Chapter 3: Method
(Exploratory Case Study)
This workbook is intended to help you to write Chapter 3 of your proposal. Each part of this
workbook contains information that will help you to understand what should be included in
Chapter 3 of your proposal:
• Critical points to include in each section.
• Issues to consider regarding alignment with other sections of the proposal.
• References to enhance your understanding of what is needed.
When you have read each part of this workbook, write the corresponding section of your draft
proposal. Look for Write Your Dissertation writing prompts throughout the workbook; each
one presents a list of everything you should address. Finally, each part of this workbook ends
with two tools that will help you self-check your work: a checklist that highlights relevant advice
from the Dissertation Handbook, and a list of tips provided by the Research Review Board.
When you have completed all parts of this workbook, you can put your work from all the parts
together and you should have a finished Chapter 3 of your proposal.
The decision tree in Table 1 will help you decide whether a case study is the appropriate design
for your research. Examples for the various types of designs are provided so that you can see
how other researchers used each design.
Table 1: Decision tree for choosing the correct qualitative design
Design Questions answered When used Example
Case Study How, why, What Exploring a phenomenon in context, using
one or more data
collection methods.
Describing in depth a
case or cases.
Hew, K. F. & Hara,
N. (2007) Knowledge sharing in
online environments: A qualitative case study.
American Society
for Information Science and
Technology, 58,
2310–2324.
Phenomenology How do people experience
a phenomenon?
Understanding the
essence of the lived
experiences of a group
of people surrounding
a phenomenon
Burton, C. R.
(2000). Living
with stroke: A
phenomenological
study. Journal of
Advanced Nursing,
32, 301–309.
(Cont.)
1
Table 1: Decision tree for choosing the correct qualitative design (cont.)
Design Questions answered When used Example
Grounded theory What is the theory that
explains the common experiences or
behaviors of a group of
people?
Explaining why people
behave in a certain
manner
Harley, A. E., Buckworth,
J., Katz, M., Willis, S.,
Odoms-Yound, A., &
Heaney, C. A. (2009).
Developing long-term
physical activity participation: A grounded
theory study with African American women.
Health Education and
Behavior; 36, 97–112.
Ethnographic study What are the shared
patterns of a culture or
a group?
Describing a culture
sharing group
Baillie J., & Lankshear,
A. (2015). Patient and
family perspectives on
peritoneal dialysis at
home: Findings from
an ethnographic study.
Journal of Clinical Nursing, 24, 222–234.
Narrative What are the stories of
the individual experiences of a specific
individual?
Exploring the life of an
individual or individuals
Patsiopoulos, A. T.; &
Buchanan, M. J. (2011).
The practice of selfcompassion in counseling: A narrative inquiry.
Professional Psychology:
Research and Practice,
42, 301–307.
The decision tree in Table 2 will help you decide whether the exploratory case study is appropriate for your study. Examples are provided so that you can see how other researchers used
each type of case study for their research.
Type of case study Questions answered When used Example
Exploratory How, what? Used when there is no
single set of outcomes.
Seaton, J. X., & Schwier,
R. A. (2014). An
exploratory case study
of online instructors:
Factors associated with
instructor engagement.
International Journal of
E-Learning and Distance
Education, 29(1), 2–16.
Table 2: Decision tree for choosing the right case study
(Cont.)
2
Type of case study Questions answered When used Example
Explanatory How, why? Used to explain presumed causal links that
are too complex for surveys or experimentation
(Yin, 2014).
Chong, H., Wong, J. S.,
& Wang, X. (2014). An
explanatory case study
on cloud computing
applications in the built
environment. Automation in Construction, 44,
152–162.
Comparative How are cases alike?
How are cases
different?
Used to compare two or
more cases. Sometimes
referred to as multiple
case study because
there is more than one
case. But focus is on
the comparison of the
cases.
Rialp, A., Rialp, J.,
Urbano, D., & Valliant,
Y. (2005). The bornglobal phenomenon: A
comparative case study
research. Journal of
International Entrepreneurship, 3, 133–171.
Intrinsic (Stake, 2005) Can answer all above
questions but focus is
very specific
Used to better understand a specific case.
Hellström, I. Nolan, M.,&
Lundh, U.
(2005). ‘We do things
Together’ A case study
of “couplehood” in
dementia.
Dementia, 4(1), 7–22.
Instrumental Used to provide insight
into an issue or help
refine a theory. The case
plays a supportive role,
helping us to understand something else.
The case may or may
not be seen as typical of
other cases.
Luck, L., Jackson, D., &
Usher, K.
(2007). STAMP:
Components
of observable behaviour that indicate
potential for patient
violence in emergency departments.
Journal of Advanced
Nursing, 59, 11–19.
doi:10.1111/j.1365-
2648.2007.04308.x
Collective Similar to multiple case
studies.
Scheib, J. W. (2003).
Role stress in the
professional life of the
school music teacher:
A collective case study.
Journal of Research in
Music
Education, 51,124–136.
doi:10.2307/3345846
Table 2: Decision tree for choosing the right case study (cont.)
3
Research Method
(This is the main heading for this chapter)
Introduce the Research Method section.
(Do not use this heading for this section.)
Background Reading for This Section
Your introduction to the Research Method section sets the stage for this chapter. Start by
restating the purpose of your study and then present what will be in Chapter 3.
Critical Points to Address for This Section
Start by restating the purpose of your study. This statement is the same as the purpose
statement presented in Chapter 1. Briefly preview the focus of Chapter 3, identify the
major topics to be covered in the chapter, and end with a transitional sentence to the
Description and Justification for Research Method and Description and Justification for
Research Design sections.
Considerations for Alignment
• Purpose statement must be written exactly the same as it was in Chapter 1.
• Introduction should align with subsequent sections of this chapter.
Write Your Dissertation
In your dissertation template, write your introduction section, addressing
each of the following points:
• Restate the purpose statement.
• Preview what is in Chapter 3.
• Identify major topics covered in this chapter.
• End with a transitional sentence to the next section.
Remember: Ensure that your writing is cohesive. The ideas should flow logically and with
appropriate transitions between sentences.
4
Describe and justify your research method.
Background Reading for This Section
Chapter 7 in the Field Guide, particularly Section 7.5
The method used for an exploratory case study is a qualitative method. Qualitative methods
are used to gain a deeper understanding of the perceptions of people regarding a particular
phenomenon (Merriam, 2009). Yin (2010) described qualitative research as collecting data
from a variety of resources, evaluating the data, analyzing Assessments to produce findings,
and presenting the findings.
Methodology Selected
(This is the main heading for this section)
Critical Points to Address for This Section
Description of method. In this section, describe in detail why a qualitative study is
the best way to do your research. Do not simply provide a tutorial regarding qualitative
research. Instead, show the reader that you understand what the qualitative method is
and when to use this approach. Be sure to provide citations.
Justification of method. Begin by describing the problem you are exploring, and then
explain how the problem indicates the need for a qualitative approach in order to understand a phenomenon. Explain why a qualitative study is the most appropriate method.
Explain why a quantitative approach is not appropriate for your research.
Considerations for Alignment
• Qualitative method must align with the purpose of your study.
• Qualitative method must align with the problem statement.
• Qualitative method must align with the research questions.
• Aligns with description in Chapter 1.
Self-Check Your Work Against the Dissertation Handbook
Begins with the purpose of the chapter, how it fits into the dissertation, and the
organization of the chapter.
Describes the method of inquiry used (e.g., quantitative, qualitative, mixed
method, meta-analysis, program Assessment, etc.).
Describes the specific research methodology chosen and how it derives
logically from the statement of problem and the research questions.
Introduction
5
Suggested Resources for Enrichment
Creswell, J. (2013). Qualitative inquiry & research design: Choosing among five approaches
(3rd ed.). Thousand Oaks, CA: Sage.
Klenke, K. (2008). Qualitative research in the study of leadership. Cambridge, MA: Elsevier.
Latham, J. (2010). Frameworks to create the organization you really want! Retrieved from
http://www.drjohnlatham.com/Overall_Approach.html
Leedy, P. D., & Ormrod, J. E. (2009). Practical research: Planning and design (9th ed.). New
York, NY: Pearson/Prentice-Hall.
Merriam, S. (2009). Qualitative research: A guide to design and implementation (2nd ed.).
San Francisco, CA: Jossey-Bass.
Write Your Dissertation
In your draft dissertation, write a few paragraphs that describe and justify the
method to be used, addressing each point provided.
• Describe the problem.
• Explain how the problem indicates the need for a qualitative approach.
• Explain why a qualitative study is most appropriate.
• Explain why a quantitative approach is not appropriate.
• Be sure to cite references.
Remember: Ensure that your writing is cohesive. The ideas should flow logically and with
appropriate transitions between sentences.
Describe and justify your research design.
Background Reading for This Section
Sections 7.2 to 7.4 in the Field Guide
Chapter 12 introduction in the Field Guide
Figure 8.1 in the Field Guide
Yin (2009, p. 2) posited three conditions for use of a case study: the purpose must be to answer “how”
or “why” questions, investigator must have little control over events, and the focus of the research
must be on a contemporary phenomenon within a real-life context, especially when boundaries
between the phenomenon and context may not be clearly evident. According to Creswell (2013), in
case study research the researcher explores a “real-life, contemporary bounded system (a case) or
multiple bounded systems (cases) over time, through detailed, in-depth data collection involving multiple sources of information” (p. 97).
6
When we speak about bounded systems, we are referring to a case being bound by time and
place. Let’s say you want to do a study regarding the use of YouTube by teenagers. The phenomenon is the use of YouTube by teenagers. You have a real-life contemporary bounded
system (teenagers using YouTube). But you decide that this is too general, so you decide that
you will look at four different groups of teenagers and their use of YouTube. You will collect
data on Caucasians, African Americans, Hispanics, and Asians. The phenomenon is the use of
YouTube by teenagers.
But what is your unit of analysis? The unit of analysis is what you are actually going to analyze. Remember, in case studies we want to triangulate the data in order to get a full, rich
description of the phenomenon in question. You can do this in several ways:
• You can have different methods of data collection. For example, you can do surveys
and interviews, collect artifacts, or even review YouTube videos and read articles
about their use.
• You can have different cases from which to collect data.
• Or you can have different researchers collecting the data.
So you decide that you will break down your teenagers into cultural groups and will interview
Caucasian, African American, Hispanic, and Asian teenagers who use YouTube. In addition,
you will visit some of the chatrooms available for YouTube users to get a sense of what this
is all about. Your units of analysis are your four groups of teenagers as well as the data you
obtain from the chatrooms. In qualitative research it is very important to define clearly what
your units of analysis are because this will form the basis of your actual analysis.
So now let’s look at your research.
• What is the phenomenon you will investigate? Remember that a phenomenon is a
contemporary event within a real-life context.
• What is the case? Remember that a case is bound by time and place. Is there more
than one case? Is your study a single or multiple case study?
• What is your unit of analysis? Remember that the unit of analysis is the data you will
collect from within the case.
Yin posited three types of case studies: exploratory, explanatory, and descriptive. There are
also variations in terms of single case studies and multiple case studies. In addition, there
are comparative case studies. Stake (2005) included intrinsic, instrumental, and collective
research case studies as well. Each type of case study is unique, and used for different purposes and to answer different questions. When you indicate that you are doing a case study, it
is important to delineate the type of case study you are doing.
The exploratory case study is used when there is no pre-determined outcome. According to
Yin (2014), case studies are appropriate when asking “how,” “why,” “what,” and “who” questions. In the exploratory case study, the questions answered are “how” and “what.” Exploratory case studies are also appropriate when you wish to gain an extensive and in-depth
description of a social phenomenon. The exploratory case study is used to explore presumed
causal links that are too complex for a survey or experiment (Yin, 2014).
7
Case studies can be considered theory building or theory affirming. Eisenhardt (2007) stated
that building theory from case studies involves using one or more cases to “create theoretical constructs, propositions, and/or midrange theory from case based, empirical evidence”
(p. 25). In the exploratory case study we build a theory from our research. In explanatory or
descriptive case studies we affirm an existing theory. According to Yin (1994), multiple case
studies provide a better basis for theory building because having multiple cases allows for a
comparison of those cases, which can lead to a stronger theory.
In case studies, we have a conceptual framework rather than a theoretical framework. Jabareen (2009) defined the conceptual framework as a network, or “a plane, of interlinked concepts that together provide a comprehensive understanding of a phenomenon or phenomena” (p. 50).
According to Jabareen, conceptual frameworks are comprised of ontological, epistemological,
and methodological assumptions. Ontological assumptions are concerned with the nature of
reality, while epistemological assumptions relate to how things really are. Methodological
assumptions are concerned with building the conceptual framework and what this framework can tell us about the real world. Jabareen pointed out that the conceptual framework in
qualitative research provides understanding rather than a theoretical explanation. Conceptual
frameworks are derived from many discipline-oriented theories that become the data for the
conceptual framework analysis. The idea of the conceptual framework in qualitative research
is to analyze these theories in order to generate new interpretations and understanding.
Critical Points to Address for This Section
Description of the design. In this section, describe the exploratory case study and its
uses. First, describe the case study design and its uses and how the case study differs
from other qualitative designs. Then focus on the exploratory type of case study. Describe
what the exploratory case study is. Then explain how the exploratory case study design
differs from other case study designs. Further, explain why the exploratory type of case
study is appropriate to your research as opposed to other types of case studies. Again,
this is not to be written as a tutorial on case study design. Instead, your writing should
show evidence that you understand the design. Be sure to cite references. Avoid textbooks and, instead, use scholarly authors such as Yin and Merriam.
Justification of the design. Describe the phenomenon being studied and discuss why
exploring the perceptions of certain people regarding the phenomenon is the best
approach to use. Explain how your research addresses Yin’s three conditions for a case
study. Explain how your research aligns with the concept of the exploratory case study.
What questions are you addressing with your research and how do those questions align
with the “how” and “what” questions of exploratory case studies? In addition, explain
why other qualitative designs would not be appropriate for your study.
Remember, it is not enough to simply address these issues with a laundry list of facts.
This section should be assembled into a logically flowing narrative of your research
design and justification for the exploratory case study.
8
Considerations for Alignment
• Align your design with the problem being explored.
• Show how your design is congruent with the purpose of your study.
• Aligns with description in Chapter 1.
Suggested Resources for Enrichment
Bennett, A., & Elman, C. (2006). Qualitative research: Recent developments in case
study methods. Annual Review of Political Science, 9, 455–476. doi:10.1146/annurev.
polisci.8.082103.104918
Bergen, A., & While, A. (2000). A case for case studies: Exploring the use of case study
design in community nursing research. Journal of Advanced Nursing, 31, 926–934.
doi:10.1046/j.1365-2648.2000.01356.x
Eisenhardt, K. M. (2007). Theory building from cases: Opportunities and challenges.
Academy of Management Journal, 50(1), 25–32. doi:10.5465/AMJ.2007.24160888
Ellet, W. (2007). The case study handbook: How to read, discuss, and write persuasively
about cases. Boston, MA: Harvard Business School Press.
Jabareen, Y. (2009). Building a conceptual framework: Philosophy, definitions, and procedure. International Journal of Qualitative Research. Retrieved from http://ejournals.library.ualberta.ca/index.php/IJQM/article/view/6118/5892
Jones, C., & Lyons, C. (2004). Case study: Design? Method? Or comprehensive strategy?
Nurse Researcher, 11(3), 70–76. Retrieved from Academic SearchComplete database
Metoyer-Duran, C., & Hernon, P. (1994). Problem statements in research proposals and
published research: A case study of researchers’ viewpoints. Library & Information
Science Research, 16(2), 105–118.
Payne, S., Field, D., Rolls, L., Hawker, S., & Kerr, C. (2007). Case study research methods in
end-of-life care: Reflections on three studies. Journal of Advanced Nursing, 58, 236–
245. doi:10.1111/j.1365-2648.2007.04215.x
Perry, C. (1998). Processes of a case study methodology for postgraduate research in
marketing. European Journal of Marketing, 32(9/10), 785.
Simon, M. K., & Francis, B. J. (2001). The dissertation cookbook: From soup to nuts, A practical guide to start and complete your dissertation (3rd. ed.). Dubuque, IA: Kendall/
Hunt.
Stake, R. (1995). The art of case research. Thousand Oaks, CA: Sage.
Stake, R. (2010). Qualitative research: Studying how things work. New York, NY: Guilford
Press.
(Cont.)
9
Suggested Resources for Enrichment (cont.)
Tellis, W. (1997). Introduction to case study. The Qualitative Report, 3(2). Retrieved
from http://www.nova.edu/ssss/QR/QR3-2/tellis1.html
Tellis, W. (1997). Application of a case study methodology. The Qualitative Report,
3(3). Retrieved from http://www.nova.edu/ssss/QR/QR3-3/tellis2.html
Yin, R. K. (1993). Applications of case study research. Thousand Oaks, CA: Sage.
Yin, R. (1997). Case study Assessments: A decade of progress? New Directions for Assessments, (76), 69–78.
Yin, R. (2004). The case study anthology. Thousand Oaks, CA: Sage.
Yin, R. (2014). Case study research: Design and methods (5th ed.). Thousand Oaks, CA:
Sage.
Write Your Dissertation
In your dissertation template, write your description and justification for
your design, addressing each of these points:
• Explain the phenomenon and why exploratory case study is the best
approach to exploring it.
• Explain how your study addresses “how” and “what” questions.
• Explain how Yin’s three conditions are addressed.
• How does the exploratory case study align with the problem and purpose of
your study.
• Why are other qualitative designs not appropriate?
• Why are other types of case studies not appropriate?
Remember: Ensure that your writing is cohesive. The ideas should flow logically and with
appropriate transitions between sentences.
Address your research questions.
Background Reading for This Section
Chapter 5 in the Field Guide
Your research questions are the questions you will answer with your research. They must
align with your problem statement and your purpose statement. You should never include
questions that were not addressed in the problem and purpose statements.
In qualitative research, there is generally an overarching or central question followed by
subquestions. Remember that exploratory case studies use “how” and “what” questions, so
your research questions should follow this format. For example, you might ask, “What are the
perceptions of online graduate students regarding completing a dissertation?” This would
10
be your overarching question. Subquestions might be “What difficulties do online graduate
students encounter when completing their dissertations?” and “How do online graduate students overcome these difficulties?”
Critical Points to Address for This Section
In this section you will address your research questions. These questions must be the
same as those you presented in Chapter 1. Remember that your research questions are
not your interview questions. They are the questions that will be answered through your
research. Also include a narrative to show how your research questions align with the
problem and purpose of your study.
Considerations for Alignment
• Research questions must align with the methodology being used.
• Research questions must align with the problem by addressing the problem.
• Research questions must align with the purpose.
• Do not include questions that are not mentioned in the purpose of your study.
• Research questions must align with those presented in Chapter 1.
Suggested Resources for Enrichment
Creswell, J. (2013). Qualitative inquiry & research design: Choosing among five approaches
(3rd. ed.). Thousand Oaks, CA: Sage.
Maxwell, J. (2013). Qualitative design: An interactive approach. Thousand Oaks, CA: Sage.
Yin, R. (2014). Case study research: Design and methods (5th ed.). Thousand Oaks, CA:
Sage.
Write Your Dissertation
In your dissertation template, write one to two paragraphs that introduce your
research questions and show how they align with the problem and purpose. Then
write the overarching question and the subquestions. Be sure to address each of
these points:
• In a short narrative, introduce the research questions and explain how
they align with the problem and purpose of the study.
• Address your overarching research question.
• Address your subquestions.
Remember: This content must be written exactly as it was in Chapter 1.
Remember: Ensure that your writing is cohesive. The ideas should flow logically and
with appropriate transitions between sentences.
11
Critical Points to Address for This Section
In this section, it is important to be transparent. You must describe your background and
any potential issues it may have on your research. You must also discuss how you will
mitigate any potential problems that you as the researcher might bring to the research.
Discuss bracketing and keeping a reflexive journal.
Also consider how you as the researcher might be perceived by your participants, and
discuss methods to address or at least mitigate any problems. For example, if you are a
female doing research on how female executives are viewed by their male counterparts,
your gender might influence how your male participants respond to your questions.
Considerations for Alignment
• Your role as the researcher should align with your design.
Address your role as the researcher.
Background Reading for This Section
Section 12.7 in the Field Guide
In qualitative research, the researcher becomes part of the research, because the researcher
engages with the respondents through various methods of data collection and analysis. As a
result, the researcher’s preconceived biases or assumptions could easily influence data collection or data analysis. This has always been a criticism of qualitative research. To mitigate
this concern, the qualitative researcher uses methods such as bracketing to try to ensure that
his or her biases will not interfere with the research.
According to Tufford and Neuman (2010), there is much debate over the definition of bracketing and even when it should be used. Tufford and Neuman suggested several approaches
to bracketing. One approach is to keep notes during data collection and data analysis so that
the researcher can examine and reflect on his engagement with the data. Another method
of bracketing is to conduct an interview with an outside source or colleague to allow the
researcher to uncover and bring to awareness any biases or pre-conceived assumptions. A
third approach is to keep a reflexive journal. The journal is started before the actual data
collection begins. Tufford and Newman suggested that the researcher should explain the reasons for undertaking the research, any assumptions regarding the research, the researcher’s
own value system and any potential role conflict with the study participants.
12
Write Your Dissertation
In your dissertation template, write your section on your role as the researcher
and how you will mitigate any bias.
• Describe your role as the researcher in data collection.
• Explain the potential for researcher bias and ways to mitigate bias.
Remember: Ensure that your writing is cohesive. The ideas should flow logically and with
appropriate transitions between sentences.
Suggested Resources for Enrichment
Chenail, R. J. (2011). Interviewing the investigator: Strategies for addressing instrumentation and researcher bias concerns in qualitative research. The Qualitative Report,
16, 255–262. Retrieved from http://nsuworks.nova.edu/tqr/vol16/iss1/16
Tufford, L., & Newman, P. (2010). Bracketing in qualitative research. Qualitative Social
Work, 11(1) 80–96.
Write Your Dissertation
Now combine the material you wrote in this part of the workbook on research
method and design, research questions, and your role as the researcher into one
succinct section. Address all of the following points:
Metholdology Selected
A. Research method
(Cont.)
° Detailed description of case study research, with particular focus on
exploratory case study research with references
° Justification for research design, both the case study and exploratory
case study
° Why other designs are not appropriate
° Alignment of method with problem and purpose
° Detailed description of qualitative research with references
° Justification for research method
° Why other methods are not appropriate
° Alignment of method with problem and purpose
B. Research design
13
Write Your Dissertation (cont.)
Self-Check Your Work Against the Dissertation Handbook
Describes which qualitative methodology will be used.
Justifies choice of methodology using major and foundational sources.
Explains why other possible choices would be less effective.
Describes specific research questions and subquestions (where appropriate)
that are
Clear and succinct.
Congruent with the statement of problem.
Answerable.
Few in number.
Clearly stated.
Open-ended (not yes/no questions).
Describes the role of the researcher in the data collection procedure.
Addresses the potential impact and minimization of researcher bias
through methodological approaches.
C. Research questions
Metholdology Selected
° Short narrative to introduce the research questions and explain
how they align with the problem and purpose of the study
° Overarching research question
° Subquestions
Remember: Be sure to use references. Avoid textbooks. Use the qualitative researchers familiar with this type of study (e.g., Yin).
Remember: Ensure that your writing is cohesive. The ideas should flow logically and with
appropriate transitions between sentences.
D. Role of the researcher
Methodology
14
Describe how and justify why the research method and design is appropriate
for your problem, purpose, and research questions.
from the Research Review Board
Study Participants
(This is the main heading for this section)
Describe the population in your study.
Background Reading for This Section
Chapter 10 in the Field Guide
The population in your study includes the people you plan to interview who have knowledge regarding the phenomenon you are researching. There are several things to consider
when selecting your population. First, the population must align with your problem and with
your purpose. For example, if your problem is that immigrants to the United States often do
not use healthcare facilities, and your purpose is to try to understand how immigrants view
healthcare and the issues they face when accessing healthcare, your population would have
to be immigrants to the United States. You would not interview physicians who provide services for immigrants (unless you wanted to get a different perspective to add to your data
from the immigrants).
The next issue to consider is the size of your population. If you decide to use all immigrants to
the United States, your population would be huge and you might see real differences between
various ethnic groups and their use of healthcare. So it is best to try to narrow your population to a specific group, and even to a specific geographic location. So in this case you might
want to limit your population to immigrants coming from Africa or, even more specifically,
from Nigeria who now reside in New York City.
The next big issue is access to your population. It might be difficult to get access to Nigerian
immigrants in New York unless you are also from the same cultural background or know
someone who can act as a gatekeeper to help you to gain access to this population. Similarly,
if your population belongs to, for example, employees at a specific company, you will need to
get permission from the company to solicit them for your study.
TIPS
15
Critical Points to Address for This Section
In this section, clearly describe the population you will be using for your research. The
population used must align with your problem, purpose, and research questions. Include
a description of the demographics of the population so that the reader will be able to
determine whether the sample is representative of the actual population. For example,
get an idea of how many Nigerian immigrants reside in New York. Also include such
demographics as gender, age, education, and socioeconomic status as well. In addition,
explain how you will access this population. If you plan to obtain participants from a
specific organization, you must obtain permission from that organization prior to soliciting your sample. This signed permission must be in an appendix.
Considerations for Alignment
• Population must align with the specific problem presented in Chapter 1.
• Population must align with the purpose statement.
• Population must align with your research questions.
Suggested Resources for Enrichment
Creswell, J. (2013). Qualitative inquiry & research design: Choosing among five approaches
(3rd ed.). Thousand Oaks, CA: Sage.
Maxwell, J. (2012). Qualitative research design: An interactive approach. Thousand Oaks,
CA: Sage.
Merriam, S. (2014). Qualitative research: A guide to design and implementation. San
Francisco, CA: Jossey Bass.
Write Your Dissertation
In your dissertation template, write the section on your population, addressing
each of these points:
• Who is the population?
• What geographic area are they in?
• What are the demographics of the population?
• Are they within a specific group or organization?
• How does the population align with the problem, purpose, and research questions of your study?
• How will you access this population?
• Is permission needed to access the population? If so, the signed permission
must be in an appendix.
Remember: Ensure that your writing is cohesive. The ideas should flow logically and with
appropriate transitions between sentences.
16
Describe and justify sampling in your study.
Background Reading for This Section
Chapter 10 in the Field Guide
Section 12.4 in the Field Guide
Sampling technique. Generally, in qualitative research your sampling technique will be nonrandom purposive sampling because you will be choosing specific people for your sample
who meet the criteria for your study. However, there are other techniques available. Creswell
(2013) listed 16 types of sampling techniques (p. 158). One approach is snowball sampling.
Sometimes the population you are researching may not be readily available, so you would ask
people already in your sample to identify others who might fit your criteria. The approach
you use depends on the purpose of your study and the population from which you draw your
sample.
Sample criteria. It is important to clearly describe the criteria you will use to define your sample. These criteria must be in alignment with your problem, purpose statement, and research
questions. For example, if you plan to do a study on how high school teachers perceive the
use of standardized tests, one criteria would be that your sample consist of only high school
teachers. You might also want to use seasoned teachers, so you might note that your teachers must have at least five years of teaching experience. You may also wish to delineate the
subjects taught by the teachers, so you might say that your sample will be high school algebra
teachers with at least five years of experience teaching in a specific geographic location. Be
certain that the information you provide regarding sample is aligned with the description of
your sample in Chapter 1.
Sample size. Identify the anticipated sample size for each group of participants. For example,
if you plan to collect data from teachers and parents regarding bullying, identify the estimated
sample size for both the parents and the teachers. In qualitative research, we continue to
collect data until data saturation has occurred. Stebbins (2001) described the conventional
approach for determining sample size, theoretical saturation, as the point when no new information is produced from additional cases. There are various views on how many cases are
needed to achieve data saturation. Some researchers indicate that it can be as few as three
to five cases, while others believe that case studies require as many as 30 respondents. The
number of respondents for data saturation is dependent on how homogeneous the sample
is as well as on the qualitative design. The more homogeneous the sample, the fewer cases
needed for data saturation. The more heterogeneous the sample, the more cases needed for
data saturation. Indicate how many participants you will have in your sample and justify this
number. If you have more than one group, indicate how many participants you will have in
each group.
17
Accessing your sample. When determining your sample, consider how you will access the
sample. Some populations are closed to outsiders, so gaining entrance may be difficult. At
times, finding a gatekeeper who can gain entry for you might be necessary. You can also
access sample populations through conferences, list serves, or even by advertising on social
media or through the newspaper. Snowball sampling is often used when trying to access a
population that may be difficult to reach through conventional channels. If you want to access
a sample at a specific place of employment, you will need to get permission to solicit participants for your research.
Soliciting participants. You must also consider how you will solicit people to be part of your
study. Will you send out an email? Will you make telephone calls? Will you set up a table at
a conference or at some other site? It is important to make certain that people do not feel
coerced to be part of your study and that their participation is confidential. Therefore, you
would not set up a table at a conference and interview people who stop by. Instead, you would
hand out information about your study and invite potential participants to contact you.
Critical Points to Address for This Section
Identify your sampling technique. Explain clearly what approach to sampling you will
use so that the reader can understand exactly what you will be doing. Define the parameters of your sample carefully. Your approach will be nonrandom because you will take
anyone who volunteers to be part of your study and fits the criteria. It will be purposive
because you have defined clear criteria for your sample.
Once you have selected your sampling technique, you must justify why it is appropriate
for your study. Base your justification on the purpose of your study and on the population and its availability to you. Ensure that the population chosen for your research is in
alignment with your study purpose.
Be sure to describe your sample fully. This description allows the reader to determine
whether the sample is representative of the population. It also allows the reader to
determine whether the sample is similar to another population, which might make the
results more transferable. Discuss how your sample is representative of the population
being studied.
Next, discuss sample size. Always state an approximate number of people who will be
interviewed and then discuss the concept of data saturation. Justify the number you have
chosen. Do not just choose a random number. Remember the factors that might determine when data saturation has occurred, such as the type of design and the homogeneity
of the population and sample.
Discuss how you will access your population. If permissions are needed, provide them
in your appendix.
Finally, describe how you will solicit participation for your study from the population
chosen. This description should be very detailed so that the reader can understand
exactly how you intend to solicit people. Show that you have considered issues of confidentiality and free choice.
18
Considerations for Alignment
• Sample must align with the population.
• Sample must align with the specific problem of the research.
• Sample must align with the purpose of the research.
• Sample must align with the research questions.
• Sample must align with information provided in Chapter 1.
• Sample must align with the population.
Suggested Resources for Enrichment
Carlsen, B., & Glenton, C. (2011).What about N? A methodological study of sample-size
reporting in focus group studies. BMC Medical Research Methodology, 11(1), 26.
Creswell, J. (2013). Qualitative inquiry & research design: Choosing among five approaches
(3rd. ed.). Thousand Oaks, CA: Sage.
Marshall, B., Cardon, P., Poddar, A., & Fontenot, R. (2013). Does sample size matter in
qualitative research: A review of qualitative interviews in IS research. Journal of
Computer Information Systems, 54(1), 11–22. Retrieved from http://iacis.org/jcis/
articles/JCIS54-2.pdf
Merriam, S. (2009). Qualitative research: A guide to design and implementation (2nd ed.).
San Francisco, CA: Jossey-Bass.
O’Reilly, M., & Parker, N. (2013). Unsatisfactory saturation: A critical exploration of the
notion of saturated sample sizes in qualitative research. Qualitative Research, 13,
190–197.
Stebbins, R. A. (2001). Exploratory research in the social sciences [Kindle edition]. Thousand Oaks, CA: Sage.
Write Your Dissertation
In your dissertation template, please write the section on study participants,
addressing each of these points:
• Describe the general population and specific population.
• Describe your sampling method.
• Identify the criteria for selecting respondents.
• Describe the appropriateness of the sampling method based on the population
and the purpose of your study.
• Describe how the characteristics of the sample align with the general
population.
• Describe how you will access your sample.
• Describe how you will recruit participants.
• Discuss sample size and data saturation.
(Cont.)
19
• Clearly describes the population and how it is being accessed.
• Clearly identify your sampling approach.
• Justify that your sample size is sufficient to achieve data saturation.
Self-Check Your Work Against the Dissertation Handbook
Describes and justifies the context (including site) for the study.
Clearly defines both the general study population and the specific population.
Demonstrates (and documents) the ability to access the population.
Describes and justifies the sampling approach.
Describes how the characteristics of the sample population align
with the general population.
Discusses how the sample selection impacts the generalizability
of the study.
Identifies strategies for recruiting participants.
Specifies appropriate criteria for selecting participants.
Addresses the relationship between the researcher and the participants.
Justifies the number of participants.
from the Research Review Board
Write Your Dissertation (cont.)
• Justify the sample size for each unit of analysis.
• Discuss issues of transferability.
Remember: Ensure that your writing is cohesive. The ideas should flow logically and with
appropriate transitions between sentences.
Population and Sampling
TIPS
20
Data Collection
Background Reading for This Section
Section 12.6 in the Field Guide
Section 12.7 in the Field Guide
Approaches to data collection. There are various approaches to data collection. The most
common approach is the interview. If you are conducting interviews, they can be done in person or via email, Skype, telephone, or any other method that allows participants to answer
your questions. Carefully consider the best approach to collecting data and how you will collect it. Often distance is a problem, so face-to-face interviews are not always possible, although
this is the preferred method of data collection.
When you do interviews, observe the behavior of your participants carefully and keep field
notes regarding their behavior. Body language and facial expressions can sometimes be more
revealing than the actual words spoken.
Type of data collected. Because you are exploring a phenomenon, the primary type of data
you collect will be the responses of your participants. However, remember that in case studies we must triangulate our data, meaning that you must collect data from other sources as
well. For example, you may decide to interview several different groups who have knowledge
regarding the phenomenon. You may collect data using questionnaires, which generally consist of open-ended questions that a participant can answer in her own time frame. You may
decide to collect news accounts or images regarding the phenomenon. You may even decide
to collect artifacts from the phenomenon. Part of the data you collect consists of your field
notes. These notes provide additional information that helps put the interview responses
into context. Overall, the idea is to get a complete understanding of the phenomenon from as
many sources as possible.
The research protocol. Yin (2009) believed a research protocol was an essential tool for
conducting a case study. Your research protocol is included in an appendix. The protocol
can increase the reliability of the research because it serves as a guide to ensure that the
researcher will use the same data collection activities over a number of cases. The case study
protocol serves as a procedural guide for data collection, coding, and analyzing interview sessions. Yin believed that the interview protocol script could help control the flow and sequence
of questions that are part of the script.
Your interview questions should be written so that responses to them will answer your
research questions. In addition, remember that exploratory case studies answer “what” and
“how” questions. Be careful when writing interview questions:
• Do not ask yes/no questions. They add little value in terms of really exploring the
perceptions of your participants.
• Make certain your questions are clear and ask what you intend.
(This is the main heading for this section)
21
• Do not use jargon or slang.
• Ensure that your questions are open-ended to allow your participants to share their
perspectives.
In addition to the interview questions, you might also write probing questions to elicit more
information, or you might simply be aware that you may need to probe further to fully understand what is being said.
It may also be important to include some demographic questions so you can describe your
sample. When you ask personal questions such as age or salary, be careful that you ask for
ranges rather than specific numbers.
Include in your research protocol or script your opening and closing remarks to your participants. Generally, start by thanking your participant for taking the time to be part of the study.
In addition, explain the purpose of the study and remind them that they are free to stop the
interview at any time. At the close of the interview, again thank them for their participation.
You might ask them if they have any other insights that were not covered in your questions.
Audit trail. The audit trail provides a procedure that allows the researcher to outline decisions made throughout the research process and to provide rational for those decisions. It
is important to maintain a chain of evidence that will allow the reader to understand how
data were collected and analyzed and the rationale for any deviation. Providing an audit trail
increases the rigor and trustworthiness of qualitative research. The audit trail consists of
comprehensive notes related to the contextual background of the data and the rationale for
all methodological decisions.
Pilot study. The pilot study is generally used to evaluate the research questions and identify
any potential researcher bias. Generally the pilot study is conducted with a small subgroup
drawn from the sample—three to five people is usually sufficient. The pilot study is conducted
in exactly the same manner as the interview for the research, including getting informed concept from the participants. However, in addition to the interview questions, the researcher
will also ask pilot study participants if they understood the questions, if any questions should
be added, or if any questions should be deleted. Besides focusing on the interview questions,
the pilot study gives the researcher the opportunity to find out how long the interview will
last, whether the interviews will flow logically and coherently, whether any questions need to
be changed, and to determine the type of data that will be obtained from the questions. The
pilot study provides face validity for the interview questions.
Critical Points to Address for This Section
Data collection methods. It is important to describe carefully exactly how you will be
collecting data. You should also give the rationale for your data collection methods. The
reader should be able to follow your steps to actually replicate your research. Writing out
a step by step approach to data collection may help to solidify your approach. Generally
if you do interviews you will want to record the interview. This must be clearly spelled
out in this section and you must also have this noted on the informed consent form.
(Cont.)
22
Critical Points to Address for This Section (cont.)
It is also important to consider how you will keep track of your data. Generally interviews are transcribed and then returned to the participants for review. This process
is called member checking and lends more credibility to your results. In this section
explain whether and how you will transcribe the data. In addition, if you are doing
member checking, explain how it will be done.
Types of data collected. What type of data will be collected? If you conduct interviews
or solicit responses from people, your data will be verbal, auditory, and perhaps visual
if you videotape the interview. In addition, you may collect other types of data such as
newspaper accounts, pictures, or artifacts. It is important to indicate exactly what types
of data will be collected and the rationale for collecting that data.
The research protocol. Include the research protocol in an appendix. The protocol
should include your interview script, and the script includes your interview questions,
probing questions you might ask, and opening and closing remarks.
Audit trail. The audit trail enhances the rigor and trustworthiness of your research. In
this section describe how you will conduct your audit. Often an audit is conducted by
keeping a research journal in which you discuss the data collection within a contextual
framework. The purpose of the audit is for the reader to be able to understand what
was done within the context of the research and to understand any deviations that were
made from the research protocol.
Pilot study. Clearly describe your pilot study participants. Then explain how the pilot
study will be conducted. In your dissertation, include the results of the pilot study and
discuss any changes made as a result of the pilot study. The pilot study provides face
validity for your questions. It assures that your participants will understand the questions and that the questions ask what is intended.
Field tests. Field tests are often done in qualitative research to assess the quality of the
research questions. In the field test, the researcher contacts three to five people who
are experts in the type of research being conducted and asks them to review the interview questions. The focus is on alignment of the research questions with the research
design and on the quality of the actual questions.
If you conduct a field test, describe your field test participants and how you conducted
the field test. In your dissertation, include results of the field test and discuss any
changes made as a result. The field tests provide another form of face validity for your
questions.
23
Considerations for Alignment
• Alignment with the purpose of the research.
• Alignment with the research questions.
• Alignment with the research design.
• Should align with procedures followed.
Suggested Resources for Enrichment
Houghton, C., Casey, D., Shaw., D., & Murphy, K. (2013). Rigour in qualitative case-study
research. Nurse Researcher 20, 4, 12–17.
Kitzinger, J. (1994). The methodology of focus groups: The importance of interaction
between research participants. Sociology of Health & Illness, 16, 103–121.
Martinez, R., Lewis, C., & Weinder, B. (2014). Instrumentation issues in implementation
science. Implementation Science, 9(118), 1–9. Retrieved from http://www.implementationscience.com/content/9/1/118
Merriam, S. (2009). Qualitative research: A guide to design and implementation (2nd ed.).
San Francisco, CA: Jossey-Bass.
Yin, R. (2014). Case study research: Design and methods (5th ed.). Thousand Oaks, CA:
Sage.
Write Your Dissertation
In your draft dissertation, write your section on data collection methods. Be
sure to address each of the points listed below.
• Data collection method
• Types of data to be collected and unit(s) of analysis
• Research protocol
• Justification of data collection protocol
• How data will be generated, gathered, and recorded
• How data will be tracked
• Audit trail
• Pilot study, field test
Remember: Ensure that your writing is cohesive. The ideas should flow logically and with
appropriate transitions between sentences.
24
Self-Check Your Work Against the Dissertation Handbook
Describes and justifies the data collection method(s) (e.g., interview, focus
group, observation).
Addresses what types of data will be collected and the unit(s) of
analysis.
Includes detailed protocol(s) in an appendix for data collection
(e.g., interview protocol/script, focus group protocol/script, etc.).
Justifies contents of data collection protocols by connection to the
research questions posed in relation to the qualitative paradigm
chosen.
Clearly describes the process by which the data were generated, gathered,
and recorded.
Clearly describes the systems used for keeping track of data and emerging
understandings (research logs, reflective journals, and cataloging systems).

Data Collection
TIPS
• Clearly describe all instrumentation.
• Propose a pilot test for any instrumentation lacking prior validation.
• Your interview or observation protocols will have face validity.
from the Research Review Board
Procedures Followed
(This is the main heading for this section)
Background Reading for This Section
Section 12.6 in the Field Guide
In this section, describe and justify your data collection method. In case study research, it is
necessary to triangulate your data. One way to triangulate data is to use different data collection methods. Creswell (2013) suggested that there are several methods for data collection in qualitative research. Qualitative researchers can use various documents, interviews,
artifacts, and observations for case studies. Interviews can be semi-structured, structured, or
unstructured.
25
Critical Points to Address for This Section
In this section clearly describe exactly how you will collect data and what will be collected. Provide a step-by-step account of the data collection process so that anyone could
replicate your study. Explain what data will be collected and why it is being collected, and
then explain how you will collect it.
Explain where the interviews will be held, and discuss issues of confidentiality that might
be impacted by the setting. The research setting should be a place that provides a quiet
confidential place to conduct the interviews. For example, libraries often have conference rooms that can be used at no cost, whereas it is not a good idea to hold an interview
at Starbucks. If you are conducting your research within your participants’ work setting,
you will need to consider how you will protect the anonymity of your participants.
Also, if relevant, discuss when the interviews will be held. Generally, make certain that
the interviews are held at a convenient time for your participants.
If you are videotaping or audiotaping your interviews, you must discuss this. In addition,
this must be noted in the informed consent form.
If you will be using incentives to solicit participants, discuss this and explain what the
incentive is and justify why you are using it. It is usually not a good idea to offer a cash
reward for participation. If you offer too little, the incentive might not be effective. If you
(Cont.)
In semi-structured interviews, the researcher has a set of questions but can deviate from the
questions by asking additional questions to get clarification for any answers. Unstructured
interviews are more like a conversation. The researcher might start the interview by saying,
“Tell me about. . . .” Additional questions flow from responses to the previous questions. When
conducting a structured interview, the researcher does not deviate from the interview script.
You can conduct interviews in several different ways. You can conduct semi-structured interviews with an individual or a focus group. Interviews can be conducted in person, via telephone, via online sites such as SurveyMonkey, by using Skype, or through email. In-person
interviews are preferred because they give you the opportunity to observe each participant
and to make notes regarding body language or how the person reacts to questions. But sometimes in-person interviews are not possible because of constraints caused by distance and
cost. The telephone interview does not give you the opportunity to observe the participants,
but you can be aware of changes in voice and make note of this. Using email or online sites can
be convenient, but they do not allow you to see or hear the participants. In addition, when you
use email or SurveyMonkey you run the risk of someone other than the intended participant
answering your questions.
Gathering documents and artifacts relevant to the phenomenon being studied will provide
additional information that you can use to supplement the data gathered from interviews.
Data such as newspaper accounts, pictures, audio tapes, or video tapes can provide good
sources of information regarding the phenomenon. Archival data can also provide valuable
information. If you use archival data, remember that you probably must get permission to
access it unless it is in the public domain.
26
TIP
Critical Points to Address for This Section (cont.)
offer too much, data collection might be influenced because people may agree to participate because of the reward rather than because they are interested in helping you gather
data. Some researchers offer other types of incentives, such as holding a drawing and
giving the lucky winner a gift card of some sort.
Other issues to consider include how you will make participants comfortable during the
interview, what the seating arrangement will be, whether you will provide food or something to drink, such as coffee or water. This information does not have to be provided in
this section, but it should be included in your research protocol.
If you are conducting interviews, you must transcribe your recordings of them verbatim
into written form. You can do this by listening carefully to each section and then typing it
verbatim. This method can take a long time, especially if you are not a fast typist. Faster,
automated ways include the following:
• You can buy transcription programs that that will transcribe the interviews
from an audio or visual tape into written form.
• There are also apps available for your cell phone that allow you to transcribe
taped interviews into your computer.
• You can also hire a transcriptionist to transcribe the data. If using a transcriptionist, you must have him or her sign a confidentiality agreement.
There should be no names identified on your recording or on the transcript. Instead,
identify participants by using the personal identifier you have assigned to each person.
After the interview has been transcribed, return the interview to the participant for
member checking. Researchers use member checking to ensure the accuracy and validity
of their results. Ask participants to review the transcript of their interview for accuracy
and to make any necessary additions, corrections, or deletions. The member-checked
version of the transcript is the one you will use for data analysis.
If you are collecting written material, pictures, audio or visual tapes, or artifacts, explain
where you will access this information. Sometimes consent is needed to use these
resources. If that is the case, explain it in this section and provide a copy of the consent
form in an appendix.
Create a research protocol that will include a detailed step-by-step account of exactly
how your data will be collected. Provide the protocol in your appendix. In addition, maintain an audit trail while collecting and analyzing your data.
27
Considerations for Alignment
• Must align with the research method and design.
• Must align with the research purpose.
• Must align with information provided in Chapter 1.
• Must align with information provided in the data collection methods section.
Suggested Resources for Enrichment
Bloomberg, L. D., & Volpe, M. (2008). Completing your qualitative dissertation: A roadmap from beginning to end [Kindle Edition]. Thousand Oaks, CA: Sage.
Creswell, J. (2013). Qualitative inquiry & research design: Choosing among five
approaches (3rd ed.). Thousand Oaks, CA: Sage.
Kitzinger, J. (1994). The methodology of focus groups: The importance of interaction
between research participants. Sociology of Health & Illness, 16,103–121.
Polkinghorne, D. (2005). Language and meaning: Data collection in qualitative research.
Journal of Counseling Psychology, 52, 137–145. doi.org/10.1037/0022-0167.52.2.137
Seidman, I. (2013). Interviewing as qualitative research: A guide for researchers in education. New York, NY: Teacher’s College Press.
Stewart, D., & Shamdasani (2015). Focus groups: Theory and practice. Thousand Oaks,
CA: Sage.
Yin, R. (2014). Case study research: Design and methods (5th ed.). Thousand Oaks, CA:
Sage.
Write Your Dissertation
In your draft dissertation, write your section on procedures followed, addressing
each of the following points:
• Provide the sequence of steps that will be used to collect the data.
• Provide justification for each step of the data collection.
• Address the quality of the research.
• Explain the relationship of the pilot study to the full study.
Remember: Ensure that your writing is cohesive. The ideas should flow logically and with
appropriate transitions between sentences.
28
Self-Check Your Work Against the Dissertation Handbook
States the sequence of steps followed in conducting the research, from
deveopment of the research instrument(s) to data analysis.
Details all steps in a way that another researcher could follow the steps
to reproduce the study.
Explains the relation of the pilot study to the full study, if applicable.
Procedures Followed
• Describe and justify your data collection technique.
from the Research Review Board
Trustworthiness
(This is the main heading for this section)
Background Reading for This Section
Section 12.9 in the Field Guide
According to Bloomberg and Volpe (2008), transparency in research procedures is crucial for
establishing trustworthiness and credibility. Establishing transparency requires clear documentation of research procedures and developing a study protocol that can be easily followed.
According to Yin (2014), trustworthiness stems from triangulating the data and maintaining a chain of evidence. Yin suggested that having multiple sources of data helps to capture a
broader range of perspectives, behaviors, and attitudes.
Research credibility refers to the degree the research accurately presents participants’ perceptions, feelings, and actions. Credibility stems from the researcher being aware of any personal biases that might impact the research. It is important to discuss any personal biases and
to explain how they may impact the research. It is also important to discuss how these biases
will be mitigated.
In qualitative research, confirmability involves reflexivity and the use of an audit trail that
links case data to study participant responses (Bloomberg & Volpe, 2008). Yin (2014) suggested building a chain of evidence to improve case study reliability. Reliability is also a function of researcher trustworthiness and credibility (Yin, 2010). Journaling is one approach to
establishing trustworthiness and credibility, because it allows for introspection regarding the
data collected.
TIPS
29
Critical Points to Address for This Section
Credibility, transferability, dependability, and confirmability are fundamental elements
of qualitative research that allow the reader to assess the value of your research. In this
section you must discuss procedures you will use to assure the accuracy of your data and
how you will lessen the impact of researcher bias and ensure the research is trustworthy. Address all four points—credibility, transferability, dependability, confirmability—
explaining what they mean and then discussing how you will assure they are addressed
in your research.
Credibility. How will you make your research more credible? How will you mitigate any
biases? How will you ensure the accuracy of your data collection and data analysis?
Transferability. Generally results of qualitative research are not transferable or generalizable to another population. However, if you clearly describe your population and
sample, the reader will be able to decide whether the results can transfer to another
population.
Dependability. How will you make certain that your results are dependable? Yin suggested that dependability increases when you make certain that procedural approaches
remain constant throughout the research. How will you do this?
Confirmability. Confirmability requires use of an audit trail and chain of evidence so
that the reader can know that the results are valid and that the research was done with
rigor and thoughtfulness. How will you increase the confirmability of your research?
What chain of evidence will you have?
Considerations for Alignment
• Must align with research method and design.
• Must align with procedures followed.
Dependability, which is similar to reliability in qualitative research, refers to being able to
replicate cases procedurally without attempting to replicate results, according to Yin. So it is
important to replicate data collection in exactly the same manner with each participant.
Qualitative research results cannot be transferred or generalized to a different population.
However, if the researcher carefully describes the sample and research methods, the reader
can decide whether the results are applicable to their own population.
30
Suggested Resources for Enrichment
Bloomberg, L. D., & Volpe, M. (2008). Completing your qualitative dissertation: A roadmap
from beginning to end [Kindle Edition]. Thousand Oaks, CA: Sage.
Harrison, J., MacGibbon, L., Morton, M. (2001). Regimes of trustworthiness in qualitative
research: The rigors of reciprocity. Qualitative Inquiry, 7, 323–345.
Morrow, S. (2005). Trustworthiness in qualitative research. Journal of Counseling Psychology, 52, 250–260.
Williams E. (2009). Achieving trustworthiness in qualitative research: A panparadigmatic perspective. Psychotherapy Research, 19(4-5), 576–582.
doi:10.1080/10503300802702113
Yin, R. (2014). Case study research: Design and methods (5th ed.). Thousand Oaks, CA:
Sage.
Write Your Dissertation
In your draft dissertation, write your section on trustworthiness, addressing
each of the following points:
• Credibility
• Transferability
• Dependability
• Confirmability
• What procedures will you follow to ensure accuracy of the data and lessen
researcher bias (e.g., trustworthiness, member checks, triangulation)?
Remember: Ensure that your writing is cohesive. The ideas should flow logically and with
appropriate transitions between sentences.
Self-Check Your Work Against the Dissertation Handbook
Addresses credibility, transferability, dependability, and confirmability.
Shows evidence of quality by discussing how procedures will be/were
followed to ensure the accuracy of the data and lessen the impact of researcher
bias (e.g., trustworthiness, member checks, triangulation, etc.).
Trustworthiness
31
TIPS
• Describe threats to the internal and external validity of your study.
• Address researcher bias.
• Address transferability.
Ethical Concerns
(This is the main heading for this section)
Background Reading for This Section
Chapter 13 in the Field Guide
Section 11.6 in the Field Guide
Section 12.5 in the Field Guide
Ethics have always been an important consideration when doing research and are regulated
by law and ethical standards. Creswell (2013) suggested that ethical concerns need to be
considered throughout the process of doing research. He suggested that prior to conducting
the research, it is important to seek approval from the IRB and to gain permission from an
external institution to solicit participants. You must select an institution that has no vested
interest in the study’s outcome so the researcher is not swayed in a particular direction.
When beginning to conduct the research. disclose the purpose of the study clearly and do not
pressure participants to sign the informed consent form. Creswell (2013) also noted that it
is important to be aware of cultural norms and the needs of any vulnerable populations that
may be part of the research.
During the actual data collection, cause as little disruption as possible. Avoid deception and
be aware of the power imbalance that is inherent in the positions of the researcher and the
participant, and avoid any exploitation.
In the analysis phase maintain objectivity and present all data, not just what will support
your view. Respect the privacy of participants and do not divulge any information that might
identify participants.
In the reporting phase do not falsify data, analysis, or conclusions. Falsifying data can lead
to very unfortunate consequences for both the researcher and the community. Do not disclose information that could hurt others, and do not plagiarize any part of your research or
analysis.
Informed consent. Mandel and Parija (2014) pointed out that informed consent is the bond
of trust between the researcher and the participants. It is the single most important aspect of
any good research because it assures the participants that their well-being will be protected
and that they have self-determination in terms of participating in the research. In obtaining
from the Research Review Board
32
informed consent from participants, there are several things to consider. First, the language
of the informed consent must be clear and written in a way that the potential participants can
understand. If you are working with someone from a different culture or for whom English is
a second language, make certain that the person can understand what the informed consent
form says. Likewise, if you are working with someone who may be impaired cognitively, be
certain that this person has the capacity to understand and sign the informed consent. Weiss
Roberts (2002) suggested that the researcher must consider several factors when seeking
informed consent: developmental factors, illness related factors, psychological issues and cultural and religious values, and external pressures.
The informed consent form must include specific items. The Common Rule (1991) regulates
informed consent. Subpart A, section 46.116 of Protection of Human Subjects (1974/2009)
requires communicating the following general informed consent requirements to study subjects as applicable:
• Potential risks.
• Benefits for study participants.
• A statement of the time frame in which the data will remain confidential.
• Contact information.
• A statement that participation is voluntary.
• A statement that refusal to participate will not result in any penalties or adverse
effects.
• A statement that study participants may discontinue participation at any time and
how they may discontinue participation.
When writing the informed consent section of Chapter 3, address all the issues listed above.
Clearly describe how you will obtain informed consent from your subjects, and obtain consent prior to collecting any data.
In addition, explain how you will protect your subjects from any harm. It is important to carefully consider the potential for any harm resulting from the research. Something that might
seem quite innocent could, in fact, cause harm. For example, you might be doing a study on
obesity in adolescents. In your study you want to find out what factors might contribute to
obesity in that group. Although your questions may seem quite innocuous, they could cause
undue stress for an adolescent who has fought to lose weight for several years and has been
the object of bullying because of weight issues. Remember, it is the researcher’s responsibility
to protect the participants, so you must carefully consider any potential harm and how you
will mitigate it.
Deception and concealment are generally frowned upon in research. However, sometimes
deception is necessary. If deception or concealment are used, the researcher must take time
to debrief participants and explain the nature of the deception after the data is collected.
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Critical Points to Address for This Section
There are three main parts for the section on informed consent. First explain what is in
the informed consent form. Also indicate which appendix the informed consent form is in.
Next explain exactly how you will distribute the informed consent form and secure participant signatures. The signature must be secured prior to data collection.
Finally discuss any issues regarding data collection that might prove harmful to your
clients and discuss how you have addressed them in the informed consent form.
Considerations for Alignment
• Must align with research method and design.
Suggested Resources for Enrichment
American Psychological Association. (2010). Publication manual of the American Psychological Association (6th ed.). Washington, DC: Author.
Creswell, J. (2013). Qualitative inquiry & research design: Choosing among five
approaches (3rd ed.). Thousand Oaks, CA: Sage.
Lincoln, Y. S. (2009). Ethical practices in qualitative research. In D. M. Mertens & D. E.
Ginsberg (Eds), The handbook of social research ethics (pp. 150–169). Los Angeles,
CA: Sage.
Mandel, J., & Parija, S. C. (2014). Informed consent in research. Tropical Parasitology,
4(2), 78–79.
Miller, T., Birch, M., Mauthner, M., & Jessop, J. (2012). Ethics in qualitative research.
Thousand Oaks, CA: Sage.
Weiss Roberts, L., (2002). Informed consent and the capacity for voluntarism. Psychiatry, 159, 705–712.
Write Your Dissertation
In your dissertation draft, please write the section on informed consent,
addressing each of the following points:
• Explain how you will distribute informed consent forms and secure participant
signatures.
(Cont.)
34
Write Your Dissertation (cont.)
Address how you intend to maintain confidentiality.
Background Reading for This Section
Section 12.5 in the Field Guide
Chapter 13 in the Field Guide
Confidentiality. Confidentiality is another important consideration in qualitative research.
Never use the name of an organization as the site for your research unless given written consent to do so. Generally, it is better to simply describe the organization rather than actually
naming it. Your participants must also be identified but not by name.
Saunders, Kitzinger, and Kitzinger (2014) pointed out how difficult maintaining anonymity
is especially when gathering data in a small setting or with a specific group of people. Many
researchers use an alphanumeric coding system that can identify the group to which the person belongs but not the actual person. For example, you may use a code in which the first
number depicts the number of the interview, the second letter depicts the group the person
belongs to, and the third depicts gender. Thus, if you were interviewing managers and employees at a company, your first interview might be 1MF to denote the first interviewee, who was
a manager and female. The next would be 2EM, indicating that the second participant was an
employee and male. This code would be used for all data collected and would also be given
to the participant. If the participant decides to withdraw from the research, the participant
would simply give their alphanumeric code to the researcher, who could then access the data
associated with this code. Another approach might be to ask the participant to provide a PIN
that they devise and record on the informed consent form. All data collected would be identified only by the PIN provided.
• Make certain that all elements of the informed consent are explained and
that a copy of the informed consent form is in an appendix:
° potential risks;
° benefits for study participants;
° a statement of the time frame in which the data will remain
confidential;
° contact information;
° a statement that participation is voluntary;
° a statement that refusal to participate will not result in any penalties
or adverse effects; and
° a statement that study participants may discontinue participation at
any time and how they may discontinue participation.
• Explain how you will protect your participants from any harm.
Remember: Ensure that your writing is cohesive. The ideas should flow logically and
with appropriate transitions between sentences.
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Critical Points to Address for This Section
In this section you should discuss how you will maintain anonymity for your participants. Issues such as using a PIN or other ways to identify the data should be discussed.
You should clearly explain any type of coding you might be using to identify participants
on the research data. In addition, how you will maintain anonymity in the research setting if you are conducting interviews at a place of work needs to be discussed.
In addition, you must discuss how you will keep the data confidential. This includes
where you will store your data and how it will be destroyed after the dissertation is
completed. Your data should only be accessible to you and should be destroyed three
years after the dissertation is completed.
Considerations for Alignment
• Ethical issues should be considered in all aspects of the dissertation.
Suggested Resources for Enrichment
Kaiser, K. (2009). Respecting respondent confidentiality in qualitative research. Qualitative Health Research, 19(11), 1632–1641.
Petrova, E., Dewing, J. Camilleri, M. (2014). Confidentiality in participatory research:
Challenges from one study. Nursing Ethics, 1–13. Retrieved from http://nej.sagepub.com.contentproxy.phoenix.edu/content/early/2014/12/29/0969733014564
909.full.pdf+html
Saunders, B., Kitzinger, J., Kitzinger, C. (2014). Anonymising interview data:
Challenges and compromise in practice. Qualitative Research, 1–17.
doi:10.1177/1468794114550439
The concept of confidentiality goes beyond protecting the names of the participants. It is also
important to consider how you will protect your data, both in its written form and on your
computer. All written data must be kept in a locked file cabinet that is only accessible to the
researcher. Your computer files should be password protected. Anything stored in a cloud
database should be encrypted. Your informed consent, which identifies the names of your
participants, must be stored separately from your data.
Research material is generally kept for three years after completion of the dissertation. Following this three-year period, the researcher must destroy the data so that it cannot be copied or used by anyone else. Clearly explain how your data will be destroyed.
36
Write Your Dissertation
In your dissertation draft, write your section on confidentiality, addressing each
of the following points:
• Method by which you will maintain anonymity of participants.
• How you will store your data.
• How and when data will be destroyed.
Remember: Ensure that your writing is cohesive. The ideas should flow logically and with
appropriate transitions between sentences.
Additional issues to consider. Remember that there is an imbalance of power between the
researcher and the participant. The notion that the researcher has power over study participants was made very clear in the famous Milgram experiments. In this study the researchers
were able to convince participants to administer shocks, ranging from mild to lethal, in a
supposed learning experiment. The participants assumed the researchers knew best and did
what they were told rather than doing what they felt comfortable doing.
Because you hold more power, it is your responsibility as the researcher to keep your participants safe. This is especially true when working with a protected class who may not be able to
give true informed consent, such as prisoners or children. Also be careful that your questions
are worded so that they will not hurt or offend anyone. When dealing with sensitive material,
consider how you will deal with your participants if they become uncomfortable as a result
of your questions.
Write Your Dissertation
Now write your section on ethical concerns by combining the sections above into
one coherent whole.
Ethical Concerns
• Informed consent: Explain how you will distribute an informed consent form
and secure participant signatures.
• Make certain that all elements of the informed consent form are explained and
that a copy is in an appendix:
° potential risks;
° benefits for study participants;
° a statement of the time frame that the data will remain confidential;
° contact information;
° a statement that participation is voluntary;
° a statement that refusal to participate will not result in any penalties or
adverse effects;
° a statement that study participants may discontinue participation at any
time and how they may discontinue participation.
(Cont.)
37
• Clearly describe all processes and procedures, keeping ethical concerns in
mind.
Self-Check Your Work Against the Dissertation Field Guide
Provides adequate measures for ethical protection of participants.
Includes detailed information about the informed consent process and how
informed consent will be obtained.
Includes informed consent letter in appendix.
Includes detailed information about how confidentiality is addressed.
from the Research Review Board
Write Your Dissertation (cont.)
• Explain how you will protect your participants from harm.
• Confidentiality:
° method by which you will maintain anonymity of participants;
° how you will store your data;
° how and when data will be destroyed.
Remember: Ensure that your writing is cohesive. The ideas should flow logically and with
appropriate transitions between sentences.
Ethical Concerns
Data Analysis
(This is a main heading)
Background Reading for This Section
Section 12.8 in the Field Guide
Data analysis in qualitative research is difficult—generally there is a lot of data that must be
analyzed and different units of analysis. In addition, data analysis is not the same from one
qualitative design to the next. Moustakas (1994) outlined the modified Van Kaam for phenomenological studies. Yin (2014)provided information on how to analyze case study data.
TIPS
38
Critical Points to Address for This Section
In this section detail exactly how you will analyze your data after it is collected. Discuss
the steps you will take to aggregate and code your data and how you will derive themes
from the results. If you are using a computer program such as NVivo, it is not enough
to say that you will use this program. You must give a detailed description of exactly
how you will use the program. If there are discrepant cases, you must explain how you
will deal with them. Also address how your analysis will be aligned with the research
questions.
Creswell (2013) provided some ideas for the various types of data analysis. Generally qualitative researchers complete the first steps of data analysis as they collect the data rather than
waiting until all of it is collected. This makes it easier to analyze the data and also helps them
to know when data saturation has occurred.
There are several steps to analyzing case study data. First, organize the data into specific
units, words, or sentences. You can use computer programs such as NVivo or Dedoose to organize your data.
In the next phase of analysis, read over the transcripts to get a general idea of the major
themes or ideas that emerge. As you read, write notes in the margins so that you can go back
to see which themes emerge from your reading.
In the next phase of analysis, coding, aggregate the text or visual data into categories of information. In this phase code the main ideas from the various sources of data and then label
those that form the aggregate.
In the next phase review the aggregated codes and look for categories or themes. These
themes, according to Creswell (2013), are broad units of information that consist of several
codes that form a common idea.
Computer programs such as NVivo and Dedoose—there are several others—can help with
analysis. If you plan to use one of these programs, download the program ahead of time and
to take the tutorials available for them. Generally, the programs provides a trial period to get
proficient with it. With most programs, you can upload your transcript and the program will
find the words, sentences and sub-sentences or nodes for you.
39
Considerations for Alignment
• Analysis of the data must be aligned with the research method and design.
• Must align with research questions so they can be answered.
Suggested Resources for Enrichment
Chanail, R. (2012). Conducting qualitative data analysis: Reading line by line but analyzing by meaningful qualitative units. The Qualitative Report, 17(1), 266–269.
Creswell, J. (2013). Qualitative inquiry & research design: Choosing among five approaches
(3rd ed.). Thousand Oaks, CA: Sage.
Elo, S., Kaariainen, M., Kanste, O., Polkki, T., Utriainen, K., & Kyngas, H. (2014). Qualitative content analysis: A focus on trustworthiness. doi:10.1177/2158244014522633.
Miles, M., Huberman, M., & Saldana, J. (2014). Qualitative data analysis: A methods
sourcebook. Thousand Oaks, CA: Sage.
Yin, R. (2014). Case study research: Design and methods (5th ed.). Thousand Oaks, CA:
Sage.
Write Your Dissertation
In your draft dissertation, write your section on data analysis, addressing
each of the following points:
• Articulate clearly how and when your data will be analyzed.
• Align the data analysis plan with your research design to answer the research
questions.
• Describe how you will deal with discrepant cases.
• If using a software program, clearly describe how it will be used.
• Provide details about how you will code the data and how you will develop
your themes or categories.
Remember: Ensure that your writing is cohesive. The ideas should flow logically and with
appropriate transitions between sentences.
(Cont.)
Self-Check Your Work Against the Dissertation Field Guide
Articulates how and when the data will be or were analyzed.
Aligns the detailed data analysis plan with the specific research design to
geneate answers to the research questions.
Data Analysis
40
TIPS
• Make sure your data analysis plan is clear, appropriate, and
aligned with your specific research design, research questions, and
hypotheses.
Summary
(This is a main heading)
Background Reading for This Section
The summary provides a short, concise summary of what was included in Chapter 3 and
introduces the content of Chapter 4. The summary should not include any new information
or quotations.
Critical Points to Address for This Section
In the summary, you summarize what is in Chapter 3. Do not add any new information.
Your summary should be short and concise. At the end of the summary, add a paragraph
indicating what will be in Chapter 4. Remember, Chapter 4 is your results section, so
simply indicate that Chapter 4 will include the results of your research.
Self-Check Your Work Against the Dissertation Field Guide (cont.)
Describes procedures for dealing with discrepant cases.
If a software program was used to aid analysis, clearly describes how it was
used.
Gives details about the coding procedure and how themes or categories were
developed.
from the Research Review Board
Considerations for Alignment
• Your summary should align with all the sections of the chapter.
41
Write Your Dissertation
In your dissertation draft, write your summary, addressing each of the points listed
below.
• Summarize main points of chapter.
• Introduce Chapter 4.
Remember: Ensure that your writing is cohesive. The ideas should flow logically and with
appropriate transitions between sentences.
Chapter 3 should be 10 to 25 pages long. Assemble all sections you wrote for this workbook into one coherent whole.
Self-Check Your Work Against the Dissertation Field Guide
Summarizes key points in the chapter.
Bridges to Chapter 4.
Conforms to the recommended length of 10 to 25 pages for Chapter 3.
Summary
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