. Participants were
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given a self-addressed envelope and were (a) to augment the information obtained, and (b) to
requested at the end of the interview to return provide additional data to ensure trustworthiness
completed critical incidents to the researcher as and credibility. In the open-ended format that was
soon as possible. The researcher received 12 com- used, the researcher asked the group to explore two
pleted critical incidents from among the 20 partic- issues. First, what did they feel helped them the
ipants. Although the researcher had hoped for a most in the research process? Second, what chal-
greater response, when analyzed, the returned crit- lenges and obstacles did they encounter that
ical incidents served as a “validity check” on some impeded their progress?
aspects of the data uncovered in the interviews. The researcher contacted the 20 study partici-
pants seeking their interest in joining a focus group
discussion. The study participants were advised of
Phase IV: Focus Group
the purpose and were told that the discussion
Focus groups, or group interviews, possess ele- would be held over an Internet Conference Call
ments of both participant observation and individ- System and would be audiotaped. Eleven of the 20
ual interviews, while also maintaining their own participants responded that they would be willing
uniqueness as a distinctive research method to join the discussion, and the first 6 respondents
(Morgan, 1997). A focus group is essentially a were selected. A general e-mail was sent by the
group discussion focused on a single theme researcher thanking the participants who had
(Kreuger, 1988). The goal is to create a candid con- expressed interest. Following that, the researcher
versation that addresses, in depth, the selected contacted each of the focus group members to
topic. The underlying assumption of focus groups is schedule a convenient time to hold the discussion.
that, within a permissive atmosphere that fosters a
range of opinions, a more complete and revealing
Methods for Data
understanding of the issues will be obtained. Focus
Analysis and Synthesis
groups are planned and structured, but are also
flexible tools (Vaughn, Schumm, & Sinagub, 1996). The challenge throughout data collection and
Kreuger and Casey (2000) list various uses of focus analysis was to make sense of large amounts of
groups, many of which fit well with this study’s pur- data, reduce the volume of information, identify
pose. These are to: (a) elicit a range of feelings, significant patterns, and construct a framework In
opinions, and ideas; (b) understand differences in this regard, Merriam (1998) cautions researchers to
perspectives; (c) uncover and provide insight make data analysis and data collection a simulta-
into specific factors that influence opinions; and neous activity to avoid the risk of repetitious, unfo-
(d) seek ideas that emerge from the group. cused, and overwhelming data.
It must be acknowledged that focus groups, The formal process of data analysis began by
while serving a useful function, are not without dis- assigning alphanumeric codes according to the
advantages. Among these disadvantages is “group- categories and descriptors of the study’s conceptual
think” as a possible outcome (Fontana & Frey, framework. The researcher prepared large flip chart
2003). Furthermore, logistical difficulties might sheets. These sheets were color coded and taped on
arise from the need to manage conversation while the wall. Each sheet identified the descriptors under
attempting to extract data, thus requiring strong the respective categories of the conceptual frame-
facilitation skills. work. As the process of coding the transcripts pro-
One 1½-hour formative focus group was con- ceeded, new flip chart sheets were prepared to
vened with six participants who were not part of the capture other themes as they emerged.
study sample. These participants were purposefully Before cutting and pasting coded participant
selected based on the established criteria. The quotations, the researcher shared samples of
purpose of this focus group interview was twofold: coded interviews with two colleagues. Discussion
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with both colleagues confirmed the researcher’s Merriam, 1998; Pring, 2000; Punch, 1994;
designations. The researcher also prepared writ- Schram, 2003). A social science researcher is
ten narratives on each of the sheets after all the responsible for both informing and protecting
data had been assigned. These narratives were respondents. The research process involves
helpful in cross-checking the data and served as enlisting voluntary cooperation, and it is a basic
a secondary analysis. premise that participants are informed about
As a final step, to see whether there were any the study’s purpose. The central issue with
variables that would account for similarities or dif- respect to protecting participants is the ways in
ferences among participants, the researcher tested which the information is treated. Although it
the coded data on the sheets against the frequency was anticipated that no serious ethical threats
charts prepared for each finding and the numeri- were posed to any of the participants or their
cally coded profile data on the participants. This well-being, this study employed various safe-
step aided the researcher in her cross-case analysis guards to ensure the protection and rights of
of the data, which is described more fully later. participants.
The coding process fragments the interview into First, informed consent remained a priority
separate categories, forcing one to look at each throughout the study. Written consent to voluntarily
detail, whereas synthesis involves piecing these proceed with the study was received from each par-
fragments together to reconstruct a holistic and ticipant. Second, participants’ rights and interests
integrated explanation. Overall, the researcher’s were considered of primary importance when
approach was to come up with a number of clus- choices were made regarding the reporting and dis-
ters, patterns, or themes that were linked together, semination of data. The researcher was committed
either similarly or divergently and that collectively to keeping the names and/or other significant
described or analyzed the research arena. Toward identity characteristics of the sample organizations
this end, the researcher essentially followed a confidential. Cautionary measures were taken to
three-layered process in thinking about the data. secure the storage of research-related records and
First, she examined and compared threads and pat- data, and nobody other than the researcher had
terns within categories. Second, she compared con- access to this material.
necting threads and patterns across categories.
Third, the current work was situated with respect to
Issues of Trustworthiness
prior research and was compared and contrasted
with issues that had been raised by the broader lit- In qualitative research, trustworthiness features
erature. These three layers were not separate, but consist of any efforts by the researcher to address the
were interlocked and iterative throughout the syn- more traditional quantitative issues of validity (the
thesizing process. degree to which something measures what it pur-
Based on analysis and synthesis, the researcher ports to measure) and reliability (the consistency
was able to move forward and think about the with which it measures it over time). In seeking to
broader implications of this research. Toward this establish the trustworthiness of a qualitative study,
end, she formulated several conclusions and Guba and Lincoln (1998) use the terms credibility,
developed various practical and research-related dependability, confirmability, and transferability,
recommendations. arguing that the trustworthiness of qualitative
research should be assessed differently from quanti-
tative research. Regardless of the terminology used,
Ethical Considerations
qualitative researchers must continue to seek to
In any research study, ethical issues relating control for potential biases that might be present
to protection of the participants are of vital con- throughout the design, implementation, and anal-
cern (Berg, 2004; Marshall & Rossman, 2006; ysis of the study.
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blindly so as not to associate any material or enabled the key themes from the findings to be
data with any particular individual. To address identified. Through a comparison with the liter-
the problem of participant reactivity, the ature, interpretations and conclusions were
researcher continued to reflect on how and drawn, and recommendations were offered for
in what ways she might be influencing both educational practice and further research.
participants. Furthermore, she made a conscious The intent was that this study would make a
attempt to create an environment that was con- contribution to the understanding of doctoral
ducive to honest and open dialogue. Experience students, current and future, with regard to
as an interviewer, as well as prior research expe- their completing a dissertation. Additionally,
rience, was helpful in this regard. it is hoped that this study will be of value to
Aside from issues pertaining to bias and reac- those educators who are responsible for doctoral
tivity, a further major limitation of this study was programs.
that the research sample was restricted. Therefore,
a critique of this research might be the limited
possibility of generalizing this study to other
groups and other programs. Although generaliz- SUMMARY DISCUSSION
ability was not the intended goal of this study, FOR CHAPTER 3
what the researchers addressed is the issue of
transferability (Lincoln & Guba, 1985). By way of Writing the methodology chapter requires
thick, rich description, as well as detailed infor- time, mind work, and a great deal of reflec-
mation regarding the context and background of tion about the nature of your inquiry. You
the study, it was anticipated that knowledge most certainly want to present well-reasoned
could be assessed for its applicability and applied research that will illustrate the integrity of
appropriately in other contexts. your study. Be sure to give careful thought
to how you present the discussion, and, as
always, remember to work from an outline.
Chapter Summary
Your headings and subheadings in this chap-
In summary, this chapter provided a detailed ter are contingent on your particular univer-
description of this study’s research methodology. sity’s requirements. How well you present
Qualitative case study methodology was employed this chapter illustrates to the reader that you
to illustrate the phenomenon of why some people have carefully designed and produced a
who complete all the doctoral coursework do not sound study based on the principles of qual-
go on to complete the dissertation, never obtain itative research.
the doctoral degree, and hence remain ABD. The As emphasized throughout this book,
participant sample was made up of 20 purpose- writing a dissertation is not a linear process.
fully selected individuals. Three data-collection Rather, it is an iterative and recursive one
methods were employed, including individual inter- that requires much back and forth, reminder
views, critical incidents, and a focus group. The data notes to yourself, and memos to change,
were reviewed against literature as well as emer- revise, and update what you have already
gent themes. Credibility and dependability were written. Chapter 3 is one of those chapters
accounted for through various strategies, including that must remain flexible and open to change
source and method triangulation. right up to the very end. Frustration is
A review of the literature was conducted to inevitable, but don’t despair! This is all part
devise a conceptual framework for the design and parcel of managing and organizing the
and analysis of the study. A process analysis research and writing process.
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Chapter Checklist
9 Do you have a clear introduction to this chapter that includes your purpose statement (if required),
as well as an explanation of how the chapter will be organized?
9 Does the discussion illustrate that you have a good understanding of the assumptions and
principles of qualitative research?
9 Do you provide a convincing argument for the particular qualitative tradition or genre (or
combination of traditions) that you have chosen?
9 Have you made it clear how the research sample was selected from the population, as well as the
specific criteria used in selection?
9 Have you provided a sufficiently detailed description of the site and research sample?
9 Is the information that is needed to conduct the study clearly and specifically outlined?
9 Are you clear how and from whom the necessary information will be obtained?
9 Is there a logical connection between the type of information needed and the methods you have
selected to obtain that information?
9 Are the data-collection methods sufficiently described? The description of each instrument should
relate to the function of the instrument in the study and what the instrument is intended to
measure.
9 Have you provided a comprehensive literature review of the data-collection methods used and
included details regarding the strengths and limitations of each method?
9 Are the data-collection methods congruent with the problem being investigated and the specific
qualitative tradition employed?
9 Do you explain the procedures you use for recording, managing, and storing information?
9 Is the study’s methodology/research design documented in sufficient detail? Have you described in
chronological order each step taken in conducting the study?
9 Is there a sequential progression inherent in the methodological design? That is, is the reader able to
see how each stage of the study’s design builds on and flows logically from the stage preceding it?
9 Have you discussed all decisions made during the course of the study, and, if applicable, have you
mentioned any changes or modifications in focus, direction, and design?
9 If applicable, have you described all field tests or pilot tests that you have used?
9 Are your methods of data analysis, synthesis, and interpretation sufficiently described and detailed?
9 Are your methods of data analysis congruent with the principles of qualitative research?
9 Are the ethical considerations that you have identified clear and acceptable, and have you discussed
the procedures followed to address them?
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9 Does your discussion of the key issues pertaining to trustworthiness in qualitative research show
that you have a clear understanding of these issues?
9 Does your discussion around trustworthiness show how you have considered and accounted for
credibility, dependability, and transferability vis-à-vis your own study?
9 Are headings and subheadings used effectively to structure and present the discussion?
9 Are the transitions from one section of the chapter to another clear and logical? Have you made
use of effective segues?
9 Do tables and figures follow the format specified by your required style manual?
9 Does the title of each table and/or figure indicate exactly (clearly and concisely) what the table or
figure is intended to represent?
9 Have you checked for institutional and/or program-related differences regarding the content and
structure of chapter 3?
9 Have you checked for institutional and/or program-related differences regarding the appropriate
use of qualitative language and terminology?
ANNOTATED BIBLIOGRAPHY
Berg, B. L. (2004). Qualitative research methods (5th ed.). Boston: Allyn & Bacon.
The author covers the entire research design process from sampling strategies to
collecting, organizing, and making sense of qualitative data. This book provides a
solid grounding in the mainstream qualitative methods, with chapter 2 providing a
discussion of purposeful sampling and its many different types of strategies, and chap-
ter 3 providing a thorough overview of ethical issues. Chapters 4 and 5 offer detailed
information pertaining to interviews and focus groups. Chapter 11 provides an in-
depth overview and description of content analysis—the basis of the qualitative ana-
lytical approach. There are extensive lists of references presented at the end of each
chapter, which offer the reader a variety of primary sources. Overall, the book focuses
on current issues in the world of social research, which include a serious concern
about ethical behavior and a more reflexive and sensitive role for the researcher.
Denzin, N. K., & Lincoln, Y. S. (Eds.). (2003). Collecting and interpreting qualita-
tive materials (2nd ed.). Thousand Oaks, CA: Sage.
This comprehensive collection of chapters written by experts in the field covers a
variety of qualitative methodological issues related to gathering, analyzing, and inter-
preting data. Unlike most of the other books recommended in this section’s annotated
bibliography, this book is not a “how-to” handbook. Rather, it uncovers and examines
the philosophical and political implications of qualitative research methodology,
addressing issues of equity and social justice. Part I includes discussion of data-collection
methods, including interviews, observation, documents and material culture, and
focus groups. Also included is a chapter on software and qualitative research. Part II
includes discussion of issues pertaining to the practices of interpretation, evaluation, and
representation.
Marshall C., & Rossman, G. B. (2006). Designing qualitative research (4th ed.).
Thousand Oaks, CA: Sage
These authors offer comprehensive instruction as well as outline the challenges
involved in the design and conduct of a sound qualitative study. Chapter 4 offers use-
ful guidelines about the various qualitative data-collection methods, with a particular
focus on interviews, observation, and document review as primary methods. The
authors also provide good discussion of secondary methods, including survey, life
history, and narrative inquiry. The focus is on how to design a data-collection strat-
egy by way of thoughtfully combining methods so that they build on and complement
one another. Chapter 5 deals with recording, managing, and analyzing data. This
chapter defends the value and logic of qualitative research and offers some useful
insights and background reading around issues of trustworthiness in qualitative
inquiry. Particularly useful are the exhaustive and well-organized bibliographies found
at the end of each of these chapters.
Robson, C. (2002). Real world research: A resource for social scientists and
practitioner-researchers (2nd ed.). Malden, MA: Blackwell.
This book deals with qualitative design issues and data-collection methods. The
book is wide ranging and offers the reader an appreciation of the complexities and
issues involved in designing, carrying out, analyzing, and reporting on different kinds
of studies. Particularly useful for dissertation writers are discussions in Part III around
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Vaughn, S., Schumm, J. S., & Sinagub, J. (1996). Focus group interviews in educa-
tion and psychology. Thousand Oaks, CA: Sage.
This book illustrates the specific steps to take in conducting focus groups in edu-
cational and psychological settings. By way of numerous examples, the authors
explain how to prepare for focus groups: create a moderator’s guide, select a setting,
and understand, analyze, and interpret the focus group findings. This book is
extremely reader-friendly; it is clearly written, and instructions and guidelines are easy
to follow. Each chapter contains numerous procedural tables, as well as ideas for
applications of trial runs of the techniques discussed.
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