M.

Rezaul Islam
Niaz Ahmed Khan
Rajendra Baikady Editors

Principles
of Social
Research
Methodology
Principles of Social Research Methodology
M. Rezaul Islam · Niaz Ahmed Khan ·
Rajendra Baikady
Editors

Principles of Social Research

Methodology
Editors
M. Rezaul Islam Niaz Ahmed Khan
Centre for Family and Child Studies Department of Development Studies
Research Institute of Humanities and Social University of Dhaka
Sciences Dhaka, Bangladesh
University of Sharjah
Sharjah, United Arab Emirates

Rajendra Baikady
Department of Social Work
School of Humanities
University of Johannesburg
Johannesburg, South Africa

ISBN 978-981-19-5219-7 ISBN 978-981-19-5441-2 (eBook)

https://doi.org/10.1007/978-981-19-5441-2

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Dedicated to
(Late) M. A. Momen and (late) Bashira
Mannan
Former Professors, Institute of Social Welfare
and Research, University of Dhaka
Foreword

I welcome the publication of this edited book: Principles of Social Research Method-
ology which is a very useful tool for the academics, teachers, and students for
whom it has been compiled. They are all engaged in the study and practice of social
scientific inquiry to provide evidence-based accounts and analysis of the problems
facing societies throughout the developing world. This is a fundamentally important
task, especially in the contexts of globalization and aggravated climate change and
given the persistence of massive economic and social inequalities. It is a continuing
endeavour, given the reality that circumstances do not remain static. If it is to be
accomplished, those who undertake it must equip themselves with an understanding
of the basic tenets of the philosophy and methods of social science and with the skills
and competencies necessary for their use in practice.
The book provides such a comprehensive grounding in theory and its applica-
tion. In thirty-five chapters organized in seven parts, it guides the reader through
the essential topics of social research inquiry and in a clear and readable style. I
personally congratulate one of the editors Prof. M. Rezaul Islam, himself a diligent
and successful social researcher, on accomplishing this very important task. As his
doctoral research supervisor, I am also very proud of his achievement. I wish this
book the considerable readership it deserves.

Professor W. J. Morgan
D.Sc. (h.c.), FRSA, FRAI, FLSW,
FRHS
Leverhulme Emeritus Fellow
Cardiff University
Wales, UK

vii
Preface

This book covers almost all the areas of social science research methodologies.
The research methodology is one of the most significant courses in all disciplines
including social sciences at undergraduate, master’s, and Ph.D. levels. In addition,
writing a research proposal is a requirement of every research student, particularly
for master’s, M.Phil., and Ph.D. students. In many cases, the undergraduate and
master’s (taught) students have to take some courses, or in some cases, they have to
do a group/individual practice research, where research methodology is a compul-
sory part of their syllabus. This edited book will fulfil all of these requirements.
Currently, the importance of research is getting more priority, particularly to the
programmers, policymakers, and development practitioners. They cannot think to
initiate any event without scientific investigation. On the other hand, the importance
of research methodology course has been signified tremendously over the years in
most academic institutions.
The book includes seven parts and 35 chapters. Part I: ‘Introduction to Social
Research’ includes four chapters (Chaps. 1–4) that discuss the theoretical aspects
with the examples of social research methodologies. In Chap. 1 entitled ‘Inquiry:
A Fundamental Concept for Scientific Investigation’, M. Rezaul Islam discusses
different aspects of ‘inquiry’. He shows the ways of the process of inquiry. Islam
notes that this is important to know the term inquiry before learning social research
methodology as it is the starting point to consider social research as a scientific
inquiry. In Chap. 2: ‘Research: Meaning and Purpose’, Kazi Abusaleh and Akib Bin
Anwar write the conceptual framework of research and research process drawing
the importance of research in social sciences. The chapter defines ‘research’ as
a deliberate and systematic scientific investigation into a phenomenon to explore,
analyse, and predict about the issues or circumstances and characterized ‘research’
as a systematic and scientific mode of enquiry, a way to testify the existing knowl-
edge and theories, and a well-designed process to answer questions in a reliable and
unbiased way. In Chap. 3 entitled ‘Social Research: Definitions, Types, Nature, and
Characteristics’, Kanamik Kani Khan and Md. Mohsin Reza highlight some basic
aspects such as definition, types, nature, and characteristics of social research. They
say that social research is a set of activities that allows a social scientist to investigate

ix
x Preface

human and social behaviour or a social problem. It is often defined as a study of

mankind that helps to identify the relations between social life and social systems. In
the last chapter of this part entitled ‘Theory in Social Research’, Mumtaz Ali, Maya
Khemlani David, and Kuang Ching Hei show the importance and link between social
research and theory. Here, social research is taken as the sociological understanding
of connections—connections among action, experience, and change—and it is the
major vehicle for realizing these connections. The authors mention that debate on
using theory in any scope of social research is being deliberated by various scholars
with many emphasizing the merits of using theory in social research. They argue that
an appropriate theory clarifies the findings a researcher has uncovered in the study.
This chapter elaborates on the various aspects of using theory in social research.
Part II: ‘Philosophy of Social Science and Research Paradigms’ includes five
chapters (5–9). In Chap. 5 entitled ‘Inductive and/or Deductive Research Designs’,
Md. Shahidul Haque attempts to introduce the readers of the undergraduate and
master’s students in Bangladesh to some fundamental considerations of inductive and
deductive research designs. The deductive approach is known as testing a theory, in
which the researcher develops a theory or hypotheses and designs a research strategy
to test the formulated theory. On the other hand, the inductive approach is known as
building a theory, in which the researcher starts with collecting data in an attempt
to develop a theory. In the beginning, a researcher should explain clearly which
approach is being followed in his or her research work. This paper discusses basic
concepts, characteristics, steps, and examples of inductive and deductive research
designs. Here, also a comparison between inductive and deductive research designs
is shown. It concludes with a look at how both inductive and deductive designs can
be used collaboratively to form a more complete picture of a research study.
In Chap. 6, author Premalatha Karupiah writes the ‘Positivism’, a paradigm that
dominates both the natural and social sciences. The ontology of positivism is called
realism where reality is seen as consisting of discrete events that can be experienced
only by the human senses. Positivism uses dualist and objectivist epistemology. This
means that the researcher and the observed reality are independent of each other, and
the quest for knowledge must be value-free and objective. Positivism mostly uses an
experimental methodology as a way to gather information regarding the event which
is being studied. Ashek Mahmud and Farhana Zaman have written Chap. 7: ‘Crit-
ical Theory in Social Research: A Theoretical and Methodological Outlook’. The
authors argued that critical theory, a multidisciplinary and multifaceted approach,
puts forward to reconstruct dominant ideology by the critical task of explaining and
criticizing. This chapter aims at revealing the contribution of critical theory to the
development of social thought and its application in social research. Thereby, critical
theory provides insight to form ‘critical paradigm’ and ‘critical realist paradigm’ that
generate ‘ideology critique’, ‘critical action research’, and ‘critical discourse anal-
ysis’ (CDA) as the dynamic research methods by which researchers can explain
the relationship among language, ideology, and practical social actions. Finally, the
chapter attempts to ascertain the emancipatory function of this new approach by
providing some examples of research output in connection to perpetual social prob-
lems in modern social settings. Rabiul Islam and Md. Sayeed Akhter have written
Preface xi

Chap. 8: ‘Narrative Inquiry, Phenomenology, and Grounded Theory in Qualitative

Research’. This chapter discusses the three major types of qualitative research—
narrative inquiry, phenomenology, and grounded theory. Firstly, this chapter briefly
discusses the issue of qualitative research and types. Secondly, it offers a conceptual
understanding of narrative inquiry, phenomenology, and grounded theory including
their basic characteristics. Finally, the chapter provides an outline of how these three
types of qualitative research are applied in the field. Md. Rafiqul Islam has written
Chap. 9: ‘Pragmatism’. The author argues that social scientists have been able to
abandon the dilemma of choosing methodology selection of either qualitative or
quantitative with the development of pragmatism in social research. Pragmatism as
a worldview has helped the researchers to combine both the qualitative and quan-
titative methodologies for conducting social research. Therefore, pragmatism is a
nascent topic of scholarly attention in social science research. This chapter is, thus,
an attempt to highlight the definition, development, and major characteristics of prag-
matism. This chapter also explains how pragmatism supports mixed-method research
in social science research.
Part III: ‘Quantitative Research Approach’ includes eight chapters (10–17).
Md. Rezaul Karim in Chap. 10 designs a quantitative research proposal. It starts
with the definition and purpose of the research proposal followed by a description
of essential parts of a research proposal and matters included in each part, organi-
zation of a research proposal and guidelines for writing the different parts of the
proposal including practical considerations and aims of a proposal that facilitate the
acceptance of the proposal. Finally, an example of a quantitative research proposal
has been presented. It is expected that the researchers will be able to write their
research proposal(s) by using the guidelines presented in the article. In Chap. 11:
‘Experimental Method’, the authors Syed Tanveer Rahman and Md. Rabiul Islam
mention that the experimental design is considered to be the most scientific one as
it can establish a “causal relation” between independent and dependent variables
using control mechanisms upon empirical observation. For social research, however,
true experimentation with rigorous control over the situation might seem to be very
intriguing and challenging due to the conditions and participants. That is why, the
quasi-experimental design is often very popular with social researchers. Both of the
designs have their types with advantages and disadvantages and prominent charac-
teristics. The researcher has to decide to resort to the appropriate design depending
on the purpose and objective of his or her research. The sampling technique, instru-
ments for measurement, statistical analyses, and finally the interpretation of data are
depending upon the design of the research, too.
In Chap. 12, Isahaque Ali, Azlinda Azman, Shahid Mallick, Tahmina Sultana,
and Zulkarnain A. Hatta offered a ‘Social Survey Method’ that is one of the most
commonly used methods in all branches of social sciences research. This research
is best used to gain information about large populations. There are two main types
of survey research, cross-sectional and longitudinal. The motivation of the respon-
dent and openness of the researchers is of utmost importance for survey research.
The chapter will guide young researchers in a manner so that they can make a clear
distinction of the survey method with other methods used in social science researches.
xii Preface

Shofiqur Rahman Chowdhury, Mohammad Ali Oakkas, and Faisal Ahmmed have
written Chap. 13 entitled ‘Survey Questionnaire’. This chapter is designed to provide
a guideline for a researcher who wants to conduct a survey taking the questionnaire
as an instrument of data collection. Based on the authors’ experience of using the
survey questionnaire, it discusses the meaning, characteristics, and types of question-
naire, its applicability, advantages and disadvantages, and the quality of a researcher
while using the questionnaire. It is expected that the reading of this chapter will
provide a better understanding of the appropriate use of the survey questionnaire,
their construction, and the way to increase the respondents’ spontaneous participation
in survey research.
In Chap. 14, ‘Interview Method’, Hazreena Hussein writes that the rationale of
research interviews is to gain people’s knowledge, views, and experiences, which
are meaningful in understanding social realities. Although some research interviews
are time-consuming, researchers can interact and communicate while developing a
rapport with people to find out these facts—something observations or surveys can
never do. How a response from an interview is made (tone of voice, facial expres-
sion, hesitation) can feed information that a written response would conceal. Having
a good audio-quality recorder would be of great assistance. However, if the respon-
dent refuses to be recorded, researchers should practise note-taking. What researchers
need to be careful of is what and how to ask, as some information may be contro-
versial and confidential information. Interviews are a highly subjective method, and
the danger of bias always exists. Moniruzzaman Sarker and Mohammed Abdul-
malek AL-Muaalemi write the ‘Sampling Techniques for Quantitative Research’ in
Chap. 15. The authors mention that this sampling squanders resources like time and
money which can be minimized by choosing suitable sampling techniques between
probability and non-probability methods. The chapter outlines a brief idea about the
different categories of sampling techniques with examples. Sensibly selecting among
the sampling techniques allows the researcher to generalize the findings to a specific
study context. Although probability sampling is more appealing to draw a repre-
sentative sample, non-probability sampling techniques also enable the researcher
to generalize the findings upon implementing the sampling strategy wisely. More-
over, adopting probability sampling techniques is not feasible in many situations.
The chapter suggests selecting sampling techniques should be guided by research
objectives, study scope, and availability of sampling frame rather than looking at the
nature of sampling techniques.
The last two chapters (Chaps. 16 and 17) of this part ‘Data Analysis Techniques
for Quantitative Study’ and ‘Techniques for Reporting Quantitative Data’ are written
by Md. Mahsin. The author provides some interesting and useful data analysis tools
and techniques for quantitative data. We hope the readers will be benefitted to use
these techniques in their practical research practices. Both authors mention these as
non-technical simple guidelines especially for a social scientist, ignoring traditional
statistical formulas. The guideline is developed for the initial level of the researcher,
and the authors have assumed that the researcher has limited prior knowledge with
either statistics or computing. Both chapters did not explore how to apply the tech-
nique/statistics for data analysis but also guide step by step that will be the specific
Preface xiii

techniques or guidelines for choosing appropriate statistics for analysing data in a

quantitative study. Though both chapters are designed especially for a social scien-
tist, these will also be essential reading for psychology, sociology, social policy, and
other general science and business students following courses in statistics, data anal-
ysis, or research methods. In Chap. 19, the author provides some aspects which are
suitable to present quantitative data based on the natures of studies and data.
Part IV: ‘Qualitative Research Approach’ include 13 chapters (18–30). In
Chap. 18, Md. Ismail Hossain, Nafiul Mehedi, and Iftakhar Ahmad write the
‘Designing a Research Proposal in Qualitative Research’. This chapter looks at the
main aspects of the research proposal designing in qualitative research. The author
explores a template of a research design to give a clear and well understanding of the
different steps of the research proposal. The author argues that there is no specific
template that is universally accepted. This template includes all major aspects of a
proposal in qualitative research. First, the topic provides the definitions of the main
concepts such as qualitative research, research designing, and research proposal.
Secondly, it provides a template that shows the key steps that a research student will
follow while writing a research proposal. Niaz Ahmed Khan and A. Z. M. Manzoor
Rashid have written Chap. 19: ‘Action and Evidence-Based Research’. This chapter
proffers an overview of action and evidence-based research as two related yet distinct
methods commonly used in the exploration of society. The purpose is to provide a
summary and synthesis of the key dimensions of these methods from the viewpoint
of tertiary literature. This chapter examines the basic features, scope, and limitations
of action research. Evidence-based research and its application in various practices
and trades, most notably, in medicine and nursing professions have become popular
since the 1990s. The method essentially focuses on reliable, verifiable, and quality-
assured research that can be used as ‘evidence’ in making informed and objective
professional and/or policy decisions and judgments. Here, the emphasis is on the
generation and use of evidence that draws on rigorous scientific research as distinct
from and opposed to intuition, tradition, subjective unsubstantiated opinion, or other
unsound bases of information.
M. Rezaul Islam has written the ‘Participatory Research’ in Chap. 20. The author
attempts to introduce participatory research simplistically so that the readers can
understand this research approach easily. First, the chapter provides a brief intro-
duction to participatory research that underlines the boundary and scope of this
research. Then, the chapter provides the meanings and some referred definitions. It
gives a brief description of how this kind of research differs from action research.
The next sections of this chapter highlight the methods of participatory research and
then discuss the fundamental characteristics and principles followed by the stages
of this research. The next sections briefly explain the importance of this research
followed by the ethics and challenges that should be considered to conduct such
kind of research followed by a brief conclusion. In Chap. 21, R. M. Channaveer and
Rajendra Baikady write a ‘Case Study’ that reviews the strengths and limitations of
this method. This chapter provides an account of an evidence base to justify why a
case study is best suitable for some research questions and why not for some other
xiv Preface

research questions. The chapter also focuses on the types of case studies and when
and where to use case studies as a research method in social science research.
In Chap. 22, Faisal Ahmmed writes the ethnographic method of qualitative
research in light of his field experience. He mentions that many graduate students face
a challenge in selecting appropriate qualitative methodology for their research. This
might be because of a poor understanding of the principles for selecting a particular.
Limited experience in conducting qualitative research can also be the reason. This
chapter is an attempt to make the issues clear to novice researchers so that they can
select and conduct ethnographic research following certain steps. Not quantifying
data, it also explains how narrative description is used in ethnographic research as
the product of analysis with maximum accuracy. An ethnographic researcher ends
by reporting a rich description of the cultural meaning of the phenomenon in a
particular culture through investigating the phenomenon in naturalistic settings. In
Chap. 23, Ndungi wa Mungai in his chapter ‘Indigenous and Decolonizing Research
Methodology’ presents an introduction to alternative approaches to research based
on indigenous worldviews and knowledge. This approach also emphasizes decolo-
nizing research methods that are developed from a Eurocentric view of the world. It
argues for the urgent need to apply methods that are meaningful to non-Euro-western
people as part of mental decolonization and liberation. When research is conducted
from a Euro-western perspective, it privileges a single worldview and ignores and
marginalizes others. How research is designed, implemented, and interpreted and
who has a say in these processes have a bearing on the outcome. An indigenous and
decolonizing paradigm prioritizes collective identity, sharing of knowledge, respect
of people’s history, culture, spirituality, and relationships as seen from their perspec-
tive. It is concluded that while the indigenous and decolonizing methodology is still
evolving, there is a rich body of work that attests to its viability.
Md. Golam Azam writes Chap. 24 ‘In-Depth Case Interview’. The author argues
that interview has a long history of extensive use for data collection across all the
disciplines of the social sciences. In social research, there are many types of the inter-
view being comprehensively used to elicit in-depth information from the respondents
under research study. The present writing is not an attempt to look at every single type
of interview. Instead, this focuses only on an in-depth interview, a useful method of
collecting detailed information. Here, the writer has briefly explained relevant issues
of carrying out an in-depth interview that has widespread acceptance and popularity
as a method of qualitative research and also of data collection in the fields of social
research. Shekh Farid writes Chap. 25 entitled ‘Observation’. The author mentions
observation as one of the direct methods of data collection in social research. It is
taken for granted as a scientific one when it serves a specific research objective, is
systematically planned and recorded, and is subjected to check its validity and relia-
bility as a scientific inquiry. While using an observational method, the researcher may
actively participate in activities of the group he is studying or may also be a detached
emissary from the group, he may use precision instrument prepared in advance or
may also be flexible, and he may also observe in a controlled environment or the
natural setting. The greatest advantage of using the observational method is that it
allows researchers to collect data through observing phenomena as they take place.
Preface xv

As observation is not truly objective, researchers’ own beliefs and values may also
prejudice the data. However, observation has become an extensively used method in
social sciences, mostly in the study of human behaviour.
In Chap. 26, Niaz Ahmed Khan and Shireen Abedin provide a short template of
the focus group discussions. The readers will be benefited to read this chapter as it
highlights briefly all aspects of this method such as definition, characteristics, and
usefulness and when and how this method will be used, the role of the moderator, and
its advantages and disadvantages. Salma Akhter writes Chap. 27 ‘Key Informants’
Interviews’. This is another useful qualitative data collection technique. The author
mentions that data collectors involve interviewing a select group of individuals who
are likely to provide needed information, ideas, and insights on a particular subject
as an expert source of information. KIIs are conducted to collect information from a
wide range of people including community leaders, professionals, or residents who
have first-hand knowledge about the community who from their particular knowl-
edge and understanding can give recommendations for solutions. In Chap. 28 entailed
‘Discourse Analysis’, Lokasundari Vijaya Sankar mentions that discourse analysis
is both a methodology and an approach to the analysis of discourse. It is a term used
for the examination and analysis of speech and writing, though other texts which
give meaning are included in the definition of discourse. The chapter outlines what
discourse analysis is, shows the importance of context and culture in this method of
analysis, outlines some common approaches to discourse analysis, and shows how
to design a study for discourse analysis. The last two Chaps. 29 and 30 of this part
‘Sampling Techniques for Qualitative Research’ and ‘Data Analysis Techniques for
Qualitative Study’ are written by Heather Douglas. The author discusses sampling
strategies that are suitable for qualitative studies, particularly purposive (or theoret-
ical) sampling to produce credible and trustworthy explanations of a phenomenon.
The author first revises some core research concepts. The author mentions that the
purpose of qualitative research is to understand or explain a phenomenon—that is, an
issue, practice, event, behaviour, or situation. A qualitative approach is most appro-
priate when little is known about the topic from previous research. Other reasons
for doing a qualitative study include when the phenomenon is complex or examine a
particular phenomenon in great detail or when you need to assess policy outcomes.
In Chap. 33, the author discussed the process, tools, and techniques of qualitative
data analysis very briefly.
Part V: ‘Mixed Method Approach’ included one chapter (Chap. 31) entitled
‘Designing a Research Proposal in Mixed-Method Approach’. The author of the
chapter Lokasundari Vijaya Sankar argues that a research proposal is an important
document that outlines a plan for a research study. It should contain pertinent and
sufficient information for the application of grants, scholarships, these proposals,
and other scientific studies to be examined and approved by a panel of examiners.
A research proposal should first introduce the topic of study and its importance to
the scientific community. It has further given an argument as to why the study is
important and outline the objective and research questions that drive the study. A
clear and succinct plan for the study has been mapped by describing the theory that
xvi Preface

the study is based on the sample, data collection, and analysis methods. A timeline
for the proposed study is also included in the chapter.
Part VI: ‘Data Collection Instrument Development, Fieldwork and Research
Ethics’ include three chapters (32–34). In Chap. 32: ‘Preparation and Development
of Data Collection Instruments for Social Research’, M. Rezaul Islam presents a clear
idea to the research students on the preparation and development of data collection
instruments for conducting social research. There are numerous debates about the
types of data collection instruments in social research. The author has written off all
of these instruments into main three categories, such as interview schedule, guide-
line, and checklist. First, this chapter provides the general rules for the preparation
and development of these instruments and then describes the preparatory stages.
Secondly, it provides a template of each type of instrument. Md. Abul Hossen in
Chap. 33: ‘Fieldwork for Data Collection: Preparation and Challenges’ mentions
field research as one of the most central strategies of the data collection process. Field
research can be challenging, exciting, and rewarding. The purpose of this chapter
is to discuss the meaning and importance of field research and to provide a basic
understanding to the new researcher who wants to conduct field research. While the
chapter highlights the common field research practices. It also discusses the poten-
tial tensions, dilemmas, and challenges that may encounter during field research
and the strategies needed to address them. This chapter argues that it is important
to pay greater attention to issues of reflexivity, positionality, and power relations in
the field to conduct emancipatory research. Such activity includes greater attention
to the openness about the purpose of the research and activities undertaken, self-
disclosure, mutual sharing of information and shows respect and explicit recognition
of the expertise of the participant that gained through lived experiences. The author A.
K. M. Ahsan Ullah in his Chap. 34: ‘Ethics and Empirics: Essence of Ethics in Social
Research’ addresses a few steps of ethical issues and points out the fact that ethics
are fundamental issues in upholding the quality of research. This chapter analyses
the steps and procedures of ethical protections that the contemporary social research
establishment has created to better protect better the rights and privacy of the research
participants. Keeping the participant anonymous throughout the research is one of
the fundamental principles of research ethics. Since ethical issues came into place in
research processes, hierarchies between researchers and researchers have withered
away. This means that research participants could not be coerced into participating
in research anymore, and they have the liberty to withdraw from the research at
any time. Depending on the level of sensitivity (physical, psychological, political,
and financial), the application for ethical approval for particular research has to go
through a varied level of rigour of the ethical process.
Part VII: ‘Referencing and Plagiarism’ included one chapter, Chap. 35: ‘Plagia-
rism and Referencing Techniques Used in Social Research Report’. The authors
Hossain M. Zabed and Xianghui Qi provide the referencing techniques used in a
social research report. Referencing is an essential part of an academic report in
any discipline. However, referencing systems can vary in the preferred styles for
a journal or the organization where a report will be submitted. This creates major
confusion for the researchers, particularly undergraduate and postgraduate students
Preface xvii

during their academic writing. Therefore, the acquirement of the proper knowledge
on referencing styles by young researchers will help them to write their research
report. A standard referencing system consists of the in-text citation and the list of
all references used at the end of the report. Both the positioning and style of the refer-
ence in text and the reference list are regulated by rules pre-defined for a specific
style. Several reference management software systems have been developed, and
when used, these make the references in the report consistent with the prescribed
rules and minimize errors. Endnote is one of these software systems that are widely
used in all fields of academic research.

Sharjah, United Arab Emirates M. Rezaul Islam, Ph.D.

Dhaka, Bangladesh Niaz Ahmed Khan, Ph.D.
Johannesburg, South Africa Rajendra Baikady, Ph.D.
Acknowledgements

The book Principles of Social Research Methodology is a compilation of social

science research methodologies. All authors write their chapters from their own
experiences that they gained through their professional research practices. The editors
would like to acknowledge the help of all the people in the project and more specif-
ically the authors who wrote the chapters. Their valuable contributions as authors
make it possible to bring this book to the readers. The editors also appreciate the
reviewers’ contributions who took part in the review process. Without their voluntary
contributions, this book couldn’t become a reality. Finally, the editors would like to
thank Springer who initiated to publish this book.

xix
Contents

Part I Introduction to Social Research

1 Inquiry: A Fundamental Concept for Scientific Investigation . . . . . . 3
M. Rezaul Islam
2 Research: Meaning and Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Kazi Abusaleh and Akib Bin Anwar
3 Social Research: Definitions, Types, Nature,
and Characteristics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Kanamik Kani Khan and Md. Mohsin Reza
4 Theory in Social Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
Mumtaz Ali, Maya Khemlani David, and Kuang Ching Hei

Part II Philosophy of Social Science and Research Paradigms

5 Inductive and/or Deductive Research Designs . . . . . . . . . . . . . . . . . . . . 59
Md. Shahidul Haque
6 Positivism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
Premalatha Karupiah
7 Critical Theory in Social Research: A Theoretical
and Methodological Outlook . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
Ashek Mahmud and Farhana Zaman
8 Narrative Inquiry, Phenomenology, and Grounded Theory
in Qualitative Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
Rabiul Islam and Md. Sayeed Akhter
9 Pragmatism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
Md. Rafiqul Islam

xxi
xxii Contents

Part III Quantitative Research Approach

10 Designing Research Proposal in Quantitative Approach . . . . . . . . . . . 131
Md. Rezaul Karim
11 Experimental Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
Syed Tanveer Rahman and Md. Rabiul Islam
12 Social Survey Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167
Isahaque Ali, Azlinda Azman, Shahid Mallick, Tahmina Sultana,
and Zulkarnain A. Hatta
13 Survey Questionnaire . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181
Shofiqur Rahman Chowdhury, Mohammad Ali Oakkas,
and Faisal Ahmmed
14 Interview Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207
Hazreena Hussein
15 Sampling Techniques for Quantitative Research . . . . . . . . . . . . . . . . . . 221
Moniruzzaman Sarker and Mohammed Abdulmalek AL-Muaalemi
16 Data Analysis Techniques for Quantitative Study . . . . . . . . . . . . . . . . . 235
Md. Mahsin
17 Techniques for Reporting Quantitative Data . . . . . . . . . . . . . . . . . . . . . 257
Md. Mahsin

Part IV Qualitative Research Approach

18 Designing a Research Proposal in Qualitative Research . . . . . . . . . . . 263
Md. Ismail Hossain, Nafiul Mehedi, and Iftakhar Ahmad
19 Action and Evidence-Based Research . . . . . . . . . . . . . . . . . . . . . . . . . . . 279
Niaz Ahmed Khan and A. Z. M. Manzoor Rashid
20 Participatory Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291
M. Rezaul Islam
21 Case Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313
R. M. Channaveer and Rajendra Baikady
22 Ethnographic Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 323
Faisal Ahmmed
23 Indigenous and Decolonizing Research Methodology . . . . . . . . . . . . . 337
Ndungi wa Mungai
24 In-Depth Case Interview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347
Md. Golam Azam
25 Observation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 365
Shekh Farid
Contents xxiii

26 Focus Group Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 377

Niaz Ahmed Khan and Shireen Abedin
27 Key Informants’ Interviews . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 389
Salma Akhter
28 Discourse Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 405
Lokasundari Vijaya Sankar
29 Sampling Techniques for Qualitative Research . . . . . . . . . . . . . . . . . . . 415
Heather Douglas
30 Data Analysis Techniques for Qualitative Study . . . . . . . . . . . . . . . . . . 427
Heather Douglas

Part V Mixed Method Approach

31 Designing a Research Proposal in Mixed-Method Approach . . . . . . . 437
Lokasundari Vijaya Sankar

Part VI Data Collection Instrument Development, Fieldwork

and Research Ethics
32 Preparation and Development of Data Collection Instruments
for Social Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 449
M. Rezaul Islam
33 Fieldwork for Data Collection: Preparation and Challenges . . . . . . . 463
Md. Abul Hossen
34 Ethics and Empirics: Essence of Ethics in Social Research . . . . . . . . 471
A. K. M. Ahsan Ullah

Part VII Referencing and Plagiarism

35 Plagiarism and Referencing Techniques Used in Social
Research Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 485
Hossain M. Zabed and Xianghui Qi

Author Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 507

Editors and Contributors

About the Editors

M. Rezaul Islam (Ph.D.) is Post Doc Fellow at the Center for Family and
Child Studies, Research Institute of Humanities and Social Sciences, University
of Sharjah, Sharjah, United Arab Emirates; Professor at the Institute of Social
Welfare & Research, University of Dhaka, Bangladesh; Senior Research Fellow at the
BRAC Institute of Governance and Development (BIGD), BRAC University, Dhaka,
Bangladesh; and Academic Fellow at the School of Social Sciences, Universiti Sains
Malaysia, Malaysia. His research interests focus on social work, community well-
being, climate justice, international migration and poverty and social inequality. He is
currently Member of International Advisory Board of the Community Development
Journal (Oxford University Press) and Editorial Board Member of three journals,
i.e. Asian Social Work and Policy Review (Wiley), Local Development and Society
(Taylor & Francis) and International Community Well-being (Springer).

Niaz Ahmed Khan (Ph.D.) is currently Pro Vice Chancellor at the Independant
University Bangladesh (IUB). He is Professor and former Chairman at the Depart-
ment of Development Studies, University of Dhaka; Senior Academic Adviser-
BRAC Institute of Governance and Development (BIGD, BRAC University); and
Chairman, Bangladesh Tropical Forest Conservation (Arannayak) Foundation. He
pursued doctoral and post-doctoral education and research in the University of Wales
Swansea, University of Oxford, and Asian Institute of Technology. His career reflects
a rich blend of academic and practising development management experiences
gained in Bangladesh, Thailand and the UK. Besides serving as Bangladesh Country
Representative of IUCN–the International Union for Conservation of Nature (the
world’s largest environmental network [intergovernmental] organization, some of his
other former positions include: Senior Programme Coordinator, UNDP-Bangladesh;
Forest and Natural Resource Management Specialist (RETA 5900), Asian Develop-
ment Bank (ADB), South Asian Fellow, Queen Elizabeth House, Oxford; Distin-
guished Visiting Researcher, The American University in Cairo; and Distinguished

xxv
xxvi Editors and Contributors

Visiting Professor, Asian University for Women (AUW). He has published exten-
sively, and his articles/chapters have appeared in journals and books with such reputed
publishers as Springer, Routledge/Taylor & Francis, Sage, Oxford University Press,
Wiley, Palgrave Macmillan, and Elsevier. He is also involved in extensive journal
management and editorial services; examples include Member, International Advi-
sory Board Community Development Journal (Oxford: Oxford University Press);
and Member, Editorial Advisory Board Area Development and Policy (Routledge:
Taylor & Francis).

Rajendra Baikady (Ph.D.) holds a dual appointment as a URC Special Post-Doctoral

Fellow and as a Senior Research Associate in at the Department of Social Work
and Community Development, University of Johannesburg, South Africa. In addi-
tion to this, Baikady is a Principal Investigator (Summer research Fellowship) at
International Socioeconomics Laboratory, Harvard University, United States. He
completed his first Post-Doctoral Fellowship at the Hebrew University of Jerusalem,
Israel (2019–2020) and was awarded Golda Meir Fellowship by Lady Davis Trust at
Hebrew University of Jerusalem. He has wide research experience in evaluating best
practices of social work education and practice at both local and global contexts.
His recent books include The Palgrave Handbook of Global Social Work Educa-
tion (Palgrave Macmillan), Social Welfare Policies and Programmes in South Asia
(Routledge), Building Sustainable Communities-Civil Society Response in South
Asia (Palgrave Macmillan) and Social Welfare in India and China: A Comparison
(Palgrave Macmillan).

Contributors

Abedin Shireen is Founder and Head of Research, E2E Research and Consultancy.
Her research interests are communications research, child rights and protection,
poverty, and inequality.
Abul Hossen Md. (Ph.D.) is Professor and former Chairman at the Department of
Social Work, Jagannath University, Dhaka, Bangladesh. His fields of interests are
public globalization, the healthcare system, inequalities in health and gender, and
ageing issues.
Abusaleh Kazi (MSS) Assistant Manager—Research, Research and Policy Divi-
sion, Transparency International Bangladesh. His research interest focuses mainly
on globalization and culture, international and domestic labour migration, population
dynamics, community development, and minority rights which are mostly ingrained
by the human rights approach.
Ahmad Iftakhar (MSS in Social Work) is graduated in Social Work from Shahjalal
University of Science and Technology, Sylhet, in 2019. After completing his post-
graduation degree, he is actively working on several research projects.
Editors and Contributors xxvii

Ahmmed Faisal (Ph.D.) is Professor and Head at the Department of Social Work,
Shahjalal University of Science and Technology, Sylhet, Bangladesh. His research
fields include indigenous peoples, child labour, wetland management, food security,
climate change, public health, NGOs, and gender development.
Ahsan Ullah A. K. M. (Ph.D.) is Associate Professor of Geography and Development
Studies at the Faculty of Arts and Social Sciences in the Universiti Brunei Darus-
salam, Brunei. His fields of interests include population migration, development, and
third world countries.
Akhter Salma is Professor at the Department of Sociology, University of Dhaka,
Dhaka, Bangladesh. Her research interests include gender, social development, NGO,
social inclusion, and financial and public health.
AL-Muaalemi Mohammed Abdulmalek is Ph.D. Candidate at the Faculty of
Business and Accountancy, University of Malaya, Malaysia. His research areas are
closed-loop supply chain management and consumer behaviour.
Ali Isahaque (Ph.D.) is Lecturer, Social Work Section, School of Social Sciences,
Universiti Sains Malaysia, 11800, Penang, Malaysia. His research expertise includes
poverty, social development, public health, social welfare policy.
Ali Mumtaz is Assistant Professor, Department of Sociology, University of Sindh,
Jamshoro, Sindh, Pakistan. His field of interests are in community development,
NGO management, and criminology.
Anwar Akib Bin is Community Mobilization Manager, Winrock International,
Dhaka, Bangladesh. His research interests include international labour migration,
climate change and migration, and politics.
Azman Azlinda (Ph.D.) is Professor in the Social Work Section and Dean, School
of Social Sciences, Universiti Sains Malaysia (USM), Malaysia. He works on
community development, family institution and wellbeing, poverty, HIV/AIDS, and
drug-related issues.
Baikady Rajendra (Ph.D.) is a Post Doctoral Fellow and Senior Research Associate
at the Department of Social Work, University of Johannesburg, South Africa. He
works on social welfare and social work education.
Channaveer R. M. (Ph.D.) is Professor, Dean, and Head of the Department of Social
Work, Central University of Karnataka, India. He works on social entrepreneurship
and social development.
Chowdhury Shofiqur Rahman (Ph.D.) is Professor at the Department of Social
Work, Shahjalal University of Science and Technology, Sylhet, Bangladesh. He
works on NGOs, faith-based NGOs, and community empowerment.
David Maya Khemlani (Ph.D.) is Professor in Sociolinguistics at the Faculty of
Languages and Linguistics, University of Malaya, and Adjunct Professor, Jaipuria
xxviii Editors and Contributors

Institute of Management, Lucknow, and Research Associate, Asia Europe Insti-

tute, University of Malaya. Her field of interests is language shift and language
maintenance and culture in discourse analysis.
Douglas Heather (Ph.D.) is Industry Fellow, Centre for Social Responsibility in
Mining, The University of Queensland, Australia. Her expertise includes business,
government and society, institutional change, social innovation processes, and hybrid
organizations.
Farid Shekh is Statistical Officer, Bangladesh Bureau of Statistics (BBS),
Bangladesh. His field of interest includes social development and ageing issues.
Golam Azam Md. (Ph.D.) is Professor at the Institute of Social Welfare and
Research, University of Dhaka, Bangladesh. His expertise includes community
development, social deviance, and social research.
Haque Md. Shahidul is Assistant Professor at the Department of Social Work,
Jagannath University, Dhaka, Bangladesh. His field of interests is social development,
poverty reduction, rural development, NGO activities, correctional services, disaster
management, and psychiatric and counselling social work.
Hatta Zulkarnain A. (Ph.D.) is Professor and Dean, Faculty of Social Sciences, Arts
and Humanities at Lincoln University College, Petaling Jaya, Selangor, Malaysia. His
field of interest includes spirituality and social work, social welfare policy, poverty,
and community development.
Hei Kuang Ching is Consultant (Learning and Development), Universal Busi-
ness Academy, Malaysia. The author’s fields of interests are discourse analysis and
teaching and learning in higher education.
Hossain Md. Ismail (Ph.D.) is Professor of Social Work at Shahjalal University of
Science and Technology, Bangladesh. He received Ph.D. in Labour Studies. Along
with labour rights issues, his research expertise also covers disaster management,
gender development, and the social safety nets programme of Bangladesh.
Hussein Hazreena (Ph.D.) is Associate Professor at the Department of Architec-
ture, University of Malaya, Malaysia. Her research interests are on environment–
behaviour interactions, inclusive access to outdoor environments, and multisensory
stimulation environments.
Islam M. Rezaul (Ph.D.) is a Professor at the Institute of Social Welfare & Research,
University of Dhaka, Bangladesh. Dr Islam works on social research methodology,
poverty, social inequality, human rights, community development, globalization,
social capital and international migration.
Islam Md. Rafiqul (Ph.D.) is Professor at the Department of Peace and Conflict
Studies at the University of Dhaka, Bangladesh. His research interests are environ-
mental security, conflict, and peace issues.
Editors and Contributors xxix

Islam Rabiul (Ph.D.) is Professor at the Department of Social Work, University

of Rajshahi, Bangladesh. His field of interests include social capital and disaster
resilience, community-based disaster risk reduction, climate change adaptation,
disaster gender, and public health.
Karim Md. Rezaul (Ph.D.) is Professor at the Department of Social Work, Jagan-
nath University, Dhaka, Bangladesh. His field of interest includes social research
methodology, poverty and inequality, social development, and good governance.
Karupiah Premalatha (Ph.D.) is Associate Professor, School of Social Sciences,
Universiti Sains Malaysia, Malaysia. Her research interest includes beauty culture,
femininity, and quantitative and qualitative research.
Khan Kanamik Kani is Lecturer at the School of Health and Social Care, University
of Essex, UK. His research interest includes human rights, public health, and social
service.
Khan Niaz Ahmed (Ph.D.) is a Professor and former Chair of, Department
of Development Studies, University of Dhaka, Bangladesh. His research inter-
ests are community-based natural resource management, environmental policy and
governance.
Mahmud Ashek (Ph.D.) is Associate Professor at the Department of Sociology,
Jagannath University, Dhaka, Bangladesh. His research expertise includes social
capital and media.
Mahsin Md. is Assistant Professor at the Institute of Statistical Research and
Training, University of Dhaka, Dhaka, Bangladesh, and Ph.D. Fellow at the
University of Calgary, Canada. His research interests are statistical analysis for
repeated measurements and longitudinal data, statistical methods for clinical trials
and observational studies, survival analysis, and biostatistical and epidemiological
analysis.
Mallick Shahid is Senior Lecturer, Department of Sociology and Social Work, Gono
Bishwabidalay (University), Dhaka, Bangladesh. His research expertise covers water
pollution, climate change, and social change
Manzoor Rashid A. Z. M. (Ph.D.) is Professor at the Department of Forestry
and Environmental Science, Shahjalal University of Science and Technology,
Bangladesh. His fields of interests include NRM and environmental governance,
legal, institutional, and policy issues of NRM, non-wood forest resources for commu-
nity development, co-management of protected areas, community-based adaptation
and integrated resource management, and participatory, indigenous and sustainable
forestry practices.
Mehedi Nafiul (MSS in Social Work) has been graduated in social work from Shah-
jalal University of Science and Technology, Sylhet, in 2019. He is currently doing
his master thesis and is actively engaged in some research projects.
xxx Editors and Contributors

Mohsin Reza Md. (Ph.D.) is Associate Professor at the Department of Social Work,
Jagannath University, Dhaka, Bangladesh. His field of interest includes economic
and social wellbeing and international labour migration.
Moniruzzaman Sarker (Ph.D.) is Assistant Professor of Marketing, Southamton
Malysia Business School, University of Southamton Malysia, Johor Bahru, Malaysia.
His research areas include services branding, consumer behaviour, travel and tourism
marketing, transportation services, and adventure tourism research.
Oakkas Mohammad Ali (Ph.D.) is Associate Professor at the Department of Social
Work, Shahjalal University of Science and Technology, Sylhet, Bangladesh. He
works on wetland management, Haor people and their livelihood, ethnic community,
and NGO initiatives for social development.
Qi Xianghui (Ph.D.), School of Food and Biological Engineering, Jiangsu Univer-
sity, Zhenjiang, Jiangsu, China.
Rabiul Islam Md. (Ph.D.) is Professor at the Institute of Social Welfare and Research,
University of Dhaka, Bangladesh. Dr. Islam works on elder people, child welfare,
and human rights.
Rahman Syed Tanveer is Associate Professor at the Department of Psychology,
University of Dhaka. He works on family studies, environmental psychology, positive
psychology, industrial/organizational psychology, psychological measurement, and
memory.
Sankar Lokasundari Vijaya (Ph.D.) is a retired Associate Professor at the School
of Communication, Taylor’s University, Malaysia. Her fields of research interests
are language and women, language and human rights.
Sayeed Akhter Md. is Associate Professor at the Department of Social Work,
University of Rajshahi, Bangladesh. His research interests include capability
approach and microfinance, gender and bargaining power, community development,
and women empowerment.
Sultana Tahmina is Senior Lecturer, Department of Sociology and Social Work,
Gono Bishwabidalay (University), Dhaka, Bangladesh. Her research expertise is
gender and women empowerment.
wa Mungai Ndungi (Ph.D.) is Lecturer in Social Work and Human Services, School
of Humanities and Social Sciences, Charles Sturt University, Australia. Dr. Ndungi
works in a variety of social work settings including research, telephone relationship
counselling for men, counsellor/advocate in torture and trauma, a caseworker for
asylum seekers, housing support worker, foster care field worker, and social worker
at Centrelink (locum position).
Zabed Hossain M. (Ph.D.) is Professor at the School of Food and Biological Engi-
neering, Jiangsu University, Zhenjiang, Jiangsu, China. His research interest includes
biofuels, bioproducts, bioactive compounds, and synthetic biology.
Editors and Contributors xxxi

Zaman Farhana (Ph.D.) is Associate Professor at the Department of Sociology,

Jagannath University Dhaka, Bangladesh. His research expertise includes disasters
and health and illness.
 Part I
Introduction to Social Research
Chapter 1
Inquiry: A Fundamental Concept
for Scientific Investigation

M. Rezaul Islam

Abstract This chapter provides a brief description of ‘inquiry’, a very important

but rarely includes in the research methodology books. Initially, the chapter explains
the conceptual definition of inquiry with the phases that develop ideas about inquiry.
Then the chapter discusses the different characteristics of inquiry. Then, it provides
a brief description of the theories and sources of inquiry in social research. The
processes, steps, and methods of inquiry are explained with ‘20 questions’ inquiry
process. Then the chapter includes a brief description of the position of inquiry in
education learning. Finally, the chapter explains the importance of inquiry in social
research.

Keywords Inquiry and enquiry · Question. Scientific process · Education

learning · Social research

Introduction

Social research books rarely address the term ‘inquiry’, though it is important to
know this concept if we want to understand social research clearly. I think the term
‘inquiry’ is a root/fundamental concept in social research that liquefies throughout
the discussion of the tools and techniques in social research. Research is a scientific
inquiry or sometimes called scientific investigation that looks at human behaviours,
their relationships and explores social changes over time. Social research always
attempts to add some new knowledge with the existing knowledge where inquiry is
a starting point that helps to think this process scientifically.
This is an urgent requirement for a researcher who needs to contour his/her mind
towards inquiry from the very beginning of a research initiative. The knowledge
on inquiry is very important as this helps to consider any idea to consider into

M. R. Islam (B)
Institute of Social Welfare and Research, University of Dhaka, Dhaka, Bangladesh
e-mail: [email protected]
Centre for Family and Child Studies, Research Institute of Humanities and Social Sciences,
University of Sharjah, Sharjah, United Arab Emirates

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 3
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_1
4 M. R. Islam

the scientific process. This aids a researcher to reach a scientific decision with a
research agenda. From identifying this agenda, inquiry helps to go through into a
deeper understanding about the situation, to raise the different questions within this
situation, and to come to a decision that will be finally revisiting this for investigation.

Definition of Inquiry

The literature about the definition of ‘inquiry’ gives a certain level of confusion as it
is muddled by many other related concepts. Inquiry and enquiry are compatible, but
we should awake that many will deliberate enquiry to be a spelling mistake of inquiry.
However, it is desirable to custom inquiry to represent an investigation, and enquiry
to represent a question. However, these are two spellings of a similar word, which
means to look for facts about something or to conduct a formal examination (typically
when tailed by ‘into’) (English Forum, 2014). The equivalent noun is enquiry or
inquiry. Both spellings can be used, but many people choose to enquire or enquiry
for the overall sense of ‘ask’, and inquire and inquiry for a formal investigation.
In practice, enquire and enquiry are more common in British English, and inquire
and inquiry are more conjoint in US English, for both informal questions and formal
investigations. The Guardian (a British newspaper) says that the writers use ‘inquiry’.
On the other hand, the Oxford English Dictionary mentions that it is an alternative
form of INQUIRE. Inquire as to the standard form, but enquire is still very frequently
used, especially in the sense ‘to ask a question’. According to Conburn (2000),
‘inquiry’ means the systematic and disciplined collection of knowledge that leads to
the development of knowledge. The conduct of inquiry involves a planned method.
Littlejohn (1992) argues that inquiry has an expected outcome. During the third stage,
the scholar formulates answers. This stage can be defined as theory building.
From this description, we see that an inquiry is a procedure to enlarge knowledge,
resolve doubt, or solve a problem. A theory of inquiry is an explanation of the several
kinds of inquiry and an action of the means that each type of inquiry attains its object.
Usually, we prefer to use ‘scientific inquiry’ rather than just ‘inquiry’. Scientific
inquiry denotes the varied ways in which scientists investigate the natural world and
suggests clarifications based on the evidence consequent from their effort. We can
say that it is a procedure of emerging a clarification of interrogation in the natural
world (or universe) through testing, investigating and collecting data that will either
support or disprove our original knowledge of what’s going on (National Research
Council, 1996). This kind of inquiry is a way to enquire and respond to scientific
questions by building observations and doing experiments. On the other hand, there
are widely used the term ‘social inquiry’ where shows that it is a combined procedure
for examining social issues, ideas, and themes. According to Newfoundland Labrador
(2011), a social inquiry is to:
Ask questions, gather information and background ideas, and examine relevant current
issues; explore and analyze people’s values and perspectives; consider how people make
1 Inquiry: A Fundamental Concept for Scientific Investigation 5

decisions and participate in social action; reflect on and evaluate the understandings, they
have developed and the responses that may be required

Inquiry rises in the human mind through several phases which gives more clear
understanding to the readers. The Just Science Now (2014) conducted an inter-
view with Nancy T. Davis who remarked that there are four phases of the inquiry
approaches. One phase is branded by queries that escort students to make their
innovations. This chapter directly quotes the phases as follows:

Box 1.1: Phases of inquiry

Initiation Phase
It is mainly deliberated to encourage and stimulate students’ nosiness through
asking questions. This phase offers students a chance to practise a phenomenon
or somewhat first-hand that encounters earlier credence or assumption.
Exploration Phase
This second Phase, queries are excluded or lessened down the questions that
students can bodily reply to through experimentation or research.
Experimentation Phase
In this phase, students experimented to gather data and information, and then
articulate a method of presentation.
Presentation Phase
In this last phase, students congregate data through experiments, and attempt
for presentation. They can use different presentations tools and techniques
which are most visible and understandable. They present such a way so that the
present experimental data provide sufficient explanation with all causes-effects
towards to solve the problem.
Source Just Science Now (2014)

An inquiry is composed of a scientific investigation that follows some phases

(Fig. 1.1), i.e., ask a question, do background research, construct a hypothesis, test
with an experiment, analyse results and conclude. In this phase, a hypothesis can be
true or false, and then reports results based on the hypothesis. However, a hypothesis
is the ‘core zone’ to construct an inquiry where further thinking may be needed for
a true inquiry. This hypothesis is a true decision that is brought to justify under such
inquiry.
6 M. R. Islam

Ask question

Do background
research

Construct Think!
hypothesis Try again

Test with an
experiment

Analysis results
Draw conclusion

Hypothesis is false
Hypothesis is true
or partly true

Report results

Fig. 1.1 Inquiry from asking question to find a result. Source Developed by author

Characteristics of Inquiry

Inquiry is asking good questions which are available and can be responded to in part
or whole and lead to evocative tests and investigations. The characteristics comprise:
ascertaining ways of articulating questions; building apposite and orderly designs;
thoughtful rules of evidence; using scientific thoughts, principles models and theories
in suggesting descriptions, and evaluating scientific decisions with genuine scepti-
cism. In precise, indulgent scientific inquiry entails that students distinguish that
scientific results are timid and subject to alteration and that they are exaggerated
by culture and personalities (Oregon Department Education, 2000). We can quote
1 Inquiry: A Fundamental Concept for Scientific Investigation 7

from the New Los Angles Charter School (2014), in a learning process in education,
inquiry conceives the following characteristics (Box 1.2):

Box 1.2: Characteristics of inquiry

(i) Generally, we say that inquiry is what scientists do. It is more than a
body of concepts and facts.
(ii) Inquiry delivers actual, vigorous scholarship of practices.
(iii) Inquiry promotes further enquiry and this spirit promotes someone for
further scientific investigation.
(iv) Inquiry stimulates someone to learn structured and scientific disciplines
that are more experimental and universal.
(v) Inquiry creates some norms of learning procedure through asking
questions and knowing answers as a matter of fact-finding.
(vi) Inquiry allows students at different developmental states to work on
similar problems and even collaborate in finding solutions to those
problems. Each student gets to bring his or her special talents into play.
(vii) Inquiry permits to allow a learning environment where both students
and teachers can participate in a joint initiative through asking what,
why and how.
(viii) Inquiry necessitates some form of responsibility for innovation and
change.
Source New Los Angles Charter School (2014)

In general, a scientific inquiry has the following general characteristics:

• Empirically based. In general, we use the term ‘empirical’ which refers to such
kind of knowledge-based upon our observations about the natural world. It is
derived from logic and reasoning. The data can be either quantitative or qualitative
or both.
• Reliable and tentative way of learning. Inquiry is not always be observed as
complete, but tentative and revisionary. This kind of reliable and tentative learning
is based on natural laws and theories. If it is tentative, it must be supported by
empirical evidence that is a scientific idea (even a law). It is noted that every
time it may not be possible to prove this in every case and under every condition.
This is true that the Newtonian Laws by Einstein is a classic case. Therefore,
‘truth’ incomplete intelligence, deceits external the choice of science (Popper,
1988). In this regard, Cartwright (1983, 1988) argues that scientific laws do not
deliver true generalizations, rather, they grasp this kind of statement under some
conditions. These describe patterns and principles of the natural world. This is
more important that these laws only provide some generalizations under some
specific precise conditions.
8 M. R. Islam

• Product of observation and inference. An inquiry is derived from a combination

of both observations and inferences. Information is obtained from observations
with the five senses and prior knowledge.
• Product of creative thinking. It is critically observed that an inquiry does not
constantly depend on reasoning and prudence. Rather, creativity is a foremost
basis of stimulation and origination yet there are some limitations. It is agreed
that this approach gathers data, and examine and construe results.
• Use proper methods to develop knowledge. An inquiry goes through a variety
of approaches to improve and examine thoughts and to respond to research
questions. These methods are descriptive studies, experimentation, correlation,
epidemiological studies, and serendipitous discovery.
• It is a social activity. This is now well established that scientific inquiry is a social
activity. For example, when we investigate any data through observation, in some
cases this blends with the subjective factors. Most of our observations are taken
from a particular community or cultural setting or some cases these are obtained
from the researchers’ experiences how they gather and evaluate data and draw
conclusions.

Theories and Sources of Inquiry

The classical source of inquiry can be found in Aristotle’s book: Prior Analytics.
The basic sources of inquiry are deduction, induction, and abduction. These three
terms are included, excluded or mixed while forming any theory through this process.
Inductive reasoning is such kind of process that shows a relationship between one
extreme term and the middle term using the other extreme. Abduction reasoning
uses the first term put on to the middle that the middle applies to the last term is
not apparent, yet it is nonetheless more likely or not less likely than the conclusion.
On the other hand, the deduction develops through testable significances from the
expounding hypotheses that abduction has aided to perceive, and eventually aids to
point a decision on the hypotheses, where the nature of the decision is reliant on the
sum of testable significances that have been tested. These three processes typically
operate cyclically to diminish suspicions and complications and make the inquiry
fruitful.
The pragmatic paradigm is another source of inquiry. Charles Sanders Peirce,
William James, John Dewey, and others stated that an inquiry is meticulously allied
with the normative science of logic. The pragmatic model was extorted by Peirce
from classical logic, with a while of support from Kant, and polished in equivalent
with the initial improvement of symbolic logic by Boole, De Morgan, and Peirce
himself to report problems about the nature and conduct of scientific reasoning.
Everything has a purpose in the pragmatic style of thinking, and the purpose of each
item should be the first thing we strive to observe about it. The goal of an inquiry
is to eliminate doubt and lead to a condition of belief, which is sometimes referred
to as knowledge or certainty. Because they all help to reach the conclusion where
1 Inquiry: A Fundamental Concept for Scientific Investigation 9

three types of extrapolation characterize a cycle that could only be comprehended as

a whole, and none of them makes sense without the others. Dewey (1938) defined
inquiry as to the well-ordered or focused renovation of an unstipulated condition into
one which is as determinate in its integral differences and associations as to transform
the rudiments of the inventive condition into a combined whole. The social dimension
of the inquiry was included in Dewey and Peirce’s idea of inquiry, which went outside
a system of thought.

Processes, Steps and Methods of Inquiry

A scientific inquiry follows some procedures, methods and steps. Hebrank (2000)
argues that the art and science of asking questions about the natural world and
discovering answers are known as enquiry. It entails meticulous observation and
measurement, as well as hypothesizing, interpreting, and speculating. It requires
investigation, replication, and acknowledgement of the strengths and weaknesses of
its methods. Identifiable traits differentiate scientific inquiry from other techniques
of gaining information, although methodologies vary from one subject of inquiry
to the next. Hypotheses are proposed by scientists as explanations for events, and
experimental investigations are designed to verify these hypotheses using predic-
tions drawn from them. To prevent any experimenter from making a mistake or
becoming confused, these processes must be reproducible. Many independently
generated hypotheses may be bound together in a cohesive, supporting framework
by theories that cover broader fields of research. Theories, in turn, may aid in the
formation of new hypotheses or the contextualization of sets of hypotheses. Scien-
tific investigation is typically meant to be as objective as possible to minimize biased
interpretations of findings (Prins & Gordon, 2014). Science is merely one of many
ways individuals investigate, explain, and come to know the world around them,
which is an essential component of scientific research. In nearly every manner that
people understand the world, there are strands of inquiry and discovery. To contribute
to humanity’s overall body of knowledge, all forms of knowledge are welcome.
TechThought (2014) recently developed a model of the inquiry process which it
calls the ‘20 questions’ inquiry process (Fig. 1.2). It offers 20 questions that can guide
student research at any stage. This process has four stages, i.e., pose real questions,
find resources, interpret information, and report findings. Within each stage, five
questions lead a student ahead to inquiry.
The Stripling Inquiry Model consists of six phases; however, it is a recursive
process where the learner may return to an earlier stage to ask additional questions
or arrange material as needed. Each phase includes critical thinking abilities that
enable young people to learn independently and build the cognitive skills necessary
to become autonomous, lifelong learners. The steps are as follows:
• Connect: perceive and experience that links a topic to self and preceding
knowledge
10 M. R. Islam

1 2 3 4

Pose real Find Interpreat Report

questions resources informationn Findings

What do I What kinds of How is this What is my

know about resources relevant to main point?
this topic? might help? my question?

What do I Whre do I find What parts Who is my

know about them? support my audience?
my question? answer?

How do I How do I How does it What else is

know it? know the relate to what imporrtant?
information is else I know?
valid?
What do I Who is the What parts do How does it
need to responsible not support connect?
know? for my answer?
information?
What could What other Does it raise How do I use
an answer information is new media to
be? there? questions? express my
message?

Fig. 1.2 The inquiry process. (2014) Source Adapted from TechThought

• Wonder: envisage, improve questions and hypotheses

• Investigate: discovery and gauge evidence to riposte queries, test hypotheses
• Construct: accomplish, attain at original indulgences
• Express: apply understandings to a new setting, share scholarship with others
• Reflect: inspect one’s learning and ask new questions (Stripling, 2003, p. 8).

Inquiry in Education Learning

The term ‘inquiry’ has been profoundly used in education and education learning.
The National Research Council (1996) explains scientific inquiry as to the varied
methods in which scientists investigate the natural world and suggest clarifications
based on the evidence resulting from their work. Scientific inquiry also states the
actions through which students develop knowledge and understanding of scientific
1 Inquiry: A Fundamental Concept for Scientific Investigation 11

ideas, as well as a thoughtful of in what way scientists know the natural world.
This kind of learning shields the skills and knowledge desired to operate scientific
research. This kind of inquiry is the centre point where students learn and scien-
tists understand the natural world. Children interact with their surroundings from an
early age, asking questions and seeking answers to those inquiries. A better under-
standing of science content is meaningfully enriched when ideas are fastened to
inquiry experiences. When concepts are tied to inquiry experiences, it is much easier
to understand scientific information. Scientific enquiry is a strong tool for grasping
scientific concepts. Students learn how to ask questions and respond with proof.
As they acquire scientific inquiry procedures, students learn to conduct investiga-
tions and collect evidence from a variety of sources, create an explanation from the
facts, and communicate and defend their findings. Scientific research covers a wide
range of actions that differ considerably from those commonly performed in practical
science. However, this approach falls short of resolving the chapter’s major issue: the
definition of scientific inquiry as an object that can be used to construct an evaluation
program (Hanauer et al., 2009). Moreover, while there is widespread agreement on
the potential importance of scientific inquiry for science education, the concept of
scientific inquiry has remained elusive and difficult to apply on a practical level.
Hodson (1996) argues that deconstructing the simple concept of scientific inquiry as
a decontextualized set of discrete concepts that can be readily moved from one scien-
tific setting to another in a historical review and pedagogical criticism of the scientific
inquiry movement. Here, genuine scientific investigation is imbued with certain theo-
retical knowledge and hence contextualized in very particular ways. Hodson further
argues that the exertion of an observational task depends critically on what is being
observed and what institutes a proper or noteworthy observation. In other words, the
task is governed by the nature of the concepts involved. Rather than the intangible
claim of practical knowledge, evocative scientific inquiry is contextualized inside a
specific and established knowledge framework.
Justice et al. (2007) defined the process of inquiry as a cycle. They demonstrated
that inquiry learning covers a variety of instructional techniques centred on students
learning by creating questions and investigating information within the context of
the course curriculum with teacher assistance. This is an approach to understanding
that is applicable across all academic departments, from education to STEM majors
(Wyatt, 2005) and can equip students to become lifelong learners.

Inquiry in Social Research

The term ‘inquiry’ is commonly used in social research. American Geosciences

Foundation (2014) develops the following model of scientific inquiry (Fig. 1.3). It
claims that this diagram can only be used as a model for scientific activity and that
it will always leave many options unexplored. Unexpected outcomes, for example,
might both lead to new issues and provide suggestions for the ones being researched.
12 M. R. Islam

Elements of scientific practice, such as the need of collaborating with other scien-
tists, are frequently omitted from such models. Because there are so many different
depictions of “the Scientific Method” that instructors may be familiar with, it is not
beneficial to spend time comparing and contrasting them. The basic principles behind
these portrayals haven’t changed. While scientific inquiry models are valuable, they
must be understood for both their limitations and advantages. According to Science
for All Americans (1991), scientific inquiry is not simply labelled separately from
the setting of specific investigations. There is no static set of stages that scientists
always follow, no one trail that pointers them accurately to scientific knowledge.
It is a multilayered action that contains many skills and a healthy measure of orig-
inality. Scientific investigation is a complex activity that requires a wide range of
abilities as well as a good dose of imagination. Scientists value observation, question
posing, and other abilities, but they do not occur in any particular order throughout
an inquiry. The reasoning required to acquire data and create and test a hypothesis
is more essential than any specific technique, and reasoning is also where creativity
comes into play.
Harris (2021) develops a four-step manual named the scientific method (Fig. 1.4).
The four steps of the scientific method are mentioned below.
Step 1: Observations and Questions: Observe anything in the natural world and
pose a query about how it functions. The scientist’s speciality is generally the
section of the natural world that is seen and researched.
Step 2: Hypothesis: Make an informed assumption (hypothesis) to try to answer
the question. A testable statement is a good hypothesis.
Step 3: Experiment: Create and conduct an experiment that can be used to test
the hypothesis. To put it another way, the experiment must be set up to generate
findings that either support (prove) or refute the hypothesis.

Fig. 1.3 A model of

scientific inquiry. Source
Make observation
Adapted from American
Geosciences Foundation
(2014) Recognise and state a problem

Design an experiment
-Hypothesis
-Predict

Test of new conclusion

Interpret results

Draw new conclusions

1 Inquiry: A Fundamental Concept for Scientific Investigation 13

Observation

Question

Hyposthesis (tentative
testable explanantion)
Accept/Reject
Controlled expereiment

Independent variable
Control setup Experimental
Standardized setup
variables

Depandant Results
variable

Conclusions

Fig. 1.4 Steps of the scientific method. Source Adapted from Harris (2021)

Step 4: Analyse Results and State Conclusions: Accept the hypothesis as prob-
ably true if the results are compatible with the hypothesis, or reject it if the
outcomes are inconsistent with the hypothesis. Even if the data do support the
hypothesis, it is not proven to be true. This is because the experimental outcome
might have alternative interpretations than the hypothesis.

References

American Geosciences Foundation (2014). EarthComm professional development program–key

concepts of EarthComm. Retrieved from http://www.americangeosciences.org/education/pd/ear
thcomm/resources/concepts
Cartwright, N. (1983). How the laws of Physics lie. Oxford University Press.
Cartwright, N. (1988). The truth doesn’t explain much. In E. D. Klemke, R. Hollinger, & D. Kline
(eds), Introductory readings in the philosophy of science. Buffalo, Prometheus Books.
Conburn, A. (2000). An Inquiry Primer. Science Scope, 23(6), 42–49.
Dewey, J. (1938). Logic: The theory of inquiry. Heath & Co.
English Forum (2014). What is the difference between ‘inquiry’ and ‘enquiry’. Retrieved from
http://www.englishforums.com/English/...Inquire/zgxlk/post.htm.
14 M. R. Islam

Hanauer, D., Hatful, G. F., & Jacobs-Sera, D. (2009). Active assessment: Assessing scientific inquiry.
Springer.
Harris, W. (2021). How the scientific method works. Retrieved October 25, 2021 from https://sci
ence.howstuffworks.com/innovation/scientificexperiments/scientific-method.htm
Hebrank, M. (2000). Why inquiry-based teaching and learning in the middle school science
classroom. Retrieved January 25, 2016 from http://www.biology.duke.edu/cibl/inquiry/why_inq
uiry_in_ms.htm
Hodson, D. (1996). Laboratory work as scientific method: Three decades of confusion and distortion.
Journal of Curriculum Studies, 28(2), 115–135.
Just Science Now (2014). Implementing inquiry. Retrieved from http://www.justsciencenow.com/
phases/index.htm. Accessed July 2014.
Justice, C., Rice, J., Warry, W., Inglis, S., Miller, S., & Sammon, S. (2007). Inquiry in higher
education: Reflections and directions on course design and teaching methods. Innovative Higher
Education, 31(4), 201–214.
Littlejohn, S. (1992). Theories of human communication. Wadsworth Publishing Company.
National Research Council. (1996). National science education standards. National Academy Press.
Newfoundland Labrador (2011). Grade nine- social studies curriculum guide. Newfoundland
Labrador.
New Los Angles Charter School (2014). Renewal petition. Charter School.
Oregon Department Education (2000). Scientific inquiry. http://www.ode.state.or.us/teachlearn/sub
jects/science/resources/inquiry.pdf.
Popper, K. (1988). Science: Conjectures and refutations. In E. D. Klemke, R. Hollinger, & A. D.
Kline (Eds.), Introductory readings on the philosophy of science. Buffalo: Prometheus Books.
Prins, H., & Gordon, I. (2014). Testing hypothesis about biological invasions and Charles Darwin’s
two creators rumination. In P. Herbert & I. Gordon (Eds.), Inversion biology and ecology theory
insights from a continent in transformation. Cambridge University Press.
Stripling, B. (2003). Inquiry-based learning. In B. Stripling & S. Hughes-Hassell (Eds.), Curriculum
connections through the library. Libraries Unlimited.
TechThought (2014). 20 Questions to guide inquiry-based learning. Retrieved from http://www.tea
chthought.com/learning/20-questions-guide-inquiry-based-learning/.
Wyatt, S. (2005). Extending inquiry-based learning to include original experimentation. The Journal
of General Education, 54(2), 83–89.
Chapter 2
Research: Meaning and Purpose

Kazi Abusaleh and Akib Bin Anwar

Abstract The objective of the chapter is to provide the conceptual framework of

the research and research process and draw the importance of research in social
sciences. Various books and research papers were reviewed to write the chapter. The
chapter defines ‘research’ as a deliberate and systematic scientific investigation into
a phenomenon to explore, analyse, and predict about the issues or circumstances,
and characterizes ‘research’ as a systematic and scientific mode of inquiry, a way to
testify the existing knowledge and theories, and a well-designed process to answer
questions in a reliable and unbiased way. This chapter, however, categorizes research
into eight types under four headings, explains six steps to carry out a research work
scientifically, and finally sketches the importance of research in social sciences.

Keywords Research · Research process · Social science · Systematic scientific

investigation

Introduction

In nature, people are curious about unknown, unexplained, and uncertain issues,
e.g., why summer is hotter than winter? Why does juvenile delinquency increase due
to urbanization? How migrants’ remittance contributes to the national economy of
developing countries? What measures are needed to tackle or cope up with immense
traffic jams in megacities and ensure road safety? To search for the answers to these
issues, people are using distinct systematic methods and applying innovative tech-
niques. Thus, people around the world have been striving to explore, analyse, and
predict the unknown, uncertain and unexplained phenomena using both theoretical
and analytical skills, scientific as well as non-scientific, and indigenous methods
and/or sources of knowledge, e.g., customs, traditions, taboos, rituals, mythology,

K. Abusaleh (B)
Transparency International Bangladesh (TIB), Dhanmondi, Dhaka 1209, Bangladesh
e-mail: [email protected]
A. B. Anwar
Community Mobilization Manager, Winrock International, Dhaka 1212, Bangladesh

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 15
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_2
16 K. Abusaleh and A. B. Anwar

supernatural, etc., to get answers (Aminuzzaman, 1991). With the advance of knowl-
edge of the scientific investigation, people have become more rational, logical,
systematic, and scientific to investigate issues to get answers.
Research is the systematic scientific inquiry into a phenomenon. Research is
an endeavour where a systematic investigation is undertaken to discover the truth
regarding the question. There are two main building blocks of research, inquisitive-
ness, and dissatisfaction (Ghosh, 1985). The inquisitiveness and dissatisfaction of
the mind make the researcher curious and analytically passionate in dissecting the
question and searching and researching the elucidation of the phenomenon. Thus,
research helps to find the answers of inquisitive and dissatisfactory minds through
a systematic scientific investigation. The scientific investigation is designed in a
manner that is likely to answer the identified question in a reliable and unbiased way
(Selltiz et al., 1976). Before inquiring into a phenomenon, however, a researcher must
have prior knowledge or dive into the existing literature regarding the phenomenon, a
thorough mind, and related facts and apposite modus operandi (Ghosh, 1985). There
are three broad dimensions of research output, e.g., a research problem may come
to light with the desire of an inquisitive mind to know the issue only; to acquire
knowledge onto the issue for useful purposes, or to make a holistic intervention to
generate knowledge for future use and intervention (Aminuzzaman, 1991).
The world goes through a process of continuous changes. Research is carried out
based on some problems or facts. With the continuous process of change, the nature of
problems also changes and is presented to us with a more sophisticated appearance. In
this case, the research examines the extent of the validity of old facts and conclusions,
i.e., crosscheck with the findings of previous studies and thus, deduce into new facts,
contexts, and generalizations about the existing one. Aminuzzaman (1991) depicts
that research, however, functionally, attempts to
1. Add new knowledge and generalize with old facts.
2. Compare the old conclusions with the new data.
3. Generalize one conclusion from the searched same set of data.
4. Generate a new original idea or theory, or unknown horizon of knowledge.
5. Trace out and find solutions to the existing contradictions in the study areas.

Research: A Conceptual Meaning

The term ‘research’ was first recorded in 1577 and first used in 1593 (Narayana
et al., 2018). The term ‘research’ originated from the Middle French ‘recherche’, the
meaning of which is ‘to drive for searching’. The word ‘recherche’ itself, however,
came from the Old French ‘recerchier’, meaning ‘search’. By dissecting the word
‘research’, we mainly get “re + search”, i.e., search over and over again based on
changing context. From a greater sense, ‘research’ can be defined as a deliberate and
repeated search for specific purposes. Different dictionaries define the term ‘research’
from different perspectives. The term ‘research’ is defined by the Merriam-Webster
Online Dictionary (2020) as the collection of data about a particular subject or careful
2 Research: Meaning and Purpose 17

investigation and/or scientific experimentation aiming at analysing and interpreting

facts, modifying existing theories, models/approaches, and laws based on facts, and
the application of these theories, models, and laws/policies in the practical field.
The Oxford Learner’s Online Dictionaries (2020) defines research as a scientific
investigation into a subject to unearth new facts or evidence about it. Research,
however, can be defined as a deliberate and systematic scientific investigation into
a phenomenon to explore, analyse, and predict the issue. Scholars defined the term
‘research’ from different angles. Some of the referred definitions are as follows:

Referred definitions References

“Research is a systematic investigation intended to add to Macdonald (in Polansky, 1960, p. 24)
available knowledge in a form that is communicable and
verifiable”
“Research is a systematic process of collecting, Leedy and Ormrod (2015 p. 20)
analyzing, and interpreting-data-to increase our
understanding of phenomena about which we are
interested or concerned”
“Research is a process step used to collect and analyze Creswell (2008 p. 03)
information to increase our understanding of a topic or
issue. It consists of three steps: pose a question, collect
data to answer questions, present an answer to the
question”
“Research may be defined as a systematic and objective Best and Kahn (1986 p. 04)
recording and analysis of controlled empirical
observations that may lead to the development of
principles, laws, or theories resulting in prediction and
possibly ultimate control of events”
“Research in any field seeks to generate new information Adams and Schvanevelt (1991 p. 12)
or knowledge that, in turn, can be applied to solve
problems, improve the quality of life, and provide a
better understanding of conditions in a field”
“Research is nothing but a systematic and objective Aminuzzaman (1991 p. 01)
attempt to the study problem to derive general principles.
The investigation is guided by consciously and
scientifically collected data and information intending to
add to the body of knowledge of a particular subject.
Thus, any conscious attempt to study a problem
systematically or any effort that aims to generate new
knowledge may be regarded as research”
18 K. Abusaleh and A. B. Anwar

Types and Characteristics of Research

Research produces new knowledge or justifies existing knowledge. Researchers clas-

sify researches from different angles. Kothari (2004) divides research into four cate-
gories, e.g., descriptive vs. analytical; applied vs. fundamental; qualitative and quan-
titative; and conceptual vs. empirical. Kumar (2011), however, classified research
(Fig. 2.1) from three broad categories, e.g., (a) applicability of research findings; (b)
objectives of the study; and (c) mode of inquiry used in conducting the study.
Research can be classified into two categories considering its nature and applica-
bility, e.g., basic/pure/fundamental research and applied research. Applied research
further can be categorized as action research and evaluative research. Apart from
these, research can broadly be classified into five types, e.g., exploratory, explana-
tory, experimental, evaluative, and descriptive research. From the methodological
perspective, research can be further categorized into two types, e.g., qualitative and
quantitative research. Based on the above discussions, the chapter classifies research
as follows:
1. Basic research and applied research.
2. Qualitative research and quantitative research.
3. Action research and evaluative research.
4. Exploratory research and explanatory research.

Basic and Applied Research

Basic research is usually carried out to develop a new theoretical base and logical
foundation of a particular discipline (Aminuzzaman, 1991). Kerlinger (1964) defines

Types of Research
From the view point of

Application Objectives Enquiry Mode

Pure Descriptive Exploratory Qualitative

Research Research Research Research

Applied Correctional Explanatory Quantitative

Research Research Research Research

Fig. 2.1 Types of research. Sources: Adapted from Kumar (2011)

2 Research: Meaning and Purpose 19

‘basic research as research that is carried out to test a specific theory or to investigate
relations among phenomena with little or no hope of applications of research results
into practical problems. Connaway and Power (2010) define basic research as the
pure, scientific, or theoretical research that is carried out to generate new knowl-
edge, and the investigation is indirectly involved with how the generated knowledge
will be applied in practical, specific, or real problems. Thus, basic research aims at
the generalization and formulation of new theories and principles (Kothari, 2004).
Basic research helps to understand theories, universal laws, and principles with less
emphasis on their immediate practical uses.
On the other hand, ‘applied research’ is carried out for practical purposes, e.g., to
generate findings, recommend long and short-term interventions. Applied research
emphasizes solving a specific problem in real situations (Connaway and Power,
2010). This type of research is usually carried out to acquire knowledge to control
natural phenomena (Polansky, 1960) and applied to find out the means how to reso-
lute any immediate problem faced by the people of society, community, state, or
organization (Kothari, 2004). For instance, applied research can be carried out on
issues related to population dividends, begging, child labour, or poverty, and the
purpose of the research will be to initiate programmes and policies.

Qualitative and Quantitative Research

Qualitative research is carried out with the qualitative phenomena to understand

human behaviour or motivations or attitude. Qualitative research is focused on the
qualitative aspect that is relating to or involves quality or kind (Mishra, 2017). This
type of research is carried out in the behavioural sciences to understand the motive of
human behaviour, e.g., how people behave in a particular situation and why (Kothari,
2004). To understand a phenomenon, however, qualitative research looks at the whole
picture rather than breaking it down into variables as its goal is to get a holistic view
rather than a numeric analysis of data (Ary et al., 2010). On the contrary, quantita-
tive research can be defined as the systematic empirical investigation of discernible
phenomena via numerical, statistical, or computational techniques (Given, 2008).
This type of research is based on the aspect of quantity or extent of any phenomenon
(Mishra, 2017) and is carried out, for example, to measure the level of poverty, to
understand the economic profile of a particular community.

Action Research and Evaluative Research

Action research is a way to bring the utmost outcome of an ongoing social action or
cycle of actions taken by an organization, community, or state to address a particularly
problematic situation, e.g., policy, practice, and plan of action (Herr & Anderson,
2014). Greenwood and Levin (2007) define action research as a strategy that generates
20 K. Abusaleh and A. B. Anwar

knowledge to promote the way of analysing and advancing the society and to take
initiatives for democratic social action. This type of research, however, is carried out
to enhance the efficacy of a programme or increase the popularity of a programme
among people through awareness. On the contrary, evaluative research is a process
of systematic investigation to assess the value or amount of success in achieving any
pre-determined goals. Suchman (1968) describes that evaluative research includes
at least four steps: (a) defining a goal, (b) defining appropriate criteria to be used
in assessing success, (c) determination and describing the level of success, and (d)
recommendations for further development of the programme. Adams (1975) defines
evaluative research as a process to measure whether a process or event or situation is
better than the other. More precisely, evaluative research is the systematic assessment
of the achievement of an effort in comparison with the invested time, money, and hard
work. This type of research, however, is carried out to assess the immediate, mid-
term, and long-term outcomes of any programmatic intervention or any implemented
activities to a particular community.

Exploratory Research and Explanatory Research

Exploratory research is carried out to explore an area about which too little is known
to us (Kumar, 2011). Exploratory research, however, is an attempt that is made to
develop an understanding and common familiarity with a phenomenon. Researchers
usually carry out this type of research to satisfy their inquisitiveness and craving
for enhanced understanding, testify the practicability of planned rigorous research,
and explore more extensive information regarding the phenomenon (Aminuzzaman,
1991). In general, exploratory research is conducted in such a situation when a
researcher does not know much about any problem or event and needs to know
additional information or new and more recent information about the problem or
phenomenon (Burns, 2006).
On the contrary, explanatory research establishes a relationship between one or
more dependent variables with one or more independent variables. Explanatory
research is defined as the attempt to understand the cause and effect relationship
between two phenomena, e.g., why a stressful living causes a heart attack? How is
melting glaciers affecting the environment? Explanatory research is carried out to
find any problem or phenomenon that was not studied in-depth before. It does not
give us any conclusive evidence, instead of assisting us in understanding the problem
more efficiently.

Characteristics of Research

Research is characterized by a systematic investigation that is carried out to come

across the solution of a problem in a reliable and unbiased way. Research not only
2 Research: Meaning and Purpose 21

produces new knowledge but also justifies existing knowledge. Best and Khan (1986
in Gebremedhin and Tweeten, 1994) summarized the characteristics of research as
follows:
1. Research is carried out aiming to find solutions to a problem or the search for
answers to unsolved questions.
2. Research paves the way to develop principles, laws, or theories useful in
predicting future corrections.
3. Observable experience and/or empirical evidence are the basis of research. It
comprises the collection of new (e.g., survey) data from primary sources and/or
reviewing existing (secondary) data from verified sources.
4. Research demands valuable, precise, and genuine observation and description by
using quantitative measures where possible.
5. The research strives to be objective and logical, applying appropriate tests to vali-
date the procedures employed. In research, the researcher carefully documents
references, collects data, analyses results, and reaches a conclusion.
Leedy (1981) has summarized six distinct features of research which are somehow
in addition to Best and Khan. Leedy’s summarized features of research are
1. As an investigative process, it originates with a question. It attempts to satisfy an
unanswered question that is in the mind of a researcher.
2. Research demands a clear articulation of a goal, and a clear statement of the
problem is a pre-condition of any research.
3. In its due course of an inquiry, research sub-divides the principle problem
into appropriate and more manageable sub-problems. Each sub-problem seeks
answers through tentative constructs called a hypothesis. These hypotheses direct
the researcher to collect and examine facts.
4. The research looks for facts directed by the hypothesis and guided by the
problem. The facts are collected, organized, and processed through a systematic
methodological approach.
5. In its analysis, research endorses solid and measurable data and information to
attempt resolving the issue that the research initiates.
6. Research, by its nature, is a circulatory process. It interprets the meaning of
the facts which leads to the resolution of a problem accepting or rejecting the
hypothesis and providing answers to the question which began the research cycle.
Research is a scientific investigation into a phenomenon aiming to find out the ins
and outs of the phenomena and solutions. Research, according to our understanding,
has the following characteristics:
1. The research follows a systematic and scientific process to investigate a
phenomenon.
2. Research is designed in such a manner that is likely to answer a question in an
unbiased and in a reliable way.
3. Research either produces new knowledge and theory questioning the old one or
provides new facts about the existing one.
22 K. Abusaleh and A. B. Anwar

4. Research scientifically address a problem to find out the solutions.

5. Research is usually carried out based on some tentative assumptions or
hypotheses that are put to be tested throughout research.
6. The findings of the research may answer the questions either quantitatively
or qualitatively or through a mixed-method approach (both qualitative and
quantitative).

Research Process

Research is carried out following some specific systemic scientific steps. Ghosh,
(1985), however, summarized several related steps, e.g., formulation of the problem
concerning the purpose and objective of the study, description of research design,
the methods of data collection, findings of the study, and policy implications and
the conclusions. On the other hand, Adams and Schvaneveldt (1991) mentioned
seven steps of research, e.g., (1) a statement of the problem, (2) a reduction or
refinement of the problem occurs, (3) research design is formulated and mapped
out for use, (4) ways to obtain relevant data are developed, tested, and made ready
for use, (5) collection of data following research rules, (6) the data are analysed,
and results are interpreted, and (7) the findings are typically written in a report.
However, Bhattacherjee (2012) explained the process of research from three broader
perspectives, e.g., explorative, research design, and research execution (Fig. 2.2).
The chapter, however, defines six steps of the research process as follows:

1. Identification of a research problem

A study is taken in hand when a researcher faces difficulties or challenges or dissat-

isfactions in his/her mind. Researchers usually become curious to carry out research
when they find gaps in existing knowledge, envisage countering the contradictory
findings of previous research, and/or think of generating new knowledge and theory
explaining the unexplained issues. Hence, the very first work of a researcher is to
find a research problem before searching the solution scientifically. Though it seems
too easy to define a research problem, the summed up experience of scientists shows
that it is more difficult to find and determine an appropriate research problem than
to solve it. Hence, it is not logical to identify a problem sub-consciously. Identified
research problems must be practical in the eye of theory and application. The identi-
fied problem must pose a realization in mind that there is a gap in knowledge in the
existing literature. It is expected that the identified problem will be precise and inves-
tigable and measurable in a scientific manner. To deal with the identified problem,
a researcher must go through the existing literature to acquire in-depth knowledge
and determine the practicability of research.
2. Review of relevant literature and theories
Literature review paves the way to have deep insights and clear perspectives of
the identified research project, and it beholds significant importance in the research
2 Research: Meaning and Purpose 23

Exploration Research Literature Theory

Question Review

Research Operation- Research Sampling

Design alization Method Strategy

Research Proposal

Research Report
Pilot testing
Research
Execution Data collection

Data analysis

Fig. 2.2 Steps of research. Source: Adapted from Bhattacherjee (2012)

field. A literature review involves searching, reading, and assessing research reports
as well as casual observation and opinion reports that are pertinent to the planned
research project of the researcher (Borg & Gall, 1963). A literature review helps to
reduce the research work to a manageable size. Pertinent literature includes books,
journal articles, working papers, review articles, periodicals, and so on. A literature
review is done with threefold purposes, e.g., to enquire into the current status of
available knowledge regarding the research area; to identify the main articles and
their authors, theories and their proponents, and existing findings; and to identify
the gaps in knowledge (Bhattacherjee, 2012). Literature review, however, serves the
same purpose as a road map of a travel guide for an excursion and provides base
information to research in an organized manner (Adams & Schvaneveldt, 1985).
There are seven stages of literature review as explained by Adams and Schvaneveldt
(1991), e.g., consulting with writers, researchers, academicians, and colleagues and
friends to get a long list of books, journal articles, periodicals, and so on as they are
great documentation resources; secondly, collecting information about the locations
of libraries where these resources will be found; thirdly, tracking down references
and locating essential literature; fourthly, going through the identified materials in
an illustrative way and take notes; fifthly, re-reading the taken notes and reshuffle
literature; sixthly, writing down the first draft of literature review through editing
and polishing from the taken notes; and finally, finalizing the reviewed literature
with cited references.
24 K. Abusaleh and A. B. Anwar

3. Formulation of research design

Upon having a rigorous literature review, the researcher needs to develop a research
design. A study design is the blueprint of research that involves the researcher’s plan
about the research procedures, sampling, data collection methods and techniques, and
guides the researcher to research on time without the waste of resources. Research
design includes justified research methods, data collection tools, research locations,
sampling, operational definitions, and research ethics. In this stage, the researcher
decides what research methods he/she will apply in his research to explore and get
the research questions’ answers. Research methods may either be qualitative, e.g.,
case research or action research or ethnographic research; or quantitative research,
e.g., survey research or experiments. After defining research methods, the researcher
needs to define the tools of data collection, e.g., if the survey, whether data will be
collected through face-to-face interviews of respondents by using structured or semi-
structured survey questionnaire, or mail survey or telephone survey or web survey,
and if case research or ethnographic research, data whether will be collected through
face-to-face interview or telephone interview using the checklist. The researcher
must also define the research population and area/locations to carry out the research
scientifically, e.g., in what locations the study will be carried out, whether only male
or female will be interviewed or the both; how many people will be interviewed;
how those areas and respondents will be chosen, and what will be the sampling
strategy, e.g., whether probability sampling or non-probability sampling strategy will
be chosen. In this stage, the researcher also needs to identify the ethical guidelines
he/she will follow to ensure his/her research’s validity and reliability.
4. Development of questionnaire and execution of field research
Based on the overall knowledge gained through the journey of the research and
reviewing the literature, at this stage, the researcher will need to develop a question-
naire and/or a checklist/checklists that will answer the research objectives. Upon the
development of the questionnaire and/or checklists, the first and foremost duty of
the researcher will be to test the applicability of the questionnaire. This can be done
through various processes, e.g., loud test, experts’ review, pilot test, etc. Usually,
researchers prefer pilot testing which refers to conducting a shorter version of a
full-length study that is carried out to justify the feasibility of the questionnaire. The
questionnaire is modified and upgraded once the pilot study is done successfully. At
this stage, the researcher directly goes to the fields, or orients data collectors on the
final questionnaire and sends them to the specified field to collect data. To ensure the
reliability of the collected data, researchers very often check and monitor the data
collection process in a systematic way in the field.
5. Analysis of collected data and results interpretation
Heaps of collected data are useless unless the collected data are organized and anal-
ysed systematically to produce answers to the research question. Analysis means
categorizing, ordering, manipulating, and summarizing data to find the answer to
the problem (Kerlinger, 1964). The objective of analysing data is to summarize the
2 Research: Meaning and Purpose 25

collected data and observations in such a manner that yields the answer to the research
question. Data collected from the field may be either qualitative or quantitative or a
mixed approach of qualitative and quantitative based on the research design. Based
on the research design, the analysis and interpretation of data will be either qualita-
tive (e.g., coding or content analysis) or quantitative (e.g., application of statistical
analysis, for example, use of statistical package for social sciences for correlation or
regression analysis) or both.
6. Preparation of research report and policy implication
The final phase of the research work is to prepare the research report. The research
report covers the entire research process, including proposal, methods followed in
carrying out the research, ethical guidelines followed in carrying out the research, and
presentation of findings of the investigation. The final task of the research report is
to provide some guidelines answering the question of research or draw a conclusion
assessing the derived inferences are either scientifically acceptable or not.

Importance of Research in Social Sciences

Social science is a broad category of academic discipline that is concerned with

society and human relationships. The principal subject areas of social sciences
are sociology, social work, political science, psychology, economics, development
studies, anthropology, history, and archaeology. Social science research, however,
entails investigating all aspects of human activity and interactivity (Black, 1993).
Empirical social science research involves the collection of data about people and
their social contexts drawing inferences from these disciplines (Somekh & Lewin,
2004), e.g., broad categories of societal relations are studied under sociology, human
behaviour under psychology, interpretation of cultures under anthropology, local and
international politics and political psychology under political science, and a broad
range of social problems and welfare activities under social work.
Social science researchers are known as modern social engineers. Social scien-
tists, through different action and operation research, develop a kind of sound knowl-
edge base. Research in social sciences involves designing and developing different
models, approaches, tools and techniques, and theories and procedures in analysing
the web hub of society, and human inter-relationships and complexities (Aminuz-
zaman, 1991). Besides, social science research helps to understand social cohesion
and has realistic inferences on formal and informal types of leadership, prototypes
of behaviour, and reorganization in different spheres of society. In addition, social
science research gives us numerous types of information that influence the economic
and social well-being of aggregated individuals. In the agricultural field, for instance,
management information derived from applied economic research includes ability,
configuration, and processing locations of plants; efficient use of input materials,
e.g., resources, lands, and fertilizers; the growth and use of innovative marketing
26 K. Abusaleh and A. B. Anwar

mechanisms, i.e., choices, threats, and possibilities; and the incorporation of new
information and technology, and so on (Smith, 1998).
Data and systematic information are the most essential prerequisite materials to
make any plan or policy, whether it is within the organizational level or at the state
level. Social science research portrays a comprehensive picture and agglomerates
a broad range of data on the socioeconomic conditions and people’s demands at
the local as well as national level. By providing aggregated data, social science
research helps a nation to formulate specific development goals, plan, policy, and
strategy in one hand and capacitate them to attain set development goals, e.g., Sustain-
able Development Goals, Poverty Reduction Strategy Papers, and sector-wise goals
through using limited resources more efficiently on the other. Hence, in some cases,
social science research is commissioned by the state and run by government offices.
The Planning Ministry of Bangladesh, for instance, has a large research wing named
Social Science Research Council (SSRC), and every year, they circulate and allot a
good amount of money for research purposes. To an extent, social science research
addresses the operational effectiveness of government organizations and helps to
renovate innovative methods to ensure productivity within those agencies (Smith,
1998).
One of the primary functions of social science research is to find the relationships
between two or more variables to predict the future (Aminuzzaman, 1991). Modern
researchers use both qualitative as well as quantitative methods and analyse existing
literature containing data, numerical as well qualitative, to find the inter-relationships
of variables (Black, 1993). Thus, they examine present dynamics and predict the
future trend and movement of an issue. Research in social sciences, to conclude,
bears great importance as it helps to understand human behaviour, produce new
knowledge and theories to understand social dynamics, aggregate data analysing
social circumstances and contribute to initiating plan and policy, and predict future
trends and movements of circumstances.

Conclusions

From immemorial time, people are always inherently curious to know about
unknown, unexplained, and unpredictable issues. The unsatisfactory mind of people
made them curious to search and research into these unknown, unexplained, and
uncertain issues through both scientific as well as non-scientific means. Research,
however, has introduced a systematic and scientific approach to investigate, analyse,
and scientifically predict these issues. It does not merely produce quantitative data,
but also analyse human behaviour through a qualitative approach and thus pave a
new direction and insight into the existing dilemmas. Research is carried out either to
produce new knowledge and develop theory, to test existing knowledge and theory, or
to find the solution to an identified problem. To do so, the researcher follows a specific
scientific approach very strictly to produce reliable and unbiased results from the
very beginning of a research project to the very end, e.g., identification of a problem,
2 Research: Meaning and Purpose 27

review of pertinent literature, development of research proposal, carrying out field

research, analysis of data, and reporting. Thus, the overall finding of research will
help to generate new knowledge, testifying theory, and/or adding facts to formulate
policy and plan, and understanding future trends and movements of circumstances
made through predictions.

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Chapter 3
Social Research: Definitions, Types,
Nature, and Characteristics

Kanamik Kani Khan and Md. Mohsin Reza

Abstract Social research is often defined as a study of mankind that helps to identify
the relations between social life and social systems. This kind of research usually
creates new knowledge and theories or tests and verifies existing theories. However,
social research is a broad spectrum that requires a discursive understanding of its
varied nature and definitions. This chapter aims to explain the multifarious definitions
of social research given by different scholars. The information used in this chapter is
solely based on existing literature regarding social research. There are various stages
discussed regarding how social research can be effectively conducted. The types and
characteristics of social research are further analysed in this chapter. Social research
plays a substantial role in investigating knowledge and theories relevant to social
problems. Additionally, social research is important for its contribution to national
and international policymaking, which explains the importance of social research.

Keywords Research · Social research · Human and social behaviour · Knowledge

and theories

Introduction

This chapter mainly focuses on social research. The definitions of social research are
multifarious, and different scholars define social research from different perspectives.
Major definitions of social research are discussed in this chapter. A research process
for conducting social research is also explained to describe how social research can be
effectively conducted. Different types of social research are then explained, such as
basic research, applied research, descriptive research, exploratory research, explana-
tory research, longitudinal research, causal research, comparative research, action

K. K. Khan (B)
School of Health and Social Care, University of Essex, Colchester, England
e-mail: [email protected]
Md. Mohsin Reza
Department of Social Work, Jagannath University, Dhaka 1100, Bangladesh

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 29
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_3
30 K. K. Khan and Md. Mohsin Reza

research classification research, action research, participatory action research, eval-

uation research, feminist research, and theory-testing and theory-building research.
Furthermore, different features and characteristics of social research are discussed to
deepen the understanding of the multifaceted nature of social research. The role of
social research is also explained to understand its importance in investigating theories
and knowledge as well as designing policies and guidelines.

Definitions of Social Research

Research is a systematic process of seeking new knowledge to generate new insights,

revise accepted laws or theories, and create new theories and practices. In general
terms, social research is a scientific investigation related to social aspects. The main
scope of this investigation is the social perspective that includes human behaviour,
cultures, norms and values, and human welfare and services. According to the Dictio-
nary.cambridge (n.d.), research is “a detailed study of a subject, especially to discover
(new) information or reach a (new) understanding”. Social research is an organized,
systematic, and scientific activity to critically investigate, explore, experiment, test,
and analyse human society and the patterns and meanings of human behaviour
(Henn et al., 2009). May (2011) discusses that most social research is conducted
after identifying a problem that is regarded as a concern for society. In essence,
social research attempts to discover something new about the world by studying
how a social system works (Neuman & Robson, 2018). Some authors and institu-
tions define social research from different points of view. Table 3.1 provides several
popular definitions of social research.
There are some limitations to these definitions. Despite social change and devel-
opment, social research also focuses on social reform, and it is not always associated
with an organization because social research can also be conducted voluntarily or
for an academic purpose. Social research investigates theories not only relating to
human behaviour but also feelings and emotions. The insights of the social world do
not help unless we can assess how personal relationships work. In this chapter, we
define social research as associated with social change, development, and reform, and
conducted by an organization or individual to study personal relationships, human
behaviour, and social systems and to find out the factors that work behind these.
Neuman and Robson (2018) explain some of the major steps of conducting
social research, such as topic selection, focusing on a question, designing the study,
collecting information, analysing data, interpreting the information, and research
dissemination. In terms of steps discussed by Neuman and Robson (2018), we can
see a general pattern of a research process as shown in Fig. 3.1.
Social research begins with the identification of a problem that is worth inves-
tigating. After identifying a research problem, we can decide on the topic of the
research. A good research topic needs to be important, relevant, thought-provoking,
timely, and evocative (Tracy, 2010). Then, we need to review the existing literature
to find any gaps in knowledge to justify why this research is important. After a
3 Social Research: Definitions, Types, Nature, and Characteristics 31

Table 3.1 Definitions of social research

Author(s) and year Definitions
Barker (2013) It is a systematic investigation, using the principles of the
scientific method to test hypotheses, acquire information, and
solve problems on human interrelationships
Bryman (2016) Social research is motivated by changes in society and employs
scientific ideas to illuminate those changes to demonstrate a
scientific interpretation of social change and development
Carroll (2004) It can contribute to human emancipation, help enlighten and
empower people so that they can become active masters of their
own lives
Hall (2008) It deals with ‘real-world’ issues and problems that are identified
by governments or other organisations such as businesses or
charities that have a direct interest in the research outcomes
Henn et al. (2009) Social research either tests the appropriateness of existing
theories which seek to account for the behaviour we are
interested in, develops new insights or constructs new theories to
help build up our understanding of the process behind this
behaviour
Kalof et al. (2008) It can provide valuable insights into how people are feeling and
what they are doing at a particular time in a particular society
May (2011) Social research delves into the constant relationship between
social theory and social issues in which both are modified
through combinations of reflection, experience, and systematic
investigation
Neuman and Robson (2018) It is a process in which researchers combine a set of principles,
outlooks, and ideas with a collection of specific practices,
techniques, and strategies to produce new knowledge. Social
research is conducted to learn something new about the world, or
carefully document expectations or beliefs, or refine their
understandings of how the social world works
Penz (2006) Social research is an objective analysis and recording of
controlled observations that can help to develop new principles,
generalizations, and theories relevant to important incidents in
society
Sarantakos (2013) It is a mode of investigation that allows the researcher to examine
a social problem to find out its causes and potential solutions

sufficient literature review, we can formulate the main research purpose or aim that
will determine the main research question. We can then design the research with
proper research methods and research methodology before collecting the data. After
data collection, data analysis and interpretations are important so that we can report,
evaluate, and argue the research findings by a thesis or research publication.
32 K. K. Khan and Md. Mohsin Reza

Identifying a
research problem
Reporting and
evaluating
Reviewing
Research
literature

Analysing and Specifying purpose

interpreting data of the research

Collecting data Designing the

research

Fig. 3.1 Research process. Adapted from Neuman and Robson (2018)

Types of Social Research

Social research is a diverse and pluralistic process. In terms of methods, it is catego-

rized into two types: qualitative approach and quantitative approach. Nevertheless,
the most popular kinds of social research are discussed below.

Basic Research

Basic research is also commonly known as pure research. Saunders et al. (2019)
describe that basic research is useful because the findings provide significance and
value to society. According to Sarantakos (2013), basic research is conducted to
discover new concepts and knowledge that improve the scientific understanding of
the world. Neuman and Robson (2018) emphasize that basic research is mostly
conducted when a completely new issue or aspect causes a problem in society.

Applied Research

Sarantakos (2013) describes that applied social research is mostly conducted with
a problem-solving approach for a particular social problem. It aims to investigate
3 Social Research: Definitions, Types, Nature, and Characteristics 33

existing knowledge and problems rather than to formulate new knowledge or theory.
Neuman and Robson (2018) imply that most problems in our society arise from
particular causes or factors, and applied research is a useful way to investigate these
problems in terms of causal factors and the consequences for society. According to
Saunders et al. (2019), applied research can improve our understanding of a particular
problem and discover a solution to the problem. Thus, applied research has practical
relevance and value to an organization or authority as well as society. But one of the
major disadvantages of employing applied research is to have a tight time scale for
conducting the research (Neuman & Robson, 2018). According to Henn et al. (2009),
applied research is mostly conducted to provide information about which initiatives
or policies can be most significantly implemented to solve everyday problems.

Descriptive Research

Descriptive research allows a researcher to study societal systems and the rela-
tions among people who live in a society (Sarantakos, 2013). According to Robson
(2011), descriptive research is applied to provide an accurate profile rather than eval-
uate an individual, event, or situation. One example of descriptive research is the
Domesday Book which describes the population of England in 1085 (Saunders et al.,
2019). Society consists of different groups of people with particular social systems,
events, and relations. A researcher conducts a descriptive study to understand how
these social systems, events, and relationships are connected. Neuman and Robson
(2018) explain that before gathering data, it is important for the researcher to have a
transparent understanding of the problem they plan to investigate.

Exploratory Research

If a researcher is not sure about the exact nature of the problem, then exploratory
research can help to clarify or understand that problem (Saunders et al., 2019).
Exploratory research is designed to explore a phenomenon, select themes, or iden-
tify an instrument that can be subsequently tested (Creswell, 2018). Robson (2011)
explains that an exploratory study is an important mode of finding out what is
happening in social life. This kind of study seeks new insights and knowledge,
asks questions, and assesses phenomena in a new light (Neuman & Robson, 2018;
Robson, 2011). Sarantakos (2013) clarifies that exploratory research is conducted to
find out the reasons or factors behind certain events in society. The major purpose
of this type of social research is to establish the most basic criteria of the research
issue, often before a larger study commences.
34 K. K. Khan and Md. Mohsin Reza

Explanatory Research (or Relational Research)

According to Sarantakos (2013), explanatory research aims to examine and explain

social relations or events, problems, or issues in society that need to be elaborated
with a cause-effect relationship. This type of social research is similar to descriptive
research, but it focuses more on explaining the causal relationship between variables
to explore the causes and effects of societal relations and events. Explanatory research
is conducted to explain the association and correlation between or among different
variables (Creswell, 2018; Neuman & Robson, 2018; Saunders et al., 2019).

Causal Research

Saunders et al. (2019) explain that causal research is similar to explanatory research
because it has a similar intention—to explain the cause and effect relationship
between variables. Weller (2015) mentions that while conducting social research,
often we need to establish a tentative hypothesis with two or more variables, and
it is very important to explain the causal relationship between these variables to
understand how changes in social events or impacts are happening. For example, we
can examine how the effect of renewable energies impacts socioeconomic develop-
ment in rural areas. Causal research in this situation helps to measure the degree of
socioeconomic changes that are caused by the use of renewable energies.

Longitudinal Research

Longitudinal research is conducted to study a social issue at different periods to

understand the changes in a particular social event or problem (Neuman & Robson,
2018). Longitudinal research assesses and measures changes and developments in
a society, on more than one occasion and over a certain period, such as population
trends, or changes in a group or portion of a population (Creswell, 2018; Sarantakos,
2013; Saunders et al., 2019). The researcher may choose the same or different samples
while studying the social issue more than once. This type of social research can
provide a useful understanding of a social issue by examining different periods.

Comparative Research

Comparative research is conducted to understand the impact of a social event from

various perspectives. This type of social research is important to discover similarities
or differences between two or more research units, usually by comparing comparable
3 Social Research: Definitions, Types, Nature, and Characteristics 35

data obtained from two or more study sites. A researcher can identify the impact of
a social problem, or a new policy, by comparing the findings of two or more study
areas (Sarantakos, 2013). Saunders et al. (2019) explain that comparative research
is useful to analyse research questions and objectives that require local, national, or
international comparisons. Creswell (2018) notes that a comparative study may be
an aspect of grounded theory, where data can be collected and categorized to identify
major themes.

Classification Research

According to Sarantakos (2013), classification research is useful to classify research

units into more than one group to explain differences among the research units.
Saunders et al. (2019) mention classification may be a part of coding categorical
data, and in this case, it has some benefits, such as saving time and identifying core
constructs by comparing classification results with other researchers. It is also used to
clarify social events and demonstrate the relationships between two or more research
units.

Action Research

Action research was first employed by Lewin in 1948 (Adelman, 1993). Action
research is more focused on documenting activities associated with the research
problem rather than measurement (Coghlan, 2019; Saunders et al., 2019). Robson
(2011) explains that the action research spiral begins within a particular context and
has a transparent objective to diagnose, plan actions, or evaluate a certain problem.
Burns (2007) discusses that action research can discover facts and solutions to solve
a social problem in society, and it may involve the cooperation and collaboration of
researchers, practitioners, and ordinary citizens (cited in Sarantakos, 2013).

Participatory Action Research

Participatory action research (PAR) is an inquiry about a community, an organiza-

tion or a corporation, or an industry (Kemmis & McTaggart, 2005). Whyte (1991)
delineates that participatory action research is conducted by involving members of
the public as direct participants in the research (cited in Sarantakos, 2013). This type
of social research aims to ensure the participation and involvement of the people
being researched in the research procedures to gather and analyse in-depth findings.
PAR focuses on individuals and also on the community as a whole (Creswell, 2018).
36 K. K. Khan and Md. Mohsin Reza

PAR has an orientation to society and community that emphasizes their contribution
to changes or emancipation in society.

Evaluation Research

Evaluation research is used to study and understand the impacts or effects of national
or local social policies or organizational policies (Bryman, 2016; Sarantakos, 2013).
An evaluation of a situation can assess the effectiveness of a programme or approach
and make recommendations so that it can be more effective (Saunders et al., 2019).
Evaluation research not only helps to investigate the impact of programmes or policies
but aims to find out limitations to improve the quality of the programmes or policies
in the future.

Feminist Research

Feminist studies examine issues relating to women’s development, gender equity, and
women’s empowerment. Sarantakos (2013) explains that the life of women is inves-
tigated by feminist research by employing various research paradigms. According to
Creswell (2018), feminist ethnography is a study of women and the cultural practices
that serves to identify matters that deprive or oppress them.

Theory-Testing and Theory-Building Research

Theory-testing research is employed to understand the validity and appropriateness

of relevant theories that researchers use. In the context of social research, Sarantakos
(2013) describes that theory testing is a systematic process of examining, verifying,
or correcting an existing theory relating to a social issue or problem. The author
also urges that theory-building research is focused on formulating new theories to
introduce new knowledge to the world. It not only examines old theories but also
aims to build new theories by studying particular social events or issues.

Nature and Characteristics of Social Research

Research methodologies are always a concern for novice researchers as they set out
to examine a problem with a very narrow focus (Crano et al., 2014; Golovushkina &
Milligan, 2012). Durkheim was one of the first scholars to develop specific social
research approaches in his short introduction to The Rules of Sociological Method,
3 Social Research: Definitions, Types, Nature, and Characteristics 37

published in 1895. Durkheim aimed to advance beyond vague generalities of the

nature of societies and investigate the relations between social and biological realms
as a general march of progress (Crothers & Platt, 2010; Neuman & Robson, 2018;
Sarantakos, 2013). Social research methodologies were further developed following
World War II. In India, universities started to teach research methods to social science
students during the 1970s (Henn et al., 2009; Hesse-Biber & Leavy, 2006; Sarantakos,
2013).
Crothers and Platt (2010) explain that social research is connected with social life,
but it is not ‘pure’ research in the same way as physical sciences. Social research
aims to investigate facts about social life, social realities, and social phenomena
and introduce explanatory theories through systematic and controlled observation
of the real world (Green & Gutmann, 2007; Henn et al., 2009; May, 2011; Saran-
takos, 2013). According to Babin and Svensson (2012), social research may provide
remedial measures for social problems. Social research has a wide range of appli-
cations including social planning, social policy, social change, and social develop-
ment (Bryman, 2016). Providing truthful and reliable knowledge is the ultimate goal
of social research (Neuman & Robson, 2018), but unlike physical sciences, social
research seldom provides an exact answer.
Social research is broad and versatile. It has its special nature and practice.
Different disciplines may engage in social research either alone or in an interdis-
ciplinary study (Neuman & Robson, 2018). It can be employed in many fields, but
theories on the same topic may conflict in different fields of study (Bryman, 2016).
Social and business researches are similar in that both study human behaviours
(Neuman & Robson, 2018). But Saunders et al. (2019) explain that business research
is different because it focuses on creating a profit for an organization, whereas social
research provides benefits for society. Medical science also studies the feelings,
emotions, motivations, or psychological status of people, but it differs because of its
technologies.
Social research is based on empirical evidence or observable experience. It
provides an opportunity to observe and describe social phenomena accurately within
a real-life context (Gupta, 2012; Henn et al., 2009). Social scientists can anticipate
future occurrences of social events by producing appropriate generalizations, prin-
ciples, and theories of social events (Ragin & Amoroso, 2019). Babin and Svensson
(2012) mention that social research is useful to investigate the cause and effect rela-
tionship between social problems and discover potential solutions. Bryman (2016)
explains that social research aims to find out how to solve a social problem by inves-
tigating the factors and causes of the problem. In addition to this, social research
can help to study factors that may influence human behaviour (Correa & Larrinaga,
2015).
Social research involves a process of ensuring effective data collection, reporting,
and presentation of the methodology, data, and findings. Social researchers can
choose from different methods and techniques for their studies. Social research is
not only based on primary data, but secondary data are also useful. According to
Bernard (2013), social research is a systematic approach because all the steps or
stages of research are well organized by the researcher. Corbetta (2011) states that a
38 K. K. Khan and Md. Mohsin Reza

researcher must have sufficient knowledge about the research problem and critically
assess how others have studied it previously. To do this, a researcher uses existing
literature to formulate a study and analyse the primary findings, and they usually aim
to collect data from primary sources for the new study (De Vaus, 2013). To employ
research methodologies effectively, social researchers need sufficient expertise in the
techniques they are planning to do, as well as good time management and a capacity
to organize and integrate theories and findings. The findings of social research are
dependent on how well the data are recorded, reported, and interpreted (Sarantakos,
2013). Sarantakos (2013) further explains that conducting social research may take
time, and researchers may sometimes face discouraging and disappointing results.
So, it is necessary to have patience and calmness to get a result that answers the
research questions.
There are some more characteristics of social research that help to understand the
quality of a study. May (2011) states that objectivity is a prominent characteristic
of social research. Carroll (2004) supports that the researcher needs to be free from
any kind of bias, prejudice, personal feelings, or emotion while conducting research.
Social research needs to maintain the attribute of verifiability. Green and Gutmann
(2007) propose that the truth of knowledge is the primary pillar of social research.
Hence, the reliability and validity of the methodology and the data are important
to make sure that the collected data are consistent, reliable, and valid. Adcock and
Collier (2001) explain that if a researcher operationalizes concepts properly, then
these concepts can be measured to produce research findings. Kalof et al. (2008)
state that data need to be verifiable and testable for interpretation, and Walliman
(2016) describes that the accuracy and precision of the data interpretation are an
important aspect of social research by presenting evidence based on facts. Finally,
the findings of the study need to be original, and social research should be free from
duplicity and imitation.

Importance of Social Research

Social research plays a significant role in evaluating social problems and their impacts
on society. Concepts of society, culture, the generation gap, and social distance are
also standardized through social research. Sarantakos (2013) discusses that social
research gathers knowledge about social phenomena, problems, events, and issues,
documents situations, and provides reliable and valid information regarding social
life. The fundamental benefits of social research are to study and predict human
behaviour (Jie et al., 2008), develop and test theories, and suggest feasible measures
to reduce social problems. The outcome of a social research study might be to liberate
or empower people who are disadvantaged in some way, or for policymakers to seek
to provide solutions for individual or societal problems (Neuman & Robson, 2018).
Social research investigates different aspects of social problems to understand
their connections and causal relationships (Kumar, 2002). For example, formal and
informal educational programmes can help if illiteracy is a problem in society,
3 Social Research: Definitions, Types, Nature, and Characteristics 39

and social research can help to find out which kinds of educational programmes
might be most suitable to increase the literacy rate. Thus, the causal relationship
between literacy and educational programmes and the degree of change in educa-
tional programmes can be evaluated. According to Henn et al. (2009), social research
is an experiment of understanding why human behaviour changes. For example,
to understand juvenile crime, social scientists would investigate why young people
commit a crime. Thus, social research is a process of examining human behaviour and
the relationships between individuals, or among groups, cultures, and organizations
(Henn et al., 2009).
Social groups, institutions, and ethics may be investigated in different situations
to add knowledge of the social environment (Bryman, 2016). Critical social research
may aim to uncover the fundamental nature of social reality (Henn et al., 2009) to
make some future action possible, such as a policy change or further research. Social
research may be used to develop social policy and evaluate or critique programmes,
practices, social changes, and reforms. Bryman (2016) delineates that social research
ought to aim to seek ways to change or improve society. He argues that social change
and development are two interrelated concepts that can be influenced by the outcomes
of social research. For example, social research can investigate and find the causes of
decreasing education quality in a country. According to May (2011), social research
has political goals, and its importance lies within a political system of a nation.
For example, the impact of social research can create a way to challenge racial
prejudice, campaign for the emancipation of women, or fight for the removal of
gender inequalities (Henn et al., 2009). Social research may be used to educate
and inform the population of a country and support political plans and policies
(Sarantakos, 2013). In practical life, social research has great importance to manage
organizations effectively, decrease social conflicts and tensions, and develop plans
for revival.

Conclusions

Social research can create a comprehensive understanding of the nature of social life.
It is a systematic approach to critical investigation and a process of critical reasoning
that allows a researcher to analyse a social phenomenon from different perspectives.
In general, social research is a collective work that investigates social problems by
developing new knowledge and testing existing theories to find solutions to social
issues. There are different types of research used in the social sciences. However,
applied, explanatory, exploratory, and evaluation approaches are some of the more
popular approaches social scientists use. A research process that consists of different
stages and the nature and characteristics of social research are also discussed in this
chapter. Social research is important because it helps to understand human behaviour,
assists policymakers to plan for social change, increases awareness in society, and
helps us to understand the causal relationship between two or more social phenomena.
40 K. K. Khan and Md. Mohsin Reza

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Chapter 4
Theory in Social Research

Mumtaz Ali, Maya Khemlani David, and Kuang Ching Hei

Abstract In this chapter, the importance and link between social research and theory
are discussed. Social research is taken as the sociological understanding of connec-
tions—connections between action, experience, and change—and it is the major
vehicle for realizing these connections. The debate on using theory in any scope
of social research is being deliberated by various scholars with many emphasizing
the merits of using theory in social research. They argue that an appropriate theory
clarifies the findings a researcher has uncovered in the study. Without a theory, the
researcher could face difficulties in streamlining the study or the researcher may
overlook particular phenomena or events from within the study. Thus, the researcher
would be unable to relate the variables in the study. A theorist always tries to view
things from his/her perspective. Upon reflection, the theorist may develop a refined
framework which then becomes the intensive framework, hereby, called a theory.
This phenomenon may not necessarily be agreed upon by every social scientist as
can be illustrated by cases where, after using a theory, researchers have modified
such a theory to suit their outcomes. The theory used in social research supports and
facilitates the researcher to raise fundamental questions and facts which could serve
as the common core or body of knowledge. From the basis of given facts and expla-
nations, it can be claimed that the theory used in social research has a pivotal role to
align the study. In social research, a researcher should make the matter of selecting
a theory seriously as a good theory produces a better piece of research work. This
chapter elaborates on the various aspects of using theory in social research. Several
diagrams are used to make explanations clear.

Keywords Social research · Theory · Social process · Framework · Social

sciences · Structure

M. Ali (B)
Department of Sociology, University of Sindh, Jamshoro, Sindh, Pakistan
e-mail: [email protected]
M. K. David · K. C. Hei
University of Malaya, Kuala Lumpur, Malaysia

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 43
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_4
44 M. Ali et al.

Introduction

Research in social science is considered as a process in which people combine a set

of principles, outlooks and ideas or theories with a collection of specific practices
and techniques (Brown et al., 1999; 29) as Fig. 4.1 displays.
For further illustration of the research process, we provide the following example.
One of our postgraduate students was working on a study on social issues. As he
had worked in a Non-Governmental Organization (NGO) sector before, the student
was keen to conduct his intended research on an NGO. However, he faced several
challenges in the early stages of his research as he had no principles on which
to build a concept. Reflecting on the research title, the objective and problem,
a frame, Specific, Measurable, Achievable, Realistic, and Time-bound (SMART),
that provided an outlook for the study, was used. From that frame, further options
became more accessible to the student. Although there were many aspects to focus
on the study, the student decided, after several reflections, to focus on organizational
communication for his intended research. After some planning, a pilot study was
conducted. For this purpose, a questionnaire was formulated and finally adminis-
tered to a few selected participants. During the pilot testing and data analysis stage
of the pilot study, challenges were again noted as the student faced problems in
analysing his data. This was because he was not able to pin down a good theory for
data analysis. To overcome this difficulty, more theories that could be related to his
pilot study were given emphasis. Finally, two theories were selected and finalized
as appropriate for the pilot study. With this occurrence, the data collection tool was
thus revised and another pilot study was conducted. This experience contributed to
linking the data to the theory.
The above example suggests that exploring and selecting a relevant theory for
one’s research may be seen as an exciting process of discovery as this occurrence

Fig. 4.1 The research

process. Source Authors Principles

Techniques Outlooks
Theory

Practices Ideas
4 Theory in Social Research 45

enhances knowledge. From knowing a little, a researcher upon more discovery

becomes more in-tune with his/her study. Thus, he/she becomes more confident
of the work that he/she is currently conducting. However, it must be emphasized that
searching and applying relevant and appropriate theories in one’s research requires
persistence, personal integrity and tolerance for ambiguity, interaction, and pride in
performing quality work (Bickman & Rog, 1998; Brown et al., 1999).

Definitions and Characteristics of Theory

Most researchers, especially new researchers, play safe in conducting studies by

searching for and applying relevant theories to their research. Theories are necessary
for them because theories help them to confirm or disconfirm a certain finding, which
when it occurs, enables the research to look for a revision, if necessary. Theories
provide confidence to the researcher as one there is security in being systematic as
the research attempts to link it with the theories. Although many people understand
the need to have a theory, particularly for research, many people cannot find a standard
definition for theory. Thus, theory can be defined by different people in different ways,
according to the context of the study. In their paper, Tavallaei and Abu Talib claim
that one of the oldest definitions of the term, theory, was described by Hempel as a
complex network. Hempel mentions that a network can be seen as a system and the
observations that follow the research can be considered as the floating device. Both
the system and device are then guided and controlled by the rules of interpretation.
Focusing on deductive theory, Burr (1973) says that a theory is that which provides
the clue that helps to explain why certain things occur. It is from these clues that
one then makes deductions as a result of the process which examines, tests, and
eliminates such propositions.
Opposing the need for formalizing a formal definition for theory, Silver (1983)
says that the moment a theory exists, “its true beauty, emotional significance and
importance in everyday life will be lost” cited in Tavallaei and Abu Talib. Silver
(1983) defines theory as a way by which reality is perceived and then expressed as
a result of clear understanding. However, the word theory is merely a concept used
to refer to a particular kind of explanation. Extending on this, Leedy and Ormrod
(2005, p. 4) say that a theory should be seen as a system of concepts and principles
which are used by researchers to explain a particular phenomenon observed. In this
regard, theories help researchers to understand the ‘how’ and ‘why’ of a particular
occurrence. Going by the interpretation of Boss et al., a theory is thus, a process of
systematically formulating and organizing ideas to understand what is happening.
A theory can be at a hypothetical stage without strong evidence or it could have
been proven with clear concrete evidence. Various authors in social research like
business or business management may also shy away from using the word ‘theory’
because many among them have this general idea that what constitutes ‘theory’ is
that it is a theoretical framework. Some people find this difficult because a framework
sounds very rigid, suggesting that there is no room for flexibility and yet life in reality
46 M. Ali et al.

within any society is always so unstructured and unpredictable. Theory talks about
the past but in general, a theory is applied based on decisions made while seeing
the present situation or scenarios. If the support for the current research is taken
from a particular theory, then it is highly possible that such a theory might not relate
to the current situation because it was derived from past research or observations.
Therefore, a theory can be taken as that prior knowledge that helps a researcher to
understand a current phenomenon.
McMillan and Schumacher declare that a theory can develop scientific knowledge
through the following steps.
Step 1: The theory helps to provide a simple explanation about the observed
relations regarding the phenomenon.
Step 2: The theory is then observed, and it helps to make connections when it
seems to be consistent with what has already been found.
Step 3: The theory provides a system for researchers to validate what is found and
if necessary, to make final revisions.
Step 4: The theory helps to stimulate further research in areas needing investiga-
tion.
(Source: Tavallaei & Abu Talib, 2010, p. 572).
Research in social science investigates the effects of deliberate intervention
in a situation of practical importance (Bickman & Rog, 1998; Bulmer et al.,
2010). To illustrate this point, an authentic example is provided. While planning
on working out good research about education in a part of Pakistan, one of the
researchers/writers searched for a good research site and discovered a school in a
rural part of Karachi, Pakistan. He then visited the school which was established by a
Non-Governmental Organization (NGO) called HANDS. This school runs on finan-
cial support received from a multinational organization and a donor agency. During
the process of conducting the research, it was realized that only a few students
from the vicinity were attending the said school. An interview with the teachers in
the school revealed that two villages exist in that locality but only children from one
of those two villages were attending the said school. On being further examined, it
was found that there was a conflict between the two village headmen. Due to this
conflict, the children of the second village were not permitted to attend the school even
though the second village does not have a school on its grounds. The researcher then
approached the village headmen and enlisted the help of female mobilizers to help in
convincing the women of the village to talk with their spouses on this issue. Over time,
a large community meeting was organized and people from both villages attended
the meeting. From the meeting, it was then agreed among the villagers that the chil-
dren of both villages would attend the school. Due to this gradual interaction among
children and teachers, the community members and parents also started visiting
the school and began communicating with one another again. Subsequently, all the
concerns of the community were resolved. At present, members of both villages are
living in peace and harmony and their children continue to attend school and gain an
4 Theory in Social Research 47

education. Based on this illustration, it can be deduced that research on social issues
can help to expose critical issues and thereby, also assist in resolving them.

Rules of Construction of Theory

At the basic or micro-level, the process of the construction of theory takes much
concentration, time and techniques. Every single aspect is related to another.
However, while setting the patterns that will emerge to become the theory, a
researcher/writer must be careful to ensure that there is link and coherence tied
to the proper structure noted in the pattern. As mentioned above, theories provide the
base or foundation for a study. In this regard, if the foundation stone of the theory
was laid down wrongly, it could result in the construction of a structure that may not
be able to stand on its own. Because of this need to develop a theory that is sound,
solid, and relevant, it is important that researchers be coherent in their development
and not resort to using lengthy and detailed frameworks to explain their theory. This
is because such detailed frameworks may look impressive on presentation but in
reality, may not mean much, especially, when they are also irrelevant to a particular
study. To illustrate this point, another authentic example is provided.
In one episode of our work, we met a person who was doing his doctoral research
in the field of social sciences. He was highly intellectual, a good communicator
and skilful in presenting his thoughts and ideas. He also mentioned having a very
supportive supervisor who was herself an expert in the field of social issues, and in
particular, women development as she was also a leading activist of women’s rights,
both at the national and international level. As the intellectual individual was pursuing
his doctoral research, the said supervisor guided him right from the beginning till he
completed his work. At the beginning of his research, the individual was aiming to
select two approaches that would be used as theories and they include: (a) Women
in Development (WID) and, (b) Gender and Development (GAD).
At the beginning of the proposed research, all went well but over time, the research
process became complicated. This was because the intended thesis title read as ‘Femi-
nism in Islam’ and yet the two theories selected (Women in Development and Gender
and Development) did not seem to cover the religious perspective of women. Noticing
the gap in these two theories, the scholar then reread his chapters to make various
modifications to fit them into his two theories. However, on reflection, the scholar
found that he was not doing justice to his data and analysis. Thus, he decided to
select another theory that is related to Islam and women’s rights. To do this, the
scholar had to approach his supervisor for guidance. When this was agreed upon,
both parties had to refocus on the analysis and readjust the findings according to the
additional theory. This process, undoubtedly, cost him and the supervisor much time
and energy. All these had come about because of the need to have a theory to explain
the outcome of one’s data extracted from research.
48 M. Ali et al.

This need to rely on theory seems inevitable for any researcher. Without using
any theory, it would be difficult for the researcher to maintain the coherence, rela-
tionship, connection and relatedness between the research idea and other available
sources of knowledge. There are, however, some researchers who try to develop a
theory based on the grounded theory approach. Mark S. Granovettor, an American
scholar, conducted a study on relationship management. He focused on organiza-
tional relations and found that most studies reported that organizational relations
or the relations among the leaders/managers of the organizations play an important
role in an organization. In conducting his research, Granovettor tried to look for a
theory that he could use. After four years of his research, Granovettor realized that
all the existing theories had focused on the power of relations/connections among
the leaders/managers. None had focused on what he wanted to research, relationship
management. Thus, he conceptualized a framework called ‘Strength of Weak Ties’
which showed that besides relations with powerful people within an organization,
relations with weak people are also important. To illustrate, Granovettor argued that
the driver of the Chief Executive Officer of any company can do what a manager
cannot do. He suggests that a driver may not do much office work but he has more time
with his head/CEO, thus knows more intimate details of his boss than anyone else.
The driver knows what the CEO likes or dislikes, how his family works or runs, and
therefore, the driver can be said to be the person with the most day-to-day knowledge
of the CEO, making him (driver) the link to the family of his superior and his supe-
rior himself. Although Mark S. Granovettor took 13 years to complete the research,
undoubtedly, the framework he developed has been discussed by various scholars.
Today, the conceptual framework of ‘Strength of Weak Ties’ is accepted as an influ-
ential theory in management and social sciences. From this illustration, it can be
deduced that theory in any social research is a peg, which is a powerful way to
connect ideas, literature, practice, and techniques. This is portrayed in Fig. 4.2.
In the context of social science, Gilbert (2005) defines research as a sociolog-
ical understanding of connections—connections between action, experience, and
change—and theory is the major vehicle for realizing these connections as is
illustrated in Fig. 4.3.
Bickman and Rog (1998) state that a researcher can get help for streamlining the
study through a useful theory that supports what he/she wants to see. A researcher
working in different fields such as social sciences and management science can, for
instance, when conducting research, use theories from both areas of expertise/ fields
of study. In a study called Role of Communication to Ensure Community Partici-
pation in NGOs, the Community Participation and Empowerment theory by Wilcox
was used to discuss the variables that made up community participation. This theory
was then married with another theory and both were then used to produce a commu-
nication model for NGOs. Consequently, the model named Communication, Partic-
ipation, and Cooperation resulted in the theory of community empowerment. Today,
some NGOs are still using this model in their work, for example, in the study looking
at the NEXUS Foundation, the Karachi Rural Network, the Mehran Foundation,
Educast Society and Women Action Forum, and so on.
4 Theory in Social Research 49

Fig. 4.2 Theory as a peg.

Source Authors
Idea

Techniques Theory Litrature

Practice

Fig. 4.3 Theory- the major

vehicle. Source Authors

Connections
Actions

Experience

Change

Without the use of a theory or theories, particular pieces of the data would seem to
be unconnected or irrelevant. Based on this, it can be said that the theory or theories
used in social science research can provide a base/structure for a particular study and
assist it to interpret how the research objectives and questions can be duly addressed.
50 M. Ali et al.

Figure 4.4 provides the process of conducting a study. In any particular study, an
appropriate theory or conceptual/theoretical framework can be used to show others
what the researcher has found while conducting the study (Mladovsky & Mossialos,
2008). While theories are generally used to describe and understand phenomena, it
cannot be denied that theories also help to limit the data to be collected. Otherwise,
the researcher may obtain an excess of unlinked information and data which may
become difficult for interpretation. In this context, it is argued that researchers, if not
given such parameters, would not be able to complete a reasonable study as there is
no limit to the data to be collected. This, then make the study so vague that it may
take years to even complete one study. The theoretical framework (theory), there-
fore, is a foundation or structure that can support or hold the study. The theoretical
framework also helps the researcher to link the research problem with available and
relevant knowledge and literature, thereby, bringing meaning to the interpretation of
the outcome. If there was no relevant theoretical framework or had an inappropriate
theory been used, the researcher could be facing many difficulties. For instance,
the researcher would not be able to perceive particular phenomena or events; the
researcher may not be able to relate the variables in the study (Bickman & Rog,
1998) to the outcome and the researcher would have to take a huge amount of time
to make sense of the findings as he/she is trying to read meaning out of the data.
Undeniably, the theory or theoretical framework contributes greatly to one’s
research efforts. Initially, a researcher may view things from his/her perspective but
after much reflection, a refined frame may be developed. This intensive framework
is called a theory. No doubt, this does not mean that all social scientists would agree
with the theory uncovered. Naturally, some would contradict it. It has been noted that

Fig. 4.4 Process of

conducting a study. Source
Authors
4 Theory in Social Research 51

after using a theory, researchers have had to modify the theory. This can be traced to
the study of James Coleman who became well known for his theory ‘Social Capital’
but over time Putnam modified the theory, calling it ‘Bowling Alone’ theory.
In the modified theory of ‘Bowling Alone: America’s Declining Social Capital’,
Putnam discusses how Americans were disengaged from political participation
including public meeting attendance, voter turnout, working with political parties
and serving on committees. Putnam claims to have found that the lack of trust was a
major contributing factor for this. In this regard, what Putnam does is to extend part
of the social capital theory to include what he finds to be an extension.

Use of Theory in Social Research

The world is a stage. Those of us living within it see things differently. As human
beings, we may use that knowledge and understanding uncovered by others to predict
and understand the world surrounding us so that we can act in more informed and
effective ways. In many cases, things are not always the way we imagine them to be,
neither are things the way they appear to our eyes. Based on the evidence, almost
every researcher wishes to apply a theory that is relatively close to that idea. However,
in reality, a few or more variables could relate within a particular situation while
some variables might differ even under the same circumstances. The application of
nature as an appropriate theory in social research is of value. This is precisely so
because it fulfils one primary purpose which is to seek answers to a social issue. The
application of a theory would, therefore, depend on various variables like culture,
customs, religion, locality/periphery, country, caste, creed, tribes, time, weather, and
so on.
Figure 4.5 illustrates how theory can be applied. As can be seen over the years
among researchers, various intellectuals/theorists have not only made themselves
distinguished through empirical contribution but also through other means such as
developing new theories. Parsons (1975) mentions in ‘The Role of Theory in Social
Research’ that the whole thing about theory rests on a serious misconception of the
relation of scientific theory to philosophy. He stresses that he does not believe that
scientific theory has no philosophical implications nor does it involve any philosoph-
ical preconceptions. Parson’s statement has made other researchers more aware of
what theory does or does not do, hence, enabling others to understand the controversy
with more depth.
Whether it is acceptable or not to have theories in one’s study cannot be questioned.
For most of us who are researchers, there is always this idea that every study ought
to be supported by a theory or two. As mentioned above, theories provide the basic
foundation for the coherent organization of factual material. In fact, without the
selection of a theory/theories, the study becomes unintelligible and so, meaningless
to the reader. Researchers and scholars strive to use theories to explain the outcome
of their works, whether to enhance an experiment, create more variables or just to
52 M. Ali et al.

Fig. 4.5 Application of

theory. Source Authors

Universal Local
•Weather •Culture
•Time •Values
•Customs
•Cast and Creed

Regional
•Nationality
•Governance Machanizm
•Rules and laws

test a hypothesis. Nonetheless, there is now a need to take another perspective, that
is, to see what the impact of using theory, has on social research.
If we start looking at the field of social sciences, we find that the situation is
different from the fields of other studies. As social science researchers, we may find
that most of our controversial problems seem to be, not on the periphery, but at
the very starting points of the field. Due to the differences, studies noted in social
sciences are often based on arguments, rationale or logical approaches. In the field of
pure sciences, medical sciences, and computer sciences, the human body reaction,
experiments, and formulas work out similarly everywhere. If one formula is applied
in the USA, for example, the same results or effects could be obtained in the UK or any
part of the world. Likewise, similar experiences in the fields of medical sciences or
pure sciences also apply in all contexts as these studies focus on similar experiments
to verify their studies and outcomes. Nonetheless, in the social sciences, things and
the process of looking at things are not as clear cut as the pure sciences. Unlike the
pure sciences where every matter is made up to be the same in ratio or content’ every
group, community, circumstances, time, and situation within the ambit of social
science, contains differences, whether in sequence, characteristics, time, location,
date, and so on. Because of this, people from the pure science field are unable to
accept the world of ‘social sciences. Because of the variations, many social scientists
face a hard time when trying to apply any general theory to specific situations.
Fisher (2008), author of ‘Game Theory in Everyday Life’ mentions that games are
not just played on the grounds or set locations (Indoor). These games are played by
us in our everyday lives. He said that the Game theory moves all around us, adding,
4 Theory in Social Research 53

that it is not just about the games but also about the strategies we use in our inter-
actions with other people daily. According to Fisher, the Game theory talks about
the reasons behind every conflict, broken promises, confrontations, cheating, neigh-
bourhood arguments, domestic quarrels, industrial disputes, and divorce cases. The
Game theory appears as a framework providing guidance and the best strategies for
human beings to use in situations comprising competitions and conflicts particularly,
in commerce, trade, and war.
To illustrate the Game theory, we take an example of this hypothesis; the people
of one particular society are highly civilized. They are polite, gentle, and soft in the
way they talk to each other. Being so civilized, they each seem to understand each
other. Living in a community, they are so civilized that they care about each other’s
dignity and property and because of this living trait, they each should be possessing
similar traits and values, possibly even similar living standards. However, in another
community, the people may be totally against such declaration of civilized behaviour.
In this regard, their values, traits, culture, customs, and living standards are different.
Supposing that these two groups of people need to live within the same community,
how are they to balance their living as both have different attributes? In this context,
any researcher intending to apply the Game theory as a way to explain the conduct
and behaviour of both groups of people in social research would likely be getting
different results. Even the application of this theory in any aspect of the study would
be made differently. At this point, it would be fair to ask if that theory suffices. Thus,
it has to be emphasized that the researcher has to pay great attention while using the
theory.
Fisher (2008) notes that there is another side to the Game theory—a side that
concerns cooperation rather than confrontation, collaboration rather than competi-
tion. Biologists have used it to understand how cooperation evolves in nature in the
face of “survival of the fittest”. Sociologists, psychologists, and political scientists
have used it to understand why people have such problems in cooperating, even
though they need cooperation more than before if they were to resolve important and
worrying problems like global warming, resource depletion, pollution, terrorism, and
war. In the context of this chapter, we wanted to see whether the same theory could
be applied in everyday situations to find out whether the lessons learned might help
resolve larger-scale problems. At the least, we thought, we might have discovered
some clues as to how we, as individuals, could help to resolve such problems.
In such situations, most researchers get confused. They wonder how a theory
could be used in conducting their social research. Over the years, as a research
community, we have learned that there is no ideal theory that could cover all areas.
Thus, a researcher should carefully take a look at those parts of the theory which
could be administered and remove those that cannot. Nevertheless, it must be borne
in mind that every society or group is different from one another in several respects,
as mentioned above. In this regard, using a rational approach is very important when
using any theory in social research. At the time of conducting a study, a researcher has
to set the objectives and research questions aptly and appropriately. If the objectives
are very clear and the research questions are well formulated, then the selection of
any theory would not become a huge problem.
54 M. Ali et al.

Going back to the discussion of the theoretical framework, it can be said that
the main advantage of using the theoretical framework is so that research data can
be interpreted and coded for future use. The idea of using a theory is that it has a
philosophical perspective. Firstly, the theory could be taken as a lens that guides the
researcher in choosing a topic and issues for research. While using the theory in social
research, we can also find the shortcomings of the theory. As already discussed, not
every theory in social science can be universally applied, as in the pure sciences,
where the law of gravity is similar in every situation when applied in any part of the
world. In social science research, the implication of any theory or framework used
would vary.
It has been noted that during the selection of any theory, researchers get excited.
They think that if they choose the right theory, more than half of their study has been
completed. Actually, after the selection of an appropriate theory, the task has just
begun. The theory, when selected, acts as an organized description for the empirical
observation that connects it to particular facts or systems. Every theory could be
agreed or disagreed with. Researchers can then challenge or adapt the theory.
As mentioned earlier, the theory helps the researcher to formulate ques-
tions/questionnaires for future studies. The theory provides a frame through which
a researcher can observe the facts, conceptualize ideas, develop study objectives,
generate research questions, and make a hypothesis. The fundamentals of the
theory are attributes, variables, epistemological knowledge, ordinary human inquiry,
explanatory, structural functionalism, inductive, deductive, hypothesis, and agree-
ment reality, through which, a researcher can conceptualize and cover the entire
study.
While using the theory, the researcher has to bear in mind that the theory only
serves as a platform and guidance for which to explain their interrelated-
ness. Furthermore, the relationship between the topic of study and theory should
be matched. Mismatching the concept and theory can create confusion. Sometimes,
researchers ignore this phenomenon when they just want to use well-known or famous
theories. In other words, these researchers try to match their findings or analyses with
the theories they have selected, thereby, developing possible biases that are inclined
towards the theory. In one example, Karl Weick’s theory of organizational informa-
tion, given in the 1960s during the industrial revolution (when communication in
organizations was not given much attention) was used as a theory for a thesis that
was written in 2014. This implies that a fifty-year-old theory was used to explain an
issue that was happening in the twenty-first century, a possibility that certain things
may not match because of the wide gap of time. Nonetheless, researchers have also
debated whether it would be better to use more current, new, or emerging theories.
What is important is that a researcher must know how to use the theory and to relate
it well to his/her study in a logical manner.
4 Theory in Social Research 55

Conclusions

Theory in social research supports and facilitates the researcher to raise fundamental
questions and facts, thereby, resulting in a common core or body of knowledge that is
bound by close and logical integration of the theory with the data. Based on the above,
it can be argued that theory in social research plays a pivotal role in streamlining a
study. Without the use of an appropriate theory or conceptual/theoretical framework,
the research becomes less convincing, less sound and less validated. However, while
using a theory, a researcher needs to consider the matter of the selection of the theory
seriously. A good theory produces a better piece of research work that would be more
convincing, more sound and thus, more acceptable.

References

Bickman, L., & Rog, J. D. (1998). Handbook of applied social research methods. Sage Publications.
Brown, K. W. P.C., Cozby, D., & Kee, W. (1999). Research methods in human development.
California State University: Mayfield Publishing Company.
Bulmer, M., Gibbs, J., et al. (2010). Social measurement through social surveys: An applied
approach. Ashgate Publishing Limited.
Burr, W. R. (1973). Theory construction and the sociology of the family. Wiley Interscience.
Fisher, L. (2008). Rock, paper, scissors: Game theory in everyday life. Basic Books. ISBN.
0786726938.
Gilbert, N. (2005). Researching social life. SAGE Publications Ltd.
Leedy, P. D., & Ormrod, J. E. (2005). Practical research planning and design (5th ed.). Pearson
Merrill Prentice Hall.
Mladovsky, P., & Mossialos, E. (2008). A conceptual framework for community-based health insur-
ance in low-income countries: Social capital and economic development. World Development,
36(4), 590–607. https://doi.org/10.1016/j.worlddev.2007.04.018
Parsons, T. (1975). The present status of ‘structural-functional’ theory in sociology. In Social systems
and the evolution of action theory, The free press.
Silver, P. (1983). Educational administration: Theoretical perspectives on practice and research.
Harper & Row.
Tavallaei, M., & Abu Talib, M. (2010). A general perspective on role of theory in qualitative
research. Uluslararası Sosyal Aratırmalar Dergisi, The Journal of International Social Research,
3/11(Spring 2010), 570–578.
 Part II
Philosophy of Social Science and Research
Paradigms
Chapter 5
Inductive and/or Deductive Research
Designs

Md. Shahidul Haque

Abstract This chapter aims to introduce the readers, especially the Bangladeshi
undergraduate and postgraduate students to some fundamental considerations of
inductive and deductive research designs. The deductive approach refers to testing a
theory, where the researcher builds up a theory or hypotheses and plans a research
stratagem to examine the formulated theory. On the contrary, the inductive approach
intends to construct a theory, where the researcher begins by gathering data to estab-
lish a theory. In the beginning, a researcher must clarify which approach he/she will
follow in his/her research work. The chapter discusses basic concepts, characteris-
tics, steps and examples of inductive and deductive research designs. Here, also a
comparison between inductive and deductive research designs is shown. It concludes
with a look at how both inductive and deductive designs are used comprehensively
to constitute a clearer image of research work.

Keywords Deductive research design · Inductive research design · Hypothesis ·

Research design · Theory

Introduction

In social research, two research designs may be followed; one is inductive, and
another is deductive. Strauss and Corbin (1998) described the inductive analysis as,
“the researcher begins with an area of study and allows the theory to emerge from
the data” (p. 12). Deductive design is a form of data analysis that aims to see if the
findings are consistent with the investigator’s previous presumptions, theories, or
hypotheses (Thomas, 2006). Different kinds of qualitative data analysis, including
grounded theory, employ an inductive method (Strauss & Corbin, 1998). The induc-
tive process starts with observations and proceeds to goals such as exploration and
discovery. On the contrary, in quantitative research work, a deductive method usually
begins with theories and hypotheses that can be evaluated by observations. This is a

Md. S. Haque (B)

Department of Social Work, Jagannath University, Dhaka 1100, Bangladesh
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 59
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_5
60 Md. S. Haque

procedure of shifting from theory to observation that is too connected with objectives
such as linking causes to consequences. However, most of the research studies can go
through both inductive and deductive phases. These two methods of research design
have different styles in conducting research. Inductive research design is open-ended
and exploratory, whether the deductive design is narrower and is concentrated on
examining or confirming hypotheses. Both inductive and deductive research designs
are used in social research at some times. It works as a cycle that starts from theo-
ries down to observations and returns to theories again. Even in the most confined
research, the researchers may notice patterns in the data that lead them to create new
theories.

Definitions of Key Concepts

Hypothesis

A hypothesis is one of the most inevitable instruments in all types of investigation. The
term ‘hypothesis’ is a formation of two parts of words; hypo and thesis. Here ‘hypo’
stands for the tentative subject to the validation and ‘thesis’ means a narration on
the resolution of a problem. So, the word ‘hypothesis’ aims to a tentative statement
about the solution of a problem, the exactness of which remains to be examined.
Hypothesis indicates an answer to the question that is to be proved empirically and
grounded on a few rationales (Singh, 2006). According to Cambridge, a hypothesis
is a theme or clarification for something that is based on familiar data which has not
been confirmed yet.

Variable

Variable is a term frequently used in research projects. A variable is any quantity

or characteristic which may possess different numerical values or categories. For
example, gender is a variable because it has two values, female or male. Engel and
Schutt (2005) defined, “a characteristic or property that can vary (take on different
values or attributes)”.

Theory

The theory is a correlated set of ideas and propositions about empirical reality,
embodied into a deductive system to illustrate relationships of particular aspects
of the universe. The theory is a presumption or a set of ideas meant to describe
5 Inductive and/or Deductive Research Designs 61

anything, particularly one based on the common laws that are independent of the
subject of the explanation (Oxford).

Research Design

A research design is a blueprint for collecting and analysing data that is commenced
to assess a certain theoretical aspect. Burns and Grove (2003) defined it as “a plan
for performing a study with maximal control over issues that may interfere with the
findings’ validity” (p. 195).

Definitions of Inductive and Deductive Research

Inductive Research

Inductive research design is often used in social research. The term ‘inductive’ is
originated from the Latin word ‘inductivus’ (Oxford Dictionary, 2016a, b, c). Induc-
tive reasoning refers to the use of specific examples to come to a common consensus
on something (Merriam-Webster Dictionary, 2016a; b, c). In strict, the inductive
process concerned with qualitative research usually starts with observations, then
which may be used to form a theory or raise hypotheses. It is named as ‘specific-
general’ or ‘bottom-up’ method. The inductive design is also known as the theory-
building method. The inductive approach starts with particular data, which are then
used to build (induce) a common narration (a theory) to estimate the data. This
approach can be visualized using the research circle; rather than starting at the peak
of the circle with a theory, the investigator comes from the bottom with facts and
then builds the theory (Brewer & Hunter, 1989). The inductive design begins with
observations, and because of it, theories are developed in the completion of the study
(Goddard & Melville, 2004) (Fig. 5.1).
According to Neuman (2003), the inductive approach starts with comprehensive
observations of the universe and progresses to more abstract generalizations and
concepts. To put it another way, when a researcher uses an inductive design to study,
starting with a subject matter, he/she tends to generate empirical generalizations and
point out preliminary links as he/she goes along. Finally, inductive research is a
scientific study in which the researcher begins with an open mind and examines the
entire picture to determine what is happening. He/she makes a lot of observations,
discerns a trend, generalizes, and comes up with a theory. So, it is clear that inductive
research’s goal is to infer theoretical concepts and patterns from observed data.
62 Md. S. Haque

Fig. 5.1 Inductive research

design. Source Developed by
the author
Theory

Tentative
Hypothesis

Pattern

Observation

Deductive Research

The term deductive is originated from the Latin ‘deductivus’ (Oxford Dictionary,
2016a, 2016b, 2016c). Deductive means the use of logic or reason to conclude or form
an opinion on something (Merriam-Webster Dictionary, 2016a; b, c). In deductive
research design, the work progresses from general to specific. It’s sometimes referred
to as a “top-down” method. Deductive reasoning commences with a common state-
ment, or hypothesis, and investigates all alternatives to arrive at a definite, rational
conclusion. The purpose of deductive research is to put theory-based concepts and
patterns to the test using new empirical evidence. Theory-testing research is another
name for deductive research. To test hypotheses and theories, the scientific method
employs deduction. The purpose of theory testing is to modify, enrich, and extend a
theory, not only to test it (Fig. 5.2).
The deductive approach involves formulating a hypothesis (or hypotheses)
depending on the current theory and then devising a research procedure to test it
(Wilson, 2010). According to Beiske (2007), the deductive research design investi-
gates a familiar theory or phenomenon and examines whether it is true in a given

Fig. 5.2 Deductive research

design. Source Developed by Theory
the author

Hypothesis

Observation

Confirmation
5 Inductive and/or Deductive Research Designs 63

situation. The deductive method is the one that most nearly follows the logical path.
Starting with a theory, the logic allows for a new hypothesis. This theory is put to the
examination by having it confronted with observations that either confirm or refute
the hypothesis (Snieder & Larner, 2009). Finally, a deductive research strategy would
be used to test a theory, connection, or relationship that has been proposed, asserted,
or postulated by a certain theory. The results would either support or amend the
theory, as well as cast doubt on its assumptions. The opposite of inductive research
design is the deductive research design.

Characteristics

Characteristics of Inductive Research

Inductive research is exploratory and open-ended, beginning with particular data

that is subsequently used to construct a general interpretation or theory. An inductive
method is used in various categories of qualitative data analysis, including grounded
theory (Corbin & Strauss, 1990). Inductive arguments are neither “valid” nor
“invalid”, but rather “strong” or “weak” (a matter of degree). Not necessarily truth-
preserving and premises provide some support for the conclusion. Saunders et al.
(2007) described an inductive design should possess the following characteristics:
• The researcher attempts to understand the meanings that individuals attach to
specific events.
• A less structured approach is taken, which may lead to the discovery of alternate
explanations for the problem at hand.
• The method can offer special consideration to the circumstances where the events
occur.
• A small sample size could be preferable.
• Qualitative data are gathered by researchers.
• To collect data, researchers can utilize a variety of ways.
• The requirement to generalize findings is less important to researchers.

Characteristics of Deductive Research

A top-down strategy is used in deductive reasoning. It usually starts with the selection
of a pre-existing theory on a particular area of interest. Creswell and Plano Clark
(2017) explained, “the deductive researcher works from the ‘top-down’, from a theory
to hypotheses to data to add to or contradict the theory” (p. 23). In most quantitative
studies, a deductive research approach is adopted. Deductive reasoning is utilized in
the scientific method to arrive at a logically correct conclusion. A deductive research
design, according to Saunders et al. (2007), should have the following characteristics:
64 Md. S. Haque

Observations Pattern Hypothesis Theory

Fig. 5.3 Steps of inductive research design. Source Developed by the author

• There is an attempt to describe causal relationships among variables.

• Quantitative information is gathered.
• Controls are used to ensure that the data are accurate.
• To achieve reliability, a highly organized methodology is used.
• A researcher is independent by what he or she is observing.
• The concepts are operationalized in a manner that allows for quantitative
measurement of facts.
• The size of the samples should be large enough to allow results to be generalized.

Steps of Inductive Research Design

There is no theory at the beginning of the inquiry with the inductive design, but when
research is completed, a theory may be formed. It is therefore essential to describe
the main steps involved in executing inductive research (Fig. 5.3).
Inductive research design starts with particular observations and then proceeds on
to bigger generalizations and theories depending on those observations. In a holistic
view, it includes observation, pattern, hypothesis and theory. In this design, once an
investigator has recognized trends and patterns in a set of data, he/she can form a few
hypotheses to investigate and lastly produce some common conclusions or theories.
In an elaborate discussion, the researcher has to follow some specific steps to
conduct inductive research. Some of the steps are listed below:
• Specific measurements and observations.
• Subject of interest.
• Collecting data.
• Clusters or patterns in data.
• Analysis of the data.
• Emergence of themes.
• Generalizations.
• Disseminate the results.

Steps of Deductive Research Design

When conducting research using a deductive design, the investigator develops a set
of hypotheses that must be tested. The investigation will next prove the hypotheses
to be correct or incorrect by employing the appropriate methodology. In general,
deductive research design follows five different stages: (a) inferring hypothesis from
5 Inductive and/or Deductive Research Designs 65

Theory Hypothesis Observation Confirmation/Rejection

Fig. 5.4 Steps of deductive research design. Source Developed by the author

the theory; (b) trying to formulate a hypothesis in functional terms and suggesting
relations between two particular variables; (c) applying an appropriate method to
test the hypothesis; (d) evaluating the results of the test and thereby accepting or
denying the theory, and (e) updating theory in cases where a hypothesis is not verified
(Fig. 5.4).
According to Saunders et al. (2007), deductive research proceeds through five
stages:
(1) The theory will be used to generate a hypothesis.
(2) An explanation of how the concepts will be measured will be provided, along
with a proposal for a link between two ideas or variables.
(3) The hypothesis would be proven or disproved.
(4) The investigation’s specific outcome will be evaluated.
(5) The theory will be updated if necessary, in the light of the results.

Examples

There are numerous prominent examples of inductive and deductive research designs;
the following examples will be helpful for a better understanding.

Example of Inductive Research Design

Suppose, a group of researchers has completed a study on the Involvement of old age
people in intensive labour in Dhaka city. At first, the researchers collected data from
old age people from the different parts of Dhaka city using several research tools and
then they analysed data. As a result, they developed a series of recommendations
based on their findings. The researchers also developed hypotheses for the people
who might wish to conduct further investigation of the topic. If the researchers work
on it and find the same results, it would be a theory in future. Here, inductive research
design worked from distinctive observations to larger generalizations and theories.

Example of Deductive Research Design

The domestic violence study by Sherman and Berk (1984) is a good demonstra-
tion of deductive study design. According to the deterrence theory, punishment will
66 Md. S. Haque

reduce to commit further crimes. At first, Sherman and Berk came up with a unique
hypothesis: arrest for spousal abuse decreases the possibility of recurrent offences.
The probability of recurrent offences was the dependent variable, while the arrest
was the independent variable. Sherman and Berk put their hypothesis to the test by
conducting an experiment in which police officers responded to allegations of marital
abuse in one of three ways: (a) arresting the abuser, (b) separating the couples without
making arrests, or (c) just scolding the offender. Whenever the researchers looked
at their data (police documents for the participants in the study), they discovered
that only 13% of those arrested for assaulting their spouse repeated the offence,
particularly in comparison to a 26% recidivism rate for those segregated from their
spouse by police without being arrested. As a result, the testing backed up the theory
(Engel & Schutt, 2005).

Combined Approach: Inductive and Deductive

Although inductive and deductive research procedures are distinct, in some cases,
both inductive and deductive methods of reasoning can be applied. On the other
hand, a researcher may start a project intending to use just inductive or deductive
research design, but then he/she can realize that the other approach is required to
provide better outcomes (Fig. 5.5).
When we identify unwanted patterns in the data collected for testing a hypoth-
esis, we use inductive reasoning in deductive research. Because of the nature of the
study cycle, some studies will also include both inductive and deductive research
methodologies (Engel & Schutt, 2005). Here is an example of combined research
design.

Theory
Inductive Emperical
Generalization/ Hypothesis
Hypothesis Deductive

Descriptive Observation
Research

Data/ Confirmation
Observation

Fig. 5.5 The research circle (inductive and deductive). Source Developed by author
5 Inductive and/or Deductive Research Designs 67

Example of a Combined Approach

In a study, a hundred salespersons were interviewed about their motivation in work.

After analysing the collected data, the researcher induced a common proposition on
salesperson motivation that appears to be accurate for a great number of interviewees.
The researcher might assume that this proposition has not been addressed in earlier
sales force motivation research and theory. Perhaps, a significant proportion of inter-
viewees said that having a supervisor with excellent communication skills is crucial
to their motivation. The researcher may next utilize a deductive study design to test
this proposition on a significant number of samples, possibly through a question-
naire. The results would then supply material to reflect on and modify a salesperson
motivation theory. In social research, this type of inductive–deductive study design
is fairly common (Hackley, 2003).

Importance of Inductive and Deductive Research

Scientific investigation can take one of two forms, depending on the researcher’s
skills and interests; inductive or deductive, and both are important for conducting
research.

Importance of Inductive Research

In research design
The premises of qualitative research are based on an inductive rather than deductive
approach. It comes from the observational aspects, which generate questions that the
investigator tries to explain. Qualitative research is frequently connected to inductive
research design, in which a variety of methods are employed to collect data and
investigate the problem from many angles (Easterby-Smith et al., 2002; Gray, 2004).
Developing theory/model
Researchers collect and analyse data, as well as establish theories from the ground up
in inductive research. In certain domains, theory forms slowly, concept by concept
and proposition by the proposition. Ideas and empirical generalizations build and
mature over time. Links emerge quickly, and investigators weave wisdom from
several inquiries into more abstract theories. The inductive method is known as
the creation of a theory, where researchers begin with data collection to develop a
theory—highlighted by Saunders et al. (2007). A researcher must explain whatever
approach he/she is using in his/her research study.
68 Md. S. Haque

Making scientific knowledge

In inductive research, the researcher observes the facts objectively and registers what
they see with an impartial mind. These observations then serve as the foundation for
the development of theories and laws that create scientific knowledge. Furthermore,
inductive researchers believe that observations may be reasonably generalized in
common and inclusive principles and those scientific assumptions can be verified
and validated (Godfrey et al., 2010).
The appropriate approach for social research design
In social science research, a generic inductive technique is frequently mentioned.
The inductive technique emphasizes observation and gives a conclusion through
observation, as does the majority of social research.

Importance of Deductive Research Design

In research design
Deductive research is usually related to quantitative research design. Trochim (2006)
contends that the concept must be removed that quantitative research is always confir-
matory and deductive. Trochim continues by stating that much quantitative research
is exploratory and is used to corroborate highly precise deductive hypotheses.
Theory/model testing
Researchers utilize theory to facilitate the design of research and the explanation
of outcomes in a logical method. Researchers gain confidence in some aspects of a
theory as they continue to undertake an empirical study to test it. If numerous well-
conducted investigations yield negative results, researchers may change or deny some
of a theory’s assertions. According to Saunders et al. (2007), the deductive approach,
often called theory testing, entails the researcher developing a theory or hypotheses
and designing a research technique to evaluate the theory.
Making scientific knowledge
The deductive technique in building scientific knowledge in research begins with
a theory, from which a hypothesis is generated and is used for world observations.
Then the hypothesis will be accepted or rejected, showing how strong or weak the
theory is.

Differences Between Inductive and Deductive Research

Design

According to Trochim (2006), inductive and deductive designs are two main tech-
niques of reasoning. Both techniques are opposed to one another. The deductive
5 Inductive and/or Deductive Research Designs 69

research works from the ‘top-down’ technique. Using theory, the deductive research
approach permits the investigator to develop a hypothesis. The researcher gathers a
diversity of data and information to corroborate or refute the hypothesis and fix the
problem (Gill & Johnson, 2010). The inductive approach is commonly referred to
as a ‘bottom-up’ technique to learning, where the investigator applies observations
to construct an abstraction or narrate a picture of the subject under investigation
(Lodico et al., 2006). The deductive research design, which is focused on a general
idea to arrive at a particular situation, is related to the positivism paradigm. On the
other hand, the inductive research strategy is related to the interpretivism paradigm,
which is focused on a particular idea to generalize the circumstance based on the
study topic (Crowther & Lancaster, 2009). The most significant distinction between
the two approaches is how they perceive reality. Inductive and deductive research
designs have some fundamental differences. The following table illustrates these
distinctions (Table 5.1):

Table 5.1 Differences between inductive and deductive research design

SL Attribute Inductive research design Deductive research design
1 Direction Bottom-up or Top-down or
specific-general general-specific
2 Purpose Generates theory from Tests theory through
observations observations
3 Beginning Used to form hypotheses Usually begins with
hypotheses
4 Orientation Oriented to discovery, Oriented to cause and effect
exploration
5 Focus This method is used to make This method uses deduction
broad generalizations from to test hypotheses and
specific observations theories
6 Procedures Emergent design Predetermined design
7 Data collection and analysis Merges data collection and Separates data collection
analysis and analysis
8 Research design Associated with qualitative Associated with quantitative
research research
9 Flexibility A more flexible structure to A highly structured
permit changes of research approach
emphasis as the research
progresses
10 Generalization Less concern with the need The necessity to select
to generalize samples of sufficient size to
generalize conclusions
Source: Adapted from Saunders et al. (2007) & Morgan (2014)
70 Md. S. Haque

Conclusions

The terms ‘deductive’ and ‘inductive’ are frequently practised in social research
and both the research designs play an important role. In inductive research, the
objective of the researcher is to derive theoretical ideas and patterns from observed
facts. Hence, the inductive design is also called theory-building research. In deductive
design, a researcher aims to examine conceptions and patterns acquainted from theory
utilizing new experimental data. The deductive design is also known as a theory-
testing experiment (Bhattacherjee, 2012). Although there appear to be several debates
among investigators about the optimal strategy to use when conducting research and
collecting data, these two approaches are not mutually exclusive and they frequently
address the same question in various ways. In social research, the single research
approach is very familiar; researchers use either inductive or deductive design. But
in this case, the expected research outcome may not visible sometimes. That is
why nowadays, a combination of both inductive and deductive research designs is
preferable for analysing cross-cultural collaboration design patterns.

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Chapter 6
Positivism

Premalatha Karupiah

Abstract Positivism is a paradigm that has dominated both the natural and social
sciences. The ontology of positivism is called realism where reality is seen as
consisting of discrete events that can be experienced only by the human senses. Posi-
tivism uses dualist and objectivist epistemology. This means that the researcher and
the observed reality are independent of each other and the quest for knowledge must
be value-free and objective. Positivism mostly uses an experimental methodology as
a way to gather information regarding the event which is being studied. This paradigm
has been heavily criticized and this lead to the development of postpositivism. The
ontology of postpositivism is critical realism. It has modified epistemological and
methodological assumptions from positivism. Contemporary research uses a more
postpositivist approach in research. This is mainly because some basic assumptions
of positivism are almost impossible to be met in research.

Keywords Positivist · Realism · Criticism · Social science research ·

Postpositivism · Critical rationalism

Introduction

Positivism is a paradigm that has dominated both the natural and social sciences for
more than 400 years. A paradigm is a set of beliefs on the nature of the world, the
position of an individual in it and the many possible relationships to the world. An
inquiry paradigm refers to what the inquiry is about and what lies within and outside
the legitimate boundaries of inquiry (Guba & Lincoln, 1994). Positivism has been
widely used in literature to describe any natural science method used in the social
sciences. Therefore, the term ‘positivism’ is used to describe both positivism and
critical rationalism (postpositivism) in literature (Blaikie, 2007). In this chapter, I

P. Karupiah (B)
School of Social Sciences, Universiti Sains Malaysia, Pulau Pinang, Malaysia
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 73
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_6
74 P. Karupiah

follow Guba and Lincoln (1994) to differentiate between positivism and postposi-
tivism. Yu (2003) noted that there is a common misconception in research that most
quantitative research uses a positivism paradigm.
The positivist philosophy of science was assembled by Comte (Hassard, 1993). In
positivism, empirical knowledge must reject theological and metaphysical explana-
tions and limit itself to domains that can be observed by the senses (Blaikie, 2000).
Theories that cannot be verified through observation are not considered scientific
theories (Godfrey & Hill, 1995). The aim of research in positivism is to explain
social phenomena to be able to predict and control the phenomena (Guba & Lincoln,
1994). Some other terms often used to describe positivism are scientific, rationalistic,
and empiricism (Henderson, 2011). When exploring a research paradigm, three main
questions are often discussed. The first question is the ontological question, i.e., what
are the forms and the nature of reality (Guba & Lincoln, 1994, p. 108). For social
research, ontology refers to the …claims and assumptions that are made about the
nature of social reality, claims about what exists, what it looks like, what units make
it up, and how these units interact with each other. In short, ontological assumptions
are concerned with what we believe constitutes social reality (Blaikie, 2000, p. 8).
The second important question in exploring a paradigm is the epistemological
question. It looks at the ways of obtaining knowledge of the social reality based
on one’s ontological assumption. Therefore, epistemology is the claims related to
how reality can be known (Blaikie, 2000). The final question is the methodological
question, i.e., how can the knowledge be obtained by the researcher (Guba & Lincoln,
1994, p. 108). All these questions are interrelated. For a researcher, the assumption
on the nature of reality is related to what can be inquired and how the inquiry can
be conducted. In other words, ‘ontology is the starting point of all research, after
which one’s epistemological and methodological positions logically follow’(Grix,
2002, p. 177).
Following the above-mentioned questions, this chapter, therefore, discusses the
ontological, epistemological and methodological assumptions of both positivism and
postpositivism. It also discusses various criticisms towards positivism which were
instrumental in the development of postpositivism. Finally, it gives some examples
of the use of positivism and postpositivism in contemporary social science research.

Definition of Key Concepts

Induction

Induction can be defined as a process for moving from particular instances to general
statements or conclusions. It starts with some singular statements based on specific
instances of an event. Based on these statements a general conclusion is made. It is a
method that helps us move from particular facts or observations to general statements
6 Positivism 75

which comprehend them. It is, therefore, used to generate theory from data. In induc-
tion, general conclusions are made using specific observations. Observations made
using the senses are used to make a general conclusion regarding these observations.
A theory is then formulated by generalizing a phenomenon. It also means that a
theory is made to explain the observations. One common example used to explain
induction is the observation of ravens. If every raven that has been observed so far is
black, we will be drawn to conclude that all ravens are black (O’Hear, 1989). Induc-
tion has also been heavily criticized. Critics have argued that there is no logical way
of establishing the validity of the generalizations made through induction because
induction involves the process of making generalized statements from a finite number
of observations.

Deduction

Deduction is a process where we derive and test particular statements from general
statements. From the general statement or theory, a hypothesis is derived and it
will be tested using observations. If the observations do not support the hypothesis,
the hypothesis, hence the theory is rejected. It is an alternative to the inductive
methodology. Rather than using observations to develop a theory (as in induction),
deduction depends on observations to test theories or to falsify theories. In deduction,
theories can never be proven or confirmed because no amount of evidence can prove
a theory to be true, but one instance of contrary evidence will prove that a theory is
false. This point can be illustrated using a classic example. Even though we observe
many white swans, it does not prove that all swans are white or will be white, but an
observation of a black swan will immediately prove that our generalization (that all
swans are white) is false (O’Hear, 1989).

Paradigm

A paradigm is a set of beliefs or assumptions on what should be studied and how

research should be conducted (Bryman, 2008; Guba & Lincoln, 1994). It is a world-
view of what the nature of the world is. It is a belief that is accepted as it is and
cannot be proved as the ultimate truth (Guba & Lincoln, 1994). It can also be seen
as a conceptual framework for a particular tradition of scientific research (Crook &
Garratt, 2005).
76 P. Karupiah

Positivism

Positivism is a research paradigm that emphasizes the use of the methods in the
natural sciences in the field of social sciences. It has dominated the formal discourse
of physical and social sciences for 400 years (Bryman, 2008; Guba & Lincoln, 1994).
It follows an ontological assumption that reality exists independent of the researcher
and can be represented using universal propositions (Blakie, 2000).

Postpositivism

Postpositivism refers to various approaches which developed as a way of rejecting

positivism. It refers to approaches that tried to deal with the criticism of positivism
through some major modifications to positivism (Crook & Garratt, 2005). Some of
these approaches share a similar ontological position with positivism while others
reject positivism’s ontology (Guba & Lincoln, 1994).

Realism

Realism is an ontological position where reality is seen as existing outside and inde-
pendent of the researcher. It is the ontology of positivism. There are many different
categories of realism such as naïve realism, critical realism, historical realism, and
subtle realism (see Blaikie, 2007; Guba & Lincoln, 1994).

Ontology of Positivism

The ontology of positivism is called realism (naïve realism) (Guba & Lincoln,
1994). In positivism, the reality is something that exists independently and outside
the researcher. This reality is seen as consisting of discrete events which can be
experienced by the human senses. Positivism particularly logical positivism rejects
theoretical and metaphysical knowledge and only accepts knowledge derived from
experience. Only phenomena that can be experienced are considered relevant to the
inquiry. According to this view, social reality consists of a complex of causal rela-
tions between events (Blaikie, 2000, p. 102) and these existing patterns and sequences
which can be discovered in an inquiry (Blaikie, 2010). These patterns and sequences,
in reality, can be reduced to laws and generalized regardless of time and context and
used to predict the phenomena (Guba & Lincoln, 1994). Therefore, the researcher is
trying to find out a truth that is out there, and this truth can be explained in the form
of cause and effect law, and these laws are generalizable (Oliver, 1992).
6 Positivism 77

Epistemology of Positivism

In this paradigm, knowledge is produced through the human senses. Positivism uses
dualist and objectivist epistemology. The researcher and the event (or phenomenon)
that is being observed is seen as independent entities. A trained researcher can take
an objective position (Blaikie, 2010) and the study of social science can be value-
free. The researcher, therefore, can conduct a study independently without being
influenced by the assumptions underpinning the study and the methods used to study
it (Oliver, 1992). It is also assumed that the researcher is not influencing the study
or is being influenced by the study. The researcher can observe the reality as it is
either directly or with the help of instruments. These objective observations verify
hypotheses that are later established as laws. These laws describe reality (Blaikie,
2000; Godfrey & Hill, 1995; Guba & Lincoln, 1994). Positivists use an inductive
research strategy (Blaikie, 2007). In a study, hypotheses should be stated clearly
and tested empirically from data that are collected objectively, i.e., by setting aside
all preconceptions about the reality (Blaikie, 2000). Therefore, it is assumed that
the researcher does not influence the study or is being influenced by the study.
The researcher’s values and biases would not influence the research if a prescribed
procedure is followed rigorously. In addition to this, it is also believed that the
findings are replicable if the same procedures are followed (Guba & Lincoln, 1994).
Therefore, a researcher who would like to use this paradigm to do research should
not be influenced by his/her biases and remains detached from the study. The main
aim of the study would be to establish social laws regarding the patterns that exist in
the social world.
Since the researcher takes a very detached position in this paradigm, the presen-
tation of his/her study is done in a very formal writing tone and using technical
terminology (Tashakkori et al., 1998 as cited in Johnson & Onwuegbuzie, 2004). The
epistemological stand of positivism has been heavily criticized and will be discussed
in the next section. In terms of methodology, positivism uses an experimental and
manipulative methodology. Hypotheses are often stated clearly and verified. Most
studies using the positivist paradigm are quantitative (Guba & Lincoln, 1994).

Criticisms of Positivism

Many of the assumptions of positivism have been criticized heavily both in the natural
and social sciences (Oliver, 1992). Many of the early premises of positivism have
been rejected by researchers. Many researchers have problems in fully accepting the
ontology of positivism that a single true reality exists (Racher & Robinson, 2003).
Scholars argued that reality which is seen as existing ‘out there’ is mediated by
the human consciousness. In addition to this, positivism failed to recognize that
the social condition and context are important in exploring the social reality and
the researcher plays a big role in the representation of the social facts (Racher &
Robinson, 2003). Positivism has also been criticized for its inability to handle theories
78 P. Karupiah

on unobservable constructs which have been successful in making predictions that

were later confirmed by observation particularly in quantum physics (Godfrey &
Hill, 1995).
Positivism has been heavily criticized. Some examples of the criticisms are
• on the basic assumptions of positivism. The notion that truth is out there is
questioned both in natural and social science.
• on the impossibility of being objective and detached from the research, and that
experiments are not the most common method of data collection in the social
sciences.
The epistemology of positivism has been heavily criticized in the field of social
sciences. There have been many arguments on the difficulty of being objective and
detached from social science research. The idea of having value-free and theory-free
observations which are objective and independent of the researcher has been chal-
lenged both empirically and logically (Crook & Garratt, 2005; Paul et al., 2007).
Some scholars argue that even the selection of a phenomenon to be studied and the
selection of variables to be observed influence the research that is being conducted.
Hence, it is impossible to be objective or detached in a study. In addition to this,
scholars have also challenged the methodology suggested in positivism. In social
research, true experiments are rarely possible. Henderson (2011) highlighted that
research that is based on pure positivism and uses true experiments are rare in leisure
research. Alternative social research paradigms such as postpositivism and inter-
pretivism developed due to the criticisms of positivism. Postpositivism still shares
a major part of the positivist ontology; however, other paradigms with different
ontologies such as the interpretive paradigm were also developed (Oliver, 1992).

Postpositivism

Postpositivism developed in the nineteenth century due to the criticisms of posi-

tivism (Creswell, 2014). Postpositivism shares some elements of positivism in terms
of ontology but has been modified to address the criticisms on the epistemology
and methodology of positivism. Postpositivism is also used by some scholars to
refer to approaches to an inquiry that developed as a reaction to positivism. This
includes critical rationalism which has a similar ontology with positivism but also
other approaches which reject the notion of an independent reality that exists outside
the researcher such as constructivism. Constructivism uses a relativist ontology.
However, in this chapter, postpositivism only discusses the realist postpositivism
(critical rationalism) paradigm which uses a realist ontology (Fox, 2008).
The ontology of postpositivism is called critical realism. Similar to positivism,
the reality is assumed to exist out there (Creswell, 2014) but can only be understood
imperfectly because of the flawed human intellectual mechanism (Guba & Lincoln,
1994). While naïve realism implies that the researchers’ view of reality reflects the
reality, critical realists believe that the researcher’s view of reality is just one way of
6 Positivism 79

knowing the reality (Bryman, 2008), and it has to be critically examined (Racher &
Robinson, 2003). Critical realists, therefore, acknowledge that their understanding
of reality is provisional (Bryman, 2008).
Postpositivism uses a modified dualist and objective epistemology. Due to the
impossibility and inadequacy of dualism, postpositivism recognized the multiplicity
and complexity of human experiences (Henderson, 2011). Objectivity, on the other
hand, is still seen as a part of postpositivism. Since being objective is also impos-
sible for the researchers, postpositivists use external controls as a way of main-
taining objectivity (Guba & Lincoln, 1994). Furthermore, research is seen as a way
of moving closer to a truth that cannot be fully verified (Racher & Robinson, 2003).
Postpositivism focuses on falsifying hypotheses rather than verifying them through
observations (Guba & Lincoln, 1994). Therefore, it follows a deductive research
strategy (Blaikie, 2007). In addition to this, findings can also be tested to see if they
fit into existing knowledge and feedback from other researchers or scholars (Guba &
Lincoln, 1994). The emphasis on causal relationships is reduced, and the goal of the
research is mainly to explain and predict social phenomena (Racher & Robinson,
2003). Postpositivism uses a modified experimental and manipulative methodology.
Postpositivists have also incorporated research in a natural setting and collected
situational information regarding their research. While quantitative techniques may
still be used by postpositivists, some qualitative techniques have also been used by
postpositivists (Guba & Lincoln, 1994).

Use of Positivism and Postpositivism in Social Research

Traditionally, positivism has dominated research in the fields of social sciences such
as sociology (Blaikie, 2007), psychology (Yu, 2003), and social work (Thyer, 2007)
for a long time. While many aspects of positivism are still strong in contemporary
social research, positivism is not a suitable term to refer to contemporary quantita-
tive research in the social sciences (Crook & Garratt, 2005). Sociology was domi-
nated by the positivist paradigm particularly after the Second World War but it has
been heavily criticized since the 1970s (Blaikie, 2007; Gartrell & Gartrell, 2002). In
fact, in some circles of sociology, positivism has been considered dead (Gartrell &
Gartrell, 2002). Similarly, positivism was a dominant paradigm in psychology until
the 1960s (Leahey, 1987 as cited in Yu, 2003); however, contemporary research in
psychology does not use a pure positivistic research paradigm (Yu, 2003). Even
though psychological research are mainly quantitative in nature, most do not share
the basic assumption of the positivistic research paradigm (Yu, 2003). The rejection
of positivism is mainly due to the difficulty in strictly following the basic assumptions
of this paradigm, i.e., single reality, objectivity, and value-free. Based on studies in
the field of education, Phillips and Burbules (2000) concluded that most practising
researcher use a postpositivistic paradigm in research. The field of social work partic-
ularly in the USA was historically dominated by a positivistic orientation towards
the discovery of knowledge related to the practice of social work. Now, scholars are
80 P. Karupiah

emphasizing the importance of evidence based practice to intervention programs by

the social workers (Thyer, 2007).
Contemporary research uses mainly postpositivism because:
• many studies which claim to be positivistic often use a postposivistic approach due
to the difficulties in following basic assumptions of positivism.
– Many studies do not share the ontological and epistemological assumptions
used by positivism.
• of the difficulties in using purely experimental research design.
– Even in quantitative research, a survey is one of the most common research
designs used by researchers.
• of the use of theories that guide most research.
– Many studies use hypotheses or theories to give tentative answers to guide their
research.
Research on disability was also dominated by the positivist research paradigm
(Harris, 1971; Martin et al. 1988 as cited in Oliver, 1992). Oliver (1992) believed
that this domination has produced a distorted view of disability and a simplistic view
of research and social change. Due to the issues of this research paradigm, disability
research has moved to a more interpretive research paradigm and a newer paradigm
called the emancipatory research paradigm. Similarly, Henderson (2011) highlighted
that research that is based on pure positivism and uses true experiments are rare in
leisure research. It was identified that most leisure research used a postpositivist
paradigm.

Conclusions

Positivism was a dominant paradigm in the study of the natural and social sciences.
However, contemporary research has moved from following this paradigm strictly
due to the many scholarly criticism towards it. Researchers in many fields have
used various other paradigms to deal with the shortcomings of positivism. Many
quantitative types of research have used a postpositivist paradigm. Postpositivism
share some ontological assumptions with positivism but uses modified epistemo-
logical and methodological assumptions. As a guideline to researchers, a researcher
needs to understand a research paradigm. The understanding of the assumptions of
a paradigm is important to decide on the epistemology and methodology that would
be used by the researcher. Both methodology and epistemology will be important in
the selection of a research method by the researcher. It is important to ensure that the
method selected is suitable for or at least does not contradict the basic assumptions of
a research paradigm. This is because the researcher’s view of reality would influence
the knowledge-seeking process and the role of the researcher in the process. It would
6 Positivism 81

also determine the type of data that needs to be collected and the technique used to
collect these data.

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Chapter 7
Critical Theory in Social Research:
A Theoretical and Methodological
Outlook

Ashek Mahmud and Farhana Zaman

Abstract Critical theory, a multidisciplinary and multifaceted approach, was put

forward to reconstruct dominant ideology by the critical task of explaining and crit-
icizing. Contextualizing this new approach, the chapter is designed to focus on the
development of social thought and its application in social research grounding on the
critical theory. The discussion, drawing from many kinds of literature, depicts that
critical theory as a perspective of social praxis unveils the critical reality through a
detailed analysis of leading texts, pervasive conversations, social interactions, and
persistent social practices. Thereby, critical theory provides insight to form ‘Critical
paradigm’ and ‘Critical Realist Paradigm’ that generates ‘Ideology critique’, ‘Critical
action research’, and ‘Critical Discourse Analysis’ (CDA) as the dynamic research
methods. With those, researchers can explain the relationship between theory and
practice linking language, ideas and social actions. By highlighting the basic char-
acteristics of critical theory, this chapter analyses its application in the field of social
research focusing on when and in which context critical theory is applied. Finally,
the chapter attempts to ascertain the emancipatory function of this new approach
by providing some examples of research output in connection to perpetual social
problems in modern social settings.

Keyword Critical theory · Critical research paradigm · Critical research methods ·

Social research

Introduction

Critical theory is an episteme of the deconstruction of knowledge that occupies a

unique place in the philosophy of social sciences for its distinctive aims, methods,
theories, and forms of explanation (Bohman, 2013; Thompson, 2017). With its
distinctiveness, critical theory is supposed to be constructions of the basic principles

A. Mahmud (B) · F. Zaman

Department of Sociology, Jagannath University, Dhaka 1100, Bangladesh
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 83
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_7
84 A. Mahmud and F. Zaman

which do not represent social order in the fixed form, rather it emphasizes standard
social critique (Honneth, 2001).
From the historical viewpoint, Russian political movements and their dynamics
shape the political actions and ideological formations in instituting critical theory
that occurred throughout the first decades of the twentieth century (Thompson,
2017). Originally, critical theory started its formal journey from the Frankfurt School
aiming to envisage the social reality in terms of the role of the state, law, economy,
religion, and culture of human life (Kellner, 1990). Institutionally, critical theory
revised Marxian critique of capitalism enriched with neo-Marxian thoughts. This
neo-Marxist’s thought, developed mainly by Louise Althusser, Georg Lukács, and
Antonio Gramsci, strongly opposes the economic determinism of Marx’s notion that
‘base’ determines ‘superstructures’ (Ashgar, 2013). This critical evaluation of social
reality foresees a new dimension of social thoughts and intellectual framework.
Hence, this ideological movement goes against the predetermined economic regu-
lation over all aspects, and so, it contributes to the crucial ideological frame known
as critical theory (Thompson, 2017). The developmental phase of critical theory
challenges the prevailing discourse by investigating substantial problems in modern
society, and therefore, this theory has become more sociological by overcoming
its dependency upon a philosophical concept of reason rooted in idealist ontology
(Misgeld, 1984). Furthermore, the critical theory attempts to explain running social
and economic systems, advanced technological society, and complex social rela-
tions as historical accomplishments in both capitalist and socialist frameworks in
that social complexity prevails (Agger, 1991). This theory, thereby, develops a crit-
ical perspective that posits knowledge is not an end in itself rather paves the way of
liberating people from popular culture-industry through the advanced form of public
sphere and process of rational argumentation (Habermas, 1971; Horkheimer, 1982).
Regarding this end, critical thinkers try to detect the common and inherent values
of capitalism such as deepened false consciousness, commodity fetishism, and reifi-
cation that contradicts people’s objective interest of liberation (Agger, 1991). With
this critical investigation, the Frankfurt Institute enables to accelerate consciousness
level to break the shackles of ideology through judgement, evaluation, and transfor-
mative activity. In this connection, critical theory offers a critique of instrumental
rationality, fragmented social reality, cultural manipulation, and ideas of historical
reflexivity that would guide to combat erosion of subjectivity (Bronner, 2017). Thus,
the ideas of critical theory are complemented by its critical task of explaining and
criticizing (Celikates, 2009).
With the development of critical hermeneutics in a historical context, crit-
ical theory enhances the critical research process (Steinberg & Kincheloe, 2010).
That means, critical hermeneutics as a developmental pathway of critical theory
contributes to developing critical theory as a research paradigm, and then with the
evolutionary process, a new paradigm known as critical realism (CR) paradigm
emerged. Bhaskar, the founder of CR, emphasized the social ontology of discourse
and epistemological sociocritical project (Flatschart, 2016). Accordingly, critical
thinkers employed a variety of methods and styles of explanation that set the
rudimentary principles in the mode of social research (Horkheimer, 1993).
7 Critical Theory in Social Research: A Theoretical and Methodological … 85

In this sense, with both theoretical and methodological background, critical theory
has rendered a useful backup for operating critical social inquiry in both qualitative
and quantitative research areas/fields (Hussain et al., 2013). Finally, the researchers
successfully adopt critical theory for critical social enquiry and extracted a few
typical though promising applicable research methods and tools that predominantly
are ideology critique, critical action research, and critical discourse analysis (Cohen
et al., 2000; Faircough, 1992). Drawing on this background, the chapter aims at
revealing the contribution of critical theory to the development of social thought and
its application in social research.

Definitions and Concepts of Critical Theory

Since its inception, critical theory has gone through several phases with a specific
focus. Primarily, critical theory is viewed from different dictionary definitions and
then the scholarly definitions of critical theory are arranged from distinguished
concepts. In a general sense, critical theory is meant by a thinking process where
culture, ideology, and history are explained with value judgement. A dictionary of
cultural and critical theory defines critical theory from both looser and strict or formal
sense in such a way that
Critical theory is now a more general term, under which research projects in the social
sciences and/or humanities attempt to bring truth and political engagement into alignment
(Payne & Barbera, 2010: 153).

Specifically, critical theory is viewed as a designation of philosophy and method-

ology that deals with the consensual truths, technological complexity, mystification
of politics that clarifies conflicting forms of social reality and change (Friesen, 2008)
(Table 7.1).
The critical theory derives from the notion of critique which cannot be merely an
act of judgement or resistance, but it clarifies dominant bodies of knowledge, scruti-
nizing the ideas inherent in the marginalization of knowledge sources, and exploring
the ways of developing alternative forms of understanding (Friesen, 2008). This
derivative sense of critical theory attempts to grasp in logical forms the identity of the
object that is supposed to pursue thinking and examining (Fuhrman & Snizek, 1979).
From the point of origin, critical theory initially starts with criticizing and explaining
the changing societies as a whole in contrast to the traditional theory. Moreover,
critical theory as a discourse stands against Marxism, structuralism, cultural deter-
minism, phenomenology, disciplinary boundaries, and established sociopolitical
systems (Kellner, 1990). Extensively, the critical theory emphasizes evaluating the
dominance of culture under the capitalistic framework highlighting the breakdown
of social order in connection with history. In this context, critical theory is oriented to
making the interconnection among economic process, transformations of individual’s
motive, and holistic system in the modern era (Horkheimer, 1989).
86 A. Mahmud and F. Zaman

Table 7.1 Conceptual definitions from a different point of views

Core view points Sources Prime concepts Conceptual gaps
An original point of Horkheimer (1937) Explaining changing Empirical gap
view society as a whole
Structural analytic Honneth (2004) Capitalist social Less ontological
view structure as irrational insight
Ontological view Kellner (1989) Identifying critical Epistemological
diagnoses of destructive gap
effects
Epistemological view Habermas (1971) Platform of dialogue Less emphasis on
praxis
Praxiological view Kellner (1990) Critical activity unified Less priority to
with theory reflective guide
Reflective view Campbell and Bunting Reflected guide with Latent research
(1991) critical ideology and guide
emancipated perception
Empirical view Bohman (2013) Critical paradigm and Less priority to
methods based on scientific inquiry
explanatory and
practical modules
Source Developed by authors

As a structural analysis, Honneth draws a notion of social pathology as a distinc-

tive critique of mainstream liberal philosophy, justice, and legitimacy through which
the process of irrational formation in capitalism and domineering interest are checked
(Freyenhagen, 2015). This form of social pathology includes reflexive comprehen-
sion of social order and reflexivity of social participants in culture and cognitive
structures that are accompanied with the rational universal formation (Freyenhagen,
2015; Honneth, 2004). However, this structural analysis does not expose ontological
insight. Focusing on ontological perspective, critical theory is asserted as a philo-
sophical inquiry of understanding critical knowledge on a variety of social prob-
lems, whereas the objective world is comprehended, a form of thinking is designed,
and comprehending as well as transforming the objective world of society, institu-
tions, and culture are projected with the practical sense of insight (Langman, 2017;
Thompson, 2017).
More exclusively, critical theory is ornamented by the epistemological stance,
referring that critical theory is designed to expose hidden power imbalances and
enlighten agents about how they ought to act rationally to be cautious about their inter-
ests (Lather, 1986; Polifroni & Welch, 1999). To serve this purpose, critical theory has
allowed developing a platform of dialogue for open communication, as advocated by
Habermas, to make people aware of the power relationships within the existing social
structure (Habermas, 1971). The praxiological view produces a new dimension. As
per Kellner’s idea, critical theory is designed to form an epistemological stance to
make people committed to emancipation from different categories of exploitation,
7 Critical Theory in Social Research: A Theoretical and Methodological … 87

domination, discursive ordering, and disciplinary transgressions in that unification

of theory and practice gets way out from ideological dogma (Kellner, 1990). Besides,
the reflective view suggests that critical theory provides reflective guides for human
action since these theories aim at producing enlightenment, enabling inherent eman-
cipatory interest, generating cognitive content, and offering epistemological insights
(Geuss, 1981).
The emancipatory approach of critical theory, as a more advanced form, shows that
critical theory generates a complicated notion of emancipation with the production
of an ideology of enlightenment where an agency is seen to be free from dominant
ideological structure and distortions of perception about world view (Campbell &
Bunting, 1991). This emancipatory view paves the way for the empirical grounding
of critical theory. In this connection, critical theory is treated as an application form
of research paradigm and methods based on Horkheimer’s view of explanatory,
practical, and normative components (Bohman, 2013). As a result, critical theory as a
new dimension of theoretical perspective contributes to fulfilling the methodological
vacuum in the field of critical social enquiry and uncovered a new insight for critical
social research.

‘Critical Theory’ as a Theoretical Perspective

Sociological theories are conventionally approached by the functional perspective,

conflict, and interactionist perspective. Since those perspectives do not deal with the
hidden and multifaceted complexity involved in capitalistic and post-industrial soci-
eties, the critical theory emerged as a new perspective to reconstruct modern societies.
Traditional theories, from the functionalist view, show the projection of the bour-
geois model as the harmonious capitalist system that uncritically produces the idea
of existing society (Kellner, 1990), while critical theory pursues to exceed disci-
plinary boundaries through moving towards a dialectical form of reasoning stressing
the application of critical reason (Thompson, 2017). The critical theory rejects posi-
tivism and interpretative view of constructivism since those avoid critical analysis
of the dialectical imagination of social facts like classlessness, racism, domination,
and manipulative exploitation.
Thus, critical social theorists advocate a wide range of dialogical analysis which
is not only enriched with empirical insights but most importantly with critical and
practical reasoning. Thereby, the critical theory emerges as a theoretical perspective
for discovering social reality with ontology and rational epistemes means to diagnose
social pathologies that can form a platform of social criticism and emancipatory
insight (Honneth, 2004; Thompson, 2017).
88 A. Mahmud and F. Zaman

Characteristics of Critical Theory

Critical theory pursues three basic features from Horkheimer, who asserts that a
theory is adequately critical whether it represents three criteria all at the same time:
it must be explanatory about the existing world, must have the practical purpose of
change, and provides normative bases for criticism and transformation (Bohman,
2013). Most importantly, critical theory engenders critical social thought encom-
passing critical analysis of conventional enlightenment thought, critical rationality,
critical discourse, critical pedagogy, and critical emancipation as the theoretical
grounds of empirical and critical social research. Those critical insights are enriched
with the ontological, epistemological, and methodological parameters (Table 7.2).

Critical Enlightenment

The edifice of enlightenment highlights ideas of civil freedom, political emancipa-

tion, scientific evaluation, universal rights, the autonomous subject, and the reign of
reason (Harpham, 1994). Horkheimer and Adorno (1972) as the prominent critical
thinkers trace a critique of enlightenment philosophy referring to the Dialectic of
Enlightenment which raised a voice against the positivist philosophy and dominant
form of capitalist ideology and termed it as new mythology and ideology (Agger,
1991). Overall, Horkheimer’s critical theory is, as observed by Bohman (2013),
explanatory about the current social reality that provides a critical analysis of trans-
formation and change (Asghar, 2013). That means, the critical theory is the potential
to provide a critique of the existing social order with the process of self-reflection
and self-evaluation (Hoffman, 1989) to deconstruct enlightenment thought of social
change.

Critical Rationality

The idea of the spirit of rational calculation constructed by Cohen and the notion of
instrumental rationality mentioned by Weber are associated with the rational projec-
tion of social action, in that technical means and ordering goals are coincided in
modern capitalism (Holton, 1983). Conversely, for the critical theorists, instrumental
rational action deteriorates the rational application of reason since the modernity
project is ordained with extensive domination in the name of modernity (Thompson,
2017). That is why critical theory assumes that instrumental rationality is being
perceived as the most influential element of western modernity (Steinberg & Kinch-
eloe, 2010). Horkheimer and Adorno point out a bleak picture of modernity high-
lighting that the capitalist system of administration, popular mass culture, and media
technology have become prime forces of mass deception (Quoted in White, 1983)
Table 7.2 Characteristics of critical theory following different parameters
Parameters Characteristics of critical theory
Critical enlightenment Critical rationality Critical discourse Critical pedagogy Critical emancipation
Ontological (Nature of Critique of positivist Critique of Discursive life-world disciplinary Colonizing, repression,
problem) philosophy, capitalist instrumental and and distorted discourse and domination, manipulation as
ideology technological communicative subjugated core problems
rationality language as core knowledge as core
problems problems
Epistemological (knowledge Deconstructing Critical rationality Reconstructing Dialogue- and The public sphere, cultural
of way out) enlightenment thought and subjective discourse and validity praxis-based action revolution, critical knowledge
consciousness claims against oppression for emancipation
Methodological (Procedure of Ideology critique Critical realism Critical discourse Critical action Transformative-emancipatory
finding out) and Ideology analysis research perspective, Critical action
critique research
Source Arranged and developed by authors
7 Critical Theory in Social Research: A Theoretical and Methodological …
89
90 A. Mahmud and F. Zaman

that invades objective reasoning (Horkheimer, 1947). Thereby, the critical theorists,
to break the conventional rationality, attempt to develop subjective consciousness
(Agger, 1991) in the real social world through critical rationality (Marcuse, 1964).

Critical Discourse

Habermas’s critique of ideology, a perspective of action theory and analysis of social

systems, provides a coherent framework of critical discourse (Held, 1980). In addi-
tion to Habermas’s critical discourse, Foucault (1979) uniquely explores the theory of
discourse asserting that in every point, exercise of power incites knowledge structure
and knowledge assures the exercise of power (Miller, 1990). Foucault asserts that
the functions of institutional discourse are not only coercive but may be construc-
tive and beneficial for social arrangements (Miller, 1990). Using that approach,
reconstructive critique represents reflexivity of discourse analysis, which can diag-
nose social pathologies to deliver a critique of societal conditions (Celikates, 2009).
Moreover, Habermas’s projection of critical discourse is equipped with the forma-
tion of a communicative life world through using rational communicative language
and stressing validity claims of propositional truth, normative rightness, subjective
truthfulness, and cultural reproduction (Hoy, 1990; Ritzer, 2007).

Critical Pedagogy

Pedagogical theories stem from different perspectives such as Herbart’s pedagogy

of generalization, Skinner’s behaviourist learning, Piaget’s constructivist cognitive
development, and transformative aspect of critical framing (Rutto, 2017). Those
modern pedagogical approaches have been criticized by Foucault’s (1979) theory of
‘disciplinary discourse’ and Freire’s (1972) idea on the pedagogy of the oppressed
that contribute to the development of critical pedagogy. Foucault, posited by Besley,
analyses the disciplinary role of power, knowledge, and truth that are historical
produced and subjectively reproduced as an object engendering ‘subjugated knowl-
edge’ in terms of masked and marginalized knowledge (Besley, 2002; Lazaroiu,
2013). More critically, Freire’s pedagogy scrutinizes the modern education system
asserting that this education turns into a banking form by which adaptive capacity to
the oppressed system develops (Freire, 1972). Therefore, Freire introduces problem-
posing education with the critical method of dialogue in that learners can develop
critical action or praxis to combat oppressive disempowerment (Freire, 1972).
7 Critical Theory in Social Research: A Theoretical and Methodological … 91

Critical Emancipation

The modern idea of emancipation revolves around Weber’s enchantment, Durkheim’s

moral individualism, Marx’s socialist revolution, and Giddens’ reflexivity. With the
growing complexity of social structure and the global social system, neo-Marxists
and critical theorists pave the way for new dimensions for public emancipation from
a critical point of view. Marcuse (1964) states that the people of advanced industrial
societies are becoming one dimensional, since technological rationality colonizes
everyday life, robs individual and political freedom, and maintains progress based
on exploitation, repression, manipulation, and destruction. Another critical thinker
Habermas indicates distorted communication, the overriding role of domination,
restrictions, and colonizing role of the systems over the life world are the prime
obstructions of human emancipation (Quoted in Ritzer, 2007). In this regard, Marcuse
(1964) postulates cultural revolution based on critical and dialectical thinking, Freire
(1972) posits dialogical praxis, and Habermas (1991) proclaims democratic plat-
forms of the public sphere that are grounded upon emancipatory interest and critical
knowledge.

Application of Critical Theory in Social Research

Critical theory is not only a theory but exclusively it has been a research paradigm that
can pursue a way of distinguishing between reality and existence within an interlinked
framework of ontology and epistemology followed by appropriate methodology and
methods (Rehman & Alharthi, 2016). Substantially, the methodological framework
of critical theory is highly relevant to the substantive social research context in the
sense that those research designs open the door of disclosing different perspectives of
interpretations and orientations and equip researchers with transformative potentials
and modes of organization (Strydom, 2011). That means, critical theory broadens
the space of social research intending to utilize distinctive research paradigm and
dynamic research methodologies (Table 7.3).

Critical Theory as Research Paradigm

Critical Paradigm

The dominant paradigms (positivist and interpretive paradigm) are being challenged
by the critical paradigm since critical theory nullifies agents’ perceptions to eval-
uate true situations focusing on the idea that critical knowledge is not universal
but is created and its interpretation is grounded in the language (Campbell &
Bunting, 1991). Unlike positivist and interpretive paradigm, the critical research
92 A. Mahmud and F. Zaman

Table 7.3 Application of critical theory in social research and social fields
Critical research Guiding principles Relevance to Appropriate social fields
methodology critical theory
Critical paradigm Reflexive-dialectic Critical Technological institution,
orientation, emancipation authoritarian social order
transformative in organizations
perspective
Critical realist Empirical-actual-real Critical rationality Gender behaviour at
paradigm level analysis, and pedagogy household, minority’s
context-based causality marginality, Covid-19
impacts
Ideology critique Grounding philosophical Critical Ideas of
as method analysis, understanding enlightenment ‘Women-empowerment’,
ideological distortion ‘neo-liberal economy,
‘democracy’ in the
capitalistic sphere
Critical action Emancipatory interest, Critical pedagogy Education program,
research method praxis: theory and nursing education,
practice ethnographic research
Critical discourse Text analysis, discursive- Critical discourse Management study, TV
analysis method practice and programs, political
social-practice analysis propaganda, religious
sermons
Source Arranged and developed by authors

paradigm deals with studying multiple layers in social reality which are governed by
hidden-underlying structures, and also this type of research is oriented to the dialec-
tical method by which the nature of false consciousness of scientific knowledge, a
false belief is hidden in power and objective conditions and unrealized misleading
reification are uncovered through explanatory critique (Neuman, 2011).
In another word, “critical paradigm is based on the idea that thought is essen-
tially mediated by power relations and that data cannot be separated from ideology
implying that critical research brings power relations to conscious awareness, and,
by doing so, provides space for questioning and transformation” (Tracy, 2013: 42).
The exclusive theme of critical research is to operate research to evaluate the nature
of exploitation, unfairness, distorted communication (Tracy, 2013) by which people
can replace existing social conditions with a better one (Neuman, 2011). The unique
point of the critical paradigm is that critical research should have a reflexive-dialectic
orientation in that subjective and objective sides are blended, and also, it follows a
transformative perspective with the use of explanatory critique to show a pathway
for taking ‘action’ and achieving social change (Neuman, 2011). In this regard,
critical theory utilizes empirical analytic and hermeneutic methods with a view to
emancipatory enlightenment (Campbell & Bunting, 1991).
Following the projection of transformative and emancipatory world view, critical
theory as a research paradigm deals with the research on contemporary institutional
7 Critical Theory in Social Research: A Theoretical and Methodological … 93

systems and structural social practices in which domination, fascism, manipulation,

and hegemony are embedded distinctively. Callaghan (2016) reports that technolog-
ical system is adapted to social and political systems that impose an authoritarian
social order; and so, a critical approach to technology has received many advantages
of gaining a platform for critical investigation of social research.

Critical Realist Paradigm

Though Hussain et al. (2013) view that critical research is highly fitted to qualitative
research designs, critical realism (CR) has gained higher acceptance as a philo-
sophical framework in the investigation process of social sciences for its empirical
potentiality to explain social contexts and situations and suggest operable strategies
to recover social drawbacks (Fletcher, 2017). The critical realism paradigm utilizes
the compatibility thesis of worldviews conveying impartial representations of reality
(Shannon-Baker, 2016) which is grounded on Marcuse’s critique of rationality and
Freire’s critical pedagogy. Moreover, the critical realist paradigm deals with the study
of the changing human praxis embedded in social relations (Bhaskar, 1994), in so
far, this praxis is used to refine explanation by putting theoretical understanding into
real-life practices (Neuman, 2011).
Substantially, critical realism is comprised of three levels; ‘the empirical level’
incorporates common-sense understanding with the empirical evidence, secondly,
‘the actual level’ insists on the factual occurrence, and ‘the real level’ conclusively
explains social events by dint of causal mechanism, and following those steps, critical
realism serves as a methodological framework for critical social science research
(Fletcher, 2017), that can help developing theory generation, the generalizability of
results as well as theoretical insights (Shannon-Baker, 2016).
Bhaskar gives more emphasis on community study for utilizing the critical realist
paradigm, in the sense that community is the domain of institutional disruption,
and self-cultivation and hegemonic monitoring are dominant (Harvey, 2002). More
practically, critical realism seeks to explain the causal mechanism shaping gender
ideology both at the private and public sphere masculinization and corporatization of
agriculture through the reciprocal interplay between structure and agency (Fletcher,
2017). Apart from causal analysis, critical realism tries to investigate problem anal-
ysis of the marginal social groups who are being highly affected by the COVID-19
pandemic in developing countries.
94 A. Mahmud and F. Zaman

Critical Theory as Research Method

The critical theory offers a fundamental methodological basis for social research
which is both critical and transformative (Kemmis, 2009). ‘Ideology Critique’, ‘Crit-
ical Action Research’ (Cohen et al., 2000), and ‘Critical Discourse Analysis’ (Fair-
cough, 1995; van Dijk, 2003) are a few of the promising research tools that critical
theory applies to investigate the reality and to discover the unwelcome truths in
connection to appropriate social fields.

Ideology Critique

Horkheimer’s view of the eclipse of reasoning through the critique of ideology

(White, 1983) and his critique of the autonomy of thought as part of the enlight-
enment philosophy of (Horkheimer and Adorno, 1972) discloses a pathway in
constructing a research tool named as ‘ideology critique’ that can help to inves-
tigate the distorted ideological character and transformative social structure. At
present, a detailed account of ‘ideology critique’ as an effective tool for addressing
social pathology produced by distorted collective convictions can be found in the
work of Haslanger, Mills, Bianchin, Jaeggi, Celikates, and Stanley (Bianchin, 2019;
Sankaran, 2019; Zaman, 2021). Ideology, that supports existing social practices
blindly, is parasitic on the system of domination (Bianchin, 2019) and therefore
should be remedied by ideology critique which is considered as a powerful tool of
distinguishing distorted beliefs from others. Specifically, ‘semantic externalism’, as
a technique of ideology critique can reframe the conventional ones to produce anti-
convention (Haslanger and Haslanger, 2012). By this research tool, the researcher
seeks to have a deeper understanding of the distorted convictions and the process
of masking social pathologies, set of social beliefs, intersubjective meanings and
shared understandings, existing social arrangements, and epistemic injustice and
domination (Sankaran, 2019; Zaman, 2021).
Eventually, ideology critique as a research method predominates the field of crit-
ical social research by providing meaningful as well as a rational remedy for existing
epistemic injustices and corresponding social pathologies (Celikates, 2017; Zaman,
2021). With the specific point of view, Haslanger (2017) argues that the systematic
structure of oppression, injustice, slavery, racist practice, and gender exploitation
need to be analysed by ideology critique. Following Horkheimer’s ideology critique
of the enlightenment project, the modern and hegemonic ideas of ‘women empow-
erment, ‘neo-liberal economy’ under the capitalist system, and political ideas of
‘democracy’ under the imperialist system are to be the substantial arena for ideology
critique.
7 Critical Theory in Social Research: A Theoretical and Methodological … 95

Critical Action Research

Freire’s (1972) praxiological approach of dialogue and Habermas’s (1991) emanci-

patory approach to the public sphere builds a platform of critical action research. This
kind of action research is informed by the emancipatory interests and is conducted to
investigate reality to transform reality and to investigate it (Borda, 1979). Thereby,
critical action research is a tool of closing the gap between abstract theoretical knowl-
edge and applied practical understanding. This research is considered to be both
reflexive and a reflection on reality (Robertson, 2000) that is characterized by a
process of participation as thinking social beings directed by emancipatory inter-
ests for the sake of producing new practicing with a lot of challenges (Tripp, 1990).
Based on Habermas’s (1972) concept of knowledge-constitutive interests, critical
action research is thus committed with an aim of liberating people from irrationality,
unjust social practices, and suffering, not like the improving and educating objective
of technical and practical action research (Kemmis, 2009).
The development of this empowering approach to critical action research can be
found at the heart of neo-Marxist critical ethnography, feminist research, and Freirean
participatory research (Lather, 1986). This form of action research resonates with
the theoretical framework of critical pedagogy that encourages critical judgement,
a sense of social responsibility, and public commitment and accountability (Giroux,
2001). Like Freire, Oakes et al. (2015) underscore critical action research on educa-
tion programmes to help challenge the oppressing social structures, and therefore,
the emancipatory and praxiological attitude of action research needs to be oriented
to invest critical research on the predominant educational system in different fields.

Critical Discourse Analysis (CDA)

Discourse analysis is a relatively recent approach applied in a variety of disciplines

to examine the systematic bodies of knowledge. Historically, discourse analysis is
informed by Foucault’s concept of power relationships expressed through language
and discourse (Luke, 1999) and also by Habermas’s theory of knowledge-constitutive
interests in which social life is constructed by language, work, and power (Kemmis,
2009). Besides linguistic analysis, CDA, as a research method, also stems from
critical social theory for understanding ideologies within a social context of power
relations (Fairclough, 1995; Wodak and Meyer, 2001).
CDA is grounded upon a triangulated theoretical framework showing the interrela-
tionship among discourse, cognitive, and society (van Dijk, 2009). More specifically,
it focuses on a complex relationship between society and text as well as power and
discourse (van Dijk, 2006). Therefore, CDA aims to perceive the ideological struc-
ture which is endorsed by those in power and set out to study how the powerful
use language to maintain their authority (Rehman & Alharthi, 2016). In a broad
range, critical discourse analysis denotes study on discursive practices, text, talk,
96 A. Mahmud and F. Zaman

social opinion within wider sociocultural and political structures (Fairclough, 1995)
to investigate how such practices being interlinked with power structure shape the
way of producing general ideology for different social groups (Locke, 2004). With
this process, according to Fairclough (1995), discourse analysis is comprised of
text analysis as descriptive, discursive practice analysis as interpretative, and social
practice analysis as explanatory.
As part of the application, Zhang (2014) used CDA in examining newspaper
reports covering text, content, and context that highlights positive ideology for the
Bush administration as a saviour and negative ideology for the Iraqi Govt. as the
enemy for mankind. CDA is also applied in analysing media advertisement of beauty
products (Iqbal et al., 2014) and the ideology construction and political propaganda
against Iran’s nuclear weapon by America (Behnam & Mahmoudy, 2013). That
evidence suggests that critical discourse analysis can be potentially applied to the
social fields associated with themes like; linguistic analysis of TV advertisement
and diverse cultural programmes telecasted by corporate TV channels, linguistic and
cultural meaning of political propaganda both nationally and internationally, and
linguistic and ideological meaning of Facebook posting in social media.

Conclusions

The critical theory largely relies on social sciences and burdens these sciences with
the task of liberating society from unfair ideologies constructed within power rela-
tions. Distorted ideology produces an identity crisis by restricting the opportunities of
clarifying genuine needs and desires for a better experience of fulfilment (Alvesson &
Willmott, 1992). Considering this enlightenment tradition and emancipatory goal,
this chapter attempts to sketch out the potentials of critical theory and its implica-
tions in the research field of social science. The chapter shows that critical theory,
by developing critical paradigm and critical realist paradigm, seeks to deal with
the complex milieu and attempts to offer essentially rational explanations of social
affairs at various levels in which human praxis is embedded. Thus, critical theory, in
its various forms, has achieved scientific rigour and philosophical insight in contem-
porary social research context by disclosing new windows of possibilities utilizing
effective methods. Exclusively, the critical theory associated with the methodolog-
ical framework is found highly relevant to the critical endowment of ideological,
transformative, and emancipatory potentials.
Being enriched with meta-dynamic approaches of critical theory, ‘ideology
critique’, ‘critical action research’, and ‘critical discourse analysis, as prime research
methods, employ a variety of techniques and tools for social research covering
multiple disciplines of social science fields that are needed to be reexamined for
redefining the existing policies perpetuating the multifaceted power relations and
thereby transforming those to reclaim a liberal and emancipated society. By doing
so, critical researchers incredibly contribute to reuniting the theorizing power of
critical theory and the methodological power of critical paradigm that lays out the
7 Critical Theory in Social Research: A Theoretical and Methodological … 97

interconnections between ideology and research to achieve emancipatory agenda

making a great appeal to become more critical in scientific social inquiry.

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Chapter 8
Narrative Inquiry, Phenomenology,
and Grounded Theory in Qualitative
Research

Rabiul Islam and Md. Sayeed Akhter

Abstract Narrative inquiry, phenomenology, and grounded theory are the basic
types of qualitative research. This chapter discusses the three major types of qual-
itative research—narrative inquiry, phenomenology, and grounded theory. Firstly,
this chapter briefly discusses the issue of qualitative research and types. Secondly, it
offers a conceptual understanding of narrative inquiry, phenomenology, and grounded
theory including their basic characteristics. Finally, the chapter provides an outline
of how these three types of qualitative research are applied in the field.

Keywords Narrative inquiry · Phenomenology · Grounded theory · Qualitative

research

Introduction

Qualitative research is an advanced process of systematic investigation with its

assumptions, philosophical foundations, and interpretive frameworks (Creswell,
2012; Merriam & Tisdell, 2016). It became popular in the fields of social and
behavioural sciences, especially when sociologists, psychologists, and anthropolo-
gists were asking questions about people’s lives, their behaviours, and sociocultural
contexts in which they lived (Merriam & Tisdell, 2016). Instead of measuring social
phenomena by numbers, qualitative research is concerned with gaining an in-depth
understanding of a social phenomenon, people’s life, and their behaviour. The key
concern of qualitative inquiry is to understand the phenomenon of interest through
the eyes of the people being studied. The subject matter of social science is different
from natural science. People are capable to understand their experience and the
environment where they live (Merriam & Tisdell, 2016; Patton, 2014). Qualitative

R. Islam (B)
Department of Social Work, University of Rajshahi, Bangladesh and Macquarie School of Social
Sciences, Macquarie University, Sydney, Australia
e-mail: [email protected]
Md. Sayeed Akhter
Department of Social Work, University of Rajshahi, Rajshahi, Bangladesh

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 101
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_8
102 R. Islam and Md. Sayeed Akhter

research is a very helpful process of exploring complex research areas of human

behaviour and their environment, where very little is known through quantitative
research (Patton, 2014).
Different fields and disciplines pose diverse research questions to investi-
gate people, their behaviour, and their social environment; consequently, different
approaches to qualitative research have evolved. Merriam and Tisdell (2016) noted
that there are six different types of qualitative research, such as (a) basic qualita-
tive research, (b) phenomenology, (c) ethnography, (d) grounded theory, (e) narra-
tive inquiry, and (f) case studies. Creswell (2007) mentioned five types of qualita-
tive research, such as (a) narrative study, (b) phenomenology, (c) grounded theory,
(d) ethnographic study, and (e) case study. Among these types, the current chapter
focuses on the three types, e.g., narrative inquiry, phenomenology, and grounded
theory.

Narrative Inquiry

Narrative inquiry is a methodology based on storytelling. It collects, analyses,

presents the story of individual’s lives, and narrates their lived experiences. The word
‘narrative’ comes from the verb “to narrate” or “to tell in detail”. A narrative inquiry
typically aims at investigating a single person through gathering their personal stories,
documenting personal experiences, and addressing the meaning of those experiences
(Creswell, 2012). The narrative study is also a method of understanding and inves-
tigating an individual’s experiences through “collaboration between researcher and
participants, over time, in a place or series of places, and social interaction with
milieus” (Clandinin & Connelly, 2000, p. 20).
Encyclopaedia of Research Design (2010) defines narrative research as a story
of a sequence of events. In narrative research, events are described as the needs of
a narrator to convey the key message that a narrator wants to convey. The narrative
is a way of exploring people’s actions and organizing their personal experiences
into a meaningful whole (Josselson, 2010). Based on the above discussion, narrative
research can be defined as an approach that relies on the written or spoken words
or visual statement of an individual’s experiences, their lives, and own stories. In a
narrative inquiry, when an individual tells stories to a researcher, they feel honoured,
and their shared stories take researchers nearer to the actual practice of qualitative
research (Creswell, 2012). Researchers begin narrative inquiry when participants are
inclined to share their stories and researchers want to investigate and present their
stories. Storytelling is one of the common parts of people’s lives, which they have
achieved from their experiences that they want to share with others. In this way,
narrative study grasps a standard form of data that is familiar to the participants
(Creswell, 2012).
8 Narrative Inquiry, Phenomenology, and Grounded Theory … 103

Components of Narrative Inquiry

Time, place, plot, and scene, as well as rewriting the stories in chronological sequence,
are considered as the components of narrative inquiry. Key elements can also be
the setting, character, action, problem, and resolution, which provide background
information to the researcher on a story. Josselson (2010) mentioned that narrative
research has three components, such as a starting (a story should have a clear begin-
ning, where an individual provides background information of a story), a middle
(where an individual provides a detailed description/information of a story), and an
end (where an individual provides a concluding statement of a story). The narrative
inquiry follows this sequence of a story through orienting, describing, and concluding
so that a reader and a listener can easily understand the whole story (Josselson, 2010).

Characteristics of Narrative Inquiry

Narrative inquiry has several common characteristics. According to Creswell (2012),

the key characteristics of narrative research are as follows.

Focusing Individual Experiences

Narrative researchers are interested to focus on individuals’ experiences. These expe-

riences include personal, social, and interaction of individuals with others. The narra-
tive researchers consider ‘individual experience’ as a ‘looking lens’ to understand a
person. This experience is a continuous process, as one experience leads to another
experience.

Organizing the Experiences

The researchers use a chronological sequence or chronology of events to organize

the participants’ life histories and experiences, for example, an individual’s past and
present experiences and future understanding of a particular event.

Using Various Sources to Collect Individual Stories

The researchers encourage people to share their stories to have a better under-
standing of the chronological perspective of their experiences. Narrative researchers
104 R. Islam and Md. Sayeed Akhter

collect individuals’ stories through various sources, such as interviews, discussions,

autobiographies, field notes, family stories, photographs.

Restoring

Through restoring process, narrative researchers gather stories and analyse them
based on time, place, plot, and scene. When an individual tells a story, the sequence
of experience is often absent or not rationally organized. The investigator presents
a chronological sequence and links up ideas during rewriting the story. There are
three stages to restore, such as: transcribing the conversation, coding the raw data,
and restoring the raw data based on codes.

Coding

In a narrative inquiry, researchers analyse data to identify the code of data collected
in the form of stories. The researchers also find the similarities among the initially
coded data and organize it into themes. In this regard, the researchers identify a few
themes (five to seven) and integrate these themes into the story of the individual.
Narrative researchers typically present these themes during retelling the story. For
example, to know the life history of a drug-addicted individual, the themes may be
‘types of used drugs’, ‘duration of taking drugs’, ‘causes of addiction’, ‘health impact
of addiction’, etc.

Describing the Context

The narrative researchers describe the setting or context of individual experiences.

The setting may be the friends, family, workplace, home, community organizations,
and educational institutes, where an individual’s story occurs.

Collaborating with Participants

The narrative investigations collaborate with the study participants. Collaboration

refers to creating a relationship between the researchers and the participants for
reducing the gap between the individual’s story and the researcher’s report.
8 Narrative Inquiry, Phenomenology, and Grounded Theory … 105

Box 8.1
Key characteristics of narrative research.
● Individual’s experiences on personal and social interaction.
● Chronology of experiences of an individual—past and present.
● Life stories of an individual—collected through conversations, interviews,
field notes, etc.
● Restorying—rewriting the individuals’ story in a chronological sequence.
● Coding the field notes to form themes or categories.
● Context or setting—describing the setting of individual experiences.
● Collaboration between the researchers and individuals to reduce gap
between story and restory.

How Narrative Inquiry is Used in Qualitative Research

Narrative research explores the personal experiences of individuals to understand

their lives and livelihoods. Using narrative inquiry in qualitative research, the
researchers follow several steps. According to Creswell (2012), there are seven steps
usually used during a narrative study.

Identifying a Problem

For narrative inquiry, the researcher needs to identify an issue for a study, which
allows the researcher to understand the individual or social experiences of a person.
For example, a research issue may be the vulnerability of a cyclone-affected
individual, where ‘cyclone vulnerability’ is a research problem.

Selecting Participants

The narrative researchers must select one or more participants on the research
problem. Generally, narrative inquiry studies only one individual; however,
several individuals may be studied as well. For example, selecting an individual
who can provide an understanding of the issue (e.g., cyclone vulnerability). There-
fore, it is crucial to identify an individual based on their experiences on a specific
research problem.
106 R. Islam and Md. Sayeed Akhter

Collecting Story

The narrative researchers collect information from the participants on a research

problem. At this stage, the participants verbally share their stories through conver-
sations or interviews. Field notes also provide important data about the participants.
A story can also be collected from field journals or diary notes, photographs, and
friends or family members of individuals. For example, a researcher can collect infor-
mation on cyclone vulnerability from a cyclone victim, from their family members
and friends, photographs of damaged shelter, roads, and water sources to understand
the physical vulnerability of the affected areas.

Retelling Story

After examining the raw data, identifying, and sequencing the prime elements, the
researchers retell the story of participants’ experiences. Restoring assists the reader
to understand the story coherently.

Collaborating with the Participants

The narrative researchers collaborate with the participants so that they can accurately
describe their experiences. In this regard, the researcher helps the storyteller by asking
questions on the story based on study themes (e.g., cyclone vulnerability).

Writing a Story

The narrative researchers write a story of an individual’s experiences through high-

lighting specific themes of interviews. They also include sections in the story for a
better understanding of the readers. For example, a section may include the physical,
health, and income vulnerabilities of a cyclone-affected individual.

Validating Report Accuracy

The narrative researchers also need to confirm the trustworthiness of the report,
because a credible study report is indispensable to preserve the story. Consulting
with participants and searching for disconfirming evidence, the researchers ensure
the credibility of the story.
8 Narrative Inquiry, Phenomenology, and Grounded Theory … 107

Phenomenology

Long ago, in 1781, Immanuel Kant, a German philosopher, coined the term
phenomenology in his classic work “Critique of Pure Reason”, where the author
claims that the general principles of nature that structure all of our experiences
are derived from human understanding (Groenewald, 2004). However, the term
‘phenomenology’ got popular in qualitative research by Edmund Husserl (considered
as the father of phenomenology) in the first half of the twentieth century (Padilla-
Díaz, 2015). The word ‘phenomenology’ derives from Greek, which means “appari-
tion or manifestation”. It is characterized as the philosophy which explains being and
consciousness based on the analysis of observable phenomena (Padilla-Díaz, 2015).
Creswell (2007) argued that phenomenology emphasizes the commonality of the
lived experience of a group of individuals. Phenomenological research explores the
meaning of a concept or a phenomenon from the perspective of several individ-
uals. The researchers build up the general meaning of an event or experience and
provide a more thoughtful understanding of the phenomenon through a phenomeno-
logical approach. While narrative research reports the life of a single individual,
phenomenological research describes the lived experience of several individuals on
a phenomenon (Creswell, 2007).
The central aim of phenomenological research is to reach a description of the
nature of the phenomenon. In phenomenological research, interviews are conducted
with a group of people who have direct knowledge of an event, condition, or experi-
ence. The interviews attempt to find out the answer to two broad questions, such as:
‘what’ they experienced and ‘how’ they experienced it (i.e., what contexts have influ-
enced their experiences of the phenomenon). Along with interviews, other forms of
data collection tools, such as document study, observations, and art (painting, sculp-
ture) have also been used in phenomenological research. The researchers read and
reread the collected data and group them as the study themes while conducting
phenomenological research (Creswell, 2007).

Characteristics of Phenomenological Research

Based on the above conceptual discussion, the key characteristics of phenomenolog-

ical research are mentioned as follows.
(a) Individuals’ lived experiences are the prime concern of phenomenological
research.
(b) The phenomenological researchers construct a universal meaning of an experi-
ence and reach a thoughtful understanding of the phenomenon.
(c) In this research, interviews are conducted with a group of people who have
direct knowledge of an event.
(d) It tends to collect data of unobservable circumstances (e.g., individual thoughts
and experiences) from the participants.
108 R. Islam and Md. Sayeed Akhter

(e) It can be applied to single cases, which may be unanticipated or purposively

sampled.

Box 8.2
Key characteristics of phenomenological research.
● Lived experiences of individuals.
● A thoughtful understanding of the phenomenon.
● Individuals’ first-hand knowledge of an event.
● Collect data of unobservable circumstances.
● Sample may be unanticipated or purposive.

Types of Phenomenological Research

There are different viewpoints in phenomenology, which are aligned into two
main groups, such as descriptive and interpretative phenomenology. However,
in comparison to descriptive phenomenology, interpretative phenomenology is
the most commonly used approach in qualitative research. These two types of
phenomenological research are discussed below.

Interpretative/Hermeneutic Phenomenology

Interpretative phenomenology is also familiar with hermeneutic phenomenology.

Due to its impermanence, hermeneutic phenomenology is a little more complicated
than descriptive phenomenology. ‘Time’ is an important factor in an interpreta-
tive phenomenology, while ‘time’ is not a factor in descriptive phenomenology.
Hermeneutics is a process of bringing out the hidden human behaviour and expe-
riences and finding out the meaning in their life practices (Creswell, 2007). The
spirits of conscious human experiences are the focus of descriptive phenomenolog-
ical research, whereas hermeneutic phenomenological research is based on overall
human experiences instead of what they experience and understand consciously. In
hermeneutic phenomenology, the researchers interpret the meanings that were found
to the phenomena. It uses individuals lived experiences to gain an in-depth under-
standing of the sociocultural, political, and historical settings in which it occurs. The
hermeneutic investigation mostly emphasizes the meaning and understanding of how
historically and socially conditioned individuals view reality in a specific setting. For
instance, a phenomenological inquire of cyclone victims lived experiences in selected
villages of coastal Bangladesh.
8 Narrative Inquiry, Phenomenology, and Grounded Theory … 109

Descriptive Phenomenology

Descriptive phenomenology was developed by Husserl in 1970. It is the knowledge of

humans’ experiences. In descriptive phenomenology, the researchers overpass their
insight during research so that they can grasp the essence of the individuals’ expe-
riences while not being biased (Husserl, 1970). This approach holds the view that
the insight of researchers can be associated with notions and judgments to a certain
level. This suggests that descriptive phenomenologists believe that by reducing inter-
pretation, they may emphasize phenomenological clarity (Lester, 1999), though it is
based on individuals’ experiences and perceptions of certain phenomena. Descrip-
tive phenomenology is a combination between the “noema” (what experience) and
the “noesis” (how it is experienced) (Husserl, 1970; Sloan & Bowe, 2014). Rassi and
Shahabi (2015) understand the “noema” as an ‘act’ and “noesis” as the ‘content of an
act’. For example, the experience of ‘physical vulnerability of cyclone-affected indi-
viduals is their ‘noema’, and they perceived the vulnerability through ‘long struggling
life’ with cyclone disaster as their ‘noesis’.

How Phenomenology is Used in Qualitative Research

Phenomenological research aims to explore how participants understand certain

phenomena since different individuals hold different points of view. The phenomeno-
logical study depends on people’s experiences; it advocates collecting rich informa-
tion through qualitative methods (Lester, 1999). The phenomenological researchers
employ several procedures during the study.
Creswell (2007) proposed some procedures of phenomenological research, such
as (a) the researchers should understand the philosophical perspectives behind the
approach as well as have a clear idea about study concept; (b) the researchers asked
individuals to describe their everyday lived experience on a phenomenon; (c) the
researcher collects data from individuals through long interviews; (d) data anal-
ysis follows a protocol, e.g., information divided into statements, information trans-
formed into clusters, and finally, making a general description of the experience; and
finally (e) the researchers produce a report ending with the invariant structure of the
experience for better understanding of readers.
Lester (1999) suggested some steps of conducting phenomenological research,
such as the study should have a specific aim and a detailed method to achieve the
aim. It follows data collection (through the semi-structured interview), data organi-
zation into themes, data analysis, reporting, making a summary according to themes,
discussion, and implication of findings.
Groenewald (2004) also advised the following procedure to conduct a phenomeno-
logical study, such as: selecting a topic, study problem and paradigm, locating
the research participants/informants, identifying data-gathering methods, selecting
110 R. Islam and Md. Sayeed Akhter

data-storing methods (through audio-record), analysing data, validating data, and

summarizing findings.
Aspers (2009) mentioned the seven steps of empirical phenomenology, such as:
(i) define research question, (ii) conduct a pilot study, (iii) choose a theory, (iv)
first-order construction (interpretation of participants’ common sense in their own
words), (v) second-order construction (interpretation of participants’ common sense
in researchers’ words), (vi) check for unintended consequences, and (vii) relate the
findings to the scientific literature and the empirical study.
Based on the literature, the common steps of applying phenomenological research
are: identifying a research problem, determining study aims/questions, choosing
data collection tools, collecting data, coding data, analysing data, validating the
study findings, preparing a report, and finally summarizing findings and showing the
implication of findings.
The application of a phenomenological study can be explained through an
example, a study on lived experiences of cyclone vulnerability of coastal villages in
Bangladesh. In this research, the researchers should have a personal understanding of
cyclone vulnerability. A phenomenological researcher must set participants’ themes
to collect data on cyclone vulnerability from the affected individuals. Participants’
themes include the nature of the vulnerability, daily living needs of coastal people,
managing vulnerability, acceptable survival techniques/coping strategies, institu-
tional help, and service needed to reduce the vulnerability, etc. A phenomenolog-
ical methodology is the most suitable approach for this research because it enables
the researcher to “understand the meaning of cyclone vulnerability” that partici-
pants described based on their experiences, feelings, beliefs, and assumptive future.
Therefore, the researcher must engage in face-to-face interactions with those who
are affected by the cyclone to gain a better understanding of the perspectives.

Grounded Theory

Grounded theory is a well-known methodology of qualitative research. In a general

sense, grounded theory research is a systematic and scientific qualitative design that
generate theories from data. Its prime concern is to construct theory from systemat-
ically collected and analysed data (Chun Tie et al., 2019). When an existing theory
does not address any social process concerned with people or researchers need an
extensive theory to explain a process, then the grounded theorists employ a grounded
theory study design (Creswell, 2012).
The ground theory derives from a theory that is grounded in the data. These data
are systematically gathered from the field and analysed through a systematic process.
In this methodology, data collection, data analysis, and ultimate theory building are
closely related to one another (Corbin & Strauss, 2014). Charmaz (2006) defines
grounded theory as “a method of conducting qualitative research that focuses on
creating conceptual frameworks or theories through building inductive analysis from
the data”. Birks and Mills (2015) defined that grounded theory as a study procedure
8 Narrative Inquiry, Phenomenology, and Grounded Theory … 111

by which theory is constructed through analysing field data. They opined that theories
are not discovered, rather constructed by the researchers through their observation
of the real world (Cf., Chun Tie et al., 2019).
An important definition of grounded theory is given by Creswell (2012); the author
defined grounded theory as a process of a qualitative study that is applied to generate a
theory. In the broader sense, grounded theory is characterized as a process, an action,
or an interaction about a substantive topic. Hence, in grounded theory research, the
theory is a “process”, which explains an event, activities, action, and interaction
that occurs over time. Therefore, grounded theorists research by following a set of
steps that includes gathering data, identifying categories, connecting them to find
core categories, and formulating a theory that explains the process (Creswell, 2012).
Based on the above discussion, a grounded theory can be defined as a methodology
of developing a ‘theory’ that is grounded in data.

Characteristics of Grounded Theory

The ability to generate a theory that is grounded in the data is one of the funda-
mental characteristics of grounded theory research. Creswell (2012) mentioned six
characteristics of grounded theory.

Process Approach

A process approach is a series of actions and interactions between people and events
that are related to a subject. For example, AIDS prevention, achievement assessment
of AIDS campaign, or awareness among the students on AIDS. In all these topics,
researchers can separate and categorize actions and interactions among students.
Researchers set the categories based on the study themes and basic information and
follow a process to use this information.

Theoretical Sampling

Theoretical sampling means the researchers choose the data collection tools from
the available alternatives (e.g., interviews, observations, focus groups, field journals,
etc.) which will be useful to generate a theory. This indicates that the sampling
in grounded theory should be focused on theory generation. For example, when a
grounded theorist intends to know ‘children’s choice of a school’, children and their
parents are worth participants for in-depth interviews as they are highly engaged with
selecting a school and can provide data as an actual informer. The grounded theorist
should start to interview students and their parents, who choose schools.
112 R. Islam and Md. Sayeed Akhter

Constant Comparative Data Analysis

The researchers, in grounded theory, are engaged with collecting data, coding the data
into sub-categories and categories, gathering additional data, and with the constant
comparison between the new evidence and categories already emerged during the data
analysis. Such a procedure of gradually developing the categories of information is
called the constant comparative process. Constant comparison is an inductive process
of data analysis, which generates and connects categories by comparing incidents
within the data to other incidents, then incidents to categories and categories to other
categories. The overarching goal here is to “ground” the categories in the data.

A Core Category

The grounded theorist selects a core category from the major categories. After iden-
tifying numerous categories, the researcher “selects” a core category for gener-
ating theory. This selection is based on certain important factors, e.g., its associ-
ation with other categories, its frequency of occurrence, its consistency, its quick
and easy saturation (i.e., researchers easily reach a point in their analysis), and its
clear implications for the development of theory. For example, “developing univer-
sity curriculum” includes several issues, e.g., context (degree of faculty, duration
of study programme, student participation, socioeconomic and political conditions),
discipline (social science, science, or business), the content of the curriculum, market
demand of graduates, concerned authority to design and approve curriculum (e.g.,
relevant discipline, academic committee, faculty, university academic council), etc.
The whole process of developing a curriculum follows several systematic “stages”.
In this context, the ‘core category’ of developing a university curriculum is “stages”.

Theory Generation

Theory generation is a key characteristic of grounded theory. The entire process

of grounded theory leads to generating a “theory” based on collected data. This
“theory” is an explanation of a process about a social phenomenon that is grounded
in the data. For example, if the data of a “disaster resilience study” reveals that the
households having strong financial conditions are more resilient than the households
having weak financial conditions. The data indicate that ‘disaster resilience’ depends
on economic conditions of households, i.e., the ‘rich’ and ‘poor’ factor works to be
or not to be resilient, which may be linked to the Marxist theory of ‘class difference’
(i.e., ‘rich’ vs ‘poor’). At the same time, based on the resilient ‘capacity’ of poor
and rich households, this data may be linked with the ‘capability approach’ of Sen
(1999) and Nussbaum (2000).
8 Narrative Inquiry, Phenomenology, and Grounded Theory … 113

Memos

The grounded theorists create memos during fieldwork and analysing data. Memos
are notes that the researcher keeps during the study process to expand their ideas
about the data. In memos, the researchers explore their guesses, ideas, and thoughts
and then take them apart. Memos directly help researchers towards new sources of
data, increase the effectiveness of data, and develop further research ideas.

Box 8.3
Key characteristics of grounded theory
● Grounded theory follows a process approach, where a sequence of actions
and interactions among people and events is taken.
● It follows a theoretical sampling, where the researchers choose appropriate
data collection tools from the available alternatives.
● It selects a core category for theory generation.
● It maintains a constant comparative data analysis process through
collecting and sorting data.
● Grounded theory leads to generate a theory.
● The grounded theory researchers create memos about the data.

How Grounded Theory is Used in Qualitative Research

In grounded theory research, the theory is derived from data. These data are gath-
ered from the field and analysed through a systematic research process. Grounded
theory is used when existing theories do not address the researcher’s problem that
they intend to study. According to Creswell (2012), the researchers are engaged with
several procedures to conduct a grounded theory research—such as: (a) deciding
suitability—a researcher decides whether a grounded theory is best suited to address
the selected research problem or not; (b) identifying process—based on the research
problem and questions, a researcher identifies a tentative process to use grounded
theory; (c) seeking approval and access—the researchers obtain an approval from
the relevant institutions (e.g., ethical approval from university, industry, etc.); (d)
conducting theoretical sampling—a researcher selects the data collection tools from
the available alternatives (e.g., interviews, observations, focus groups, field journals,
etc.); (e) coding the data—a researcher codes the raw data to run thematical anal-
ysis; (f) developing theory—a researcher develops a theory based on collected data;
(g) validating theory—the researchers validates the developed theory with existing
practices found in literature; and (h) writing a research report—at final stage, the
researchers write a report based on the structure of grounded theory study (Creswell,
114 R. Islam and Md. Sayeed Akhter

2012). Therefore, grounded theory is a well-known method of qualitative investiga-

tion, which aims to generate theory from data. Hence, to fulfil this aim, a grounded
theory researcher should follow the systematic steps to conduct the study.

Conclusions

Qualitative research is an advanced field of study. The key aim of this chapter
was to discuss the three major types of qualitative research—narrative inquiry,
phenomenology, and grounded theory. This chapter firstly provided a brief discus-
sion on qualitative research, its philosophical foundations, and types. Secondly,
it provided a conceptual understanding of narrative inquiry, phenomenology, and
grounded theory including their basic characteristics. Finally, this chapter discussed
an analysis of how these three types of qualitative research are applied in the field.

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Chapter 9
Pragmatism

Md. Rafiqul Islam

Abstract Social scientists have been able to abandon the dilemma of choosing
methodology from a selection of either qualitative or quantitative, with the devel-
opment of pragmatism in social research. Pragmatism as a worldview has helped
researchers to combine both the qualitative and quantitative methodologies for
conducting social research. Therefore, pragmatism is a nascent topic of scholarly
attention in social science research. This chapter is, thus, an attempt to highlight the
definition, development, and major characteristics of pragmatism. This chapter will
also explain how pragmatism supports a mixed-method approach in social science
research.

Keywords Worldview · Social science · Positivism · Constructivism ·

Quantitative · Qualitative and mixed-methods · Pragmatism · Paradigm

Introduction

In research methods, four worldviews have been developed at different times to

investigate and explore the truth from a social setting, which is now a part of
the fundamental theoretical foundations for conducting research. These are—posi-
tivism, post-positivism, constructivism, and pragmatism. Although pragmatism is
the latest annexation in the social science research worldview, it is an old philo-
sophical idea developed in the nineteenth century. Currently, pragmatism is studied
in social science research to examine social problems through multiple angles and
using various social science theories. It is also studied in social research for avoiding
confusion in methodology selection and combine both qualitative and quantitative
approaches for addressing complex research questions. This is of note that social
research since its development has been dominated either by positivism or construc-
tivism for conducting research (Burrell & Morgan, 1979). The positivism paradigm
deals with quantitative methodology; on the contrary, the constructivism approach

Md. R. Islam (B)

Department of Peace and Conflict, University of Dhaka, Dhaka 1000, Bangladesh
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 117
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_9
118 Md. R. Islam

deals with the qualitative methodology. This methodological division has given rise
to long debates and discussions of what specific methodology is appropriate for
conducting research. Therefore, Tashakkori and Teddlie (1998) have argued that
debates and discussions on methodological paradigms are unproductive and waste
time among the researchers (Tashakkori & Teddlie, 1998). Due to the complexity
of methodology selection and attaining validity of research, some researchers have
suggested a ‘pragmatic paradigm’ that proposed a mixed-method to bridge the gap
between two methodological schools and reduce debate among the researchers. At
present, the pragmatic paradigm is the most popular theoretical understanding that
proposes mixed-methods as a vibrant methodology to conduct studies on complex
social problems. In this chapter, I will first define what pragmatism is. Secondly,
this chapter will highlight the development of pragmatism in social science research
with major characteristics. Finally, this chapter will mention how pragmatism as
worldview support mixed-method research.

Definition of Pragmatism

In the academic arena, Philosopher Charles Sanders Peirce introduced the concept
of pragmatism in 1878 in his article ‘How to make our ideas clear’ (Beart, 2004).
After Pierce, some philosophers, such as William James, John Dewey, Chauncey
Wright, and George Herbert Mead advanced pragmatic philosophy to address the
social and political problems in the USA. At the beginning of the twentieth century,
pragmatism has emerged as one the most influential philosophical ideas in America.
Scholars and researchers in different disciplines, e.g., law, education, politics, philos-
ophy, social theory, art, and science applied the pragmatism approach as important
tools for exploring knowledge and analysing situations (West, 1989). In a general
sense, pragmatism is a philosophical development that emphasizes the experiences
of life and believes that there is no abstract idea of life; rather, every problem in
life is practical. Therefore, the problem in everyday life should be explored from
experimental and practical perspectives to understand the problem comprehensively.
Pragmatism as a philosophical idea is understood in different perspectives, as Alber-
stein (2002) argued, “Pragmatism as a theory of human behaviour represent human
as a problem-solving organism; as a theory of knowledge holds suspect claims for
truth, and as a moral prescription promotes an optimistic vision of people as creators
of their reality” (Alberstein, 2002). The Oxford International Dictionary defines
pragmatism as pragmatic, ‘dealing with things sensibly and realistically in a way
that is based on the practical rather than the theoretical’. The Oxford International
Dictionary also means pragmatism as “an approach that evaluates theories or beliefs
in terms of the success of their practical application”. Merriam-Webster Learner’s
Dictionary defines pragmatism as “a reasonable and logical way of doing things or of
thinking about problems that are based on dealing with specific situations instead of
on ideas and theories”. On the other hand, the Cambridge English Dictionary defines
pragmatism as an issue “based on practical judgements rather than principles”.
9 Pragmatism 119

In social science, researchers have applied pragmatism as an alternative, modified,

and practical research paradigm, which is generally considered as the philosophical
foreshadowing of mixed-methods research. Based on its origin and development,
pragmatism is most notably considered as the ‘American Pragmatism’. Beyond its
philosophical attachment, social and behavioural science researchers have endeav-
oured to define pragmatism to fit into the social sciences for addressing social prob-
lems. In a simple sense, pragmatism is defined as a worldview that sees the real
social problem and seeks to apply multi-methods to answer research questions and
address the problems from different angles. Pragmatism helps to study social prob-
lems practically and presuppose a composite set of measurements to solve those
problems. Pragmatism believes that science should serve humanity and reveal the
human problem practically.
Teddile and Tashakkori (2003) have defined pragmatism as:
A deconstructive paradigm that debunks concepts such as ‘truth’ and ‘reality and focuses
instead on ‘what works’ as the truth regarding the research questions under investigation.
Pragmatism is a paradigm that rejects either/or choices associated with the paradigm wars,
advocates for the use of mixed research methods, and acknowledges that the values of the
researcher play a large role in the interpretation of the result (Tashakkori & Teddlie, 2003,
p. 713).

Creswell (2009) defines pragmatism as:

Pragmatism as a worldview arises out of actions, situations, and consequences rather than
antecedent conditions. It does not solely focus on the method, but the emphasis on the
problem and use all approaches available to understand the research problem (Creswell,
2009, p. 10).

Hammersly (1989) argues that,

Pragmatism is firmly in the empirical and experimental research philosophy which does
not support the metaphysical presumptions of rationalism, but firmly focus on how humans
adapt to their environment by incorporating new experiences during their practice, itself a
starting point and terminus for knowledge (Hammersley, 1989, pp. 45–46).

The definitions provided above are based on the social research methodology.
These definitions do not provide a holistic idea of pragmatism as a philosophy.
Rather, these definitions have highlighted the issue of how pragmatism has been
defined in mixed-method research. Moreover, pragmatism is a comprehensive term
that is used in different disciplines in different ways. Therefore, the above definitions
have ignored the comprehensive meaning of pragmatism. In sum, pragmatism is a
blending of methodological understandings that believes in the present situation and
environment for exploring the problems and links both theory and practice to achieve
more acceptable results in social research. Pragmatism provides freedom and choices
to the researchers to look into social problems in convenient ways. Researchers are
not encircled either by the positivist or by the constructivist approach; in contrast,
researchers are guided by the philosophy that research problems should be resolved
empirically and practically according to the nature of those research problems.
120 Md. R. Islam

Pragmatism in Social Research: Development

Pragmatism has been developed into two stages—the early stage from 1860–1930
and the “neo-pragmatic period” from 1960—present (Mertens, 2014). In the neo-
pragmatic period, pragmatism has had a significant contribution in developing social
science research. More precisely, pragmatism emerged as a methodological natu-
ralism in social science to see the social problems from different angles and accurate
mapping of social reality. This specific nature of pragmatism has established it as
a dominating worldview or paradigm in social science research. Regarding world-
view, Kuhn (1962) says, a worldview or paradigm is regarded as an ‘accepted model
or pattern’, or otherwise regarded as an organizing structure, or a “deeper philo-
sophical position relating to the nature of social phenomena and social structures”
(Kuhn, 1962, p. 23). Now, pragmatism is a widely used paradigm in the field of
social and behavioural sciences for exploring and investigating any issues in the best
possible way. There is no single methodology that can unveil all successful scientific
activities. In this regard, the pragmatic paradigm believes in the assumptions about
knowledge and enquiry that supports the ‘Mixed Methods’ approach. This paradigm
combines quantitative and qualitative approaches in light of positivism and construc-
tivism. Therefore, it is necessary to understand ‘positivism’ and ‘constructivism’ for
explaining ‘pragmatism’.

Positivism

Positivism in social research believes in scientific knowledge and experiment for

exploring social problems. Positivist social researchers study social problems through
scientific methodology, which is generally called experimental research. In posi-
tivism, information gained through the experiment is the ultimate and trustworthy
information. The result of the research is justified by the scientific experiment,
validity, and reliability. This is called quantitative methodology in social science
research. Collins (2010) has explained positivism “as a philosophy, positivism is
following the empiricist view that knowledge stems from human experience. It has an
atomistic, ontological view of the world as comprising discrete, observable elements
and events that interact in an observable, determined and regular manner” (Collins,
2010, p. 38). In positivism, the role of the researcher is very insignificant; on the
other hand, findings from experiments determine the research result. Bryman (2008)
says, “Positivism is an epistemological position that advocates the application of
the methods of natural sciences to the study of social reality and beyond” (Bryman,
2008, p. 13). Positivism assumes that the social world is run like a natural world;
therefore, the experiment is the appropriate methodology for exploring any social
problem.
9 Pragmatism 121

Constructivism

Constructivism, on the other hand, has been developed against the criticism of
positivist and post-positivist schools of thought, which suggest that knowledge is
gathered with the interaction of individual mind and social structure. Knowledge
is socially constructed; thus, the researcher needs to acquire comprehensive knowl-
edge about society and people to best explain any social problem. Bryman (2008)
says, “Constructivism is an ontological position that asserts that social science actors
are continually accomplishing social phenomena and their meaning. It implies that
social phenomena and categories are not only produced through social interaction
but they are in a constant state of revision” (Bryman, 2008, p. 19). Constructivism
proposes the qualitative method that emphasizes observation and understanding of
a researcher as the main tools of conducting research. Unlike positivism, construc-
tivist acknowledges the role of the researcher and the respondents for ensuring the
objectivity of the research outcome.

Pragmatism

Pragmatism as a philosophical worldview is the latest manifestation in social science

research that combines both the philosophy of positivism and constructivism. It is a
specific type of philosophy of science that uncovers both social and natural science
(Baert, 2004). Pragmatism does not follow any specific system of philosophy or
reality, rather integrates two independent strands of research, i.e., experimental and
descriptive findings. Pragmatist researchers focus on the ‘what’ and ‘how’ of the
research problem and are organized in a social setting (Creswell et al., 2003). In
the initial stage, pragmatic researchers rejected the scientific notion that “social
inquiry was able to access the ‘truth’ about the real world solely by a single scien-
tific method” (Mertens, 2014). This paradigm essentially provides the underlying
philosophical framework for mixed-methods research. Sometimes, researchers refer
to this paradigm as the transformative and reflexive paradigm, where researchers use
multiple methods to answer the research question (Mertens, 2014). Pragmatism does
not concentrate on exploring the subjective and objective issue; instead, it places the
research problem as central and applies all approaches to understanding the problem
(Creswell, 2003, p. 11). Pragmatism does not give much emphasis on single philo-
sophical loyalty (qualitative or quantitative), but it depends on the research ques-
tions and accordingly chooses the data collection and analysis methods. For better
understanding, the framework of philosophical worldview has been mentioned below
(Table 9.1):
Researchers under the pragmatism paradigm are free from the mental and prac-
tical constraints imposed by the “forced-choice dichotomy between positivism and
constructivism” (Creswell & Clarkm, 2007, p. 27). The researchers are more liberal
122 Md. R. Islam

Table 9.1 Basic beliefs associated with pragmatism

Basic belief Pragmatism
Axiology (nature of ethical behaviour) Gain knowledge in pursuit of designed ends
as influenced by the researcher’s values and
polities
Ontology (nature of reality) Asserts that there is a single reality and that
all individuals have their unique
interpretation of reality
Epistemology (nature of knowledge; the Relationship in research is determined by
relation between knower and would be known) what the researcher deems as appropriate to
that particular study
Methodology (approach to systematic inquiry) Match methods to specific questions and
purposes of research; mixed methods can be
used as the researcher works back and forth
between various approaches
Source Mertens (2014); Cresswell (2010)

and enjoy the freedom of using suitable methods for their practical research prob-
lems. Dewey (1998) has thus rightly viewed that pragmatists measure the existential
reality and for that purpose researchers undertake both objective and subjective issues
for mixing both the qualitative and quantitative methods for achieving valid and reli-
able research results (Morgan, 2007). Another key issue of pragmatic research is
the convergence nature of objective and subjective views for producing knowledge
that represents the social reality more vividly. Nowadays, pragmatic research is the
best platform for converging qualitative and quantitative methods with the growing
nature of complex social problems (Johnson & Onwuegbuzie, 2004).

Characteristics of Pragmatic Research

Based on the definition, methodological stand, and application in the social science
research, Creswell (2014) has outlined the following characteristics of pragmatism:
● Pragmatism in social research does not support any specific philosophy. It means
that pragmatism is not committed to either qualitative or quantitative methods.
However, pragmatism is based on mixing both qualitative and quantitative
methodologies.
● Researchers enjoy the freedom to adopt any methods, techniques, and procedures
to conduct the research. For example, a researcher can take both surveys as part
of a quantitative method and interviews as part of a qualitative method to answer
any research question.
● According to pragmatic research, there is no absolute truth or unity in the world.
Pragmatism believes that truth can be seen and attained through applying different
9 Pragmatism 123

ways and different methods. For example, for identifying a research question
pragmatism support multiple methods to see the truth.
● According to pragmatism, truth is achieved when it is explored. There is no truth
pre-existing within the mind. For example, if the cause of poverty is explored
through the research, pragmatism supports the existing causes and results. It will
not believe in the past cause or pre-existing causes.
● The pragmatic research explores the ‘what’ and ‘how’ questions while conducting
research. This research depends on the consequences of the problem that the
researcher intends to explore.
● Pragmatic research believes that research occurs in social, historical, political,
and other contexts. Therefore, pragmatists depend on the theoretical lens to set
up research questions and explore the answers.
● Pragmatic research emphasizes the external world of the mind and the issue that is
inbuilt within the mind. However, pragmatic researchers suggest that researchers
should not ask questions about reality and the law of nature.
● Pragmatic research suggests using multiple methods, different worldviews,
assumptions, and data collection methods. For this nature, pragmatic research
is called a flexible but complex form of research.
● Source: Creswell (2014, pp. 10–11).

Mixed-Methods Research as Pragmatic Research

The best example of pragmatic research is mixed-method research in social science.

Thus, pragmatic research is also called the mixed-method research paradigm.
Cultural anthropologists and sociologists developed mixed-method research early
in the twentieth century. However, mixed-methods are seen as emerging from the
1990s onwards, establishing themselves alongside the previous paradigms (Johnson
et al., 2007). As a definition, mixed-methods research is an alternative research
approach that conglomerates both the quantitative and qualitative research purpose-
fully to answer research questions from multiple angles. In every step, mixed-method
research applies both methods for research design, data collection, and final presenta-
tion. Johnson et al. (2007) define, “mixed methods research as the type of research in
which a researcher or team of researchers combines elements of qualitative and quan-
titative research approaches (e.g., use of qualitative and quantitative viewpoints, data
collection, analysis, inference techniques) for breadth and depth of understanding
and corroboration” (Johnson et al., 2007, p. 123). Creswell and Clark (2007) argue
that the term ‘mixed methods’ describes research that combines qualitative and quan-
titative approaches, methods, and data for the research purpose (Creswell & Clark,
2007, p. 6). Indeed, a mixed-method is an integrated research technique where
a researcher collects both quantitative (close-ended) and qualitative (open-ended)
data for answering the research questions and hypotheses. In the process of mixed-
methods, a researcher combines the result in a particular point for data presentation,
which is commonly called the inference of data. Sometimes, the qualitative result
124 Md. R. Islam

supports the quantitative one or the quantitative data supports the quantitative for
the overall presentation of results (Teddlie & Tashakkori, 2009). The processes of
mixed-methods research can be presented in the following way (Fig. 9.1):
Based on the pragmatic approach, mixed-methods researchers use different forms
of a technique for data collection, data analysis and presentation, e.g., concurrent,
sequential, explanatory, exploratory and embedded mixed-methods. However, the
simplest design of mixed-methods research can be presented as follows (Fig. 9.2):
In sum, mixed-methods research is an applied form of research, which is also
called a mixing method for attaining specific research outcomes. Formulating a
research question in mixed-methods research is a difficult task. Generally, the quan-
titative study depends on the hypothesis, and the qualitative study depends on the
direct questions.

Collecting and analysing quantitative and qualitative data in response to

open-ended and closed-ended research questions and hypotheses

Using rigorous methods for both quantitative and qualitative procedures

Integrating the two databases and interpreting the results using specific
types of mixed method design

Incorporating-at times-various theoretical perspectives and making explicit

the philosophical foundations of the research

Fig. 9.1 The process of mixed-method research. Source Adapted from Creswell, 2010, 2014;
Teddlie and Tashakkori (2009)

Qualitative data Qualitative result

collection and analysis Interpret or explain
Merge results for result (convergence or
comparison divergence)
Quantitative data Quantitative result
collection and analysis

Fig. 9.2 Simple design of mixed-method research. Source Adapted from Creswell (2014, p. 56)
9 Pragmatism 125

Table 9.2 Differences of

Positivism Constructivism Pragmatism
major paradigms
Experimental Naturalistic Consequences of
Quasi-experimental Phenomenological actions
Correlational Hermeneutic Problem-centred
Reductionism Interpretive Pluralistic
Theory verification Ethnographic Real-world
Causal-comparative Multiple participant practice-oriented
Determination meanings Mixed models
Normative Social and historical
construction
Theory generation
Symbolic interaction

Debate

There are debates and discussions in pragmatic research. Some researchers argue
that pragmatism is not a philosophical idea; alternatively, it is the combination of the
previous methodologies. The mixed-method under the pragmatic worldview is also
one kind of mixing and integrating of methods for a specific purpose. Denzin (2012)
summarizes the importance of these issues as follows:
The MMR links to the pragmatism of Dewey, James, Mead, and Pierce are problematic.
Classic pragmatism is not a methodology per se. It is a doctrine of meaning, a theory of
truth. It rests on the argument that the meaning of an event cannot be given in advance of
experience. The focus is on the consequences and meanings of an action or event in a social
situation. This concern goes beyond any given methodology or any problem-solving activity
(Denzin, 2012).

Pragmatism as a research paradigm is also weak in analysing any issue criti-

cally, as multiple methods are applied to solve a practical problem. In pragmatic
research, researchers need to employ both experimental and analytical knowledge,
which is extremely difficult for a single researcher to meet multiple branches of
knowledge. This lacking of comprehensive knowledge most likely generates weak
research results. Moreover, researchers are not able to present the research result
comprehensively as multiple sets of research results are explored in a single case. On
the other hand, the proponents of pragmatism in social research argue that pragmatic
research is the best way to resolve confusion to explain the research question from
different angles and lenses. As a summarized overview, the basic differences in major
worldviews or paradigms can be summarized as follows (Table 9.2):

Conclusions

The discussion on pragmatism reveals that it is a philosophical strand used in Amer-

ican philosophy and political science. In the present research field, it is now a popular
126 Md. R. Islam

methodological worldview in the social sciences to explore research outcomes from

different angles. This is a growing philosophical paradigm in the research methods for
avoiding methodological conflicts or methodological deficiencies in social science
(Bryman, 2008, p. 625). Currently, pragmatism is indeed a successful methodolog-
ical paradigm that has managed to brush aside the quantitative/qualitative divide and
end the paradigm war (Hanson 2008, p. 109). Pragmatists do not care which method
researchers should follow; rather, they uphold that the core principle of pragmatism
is answering what the researchers want to know. For this special feature, pragma-
tism has had a significant contribution in advancing social research all over the
world. Pragmatism is now used as a guide for not only top-down deductive research
designs but also for grounding inductive research. Pragmatism offers a wider scope
for producing an appropriate integrated methodology for the social sciences through
acknowledging the value of both quantitative and qualitative research methods.

References

Alberstein, M. (2002). Pragmatism. In D. S. Clark (Ed.) Encyclopedia of law & society: American
and global perspectives. http://dx.doi.org/10.4135/9781412952637.n539.
Baert, P. (2004). Pragmatism as a philosophy of the social sciences. European Journal of Social
Theory, 7(3), 355–369.
Bryman, A. (2008). Why do researchers integrate/combine/mesh/blend/mix/merge/fuse quantitative
and qualitative research. Advances in mixed methods research, 87–100.
Burrell, G., & Morgan, G. (1979). Sociological paradigms and organisational analysis (vol. 248).
Heinemann.
Collins, H. (2010). Creative research: The theory and practice of research for the creative industries.
Ava Publishing.
Creswell, J. W. (2009). Research design: Qualitative, quantitative, and mixed methods approach.
SAGE Publications.
Creswell, J. W. (2010). Mapping the developing landscape of mixed methods research. SAGE
handbook of mixed methods in social & behavioral research, 2, 45–68.
Creswell, J. W. (2014). A concise introduction to mixed methods research. Sage Publications.
Creswell, J. W., & Clark, V. L. P. (2007). Designing and conducting mixed methods research.
Creswell, J. W., & Creswell, J. D. (2003). Research design: Qualitative, quantitative, and mixed
methods approaches. Sage publications.
Creswell, J. W., Plano Clark, V. L., Gutmann, M. L., & Hanson, W. E. (2003). Advanced mixed
methods research designs. Handbook of mixed methods in social and behavioral research
(pp. 209–240).
Denzin, N. K. (2012). Triangulation 2.0. Journal of mixed methods research, 6(2), 80–88.
Dewey, J. (1998). The essential Dewey: Pragmatism, education, democracy (Vol. 1). Indiana
University Press.
Hammersley, M. (1989). Pragmatism. In The dilemma of qualitative method: Herbert blumer and
the Chicago tradition. London, England: Routledge, (pp. 44–65).
Hanson, B. (2008). Wither qualitative/quantitative?: Grounds for methodological convergence.
Quality & Quantity, 42(1), 97–111.
Johnson, R. B., & Onwuegbuzie, A. J. (2004). Mixed methods research: A research paradigm whose
time has come. Educational Researcher, 33(7), 14–26.
Johnson, R. B., Onwuegbuzie, A. J., & Turner, L. A. (2007). Toward a definition of mixed methods
research. Journal of Mixed Methods Research, 1(2), 112–133.
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Kuhn, T. S. (1962). The structure of scientific revolutions. University of Chicago press

Mertens, D. M. (2014). Research and evaluation in education and psychology: Integrating diver-
sity with quantitative, qualitative, and mixed methods: Integrating diversity with quantitative,
qualitative, and mixed methods. Sage Publications.
Morgan, D. L. (2007). Paradigms lost and pragmatism regained methodological implications of
combining qualitative and quantitative methods. Journal of Mixed Methods Research, 1(1), 48–76.
Tashakkori, A., & Teddlie, C. (1998). Mixed methodology: Combining qualitative and quantitative
approaches (vol. 46). Sage.
Tashakkori, A., & Teddlie, C. (2003). Handbook of mixed methods in the behavioral and social
sciences: Thousand Oaks. Sage.
Teddlie, C., & Tashakkori, A. (2003). Major issues and controversies in the use of mixed methods in
the social and behavioral sciences. Handbook of mixed methods in social and behavioral research,
1(1), 13–50.
Teddlie, C., & Tashakkori, A. (2009). Foundations of mixed methods research: Integrating quan-
titative and qualitative approaches in the social and behavioral sciences. Sage Publications
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Wisconsin Press.
 Part III
Quantitative Research Approach
Chapter 10
Designing Research Proposal
in Quantitative Approach

Md. Rezaul Karim

Abstract This chapter provides a comprehensive guideline for writing a research

proposal in quantitative approach. It starts with the definition and purpose of writing
a research proposal followed by a description of essential parts of a research proposal
and subjects included in each part, organization of a research proposal, and guidelines
for writing different parts of a research proposal including practical considerations
and aims of a proposal that facilitate the acceptance of the proposal. Finally, an
example of a quantitative research proposal has been presented. It is expected that
research students and other interested researchers will be able to write their research
proposal(s) using the guidelines presented in the chapter.

Keywords Research proposal · Quantitative research approach · Problem

statement · Literature review · Research methodology · Research design

Introduction

A written research proposal precedes all research projects. Usually, a research

proposal is written to submit and to convince an authority (academic or funding).
Hence, it requires special attention. Writing a research proposal is a science as well
as an art. As a science, all research proposals have common essential parts and, as
art, the style of presentation of different parts of a research proposal varies among
the researchers according to their experience and skill. As science is universal, it is
the art that plays a vital role in convincing the approval authority towards acceptance
of a research proposal. This chapter, besides the description of essential parts of the
quantitative research proposal, discusses the guidelines of writing the different parts
of the research proposal followed by an example of a research proposal.

Md. R. Karim (B)

Department of Social Work, Jagannath University, Dhaka 1100, Bangladesh
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 131
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_10
132 Md. R. Karim

Research Proposal

A research proposal is a blueprint or guideline for conducting and controlling a

research project (Arboleda, 1981). Completion of all the activities of research is
known as a research project and a written research proposal precedes all research
projects. The research proposal outlines detailed activities of a research project along
with the required human resources and budget for the purpose. As we know there are
two major approaches to research, i.e. qualitative and quantitative, research proposal
can be either qualitative or quantitative or a mix of the two.

Quantitative Research Approach

Quantitative research focuses on gathering numerical data and generalizing it

across groups of people or explaining a particular phenomenon (Babbie, 2010).
Creswell (1994) defined quantitative research as research that explains phenomena
by collecting and analysing numerical data using mathematically based methods
(particularly statistics). According to the University of Southern California Research,
the main characteristics of quantitative research are1 :
. Use of structured instruments or questionnaires for data collection.
. Data were collected from representative samples to generalize.
. Given the high reliability, replication of research is possible.
. Clearly defined research question so that objective answers are sought.
. The research is carefully designed before data collection.
. Data generated are numerical, and statistical techniques are used in the presenta-
tion and analysis of data.
. Results are used for generalization and wider context, predict future and often test
causal relationships.
. Use of tools, such as structured questionnaires, computer software, to collect
numerical data, analysis, and interpretation findings.

Purpose of Research Proposal

A research proposal is prepared for two main purposes: first, to guide the implemen-
tation of the research project; and second, to convince either an academic authority
or a funding agency or reviewer(s) for permission or fund. Despite the first one being
important, the second one is often given priority in proposal writing because permis-
sion is necessary to conduct research. To convince an authority, a research proposal
needs to establish that:

1 http://libguides.usc.edu/writingguide/researchproposal.
10 Designing Research Proposal in Quantitative Approach 133

. The project is worthwhile, or the research idea is important.

. The relevant literature has been reviewed sufficiently.
. The methodology is sound to realize the research objective(s) and/or test the
hypothesis.
. The proposed research is researchable.
. The researcher has the competence to conduct the research.

Essential Components of a Research Proposal

Whether the proposal is written for submission to an academic institution or a funding

agency, generally, a research proposal answers the following questions with the
necessary information:
(1) What has planned to do (problem statement)?
(2) Why is the research planned to do (objective and rationale)?
(3) How is the research going to be conducted (methodology)?
(4) When is the research going to be conducted (timetable)?
(5) Who is going to take part in the research (personnel)?
(6) How much cost will incur to implement the research project (budget)?
The following matrix presents detailed information need to be provided/discussed
to answer the above questions organized under five major topics. It is worth
mentioning that all research projects may not need all information discussed below
(Table 10.1).

Organization/Parts of a Research Proposal

The organization of a research proposal varies by agency/institution as most funding

agencies and academic institutions provide format and guidelines for proposal. So,
the first and foremost duty of a researcher/student is to know whether there are any
prescribed format and/or guidelines. If any, the researcher needs to arrange/place the
above information according to the given format. Generally, the above information
is organized in a research proposal as follows:
(1) Title or cover page: Title, principal investigator(s), name of the
agency/institution to which the proposal is being submitted, date of submission,
etc.
(2) Abstract: To provide a quick conception of the proposal to the reviewer in one
paragraph.
(3) Acronyms: Elaboration of all abbreviations used in the proposal.
(4) Table of contents: Major parts, chapters, headings, subheadings, etc. with the
page number(s).
(5) Introduction/background: The context/background of the research proposal.
134 Md. R. Karim

(6) Statement of the problem and rationale: Outline various aspects of the problem
(background, present state, causes, consequences, knowledge gaps, etc.) and
for what purpose and why is it important to study.
(7) Methodology: How the research objectives will be realized and/or research
hypothesis will be tested and/or research questions will be answered.
(8) Presentation of findings: How the research findings will be disseminated.
(9) Timetable: Specification of the detailed timeline of different research activities.
(10) Personnel: Details of all personnel/human resources to be involved in the study.
(11) Budget: Detail of the costs to be required to complete all research activities.
(12) Ethical Statement: How the research subjects (human beings) will be handled
ethically.
(13) Limitations: Weaknesses of the research and plan for minimizing conse-
quences.

Table 10.1 Essential parts of a research proposal and required information in each part
Sl Major topic Questions to answer Detail information to be
provided/discussed
1 Statement of the 1. What has planned to do in the research? Title, Background,
problem and 2. Why is the research planned to do? Literature review,
rationale of the Research questions,
study Objectives, Hypothesis,
Definition of concepts,
Measurement,
Theoretical framework,
Conceptual framework,
Rationale, Significance,
Limitations, Scope,
ethical consideration
2 Methodology 3. How the research will be conducted? Design, Identification of
data required,
Identification of sources
of data, Study area, Unit
of analysis, Population,
Sampling, Methods of
data collection,
Instrument of data
collection, Interviewer,
Fieldwork/data
collection, Data
processing, Data
analysis and
interpretation, Report
preparation,
Presentation of findings
(continued)
10 Designing Research Proposal in Quantitative Approach 135

Table 10.1 (continued)

Sl Major topic Questions to answer Detail information to be
provided/discussed
3 Time schedule 4. When the research will be conducted? Preparation (Literature
search, discuss with
relevant people,
proposal finalize, etc.),
Personnel and training,
Pre-testing and
finalizing Instrument;
Data collection, Data
processing, Data
analysis, Report writing,
Presentation of findings,
Final report submission
4 Personnel 5. Who is going to take part in the Some personnel, their
research? qualifications and
duties: Academic
personnel, Research
Assistants, Consultants,
Interviewers, Computer
Programmer/Operator,
Secretaries, Technicians,
Driver, Peon, Guard,
Subjects, etc
5 Budget 6. How much Salaries and wages Academic personnel,
the research is Research assistants,
going to cost? Consultants,
Interviewers, Computer
Operator, Secretaries,
Clerk-typists,
Technicians, Subjects,
Hourly personnel, Staff
benefits, Salary
increases in the new
year, etc
Equipment Fixed equipment,
Movable equipment,
Office equipment,
Equipment installation,
etc
Materials and supplies Office supplies,
Communications, Test
materials, Questionnaire
forms, Duplication
materials, Manipulation
package (in case of
experimental research),
Supplies, Electronic
supplies, Report
materials and supplies,
etc
(continued)
136 Md. R. Karim

Table 10.1 (continued)

Sl Major topic Questions to answer Detail information to be
provided/discussed
Travel Administrative,
Fieldwork, Professional
meetings, Travel for
consultation,
Consultants’ travel,
Subsistence,
Automobile rental,
Aircraft rental, Ship
rental, etc
Services Computer use,
Duplication services
(reports, etc.),
Publication costs,
Photographic services,
Service contracts, etc
Others/miscellaneous Space rental, Alterations
and renovations,
Purchase of periodicals
and books, FGD
conduct, Tuition and
fees (training grants),
Subcontracts, ICT
charges, Tax & VAT, etc

Guideline for Writing the Major Parts of a Research

Proposal

(There might be some overlapping among different parts).

Title of the Research

All research proposal starts with a title. The title of a research proposal is the gateway
for the reviewers. The title should be short, explanatory, and catchy. It should
concisely include the major concepts and their relations (if any) of the proposed
research. That is, a research title should be detailed enough to convey the thrust of
the proposed research yet be succinct. The title should avoid words that add nothing
to a reader’s understanding, such as ‘A Study of…,’ ‘Survey of…,’ ‘An Investigation
of…,’ ‘Studies on…,’ ‘Research on Some Problems in….’.2

2 University of Michigan. Research and Sponsored Projects. http://orsp.umich.edu/proposal-wri

ters-guide-research-proposals-title-page.
10 Designing Research Proposal in Quantitative Approach 137

Introduction and Rationale of the Research

The main purpose of the introduction section of a research proposal is to provide

the background or context of the problem under study. Typically, it starts with a
statement of the problem area in general, then focuses on the specific problem area
to be studied. This is followed by stating the objective of the study and why it is
important to study or rationale of the study. Generally, the introduction and rationale
section covers the following areas:
. General statement of the research problem (context, state, causes, consequences,
etc.).
. Identification of the knowledge gap in the problem area and set the research
objectives and research questions accordingly.
. Establish the justification or rationale of the research. Sometimes, it is stated as
the utility of the research.
. A brief outline of the research proposal.

Background of the Research

This section may not be a separate part if the proposal is relatively short and if
the introduction section describes the background already. If the literature must be
reviewed and/or the context of the research need to be presented, a literature review
section is required. The background section presents the context of the proposed
research and reviews the existing literature in the field. More precisely this section
describes the followings:
. Background of the proposed research.
. Context of the proposed research.
. The research problem under consideration.
. Available knowledge about the research problem and the knowledge gap.
. How the proposed research addresses the knowledge gap in the field or how does
it differ from completed research projects in the field.

The Rationale of the Research

The rationale section of a research proposal is often incorporated in the introduction

part. Wherever it is placed, either in the introduction or separately, the main thrust of
this section is to prove that the proposed research is new and worthwhile. Answers
to the following questions would be helpful in this regard:
. Why the research project has been selected?
. What is known about it and what is the gap or what is necessary to know further?
. Why is it necessary to know?
. What is the significance of the study?
138 Md. R. Karim

Significance or Utility or Use of the Research

This section of the research proposal focuses on how the research findings would be
useful in terms of the development of knowledge, open new research possibilities,
etc. These are needed to be placed in such a way that the reviewers become convinced
to give funds or permission for the research. Usually, most research has two potential
audiences: practitioners and professional peers. The utility of the findings for both
these groups should be mentioned realistically. Answer to the following specific
questions would better establish the significance of the research3 :
. How will findings add new knowledge and contribute to the existing body of
knowledge?
. What suggestions for subsequent research will arise from the findings?
. What will the results mean to the practitioners?
. Will results influence programmes, methods, and/or interventions?
. Will results contribute to the solution of problem(s)?
. Will results influence policy decisions?
. How will results be implemented, and what innovations will come about?

Literature Review

A literature review is another integral part of a research proposal. However, it is

not equally important for all types of research. For example, it is vital for research
based on a particular theory or research which is considered a basic type of research.
In such cases, the researcher requires to present a separate literature review section
explaining how the present research relates to that particular theory or research; the
proposed research question or hypothesis may have been derived from the theory
or the researcher may plan to refute the theory/findings or may plan to fulfil some
knowledge gap in the theory/research, etc. In the case of applied research (action
research, operations research, etc.), literature review, however, may not be a vital
part and may be placed within different sections of the proposal instead of a separate
literature review section. It is notable that, nowadays, huge literature is available
in most research areas and easily accessible through the internet and other means.
A separate literature review section may incorporate only a selective number of
documents to be presented one by one. Thus, to incorporate more and more literature,
the results of the literature review may be placed in different relevant sections of the
proposal. This would ensure the incorporation of more literature. Another point is
literature review requires in all stages of research from problem formulation to the
presentation of findings. This also indicates that it is useful to place a literature
review in different appropriate sections of the proposal. Whatever the strategy, the
literature review is particularly important to establish the credibility of the proposed
research by showing that the research will fulfil the knowledge gap and extent of the

3 Pajares, F. (n.d). The Elements of a Proposal. Emory University.

10 Designing Research Proposal in Quantitative Approach 139

researcher’s knowledge in the field. More specifically, literature review performs the
following important functions to establish the credibility of the proposed research4 :
. Ensures that the proposed research is not a repetition.
. Acknowledgements those who have already contributed to the field.
. Shows the extent of the researcher’s knowledge about the research area.
. Shows the understanding of the theoretical issues related to the proposed research.
. Shows researcher’s skill of studying and evaluating relevant literature critically.
. Indicates researcher’s capability to combine and synthesize relevant literature.
. Provides new theoretical insights as to the conceptual framework.
. Convinces the reviewer that the proposed research will make a significant
contribution to the existing knowledge and policy formulation in the problem
area.
A literature review can be organized in different ways either in a separate section
or in relevant sections of the proposal. The use of headings, subheadings, sub-
subheadings brings order and coherence to the literature review. The literature review
should be presented coherently in such a way that the reviewer feels like reading a
story in an absorbing manner. Otherwise, the reviewer would feel bored which may
lead to rejection of the proposal.

Problem Statement

The problem statement frames the entire research. In this section, the problem under
study is presented in such a way that the context of the research objectives is set.
This section elaborates the problem stated in the introduction section. Statement of
the problem section presents all aspects of the problem under study the problem;
past, present, and future state; causes, consequences, remedies, etc. Another focus
of this section is to prepare the theoretical structure of research and relate theory to
the real world. It also states the benefits and beneficiaries of the research findings.
Answering the following questions would be considered in writing this section.5
. Does the problem to be researched deserve substantial research effort?
. Does researching the problem important for other scholars and practitioners?
. Is there enough logic behind why the problem is worth solving?
. How the research findings will be beneficial and to whom?
. Will the research findings contribute to theory or have practical applicability?
. Are the research objectives expressed clearly?
. Are the research questions stated precisely and focusing on research objectives?
. Are the research questions flow logically from the statement of the problem?
. Does the hypothesis (if any), formulated clearly and well-articulated?

4 Wong, P.T. P. http://www.meaning.ca/archives/archive/art_how_to_write_P_Wong.htm.

5 https://www.scribd.com/document/40384531/Research-Proposal-1.
140 Md. R. Karim

. Does the variables (independent and dependent) of the hypothesis measurable?

. Are the important terms well defined (both theoretically and operationally)?
. Is the theoretical framework set the context of the relationship stated in the
hypothesis?
. Is the conceptual framework precisely identifying the variables and their relation-
ships clearly and operationally?
. Are the assumptions (if any) explained fully?
. Are the limitations identified and their consequences described convincingly?

Research Question(s)

As all other parts of a research proposal are framed to answer the research ques-
tion(s), it is the most crucial part of a research proposal. The answer(s) to the
research question(s) is the result or findings of a research project. Research ques-
tion(s) also provokes the interests of the reviewers. They keenly look at how important
the research question(s) and how the research activities have been proposed to answer
the research question(s). A research project should be a major research question that
is often translated into several specific research questions. The research question(s)
should be evocative, relevant, clear, and researchable.6
The research question should be evocative: The research question(s) should be
persuasive and capable of drawing the interest of the reviewer into the proposal. Such
question(s) also easily adhere to the reviewers’ memory after reading the proposal.
Evocative questions are:
Timely: Evocative questions are related to contemporary social or theoretical
issues. For instance, research question(s) on drug addiction, terrorism, violence
against women, child abuse, cybercrime are likely to draw the interests of the
reviewers/authorities at present in Bangladesh.
Framed as a paradox: Evocative questions are framed around a stirring paradox.
For instance, why terrorism is increasing in Bangladesh while literacy is increasing?
Or, why violence against women is increasing in Bangladesh while women are
increasingly empowered? Or, why dropout from education is increasing despite
programmes for keeping the children in school? These questions have more than
one potential answer.
Based on a distinctive approach: If a question approaches a long-standing problem
(such as poverty in Bangladesh) through a new angle or proposes a new way of
analysis, it is likely to be evocative to the reviewers.
The research question should be relevant: Questions having relevancy to the society,
social groups, intellectual debate, scholarly literature are likely to be given more
weight by the reviewers. Two common ways to demonstrate the relevancy of the
research questions are:

6Institute of International Studies. Dissertation Proposal Workshop, UC Berkeley, http://iis.ber

keley.edu/node/424.
10 Designing Research Proposal in Quantitative Approach 141

Fill in the missing piece: The research question(s) should target to fill a knowledge
gap in the field of research as this will likely draw support from reviewers.
Make connections: Social research is conducted on a specific topic. However, these
topics are derived from a broader area/field. So, they are likely to be related. The
proposed research topic should be related to other topics of the research area. This
will increase the worthiness of the proposed research.
The research question should be clear: Clear research questions are short yet
explicitly stated without any confusion. Two ways to make research questions clear
are:
Ground the question: Research questions should be well-grounded within the
larger context of the proposed research in terms of connection with different aspects
and its specific focus in the field. Questions constructed focusing on the research title
are clearer. Specific and clear questions are easier for the reviewers to determine the
relevancy and objective of the questions.
Limit the number of variables: Too many variables in a research question are
difficult to understand, relate, and research. ‘Is the increase in female literacy rate
in Bangladesh result of government policies?’ is much easier to understand than
‘Is the increase in female literacy rate in Bangladesh result of government policies,
expansion of educational institutions and consciousness of people?’.
The research question should be researchable: If the reviewers find the research
question is too extensive or difficult for the researcher to carry out, the proposal
is likely to be rejected. There are several questions a researcher may consider in
choosing research question(s).
. How long will take to complete the research to answer the research question?
. Does the researcher have the capability to conduct the research?
. Is the project likely to be approved by the approval authority considering the
research question(s)?
. Will the cooperation of all necessary individuals, communities, institutions, etc.
obtainable to conduct the research?
. If the research question could not be answered completely, can it be broken down
so that the most important component of the question could be addressed?

Research Objectives

Objectives are vital for any research project. Objectives may be seen as small particles
which constitute the research problem. Objectives should be presented in operational
terms. Normally a research objective starts with phrases like: ‘to know’ or ‘to iden-
tify’ or ‘to find out, etc. All research activities are planned according to the objectives
of the research as the success of a research project depends on the realization of its
objectives. So, research objectives should be carefully outlined. Nowadays, objec-
tives are often presented as broad objectives and specific objectives. A broad objec-
tive describes the major thrust of the research and specific objectives describe the
142 Md. R. Karim

research objective in specific forms focusing on variables to be explored or described

or explained. Research objectives, research questions, and research hypotheses are
closely related.

Hypothesis

The hypothesis is the tentative answer to the research question stated in the form of a
relationship between two or more variables known as independent variable or cause
and dependent variable or effect. In scientific research, the hypothesis is considered
as the focal point and directly related to the principal research question. Hypotheses
should be based on the theoretical framework and conceptually clear. The source
of the hypothesis might be an existing theory or a newly formulated theoretical
framework constructed based on the knowledge and experience of the researcher.
The relationship between the variables stated in the hypothesis may be directional or
nondirectional. The directional hypothesis states whether the relationship is positive
or negative, and the nondirectional hypothesis states nothing about the direction of
the relationship.
Difference between research question and hypothesis: Questions are mostly rele-
vant to exploratory or descriptive type research and qualitative in nature research
(What is the extent of dropout at primary level? Does racial discrimination at school
contributes to dropout?). While the hypothesis is relevant to the explanatory type
of research and quantitative (there is a relationship between gender and educational
achievement). A research question may be about the relationship between two or
more variables like a hypothesis but phrases it in the form of a question while
the hypothesis makes a statement about the relationship between independent and
dependent variables and is subject to be tested empirically.

Definition of Concepts/Terms

A good research proposal must define concepts (terms) clearly and concretely both
theoretically and operationally. The theoretical definition is to define a concept with
more familiar and easier terms while the operational definition is to relate a concept
to the empirical world. The operational definition of concepts is very important to
realize the objectives or test hypotheses or answer questions of research. It spells
out how the major concepts and variables will be measured empirically and used to
realize the objectives or test the hypothesis or answer research questions.
10 Designing Research Proposal in Quantitative Approach 143

Theoretical Framework

The theoretical framework presents the theoretical basis of the proposed research
project. It theoretically explains why the problem exists and its possible explana-
tion. It helps the researcher to see the variables to measure, the independent and
dependent variables. For example, is there any relationship between gender and
educational achievement? Here gender is independent and educational achievement
is the dependent variable. The theoretical framework assumes that there is a differ-
ence in ‘educational achievement’ among the students by ‘gender’. The theoretical
framework describes or explains how this relationship between gender and educa-
tional achievement forms. Background theories are useful to formulate a theoretical
framework.

Conceptual Framework

The conceptual framework states the relationship between variables under study in
operational terms. Consider the above hypothesis where gender is the independent
variable and educational achievement is the dependent variable. Gender is a qualita-
tive variable and can be measured through a nominal scale with two categories, i.e.,
male and female. While educational achievement is a quantitative variable and can
be measured in both interval scale (percent of marks or GPA obtained) and ordinal
scale (letter grade, such as A, B, C, etc.). Some extraneous variables might be there
too, such as the economic condition of the family, the residence of the student, study
hour, the merit of the students, and son. These variables are to control for establishing
the cause–effect relationship between gender and educational achievement precisely.

Measures

The research proposal should clearly state how the variables/concepts of the proposed
study will be measured. In social research, a variable can be measured at three levels,
i.e. nominal (classify the variable and assign a name to each category), ordinal (order
the variable into categories along a continuum), and interval (measure the variable
quantitatively with exact numerical value). For example, we can measure the variables
stated in the above hypothesis as follows:

Variable type Variable name Measurement scale Categories/values

Independent Gender Nominal Male, Female
Dependent Achievement Ordinal Letter grade: A+ , A, A−, B+ , B, B−, C
Intervening Merit (IQ) Interval 0 to 100 assigned through an IQ test
144 Md. R. Karim

Methodology

The methodology is the most critically examined part by the reviewers. It describes
the detailed actions to be undertaken to answer the research questions or to realize
the research objectives or test the research hypothesis. In short, methodology section
answers the question of how. That is, methodology outlines how the research ques-
tions will be answered or the research hypothesis will be tested. Several aspects need
to be detailed out in the methodology part. Some of these are a selection of design,
study area, unit of analysis, population, sample size and sampling procedure, data
collection method, sources of data or respondents, instruments of data collection,
investigators, fieldwork plan, data processing and analysis plan, and so on. In most
cases, the researcher needs to make logical choices among different alternatives.
Despite area and sample size depending on available funds, time, and manpower,
reviewers also take note of those. For quantitative research sample size should be
enough to make inferences in a statistically significant way with acceptable or agreed
upon precision.
Design: Research design describes how the research objectives will be realized or
how the hypothesis will be tested or how the research question will be answered;
what data will be necessary, how and from where data will be collected and how the
data will be analysed and interpreted for the purpose. Borbasi and Jackson (2012)
mentioned four major types of quantitative research design: descriptive, correlational,
experimental, and quasi-experimental. For the proposed study, the researcher needs
to choose one that best fit to realize the study objectives. However, there should be
enough flexibility as research design relates the theory into the empirical world it may
face complexities and challenges during implementation. Furthermore, the objectives
of social research may be exploratory or descriptive or explanatory. Different types of
design are essential for realizing different types of research objectives. For example,
if the objective of the proposed research is explanatory, there must be a hypothesis and
experimental design is necessary to test the hypothesis. So, first, the type of research
must be identified and then the appropriate research design. Finally, according to the
selected design, from where and whom, what and how data will be collected, and
how the collected data will be processed and analysed should be mentioned in brief
in the design section. If the experimental design is selected how the experimental
(independent) variable will be manipulated and how the extraneous variables will
be controlled (experimentally or statistically) should be stated clearly in the design
section. There should be a solid connection between the research objectives and the
research design. If the reviewers fail to see this connection, the proposal may be
rejected.
Sampling: The sample is a representative part of the population to be drawn for data
collection. A sampling plan is very important in quantitative research as it looks
for generalization. Unless the sample is representative, the generalization would be
in question. Two sampling techniques are probability sampling and nonprobability
10 Designing Research Proposal in Quantitative Approach 145

sampling. If generalization is intended the sample should be drawn using the proba-
bility sampling technique as it ensures a representative sample. Again, the sample size
should be enough so that statistical inferences can be made with sufficient precision.
Data collection: Source of data and methods of data collection/compilation (in the
case of secondary source) should be clearly stated in the proposal. Common methods
of data collection for quantitative research survey, mail/e-mail/internet surveys, tele-
phone surveys, observation, etc. Despite Focus Group Discussion (FGD) being a
method of mainly qualitative data collection, quantitative data can also be generated
through this method. Community Score Card (CSC)7 is such a method developed by
Cooperation of Assistance and Relief Everywhere (CARE). Whatever the method
of data collection the instruments used in quantitative research should be structured
and pre-coded. However, qualitative data can be quantified following specifying
rules of measurement. Fieldwork for data collection should be planned carefully
and precisely. There should be provision for skilled enumerators and clearly stated
quality control measures.
Data processing and analysis: Data processing and analysis plan in detail should
also be included in the proposal. How the data will be presented? What statis-
tical techniques will be used for what purpose? How the relationship between
variables will be measured? How the hypothesis will be tested? The data analysis
plan should be focused on realizing the objectives and/or testing the hypothesis of
the research. In quantitative research data are analysed statistically. Depending on
research objectives, either descriptive or inferential or both statistical techniques are
used.

Practical Considerations

Selection of study area, unit of analysis, sampling (method & size), data collection
methods, data analysis plan is decided based on available resources and are highly
project-specific. All these are to be consciously planned in such a way that those can
be accomplished with available resources, yet the objectives of the research would
be achieved with acceptable precision.

7 For details of CSC see CARE Malawi. “The Community Score Card (CSC): A generic guide
for implementing CARE’s CSC process to improve quality of services.” Cooperative for Assis-
tance and Relief Everywhere, Inc., 2013. http://www.care.org/sites/default/files/documents/FP-
2013-CARE_CommunityScoreCardToolkit.pdf
146 Md. R. Karim

Ethical Statement

The research proposal should explicitly state how the participants of the research will
be ethically maintained. For example, the researcher needs to assure the respondents
of the study that the privacy and confidentiality of the data shall be strictly maintained.
Burns and Grove (2009) mentioned that the researcher is obliged to consider the
implications of the proposed research for the participating subjects, their families
and society.

Limitations

In social research, the researcher may face factors beyond his/her control that may
affect the research process and/or results of the study. For example, generalization
may not be possible due to nonprobability sampling; in-depth data might not be
gathered due to the use of the survey method. Limiting factors, if any, should be
stated in the research proposal. It is, however, need to be mentioned that limiting
factors are truly beyond the researcher’s control and would not be overcome within
the scope of the proposed study. This section is often considered optional.

Timetable

A research project is required to be completed within the specified period. The time
for different activities of the proposed research should be planned carefully so that
the whole project would be completed within the stipulated time. There might be
flexibility within the activities but not in the total period. Schedule often presented
in Gantt Chart as shown in the example below.

Personnel

Reviewers evaluate a research proposal by seeing the qualifications, experiences,

and skills of the research personnel proposed, particularly the key personnel such as
Team Leader or Researcher, Members of the Research Team, Research Associate,
and so on. So, human resources (personnel) to be employed in the research project
should have proven expertise to conduct the proposed research. Their qualifications
should be specified clearly. How they will be selected and how they will be trained
and what specific duties they will perform should be clearly stated.
10 Designing Research Proposal in Quantitative Approach 147

Budget and Resources

Budget is another important part of a research proposal as it is often considered

a major criterion of accepting a proposal. This is particularly true in the case of a
competitive situation where reviewers select the proposal(s) among several proposals.
Sometimes, funding agencies invite proposals in two parts, i.e., technical proposal
and financial proposal. Despite technical proposal being a major concern, the finan-
cial proposal also plays a crucial role in deciding acceptance or rejection of a proposal.
Thus, the budget should be carefully prepared. It should be a realistic and detailed
listing of all possible sectors of expense. Despite budget being project-specific, gener-
ally, it includes salaries/wages/honorariums and benefits of the personnel, equipment,
materials and supplies, travel and related transport allowance (TA) & daily allowance
(DA), services, communications (telephone, internet, etc.), others/miscellaneous, etc.
The budget determines the scope of the proposed research. Sometimes there might be
a ceiling given by the funding agency which needs to be considered. The following
points may be beneficial in budget preparation8 :
The budget should be realistic and list costs by all sectors: The researcher requires
to have a comprehensive idea about the real costs for every item in the respective
country/area of study. It requires real knowledge about salary and wages, transporta-
tion, tourism, living expenses, supplies, etc. The budget should not be prepared from
guessing or published price lists as costs may be changed in the meantime. It is better
to include subtotals of various categories in the budget.
Every possible expense should be considered: Budget should include all costs
involved in the proposed research project. The budget should include major items
like salary and wages, transportation, equipment, as well as minor items like paper,
printing, photocopies, communication, etc. It is to be noted here that some sponsors
may not provide costs of infrastructure, automobiles, computers, etc.
The budget should be according to the funds available: Sometimes, the budget
may become higher than that a sponsoring agency can support. In such cases, it is
necessary to mention how the difference will be made up. To do this, one may need
to manage other funding sources or cut the scope of research. Sometimes, the scope
of research decides based on the fund available.

Presentation of Research Findings/Report

Finally, it is important to mention how the research findings will be presented and
disseminated. Usually, the research report is prepared first for presentation. In most
cases, the report format is given by the approving authority. If there is none, the

8Institute of International Studies. Dissertation Proposal Workshop, UC Berkeley, http://iis.ber

keley.edu/node/424.
148 Md. R. Karim

researcher needs to mention his/her plan for the presentation of the findings of the
research including the outline of the research report. A draft report is prepared as per
outline and submitted to the approving authority or experts in the field or presented
in a seminar for feedback. According to the feedback, the report is finalized and
submitted as a specified number of hard copies and/or soft copies. Writing a scientific
article(s) from the research might also be planned for further dissemination of the
research findings through publishing in scientific/professional journals.

Size of the Proposal

The size of the proposal is a practical issue in writing a research proposal. In most
cases, this is specified in the prescribed format by the approving authority. If there
is nothing, the size of the proposal should be enough for describing the essential
elements in detail with sufficient information. It is tough to write a good research
proposal in fewer words. If important details are omitted in the proposal that might
cause rejection of the proposal.

The Aims of a Research Proposal

The major aim of a research proposal is to capture the attention of the approving
authority (reviewer). It is also evident that a research proposal might face competition
if it is submitted for funding to an agency. In this context the aims of the research
proposal should be:
Capture the attention of the authority/reviewer: The beginning paragraph(s) of a
research proposal should be written in such a way that the reader feels interested in it
and as such go into detail. Posed questions are a captivating way to begin a proposal.
For example, is the decline of fertility in Bangladesh a result of government policies?
Stating the central point or hypothesis is also a good way to begin. For example,
microcredit in the family causes dropout of children from education.
Aim for clarity: A research proposal should be jargon-free as much as possible. The
terms used should be simple and clear. Technical terms should be avoided unless it
is a must and, if any, should be clarified in simple words.
Establish the context: A research proposal should state clearly what will be learned
from the research. For this purpose, the proposal should present the current state
of knowledge by extensive literature review and provide the latest comprehensive
bibliography of the topic under study.
10 Designing Research Proposal in Quantitative Approach 149

Establish the Justification

Justification of a research project differs greatly by disciplinary norms and personal

values and tastes. Establishing the fact that there is scope for knowing further about
the topic under study or identifying the knowledge gap precisely justify the proposed
research. It is important to convince the readers that the proposed topic is timely as
well as urgent. If the proposed research focuses on theoretical issues, it is necessary to
identify exactly how it fits with the theoretical debates and how it verifies the present
theory or knowledge or how it develops new knowledge would draw the reviewer’s
favour a great deal.
Establish the utility: Presentation of the significance of the proposed research varies
among the researchers. Criteria of judgement by the reviewers can also vary. Some
may emphasize practical aspects while some on theoretical aspects. It is important to
convince the reviewers that the topic under study is not only timely but also important
as it contributes to other problems. According to Przeworski and Frank (1995) “help
your reader understand where the problem intersects the main theoretical debates in
your field and show how this inquiry puts established ideas to the test or offers new
ones. Good proposals demonstrate awareness of alternative viewpoints and argue the
author’s position in such a way as to address the field broadly, rather than developing
a single sectarian tendency indifferent to alternatives”.
Use a fresh approach: Unless nothing is original, popular topics should be avoided.
Usually, everyone is interested in popular topics. Thus, others may have already made
a decisive and exciting contribution in the field. Thus, a fresh beginning would be
easier for the researcher as well as to attract the reviewers as a new area.
Describe methodology as sound: Research methodology is one of the major areas
reviewers critically look at. Reviewers want to make sure that the proposed method-
ology can realize the objectives or test the hypothesis of the study. The research
design should be logically apt for the study. It should be specific as much as possible
in describing the plan of data collection, data analysis, and interpretation of findings.
A comparative research design has special appeal as it raises the value of research.
Specify the purpose of conducting the study: A well-written research proposal ends
by referring to the purpose of the research. How the different activities proposed,
and the results of those activities connect with the purpose of the research? How it
will be known whether the idea or hypothesis is right or wrong? How do the findings
contribute to knowledge and/or solving practical problems? The proposal should
mention all these.
Incorporate comments/suggestions: It is beneficial to prepare a draft proposal and
collect colleagues’, peers’, experts’, and funding agency’s comments on it either
in person or through seminar or workshop, revise accordingly and finalize. Text,
language, style, and form should be revised further and re-sharpen the opening
paragraph(s) after finalizing the proposal.
150 Md. R. Karim

Conclusions: A conclusion should be at the end of a research proposal stating the

whole study in brief. It should include the objectives and methodology of the study
and, more importantly, why the research is important and to whom and how the
findings will be useful. The conclusion section should also highlight the researcher’s
capability of conducting the research.

An Example of a Research Proposal9

Title

Microcredit in the family causes children’s dropout from education.

Introduction and Statement of the Problem

Noting the importance of education, several programmes have been taken to improve
the child education situation of Bangladesh. Reports, however, show that dropout
from education is still very high. According to BANBEIS10 (2017), the dropout
rate at the primary level in Bangladesh was 19.2 percent in 2016. At the secondary
level, BANBEIS data show that the dropout rate was 40.3 in 2015 (Hasnat, 2017).
According to the primary education certificate (PEC) examination result, about 3.1
million children passed the PEC and equivalent examinations in 2015.11 As per
the Bangladesh education system, after three years, these children are supposed to
take part in Junior School Certificate (JDC) and equivalent examinations in 2018.
However, in 2018, the total number of children who appeared on the JSC & JDC
examination was 2.6 million.12 That is, about 0.4 million children dropped out from
education between PEC & equivalent and JSC & equivalent examinations. The
majority of the dropouts are happening among poor families. Why is this happening
among the poor? Not many studies investigated the issue. However, this situation is
not acceptable and deserves to be addressed.
It is worth mentioning that, nowadays, almost every poor family is participating
in microcredit programmes in Bangladesh. These loans are given to the women
members of the family. One compulsory condition of microcredit is that repayment
instalment starts immediately after the loan is taken. As the microcredit recipient
poor families severely lack resources to manage the repayment instalments, they

9 Points discussed briefly are indicative and there is scope elaboration.

10 Bangladesh Bureau of Educational Information and Statistics
11 https://www.dhakatribune.com/uncategorized/2015/12/31/psc-pass-rate-98-52-ebtedayee-

95-13.
12 https://bdnews24.com/bangladesh/2018/12/24/jsc-jdc-pass-rate-85.83-gpa-5.0-rate-drops-sha

rply.
10 Designing Research Proposal in Quantitative Approach 151

need to invest the loan immediately, so that they can accrue the money necessary
for repaying instalments. Understandably, very small projects can be taken with
microcredit. Whatever the size of the projects taken with microcredit, it requires
labour. As hired labour is not feasible for small projects taken with microcredit,
family labour is the only option. Usually, women in Bangladesh are heavily engaged
in household activities while the husband remains engaged in his usual earning
activities. As an obvious option, mother (loan recipient) may engage her grown-up
children in the projects undertaken with microcredit. This might negatively affect
the study of these children and be reflected through dropout from education. There
are plenty of studies on microcredit but, so far, nothing is known about this issue.
Moreover, most of the studies on microcredit have shown the positive impact of
microcredit on almost every aspect of the life of the recipients including the education
of children. Hence, it is necessary to know whether there is any negative relation
between microcredit and the dropout of children from education. In this context, the
proposed study intends to look at the issue. The findings of the study will add new
knowledge in the microcredit field as well as help the policymakers in necessary
policy formulation to reduce dropout from education.

The Objective of the Study

The broad objective of the proposed study is to see the relation between microcredit
and children’s dropout from education. The specific objectives will be:
(1) To know about the projects undertaken by microcredit;
(2) To know about children’s involvement in the projects undertaken by microcredit;
(3) To know the relation between microcredit in family and study of children; and
(4) To recommend how children’s dropout from education can be reduced.

Research Questions

The major research question is to examine whether there is any relation between
microcredit in family and education children. The specific questions in the light of
the theoretical framework present in the problem statement section are:
(1) Are the children engaged in the projects undertaken by microcredit?
(2) Are the children engaged in the microcredit project become irregular/less
attentive in the study?
(3) Are the children engaged in microcredit project dropout from school?
(4) How the negative impact of microcredit on child education, if any, can be
minimized?
152 Md. R. Karim

Hypothesis

There is a relationship between microcredit in family and children’s dropout from

education.

Theoretical Framework

Projects undertaken with microcredit require labour. As hired labour is not feasible
in the small-scale projects taken with microcredit, grown-up children of the family
become engaged in the microcredit projects affecting their education leading to
dropping out of school. Here, children’s involvement in microcredit projects is an
independent variable and dropout from education is the dependent variable.

Conceptual Framework

Children of poor families engage in projects undertaken with microcredit causing

their dropout from education. The independent variable ‘children’s involvement
in microcredit project’ is qualitative and will be measured in two categories, i.e.
‘involved’ and ‘not involved’. The dependent variable ‘dropout from education’ is
also a qualitative variable and will be measured in two categories, i.e. ‘dropped out’
and ‘continuing study’. Some extraneous variables will be taken into consideration,
e.g. the number of family members, type of project, age, gender, and merit of children,
occupation of the male family head.

Definition of Concepts

Microcredit: There are numerous organizations providing microcredit in Bangladesh.

Of them, small loans (roughly up to BDT 50,000/−) given by Bangladesh Rural
Advancement Committee (BRAC), Grameen Bank (GB), Association for Social
Advancement (ASA), and Bangladesh Rural Development Board (BRDB) will be
considered in the proposed study.
Children: Children who appeared in the PEC examination of 2015 will be considered.
Dropout from education: Children who appeared and passed the PEC & equivalent
examination of 2015 are supposed to appear in the JSC & equivalent examination
of 2018. Thus, children who passed in PEC & equivalent examination 2015 but not
appeared in JSC & equivalent examination 2016 will be considered as a dropout
from education.
10 Designing Research Proposal in Quantitative Approach 153

Methodology

Design: The study will follow the ‘only after study with one control group’ experi-
mental design. That is, two groups of families of the same socioeconomic status and
having children who appeared in the PEC & equivalent examination of 2015 will
be selected. Among two groups, families of one group will have microcredit and
families of another group will be without microcredit. The group with microcredit
will be treated as an experimental group and the group without microcredit will be
treated as a control group. Data regarding whether appeared in the JSC & equiva-
lent examination of 2018 and their involvement in microcredit will be collected and
compared through cross tables to test the study hypothesis.
Unit of analysis: Children appeared in the PEC & equivalent examination of 2015.
Study area: All Bangladesh.
Population: All children appeared in the PEC & equivalent examination of 2015.
Sampling: Multi-stage random sampling method will be used as follows:
Stage-1: 8 Districts (one each from 8 Divisions of Bangladesh) will be selected
randomly;
Stage-2: 8 Upazilas (one from each of the selected 8 Districts) will be selected
randomly;
Stage-3: 16 Unions (two from each of the selected 8 Upazilas) will be selected
randomly;
Stage-4: 32 wards (two from each of the selected 16 Unions) will be selected
randomly;
Stage-5: 640 families with children who appeared in the PEC examination 2015
(10 with microcredit and 10 without microcredit from each of selected 32 wards)
of the same socio-economic status will be selected randomly from the lists of
such families prepared based on information taken from microcredit organizations
operating in the area and from educational institutions.
Stage-6: Finally, one child appeared in the PEC examination of 2015 from each
of the 640 selected families will be included in the sample. In this way, the sample
size will be 640 children (320 with microcredit family and 320 without microcredit
family). It is expected that families with children who appeared as well as did not
appear in JSC & equivalent examination 2018 will be included in the sample.
Sources of data: The family head/school-age children and school records.
Instrument of data collection: A structured questionnaire in Bangla, finalized
through pre-test, will be used for data collection. Data about the children’s
appearance in the JSC examination of 2018 will be taken from school records.
Method of data collection: Data will be collected using the survey method, i.e.,
through face-to-face interviews and compiled from school records.
Data collection from the field: Two teams will collect data from the field. Each
team will be composed of four interviewers and one supervisor. A team will cover
154 Md. R. Karim

four Upazilas and stay about one week in each Upazila. Data collection will be
completed in one month.
Data processing and analysis: Data will be computerized, analysed, and inter-
preted using software like SPSS, Excel, etc. Appropriate descriptive and inferen-
tial statistical techniques will be used to analyse and interpret data.

Presentation of Findings

Findings will be presented through a written research report. A draft report will be
prepared and given to the proper authority for comments and suggestions. According
to the suggestions, the draft report will be finalized and submitted to the authority.

Work/Schedule of the Study

The study will be completed in six months as follows:

Time Jan. 2022 Feb. 2022 Mar. 2022 Apr. 2022 May 2022 Jun. 2022
Work
Preparation
Personnel &
training
Data collection
Data
processing
Data analysis
Draft report
submission
Final report
submission

Personnel of the Study

The personnel structure of the study has been presented in the table below. Mr X
will work as the Project Director. An experienced Research Associate will help the
Project Director. Interviewers will be experienced in data collection and BSS degree
holders, and Supervisors will be MSS degree holders. They will be trained properly.
Personnel who take part in the study are:
10 Designing Research Proposal in Quantitative Approach 155

Sl Designation Number Months

1 Project Director (PD) 1 6
2 Research Associate (RA) 1 6
4 Field Supervisor (FS) 2 2
3 Field Interviewer (FI) 8 1
4 Data Entry Operator (DEO) 1 2

Budget of the Study

The budget for the proposed study is presented below:

Salary/Honorarium
1 Project director—1 BDT 75,000/- per month * 6 BDT 450,000/-
Months
2 Research associate—1 BDT 50,000/- per month * 6 BDT 300,000/-
Months
3 Data analyst/statistician—1 BDT 40,000- per month * BDT 80,000/-
2 months
3 Field supervisor (FS)—2 2 * BDT 25,000/- per month * 2 BDT 100,000/-
Months
4 Field interviewer (FI)—8 8 * BDT 20,000/- per month * 1 BDT 160,000/-
Month
5 Data entry operator 1 * BDT 20,000/- per month * 2 BDT 40,000/-
Months
A Total salary/Honourarium BDT 1,130,000/-
Travel and daily allowance
1 TA for FI & FS—10 (during training and 10 * BDT BDT 40,000/-
fieldwork) 1,000/- per
Upazila * 4
2 DA & local transport for FI & FS—10 (During 10 * BDT BDT 250,000/-
training and fieldwork) 1,000/- Per
day * 25 Days
3 TA/DA for PD and RA -2 2 * 5,000/- BDT 20,000/-
per visit * 2
visits each
B Total transport and daily allowance BDT 310,000/-
Others
C Printing of questionnaire BDT 10,000/-
D Computer accessories (Pen Drive, Printer, etc.) BDT 50,000/-
E Stationary (Paper, Pen, Bag, File, etc.) BDT 20,000/-
(continued)
156 Md. R. Karim

(continued)
F Relevant document purchase/copy BDT 10,000/-
G Report (5 reports Reproduction and Binding) BDT 5,000/-
H Miscellaneous BDT 20,000/-
Grand Total (A + B + C + D + E + F + G + H) BDT 1,555,000/-(US$ =
19,198/-)
(BDT Fifteen Lac Fifty Five Thousands Only)

References

Arboleda, C. R. (1981). Communication research. Communication Foundation for Asia.

Babbie, E. R. (2010). The practice of social research (12th ed.). Wadsworth Cengage.
BANBEIS (Bangladesh Bureau of Educational Information and Statistics). (2017). Bangladesh
education statistics 2016. Bangladesh Bureau of Educational Information and Statistics
(BANBEIS).
Borbasi, S., & Jackson, D. (2012). Navigating the maze of research. Mosby Elsevier.
Burns, N., Grove, S. K. (2009). The practice of nursing research: Appraisal, synthesis and generation
of evidence. Saunders Elsevier.
Creswell, J. W. (1994). Research design: Qualitative & quantitative approaches. SAGE Publica-
tions.
Hasnat, M. A. (2017). School enrollment high but dropouts even higher. Dhaka Tribune September
8, 2017. https://www.Dhakatribune.com/Bangladesh/education/2017/09/08/school-enrollment-
high-dropouts-even-higher.
https://bdnews24.com/bangladesh/2018/12/24/jsc-jdc-pass-rate-85.83-gpa-5.0-rate-drops-sharply.
https://www.dhakatribune.com/uncategorized/2015/12/31/psc-pass-rate-98-52-ebtedayee-95-13.
http://libguides.usc.edu/writingguide/researchproposal.
https://www.scribd.com/document/40384531/Research-Proposal-1.
Institute of International Studies. (n.d). Dissertation proposal workshop. Institute of International
Studies. http://iis.berkeley.edu/node/424.
Pajares, F. (n.d). The elements of a proposal. Emory University. Retrieved from http://www.uky.
edu/~eushe2/Pajares/ElementsOfaProposal.pdf.
Przeworski, A., & Frank, S. (1995). On the art of writing proposals: some candid suggestions for
applicants to social science research council competitions. Social Science Research Council.
Retrieved from http://iis.berkeley.edu/sites/default/files/pdf/the_art_of_writing_proposals.pdf.
University of Michigan. (n.d). Research and sponsored projects. http://orsp.umich.edu/proposal-
writers-guide-research-proposals-title-page.
Chapter 11
Experimental Method

Syed Tanveer Rahman and Md. Rabiul Islam

Abstract Research is conducted to investigate the relationship between variables

(Tuckman and Harper in Conducting educational research. Rowman & Littlefield
Publishers, 2012). Among all research methods, the experimental design is consid-
ered to be the most scientific one as it can establish a “causal relation” between one or
more independent variables and one or more dependent variables using control mech-
anisms upon empirical observation. For social research, however, true experimenta-
tion with rigorous control over the situation might seem to be very intriguing and
challenging due to the conditions and participants. That is why the quasi-experimental
design is often very popular with social researchers. Both of the designs have their
types with advantages and disadvantages, and also with prominent characteristics.
The researcher has to decide to resort to the appropriate design depending on the
purpose and objective of the research. The sampling technique, instruments for
measurement, statistical analyses, and finally the interpretation of data as per the
design of the research too.

Keywords Experimental design · Quasi-experimental method · Social research

Introduction

A research problem investigates whether there is any relationship among variables

in nature. To study this, there are several research methods and designs available for
researchers from varied disciplines and backgrounds. For example, naturalistic obser-
vation, correlational research, longitudinal and cross-sectional survey researches,
laboratory experimentation, and so on. Depending on the nature and purpose of the

S. T. Rahman
Department of Psychology, University of Dhaka, Dhaka 1000, Bangladesh
e-mail: [email protected]
Md. Rabiul Islam (B)
Institute of Social Welfare and Research, University of Dhaka, Dhaka 1205, Bangladesh
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 157
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_11
158 S. T. Rahman and Md. Rabiul Islam

research question a researcher selects the appropriate method and more specifically,
the design to conduct the specific research.
Among so many research designs only the experimental design is the most scien-
tific based on empirical data (Bliemer & Rose, 2011). It utilizes the technique of
randomization and control over the extraneous variables through the manipulation
of treatment levels of the independent variable(s). In this way, this design is capable of
establishing cause and effect relationships between independent and dependent vari-
ables, sometimes, showing the whole process of influencing each other (Vargas et al.,
2017). Thus, researchers prefer to resort to experimentation wherever or whenever
it is deemed to be applicable. In the case of many social science research, however,
the sample and measures, i.e., the people and their social behaviour within natural
settings pose a big challenge to a social researcher to successfully conduct true exper-
imentation. To overcome the limitation, the quasi-experimental design is available
in social researchers’ hands. Different types of experimental and quasi-experimental
designs are shortly discussed as follows;

Definitions, Types, and Characteristics of Experimental

Designs

The experimental design is the most scientifically sophisticated design that can be
ideally defined as the “observation under controlled conditions” (Thyer, 2012). It
is concerning the hypothesis testing of the effect of the independent variables on
the dependent variables. The experimenter manipulates the independent variables
through treatment(s) or intervention(s) and at the same time, controls the extraneous
variables to observe only the effect of the independent variables upon the dependent
variables (Flannelly et al., 2018).

Experimental Design

Definition:
A true experimental design consists of the researcher’s complete control mechanism
over probable extraneous variables and predicts the effect of independent variable
on the dependent variable with statistical significance.
Characteristics of true experimental design:
(i) Manipulation
(ii) Control
(iii) Randomization
(iv) Internal validity
11 Experimental Method 159

(v) External Validity.

Manipulation in a true experiment, refers to the researcher’s conscious control or

variation in administration of the level of treatments of an independent variable
to investigate its effect on the dependent variable (Kennedy & Bush, 1985). For
example, if a social researcher wants to study the effect of the number of people
present around on getting help in an emergency, the researcher will vary the number
of people involved in the study remaining in the same emergency settings.

Control can be defined as using a control group and/or control techniques in an

experiment to eliminate probable confounds (Mann, 2003). Usually, the participants
in both the control and experimental groups are more or less equal in number and of
similar characteristics; except the control group receives zero level of experimental
treatment, i.e., no real independent variable. Instead, they get a placebo-like treatment
in the experimental group. Participants are randomly selected to the control and
experimental groups. For example, when a social researcher investigates the role of
intervention by social workers upon patients admitted to hospitals, he or she will
compare between two groups of patients and their relatives, one of whom gets such
intervention whereas the other does not. The sample that receives the treatment is
considered as the experimental group; on the other hand, the sample that is deprived
of the treatment is called the control group. Three major considerations for control:
(i) Participant variables—balancing participants’ age or ability like IQ.
(ii) Researcher variables—the researcher’s expressed behaviour, appearance,
or gender whatever could affect participant’s responses are standardized
throughout the experiment.
(iii) Situational variables—standard physical conditions throughout the experiment
like light, sound, and temperature.

Randomization means each element of the population has a nonzero (mostly, equal)
probability to be selected in the sample of the experiment only based on chance
(random basis) (Lee, 2008). Through this technique, any chance of systemic bias
is eliminated. It ensures the elimination of the effect of extraneous variables that
increases the internal validity of the experiment. It works upon the sample by devi-
ating the characteristics of the participants of both experimental and control groups.
Lottery, random tables, computerized random sequencing, etc. can be used to select
the sample randomly and assign them into either experimental or control groups for
the research (Figs. 11.2, 11.3 and 11.4).

The Internal Validity of an experiment concerns the inner strength of the control
of the confounding effect inside the experiment (Welsh et al., 2011). An experiment
would be considered to have a high or satisfactory level of internal validity if it
can replicate similar results in repeated administration upon the same sample. It is
not concerned with the generalizability of the experiment’s result external to other
situations or contexts.
160 S. T. Rahman and Md. Rabiul Islam

External Validity is related to generalization. When an experiment has a high or

satisfactory level of external validity, its findings could be generalized outside the
scope of that experiment, i.e., the results would be equally applicable to other similar
situations or experiments. A true experiment can be of several types that are as
follows; (Figs. 11.1, 11.2, 11.3, 11.4, 11.5, 11.6 and 11.7).
Advantages and disadvantages of true experimental design:

Fig. 11.1 Different types of true experimental design (reprinted after slide share presentation on
7 May 2013, permission taken from Jayesh Patidar, Mehsana, Gujarat, India). N.B. The figure is
used from a publicly shared slide at slideshare.net after getting permission from the author and its
reference is also cited (at the reference section.)

Fig. 11.2 Post-test-only control design (reprinted after slide share presentation on 7 May 2013,
permission taken from Dr. Jayesh Patidar, Mehsana, Gujarat, India). N.B. The figure is used from
a publicly shared slide at slideshare.net after getting permission from the author and its reference
is also cited (at the reference section.)
11 Experimental Method 161

Fig. 11.3 Pre-test-post-test-only design (reprinted after slide share presentation on 7 May 2013,
permission taken from Dr. Jayesh Patidar, Mehsana, Gujarat, India). N.B. The figure is used from
a publicly shared slide at slideshare.net after getting permission from the author and its reference
is also cited (at the reference section.)

Fig. 11.4 Solomon four-group design (reprinted after slide share presentation on 7 May 2013,
permission taken from Dr. Jayesh Patidar, Mehsana, Gujarat, India). N.B. The figure is used from
a publicly shared slide at slideshare.net after getting permission from the author and its reference
is also cited (at the reference section.)

● A true experimental design is the only scientific or systematic way to investigate

and establish the causal (cause and effect) relationship between IV and DV.
● It is the most suitable method for explanatory research involving the measurement
of physical objects.
● It provides a great deal of accurate observation and measurement.
● In field experiments, social conditions not found naturally can be simulated by
the researcher.
● Simulated conditions can also be created in a short time that may happen naturally
after a long time.
162 S. T. Rahman and Md. Rabiul Islam

Fig. 11.5 Factorial design (reprinted after slide share presentation on 7 May 2013, permission
taken from Dr. Jayesh Patidar, Mehsana, Gujarat, India). N.B. The figure is used from a publicly
shared slide at slideshare.net after getting permission from the author and its reference is also cited
(at the reference section.)

Fig. 11.6 Randomized block design (reprinted after slide share presentation on 7 May 2013,
permission taken from Dr. Jayesh Patidar, Mehsana, Gujarat, India). N.B. The figure is used from
a publicly shared slide at slideshare.net after getting permission from the author and its reference
is also cited (at the reference section.)

Fig. 11.7 A crossover design (reprinted after slide share presentation on 7 May 2013, permission
taken from Dr. Jayesh Patidar, Mehsana, Gujarat, India). N.B. The figure is used from a publicly
shared slide at slideshare.net after getting permission from the author and its reference is also cited
(at the reference section.)

● The researcher has total control over the experimental setting at his or her level
best.
11 Experimental Method 163

● True experimental design has constraints on ethical problems in social researches

using human samples. For example, patients in hospitals cannot be deprived of
treatment or intervention due to serving the purpose of the control group.
● In the case of many social types of research, natural settings do not permit rigorous
control over the whole environment all the time.
● Participants’ reluctance to cooperate properly is another issue in following true
experimental design in social researches.

Quasi-experimental Design

In contrast to a true experimental design, in the case of quasi-experimental research

design, the levels of an IV cannot be manipulated by the researcher in a completely
controlled manner, rather the levels of the IV are some kinds of natural events or
characteristics (Asgari & Baptista Nunes, 2011). Here, the experimenter only can
assign participants to groups based on natural characteristics or events. For example,
the gender or sex of the participant cannot be manipulated by the researcher in a
study, however, he/she (the researcher) only can assign male and female participants
into two different samples (Figs. 11.8 and 11.9).
There are two types of quasi-experimental designs
1. Non-randomized control group design
2. Time-series design

Advantages and disadvantages of quasi-experimental design:

● A quasi-experimental design is more practical and feasible to conduct in many
social types of research where a large sample, randomization technique, control
group are not available.
● Sometimes, this design has superiority over true laboratory experiments because
it is more suitable for real-world or natural settings.

Fig. 11.8 Nonrandomized control group design (reprinted after slide share presentation on 7 May
2013, permission taken from Dr. Jayesh Patidar, Mehsana, Gujarat, India). N.B. The figure is used
from a publicly shared slide at the slideshare.net after getting permission from the author, and its
reference is also cited in the reference section.
164 S. T. Rahman and Md. Rabiul Islam

Fig. 11.9 Time-series design (reprinted after slide share presentation on 7 May 2013, permission
taken from Dr. Jayesh Patidar, Mehsana, Gujarat, India). N.B. The figure is used from a publicly
shared slide at the slideshare.net after getting permission from the author, and its reference is also
cited in the reference section.

● It allows the researcher to assess the effect of a quasi-independent variable under

natural circumstances.
● Its major disadvantage is the less control over extraneous variables than true
experiments.
● Sometimes, the lack of a true control group or lack of control over the research
situation risks the internal and external validity of the experimentation.

Importance/Uses of Experimental Design to Social

Researches

It can be implied that a true laboratory experiment vis-à-vis experimental (research)

method is only suitable for the disciplines of natural science like physics, chemistry,
biology, medicine, engineering, and so on (Mansilla et al., 2006). And usually, the
variables dealt with in researches in the field of social science are often measured
in nominal, ordinal, and at best interval scales rather than ratio scales. So, the use
of the experimental method is not so easy and is very often used research method
in much social research. Appropriately adaptive application of experimental method
discussed above with examples, however, can increase the strength of scientific social
investigations. Well, the social researchers may not be able to manipulate the levels
of IV like medical practitioners, yet, they can assign participants into different groups
of samples based on the criteria of the levels of the independent variables. There are
many famous classical social pieces of research available in the history of human
civilization and culture. Some of them are also available on YouTube, e.g.,
● Stanley Milgram Experiment—Will people obey orders, even if dangerous?
● Asch Experiment—Will people conform to group behaviour?
● Stanford Prison Experiment—How do people react to roles? Will you behave
differently?
● Good Samaritan Experiment—Would You Help a Stranger?—Explaining
Helping Behaviour.
11 Experimental Method 165

References

Asgari, S., & Baptista Nunes, J. M. B. (2011). Experimental and quasi-experimental research in
information systems.
Bliemer, M. C., & Rose, J. M. (2011). Experimental design influences on stated choice outputs: An
empirical study in air travel choice. Transportation Research Part a: Policy and Practice, 45(1),
63–79.
Flannelly, K. J., Flannelly, L. T., & Jankowski, K. R. (2018). Threats to the internal validity of
experimental and quasi-experimental research in healthcare. Journal of Health Care Chaplaincy,
24(3), 107–130.
Kennedy, J. J., & Bush, A. J. (1985). An introduction to the design and analysis of experiments in
behavioral research. University Press of America.
Lee, D. S. (2008). Randomized experiments from non-random selection in US House elections.
Journal of Econometrics, 142(2), 675–697.
Mann, C. J. (2003). Observational research methods. Research design II: Cohort, cross sectional,
and case-control studies. Emergency Medicine Journal, 20(1), 54–60.
Mansilla, V. B., Navakas, F., & Fiscella, J. (2006). Interdisciplinary work at the frontier: An empirical
examination of expert epistemologies. Issues in Interdisciplinary Studies.
Thyer, B. A. (2012). Quasi-experimental research designs. Oxford University Press.
Tuckman, B. W., & Harper, B. E. (2012). Conducting educational research. Rowman & Littlefield
Publishers.
Vargas, P. T., Duff, B. R., & Faber, R. J. (2017). A practical guide to experimental advertising
research. Journal of Advertising, 46(1), 101–114.
Welsh, B. C., Peel, M. E., Farrington, D. P., Elffers, H., & Braga, A. A. (2011). Research design influ-
ence on study outcomes in crime and justice: A partial replication with public area surveillance.
Journal of Experimental Criminology, 7(2), 183–198.
Chapter 12
Social Survey Method

Isahaque Ali, Azlinda Azman, Shahid Mallick, Tahmina Sultana,

and Zulkarnain A. Hatta

Abstract The survey method is one of the most commonly used methods in all
branches of social sciences research. Social survey research, which includes cross-
sectional and longitudinal research, is best used to gain information about large
populations and measure public attitudes and orientations in a large population. The
motivation of the respondent and openness of the researchers is of utmost importance
for survey research. The chapter will guide young researchers on how to clearly
distinguish between the survey method and other methods used in social sciences
research.

Keywords Social research · Survey · Questionnaire · Structured interview

Introduction

The social survey remains one of the most commonly employed research techniques
(Didier Marquis & Wiles-Portier, 2010), especially in social sciences, social work,
and other pertinent areas including health, population services, and census. This
method was initiated by British social reformers in the Victorian era to obtain data on
poverty and labouring-class life (Converse, 2009; Kelley et al., 2003; Ponto, 2015;
Rubin & Babbie, 2011). Social survey research is best used to gain information
about large populations (Check & Schutt, 2012). Social surveys do not control for or
manipulate the independent variables or the treatments. It is also a non-explanatory

I. Ali (B) · A. Azman

School of Social Sciences, Universiti Sains Malaysia, Penang, Malaysia
e-mail: [email protected]
S. Mallick · T. Sultana
Department of Sociology and Social Work, Gono University, Dhaka, Bangladesh
Z. A. Hatta
Faculty of Social Science, Arts and Humanities, Lincoln University College, Selangor Darul
Ehsan, Malaysia

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 167
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_12
168 I. Ali et al.

research design, as it uses a statistical test to measure variables and their relationship
with others. Social surveys could capture beliefs, practices, or situations from a
random sample using a survey questionnaire or structured interview (Bhattacherjee,
2012).
In conducting a survey, the researcher identifies the sample of respondents and
administers a highly structured and straightforward questionnaire to obtain informa-
tion for the data grid (Massey & Tourangeau, 2013; Rubin & Babbie, 2011). The
survey method is a quantitative research tool, recognized for its structured collection
of data about a population through the use of contemporary questions (Kendra, 2016).
This chapter attempts to explain the method of social survey, its characteristics, types,
significance, merits, demerits, and limitations.

Meanings and Definition of Survey Research

Although the social survey is a very old research technique, it is still one of the
most favoured methods in social science study. A probability survey is best used
to describe a pre-determined population using a small sample (Rubin & Babbie,
2016). Different researchers and methodology experts have defined social survey in
different ways, which are discussed below:
According to Duncan Mitchell’s Dictionary of Sociology, a social survey can
be defined as “a systematic collection of facts about people living in a specific
geographic, cultural or administrative area”. Meanwhile, Bogardus described it
as “the collection of data concerning the living and working conditions, broadly
speaking of the people in a given community”.
Another definition offered by the Oxford Dictionary is that a survey under-
takes a close examination of someone or something: It also includes evaluating and
recording the area and characteristics of (a land) to build a map, plan, or description:
It assesses the ideas, experience, or behaviour of (a group of people) by questioning
them.
Creswell (2009) and Babbie (2012) indicated that survey research quantitatively
describes trends, behaviours, or opinions of a population-based on a sample study.
Social survey research can be divided into cross-sectional and longitudinal studies;
both studies rely on questions or structured interviews to obtain sample data, which
can be generalized to a population. Furthermore, Kendra (2016) stressed that ‘a
survey may attempt to obtain factual information or opinions of respondents’.
Summarily, ‘a survey is a method by which self-reported information of indi-
viduals is obtained’. De Vaus (2014) mentioned that the survey method refers to
compiling information in an organized and scientific way from a few or all units
of the population using distinct thoughts, procedures, and methods in a prescribed
form. It is very useful when there is insufficient data. De Vaus also established that
questionnaires, along with other methods like structured and in-depth interviews,
content analysis, and observation, which are also used in the survey research, have
been widely used for compiling data. Blackstone (2012) categorized the social survey
12 Social Survey Method 169

under a quantitative data collection method, where researchers use a set of a ques-
tionnaire for the sample, individuals or entire groups. The social survey approach is
very effective for a large group of people or a large sample. This approach assists
researchers to identify specific individuals or locations and capturing in-depth infor-
mation about the population (Singleton & Straits, 2009). In this regard, as reflected
by the various definitions above, a social survey is a method of collecting data
consistently or systematically.

Characteristics of Social Survey

Similar to other research methods, survey research has some distinguishing features,
which set it apart from other social research methods. Different social science
research methodology experts have characterized the survey method with various
characteristics (Jackson, 2011). Check and Schutt (2012) noted that, although the
explanatory and measured variables in survey research are employed in the specifi-
cation of the study scope, they cannot be explicitly controlled by the researcher. In
this light, a social survey has three unique features, which are:
(a) In the majority of cases, the survey method is used in quantitative research
design and in examining the relations between variables.
(b) In survey research, the required particular data is collected from people.
(c) During the survey, some portion of the sample has been selected to generalize
the total population.
Phillips et al. (2013) highlighted that an effective survey method must satisfy
the following criteria: measurable survey objectives, good research designs; clear
survey question; reasonable sampling plan when needed; effective survey response
strategy; and purposeful data summary, display and reporting. Employing a good
survey design is important to ensure the alignment between surveys and social
sciences. A well-designed survey should consider the demographic information of
the targeted survey respondents (Ponto, 2015). The focus of the survey needs to be
very clear; for example, a researcher intending to survey the health situations of
garments workers of Bangladesh must have a specific view about the types of health
problems he/she should focus on. The items in the questionnaire should be simple,
clear, and free from jargon. It is good to avoid two-part questions, as some partici-
pants would only answer one part of the questions and leave the other part, and this
could have some implications on the quality of the survey (Costanzo et al., 2012). In
a close-ended questionnaire, it is useful to provide a section that allows comments
from respondents. Questions should also be logically organized and presented in the
questionnaire form and a logical sequence (Check & Schutt, 2012). The motivation
of the respondent and openness of the researchers also contributes to the effectiveness
of survey research (Farrell & Petersen, 2010).
170 I. Ali et al.

Advantages and Disadvantages of Social Survey

The social survey method is the most commonly used research method in social
sciences due to its applicability, general acceptability, and wide acceptance. On the
other hand, there are also some limitations to this method (Chang & Krosnick, 2009).
Table 12.1 shows major advantages and limitations of the social survey:

When and Why Social Survey Could Be Used in Social

Research

Research can be categorized into three, namely exploratory, descriptive, and causal.
Each research has unique features and outcomes, which will be used in certain
ways. A social survey in social research is considered a descriptive and conclu-
sive survey due to its quantitative nature (Didier Marquis & Wiles-Portier, 2010).
Consequently, researchers are expected to direct pre-established questions to the
entire group or sample of individuals, especially if they intend to delineate certain
characteristics of a very large population or obtain particular information about them
within a short period (Denscombe, 2010). In addition, the use of the survey method
helps researchers to recognize particular persons or areas to obtain the data. Survey
research, just like other methods of data collection, is suitable for responding to
several forms of research questions such as defining an opinion, attitude, or behaviour
held by a group of people and statistics of a given subject (Didier Marquis &
Wiles-Portier, 2010).
There are four benefits of choosing the survey method. First, the survey method
is less costly or more cost-effective compared to other survey methods. Second, the
survey method is extensive and useful for gathering large data in a short period. Third,
it is flexible and can be administered in different modes as mentioned earlier. Finally,
it is also dependable, as the anonymity of the survey allows the respondent to answer
more confidently, which could lead to more accurate data. Anonymity is the essence
of survey research where it provides an avenue for more honest and unambiguous
response than other types of research methodologies (Denscombe, 2010).

Types of Sampling

A sample can be defined as a group of respondents that are selected from and repre-
sentative of a large population. The two types of sampling include probability and
non-probability sampling.
● Probability sampling involves the selection of respondents based on probability
theory. In other words, all individuals in the population have an equal chance of
12 Social Survey Method 171

Table 12.1 Advantages and disadvantages of social survey

Advantages Disadvantages
• Due to the very structural form of its nature, a • Surveys are unsuitable to use when there is a
social survey is very easy to administer and use. requirement for obtaining historical context
This method can be administered via various phenomena (Check & Schutt, 2012). For
modes, including in-person, door-to-door, example, a researcher may be interested focused
regular electronic mail or even via telephone on historical events like the liberation war in
calls Bangladesh
• The survey allows data to be collected from a • It is not possible to obtain sufficient information
large sample in a short period and it is easier to through relying on surveys and there is a need
generalize responses from a large sample to the to use another research method such as case
general population. Examples of surveys study, content analysis or in-depth interview
include population census and the crop census • Another main weakness of the survey is related
of Bangladesh, surveys are inclusive and require bias. Biases may occur either due to the lack of
minimal investment. Surveys make it easier to response from the survey respondents or due to
collect abstract data like psychological data, the nature and accuracy of the responses that are
which are difficult to collect through other received. For instance, in a study on income and
methods like the case study or ethnographic satisfaction of garments workers in Bangladesh,
method. However, it is important to note that the questions and responses should be related to
surveys not only provide the exact measurement issues on income and satisfaction and that the
but also estimates for the true population responses need to be well acquainted with the
(Ponto, 2015) issue to avoid misleading responses
(Denscombe, 2010)
• Other sources of errors include intentional
misreporting by the respondent as everyone
wants to feel good and informative and hide
actual behaviour and as a result, the survey data
becomes faulty. In addition, respondents may
have difficulty assessing their behaviour or have
poor recall of the circumstances surrounding
their behaviour. This type of error or problem is
more profound in studies using the
cross-sectional survey method
• The non-response and social desirability bias
could create potential challenges in the use of
the survey method. Non-responses are mostly
related to structured and written surveys and it
is frequently reported in mail and telephone
surveys. However, social science methodology
experts suggested the response rate of 85% or
more is considered as very good while anything
below 60% might severely impact the
representativeness of the sample (Kendra, 2016)
• Social desirability bias is when people respond
in a way that makes them look better than they
are. For example, a respondent might report that
they engage in healthier behaviours than they do
in real life (Farrell & Petersen, 2010). In
addition, respondents in a study on the domestic
stand might show that they believe in the
desirable family and cultural values, but in real
life, the person himself is in engaging in
domestic violence
172 I. Ali et al.

Table 12.2 Main differences

Features Cross-sectional Longitudinal studies
between cross-sectional and
longitudinal studies Timeline One point of time Multiple points of
time
Sample types Different (fresh sample Same sample
each time)
Results Deliver snapshot in a Provides details of
given point of time changes over time

being selected (Massey & Tourangeau, 2013). The probability sampling method
uses random sample techniques for the selection of samples.
● Non-probability sampling is a technique that uses non-random or convenient
sampling.

Types of Social Survey

In line with the extant studies and from the practical perspective, we can divide
the survey methods into various categories. The type of social survey to be used
could be determined by the time allocation and how the survey is being adminis-
trated. For instance, when and what frequencies surveys are being administered and
carried out on the respondents. In most cases, survey-based studies could be catego-
rized into cross-sectional and longitudinal. A cross-sectional study is performed at a
snapshot. This type of survey provides investigators with a generalized view of the
time and events pertinent to issues being studied and are usually based on the past
experiences of the respondents (Blackstone, 2012). In this light, the limitations of
cross-sectional surveys could be minimized by implementing longitudinal surveys.
The main differences between cross-sectional and longitudinal studies are presented
in Table 12.2.

The Social Survey Life Cycle

Project leads may be responsible for supervising the work and ensuring the
association between people and the elements of the social survey life cycles.
Study design and organizational structure: This encompasses establishing the
research problems, research’s aims and objectives, attainable resources, funding
source for a survey, study type (cross-sectional or panel), study duration, numbers
of the interview, capacity of research and available infrastructure in the major areas
(presence of sampling frames, field staff and technical systems) and data collection
procedure (Hibben et al., 2016, p. 6).
Study management: This entails establishing requirements, tackling the demands,
worries and expectations of stakeholders, securing effective communication means,
12 Social Survey Method 173

neutralizing contending challenges, and concluding major procedures and phases of

the project (Scott et al., 2016, p. 34). The steps of study management are shown in
Table 12.3 and the social survey lifecycle in Fig. 12.1.

Box 12.1: Common types of longitudinal studies

Trend survey: This is performed by researchers whose interest is to examine
the dynamics of people’s inclinations
Panel survey: This involves repeated assessment of the same households
or individuals at different points in time. Examples of panel surveys are
the Living Standards Measurement (LSMS) of the World Bank, Demo-
graphic and Health Surveys (DHS) of USAID and Multiple Indicator Cluster
Surveys of UNICEF
Cohort survey: This involves monitoring and recording the behaviours of
groups of individuals exposed to similar life events in a given period
Retrospective survey: This type of survey compares a group of people with
a disease or condition under study (cases) with another group without the
disease or condition (controls)

Longitudinal surveys, which include trend, panel, cohort, and retrospective

surveys, facilitate researchers’ examination of an issue for a long time. In conducting
a trend survey, the researcher will observe or examine a change in trend over time. It
is noteworthy that participation of the same people is not required in a trend survey
(Ponto, 2015). One example of this form of study is a survey to observe rainfall
trends or decreasing underground water in the northern part of Bangladesh. The key
variable here is the trend, rather than a particular people or community. As for the
panel survey, it is conducted with the same people (panel) over time, and data are
collected from a sequence of interviews (Jackson, 2011). For example, in a survey
that focuses on youth and extremism in Bangladesh, 100 youth will be interviewed
each year or every 3 or 5 years. The researcher will need to trace the respondents’
behaviours and lifestyles including their residence, employment, course of study,
daily activities, etc. While this could be a huge task and involve a large number of
resources and time-consuming, the result could be powerful.
Another form of longitudinal study is the cohort study. This form of study recog-
nizes several categories of people, and researchers need to frequently collect infor-
mation from them. In this light, each respondent should meet the criteria for research,
and the same people don’t need to participate each year. In a cohort study, a researcher
may include people from the same generation, born in the same year, received the
same education, have similar qualifications, work in the same place, have the same
profession and share common life experiences (Denscombe, 2010; Ponto et al., 2010).
For example, if a researcher’s research interest is on female garments workers or the
work environment in the Export Processing Zone (EPZ) in Bangladesh, then he or
she will survey the cohort of female garments workers or those working in EPZ.
174 I. Ali et al.

Table 12.3 Steps of study management

Steps of study management
1. Tenders, bids and contracts 7. Presetting and data collection
• Prepare tenders with detailed requirements • Determine the appropriate pretest method
• Conduct a bidding process and select survey and design
organizations • Conduct a pilot study
• Negotiate and execute contracts • Pretest the survey instrument with the target
2. Sample design population
• Define the target population and determine • Select the appropriate data collection mode
the sample size and develop procedures for that mode
• Identify the sampling frame • Establish a protocol for managing the survey
• Implement a selection procedure sample
3. Questionnaire design • Manage data collection and quality control
• Select a comparative question design • Consider potential risks and necessary
approach backup plans if goals are not met
• Develop protocols for evaluating questions 8. Para data and other auxiliary
• Adopt questions, adapt questions • Investigate the para data /auxiliary data
4. Adaptation and translation available and informative to survey errors
• Identify adaptation needs • Choose appropriate para data indicators for
• Modify the questionnaire content, format or survey error and monitor the indicators
visual presentation starting at the initial phases of data collection
• Adapt design features • Implement interventions by altering the
• Find, select and brief translators active features of the survey in subsequent
• Use existing or develop translation tools phases or at real-time of the data collection
• Complete language harmonization based on cost/error tradeoff decision rules
5. Instrument technical design • Perform analysis using para data to
• Develop design specifications for investigate survey errors
9. Data harmonization
instruments and a sample management
• Determine a harmonization strategy
system
• Develop interface design and programming • Determine the technical specifications of the
guidelines system used for data harmonization
• Use a systematic approach to harmonize
• Determine testing specifications
variables
• Determine reporting specifications
• Compare and integrate information across
6. Interviewer recruitment, selection and
data files
training 10. Data processing and statistical adjustment
• Determine required characteristics of • Code survey responses and enter them into
interviewers electronic form
• Recruit and hire interviewers • Edit and clean data
• Select interviewer trainers • Define data quality checks
• Create a training plan and determine the • Develop survey weights
necessary training materials which may 11. Data dissemination
involve identifying existing materials or • Preserve key data and documentation files
preparing new training materials • Produce public- and restricted-use data files
• Prepare final data deliverables and reports
12. Statistical analysis
• Apply statistical procedures to data files
Sources Scott et al. (2016, p. 38)
12 Social Survey Method 175

Fig. 12.1 The social survey lifecycle. Source Survey Research Center (2016)

A retrospective survey is a type of longitudinal study that compares two groups

of people. It is conducted only once like a cross-sectional study. This kind of study
emphasizes the existing data obtained from the respondents rather than conducting
new research. The researcher will evaluate the respondent’s past beliefs, behaviour,
and experiences within a short period. Hence, this form of study is cheaper to conduct.
However, it is important to consider that the respondents’ past beliefs may differ
from their current beliefs and the respondents may have little memory of what they
experienced before. For instance, research can survey where, how, and with whom
the respondents spent their Pahela Baishak (the first day of Bengali New Year). As
Pahela Baishak is celebrated every year, there might be chances that their recollection
could be incorrect.
Table 12.4 presents the merits and demerits of interview, self-administered, tele-
phone, mail, and online surveys. As discussed above, whether the survey falls into
cross-sectional or longitudinal surveys depends on the time and frequencies of the
176 I. Ali et al.

survey being administered. Another important consideration in choosing a survey is

how it is being administrated (Dillman et al., 2009). The most common survey type
is self-administered surveys (not very common or usual practice in Bangladesh, but
very common in Europe and America), which use self-administered questionnaires.
A self-administered questionnaire (SAQ) allows respondents to answer the survey
questionnaire without intervention from the research (Lavrakas, 2008). Hard copies
of self-administered questionnaires can be sent to the respondents either using regular
mail or e-mail. The researcher will ask the respondents to fill out the questionnaire
directly or allocate a specific time for the respondents to respond to and return the
completed questionnaire (Costanzo et al., 2012). In this regard, researchers have
started to favour online surveys instead of door-to-door surveys. In some cases, the
survey questions will be read by the researchers instead of asking the respondents to
read them themselves. This kind of survey is the most prevalent in Bangladesh due to
a high illiteracy rate. Another form of survey is an interview survey where an inter-
view is conducted to collect information from two or more persons. This process is
usually guided by a questionnaire or an interview guideline. However, the interview
is time-consuming, and special skills and training are needed for those taking the role
of the interviewer (Bhattacherjee, 2012). The interview can be conducted either by
telephone or face to face. A researcher could use closed-ended questions, whereby
the researcher limits the response choice or utilizes open-ended questions, which
lack any option for the respondent, thus giving respondents the choice to answer the
questions in their own words (Farrell & Petersen, 2010). Based on the aforemen-
tioned exposition, the researcher is required to understand the characteristics of the
study population so that he/she could identify the appropriate mechanism to deliver
the survey.

Role of Interviewer

The interview is a complex and multifaceted issue; therefore, the interviewer should
play an important role in the following tasks (Bhattacherjee, 2012, p. 79):
● Interview preparation: In survey research, the interviewer is the principal actor for
collecting quality data. Hence, the interviewer should be well trained and skilful
to conduct a successful interview.
● Identify location and schedule: The interviewer should identify the location and
ensure the interview is conducted at a convenient time for the respondents.
● Motivate respondents: The interviewer must clarify the importance and objective
of the research to motivate respondents to participate in the study.
● Clarify any questions or concerns: The interviewer should explain clearly any
questions or concerns raised by the respondents for them to understand the subject
matters.
● Observe the quality of response: The interviewer is the main judge to check the
quality of collected information.
12 Social Survey Method 177

Table 12.4 Advantages and disadvantages of interview surveys, self-administered surveys, tele-
phone surveys, mail surveys and online surveys
Survey method Advantages Disadvantages
Interview surveys ▪ The researcher fills out the ▪ Special interviewing skills are
questionnaire themselves rather essential for conducting the
than asking respondents interview
▪ The response rate is much ▪ Sample size limited
higher, more valid data ▪ Interviewer bias possible
▪ The interviewer can clarify ▪ More labour requires for large
questions easily geographic areas
▪ The presence of the interviewer ▪ High cost
encourages participation ▪ Time-consuming
Self-administered surveys ▪ No interviewer to recruit, no ▪ Low response rate
training ▪ Self-selection bias
▪ Cheap and essay to administer ▪ Slow form of collection
▪ Reach to a large population ▪ More skipped question,
▪ Essay to coverage geographic misunderstanding and more
areas mistake
▪ No influence by the interviewer
Telephone surveys ▪ Wide coverage ▪ More expensive
▪ High response rate ▪ Sampling bias
▪ Better communication ▪ No visual communication.
▪ Reduce the rate of data error Limited interview length
▪ Familiarity with telephone ▪ Unreliable telephone access in
technology some areas
▪ Efficient data collection and
storage
Mail surveys ▪ Wide coverage ▪ Good reading and writing
▪ Low cost skills are required by
▪ Avoid interviewer bias respondents
▪ Respondents get ample time to ▪ Requires simple question
answer ▪ No control over with
▪ A sample might be hard to reach respondents
Online surveys ▪ Easy access to a large ▪ Costly for the interviewer
population ▪ Lower response rate
▪ Reduced cost ▪ Requires higher literacy
▪ Higher response rate ▪ Multiple responses from the
▪ Higher flexibility same person
▪ Essay administration
▪ Reduce time and error of data
entry

Conclusions

The social survey remains one of the most effective and popular methods of inves-
tigation in the social sciences. The social survey is a structured method of data
collection and can be categorized into cross-sectional and longitudinal surveys. A
cross-sectional survey is usually conducted once. However, some respondents are
178 I. Ali et al.

unable to link responses with his/her past, which might lead to insufficient results.
Therefore, social survey methods involve several steps, including identification of
the study problems and objectives; determination of the sample selection frame and
design; preparation of the questionnaire; collection, processing and analysis of data;
dissemination of results; and preparation of the final report. It is worthy of note
that the application of social survey methods should be preceded by the researcher’s
establishment of research design, study objectives, and study questions.

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Chapter 13
Survey Questionnaire

Shofiqur Rahman Chowdhury, Mohammad Ali Oakkas,

and Faisal Ahmmed

Abstract This chapter provides a guideline for a researcher intending to conduct a

survey and utilize the questionnaire as an instrument for data collection. Based on
the authors’ experience of using the survey questionnaire, it discusses the meaning,
characteristics and types of questionnaire, its applicability, strengths and limitations,
and the quality of the researcher while using the questionnaire. This chapter aims
to provide a better understanding of the appropriate use of a survey questionnaire,
its construction and ways to increase the respondents’ spontaneous participation in
survey research.

Keywords Survey research · Questionnaire · Self-administered questionnaire ·

Group-administered questionnaire · Web survey · Interview schedule

Introduction

The Social Work Department of Shahjalal University of Science and Technology,

Bangladesh, conducted a study on its alumni to understand their opinion about the
program curricula of the department. The aim was to identify gaps between the
existing program and the demands of the field of application to redesign the courses
accordingly, maintaining the international standards in higher education. Funded by
the World Bank, the project is titled ‘Higher Education Quality Enhancement Project’
or (HEQEP). As part of the study program, the alumni were posed with some of the
questions below (Box 13.1).

S. R. Chowdhury (B) · M. A. Oakkas · F. Ahmmed

Department of Social Work, Shahjalal University of Science & Technology, Sylhet, Bangladesh
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 181
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_13
182 S. R. Chowdhury et al.

Box-13.1: Example of a questionnaire designed to evaluate a program

Evaluate the following aspects of the program in terms of capacity to provide
quality education by marking (Tick mark) in the box of the corresponding
column according to the scale given:

5—Strongly agree 4—Agree 3—Neutral 2—Disagree 1—Strongly

disagree

Area of evaluation 5 4 3 2 1
1. The department informed the students in advance about ✓
the program objectives, outcomes, and methods of
evaluation
2. The department ensured a favourable learning ✓
environment required for developing students’ creative
thinking
3. Impartiality and transparency were maintained at all ✓
academic decisions
4. Academic calendar was maintained properly ✓
5. Examination results were published on time following ✓
the university ordinance
6. Teachers–students relationship was friendly which ✓
contributed to creating a positive learning environment
7. Department had a formal process to collect students’ ✓
feedback on academic and non-academic matters
8. Website was informative, and usable for various ✓
purposes

● What are the best aspects of your program?

Ans. --------------
● What aspects of your program could be improved?
Ans. ---------------------
Source University Grants Commission of Bangladesh (2016)

The above-mentioned questionnaire is more commonly known as a survey ques-

tionnaire. This type of instrument is frequently used in social sciences, health, educa-
tion and business research for collecting various data about a particular situation or
problem, service, organization and product, etc. (Alalwan et al., 2017; Chowdhury &
Wahab, 2019; Hoque et al., 2016; Malak, 2013; Reza & Subramaniam, 2019; Roy
et al., 2013).
13 Survey Questionnaire 183

Meanings and Definitions

Obtaining the appropriate data from field studies is paramount in achieving successful
survey research. The researcher must gather the opinion of respondents in a trust-
worthy and accurate manner. This is an extremely complicated task. A well-designed
questionnaire is considered an effective tool. Sir Francis Galton, an English Poly-
math, introduced it in the survey (Kabir, 2016; Roopa & Rani, 2012). The Oxford
Dictionary (2017) defines the questionnaire as ‘a set of printed or written questions
with a choice of answers, devised for a survey or statistical study’. Kuper and Kuper
(1999) refers to a questionnaire as ‘a structured and standardized set of questions,
either to one person, to a small population, or (most commonly) to respondents in
a sample survey’ (p. 710). Barr, Davis, and Johnson define the questionnaire as ‘a
systematic compilation of questions that are submitted to a sampling of the popula-
tion from which information is desired’ (in Sharma, 2008, p. 254). Engel and Schutt
(2009) define a questionnaire as ‘the survey instrument containing the questions
in a self-administered survey’. From the aforesaid definitions, it can be concluded
that the survey questionnaire consists of a set of questions used in social research
where the research approach may be a mixed method or quantitative. It is an instru-
ment of data collection where the researcher considers the survey as an appropriate
research method to address the research questions and attain the research objectives.
The research objectives may be designed in line with respondents’ preferences, atti-
tudes, ideas, behaviours, and facts. It is structured and standardized, this means that
the respondents have the opportunity to choose from multiple options, express their
views freely on several issues, and evaluate anything by determining the level.
Based on the above explanation, the principal characteristics of a ‘good’ survey
questionnaire are summarized below.
● The survey questionnaire is a structured and standardized set of questions ensuring
the respondents remain interested and engaged until the very last question.
● Based on the research objectives, the survey questionnaire makes use of closed
or open-ended questions. Closed-ended questions help the researcher to compare
the different answers and also carry out statistical analysis easily. Open-ended
questions allow the respondents to answer freely and descriptively, encouraging
the researcher to delve into alternative findings. Each question is designed to focus
on a single idea, thus avoiding unclear and ambiguous questions.
● The application of a survey questionnaire depends on the research subject,
resources, geography, time, and sociocultural landscape, etc.
● It is most often used as a method of data collection in survey research where the
research approach is either quantitative or a mixed method.
184 S. R. Chowdhury et al.

Types of Survey Questionnaire

The survey questionnaire is understood in various ways based on its type, nature
of the responses, and methods of administering. The types of responses include
open- and closed-ended. The method of administering is usually classified as (i)
self-administered mailed questionnaire, (ii) group-administered questionnaire, (iii)
household drop-off survey questionnaire, (iv) online survey questionnaire, and (v)
face-to-face interviews. The descriptions of the type of survey questionnaires are
outlined below.
(i) Self-administered mail questionnaire
A self-administered mail questionnaire refers to one which is mailed to the
respondents for self-completion. The researcher is not present during the
process, and the respondents can complete the survey at their convenience,
returning it in a prepaid envelope (Bhattacharjee, 2012). The following example
may provide a better understanding of the self-administered mail questionnaire:
The Directorate of Social Service under the Ministry of Social Welfare, Bangladesh,
runs a program titled Hospital Social Service Program in 90 government and non-
government hospitals. The program offers social, financial, and mental support to poor
and helpless patients. It also provides illness-related information to the patients, their
family members and the hospital authority, including the physicians, nurses, and the
staff. Suppose the Ministry conducted a study to know the attitudes and experiences of
the concerned staff while dealing with poor patients seeking service from the program.
To gather data from the staff the research team developed a set of questionnaires and
sent them to the staff working in 90 hospitals via postal service. The staff filled in the
questionnaire themselves and sent it back to the research team.

Another example may be given from the World Bank’s research project that
has been mentioned in our introduction. The main goal of the project was
to ensure quality education and enable the department to maintain its inter-
national accreditation. To meet the objective, the selected department within
a university, surveyed the employers of its graduates. The survey aimed to
ascertain information, about the quality of the performance of graduates and
the applicability of theoretical knowledge in their respective work settings. In
preparation for data collection, the research team sent out questionnaires to
the employers with a covering letter explaining the aims and objectives of the
research. The respondents returned their completed questionnaires in prepaid
envelopes or emailed them directly. This process followed the self-administered
questionnaire methodology.
(ii) Group-administered questionnaire
The self-completion process of the questionnaire may also be adopted in
group settings. It is commonly known as a group-administered questionnaire.
Selected respondents are invited to a particular place where they are asked
to complete the survey questionnaire independently without interacting with
others. Following this process, the World Bank’s research project that we
mentioned earlier ascertained information about the academic environment of
13 Survey Questionnaire 185

the department of social work. The research team invited the current students
of the department to a particular setting, briefed them on the objectives of
the research, and distributed the questionnaire among them. Accordingly, the
respondents filled in the questionnaires. To illustrate further, another example
of the group-administered survey questionnaire is given below.
Sharkari Shisu Parivar is a state-sponsored program of the government of Bangladesh.
It provides shelter, education, and rehabilitation service to the orphans. To understand
the status and satisfaction of the orphans, a research team brings the selected orphans to
a setting or dormitory and asks them to complete the questionnaire that they complete
instantly.

(iii) A household drop-off survey questionnaire

This is another type of questionnaire where the researcher contacts the respon-
dents to deliver the questionnaire either to their house or workplace (Trochim,
2007). During the delivery process, the researcher describes the aims and objec-
tives of the research, the importance of the respondents’ involvement, as well
as clarifying key questions and explaining the processes that are employed to
harvest the information from the respondent. The collection process can be
carried out using one of two methods. One is to request the respondent to send
back the questionnaire through a postal or courier service. The other is by
arranging a collection point that is mutually suited to both the respondent and
the researcher. Using these methods of administration allows the researcher
to establish a relationship with the respondent as well as provide clarification
about the research objectives and shed light on any ambiguity surrounding
the questionnaire. Trochim (2007) views that the application of the household
survey questionnaire increases the respondents’ willingness to participate in
the research process.
(iv) Online or web survey
In an online survey, the respondents receive electronic mail from the researcher.
Here the researcher requests the respondents to participate in a research process
by using an interactive form. Ritter and Sue (2007) describe how an online
survey questionnaire can be designed. For this, user login with a password and
instructions on completing the questionnaire needs to be provided. Questions
should be presented simply, logically, and finally would include a thank you
message acknowledging the respondents’ contribution in attaining the goal of
the research.
However, the researcher needs careful attention before using the online
survey questionnaire. She/he should be cautious about the objectives of the
survey and the types of respondents. She/he should decide whether the feedback
for the survey, should be from the public or people with expertise within the
research topic. The researcher also needs to consider the nature of the questions
including multiple-choice, open- or close-ended questions, etc. and also justify
the use of the questions. Data collection through this process seems to be easier,
less expensive as well as time-saving. However, it has some limitations. The
respondents, such as the poor, illiterate, elderly and people with no access to
186 S. R. Chowdhury et al.

a computer and internet, are automatically excluded from the research. Even
people with access to a computer and internet may not be able to respond due
to technical difficulties.
(v) Interview schedule
In social research, data are often collected through face-to-face interviews.
When the researcher adopts either a quantitative or a mixed-method approach
and a social survey as their chosen research methodology, the researcher can
collect the data through face-to-face interviews using questionnaires. Here
the survey questionnaire is called an interview schedule. For example, one
of our authors made use of this type of questionnaire for his PhD study, titled
Socio-economic status of fishermen in Hakaluki Hoar, Bangladesh. The main
objective of the study was to explore and analyse the present socio-economic
conditions of fishermen in Hakaluki Haor (a marshy wetland ecosystem area)
of Bangladesh. The study comprised of data from 287 samples, from people
living in the Haor area of Moulvibazar and the Sylhet Districts of Bangladesh.
Another example can be given from the study of Ullah (2007), who did his
PhD on ‘Rationalizing migration: Bangladeshi migrant workers in Hong Kong
and Malaysia’. It examined how the Bangladeshi migrant workers in Hong
Kong (HKRs) and Malaysia (MRs), go about their decisions to migrate and how
they rationalize this, by looking at the two perspectives of the migration process.
The study used a survey questionnaire to collect data from the Bangladeshi
migrant workers working in Malaysia and Hong Kong.
The researcher often becomes confused between the interview schedule or
guide and the questionnaire. Scholars, in this case, describe the differences
between the interview schedule and the questionnaire by highlighting their
different usages. Few suggest, the questionnaire should be constructed using
short and closed-ended questions, while the interview schedule will contain
broad and open-ended questions. But making a distinction between the two
tools is often complicated. Both closed and open questions are frequently used
in questionnaires and the interview schedule. The only difference is, the ques-
tionnaire is self-administered and the interview schedule is completed by the
researcher face-to-face. Making use of the interview schedule as a method of
data collection enables the researcher to build a trustworthy relationship and
interpret the respondents’ answers more robustly.

Types of Questions Used in a Survey Questionnaire

From the previous discussion, it is obvious that the survey questionnaire is a set of
questions. The size of the questionnaire depends on the objectives of the study, the
resource, the capacity of the researcher, and the time constraints. For example, a PhD
study requires an in-depth understanding of the knowledge gap and the researcher’s
intentions of addressing this. Diverse issues are considered in answering the research
questions. Here, the size of the survey questionnaire may be large. On the other hand,
13 Survey Questionnaire 187

the sampling size may be small when there is funding limitation, time constraints
and the objectives are very specific such as getting feedback on products or services
provided by an institution. There are a variety of questions that can be used, the
authors such as Neuman (2011), Grinnell and Unrau (2008), and Trochim (2007)
mention the different types. These are open- and closed-ended questions, multiple-
choice, dichotomous, nominal, ordinal, and interval questions. Likert response scale
and contingency questions can also be used. However, based on the nature of ques-
tions we can mention two types: open-ended and closed-ended. Other types of ques-
tions are included in the closed-ended category due to the answers being limited and
fixed by the researcher. Here we present a survey questionnaire to show some of the
types of questions (Box 13.2).

Box-13.2: Examples of the types of questions used in the survey

questionnaire
Community Empowerment Initiative of Faith−based NGOs: A Case
Study on Islamic Relief Worldwide in Bangladesh
Survey Questionnaire
The main objective of my research is to examine the impacts of the faith-
based NGOs’ interventions towards community empowerment. Since you are
a registered group member of Islamic Relief, I will be grateful if you share your
opinions regarding this topic. Please note that the information given by you will
be used only for academic purposes, and I will not disclose your opinions and
I will strictly maintain the confidentiality of your information. You have every
right to withdraw yourself from the interview at any time. After finishing the
interview, I will let you know what I have written from you, and you will have
the opportunity to add or delete anything that you will give. Your cooperation
would be highly appreciated.
Group Name: Date and Time: Mobile No (If any): Questionnaire No:

1. Personal and Family Data

Rela- Gender* Reli- Marital Age Educa- Primary Income House House
tionship gion* status* tion* occupa- Secondary status* struc- owner-
with the tion* occupa- ture ship*
respon- tion* *
dent
1
(Respon-
dent)
2
(continued)
188 S. R. Chowdhury et al.

(continued)

Rela- Gender* Reli- Marital Age Educa- Primary Income House House
tionship gion* status* tion* occupa- Secondary status* struc- owner-
with the tion* occupa- ture ship*
respon- tion* *
dent
3
4
5
6
7
Total Types of family: single Joint Extended
*Code:
▢Gender: Male-1, Female-2, Third gender-3. Religion: Hindu-1, Muslim-2. Income status: Earner-1,
Dependent-2, Unemployed-3
▢ Education: Illiterate-1, Can sign only-2, Can read and sign-3, Grade (1–5)-4, Grade (6–8)-5, Grade-9-SSC-6,
HSC-7, Graduate-8, Postgraduate-9, Other (Please specify)-10
▢ Marital status: Unmarried-1, Married-2, Divorced-3, Widowed-4, Separated-5
▢ Primary and secondary profession: Agriculture-1, Three-wheeler driver-2, Van puller-3, Rikshaw puller-4,
Garment’s worker-5, Daily labor-6, Security guard-7, Small vendor-8, Agriculture labour-9, Business-10,
Housewife-11 Other (Please specify)-14
▢ House structure: Corrugated tin-1, Mud-2, Bamboo-3, Bricked house-4, Semi bricked house-5,
▢ House ownership: Owned-1, Rented-2, Living free with neighbours/relatives-3, Mortgaged-4

2. Which organization do you have membership in apart from Islamic Relief?

Other Political Govt. Unregistered School Local No membership
NGO ▢ party ▢ cooperative cooperative management club ▢ ▢
society ▢ society ▢ committee ▢

3. Training and services received from Islamic Relief and other sources
Islamic Relief Other sources
Training Services/aid Source Services
▢Tailoring ▢Qurbani meat Government social safety ▢Old age allowance
▢Small business ▢Tree for plantation net program ▢Widow/abandoned
allowance
▢Cow rearing ▢Health services ▢Disability allowance
▢Goat rearing ▢Other (please ▢VGD ▢ VGF
▢Cattle fattening specify) ▢Other (please specify)
▢Group leading NGO ▢Loan ▢ Training
▢Financial ▢Health service
management
▢Other (please ▢Other (please specify)
specify)
13 Survey Questionnaire 189

4. Asset of the respondent and her family

Type of land Yes No Furniture and Yes No
accessories
Quantity Value Chair Quantity Value
Non-cultivated Table
land
Cultivated land Bench
(own)
Homestead Khat
Cultivated land Cloth rack
(mortgaged)
Cultivated land Showcase
(rental)
Sharecropping Dressing table
Total Value Sewing
machine
Type of Yes No Bicycle
livestock Quantity Value Auto van
Cow (own) TV
Cow (shared) Mobile
Goat/sheep/pig Electricity No Yes (own) Yes (shared)
Domestic birds Other (please
specify)
Total Value Total Value

5. Respondent’s income and expenditures

Sources of income (last one Monthly expenditures Loan and savings
year)
Sources Amount in Area Amount in Source Amount in
BDT BDT BDT
Crop Food Mortgage
production
Animal rearing Treatment Bank
Salary/wage Education NGO
Small business Agriculture IR
Rent Instalment Mohajon
Relief and Electricity Relatives
charity
Government Mobile Other (please
social safety specify)
net program
(continued)
190 S. R. Chowdhury et al.

(continued)
5. Respondent’s income and expenditures
Sources of income (last one Monthly expenditures Loan and savings
year)
Sources Amount in Area Amount in Source Amount in
BDT BDT BDT
Other (please Clothes Total
specify) Festival Savings
Other (please IR
specify) Other (please
specify)

6. Respondents’ opinion on Islamic Relief (IR) program impacts on community empowerment

domains
Domains of Entirely Disagree (2) Undecided (3) Agree (4) Entirely agree
community disagree (1) (5)
empowerment
Improves resource mobilization
1. I have come to 1 2 3 4 5
know many things
from IR’s
income-generating
training program
which was
previously unknown
to me
2. I have been able 1 2 3 4 5
to increase my
income through
training and
financial grant/loan
provided by IR
3. My savings have 1 2 3 4 5
been increased due
to the membership
of IR
4. I observe that 1 2 3 4 5
other group
members of IR have
increased their
income through
training and
financial grant/loans
provided by IR
(continued)
13 Survey Questionnaire 191

(continued)
6. Respondents’ opinion on Islamic Relief (IR) program impacts on community empowerment
domains
Domains of Entirely Disagree (2) Undecided (3) Agree (4) Entirely agree
community disagree (1) (5)
empowerment
5. I believe that 1 2 3 4 5
there is an
opportunity to
increase the income
of our group
members through
joint investment
6. I am well 1 2 3 4 5
informed about the
business initiatives
of our Apex body
Improves participation
7. I actively 1 2 3 4 5
participate in the
activities and events
arranged by IR
8. I share my 1 2 3 4 5
participation
experience as IR’
group member with
my family members
9. I share my 1 2 3 4 5
participation
experience as IR’
group member with
my neighbours
10. I believe that 1 2 3 4 5
joining as a member
of the IR group has
increased my
participation in the
decision-making
process of my
family more than in
the past
11. Now I think that 1 2 3 4 5
I can participate in
the events arranged
by my relatives
more than in the
past
(continued)
192 S. R. Chowdhury et al.

(continued)
6. Respondents’ opinion on Islamic Relief (IR) program impacts on community empowerment
domains
Domains of Entirely Disagree (2) Undecided (3) Agree (4) Entirely agree
community disagree (1) (5)
empowerment
12. If invited, I can 1 2 3 4 5
participate in the
events arranged by
the community
people
Develops local leadership
13. My skills and 1 2 3 4 5
confidence have
increased through
training and
awareness meetings
arranged by Islamic
Relief
14. Now I am well 1 2 3 4 5
capable to lead
myself in any
activity
15. Now I have full 1 2 3 4 5
freedom for my
movement
16. I have full 1 2 3 4 5
control over my
freedom and
decision
17. Now I have 1 2 3 4 5
active participation
in my family
decision-making
process
18. I think that I 1 2 3 4 5
have well
acceptance
regarding my family
decision-making
process
19. I actively 1 2 3 4 5
participate in our
group
decision-making
process
(continued)
13 Survey Questionnaire 193

(continued)
6. Respondents’ opinion on Islamic Relief (IR) program impacts on community empowerment
domains
Domains of Entirely Disagree (2) Undecided (3) Agree (4) Entirely agree
community disagree (1) (5)
empowerment
20. Now I can 1 2 3 4 5
engage other
community leaders
for our group and
community purpose
21. Through Islamic 1 2 3 4 5
Relief, I think that
an opportunity has
been created for our
group and Apex
body leaders to lead
in the community
22. I think that our 1 2 3 4 5
group and apex
body leaders have
now been well
accepted in various
community issues
Builds empowering organizational structures
23. I think that IR 1 2 3 4 5
activity is organized
and managed by the
local people
24. I think that the 1 2 3 4 5
leader selection
process of our group
and Apex body is
appropriate
25. I have an equal 1 2 3 4 5
opportunity to
become the leader
of our group and
Apex body
26. Islamic Relief 1 2 3 4 5
staff have taught us
practically how to
operate the group
27. Islamic Relief 1 2 3 4 5
staff have taught us
well how to resolve
conflict within the
group
(continued)
194 S. R. Chowdhury et al.

(continued)
6. Respondents’ opinion on Islamic Relief (IR) program impacts on community empowerment
domains
Domains of Entirely Disagree (2) Undecided (3) Agree (4) Entirely agree
community disagree (1) (5)
empowerment
28. Now we can 1 2 3 4 5
resolve conflict
without taking help
from IR staff
29. I think that our 1 2 3 4 5
group has
strengthened social
relationships among
us
30. I believe that I 1 2 3 4 5
will get assistance
from my group in
case of an urgent
need
31. I think my social 1 2 3 4 5
contact/identity has
increased due to my
involvement with IR
Increases control over program management
32. I think IR has no 1 2 3 4 5
control or influence
regarding our group
decision and activity
33. I think our 1 2 3 4 5
group members
have learned well
how to operate a
group and deal with
financial issues
34. We can change 1 2 3 4 5
our program to meet
our immediate
needs
35. I believe that we 1 2 3 4 5
are now capable to
operate the group
without taking any
assistance from IR
staff
(continued)
13 Survey Questionnaire 195

(continued)
6. Respondents’ opinion on Islamic Relief (IR) program impacts on community empowerment
domains
Domains of Entirely Disagree (2) Undecided (3) Agree (4) Entirely agree
community disagree (1) (5)
empowerment
36. I am satisfied 1 2 3 4 5
with our group
activity
Increases problem assessment capacities
37. Due to my 1 2 3 4 5
involvement with
IR, I think that I
have learned well
about the actions to
increase my family
income
38. Due to my 1 2 3 4 5
involvement with
IR, I think that I
have learned well
about the actions to
protect my family
health
39. Due to my 1 2 3 4 5
involvement with
IR, I think that I
have learned well
about child rights
40. Due to my 1 2 3 4 5
involvement with
IR, I think that I
have learned well
about women rights
41. Due to my 1 2 3 4 5
involvement with
IR, I think that I
have learned well
about the
earthquake and
environmental
protection
42. Now I 1 2 3 4 5
understand well
how to solve various
problems
(continued)
196 S. R. Chowdhury et al.

(continued)
6. Respondents’ opinion on Islamic Relief (IR) program impacts on community empowerment
domains
Domains of Entirely Disagree (2) Undecided (3) Agree (4) Entirely agree
community disagree (1) (5)
empowerment
Enhances the ability to ‘ask why’
43. I think that 1 2 3 4 5
Islamic Relief
makes me aware of
the causes of the
problem
44. Now I can 1 2 3 4 5
contextualize
various social
problems locally
45. I can understand 1 2 3 4 5
well about the
action to be taken to
solve various
problems
46. I sometimes 1 2 3 4 5
participate in local
events to solve
various problems
Strengthens links with other organizations and people
47. Islamic Relief 1 2 3 4 5
provides us
information to get
resources and
services from
various
organizations and
individuals
48. I observe that 1 2 3 4 5
Islamic Relief has
helped me a link
with other local
organizations and
people (such as
bank, market,
association, health
officer, department
of animal husbandry
and so on)
(continued)
13 Survey Questionnaire 197

(continued)
6. Respondents’ opinion on Islamic Relief (IR) program impacts on community empowerment
domains
Domains of Entirely Disagree (2) Undecided (3) Agree (4) Entirely agree
community disagree (1) (5)
empowerment
49. I observe that 1 2 3 4 5
relationships
between our Apex
body and various
organizations have
been established
through IR
50. Our Apex body 1 2 3 4 5
if arranging any
meeting always
invites local people
and organizations
51. I observe that IR 1 2 3 4 5
always invites local
people and
organizations while
arranging any
events in our
community
Creates an equitable relationships with outside agents
52. I think IR 1 2 3 4 5
workers are always
sympathetic
towards us
53. Islamic Relief 1 2 3 4 5
has facilitated us to
gain resources
through establishing
links with other
organizations and
people inside the
community
54. Islamic Relief 1 2 3 4 5
has facilitated us to
gain resources
through establishing
links with other
organizations and
people inside the
community
(continued)
198 S. R. Chowdhury et al.

(continued)
6. Respondents’ opinion on Islamic Relief (IR) program impacts on community empowerment
domains
Domains of Entirely Disagree (2) Undecided (3) Agree (4) Entirely agree
community disagree (1) (5)
empowerment
55. I feel that 1 2 3 4 5
Islamic Relief has
empowered us in
operating the group
and monitoring and
evaluating our
program
56. I feel that 1 2 3 4 5
Islamic Relief does
not impose anything
regarding our group
activities and
decisions

7. Could You Please Mention the Positive Sides of Islamic Relief?

(a) ……………………………………………………
(b) ……………………………………………………..
(c) ………………………………………………….
8. Could You Please Mention Some Major Limitations of Islamic Relief?
(a) ……………………………………………………
(b) ……………………………………………………..
(c) ………………………………………………….
9. What Are Your Valuable Suggestions to Overcome These Limitations?
(a) ……………………………………………………
(b) ……………………………………………………..
(c) ………………………………………………….
Thank you for your cooperation.
Source First author’s PhD study.

Using this questionnaire, the first author collected data from the service users of
Islamic Relief Worldwide, a faith-based international NGO offering livelihood and
community development programmes in the north–western region of Bangladesh.
The main study objective was to explore the nature of faith-based NGO’s contribution
to community empowerment. We can understand the nature of the questions identified
from this questionnaire which is summarized as follows.
13 Survey Questionnaire 199

Open-Ended Questions

Open-ended questions are exploratory. These questions are asked in which there
is no specific option for responses. The researcher uses this type of question when
he/she intends to know the respondents’ views on a particular issue without giving any
option. It encourages the respondents to reveal the thinking process of the respondent
in complex issues, clarify the responses, and give unlimited possible answers. These
answers may be unanticipated by the researcher at the beginning of the study. In the
example of the questionnaire (Box 13.2) questions 3, 4, 5, 7, 8, and 9 are open-ended.
In these questions, the service users of Islamic Relief had the opportunity to share
their views freely.

Closed-Ended Questions

Closed-ended questions refer to the types of questions in which the respondent must
choose from a fixed set of answers (Neuman, 2011). It allows the researcher to avoid
irrelevant and too general and confusing answers. It also allows the researcher to
do the statistical analysis considering the frame of reference. Here the question 2 is
a closed-ended question where the respondent has no option. Questions 6 includes
interval questions or Likert scale responses which may also be included in closed-
ended questions type due to the limit of the answer. The common practice in this
type of question is to use a 1–5 rating for selecting a response from 5 alternatives.
However, using this questionnaire has some limitations as it confined the respondents
from answering their views independently.

Guidelines to Prepare a Survey Questionnaire

Developing a questionnaire is a thoughtful assignment for a researcher. The quality

of data mostly depends upon the standard of a questionnaire. Following guidelines
may be helpful for a researcher to construct a good survey questionnaire.
● Review ‘what we want to know as well as the goal and objectives of the research’.
● Decide the ways of administering the questionnaire and make a clear decision
about the following questions: (I) Will the informants fill it out on their own and
send it back? (II) Will it be filled out while the researcher is with them? (III) Will
the researcher asks the questions and write down the answer? Based on the answer
to each question language construction of questions should be different.
● Make sure that at the beginning of the questionnaire there is an introduction
about the objective of the study. This will also include a welcoming message and
200 S. R. Chowdhury et al.

assurances to maintain confidentiality. At the end of the questionnaire, the contri-

bution of the respondents should be acknowledged. A simple sentence thanking
the participant for their sincere cooperation may be used here.
● Make a list of major items the researcher intends to ask questions about. For
example, Ullah (2007) in his PhD study prepared a survey questionnaire focusing
on some items. These are ideographic information, skills/experiences, income,
contacts, place of living, work-related information, motivation, rationalities,
problems, plans, etc.
● Decide the types of questions to include, whether they should be open- or closed-
ended questions. The nature of the questions should be consistent with the primary
research objectives and the research questions.
● Make sure that each question is single. More than one issue within one question
must be avoided, and each question should be related to a theme of the research.
● Review the questions to ensure that each question is clear, concise, and easily
understandable.
● Follow the ‘principle of avoidance’ while constructing the questionnaire. Neuman
(2011) focuses on ten things that need to be avoided while preparing a survey
questionnaire. These are:
Avoid jargon and abbreviations.
Avoid confusion and vagueness.
Avoid emotional language and prestige bias.
Avoid double-barrelled questions.
Avoid leading questions.
Avoid asking questions that are beyond the respondent’s capabilities.
Avoid false premises.
Avoid asking about distant future intentions.
Avoid double negatives and
Avoid overlapping or unbalanced response categories.
Number each question separately and maintain its order in a way that it can be
easy for the researcher to analyse and tabulate.
Try out the questionnaire by pre-testing it on an informant.
Evaluate the results obtained from the pre-test. For example, was each question
easy to understand? Were the research objectives met by the responses to the
questions?
Remove or add questions as needed.
Keep an adequate place so that the respondents can answer questions
comfortably on the questionnaire.
Think about how the questionnaires will be collected from the respondents.
Using the postal service will ensure the researcher can cover many respondents
but may have less control over how many responses they get back. Delivery
and pick-up by hand may take a long time and requires greater effort, as well
as finance, but the possibility of obtaining more responses than from postal
surveys is greater. Follow-up phone calls may increase the number of responses.
13 Survey Questionnaire 201

Review of the research objectives

Listing all questions raised in mind

Categorise the questions based on major themes

Avoid the repetitive and unnecessary questions

Draft the questionnaire

Pretest the questionnaire

Add or remove the questions

Finalization of questionnaire

Fig. 13.1 Sequence of action in preparing a questionnaire. Source Developed by authors

The researcher may follow the following sequence of actions in preparing a

questionnaire (Fig. 13.1).

Qualities of a Researcher to Use Survey Questionnaire

A researcher is expected to have the following qualities while using a survey

questionnaire.

Ability to Build a Trustworthy Relationship

The collection of quality data depends on the spontaneous participation of the respon-
dents. The respondents will be interested only when they consider the study is signif-
icant and the researcher is a more trustworthy person. Before the final use of a survey
questionnaire, a good researcher tries to establish a relationship either by making
face-to-face contact or by sending a letter of request explaining the objective of
his/her research. He tries to convince the respondents that giving their time to answer
202 S. R. Chowdhury et al.

the questions is not only harmless but a contribution to the field of knowledge or for
the promotion of a service. Getting a quick response can only be possible if the
researcher can establish a rapport with the respondents.

Having Patience

Collecting data is not an easy task. The respondents may not consider it significant.
They may not have time to complete the questionnaire and send it back on time.
Sometimes the respondents show a willingness to complete the questionnaire during
face-to-face interviews or in a group setting but often become unable to maintain the
appointment time. This makes the researcher frustrated as she/he is also a human
being. But the researcher must always maintain a level of patience to achieve the
research objectives. For example, questionnaires can be used as a data collection
method for PhD studies or a project sponsored by a reputed national or international
organization. It may also be carried out to promote the quality of the services of a
company where the researcher himself is an employee. These help to incentivize the
researcher’s professional and personal achievement. Therefore, having patience is a
good trait to possess.

Knowing the Appropriate Use of a Survey Questionnaire

A good researcher is a person who is well informed about the objectives of their
research, has a clear understanding of each question and the justification of using the
survey questionnaire as an instrument of data collection. For example, Malak (2013)
considered a survey questionnaire as appropriate for his study as entitled ‘Inclusive
education in Bangladesh: Are pre-service teachers ready to accept students with
a special education need in regular classes’. The study examined the pre-service
special education (PSpE) teachers’ attitudes towards inclusive education (IE) for
students with special educational needs (SEN) in Bangladesh. Here using a survey
questionnaire was more justified because one of the objectives was to explore any
significant difference in the attitude of the pre-service special education teachers
based on their demographic characteristics such as gender, close contact, area of
specialization, and practice.

Knowing Human Behaviour

This is very important as the respondents may be heterogeneous. Their life experi-
ence, priorities, expectations may be different. The researcher needs extra caution
so that the respondents feel comfortable and willing to participate in the research
13 Survey Questionnaire 203

process spontaneously. For this, the researcher must understand human behaviour.
Understanding human behaviour will help to guide them on whether the respondents
should be asked direct or indirect questions. It also helps to promote a congenial
atmosphere for the data collection process.

Maintaining Objectivity

The researcher should keep in mind that she/he is not going to prove something that
she/he considers appropriate. Rather, the intention is to explore something which
may be unknown or partially known to many readers. For this, she/he should not be
guided by his/her ideology, experience and prejudice. Being a member of society, it is
quite natural to be influenced by the surrounding environment. But a good researcher
always accepts findings that may be unanticipated. She/he should not ask questions
that are leading so that the respondents are guided or forced to give an ‘expected’
answer.

Advantages and Limitations of Using Survey Questionnaire

The survey questionnaire is an instrument for data collection that is frequently being
used in survey research. However, using this type of questionnaire has some advan-
tages and limitations. For example, a self-administered postal survey questionnaire is
inexpensive to administer. Though the researcher has to spend money on sending out
the questionnaire to the respondents, she/he can save money as she/he does not need
to visit the respondent physically. Regarding travel, it saves both time and money.
Another advantage is that data can be collected from many respondents within a short
duration. It also provides an opportunity for respondents to give anonymous answers
on their own choices. It can ensure greater access to educated respondents and hard
to obtain data. However, there are some limitations. For example, the response rates
from postal surveys tend to be quite low. Many people tend to ignore survey requests.
Some respondents are afraid of giving a written opinion fearing personal loss and
harassment. Even the interested respondents can experience unexpected delays in
completing and returning the questionnaire due to other engagements (or they may
simply lose it). In such cases, the researcher should monitor the responses, send
reminders to non-respondents repeatedly which may be embarrassing to both the
researcher and the respondents. Furthermore, a self-administered questionnaire is
not always suitable for capturing issues that require clarification or detailed written
responses.
The main advantage of using a group-administered survey questionnaire is to
obtain a high response rate. It also allows respondents to ask clarification about the
questions from the researcher. The researcher easily obtains the required data from
a specific setting which is both time-saving and cost-effective. However, getting
204 S. R. Chowdhury et al.

respondents in one setting may be very difficult. For example, we used a group-
administered survey questionnaire to obtain feedback from our current students, and
this was found to be very useful. This was arranged in our department, and all of
the sample students were present there. However, we found it extremely difficult
when we arranged the sampling of our alumni students living in different areas. We
requested for them to personally attend, at a given location and they gladly accepted.
However, many of them later were unable to attend due to sudden engagements. We
later had to send out the questionnaires to them by mail. The respondents who did
attend tended to complete the questionnaire after consulting the other respondents.
This indicates that obtaining in-depth information sometimes may not be possible
using a group-administered questionnaire.

Conclusions

This chapter discusses the survey questionnaire as an instrument for the collection of
data within the social science arena. It describes the survey questionnaire as a struc-
tured and standardized set of questions, highlighting some of its characteristics. It
also explains the different types of survey questionnaires taking some examples from
Bangladesh to introduce the novice researcher to the applicability of the survey ques-
tionnaire. Using a survey questionnaire can cover many respondents at a cheaper cost
than the other instruments used in research. But we found that the size of the survey
questionnaire depends on the resources, capacity, time constraints, and objectives of
the study. We also observed some of the problems that may arise during the construc-
tion and implementation stages of a survey questionnaire. Therefore, some important
issues such as preparing the list of major items to be asked, avoiding overlapping
and confusing questions through pretesting, determining the process of filling up
the questionnaire, maintaining data collectors’ commitment and probity should be
considered for the successful construction and use of survey questionnaires.
In conclusion, the development of data collection instruments is a thoughtful and
demanding task for any researcher. The success of getting access to appropriate data
heavily depends upon the quality of a questionnaire. The preparation of a survey
questionnaire is more often an art than a science. It takes skill, patience, practice,
and creativity. The researcher should keep in his /her mind that the goal is to get
the real facts and add something to the field of knowledge. Therefore, in addition
to being confined in structured thinking, she/he should be innovative and sensitive
for developing a data collection instrument particularly the questionnaire following
the set of rules, sequence, and guidelines. Moreover, a clear understanding of the
research problem and methodology is equally important.
13 Survey Questionnaire 205

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Chapter 14
Interview Method

Hazreena Hussein

Abstract The rationale of research interviews is to gain people’s knowledge, views,

and experiences, which are meaningful in understanding social realities. Although
some research interviews are time-consuming, researchers can interact and commu-
nicate while developing a rapport with people to find out these facts—something
observations or surveys can never do. How a response from an interview is made
(tone of voice, facial expression, hesitation) can feed information that a written
response would conceal. Having a good audio quality recorder would be of great
assistance. However, if the respondent refuses to be recorded, researchers should
practise note-taking. Researchers need to be careful of what and how to ask, as some
information may be controversial and confidential. Interviews are a highly subjective
method, and the danger of bias always exists.

Keywords Interview · Researcher · Respondent · Semi-structured · Structured ·

Unstructured

Introduction

This chapter is about the procedure and understanding of conducting research inter-
views. It is written in a jargon-free style and illustrated with examples, lists, diagrams,
tables, tips, and relevant quotations from researchers. The author has organized this
chapter according to the following sections:
. What is a research interview?
. What kind of information can be acquired through a research interview?
. How can the researcher ask sensitive questions?
. What are the skills required when conducting interviews?
. What are the types of research interviews?
. Why and when to use the interview method?

H. Hussein (B)
Centre For Sustainable Urban Planning & Real Estate, Faculty of Built Environment, Universiti
Malaya, Kuala Lumpur, Malaysia
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 207
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_14
208 H. Hussein

. How to approach semi-structured and unstructured interviews?

. How can the researcher know that the opinions expressed are fair and valid?
This chapter ends with a key conclusion and a list of references used in the text.

Definition and Meaning

What is a research interview?

According to Mason (1996: 38), a research interview is defined as an ‘in-depth,
semi-structured or loosely structured form of interviewing or conversation with a
purpose’. In other words, a research interview involves a set of questions asked by an
interviewer (the researcher). It is usually held with one other person (the respondent)
who knows something about the topic of interest. Sometimes there is more than
one respondent present, and group interviews are often used in market research and
situations where the interviewer thinks persons will be more forthcoming as a group.
Research interviews may be tightly structured (formal), where the researcher only
reads from a detail of prepared queries and ticks the boxes of a checklist that most
closely correspond to the respondent’s answers. Structured interviews are useful for
collecting quantitative data since the responses can be compared to another, counted,
and statistically analysed.
Alternatively, research interviews may be entirely unstructured (informal), open-
ended, and in the form of a discussion. Various researchers also described research
interviews as naturalistic, autobiographical, in-depth, narrative, or non-directive.
The researcher may ask only an occasional question, often facilitating, preferring
the respondent talking at length. Unstructured interviews are not comparable with
one another and are, therefore, not statistically reliable. However, informal inter-
views enable the researcher to collect data far less contaminated by the interviewer’s
assumptions. The respondents can put their thoughts across in their way and can
choose how to tell them. In that way, unstructured interviews are considered to have
a high degree of validity. Whether structured or unstructured interviews, both are
designed to elicit information about a topic of interest, and it does this by asking
questions of an expert.

Obtaining Data

What kind of information can be acquired through a research interview?

The answer to this is virtually anything! Some sensitive issues include the respon-
dent’s age, educational level, race, marital status, social class, and monthly/yearly
income. Some matters are threatening, such as criminal behaviour or admissions
of immoral where respondents may exaggerate or diminish their responses. Some
14 Interview Method 209

issues are neither sensitive nor threatening but may be significant to the respondent
to put a lot of energy into the answers. Some issues may be of less interest to the
respondent than they are to the researcher, and the researcher may have to work
very hard to get an acceptable response at all. One major issue about any research,
including interviews, has to be the validity of the information collected.
Tip: Alternatively, the researcher could use prompt cards for sensitive questions
and ask the respondent to point to the answer.

Sensitive Questions

How can the researcher ask?

About age: ask for the birth year, the year when the respondents left school or
their expected retirement year.
About the race: inquire the respondents to choose from various selections, or the
researcher can make a self-assessment.
About income: ask the respondents if they could meet the expense of a property
or an automobile or whether they would consider their earning as high, average,
or low.

Qualities of Good Interviewers

What are the skills required when conducting interviews?

. Able to develop a rapport;
. Ability to listen to people;
. Able to achieve a balance between listening and talking;
. Able to remember what people have said and what you have asked;
. Able to observe body language, picking up non-verbal cues;
The interviewer needs to be careful of:
. What to ask—are you asking what you think you are asking?
. How to ask—inflection, inference, guiding;
. What you ‘let’ them tell you;
. Whether and how confidentiality and anonymity are guaranteed.
210 H. Hussein

Characteristics of Research Interview

What are the types of research interviews?

(i) Structured
This kind of interview establishes a structured questionnaire and coded answers.
The discussion is guided and controlled by the researcher that makes for more
straightforward analysis. The sample size needs to be large enough to produce
reliable statistics.
(ii) Semi-structured
This type of interview employs a questionnaire format. Still, respondents are
encouraged to elaborate on their answers, and researchers ask questions to probe
deeper into the various aspects of the topic. The sample size depends on whether
the interview includes some questions designed for statistical purposes. The
researcher controls the conversation, although the respondent has more control
over the answers and can direct the talk areas he or she feels are important.
One of the examples of a semi-structured interview is a face-to-face
approach. It involves direct contact between the researcher and the respondent,
such as ‘in the street’ as in market researchers. This approach has the poten-
tial for a better response rate than other survey techniques. It allows a careful
selection of respondents necessary to fill ‘quotas’, for example, the number
of males and females, different age groups, etc. This limits the collection of
redundant material; therefore, it is an efficient approach. This approach also
retains the personal element of face-to-face interviewing and the possibility to
persuade the respondent to answer questions. Compared to a telephone inter-
view, this technique was viewed as unreliable due to the dangers of a biased
sample where the respondent in this way was not necessarily representative of
the wider population. In addition, it is more difficult to develop rapport and
build trust over the telephone. However, telephone interviewing is cheaper,
quicker, and practical than the face-to-face approach for generating a random
sample of the population. Despite the reduction of non-response due to non-
contact, telephone interviewing has higher levels of non-response overall. It is
easy to say NO on the phone!
(iii) Unstructured
This type of interview applies very few pre-arranged questions where the
researcher has a list of covered topics. The respondent has a good deal of
control over answers, the extent and quality of responses, and the conversa-
tion’s direction. These may produce a wealth of valuable data, but they require
a great deal of expertise to control and a lot of time to analyse.
The walk-through interview is an example that involves an unstructured
interview procedure (Zimring, 1987). It uses the physical environment as a
prompt to help respondents articulate their reactions to the setting (Zeisel,
1981). To fully benefit from the walk-through interview, the researcher should
gather up points regarding the environmental qualities to a more detailed spec-
ification. This will allow the researcher to use the respondent’s definition of
14 Interview Method 211

the setting to define important features. For example, in a study by Hussein

(2009) on the design and use of sensory gardens, she started with data collec-
tion with an interview with the landscape architect, and this was conducted over
two sessions. The first interview was undertaken at a place of the landscape
architect’s choosing, and the second interview involved a walk-through of the
sensory garden. The first interview was a necessary part of understanding the
design process and the intentions of the landscape architect and finding out
the challenges he or she had to deal with. The second interview was to assess
whether users utilized areas and garden features in the way that they intended to
do by the designer. Thus, the walk-through will assist the researcher in getting
further explanation (Zeisel, 1981).

Contrasting Examples of Using Interviews

Why and when to use the interview method?

Hussein’s (2009) doctoral research investigated the design and use of sensory gardens
by assessing their spaces and how they are used, particularly by students with special
needs and school staff. Hussein (2012a) added that due to insufficient resources in
the area of ‘sensory garden’ and the time limitations for research, she thought the
interview method to be the most appropriate. She carried out interviews with expert
and design professionals as well as walk-through interviews with school staff. Both
of these interviews have different objectives. The consultation with the expert is
to refine the research direction. According to Hussein (2012b), the interviews with
school staff investigate their experience and advantages in having the sensory garden
and evaluating the garden features. She interviewed landscape architects to explore
the design objectives and allow subsequent assessment of whether users utilize spaces
and garden features in the way they are meant to (Hussein & Daud, 2015). There
was often a stark difference between what the landscape architects and school staff
thought would be popular and what worked well in reality. These interview outcomes
are a significant argument in the research.
Buckeldee (1994) researched as part of an MSc course in nursing, focusing on
district nurses’ work with carers in the community. She was herself a practising
district nurse. Her study examined carers’ views of the problems they faced, and
the help which they received or would like to receive. She employed interviews
to explore these issues. Most of those approached were willing to be interviewed
and trusted her because of her position and their prior experience of her work. She
implemented an unstructured interview approach and found few difficulties getting
her respondents to talk, though keeping the conversation focused was a problem.
Indeed, many respondents found the process therapeutic. All interviews were tape-
recorded. Ending the interview, and the process of leaving the respondents’ homes,
was another challenging process.
212 H. Hussein

Before the Research Interview

How to approach semi-structured and unstructured interviews?

Before designing an interview, the researcher needs to decide what he or she wants
the outcome to be. If the researcher wants reliable statistics, a structured interview
needs to be employed (the researcher must be confident and knowledgeable enough
about the topic to ask appropriate questions). Suppose the researcher wants to acquire
detailed descriptions of procedures. In that case, an unstructured interview needs to
be applied (the researcher knows too little about the topic to ask relevant questions).
The advantages and disadvantages of structured and unstructured interviews can be
summarized as in Table 14.1.
The researcher needs to identify the topic of interest. For example, it may be
something entirely distinct, ‘assessing the design and use of sensory gardens in
special schools’ or something very vague, such as ‘what are outdoor school facilities?’
Decide who the respondents are. There might be a limited number of respon-
dents for a particular topic, such as the special school’s staff. For a vaguer case,
the researcher may need to talk to a range of people before he or she can sort out
which would be the most appropriate person to interview (Ahmed et al., 2016). For
example, in a school study, the researcher might want to question the school managers
and keepers. While developing a rapport, the researcher needs to be clear about the
purpose of the interview at this stage, either simply collecting data for the final report
or learning about the topic to make further decisions about the direction of the study.
Once the respondents are selected, begin work in getting access and setting up
appointments with them. Fix venue and a time to conduct the interview. Make sure all
official channels have been cleared, including administration approval. This process
is usually done through the gatekeeper, and it can be time-consuming, so it is advised
to commence as early as possible.

Table 14.1 Advantages and disadvantages of structured and unstructured interview

Advantages of a structured interview Disadvantages of an unstructured interview
A large sample can be reached hence the Due to its lengthy time, a small number of
results can be used to make statements that are interviews can be conducted thus the results are
representative of a particular population unlikely to be used as typical of a populace
Respondents’ answers can be compared and It is hard to compare the respondents’ answers
turned into statistical statements because each one is different and unique
Disadvantages of a structured interview Advantages of an unstructured interview
Respondents are forced to choose between the Respondents can answer in as many details as
alternative answers prepared by the researcher they want
The formal conversation may make The informal talk encourages respondents to
respondents feel inhibited feel relax
Obtaining accurate information on attitudes, Specific information about respondents’
opinions and values is difficult attitudes, views and values can be gathered
14 Interview Method 213

Decide the objective(s) of the interview. It can be a particular interview question.

For example:
Do you see any improvements in the students’ development and social interactions after
having a sensory garden in the school? If yes, please describe and give examples of any
benefits you have discovered.
Did you see any problems in the sensory garden when users are using the sensory garden?
If so, please describe and give examples of any issues.
What is the most successful garden feature/area concerning use? What is the least
successful garden feature/area regarding use? Has any use surprised you?
What would you like to see improved in the sensory garden?
If you had the opportunity to design a sensory garden again, what would you like to see
carried out differently?

Alternatively, the questions of the interview may be much more comprehensive.

For example:
What is a sensory garden? Are not all gardens sensory? What does a sensory garden comprise?

It is crucial to avoid using yes/no or short questions unless the researcher plans
to use some prompt sheet.
Decide on whether to tape-record or write notes during the interview. Each of
these strategies has related to pros and cons as in Table 14.2.
Warning: Interview recordings take a great deal of time to transcribe and analyse.

Tips: Avoid intimidating equipment. Bring enough batteries or a power supply.

Think of all the tapes you could need. Think about choosing the location of the
interview.
Try the interview out. Get a colleague or a friend to pretend to be the respondent.
Please go through the questions and write down the answers or tape-record them.
Get feedback on how easy to difficult to respond to the questions. Find out whether
or not the questions elicit the right kind of responses and what it will be like holding
an interview. This way improvements can be made.
Plan what to wear. The researcher should look efficient, sensitive, caring, trust-
worthy, and most importantly, the sort of person who will understand the respondents’
point of view.
Plan how much time is needed to conduct the interview. If interviewing very busy
people, make sure that the crucial questions are early on so that if they have to rush
off, at least the critical issues have been answered.

During the Research Interview

Make sure the tape/digital recorder is switched on and working. The essential quali-
ties are that the recorded session is considerable and can record soft voices in a noisy
setting.
214 H. Hussein

Table 14.2 Advantages and disadvantages of writing notes

Advantages of tape/digital recording Disadvantages of writing notes
The researcher needs only focus on the process Note-taking can be distracting to respondents.
of the interview and engage eye contact as well It may lead them to think that they have said
as non-verbal cues (nodding, smiling when something significant. Conversely, when the
appropriate and hesitation) with the researcher doesn’t make a note, they may think
respondent. This method captures information their comments insignificant. Concentrating on
in a way that ensures integrity and clarity asking questions, listening to the answers and
hence a precise record of the whole interview taking notes is a complex and challenging
will be obtained process hence a precise record of the interview
will not be obtained
Disadvantages of tape/digital recording Advantages of writing notes
Some respondents may feel anxious and less By having two team members (an interviewer
likely to reveal confidential information and a note-taker), respondents might feel easy
with the well-managed interview session
Transcribing and analyzing from recording Produce an instant record of the key points of
must be included in the budget and calendar an interview. The researcher does not need to
worry about initial sorting, categorizing and
analyzing the data collected
The best audio-quality recorder is pricey. Bring Inexpensive. Do not depend on electronics.
enough batteries/power supplies and tapes. Only a pen, papers, and clipboard are needed
Avoid intimidating a recorder that is too large
or heavy
Source Developed by authors

Introduce yourself. Talk a bit about yourself to build rapport and explain your
research objectives (even if an official letter has been sent).
Emphasize the confidential nature of the interview. The researcher should never
tell anyone a detailed response (except the researcher’s supervisor) unless with the
respondent’s consent. Begin with easy, impersonal questions, such as: When did
the project start? What was the general idea behind it? Then move to slightly more
personal ones, for example: When did you first get involved? And then to more
probing questions.
In general, the art of the research interview is to build up a rapport so that respon-
dents feel they want to voice their opinions. The researcher should spend as little
time speaking as possible and use non-verbal signs, such as nodding, smiling when
appropriate and eye contact to demonstrate an interest in the respondent’s words.
A respondent can speak depending on the interview’s nature (semi-structured or
structured) and the researcher’s competence.
The researcher needs to allow silences to happen so that the respondent can reflect
and perhaps produce new insights. This is difficult in an interview since the researcher
felt to be in charge of the direction of the talk (even if the interview is unstructured).
At the same time, the researcher needs to monitor the relevance of what is being
answered and make decisions about whether to nudge the respondent back on course,
14 Interview Method 215

ask a new question, or leave the respondent to talk. This is difficult for the researcher
who is worried about contaminating the data with interviewer bias.
It is also difficult for the researcher to build and maintain rapport and break in on
a respondent’s lengthy answer, even when it wastes time. Some respondents need
lots of encouragement to talk and keep drying up; others are so aggressively talkative
that it is challenging to break in. Researchers need practice in interviewing, and it
is advantageous if the researcher can identify the type of person he or she finds it
hardest to deal with and rehearse a strategy for coping with them in the interview
process.
At the end of the interview, thank the respondent for their time and cooperation.
It is the responsibility of the researcher, not the respondent, to end an interview.

After the Research Interview

Write up notes on the researcher’s perceptions of the interview as soon as possible.

These include a description of the respondent, the response received during the
interview session, descriptions of the atmosphere, buildings, rooms, etc. All of this
detailed information may be useful in the data analysis stage.
Transcribe recordings and write up interview notes immediately. It is relatively
easy to remember the detail for a day or so, and after that, the details begin to fade.
Since it takes about three or four times as long to write interviews up as it does to
conduct them, do not hold too many very close together, or you will end up with a
lot of recordings or scribbled notes piling up.
Researchers may follow up research interviews in various ways, which they could
send interview notes and further questions to the respondent for comments or clari-
fications. They could also hold interview sessions in phases, exploring and changing
opinions, views, and sharing experiences.

Validating Data

How can the researcher know that the opinions expressed are fair and valid?
There are two (2) approaches to answering this question:
(i) The practical solution
This problem can be addressed by designing research, which employs various
qualitative methods, such as observations, interviews, questionnaires, etc., and
makes inquiries to as many people as possible (do not take one person’s word
as the truth). This will assist the researcher in achieving a balanced perspective
on the data (Islam & Faruque, 2016). Also, to avoid misunderstandings that can
216 H. Hussein

arise in an interview, it is good to send a neat transcription to the respondent for

comments.
(ii) The methodological solution
The issue of what constitutes adequate description is always an issue in research.
This includes questions about the adequacy and truthfulness of respondents’
answers to questions and the descriptions that researchers develop from these
answers. Researchers should always recognize that there is no reliable version of
the truth and that answers obtained will vary slightly or significantly, depending
on who the respondent is. We return to the notion that a research interview is a
set of questions put to an expert about a topic, presented as follows:

RESEARCHER asks RESPONDENT about TOPIC

and hears the respondent`s description of the topic

In a research interview, the researcher has to rely on what the respondent

states. The researcher must not absorb the respondent’s description of the topic
directly because the information gained is not direct experiences but is opinions.
It does not mean that these are unreliable information, but it shows that every
respondent has a different perception about the same topic, explained as follows:

RESPONDENT 1 about
questions and answers

RESEARCHER The researcher asks questions about the same

TOPIC
topic but receives answers from two unique
responses (opinions)

questions and answers

RESPONDENT 2 about

In addition to this point about respondents’ opinions, it is worth recognizing

that any interaction and communication between two persons is a process of
interpretation by both parties, illustrated as follows:
14 Interview Method 217

RESEARCHER sets questions into RESPONDENT interprets meaning

words of the question

Communication process in a research interview

RESEARCHER interprets meaning of RESPONDENT states the answer

the answer and asks next question

Handling the issue of adequate description as a methodological problem

means acknowledging that there is a point at which no one can be sure that
description perfectly matches the topic which it describes. Research operates to
understand that description comes as close as possible to the topic. It represents
while allowing that there may be discrepancies between different respondents’
perceptions of the topic.

Analysing Interviews

There are some approaches to analysing the interviews. The researcher may not
produce a transcript but analyse the recording session directly. One may not have
recorded the interviews but be working from the personal notes. However, searching
for significant statements and comparing what was mentioned in different interviews
will be similar.
Suppose the interview has been recorded and produced interview transcripts and
has the facilities to input these data onto a computer. In that case, an increasing
number of computer software packages are available to assist the analysis process,
such as NVIVO. It would be sensible to check it out before transcribing the tapes. The
text of the interviews can be coded or marked either during input or afterwards. The
program also allows searching interview transcripts for particular codes or words.

Examples of Interview Analysis

Abramson and Mizrahi (1994) described using a ‘grounded theory’ approach to

analyse the interview transcripts, which has focused on social worker/physician
collaborations. They identified three phases of analysis: Open coding, axial coding,
and theoretical coding. In the preliminary phase (open coding), they reviewed ten
transcripts to identify provisional concepts. These concepts were then modified and
added, leading to a redirection of the sampling strategy and improvements in inter-
view techniques. To see whether the categories fitted, they applied the categories
devised from this initial analysis to another round of data. Axial coding is to seek
218 H. Hussein

connections between the categories identified. Theoretical coding is the evolution of

a paradigm and a conditional matrix. This first example of interview analysis showed
that grounded theory includes coding the interview transcript in key concepts. The
grounded theory also develops a perception of the research process, with concept
development, data collection, and data analysis in close conjunction and feeding
into each other. As the research process unfolds, more precise identification and
understanding of the concepts of relevance is reached.
Hussein (2009) carried out preliminary interviews with teachers and therapists in
a special school. Each record contained her notes written during the interview and
a summary of the staff’s background. First, she went through the interview notes
while analysing them. Then, without losing the personal touch, she examined them
with an orderly approach. The second example involved a novice researcher who was
not consciously following any particular process to analyse the data she collected.
However, her analysis shows strong similarities to a grounded theory approach,
though it was not so extensive. Moreover, the interview transcripts’ analysis and the
comparison of the answers to specific questions given by a range of respondents are
also analogous to the general approach.

Conclusions

The research interview falls as one of the qualitative methods. A research interview
technique engages questioning and discussing issues with people. When choosing
this technique, researchers need to be concerned about selecting people to interview
and how to gain access from the gatekeepers. Researchers must play an active and
reflective role in the interview process, i.e., asking main questions, follow-ups, and
probing (finding the truth about something). Compared to observation and survey
questionnaires, research interviews can be an efficient method for collecting data
that would be more accessible.
At the end of this chapter, you should be able to:
. appreciate the complex access and ethical issues involved in doing research
interviews.
. understand better using research interviews.
. be mindful of the pros and cons of research interview techniques for collecting
data. Finally,
. be prepared to cope with the ups and downs of the data collection experience.

References

Abramson, J. S. & Mizrahi, T. (1994). Examining social work/physician collaboration: An

application of grounded theory methods. Qualitative Studies in Social Work Research, 28–48.
14 Interview Method 219

Ahmed, V., Opolu, A., & Aziz, Z. (Eds.). (2016). Research methodology in the built environment:
A selection of case studies. Taylor & Francis.
Buckeldee, J. (1994). Interviewing carers in their own homes. In The research experience in nursing
(pp. 101–114). Chapman and Hall.
Hussein, H. (2009). Therapeutic intervention: Using the sensory garden to enhance the quality of
life for children with special needs. Unpublished doctoral.
Hussein, H. (2012a). Affordances of sensory garden towards learning and self-development of
special schooled children. International Journal of Psychological Studies, 4(1), 135–149.
Hussein, H. (2012b). The influence of sensory gardens on the behaviour of children with special
educational needs. Procedia—Social and Behavioural Sciences, 38, 343–354.
Hussein, H., & Daud, M. N. (2015). Examining the methods for investigating behavioural clues of
special-schooled children. Field Methods, 27(1), 97–112.
Islam, M. R. & Faruque, C. J. (Eds.). (2016). Qualitative research: Tools and techniques (eds.).
CreateSpace Independent Publishing Platform.
Mason, J. (1996). Qualitative researching. Saga.
Zeisel, J. (1981). Inquiry by design: Tools for environment-behaviour research. University Press.
Zimring, C. M. (1987). Evaluation of designed environments: Methods for post-occupancy eval-
uation. In Bechtel, Marans & Mitchelson (Eds.), Methods in environmental and behavioural
research. Van Nostrand.
Chapter 15
Sampling Techniques for Quantitative
Research

Moniruzzaman Sarker and Mohammed Abdulmalek AL-Muaalemi

Abstract In quantitative research, collecting data from an entire population of a

study is impractical in many instances. It squanders resources like time and money
which can be minimized by choosing suitable sampling techniques between prob-
ability and non-probability methods. The chapter outlines a brief idea about the
different categories of sampling techniques with examples. Sensibly selecting among
the sampling techniques allows the researcher to generalize the findings to a specific
study context. Although probability sampling is more appealing to draw a repre-
sentative sample, non-probability sampling techniques also enable the researcher
to generalize the findings upon implementing the sampling strategy wisely. More-
over, adopting probability sampling techniques is not feasible in many situations.
The chapter suggests selecting sampling techniques should be guided by research
objectives, study scope, and availability of sampling frame rather than looking at the
nature of sampling techniques.

Keywords Sampling techniques · Quantitative study · Probability sampling ·

Non-probability sampling

Introduction

While researcher has to decide to embrace qualitative, quantitative, or mixed methods

in a study, they need to deal with many critical issues such as research objectives,
study setting, research strategies, unit of analysis, and sampling methods. The deci-
sion to select between qualitative or quantitative should not be determined by the
preference of the researcher, yet it is guided by the research question(s) of a study.
Usually, the quantitative approach attempts to answer the question ‘what’, such

Moniruzzaman Sarker (B)

Assistant Professor of Marketing, Southamton Malysia Business School, University of
Southamton Malysia, Johor Bahru, Malaysia
e-mail: [email protected]
M. A. AL-Muaalemi
Faculty of Business and Accountancy, University of Malaya, Kuala Lumpur, Malaysia

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 221
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_15
222 Moniruzzaman Sarker and M. A. AL-Muaalemi

as ‘what is the relationship between personality traits and consumer behaviour?’

whereas the qualitative approach aims to answer more complex questions like ‘why’
and ‘how’, for example, ‘how to motivate employees to increase productivity?’. If a
study aims to generalize the findings to a certain group of the population, then the
quantitative approach is applied (Creswell, 2014; Malhotra & Das, 2010; Sekaran &
Bougie, 2016).
One of the major considerations that the researcher pays special attention to is
designing an appropriate sampling strategy (Cooper et al., 2006; Creswell, 2014;
Sekaran & Bougie, 2016). In the area of social science research, collecting data
from the entire group population is not practical. For example, when a researcher’s
objective is to study the behaviour of human beings (e.g., the general public, a
consumer group, employee group) in research, there will be an infinite number of
respondents in a population. Collecting responses from every element is impossible,
is time-consuming, and requires a huge budget. On the other hand, if the unit of
analysis in a quantitative study is an organization (i.e., companies), or one individual
from a company, the researcher can collect data from the entire elements of the
population. However, the effort required to manage data from each organization is
challenging. Besides, choosing an entire group of the population or a small sub-
group of the population to collect the data also depends on the research questions
and objectives that are going to be solved throughout the research. The entire set of
elements that are the interest of the researcher is considered as the population and
the sub-group of the population is regarded as a sample (Malhotra & Das, 2010;
Sekaran & Bougie, 2016). Before going into detail, the following terminologies
are needed to be defined to understand the phenomenon of sampling techniques
(Fig. 15.1).
Choosing a small group from the population is neither straightforward nor easy
to execute. If the sample characteristics are not similar to the population parameters,
the findings derived from that sample group will lead to bias results as well as will
hindrance the generalizability of the findings (Bryman & Bell, 2015; Collier & Bien-
stock, 2007; Marshall, 1996). Therefore, the researcher has to design the sampling
procedure properly to select the representative sample objects from a target popula-
tion. There are different sampling techniques in which some follow a very structured
process while some are flexible. However, all the sampling techniques have their
strengths/limitations. Consideration in adopting a sampling technique depends on
research objectives that need to be addressed in research. For example, in some
cases, less strict type of sampling techniques is suitable, such as snowballing and
quota samples while in other cases, more strict types are required, like random
sampling. This book chapter provides a brief understanding of the types of sampling
technique which is followed in the quantitative study. Specifically, the following
section discusses the importance of sampling techniques, the types of sampling tech-
niques along with advantages and disadvantages, and probability and non-probability
sampling in social science research.
15 Sampling Techniques for Quantitative Research 223

Population Sample

Selection

200 million 1,000

Average value of Average value of sample

population is called is called sample
population parameter. statistics.

To illustrate an example where sample is representative of population, assume the

population parameter of the frequency of online purchase is between 10-15, and the
sample statistics of the frequency of online purchase is 10-15. In this case, we may say that
the sample is representative of the population, because the difference the sample statistics
is similar to population parameter.

Fig. 15.1 Basic terminology in sampling techniques

Importance of Sampling Techniques

The sampling technique in quantitative research comes from its ability to draw small
units of the population (i.e., sample size) and generalize it to the population (Seddon &
Scheepers, 2012). In a study, specifically in behavioural research where the number of
population elements is too large, collecting data from every element of a population
is unreal. Besides, the time, cost, and effort required to collect data from the entire
population are another concern to the researchers (Zikmund et al., 2013). For instance,
a researcher wants to study the purchase behaviour of iPhone users in the USA.
According to Statista, in 2016 there are more than 90 million iPhone users. Without
sampling, the researcher must go through the impossible task of approaching all the
90 million iPhone users. The amount of time, effort, and money needed to approach
all iPhone users require endless efforts that is practically impossible and unfeasible.
To make a study realistic to conduct, the researcher takes a small sample of the
population. To generalize the findings of a sample, the sample must be representative
of the population. Hence, the researcher has to carefully choose a small group of
respondents who have similar characteristics as a population holds. Regarding the
224 Moniruzzaman Sarker and M. A. AL-Muaalemi

previous example, if the overall iPhone users in the USA have an average monthly
income of USD 2000 (population parameter), then the sample group of respondents
should contain a similar income (sample statistics). Any significant deviation between
population parameters and sample statistics will lead to findings that will be not
representative of the population. Furthermore, these findings will also be unable to
generalize to the population. The sampling technique allows the researcher to select
the representative samples from which data can be collected. Practically, the required
criteria for selecting a sample from a population are diverse and differ across the
study. Thus, drawing a representative sample is not an easy task. The researcher has
to choose carefully among the various sampling techniques (probability sampling vs
non-probability sampling) depending on the research objectives and criteria set for
the study. Every sampling technique has its strengths and weakness. Therefore, it is
important to understand the nature, advantages, and disadvantages of each sampling
technique to be adapted to a study.

Types of Sampling Techniques in Quantitative Research

There are two main types of sampling techniques are observed—probability and
non-probability sampling (Malhotra & Das, 2010; Sekaran & Bougie, 2016). If the
population is known and each element has an equal chance of being picked, then
probability sampling applies. However, at times it is impossible to assume that each
element in the population has an equal chance to be selected as a subject. In that case,
non-probability sampling is conducted. Figure 15.2 illustrates the two main types of
sampling techniques with the sub-types. The next section will discuss each sub-type
individually.

Sampling
Techniques

Probability Nonprobability

Simple Random Systematic Convenience Purposive

Sampling Sampling Sampling Sampling

Stratified Cluster Judgmental Quota

Sampling Sampling Sampling Sampling

Snowball
Proportionate Disproportionate
Sampling

Fig. 15.2 Types of sampling techniques in quantitative research

15 Sampling Techniques for Quantitative Research 225

Probability Sampling

From its name, probability sampling is applied when elements in the population
have an acknowledged equal probability to be selected as subjects. Hence, samples
in probability sampling design, compared to non-probability sampling, are a better
representation of the population, which means better generalizability (Malhotra &
Das, 2010). There are two main parts of probability sampling designs, which are
determined by the nature of the population; for simple populations, unrestricted
sampling is applied, and for complex populations, restricted sampling is used. Table
15.1 provides a symbolic illustration of how the probability sampling technique is
applied. The following section will further discuss each type in more depth.

Simple Random (Unrestricted) Sampling

Random sampling is used when each element must have an identified and identical
chance of being selected. For example, if there are 100 elements of pens in the
population, we want to pick 10 of them to become the subject and be examined. If
we put all the elements of the population (i.e., 100 pens) in a box and shake it, we
know that each element has a 1% chance to be selected. The advantage of this type
is that it is the most representative type with the least bias; thus, the findings can be
generalized to the population (Zikmund et al., 2013). On the other hand, when we
have a huge population, random sampling becomes expensive to conduct. Moreover,
it is not always convenient to obtain an updated list of populations such as all the
consumers of iPhone, and in some cases, the list of the population can be confidential
information such as airline passengers. In the case when random sampling proves
impractical and near impossible, the following techniques (Table 15.1) can act as
substitutes.

Systematic Sampling

Systematic sampling is adaptable when studied subjects comprised every nth element
from the population at random. For instant, in the manufacturing of water bottles, if
there are 10,000 bottles produced every hour. Researchers must randomly select a
number, let that be 50 for this example, then every 50th bottle produced is picked to
create the subjects of the study/test. Although systematic sampling is not complicated
to use, it may carry systematic bias.
226 Moniruzzaman Sarker and M. A. AL-Muaalemi

Table 15.1 Symbolic illustration of probability sampling techniques

1. Simple random sampling
A B C D E
Select five random numbers from 1 to 25, the resulting sample consists
1 6 11 16 21 of population elements 2, 4, 13, 20, and 22. Note that there is no element
from group B
2 7 12 17 22
3 8 13 18 23
4 9 14 19 24
5 10 15 20 25
2. Systematic sampling
A B C D E Select a random number between 1 and 5, say 4. The resulting consists of
1 6 11 16 21 population 4, (4 + 5 = )7, (4 + 5 × 2 = )14, (4 + 5 × 3 = )19, (4 + 5 ×
4 = )24. Note that all the elements are selected from a single row
2 7 12 17 22
3 8 13 18 23
4 9 14 19 24
5 10 15 20 25
3. Stratified sampling
A B C D E
Randomly select a number from 1 to 5 from each stratum, A–E. The
1 6 11 16 21 resulting sample consists of population elements 2, 6, 13, 20, and 21.
Note that one element is selected from each column
2 7 12 17 22
3 8 13 18 23
4 9 14 19 24
5 10 15 20 25
4. Cluster sampling
A B C D E Randomly select three clusters, A, C, and E. Within each cluster,
1 6 11 16 21 randomly select one or two elements. The resulting sample consists of
population elements 5, 12, 15, 21, and 25. Note that no elements are
2 7 12 17 22 selected from clusters B and D. or the researcher can choose a group and
3 8 13 18 23 collect the entire data (1, 2, 3, 4, 5) from it
4 9 14 19 24
5 10 15 20 25
Source Adapted from Malhotra and Das (2010)

Stratified Sampling

Stratified sampling is suitable when different sub-groups of the population have

different characteristics and require a different way to study them and compare
them. For example, a manager of a firm may want to find employee productivity.
In the firm, there are employees in the management, engineering, and administra-
tion sub-groups. Under this scenario, since each sub-group has different productivity
measures, all the employees of the firm are considered as the population, and the
manager can use stratified sampling to segregate each sub-group so that data can be
15 Sampling Techniques for Quantitative Research 227

gathered according to the character of each sub-group. Stratified sampling allows the
population to be divided into meaningful sub-groups that can be compared and/or
addressed separately, but it requires more time than random and systematic sampling.
Since the nature of data is homogenous inside each stratum but different across the
strata, the researcher needs to gather data proportionately or disproportionately from
every stratum.

Cluster Sampling

Cluster sampling is a technique where the population is split into clusters, then
elements from each cluster are selected as subjects. Each cluster contains similar
nature of data; hence, inside the cluster, data are heterogeneous whereas, across the
cluster, the nature of data is homogeneous. Therefore, the researcher can choose
either one or more than one cluster to gather the data. Take area cluster, for instance,
the decision to select the location of a new supermarket can be done by taking the
city map and studying the residents of different blocks in the city. Cluster sampling
is very cost-efficient but lacks generalizability.

Non-probability Sampling

Unlike probability sampling, in a non-probability sampling design, the likelihood of

each element in the population to be selected as a subject is not the same. Although
that could generate a lack of generalizability to the population, sometimes generaliz-
ability is not the main goal of some studies (Sekaran & Bougie, 2016). Some studies
aim to get exploratory results with a low budget. On the other hand, referring to the
aforementioned example of iPhone users, it would be near impossible to give each
iPhone user the same probability to be selected to form the sample of a study. There-
fore, with the generalizability shortcoming, still, non-probability sampling design is
needed and applied in studies to achieve quick and low-cost results. The subsequent
section will discuss the types of non-probability sampling techniques and present a
symbolic illustration of implementing non-probability sampling techniques in Table
15.2.

Convenience Sampling

The keyword in this sampling technique is ‘convenience’. This technique relies on

selecting elements that are easily and conveniently accessible. An example of conve-
nience sampling is when a researcher conducts a study on employee satisfaction and
conveniently distributes the questionnaire via WhatsApp to their circle of friends
228 Moniruzzaman Sarker and M. A. AL-Muaalemi

Table 15.2 Symbolic illustration of nonprobability sampling techniques

1. Convenience sampling
A B C D E Group C happens to assemble at a convenient time and place.
1 6 11 16 21 So, all the elements in this group are selected. The resulting
sample consists of elements 6, 7, 8, 9, and 10. Note that no
2 7 12 17 22 elements are selected from groups A, C, D, and E
3 8 13 18 23
4 9 14 19 24
5 10 15 20 25
2. Judgmental (purposive) sampling
A B C D E The researcher considers groups A, C, and D to be typical and
1 6 11 16 21 convenient. Within each of these groups, one or two elements
are selected based on typicality and convenience. The
2 7 12 17 22 resulting sample consists of elements 1, 3, 14, 18, and 20.
3 8 13 18 23 Note that no elements are selected from groups B and E
4 9 14 19 24
5 10 15 20 25
3. Quota (purposive) sampling
A B C D E A quota of one element from each group, A–E, is imposed.
1 6 11 16 21 Within each group, one element is selected based on judgment
or convenience. The resulting sample consists of elements 4,
2 7 12 17 22 7, 14, 16, and 24. Note that one element is selected from each
3 8 13 18 23 column group
4 9 14 19 24
5 10 15 20 25
4. Snowball sampling
Random Referrals Elements 3 and 6 are selected randomly from groups A and B.
selection Element 2 refers to element 20. Element 6 refers to elements
A B C D E 22 and 23. The resulting sample consists of elements 3, 6, 20,
22, and 23. Note that no element is selected from group C
1 6 11 16 21
2 7 12 17 22
3 8 13 18 23
4 9 14 19 24
5 10 15 20 25
Source Adapted from Malhotra and Das (2010)

and family members. Despite the generalizability issue with convenience sampling,
it proves to be fast, efficient, and convenient.
15 Sampling Techniques for Quantitative Research 229

Purposive Sampling

Sometimes selecting respondents based on convenience defeats the purpose of a

study. In some cases, a researcher needs to target very specific elements of the
population, such as financial managers, who can deliver the necessary or profes-
sional information. The selection of very specific elements can be because they are
the exclusive source of information, or due in part to satisfying the characteris-
tics of respondents fixed by the researcher. In that case, convenience sampling is
not logical, and instead, undertaking purposive sampling makes more sense. The
two main purposive sampling techniques are judgemental and quota, which will be
discussed next.

Judgemental Sampling

In judgemental sampling, those who can offer needed information based on certain
experiences are selected to be subjects. For example, if a research’s objective is to
find the reason why buyers return laptops and ask for a refund, the only individuals
who can provide such information are buyers who have gone through the experience
of purchasing laptops and returned them for a refund. Selecting that specific type of
subject ensures that the information given is reliable about their personal experience.
Based on the objective of a study, judgement sampling can sometimes be the only
logical technique to gather meaningful information to fulfil the research goal.

Quota Sampling

Quote sampling design ensures that different population sub-groups are fairly repre-
sented by fixing quota to each sub-group. Usually, the number of selected subjects
have the same number it represents in population. For example, studying the tourists’
satisfaction in a particular country would require splitting the population of tourists
into sub-groups based on country or region. Say research needs 200 subjects where
30% of tourists come from Europe, 40% from Asia, 10% from Africa, and 20%
from North America. Then, the researcher needs to select a representative quota of
each sub-group (i.e., 60 European, 80 Asian, 20 African, and 40 North American
subjects). That way, each sub-group of the tourist population is well represented
informing the study sample. Although quota sampling design is hard to generalize
to the population, however, it can come in handy when sub-group minorities need to
be represented in a study.
230 Moniruzzaman Sarker and M. A. AL-Muaalemi

Snowball Sampling

Snowball sampling (also known as referral sampling) is a technique to select subjects

that are in a network or a chain (Sekaran & Bougie, 2016). Subjects are selected
based on the criteria needed in the research, then respondents are requested to refer
to other elements that belong to the same population to become subjects of the sample
(Malhotra & Das, 2010). The cycle keeps going and respondents keep referring to
new subjects until the number of respondents is fulfilled. Appropriate scenarios to use
snowball sampling design is when the targeted population is a very small minority or
when identifying targeted subjects is especially difficult due to identity anonymity,
such as HIV-positive patients or criminal gang members.

Advantages and Disadvantages of Each Type of Sampling

Technique

After going into detail about the different types of sampling techniques, one can
see the importance of the research goal, nature of population, time, and cost in
determining the appropriate type of sampling technique to apply. Where some tech-
niques excel in saving time and money, they may lack generalizability and vice versa.
Table 15.3 provides a summary of the advantages and disadvantages of each type of
sampling technique.

Probability and Non-probability Sampling in Social Science

Research

Sampling decision is one of the key aspects of quantitative research design. Specif-
ically, in survey research, non-response bias might be present due to adopting an
inappropriate sampling technique (Clottey & Grawe, 2014; Lindner et al., 2001;
Sax et al., 2003). Ideally, probability sampling techniques are a desirable method
of selecting sample elements from a population. However, the majority of research
in the area of social science adopted non-probability sampling techniques (Memon
et al., 2017; Rowley, 2014). Probability sampling is considered to be able to choose
a more representative sample as each element in a population has an equal chance of
being selected whereas, in non-probability sampling, the chance of being selected is
not equal (Malhotra & Das, 2010; Sarstedt et al., 2018). Despite the theoretical
conceptualization of choosing a probability sampling technique, non-probability
techniques have been adopted in about 70% of publications compared to only
8% adopted probability sampling (Sarstedt et al., 2018). It indicates that carefully
applying the non-probability sampling method also yields representative responses
from the sample. Although probability sampling yields a generalizable response, it
15 Sampling Techniques for Quantitative Research 231

Table 15.3 Summary of advantages and disadvantages of sampling techniques

Sampling techniques Description Advantages Disadvantages
Probability sampling
Random sampling All the elements in Least bias and best Expensive and
the population are generalizability of sometimes impossible
identified and listed. findings to the to get a full list of all
Each element has an population population
identical chance to be
selected as a subject
Systematic sampling A random n point is Simple and easy if the Systematic bias can
selected from the sample frame is be an issue
sampling frame, and accessible
every nth element is
picked as the subject
Stratified sampling First, the population is Splitting the Requires more time
split into meaningful population allows for
subgroups representative
sampling for each
subgroup, and
meaningful
comparison is
achievable
Cluster sampling The population is split Inexpensive date Lacks generalizability
into clusters (for collection (especially
example, area cluster)
area/geographic
clusters)
Nonprobability sampling
Convenience sampling The selection of Low-cost, fast, and Cannot be
elements as subjects elements are easily generalizable
is based on ease and accessible
convenience
Judgemental sampling The selection of In some studies, this Cannot be
elements as subjects is the only practical generalized to the
is based on their and logical technique whole population.
ability to provide Meaningful
information according
to their experience
Quota sampling Each subgroup of the Very practical when Hard to generalize
population is involving a minority
adequately subgroup is necessary
represented as for a study
subjects by fixing a
quota similar to their
number in the
population
(continued)
232 Moniruzzaman Sarker and M. A. AL-Muaalemi

Table 15.3 (continued)

Sampling techniques Description Advantages Disadvantages
Snowball sampling First subject(s) are Inexpensive and Referral creates bias,
selected, then-current enables researchers to which leads to a lack
subject(s) will refer identify more subjects of generalizability to
new subjects that are difficult to the entire population
reach
Source Adapted from Sekaran and Bougie (2016)

is not necessarily practical in all cases (Memon et al., 2017). In behavioural research
where human beings are studied, in many instances, randomization is not necessary.
As, obtaining the list of overall population elements is challenging in a consumer
behaviour survey, drawing sample elements using probability sampling techniques
is impractical. Research objectives guide the researcher to choose suitable sampling
techniques. For example, Hulland et al. (2017) mentioned that if the objective of
the research is to test a proposed theory, the non-probability sample is more appro-
priate. Whereas probability sampling fits well when researchers want to generalize
the findings of sample elements to the population of the study (Memon et al., 2017).
Therefore, along with the research objectives, time, availability of sampling lists,
and the nature of the research setting are the guiding issues to the researcher when
choosing between probability and non-probability sampling techniques.

Conclusions

In a quantitative study, the researcher desire to generalize the findings to a specific

study context. Nonetheless, this success precisely depends on the ability to adopt
appropriate sampling techniques. As each sampling technique affect the distribution
of sample characteristics in different ways, the generalizability also varies accord-
ingly (Feild et al., 2006; Sarstedt et al., 2018). Hence, researchers need to be very
careful while choosing the sampling techniques for their study. The chapter outlines
the brief discussions about the types of probability and non-probability sampling
techniques and concludes that probability sampling techniques are more structured
and systematic which enable the researcher to select representative sample elements.
However, the challenge related to implementing these techniques cannot be ignored,
and in many cases, using the probability techniques is impossible. One should keep in
mind that probability sampling only works when the full list of population elements
or sampling frame is available. On the contrary, non-probability sampling does
not require any sampling frame and collecting data from sample respondents by
following this technique is more convenient than probability sampling. Specifically, it
is suggested to use non-probability sampling techniques when the criteria of adopting
a sampling technique fit with the issues related to research objectives, research scope,
sampling objectives, and unavailability of the sampling frame. Despite the associated
15 Sampling Techniques for Quantitative Research 233

strengths and weaknesses of each sampling technique, the researcher can minimize
the biases by following a two-stage sampling method in which probability sampling
will be followed by non-probability sampling or vice versa. For instance, researchers
can initially select the area/organizations/city/local area (group) from the entire popu-
lation group by using a random sampling method; afterwards, the participants within
this group can be selected by following convenience, judgemental sampling tech-
niques. However, this process must align with the criteria of respondents to become
a respondent of a study. In practice, non-probability sampling techniques have been
widely adopted in the area of social science research whereas in experimental research
probability sampling techniques are more appealing. Overall, researchers must be
guided by the research objectives, research scope, and research setting while selecting
a suitable sampling technique.

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Chapter 16
Data Analysis Techniques
for Quantitative Study

Md. Mahsin

Abstract This chapter describes the types of data analysis techniques in quantitative
research and sampling strategies suitable for quantitative studies, particularly proba-
bility sampling, to produce credible and trustworthy explanations of a phenomenon.
Initially, it briefly describes the measurement levels of variables. It then provides
some statistical analysis techniques for quantitative study with examples using tables
and graphs, making it easier for the readers to understand the data presentation tech-
niques in quantitative research. In summary, it will be a beneficial resource for those
interested in using quantitative design for their data analysis.

Keywords Social research · Quantitative research · Sample size · Probability

sampling · Data measurement · Data analysis

Introduction

Quantitative methods focus on statistical, mathematical, or numerical analysis of data

gathered or collected through questionnaires, surveys, or observational studies using
computational techniques. Quantitative research concentrates on gathering numerical
data and simplifying it across people or explaining a particular phenomenon (Babbie,
2015; Muijs, 2010). The quantitative analysis objective is to develop and employ
statistical models, theories, and hypotheses about phenomena. To carry out quan-
titative research findings, one needs to use statistical methods. Statistical methods
involve collecting, describing, analysing, and drawing conclusions from data. This
chapter will focus on the quantitative (statistical) methods used to analyse data in
the social science context (Islam, 2019). Details about the quantitative methods in
social science research with examples can be found in (e.g., Neuman, 2002; Gorard,
2003; Bailey, 2008; Bickman & Rog, 2008; Bernard & Bernard, 2012; Punch, 2013;
Lampard & Pole, 2015; Bryman, 2015).

Md. Mahsin (B)

Department of Mathematics and Statistics, University of Calgary, 2500 University Drive NW,
Calgary, Canada
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 235
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_16
236 Md. Mahsin

It is essential to determine each variable’s level of measurement before analysing

a dataset because certain types of statistical techniques depend on measurement
levels, described in a later section. For example, a one-way analysis of variance
requires that the dependent variable be an interval or ratio (continuous) variable,
and the independent variable might be a nominal-level variable. A specific statis-
tical approach indicates what the variables require measurement scale under study
(primarily dependent variable). Then, it is essential to check the interested variables
meet these requirements. The statistical techniques for quantitative studies in social
science are described later in this chapter.

Measurement Levels of Variables

Generally, it is essential to know the scales of measurement in all quantitative social

science research. There are four measurement levels available in the statistics liter-
ature. The distinction among these four scales (Fig. 16.1) is considered essential for
conducting statistical analyses.

Nominal Variables

Nominal variables consist of classes that can be differentiated from each other only
because they are different in their names. Each value is a class, and the values
themselves are considered a label for the class name, and no order/rank exists between
classes. Some nominal variables examples are gender, place of residence, and race.

Stevens (1946) classified variables into four levels. These are referred to as level of measurement, or levels of data.
1. Nominal
2. Ordinal
3. Interval scale
4. Ratio scale

Ratio
(Absolute
Interval zero)
(Distance is
Ordinal meaningful)
(Attributes
Nominal can be
(Attributes ordered)
are only
named)
Fig. 16.1 Classification of measurement levels of variables. This figure is created by the Author
16 Data Analysis Techniques for Quantitative Study 237

They represent a subject belonging to which group and do not provide any quantitative
information about the subjects. As an example, gender describes some subjects are
males, and others are females. However, it does not present some subjects possess a
specific characteristic relative to others.

Ordinal Variables

On an ordinal scale, the numbers describe the categories or variable values for iden-
tification and ranking, and a variable measured using an ordinal scale is known as an
ordinal variable. In this scale, the numeric codes present different variable categories,
and they can be arranged in ascending or descending order. Educational qualification
ranging from no formal qualifications to school and college qualifications to univer-
sity degrees is an example of an ordinal variable. It is evident that some classes
indicate a higher level of qualifications than others, and each class is different.

Interval Variables

In an interval scale, the numbers present variable values, and the level of measure-
ment is classified into a scale of equal units where zero value is not zero’s. The
corresponding variable is called the interval variable. It provides more quantitative
information than the ordinal variable as the difference between the two values is
meaningful. Measurement of temperature through the Fahrenheit degree scale is an
excellent example of an interval scale where the difference between 60 and 65° is
equal to 80° and 85°. However, the interval scale does not have an actual zero-point
representation. For example, a Fahrenheit thermometer reads 0°, meaning that no
heat is present in the environment.

Ratio Variables

In ratio scales, the equal differences between scale values have equivalent quantitative
meaning to interval scales. However, a valid zero-point definition in ratio scales has
a valid zero point, and it is an additional property. There are factual statements about
the ratios between scale values, and a variable measured using ratio scales is known
as a ratio variable. To measure an object in terms of inches with a standard ruler is
an example of a ratio scale where zero inches indicate a complete absence of length.
In addition, it is feasible to make meaningful statements about ratios in this scale.
For example, an object four inches long means twice as long as an object two inches
long.
238 Md. Mahsin

Variables

Qualitative Quantitative

Nominal Ordinal Interval Ratio

Fig. 16.2 Classification of variables according to levels of measurement. This figure is created by
the Author

Based on the definitions of the levels of measurement, it is clear that the qualita-
tive variables consisted of the first two (nominal and ordinal) measurement levels,
and quantitative variables comprised the other two (interval and ratio) measurement
levels. Figure 16.2 shows the summary of the types of variables based on the levels
of measurement.

Statistical Analysis Techniques for Quantitative Study

Statistical analysis techniques for quantitative studies can describe data, generate
hypotheses, or test hypotheses. Figure 16.3 shows the schematic representation of the
data analysis process for quantitative study design. Descriptive statistics summarize
and describe a group’s characteristics or compare groups and are described in the
next section.
There are three types of statistical analyses available for quantitative studies: (i)
univariate, (ii) bivariate, and (iii) multivariate.

Univariate Analysis

The simplest form of quantitative analysis is the univariate analysis, where a single
variable is involved. More specifically, it represents the distribution of a single vari-
able. Univariate analysis is used to describe and summarize the single variable in
the data and find its patterns. However, it doesn’t examine its causes or relationships
16 Data Analysis Techniques for Quantitative Study 239

Step 1: Step 2: Step 3:

Acknowledging Describing Variability in the Drawing Conclusions in a

Collecting Data Data Descriptive way that recognizes
Sensibly Statistics variability in the data

Fig. 16.3 Data analysis process for quantitative studies in social sciences. This figure is created by
the Author

(unlike regression). For example, we would like to see how many subjects were men
and how many were women to explore the distribution of gender variables.
There are several ways to describe the univariate data, such as the measures of
central tendency (mean, mode and median) and dispersion (range, variance, and
standard deviation). However, these techniques are not described in this chapter;
for details of these techniques with examples, see (Wilcox, 1996; Argyrous, 1997;
Aron, Coups & Aron, 2013). This chapter describes the graphical summarization (bar
diagram, histogram, line chart, pie chart) of the univariate data in the next section.

Bivariate Analysis

Bivariate analysis means analysing two variables together (e.g., the relationship
between gender and college graduation). It is one of the easiest methods of quanti-
tative (statistical) analysis (Babbie, 2015), used to explore the relationship between
two variables (often denoted as X, Y ).
Bivariate analysis is ideal for exploring the association between two variables and
predicting a value for one variable (possibly a dependent variable) conditional on
knowing the other variable’s value (perhaps the independent variable). The details of
this technique are described in the correlation and simple linear regression respective
sub-headings. It is a particular case of multivariate analysis where multiple relation-
ships are examined simultaneously (Babbie, 2015). The graphical presentation of
240 Md. Mahsin

bivariate analysis depends on the type of variable. More specifically, a scatterplot is

a standard visual approach for two continuous variables. On the other hand, a box
plot is used for one categorical and one continuous variable. For two categorical
variables, a multiple or component bar diagram is standard. These graphs are part of
descriptive analysis, and it is described in the next section.

Multivariate Analysis

The multivariate analysis focuses on analysing data for more than two variables
simultaneously (e.g., the relationship between gender, race, and college graduation).
Randomized experiments are usually not used in social science research, whereas
they are often used in medicine and natural sciences. However, the social scientists
may often depend on quasi-experimental designs in which the experimental and
control groups may have initial differences, and it could affect the study’s outcome.
Multivariate methods account for these differences statistically, and the outcome is
adjusted to control the differences. For example, the prediction of the risk of heart
disease may depend on the following variables: smoking, exercise, diet, and family
history.
Several statistical approaches are available in statistical literature for multivariate
analysis, and the most appropriate method depends on the type of study and the
research questions. The most commonly used multivariate techniques are multiple
linear regression, analysis of variance (ANOVA), analysis of covariance (ANCOVA),
and multivariate analysis of variance (MANOVA). Among these techniques, only
multiple linear regression, logistic regression, and ANOVA approaches are described
in this chapter later. For details of the other methods with examples, see (Stevens,
2012).

Descriptive Analysis for a Single Variable and Two Variables

Descriptive analysis means statistically describing, aggregating, and presenting the

data in a summarized way to gain a ‘snapshot’ of the data. Specifically, it provides a
fundamental summary of each variable in the dataset. There are two ways to summa-
rize the data, tabular (frequency distribution), and graphical methods. Tables usually
present the data in an easy-to-understand format, whereas graphs visually show the
data and often highlight its patterns. For example, Table 16.1 presents the frequency
distribution of weights (kg) for 112 students of the University of Dhaka.
Table 16.1 presents the most of the student’s weights are between 66 and 68 kg,
especially 42 of 112 students falling into this category. Additionally, the percentage
provides information about their proportion.
16 Data Analysis Techniques for Quantitative Study 241

Table 16.1 Weights (kg) of

Weight (kg) Number of students Percentage
the112 male students of the
University of Dhaka 60–62 12 10.7
63–65 26 23.2
66–68 42 37.5
69–71 20 17.9
72–74 12 10.7
Total 112 100
Source Assumed data by author

Graphical Representation of Data

A graphical representation refers to a visual display of data using plots and charts. It
helps us to quantify, sort, and understandably present data too many audiences. It can
aid in deciding the appropriate data analysis method and explaining the conclusions
stemming from the study. The main types of graphical representation of tabulated
data are (i) bar diagram, (ii) line chart, (iii) pie chart, (iv) histogram, (v) scatter
diagram, and (vi) box plots.

Bar Diagram

A bar diagram refers to a graph of a frequency distribution of categorical data

(nominal or ordinal) where each bar presents a category in the frequency distri-
bution. The area of each bar is proportional to the frequency or relative frequency in
a bar diagram. For example, a simple bar diagram presents the number of persons
(population) in Bangladesh, whereas a component or stacked bar diagram presents
the population stratified by age groups. In a bar diagram, the x-axis shows categories
of a categorical variable, and the y-axis presents the count (or sometimes percentage)
of each category. There are three types of bar diagrams that are available:
1. Simple bar diagram.
2. Component (or stacked) bar diagram.
3. Multiple bar (or grouped) bar diagram.

Simple Bar Diagram

Simple bar diagrams are very popular but they can represent only a single variable.
For example, the population of Bangladesh from 1901 to 2011 can be represented
by a simple bar diagram, and it is shown in Fig. 16.4.
242 Md. Mahsin

Fig. 16.4 Population (in millions) of Bangladesh from 1901 to 2011. Source Data is adapted from
the Population and Housing Census (2011), and the figure is created by the Author

Component Bar Diagram

This type of bar diagram shows the total frequency (or value) and the various compo-
nents constituting the total value by a single bar. For different categories of a variable,
the bars for each category are drawn and placed above the other. Each bar compo-
nent corresponds to each category, while the whole bar represents the total frequency
(or relative frequency). Figure 16.5a displayed the percentage of the population of
Bangladesh divided into three age groups for different years.

(a) Component bar diagram (b) Multiple bar diagram

Fig. 16.5 Percentage of the population of Bangladesh in three age groups from 2000 to 2010. Data
is adapted from the Population Division of UN, (2010), and the figure is created by the Author
16 Data Analysis Techniques for Quantitative Study 243

Multiple Bar Diagram

A multiple bar diagram illustrates the relationship between two or more variables
simultaneously, where each bar represents a category. For example, the percentage
of the population of Bangladesh divided into three age groups for different years is
compared by a multiple bar diagram in Fig. 16.5b.

Line Chart

Line charts usually show how a quantity changes continuously, and this quantity is
more often measured as time changes. Figure 16.6 shows the line chart for data on
sales volume for ten months for a salesperson as an example.

Pie Charts

A pie chart can also summarize a categorical variable. A circle presents a pie chart
with “slices” of the pie that illustrates the different categories of the variable. A slice
size in a pie chart is proportional to the corresponding frequency or relative frequency
for a particular category. Pie charts are the most effective tool for summarizing
categorical variables for a small number of categories. Figure 16.7 presents a pie

Fig. 16.6 Volumes of sales (in thousands of dollars) for 10 months of a salesperson. Source Data
is adapted from the https://blog.hubspot.com, and the figure is created by the Author
244 Md. Mahsin

Fig. 16.7 Development expenditures of Bangladesh government for the textile and apparel industry
of budget 2015–16. Source Data is adapted from the Ministry of Finance, Bangladesh Government,
and the figure is created by the Author

chart showing the development expenditures of the Bangladesh government in other

sectors for the textile and apparel industry of budget 2015–16.

Histogram

A histogram is an appropriate graphical representation of the distribution of quan-

titative data. It is a particular type of bar chart that divides up the range of possible
values into classes or groups. For each group, a rectangle represents the number of
observations falling into that group. The histogram and bar chart looks very similar,
but there are no gaps between the bars. A bar chart illustrates a graphical presenta-
tion of the categorical variables (such as sex or ethnicity). A histogram can display
continuous variables (usually on the x-axis, the horizontal axis) split into class inter-
vals or discrete variables. Figure 16.8 presents the frequency distribution of age for
the 200 coronavirus cases.
16 Data Analysis Techniques for Quantitative Study 245

Fig. 16.8 Histogram of age for the 200 coronavirus subjects being tested positive. Source Data is
adapted from the opencovid.ca/, and the figure is created by the Author

Scatter Diagram

Researchers are frequently interested in exploring the relationship between two or

more quantitative variables. A scatter diagram is a powerful tool to visualize the
relationship (if any) between two or more quantitative variables. A scatter diagram
allows us to ascertain the type and extent to which the variables are related or not.
As an example, Fig. 16.9 shows the scatter plot of height and weight for the
200 healthy subjects being tested coronavirus negative where there is an increasing
relationship between height and weights. As height increases, the weight of the
subject increases.
246 Md. Mahsin

Fig. 16.9 Scatterplot of height versus weight for the 200 healthy subjects being tested coronavirus
negative. Source Data is adapted from the opencovid.ca/, and the figure is created by the Author

Box Plot

Box plot is a powerful tool to summarize experimental data and identify outliers.
Box plot (sometimes known as box and whisker plot) graphically summarizes the
quantitative variable based on the median, quartiles, and extreme values rather than
means and standard deviations. The interquartile range is presented by the length
of the box that contains 50% of the data. The lines that extend from the box to the
highest and the lowest values are known as whiskers. The median is presented by
a dark line across the box. Figure 16.10 shows a general configuration of a box
plot. As an example of a box plot, Fig. 16.11 shows a side-by-side boxplot of the
total cholesterol level for 200 subjects based on smoking status (non-smoker, pipe,
cigarette).

Box

Whisker Whisker

Lowest Highest
Observation Observation
Lower Median, Q2 Upper
Quartile, Q1 Quartile, Q3

Fig. 16.10 General configuration of a Box and Whisker Plot. Source This figure is created by the
Author
16 Data Analysis Techniques for Quantitative Study 247

Fig. 16.11 Box plot of the total cholesterol level with relation to the smoking status. Source Data
is adapted from the https://r-charts.com, and the figure is created by the Author.

Statistical Methods to Examine the Relationship Between

Two Variables

The bivariate analysis describes the relationships between two variables rather than
comparisons of groups (Agresti & Kateri, 2011). It explores the relationship between
two variables and determines the strength of the relationship. Correlation and simple
linear regression approaches are examples of the bivariate analysis technique. Specif-
ically, correlation determines the magnitude of the linear relationship between two
variables. In contrast, regression mainly deals with predicting the value of the depen-
dent variable when a value of the independent variable is known. For example, corre-
lation and regression methods determine the relationship between height and weight
for a group of subjects, and weight prediction depends on a given height.

Correlation

Correlation is the most commonly used statistical tool to explore the linear rela-
tionship between two quantitative (or continuous) variables. The magnitude of the
correlation falls between −1.0 and +1.0. A positive correlation means that two vari-
ables increase simultaneously, and a negative correlation indicates that one variable
increases a fixed amount for a unit decrease in the other. The direction of the rela-
tionship is represented by the sign of the correlation, while the number indicates
the strength. The larger the size of the correlation means the greater the linear rela-
tionship between the two variables. The ‘zero’ correlation value represents no linear
relationship between the two variables.
248 Md. Mahsin

Two approaches are widely available for calculating the correlation coefficients,
which are (i) Pearson’s product-moment correlation coefficient and (ii) Spearman’s
Rho, or rank-order correlation coefficient. Pearson’s product-moment correlation
coefficient is a robust approach for determining the correlation between two variables
and is suitable for parametric data. In contrast, Spearman’s Rho correlation coefficient
is more appropriate for nonparametric data. These two approaches are described in
the following section.

Pearson’s Product-Moment Correlation Coefficient

Pearson’s product-moment correlation coefficient, also known as Pearson’s rho, or

simply Pearson’s r, measures the direction and strength of the linear relationship
between two continuous variables. It is the product of the linear relationship between
a dependent and independent variable.1 Mathematically, it is expressed as the covari-
ance of two variables divided by the product of their standard deviation. The covari-
ance measures the directional relationship between two variables together, whereas
the standard deviation determines the variation between observed values and their
mean. The formula for calculating sample Pearson correlation coefficient (r) for
{x1 , x2 , . . . , xn } and {y1 , y2 , . . . , yn } is given by
[n
− x)(yi − y)
i=1 (x i
r = /[ /[
n n
(x
i=1 i − x) 2
i=1 (yi − y)
2

[n
where x = n1 i=1 xi (the sample mean); and analogously for y.
For example, Pearson’s correlation coefficient between an average number of
cigarettes/day and coronary heart disease (CHD) for 21 countries is 0.71 reveals a
strong positive linear association between the average number of cigarettes/day and
CHD.

Spearman Rank Correlation

Spearman rank correlation is a nonparametric procedure for determining the linear

relationship between two variables where the actual observations are replaced by their
ranks in calculating the correlation coefficient. It determines the association between
two ranked variables, or one ranked variable and one measurement variable. A simple
formula for calculating Spearman’s rank correlation is given by,

1It is called the “Pearson correlation coefficient” in honour of Karl Pearson, a British mathematician
who developed the method.
16 Data Analysis Techniques for Quantitative Study 249
[
6 d2
rs = 1 − ( )
n n2 − 1

where d is the difference between the two ranks of each observation and n is the
number of observations. For example, Spearman’s rank correlation between the level
of education and income is, rs = −0.10 indicates that there is a weak relationship
exists between the level of education and income.

Simple Linear Regression

Using a straight line, simple linear regression (SLR) explores and models the rela-
tionships between two continuous (quantitative) variables. It is helpful to ascertain
the probable form of the relationship between two variables. SLR’s main objective
is to predict or estimate the value of a dependent variable corresponding to a given
value of an independent variable. It is the most widely available technique for deter-
mining how one variable of interest (the response variable, Y ) is affected by changes
in another variable (the explanatory variable, X). It is a widely used statistical tech-
nique in several disciplines such as business, the social and behavioural sciences,
biological sciences, and medicines. A few applications of the SLR are:
1. The product sales prediction depends on the relationship between sales and
advertising expenditures.
2. The prediction of the job performance of an employee depends on the relationship
between performance and aptitude tests.
3. The prediction of the length of hospital stay of a surgical patient depends on the
relationship between hospital stay time and severity of the operation, and so on
A simple linear regression model can be stated as follows:

Yi = α + β X i + εi (16.1)

where Yi and X i are the response and the explanatory variable for the ith subject; α
and β represent the intercepts and slope parameters of the regression model. Here,
the random error term εi assumes that it has a mean E{εi } = 0 and constant variance
σ 2 {εi } = σ 2{; εi and
} ε j are not correlated with each other so that their covariance is
zero (i.e., σ εi , ε j = 0 for all i, j; i /= j = 1, 2, . . . , n).

Estimation of the Parameters

The regression coefficients of the SLR are estimated such that it yields optimal
predictions. Two approaches are mainly available to estimate the parameters in the
250 Md. Mahsin

Fig. 16.12 Illustration of

the estimate simple linear
regression equation. Source
This figure is created by the
Author

simple linear regression: ordinary least squares (OLS) and maximum likelihood esti-
mation. The OLS method is one of the most commonly used approaches to estimate
the SLR intercept and slope regression coefficients. With this approach, a set of
regression coefficients is determined by minimizing the sum of squared residuals
(i.e., the differences between the outcome values and the fitted values). The fitted y
value is computed based on the given x value and the estimated intercept and slope
regression coefficients. By OLS method, the estimates of α and β are:
[n ([n ) [n 1 [n [n
i=1 (x i
− x) i=1 (yi − y i=1 x i yi − n i=1 x i i=1 yi
β̂ = [n = [n ( )2
(x − 2 1 [n
i=1 x i −
i=1 i x) 2
i=1 x i
n
/\

α̂ = y − β x
[n
where x = n1 i=1 xi (the sample mean); and analogously for y. The estimated
regression model can now be written as

yi = a + bxi + ei

or

yi = ŷi + ei

where ŷi is the fitted value of the dependent variable, and the residual ei is the
difference between the observed and the fitted values. Figure 16.12 illustrates an
example of the estimated simple linear regression equation.

Statistical Methods for Multivariate Analysis

Multivariate data analysis is an essential tool for social researchers, and it is the most
widely used technique in quantitative social research projects. In social science, much
of the interest lies in the relationships between many variables. For example, we are
16 Data Analysis Techniques for Quantitative Study 251

interested in people’s views on global warming related to their political views as

their views on either topic are isolated. When considering three or more variables
simultaneously, it becomes necessary to consider multivariate statistics to analyse
their relationship. Multiple linear regression is one of the most commonly used
techniques in multivariate analysis, and it describes in the following section.

Multiple Linear Regression

Multiple linear regression (MLR) is a generalization of simple linear regression and

is the most commonly employed multivariate technique. There is a single dependent
variable and a single independent variable in simple linear regression. In contrast,
there is a single dependent variable in multiple linear regression and more than one
independent variable. The technique relies upon determining the linear relationship
with the lowest sum of squared variances. Therefore, the common assumptions in
multiple linear regression are normality, linearity, and equality of the variance. The
generalized form of the multiple linear regression model is as follows:

Yi = β0 + β1 X 1i + · · · + βk X ki + εi (16.2)

where Yi is the dependent variable, X 1i , . . . , X ki are the independent explana-

tory variables, β0 , . . . , βk are the parameters/regression coefficient associated with
X 1 , . . . , X k , and εi is the random noise or error term. The multiple linear regres-
sion analysis aims to obtain estimates of the unknown parameters β0 , . . . , βk , which
measure the change in independent variables by the dependent variable.
The ordinary least squares (OLS) technique is a commonly used approach to
estimate the parameters of this regression model. The assumptions underlying the
OLS are:
1. Linearity is assumed between dependent and independent variables, the random
noise term enters additively, and the regression parameters are constant across
individuals.
2. There is no correlation between the random noise and the independent variables.
3. The mean of the random noise is zero, the random noise for different obser-
vations is uncorrelated, and the variance of the random noise is a constant
(homoscedasticity). So, the random noise terms are independent and identically
distributed.
4. The independent variables are not perfectly collinear, i.e., no independent variable
is a linear combination of the others.
Under these assumptions, the parameters of the regression model (2) can be esti-
mated by standard statistical software such as SAS, SPSS, Stata, and R. These soft-
ware provide the standard errors of the estimated parameters and the p-values for
testing the parameters.
252 Md. Mahsin

It is essential to check whether all the model assumptions are valid before making
an inference based on the fitted model. Inferential procedures may result in faulty
conclusions for any violated assumptions. Therefore, it is essential to perform appro-
priate model diagnostics. Graphical methods and formal statistical tests can perform
model diagnostic procedures. These procedures are available in most statistical soft-
ware such as SAS, Stata, SPSS, and R. In SPSS, details about model fitting and
diagnostics for linear regression can be found (Field, 2009).

Logistic Regression

Logistic regression is an appropriate statistical modelling approach for the categor-

ical dependent variable. It describes the linear relationship between a categorical
dependent variable and one or more continuous and categorical independent vari-
ables. The probability of a particular category in a dependent variable determines
which variables have a higher association in the logistic regression. This category of a
dichotomous variable has only two types: pass or fail of a test, positive or negative of
a disease, guilty or not of a crime, and so on. However, it is also possible to consider
three or more categories: anguishing from nervousness, sadness, or both. A binary
logistic regression model is suitable for the dichotomous dependent variable. The
multinomial logistic regression model is appropriate for the polychotomous depen-
dent variable. This chapter considers only binary logistic regression, and it is also
known as logistic regression for short. For details about the multinomial logistic
regression, see (e.g., Hosmer & Lemeshow, 2004). A general form of the logistic
regression model is as follows:
( )
πi
logit(πi ) = log = β0 + β1 X 1i + · · · + βk X ki
1 − πi

where
exp(β0 + β1 X 1i + · · · + βk X ki )
πi = Pr(Yi = 1|X i ) =
1 + exp(β0 + β1 X 1i + · · · + βk X ki )

where Yi is the only dichotomous dependent variable, X 1i , . . . , X ki are the inde-

pendent or explanatory variables, and β0 , . . . , βk are the associated parame-
ters/regression coefficient. The regression coefficient β j represents the change in the
logit of the probability associated with a unit change in the jth explanatory holding
other explanatory variables as constant. The exponentiated coefficient eβ j represents
an odds ratio which is useful as it can deal with a more familiar (linear) scale while
retaining a relatively simple model.
The maximum likelihood (ML) method is a common approach to estimate the
parameters of the logistic regression model. This can be implemented by most
statistical software such as SAS, SPSS, Stata, and R. For details about model
16 Data Analysis Techniques for Quantitative Study 253

building, fitting, and assessing the fit of logistic regression models with examples,
see (Hosmer & Lemeshow, 2004).

Analysis of Variance (ANOVA)

To examine the variance in a quantitative variable that differs significantly from the
expected by chance for a qualitative variable or its interaction with one or more
other qualitative variables, analysis of variance (ANOVA) is the most commonly
used parametric statistical approach. Where the qualitative variable consists of two
groups, a significant difference suggests that the means of two groups are possible
to be dissimilar from each other. If the variance differs and the qualitative variable
only comprises more than two groups, this signposts that the means of two or more
of these clusters are to be expected to vary.
An analysis of variance deals with one or more factors. More specifically, a one-
way analysis of variance is an appropriate statistical tool for a single factor, two-way
analysis of variance for two factors, three-way analysis of variance for three factors,
and so on. Levels represent the groups or categories within a factor. This chapter
considers only a single-factor analysis of variance (one-way ANOVA) and the other
ANOVA’s with examples are available in Stevens (2012). For example, a single-factor
analysis of variance is used to examine the hypotheses that the means of two or more
groups are different or not, and it is specified as follows

H0 : μ1 = μ2 = · · · = μk

against

H1 : At least two of the μ' s are different

The analysis assumes that the observation is based on independently selected

random samples, one from each population. It assumes random assignment of the
experimental units (subjects or objects) to treatments, and the data typically results
from an experiment for comparing treatment means.
The key assumptions for the ANOVA are:
1. The normality is assumed for each of the k population or treatment response.
2. Identical standard deviations are assumed for each of the k normal distributions.
3. The observations are independent of each other.
4. The k random samples are selected independently to compare the population
means. To compare treatment means, the treatments are assigned randomly to
subjects or objects.
In ANOVA, the between-groups variance guess is compared with the within-
groups variance estimation. When the between-groups variance estimation is substan-
tially greater than the within-groups variance estimation, the variances between the
254 Md. Mahsin

means are not likely to be due to chance or blunder. Distributing the between-groups
variance estimation by the within-groups variance estimation is known as the F-test
and is calculated as follows:
between − groups variance estimate
F=
within − groups variance estimate

The value of F is large when the between-groups variance estimation is greater

than the within-groups variance estimation. The higher F value indicates that the
means of the groups will fluctuate considerably from each other by chance. Details
about this F-test with examples can be found in Stevens (2012).
Likely SLR and MLR, the one-way ANOVA can be performed by the standard
statistical software such as SAS, SPSS, Stata, and R.

Conclusions

In this chapter, I described commonly used statistical approaches that would benefit
social researchers uncertain about which technique is most appropriate for analysing
their data. The methods described in this chapter are of a possibly great number of
quantitative variables. It outlines important statistical approaches that would help
understand subsequent processes. In guiding the students as to which procedure is
best for their data, it is beneficial to consider them regarding the kind of variables
they are applied to.
Multiple linear regression determines which quantitative and qualitative vari-
ables and their connections are associated with each other. Qualitative variables are
presented as dummy variables for the analysis of variance. The predictors enter into
the multiple linear regression in three different ways. In the usual or shortest method,
all prognosticators enter simultaneously. In the statistical or stepwise approach,
predictors select the variables that elucidate the extreme variance in the bench-
mark. In the tiered or chronological method (Discriminant analysis), prognosticators
enter an encoded direction to determine what impact they create (see Klecka, 1980;
McLachlan, 2004).
To determine the association between one or more qualitative independent vari-
ables and their interactions with a quantitative dependent variable, analysis of vari-
ance is the appropriate statistical technique. A significant association of the qual-
itative variable comprises only two groups, indicating that the two groups’ means
are different. The posthoc t-test determines the significance of the differences for
exploring which means differ. Specifically, the differences between the groups’
means are explored with a posthoc test, such as the Scheffé test (see Montgomery,
2012, pp. 66–130). To explore the association of the quantitative independent vari-
ables with a quantitative dependent variable, analysis of covariance is the suitable
statistical technique; for details with examples, see Montgomery (2012).
16 Data Analysis Techniques for Quantitative Study 255

The logistic regression model is the appropriate statistical technique for a qualita-
tive dependent variable (e.g., extreme poverty vs. not). It deals with both qualitative
(e.g., safe drinking water, sanitation facilities, health, shelter, and education) and
quantitative (age, height, BMI) variables and their interactions as the independent
variables. This chapter discussed the simple binary logistic regression model, where
the dependent variable entails two groups. It determines which qualitative and quan-
titative variables and their connections are powerfully allied with the probability of a
specific class of the dependent variable befalling after considering their connotation
with the other prognosticator variables in the analysis. The predictors enter into a
logistic regression in three different ways, similar to multiple linear regression.

References

Agresti, A., & Kateri, M. (2011). Categorical data analysis. Springer.

Argyrous, G. (1997). Statistics for social research. Macmillan Education Australia Printery Limited.
Aron, A., Coups, E., & Aron, E. N. (2013). Statistics for the behavioral and social sciences: A brief
course: Pearson new international edition. Pearson Higher Ed.
Bailey, K. (2008). Methods of social research. Simon and Schuster.
Babbie, E. R. (2015). The practice of social research. Nelson Education.
Bernard, H. R., & Bernard, H. R. (2012). Social research methods: Qualitative and quantitative
approaches. Sage Publications.
Bickman, L., & Rog, D. J. (Eds.). (2008). The sage handbook of applied social research methods.
Sage Publications.
Bryman, A. (2015). Social research methods. Oxford University Press.
Field, A. (2009). Discovering statistics using SPSS. Sage Publications.
Gorard, S. (2003). Quantitative methods in social science research. A&C Black.
Hosmer, D. W., Jr., & Lemeshow, S. (2004). Applied logistic regression. John Wiley & Sons.
Islam, M. R. (Ed.). (2019). Social research methodology and new techniques in analysis,
interpretation and writing. IGI Global.
Klecka, W. R. (1980). Discriminant analysis (No. 19). Sage Populations.
Lampard, R., & Pole, C. (2015). Practical social investigation: Qualitative and quantitative methods
in social research. Routledge.
McLachlan, G. (2004). Discriminant analysis and statistical pattern recognition (Vol. 544). John
Wiley & Sons.
Montgomery, D. C. (2012). Design and analysis of experiments. John Wiley & Sons.
Muijs, D. (2010). Doing quantitative research in education with SPSS. Sage Publications.
Neuman, L. W. (2002). Social research methods: Qualitative and quantitative approaches.
Population & Housing Census, Bangladesh. (2011). Preliminary results
Population Division of the Department of Economic and Social Affairs of the United Nations
Secretariat, World Population Prospects: The 2010 Revision
Punch, K. F. (2013). Introduction to social research: Quantitative and qualitative approaches. Sage
Publications.
Stevens, J. P. (2012). Applied multivariate statistics for the social sciences. Routledge.
Wilcox, R. R. (1996). Statistics for the social sciences. Academic Press.
Chapter 17
Techniques for Reporting Quantitative
Data

Md. Mahsin

Abstract A quantitative research report is a way of describing the completed study

to other people. The findings are communicated through an oral presentation, a book,
or a published paper. The report disseminates the results to research scientists or the
policy decision-maker’s stakeholders. It is usually written in plain words so that
a layperson can understand it, or it may be so highly technical so that the target
audience can understand it easily. It organizes in many different ways depending on
the intended audience and the author’s style. A rough sequence of steps for writing
a quantitative research report describes in this section:

1. Specify a summary or abstract of the report to give a quick picture of the research
article, thesis, review paper, conference proceeding, or in-depth analysis of a
particular subject.
2. Define the research problem and discuss the methodology approach.
3. Present the results and findings and finally summarize the significance of the
conclusions.

Keywords Social research · Reporting · Data · Data reporting · Quantitative data

Introduction

Quantitative research reports usually start with a summary or abstract. The size of
an abstract varies, and it ranges from 50 words to a full page. Most scholarly journal
articles prints the first page of the article as an abstract. The research problem and
objectives, research design or data collection features, data analysis techniques, and
the primary findings are presented in the abstract. A more extended summary of a
study is called an executive summary of the report in applied research. It describes
the research implications and significant recommendations made in the report and

Md. Mahsin (B)

Department of Mathematics and Statistics, University of Calgary, 2500 University Drive NW,
Calgary, Canada
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 257
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_17
258 Md. Mahsin

contains more detail than an article abstract. An executive summary ranges from four
to five pages.
Executive summary and abstracts entail very short descriptions where the readers
can get a highlight what is going to discuss in the next section. This part should
be written in such a way so that the readers can easily understand the whole journal
article or a research report. Though there are many techniques to write a good abstract,
in general, an abstract carries four important aspects. First, it needs to include a line
that will clearly show the research objective; secondly, the research methods and
data/materials used in the study should be mentioned; thirdly, the results should be
included within two or three sentences that will give the field findings; and finally, the
last sentence will include the policy implications or how the readers will be benefitted
to read this article or research report. On the other hand, the research report should
include the executive summary which will be two or three pages in size that will
provide a brief idea of the whole report including research objective, methodology,
main findings, and suggestions for policy implications.

Presenting the Problem

Probably, the best way to begin a quantitative research report is to explain simply
the research problem. For instance, one of the study’s purposes is to ascertain the
children who have witnessed domestic violence have lower social interaction skills
than children who have not seen such abuse. In this context, the research problem is
how would the knowledge derived from this study help social workers?
The research problem is usually described in one or more sections with titles such
as “Introduction”, “Literature Review”, “Hypotheses”, or “Background Studies”.
The sub-headings can be different; however, the contents include a research problem
statement and a rationale for investigating the research problem. The researchers then
explain the significance of and provide a background to the research question. The
importance of the research is then presented by how different solutions to the problem
lead to various applications or evidence-informed decision-making processes. The
introductory section usually describes the context literature review and links the issue
to theory. Preceding paragraphs also define key concepts and present conceptual
hypotheses. To write a quantitative report needs to consider the study’s findings
should have some form of utilization potential for social workers, or the information
would not be worth noting in the first place. More specifically, the report must have
some practical, theoretical, or policy significance. That is, the study’s findings would
be helpful in the social work profession.
17 Techniques for Reporting Quantitative Data 259

Describing the Methods

After presenting the research problem, the next section of a quantitative research
report contains the method(s) used to answer the research problem. This section
usually includes descriptions of the study’s design, the research participants who
were a part of the study, and a detailed description of the data gathering procedures
(who, what, when, how), and the definition of all variables, for example, the meaning
of the critical variables, that is, they describe how they would allow them to be
measured. When and how the measurements would occur were also presented, and the
study’s research design was described. Since a research design encompasses the entire
quantitative research process from conceptualizing the problem to disseminating
the findings, this part presents who would be studied (the research participants or
sample), what data need to collect, and what would be done with the data once
obtained (analysis). It is the most important section to evaluate the methodology of
the project. In summary, this section answers most of the questions for the reader:
• What type of study design (e.g., experiment, observational, survey) was used?
• Describes data collection procedures (e.g., study design, type of survey, time and
location of data collection, experimental design used?
• How were the variables measured?
• What is the target population? How many subjects or respondents are needed in
the study to obtain the required statistical power? How were they selected?
• How were the ethical issues and specific concerns of the design?

Results and Findings

The next step involves sampling strategy and measurement scales of the data. This
section offers how to analyse and interpret the data. However, researchers sometimes
combine the “Results” section with the “Discussion” or “Findings” section.
One way to begin with a quantitative report is to prepare the figures, tables, or other
data summarization techniques to present the study results. The goal of tables and
figures is to give a summarization of the data under study. Then, researchers looked
at essential statistical techniques to analyse their data and select the appropriate
statistical approach. All of the analysis results are not included in the final report.
Instead, the researcher sets the necessary charts or tables that fully inform the reader
of the study results and barely present the raw data. Based on the available data,
data analysis techniques summarize the data and test hypotheses of the research
problem (e.g., frequency distributions, tables with means and standard deviations,
correlations, and other statistics). Once a table (or figure) is presented in the report, its
interpretation is required. Data displays should be self-explanatory if done correctly.
A researcher presents the complete picture of the study results in a constructive
way and does not overwhelm the reader. Readers can easily understand the findings
260 Md. Mahsin

from the data interpretation section. However, the details of the statistical analysis
technique and results can be presented in the appendix section.

Discussion

Researchers give the reader an obvious and concise interpretation of their results in
the discussion section. The discussion is, in fact, a candid discussion of the “Results”
section. The “Discussion” section is separated from the results section to make the
results and interpretations understandable to the readers.
Organizing the “Discussion” section is challenging for novice researchers. The
easiest way to manage the discussion is according to hypotheses and relate the
data to each hypothesis. Additionally, unanticipated findings, possible alternative
explanations of results, and weaknesses or limitations are discussed in this section.

Drawing Conclusions

The final part of a quantitative research report presents a restatement of the research
question and summarizes the study findings in conclusion (Neuman & Robson, 2012).
Its purpose is to summarize the overall study results and is known as “Summary”.
The references and appendices are the sections after the conclusion section. The
text or notes from other sources are referred to in the “References” section. Data
collection methods (e.g., questionnaire wording), statistical analysis technique (e.g.,
SLR, correlation), or results (e.g., descriptive statistics) that are not essential in
the main report are presented in the Appendix section. To expand or elaborate the
information in the text, the footnotes or endnotes are used in the reports. Researchers
use them sparingly to provide secondary information that clarifies the text but might
distract from the reading flow (Neuman, & Robson, 2012).
Finally, a report concludes with a summary of the study’s findings. It is imperative
in more comprehensive reports or when a study’s findings and discussion sections
are lengthy or complex. Sometimes, people read a long report’s summary and those
few sections of the study that interest them.

Reference

Neuman, W. L., & Robson, K. (2012). Basics of social research: Qualitative and quantitative
approaches.
 Part IV
Qualitative Research Approach
Chapter 18
Designing a Research Proposal
in Qualitative Research

Md. Ismail Hossain, Nafiul Mehedi, and Iftakhar Ahmad

Abstract The chapter discusses designing a research proposal in qualitative

research. The main objective is to outline the major components of a qualitative
research proposal with example(s) so that the students and novice scholars easily get
an understanding of a qualitative proposal. The chapter highlights the major compo-
nents of a qualitative research proposal and discusses the steps involved in designing
a proposal. In each step, an example is given with some essential tips. Following
these steps and tips, a novice researcher can easily prepare a qualitative research
proposal. Readers, especially undergraduate and master’s students, might use this as
a guideline while preparing a thesis proposal. After reading this chapter, they can
easily prepare a qualitative proposal.

Keywords Social research · Research proposal · Qualitative research · University

students

Introduction

Generally, a researcher attempts to uncover hidden events to find the answer to

a question. A variety of methods and strategies are used for doing this research.
The two primary forms of research are quantitative and qualitative. The former is
concerned with numerical measurements, whereas the latter is focused on the in-depth
meaning of the linguistic aspects. They are one-of-a-kind and are conducted in various
ways to provide quite diverse sorts of information. When a researcher considers a
natural investigation of a social phenomenon, such as experience, s/he most often
thinks of qualitative research. A natural investigation technique is used in qualitative
research to acquire an in-depth knowledge of a social phenomenon, and the inquiry is
conducted in a natural setting. This method tries to address the question ‘why’ rather
than ‘what’. In qualitative research, the researcher relies on primary data, which
includes people’s experiences in naturalistic environments (Ahmad et al., 2019;

Md. I. Hossain (B) · N. Mehedi · I. Ahmad

Department of Social Work, Shahjalal University of Science and Technology, Sylhet, Bangladesh
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 263
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_18
264 Md. I. Hossain et al.

Aspers & Corte, 2019). In contrast to qualitative research, quantitative research works
with numerical or numerically convertible data. Statistical analysis is fundamental
in analysing numerical data. In both kinds of research, a proposal is a prerequisite.
The research proposal is the reflection of a researcher’s working plan that s/he is
thinking of employing to explore and understand a specific social issue. Researchers
convey the relevance of the study to a specific issue through a research proposal. It
ideally illustrates the originality and significance of the study, as well as the inves-
tigator’s capacity to carry out the planned set of actions (Abdulai & Owusu-Ansah,
2014). A researcher can use some qualitative research designs to gain in-depth knowl-
edge about a social phenomenon. A suitable design for the study may be chosen based
on the study’s aims and objectives, as well as the researcher’s expertise. The field
of qualitative research is diverse, and the validity of studies that employ such an
approach is increasingly being questioned by social and behavioural scientists. It is
frequently stated that writing good qualitative research proposals is both a science
and an art. Good qualitative research ideas may represent the researcher’s field exper-
tise and approach (Sandelowski & Barroso, 2003). Sharing research ideas with others,
on the other hand, helps researchers sharpen their ideas and improves the validity and
reliability of the research. Therefore, preparing a research proposal is a prerequisite
for all kinds of social research. Qualitative research proposals are not an exception
to fulfilling this requirement.

Key Concepts Related to the Designing of a Qualitative

Research Proposal

Preparing or designing a research proposal is crucial in qualitative research. Being

a systematic method of exploring and understanding social phenomena, qualitative
research must follow specific procedures. A novice researcher must have an under-
standing of some key concepts related to qualitative research before following the
specific procedures for designing a proposal.

Research Design

An appropriate research design is crucial for sensibly understanding a problem. The

research design depicts the methods and strategies of inquiry with possible challenges
and ways in a study coherently. It also influences regulatory variables that may estab-
lish the legitimacy of research results (Grove, Burns & Gray, 2012; Islam, 2019).
The design phase of any kind of research provides an opportunity for exploration,
showing creativity regarding selected problems. It starts from a state of inquisitive-
ness to an approach that helps achieve research objectives. As a result, a scientifically
valid design is required to handle the research topic rationally, which must include
18 Designing a Research Proposal in Qualitative Research 265

other items in the study. Before going to the field to gather data, the researcher must
decide on a study design. Research design has a specific goal of maximizing the
eventual validity of the study findings (Mouton & Marais, 1990). Furthermore, the
research design addresses the issues of how, when, and where data will be gath-
ered, processed, and analysed (Parahoo, 2014). Guidelines depicted in the proposal
are followed throughout the study, and therefore, a suitable design is required from
the onset (Islam, 2019). The most frequently applied qualitative research designs
are narrative, grounded theory, phenomenology, case study, and ethnography. These
designs have diverged from one to another, but they share commonalities. The foun-
dation of qualitative research is completely based on a comprehensive understanding
of a social issue, scenario, or situation linked to direct experience in the social context
(DJS Research, 2021). Exploring lived experiences of people about a particular issue
always requires consideration of the social context, which may indicate the applica-
tion of different techniques, including in-depth interview, group discussion, observa-
tion, and documents/content analysis to get an overall picture of the context. There
may be some issues of communication to consider (Wilson, 2015). Moreover, it is
assumed in qualitative research that using more than one way of collecting evidence
is all important for knowing the reality. This strategy is much more appreciated by
researchers in phenomenological research. While designing a proposal, researchers
must decide along four dimensions to achieve the goals: the purpose of the study,
theoretical paradigm, setting in which the study is conducted, and techniques used
to gather first-hand experience.
Research design is also termed as a strategic framework that is structured to
reflect relevant issues guided by two principles: (1) design validity and (2) design
coherence (Durrheim, 2006). Research validity is often restricted to complexity,
which happened due to researchers’ lack of control over the situation (Campbell &
Stanley, 2015). Design validity is ensured by identifying and managing possible
validity threats. Design coherence is achieved by the logical construction of the
mentioned dimensions (Durrheim, 2006).

Research Proposal: An Action Plan for a Study

In general, a research proposal is the first step in an investigator’s decision-making

process about a study topic. It provides an initial description of a research problem as
well as a description of the process of investigating a social issue. A research proposal
is recognized as an important part of the academic arena since it helps academics
to explore problems methodically in their area of expertise (Islam, 2019). Research
proposals need to be arranged logically to get the justification of the concerned
authorities on the proposed research (Abdulai & Owusu-Ansah, 2014). It explains
the state, nature, and significance of a particular research project with an approxi-
mate time and budget, and it is placed with the concerned authority, which might
be an academic institution or organization, who approves the project and may grant
funds for running the project. Without the approval of the research proposal by the
266 Md. I. Hossain et al.

concerned authority, the research work cannot be started or it may not be accepted.
According to Boeije (2010), the study proposal is a manifestation of an explana-
tion regarding the method, activities, and prospective results. A proposal generally
addresses the planning that researchers have to accomplish to explore the identified
issue. It also focuses on the reasons for undertaking the attempt to investigate and how
it is intended to be deployed (Al-Riyami, 2008). The proposal gives the researchers a
chance to rethink and refine their argument while the research project is proceeding
in full swing. Therefore, researchers need to consult proposals at various phases of
a research project to focus on the relevance of the issue and to identify and address
the challenges that emerge as the project activities progress.
Without proper planning, it is impossible to study a problem in the right direction.
Researchers may lack focus in data collection processes that hamper the momentum
of researchers’ work and lead to other problems affecting the results. Writing a
clear proposal will undoubtedly minimize those challenges to a large extent. The
research entails a sequence of operations, and thus, the proposal outlines all of them
systematically and scientifically. Therefore, on one hand, a research proposal is called
a blueprint of the study. On the other hand, a proposal is a tentative research plan;
hence, the researcher can revise it in the course of research work. In short, a research
proposal demonstrates the central issues of the research in a concise manner. It
highlights the features of the research by detailing current information and arguments
on the topic. This kind of focus on existing debate may aid and direct researchers to
change, modify, or incorporate new ideas into their research.

Qualitative Research

A qualitative study is a method of comprehending a societal or human phenomenon.

It aims to portray a comprehensive and holistic image by utilizing phases as well as
providing a complete overview of the place in the natural environment (Creswell,
1994). It helps academics to learn more about a specific area that has just arisen as
a study question and about which little is understood (Liamputtong & Ezzy, 2005).
Furthermore, it concentrates on comprehending the study question from a human-
istic or philosophical standpoint (Pathak et al., 2013). Qualitative studies usually
deal with human subjects. It is specifically used to examine religious opinions, expe-
riences, emotions, actions, and relationships (Pathak et al., 2013). The key features
of qualitative research are: it is conducted in a natural setting, relies on researchers
as key instruments, involves multiple techniques, focuses on participant perspec-
tives, and is situated within the context, reflective and interpretive, and evolving
and emerging design (Creswell, 2013). Due to the obvious flexibility, openness, and
receptivity of qualitative studies to the topic, the phases of data collection, procedure,
and interpretation are not discrete and consecutive (Russell & Gregory, 2003).
Qualitative research may be used to develop a sense of reality, characterize and
understand the social environment, and build interpretive theories and models. It is
the principal means of constructing or re-examining the theoretical underpinnings
18 Designing a Research Proposal in Qualitative Research 267

of the social sciences (Morse & Field, 1996). Qualitative research involves an inter-
pretive philosophy to explain the problem. It is used to interpret or make sense of
the terms related to those phenomena according to the connotations that individuals
assign to them (Denzin & Lincoln, 2005). This method contrasts with positivism,
which uses the statistical measurement of numerical data to process the findings
(Strauss & Corbin, 1990). In a nutshell, qualitative research focuses on how indi-
viduals perceive or interpret the occurrences around them while making sense of
things. Another of the primary themes of qualitative inquiry is how individuals being
examined comprehend and perceive wider social realities (Bryman et al., 1988).
In qualitative research, there is no way to manipulate the phenomenon according to
researchers’ interests. As social phenomena are dynamic and subject to change, qual-
itative researchers should record an event after and before the change occurs. Like
in quantitative research, qualitative researchers also need to ensure the credibility
of the findings (Patton, 2001). Qualitative research techniques are employed when
the researcher intends to have a better understanding of the phenomenon (Rosenthal,
2016). Here, the researcher attempts to explain a phenomenon from the perspective
of participants. Qualitative research is conducted to explore the causes and effects
of a phenomenon based on non-numerical data. Generally, the researchers collect
direct quotes from the participants. Data are collected using different techniques and
from multiple sources and interpreted thematically. Direct conversations, field notes,
pictures, recordings, and memoranda are all included as the sources of data (Islam,
2019).

Essential Components of a Proposal in Qualitative Study

A qualitative research proposal has some general components. Without these compo-
nents, a proposal cannot be a complete one. Therefore, while designing a proposal
for a qualitative study, researchers must consider these components. The following
sections have described the essential components with a specific example.

Title

In a qualitative study, the researcher seeks to investigate the participants’ lived expe-
riences about the issue to be investigated. The subject matter of a qualitative study
is vast, and it is usually reflected in the title. The title, on the other hand, should be
succinct, simple, and comprehensible (Islam, 2019). It should avoid acronyms and
instead utilize words that make a good impression and pique the reader’s attention.
The title gives the readers a primary view of the selected issue. The title should include
some keywords related to the proposed field of research. Ideally, it should comprise
8–12 words. The dependent and independent variables should also be explicitly iden-
tified in the title. For instance, if we want to explore the impact of the COVID-19
268 Md. I. Hossain et al.

pandemic on health workers, a possible title would be “The Consequences of the

COVID-19 Pandemic on the Psychosocial Health of Medical Professionals”. Here
in this title, COVID-19 is an independent variable and the psychosocial health of
frontline workers is a dependent variable.

Common tips for framing a research title

• Simple and comprehensive.

• 8–12 words.
• Clear indication of dependent and independent variable.
• No technical terminologies or abbreviations.

Statement of the Problem

This section expands on the title and describes what has already been known as
well as what has yet to be explored. A good research problem should target a gap
that exists in the course’s knowledge and lead to more study (Davis, 2021). It is
the opening pitch of a study. It establishes the setting and contextualizes the study.
Likewise, in research work, a problem statement is employed as a declaration that is
to be investigated by a study. The problem statement in a qualitative research proposal
highlights the unknown occurrences or inadequacies in the study subjects. Therefore,
stating the problem is an important element of qualitative research. Following the
aforementioned research title, the problem statements may include the relevance
of the study on the psychological health of medical workers. The researcher may
clarify that earlier studies have indicated deteriorated physical health, but the state
of psychological health has yet to be investigated. Furthermore, the study should
be linked to international programmes and policies on the health and well-being of
medical health professionals during the COVID-19 pandemic.

Key issues for consideration in writing the problem statement

• Identify some essential and relevant features to explain the investigation’s

logic.
• Connect the study to some current issues.
• Relate the study with some international and national agendas/policies
/plans/programs.
18 Designing a Research Proposal in Qualitative Research 269

Objectives and Research Questions

The objectives offer a general view of the study and what the researchers want to
explore. The study objectives direct the researcher where to go. It sets a boundary
and gives a specific direction, which helps the researcher not to go all around. There-
fore, every piece of research should have a specific goal. In a qualitative study, the
research goals and objectives provide the researcher with direction. Without a goal
or objective, research is just like a boat in the ocean without any anchoring place.
Qualitative research should have both general and specific objectives. The general
objective explicitly focuses on the research title, and specific objectives allude to
investigating the respondents’ lived experiences of the very closely relevant issue.

Key points in setting research objectives

• Two type of objectives: general and specific.

• General objective reflects the research title but the wording is bit different.
• Specific objectives are the parts of general objective but very simple,
concrete, and understandable.
• Specific objectives reflect the meaning of what, why, and how related to the
main query.

Following the above-mentioned title, the general objective of the research can be
set as the following:
The main aim of this study is to explore the consequences of the COVID-19
pandemic on the psychosocial health of medical professionals.
To fulfil the general aim, the researcher needs to identify specific objectives.
Accordingly, the general objective can be divided in the following ways:
(a) To understand the workload of the medical professionals during the COVID-19
catastrophe;
(b) To find out the challenges in work–life balance during the pandemic; and
(c) To figure out the means of adaptation with the challenges.

Literature Review: Concepts and Theories

A review of the literature refers to all sources of scientific data relating to the issue
of interest. Finding literature is no longer a difficult task in this day and age of
digitization and easy access, and there is a lot of literature available from plenty of
sources. The investigator finds it difficult to include everything within the current
study (Balakumar et al., 2013). As a result, it is critical to look for relevant and
recent articles, books, or other kinds of publications. Such things may be retrieved
270 Md. I. Hossain et al.

using search engines such as Google, Google Scholar, Embase, PubMed, and others.
They also check for publisher websites, such as SAGE, Wiley, Lancet, Cambridge
University Press, and so on. It is also stated that studying 15–20 articles is optimal
for moving on to the research work. Moreover, the researchers may adopt one or
more specific theories to explain the whole research. The ‘Review of Literature’
section takes time and is difficult to write. It is said that a review of the literature
in an investigation helps to clarify not just the scholastic necessity of investigating
the phenomena, but also the researcher’s objectives and purpose in addressing the
study (Fry et al., 2017). The researcher may discover relevant material for the above-
mentioned research title by utilizing the key phrases “COVID-19”, “Consequences”,
“Psychosocial Health”, “Medical Professionals”, and so forth.

Key steps in doing literature review

• Recent and relevant literature.

• Search with keywords.
• Selection of approximately 15–20 articles from standard journals.
• Read the literature carefully and summarize.
• Compile the notes thematically, juxtapose the findings, find the gaps in
support of the current study.

Methodology

The methodology is the most crucial part of the research proposal. The method-
ology outlines the investigation process that is to be adopted in the study. The
level of validity and reliability of the research findings particularly depend on how
much sound the methodology adopted in the study is. In general, the reviewers
are more critical about research methodology. Research proposal with strong and
sound methodology are more likely to get grants through competition. The research
methodology comprises research approach (quantitative/qualitative), design (case
study/phenomenology/ethnography), research area, population and sample, data
collection techniques and tools, data collection, and data analysis. The most signif-
icant aspect of a research project, whether it is qualitative or quantitative, is the
methodology. It also determines the process of sample selection, data collection, and
analysis. In this situation, using a phenomenological method will provide themes and
sub-themes based on the participants’ experiences. For the aforementioned title, the
researcher may use a qualitative research design like phenomenology. In addition,
the population must be specified within a specific geographic location. The sampling
18 Designing a Research Proposal in Qualitative Research 271

process and sample size must also be explicitly specified. The data collection tech-
niques and tools should be well fitted, and they should be mentioned explicitly. Cross-
checking is to be done based on the literature review, supervisors’ comments, or
self-expertise. It is also necessary to discuss the data analysis procedure. Qualitative
data can be processed and analysed using the MAXQDA and NVivo programs.

Example of the methodology Section

The approach of the study: Qualitative Approach.
Design of the study: Phenomenological design.
Area of the study: Sylhet City Corporation area.
Population: All the physicians and nurses in Sylhet City Corporation area.
Sample: 15/ based on the saturation level.
Sampling Technique: Purposive.
Data Collection Techniques: In-depth interview/ KII/ FGDs.
Data collection tools: Interview checklist/ guideline/ protocol.
Data Analysis: Thematic analysis using MAXQDA.
Challenges: Restriction in access due to lockdown.

Ethical Consideration and Philosophical Foundation

The philosophical underpinnings, epistemology, are connected to the creation of

knowledge in qualitative studies (James & Busher, 2009). Ethical guidelines are
a necessary component in the research process that needs to be mentioned in
the proposal. The researcher must state how ethical standards will be maintained
throughout the study. The qualitative research method investigates people’s experi-
ences in the natural setting. Therefore, qualitative research involving human partic-
ipants must adhere to ethical standards, regulations, and institutional rules (Pietilä
et al., 2020). The proposal must include a declaration regarding the identification and
privacy of those involved in data collection. The collection of data directly from the
participants must ensure the confidentiality and anonymity of the subjects because
disclosure of participants’ identities may be harmful to them. The voluntary partic-
ipation of the participants should be ensured. Before collecting data, consent must
be obtained from the subjects to include them in the study (Walker, 2007).
272 Md. I. Hossain et al.

Key issues in ethical consideration

• Informed consent.
• Voluntary involvement of the participant.
• Participant’s confidentiality and anonymity.
• Standards, regulations, and institutional rules.
• No false promise.

Significance of the Study

Every qualitative study, such as phenomenology, should explore the learning

paradigms from this epistemological position throughout to explain the validity of
understanding (Islam, 2019). Here, epistemology is the philosophy of discovery of
the origin, degree, and extension of knowledge (Becker, 1996). It generally describes
the potential impact of the study, as well as a brief discussion of the challenges and
difficulties in the country/area that are related to the planned study. Then, a discus-
sion should be placed highlighting the contribution of the current study to address
the problem of the targeted community or the country. In this portion, the researcher
should emphasize the importance of the research. For example, why the researcher
is interested in psychosocial health or medical professionals must be described.
The researcher should also discuss how the current work will benefit the scientific
community.

Key points in significance of the study

• The necessity of carrying out the research.

• Justify and illustrate possible impact of the study.
• Contribution to knowledge among the scientific community.

Scope of the Study

The scope of the study indicates the extent to which a study arena will be explored
in the study and specifies the variables that will be at work within the exploration
(Davis, 2021). The major areas of concern, specific challenges, demographics, and
location of the study should be discussed here. Essentially, this implies that the
18 Designing a Research Proposal in Qualitative Research 273

study has very specific coverage. This section must clarify the issues that will be
addressed and those that will not. This will fall within the constraints. In general,
a research article’s scope is preceded by its restrictions (Editage Insights, 2019).
Hence, the researcher must set the variables in this part. As an example, he may say
that COVID-19 is an independent variable and psychosocial health is a dependent
variable. The investigator must also provide a detailed explanation of the topics with
which he will deal, such as psychological issues.

Key Issues in scope of the study

• Identify the main areas/aspects/concepts of the proposed study.

• Targeted problems, population and community/location.
• Involving institutions/agencies and stakeholders.

Work Schedule

The researchers need to set a specific timeframe for the study. A proposal has no
formal ending without having a specific time frame. On the other hand, every piece of
research has a definite purpose that is to be accomplished within a certain time frame.
Otherwise, the findings would not be usable for the purpose that motivated this study.
A time frame guides the researcher when to start and finish the project. The cost of
the research is also associated with the timeframe. Any project called by an institu-
tion gives a time duration. Researchers must follow the time frame mentioned in the
call. For academic research, there is also a time limit. Without finishing the study, the
degree cannot be conferred. Therefore, demonstrating the research schedule is a vital
component of the proposal. The entire study endeavour might take several months to
several years to finish. Using a Gantt chart helps researchers organize required func-
tions such as literature review, methodology and data collection equipment design,
data collection, data processing and analysis, report writing, and publication within
a specific time frame.
An example of a Ghent chart
274

Activities Months (July 2022–June 2023)

1 2 3 4 5 6 7 8 9 10 11 12
Review of literature,
development of the
questionnaire,
determination of the
sample size
Preparation of data
gathering tools and
pretest
Data collection and
analysis
Report preparation and
finalization
Md. I. Hossain et al.
18 Designing a Research Proposal in Qualitative Research 275

References

Inserting the references correctly is a deft touch. The references in the proposal
are typically few. However, each educational institution and publisher has a distinct
requirement for referencing. So, before submitting the proposal, the researcher must
thoroughly read the submission requirements. The learner must write these end refer-
ences in alphabetical order (Islam, 2019). There are several referencing styles in the
academic area, and academics must utilize one of them. It changes from style to style
depending on the journal’s/publisher’s preference. The most popular reference styles
include APA (American Psychological Association), Harvard, and Chicago, among
others. APA’s 6th edition is the most popular and widely used style.
Illustration of an APA reference

Conclusion

A proposal is an action plan for research. The quality of the study depends on
the proposal. However, designing a good qualitative proposal is a challenging task.
Preparing a proposal for a research project is a difficult task in the dynamic landscape
of qualitative study. It is more difficult for novice researchers, particularly masters
or PhD students since they do not have sufficient experience in qualitative research.
The researcher should be aware of the feasibility of executing the action plan while
designing a proposal. At the same time, he needs to be aware of the methodology
and whether it is conducive to attaining the objectives of the study. Careful following
of the steps and addressing the issues mentioned here can draw a good research
proposal.
276 Md. I. Hossain et al.

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Chapter 19
Action and Evidence-Based Research

Niaz Ahmed Khan and A. Z. M. Manzoor Rashid

Abstract This chapter proffers an overview of Action and Evidence-based research

as two related yet distinct methods commonly used in the exploration of society. The
purpose is to provide a summary and synthesis of the key dimensions of these methods
from the viewpoint of tertiary literature. Establishing facts and reaching a conclusion
are the leading objectives of research which is an integral part of development too.
Action research, which emerged during the Second World War period, has assumed
special significance due to its practicability and active focus on client participation.
As a discourse, action research merges the principles and theories of research into
practice, hence believed to produce remarkably relevant research findings. It attempts
to create a synergy between the hypothesis developed at the diagnostic stage, and
the actions are taken based on that assumption. This chapter examines the basic
features, scope, and limitations of action research. Evidence-based research and its
application in various practices and trades, most notably, in medicine and nursing
professions, has become popular since the 1990s. The method essentially focuses
on reliable, verifiable, and quality-assured research that can be used as ‘evidence’ in
making informed and objective professional and/or policy decisions and judgments.
Here, the emphasis is on the generation and use of evidence that draws on rigorous
scientific research as distinct from and opposed to intuition, tradition, subjective
unsubstantiated opinion, or other unsound bases of information. The discussion here
includes definitional and classification issues, typical steps and process of application,
and some illustrations.

Keywords Social research · Qualitative research · Action research ·

Evidence-based research

N. A. Khan (B)
Department of Development Studies, University of Dhaka, Dhaka, Bangladesh
e-mail: [email protected]
A. Z. M. Manzoor Rashid
Department of Forestry and Environmental Science, Shahjalal University of Science and
Technology, Sylhet, Bangladesh

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 279
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_19
280 N. A. Khan and A. Z. M. Manzoor Rashid

Introduction

Of late, there has been a revival of interest in the understanding and application of
Action and Evidence-based research, especially among the practising quarters. Such
an interest, in the main, emanates from the need for making research more relevant for
practice and associated policy and decision-making. Put simply, establishing facts
and reaching a conclusion are the leading objectives of the research, which is an
integral part of development too. It is broadly argued that the ultimate objective of
both research and development is to contribute to the welfare and improvement of
people and places. Drawing and expanding on this rather axiomatic principle, there
has been a cogent argument in favour of focusing on communities, clients and local-
ities—as one prime purpose of research; and accordingly, it has been argued that
participation of communities (targeted clients) in the research process is a critical
component of any successful pursuit of research (Lambrou, 2001). In this context, and
the process, client-focused participatory research approaches, including action and
evidence-based methods, have gained gradual prominence mainly due to their prac-
ticability, problem-solving orientation, and emphasis on active client (community)
participation.
Against the above backdrop, this chapter proffers an overview of action and
evidence-based research from the viewpoint of tertiary literature. In what follows, the
discussion is divided into two main parts (A and B) addressing the two methods of
action and evidence-based research, respectively—by focusing on the basic features,
process, application modalities, and limitations of each of the methods.

Part A: Action Research

The salient concept of action research was first coined by Kurt Lewin in the early
1940s to describe a process that linked social approach and actions to address major
social issues during the Second World War period in addressing the dilemma of the
urban minorities in the United States. It was widely applied in the education field
to bring changes in educational practice. Action research combines the experiences
and knowledge of local actors and the scientific community based to answer the
hypothesis formulated at the beginning of the research. It is adaptive, flexible, and
participatory. Due to its collaborative nature, as commonly argued, action research
can promote empowerment at the community level.
The elementary feature of action research is to practice the theoretical context to
instigate the probe into practice and, in the process, enrich the learning process
(Baskerville & Wood-Harper, 1996; Cochrane-Smith & Lytle, 2001). Various
researchers, development practitioners, and social scientists defined action research
from their distinct viewpoints (Colucci-Gray et al., 2013).
According to Blum, action research is a two-stage process consisting of diag-
nostic and therapeutic phases. In the first phase, the social situation is revealed
19 Action and Evidence-Based Research 281

through collaborative analysis, while in the second phase, changes are introduced
and consecutive impacts are evaluated. Rapoport defined the concept as follows:
Action research aims to contribute both to the practical concerns of people in an immediate
problematic situation… by collaboration through the mutually acceptable ethical framework.

The following elucidation by Trip (2005: 446.) offers a comprehensive cognizance

of action research as a practice:
A process in which a group of people with a shared issue of concern collaboratively, system-
atically and deliberately plan, implement and evaluate actions. Action research combines
action and investigation. The investigation informs action and the researchers learn from
critical reflection on the action.

In the contemporary social science research field, action research is also termed
participatory research, collaborative inquiry, action learning, system approach, and
so on (Lau, 1997). The core principle underlying these terminologies is simple yet
crucial: ‘learning by doing’. A useful way of depicting the action research method-
ology as the cycle of some inter-related steps was popularized by Susman (1983).
Put simply, the cycle comprises some action phases: Identifying and delineating
the problem; Planning towards resolution of the problem; Translating the plan into
concrete actions; Evaluating the overall steps and actions in the cycle; and Eliciting
lessons and learning from the process.
The problem phase is the first stage where the problems prevailing in the field
are identified. Considering the (understanding and determination of the) selected
problems and the associated contexts, different courses of actions or options are
identified to be applied in the third phase—called the action phase. The results orig-
inated through applying actions that need to be evaluated to determine its ability and
efficacy for further replications which is finally validated in the learning phase.

Types and Categories

Since its inception, action research has gone through several modifications and
changes to support varying needs and objectives. Being a ‘learning by doing’
approach, action research attempts to accommodate the problems and potentials of
the field and the relevant clients as discussed earlier. Generally speaking, four types
of action research are practised: The first type may loosely be termed as ‘Tradi-
tional action research’ and it entails a process that integrates practical pursuit, theory
and practice, and community school-based participants to identify practical solu-
tions to a concern. Traditional action research stemmed from Lewin’s (1946) work
within organizations and encompasses the concepts and practices of Field Theory,
Group Dynamics, T-Groups, and the Clinical Model. This traditional approach tends
towards the conservative, generally maintaining the status quo with regard to organi-
zational power structures. The second type is popularly known as ‘Action learning’
or ‘Contextual action learning’. It is a modified version of the traditional action
282 N. A. Khan and A. Z. M. Manzoor Rashid

research that stresses the active role of participants as project designers and as co-
researcher throughout the process. Based on the concept described by Trist (1977),
this form of action research tries to accommodate all affected parties and stake-
holders at its best. The third type is called ‘Radical action research’. Based on the
principles of Marxian dialectical materialism and the praxis orientations of Antonio
Gramsci, the radical action research stream lays a particular focus on the emancipa-
tion process and reduction of power imbalances among the poor and affected parties
(O’Brien, 2001). Participatory Action Research is often found in liberationist move-
ments and international development circles, and Feminist Action Research both
strive for social transformation via an advocacy process to strengthen marginal and
downtrodden groups in society. The fourth type—‘Educational action research’—is
a stream of action research originated and flourished based on the philosophy of John
Dewey, who believed that human beings generally learn better through a ‘hands-on
approach’ (Baskerville & Pries-Heje, 1999). This research type recognizes the impor-
tance of engaging professional educators both teachers and students in the commu-
nity problem-solving process. In its nature, the approach is practically applied and
useful in developing the primary and secondary education system. Besides, profes-
sional educators can also play role in community development projects as and when
necessary.

The Principles

Action research is a dynamic process as it entails and accommodates flexibility,

changes, and pluralistic views and criticism. There is no fixed or universally accepted
set of principles concerning action research. However, several studies have suggested
various principles to guide the action research process. In this regard, six principles
prescribed by winter (1996) are particularly worth mentioning:
Reflexive critique: The norm of reflective critique assures that the individual
reflects on issues and processes and make explicit the explanation, pre-dispositions,
speculations, misunderstandings, and concerns upon which the decisions are being
made.
Dialectical critique: Facts or observations are widely abstracted through dialogue;
hence, a dialectical critique is required to understand the set of interactions both
between the phenomenon and its context and between the elements forming the
phenomenon.
Collaborative resource: Every individual participant of any action research
process is deemed as co-researchers. The collaborative approach strives to avoid
the tilting of reliability generated from the prior status of an idea holder. It especially
makes possible the insights obtained from addressing the inconsistencies between
many perceptions and as well as within a single perception.
Risk: Any types of changes that take place due to the action research process
possibly threaten all formerly established means of doing things, thus creating uncer-
tainties among the practitioners. Architects of action research will apply this principle
19 Action and Evidence-Based Research 283

to eliminate others’ fears and invite participation by revealing that they, too, will be
subject to the same process and will share both the positive and negative learning
outcomes.
Plural structure: The phenomenon of the research represents a diversity of views,
explanations, and critiques, leading to numerous possible actions and clarifications.
This plural structure of inquiry requires a plural text for reporting. A report in this
regard, therefore, acts as a support for ongoing discussion among collaborators, rather
than a conclusion of fact.
Theory, Practice, Transformation: Theory plays a crucial role for actions
researchers. Theory informs practice and practice refines theory, in a constantly
changing process. In any setting, people’s actions are based on subtly held assump-
tions, theories, and hypotheses, and with every perceived result, theoretical knowl-
edge is further enriched. The two are intertwined aspects of a single change
process.

Tools

Action research is not an individual data collection and generation process but a fairly
all-inclusive approach to problem-solving. The social science research paradigm is
widely influenced and governed by qualitative research techniques. Action research
is not different from it, thus combining various tools and techniques including key
informant survey, structured and semi-structured interview, focus group discussion,
case studies, personal history and observation, secondary data review, and ranking.

Ethical Consideration

Since action research is all about dealing with community problems in a field context
by the active involvement of the community, it is therefore very crucial to main-
tain the confidentiality of the information and data generated through the process.
The researcher must ensure and comply with the local (mostly customary rules)
and national guidelines and principles while conducting any action research. Winter
(1996) summarized the following points to be followed as an ethical safeguard while
conducting action research:
• Guarantee that all relevant persons, committees, and authorities have been
consulted and the working principles are well informed and accepted by all
stakeholders.
• The progress of the work must be noticeable and open to all for any effective
advice or criticism.
• Prior consent must be taken before examining or observing documents produced
for other purposes.
284 N. A. Khan and A. Z. M. Manzoor Rashid

• Descriptions of others’ work and points of view must be consulted with those
concerned before being published.
• Lastly, the researcher must take all necessary measures and responsibilities for
maintaining the confidentiality

Role of an Action Researcher

The successful implementation of the approach mostly depends on the stakeholders’

involvement in the process. Although the research process is initiated by the external
actors at the beginning of the project, other stakeholders including local communities
and political leaders all have a substantial role to play for the fruitful completion of the
process. The following are some of the major roles an action researcher is expected
to play:
• A good planner
• Must have the leadership capacity to run the team
• Act as a catalyst
• Should have designing ability
• A good listener
• A good facilitator
• A good observer
• Capacity to synthesize the whole process
• Reporting ability to inform the results to a wider community

Application

Action research is now applied in varied situations and contexts and is increas-
ingly being regarded as an academically reputable form of research. Commu-
nity development, educational and information research, agricultural and extension
research, forest and other natural resource management strategies widely use the
common principles and practices of action research as one of their principal opera-
tional approaches. Involving local community, enhancing institutional and individual
capacity, and community empowerment are some of the positive outputs of the action
research (Colucci-Gray et al., 2013; Grimble & Wellard, 1997; Hillman et al., 2005).
Action research can be a particularly suitable method in the following situations:
• the problem being investigated is very multifaceted (involving diverse elements
and stakeholders);
• ambiguity in finding the right place and time of problem-solving (and especially
when they lack confidence due to the complexity of the problem);
• the landscape involves people with varying perspectives or conflicting objectives,
yet the need is for a common vision or negotiated decision-making;
• the situation or context is rapidly changing, very dynamic.
19 Action and Evidence-Based Research 285

Limitations and Challenges

Action research as a problem-solving strategy for community development is getting

growing recognition both among the academic and practising quarters. Community
engagement under a collaborative arrangement is a proven strength of this approach.
Despite having many positive attributes, some common limitations of social science
research are also applicable and experienced in the case of action research. The major
constraints are summarized by Baskerville and Wood-Harper (1996): One argument
against action research is that some of its forms may lack discipline. Such a dilemma
may, for example, arise due to the deviation between rigorous action research and
liberal action research. The latter is criticized for somewhat lacking in scientific disci-
pline (Baskerville & Wood-Harper, 1996). Another reservation expressed against
action research concerns researcher’s biases during the research process that may
prejudice the conclusions.
Action research is also criticized on two more grounds (Baskerville & Wood-
Harper, 1996). First, some argue that it is merely ‘consulting masquerading as
research’. However, the difference between action research and consulting has been
aptly brought home by Gummesson (1988). The second critique is based on the
‘context-bound’ (as distinct from ‘being context-free’) nature of action research.
Given this nature, it is argued that it becomes difficult to determine the basis of a
particular effect whether due to the specific environment, method, or researcher her
(him) self.

Part B: Evidence-Based Research

Concept and Connotations

Evidence-based research (EbR) and its application in various practices and trades,
most notably, in medicine and nursing professions, has become popular since the
1990s. The method essentially focuses on reliable, verifiable and quality-assured
research that can be used as ‘evidence’ in making informed and objective professional
and/or policy decisions and judgments. Here, the emphasis is on the generation and
use of evidence that draws on rigorous scientific research as distinct from and opposed
to intuition, tradition, subjective unsubstantiated opinion, or other unsound bases of
information.
EbR draws on the fundamental principle of academic exploration and research
that is generally based on an empirical approach to the production and enhancement
of knowledge; such an approach is based on facts and verifiable through analysis of
observations and documented and/or grounded experiences.
The revival of interest in EbR in the latest surge may be traced back to the early
1990s especially in the broader field of health sciences and associated medical prac-
tices. A shift has since been observed from “traditional expert-based practice in
286 N. A. Khan and A. Z. M. Manzoor Rashid

health and medicine, which is typically informed by experience, towards the view
that advancing (clinical) practice is better served by facts on health outcomes as
evidence for better care and wellbeing” (University of Notre Dame, 2019).

Hierarchy of Evidence

Production of ‘reliable’ and ‘valid’ evidence, needless to say, lies at the core of
this method. Reliable data are defined as “the extent to which a data collection tool
consistently measures the same attribute that it is designed to measure, or the extent
to which the results can be replicated”, while validity connotes “The degree to which
a data collection tool accurately measures that which it is intended to measure”
(RNAO 2012:144). Evidence is not uniform; these may be diverse and variable in
both nature and content. Cope and Wyatt (2003: 337) explains using the example of
EbR in health care:
Evidence then is ranked according to the strength or rigour of the research studies utilizing
an evidence hierarchy. The evidence hierarchy, also known as levels of evidence or grades
of recommendations, categorizes the randomized clinical trial (RCT) as the “gold standard,”
or the strongest evidence, and non-experimental studies and expert opinions represent the
weaker form of evidence to support a practice change.

In the same vein, another example of an evidence-based hierarchy is the following:

Ia. Meta-analysis of randomized controlled trials; Ib. One randomized controlled
trial; IIa. One well-designed controlled study without randomization; IIb. One well-
designed quasi-experimental study; III. Well-designed non-experimental studies
(comparative, correlational, other descriptive studies); and IV. Expert committee
reports, expert opinions, consensus statements, expert judgement (AHCPR, 1994,
cited in Wyatt 337).

Best Practices and the EbR Support

EbR is often discussed about the identification, declaration, and use of Best Practices
in various professions. The underlying argument here is that sound evidence can and
should inform the recommended and ideal actions and behaviour; such evidence
originates in research and should serve as the basis of practice. In the context of
medicine-nursing, here is a typical elucidation of best practice and its relation to
EbR:
Best practices are recommendations that may evolve based on ongoing key expert experience
… perspective and continued research. They are also known as systematically developed
statements of recommended practice in a specific clinical or healthy work environment
area, are based on best evidence, and are designed to provide direction to practitioners and
managers in their clinical and management decision-making (RNAO 2012: 7)
19 Action and Evidence-Based Research 287

Examples of EbR-focused best practice and associated instances, scruples, and

guidelines abound in the literature (see, for example, Health Canada (2008) for a
health practice case; University of Ottawa (2002) for application of specific data
collection method for conducting EbR about patient care; and Zoul et al. (2015) for
effective teaching and education).

Steps and the Process

The typical process of EbR involves the following inter-related steps:

The first step is to formulate queries and research questions that are required and
can guide decisions and policies regarding a profession, practice, or intervention.
The construction of such questions demands careful thinking as these ought to be
well-structured, answerable, and executable.
The next step is to explore and identify the best available evidence with which
to answer these questions. Such exploration would typically involve desk review,
official document survey, an extensive consultation of relevant literature, visiting
relevant professional institutions and associational bodies, and so on.
The third steps run simultaneously with the above process of exploring the
evidence. Here, critical thinking is applied for reviewing and analysing the avail-
able evidence. Depending on the specific purpose of the study, several criteria may be
considered during such analysis including the validity and reliability of the evidence,
potential impact on the targeted audience and associated outcomes (e.g., patients in
the case of a medical practice), and suitability of using and applying the evidence in
the given practice setting or policy execution environment.
At the fourth stage, decisions or policies—to be precise—‘informed’ decisions
or policies have to be made. The above evidence, examined by critical thinking and
sorted through the rigorous research process, guides the decisions.
The process ends with an evaluation of the actual outcome and effectiveness of
the decision (derived in following the above steps) and associated action. Here, the
argument is every decision and the contexts of application are unique; therefore,
each case needs to be evaluated about the peculiarity of the given context and lessons
learnt and recorded.
288 N. A. Khan and A. Z. M. Manzoor Rashid

As an illustration of the above process, a case from the field of medical social
work is summarized by Wodarski and Hopson (2011) (see Box 19.1).

Box 19.1: An Illustration of the Process of EbR as Applied in Medical

Social Work
1. Develop a clear idea and unambiguous understanding about the nature
and extent of the core problem; targeted questions need to be carefully
formulated to explore the characteristics and extent of such problem. Typi-
cally, such queries are developed drawing on the preliminary assessment
process that involves initial interactions between the practitioners and the
targeted clients. Precise identification of the problem is also important to
select a suitable intervention plan and strategy. Participatory interactions
and methods may be particularly useful in this phase.
2. Collect and collate appropriate evidence that may help answer the above
questions. There are subject-specific sources of information and materials
for quarrying the relevant evidence. In medical social work, for example,
several online resource platforms are commonly used. One such notable
source is the National Registry of Effective Programs and Practices.
3. Meticulous and careful assessment, weighing, and analysis of the evidence
gathered through the above process. While looking into the evidence,
several considerations are important: its validity, extent of the effect on
the outcomes of the clients, and ease and relevance of applicability in the
specific context of the practice.
4. Make appropriate use of the above careful analysis of the research to illumi-
nate the process of making decisions at the practice level. Without putting
the analysed data and evidence to effective use, the whole exercise becomes
somewhat irrelevant. Such analysis may help to decide whether the inter-
vention is pertinent to the client, and workable given the existing research
support and the particular values and preferences of the client.
5. Assess the overall efficacy of the intervention scheme in the specific context
of the unique clients and the practice settings. It is important to focus on
the distinctiveness of the nature and characteristics of the particular client
group and the surrounding operational context. Such evaluation must be
done in a participatory manner involving the key stakeholders—the client
populations, contexts, and clinicians.
Source Adapted and abridged from Wodarski and Hopson (2011:2–3)—
based on the ideas of Sackett et al. (2000) and Gambrill (2006).
19 Action and Evidence-Based Research 289

Conclusions

This chapter has explored the concepts, connotations, basic features, process, scope,
and application of two popular methods deployed for the investigation into society
and human behaviour. These methods are particularly popular among communities
of practice. Both the methods have their distinct features and application proce-
dure; they however draw on some fundamental scruples, notably the following: an
emphasis on merging the principles and theories of research into practice and thereby
producing remarkably relevant research findings especially targeting the clients and
practitioners; and generation of hardcore evidence that may illuminate the process
of policy and decision-making.

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Chapter 20
Participatory Research

M. Rezaul Islam

Abstract The main objective of this chapter is to introduce participatory research

simplistically so that the readers can understand this research approach easily. First,
the chapter provides a brief introduction to participatory research that underlines the
boundary and scope of this research. Then, the chapter provides the meanings and
some referred definitions. It gives a brief description of how this kind of research
differs from action research. The next sections highlight the methods of participatory
research and then discuss the fundamental characteristics and principles followed by
the stages of this research. The next sections briefly explain the importance of this
research followed by the ethics and challenges that should be considered to conduct
such kind of research followed by a brief conclusion.

Keywords Social research · Qualitative research · Field research · Community

participation · Community-based research · Research principles · Research ethics ·
Research challenges · Participatory research

Introduction

Participatory research (PR) is gaining interest to the qualitative researchers for its
importance and wide application in sociology, social work, development studies,
gender studies, health science, and other branches of social sciences. This kind of
research approach has been entailed with some other research methods of qualitative
research and developed through practising different development activities/projects
at the community level. According to the IDS and British Academy (n.d.), this kind
of research encompasses a variety of methodological approaches and techniques who
are usually community members, general mass people, or community-based organi-
zations. PR is one of the suitable research methods and frameworks of participatory

M. R. Islam (B)
Institute of Social Welfare and Research, University of Dhaka, Dhaka 1205, Bangladesh
e-mail: [email protected]
Centre for Family and Child Studies, Research Institute of Humanities and Social Sciences,
University of Sharjah, Sharjah, United Arab Emirates

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 291
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_20
292 M. R. Islam

action research (PAR) that helps researchers to develop a research framework to

consider the contextual aspects (Islam, 2020). Still, there is a wide range of variation
in the conceptual explanation of this type of research, but there is a consensus that
this is a qualitative research approach. PR dowries people as researchers in search of
answers to questions come across in daily life (Bergold & Thomas, 2012).
PR is complex as it consisted of many other types of research methods.
More common characteristics are to observe and participate in community-level
actions/activities. Waedsworth (1998) argues that the researcher conducting PR must
be aware that research is surely value-driven and that its accomplishment impacts
must be calculated. Waedsworth further mentions that the perspective is individual,
and it cannot be dissolute with others. It is because involving people, observing a
phenomenon, raising questions, making sense, and deciding action are immensely
value-driven. This chapter attempts to provide some general descriptions about the
meaning, methods, characteristics, principles, stages, ethics, importance, and chal-
lenges of PR so that a researcher can follow these as guidelines to conduct such kind
of research.

Meanings and Definition of Participatory Research

The literature gives an overwhelming hint about PR. Literature shows a wide range
of variations in the understanding and meaning of this kind of research. In some
cases, the authors argue that PR is not a research method at all. For example, Reason
and Bradbury (2008) argue that by participatory methodology we mean a research
chic, an alignment to inquiry. On the other hand, Bergold (2007) argues that the
accord and validation of PR are to be instituted not so much on the level of tangible
research methods, rather, PR can be viewed as a methodology that opposes in favour
of the leeway, the consequence, and the practicality of relating research cohorts in
the knowledge-production process. Bergold and Thomas (2012) mention that PR
is not primarily different from other pragmatic social research processes. Quite the
reverse, there are plentiful associations, particularly to qualitative methodologies and
methods. Some common synonyms such as action research, applied research, partici-
patory action research (PAR), participatory observation, community-based research,
and community-based participatory research are frequently used in the literature.
Some referred definitions:
• “Participatory research is the process of producing new knowledge by “systematic
inquiry, with the collaboration of those affected by the issue being studied, for
education and taking action or effecting social change” (Green et al. 1995).
• “Participatory research attempts to negotiate a balance between developing valid
generalisable knowledge and benefiting the community that is being researched
and to improve research protocols by incorporating the knowledge and expertise
of community members. For many types of research in specific communities,
20 Participatory Research 293

these goals can best be met by the community and researcher collaborating in the
research as equals” (Macaulay et al., 1999).
• “Action research is a participatory process concerned with developing practical
knowing in the pursuit of worthwhile human purposes. It seeks to bring together
action and reflection, theory and practice, in participation with others, in the
pursuit of practical solutions to issues of pressing concern to people, and more
generally the flourishing of individual persons and their communities” (Bradbury,
2015).
• “A disciplined process of inquiry conducted by and for those taking the action. The
primary reason for engaging in action research is to assist the ‘actor’ in improving
and/or refining his or her actions” (Sagor, 2000).
• “In simplest terms, community-based participatory research (for convenience,
we’ll primarily call it CBPR for the rest of this section) enlists those who are
most affected by a community issue – typically in collaboration or partnership
with others who have research skills – to conduct research on and analyze that
issue, to devise strategies to resolve it. In other words, community-based partici-
patory research adds to or replaces academic and other professional research with
research done by community members, so that research results both come from
and go directly back to the people who need them most and can make the best
use of them” (COMMUNITYTOOLBOX n.d.).
• “Community-based participatory research (CBPR) is an approach to research
that involves collective, reflective and systematic inquiry in which researchers
and community stakeholders engage as equal partners in all steps of the research
process with the goals of educating, improving practice or bringing about social
change. This research approach is recognized as particularly useful when working
with populations that experience marginalization – as is the case for some Indige-
nous communities—because it supports the establishment of respectful relation-
ships with these groups, and the sharing of control over individual and group
health and social conditions” (Tremblay et al., 2018).
• “Participatory Community Research addresses the gap between scientific knowl-
edge and the practice of community-based research methods. Unlike the tradi-
tional approaches to research in which researchers generate the ideas for projects,
define the methods, and interpret the outcomes, the approaches of participa-
tory research empower community populations to shape the research agenda.
Their participation often results in generating greater sociopolitical awareness
and affecting large systemic change in the community” (Jason et al., 2004).

Participatory Research and Action Research

The literature of social research or the qualitative research does not make clear the
distinguishes between participatory research (PR), or action research (AR), rather
most of the pieces of literature try to give understanding both types of research are the
294 M. R. Islam

same or very close meanings or different authors use these differently but they are the
same. Kemmis (2005) mentions that plentiful conversation constituents, in which the
PR cohorts are theorized in different ways, converge in the action research paradigm.
The strong position to PR is replicated in the labelling of various action research
approaches, for example, participatory action research. Some other meanings are
also mentioned by some authors such as co-operative inquiry (Heron, 1996); and
participatory rural appraisal (PRA), participatory learning and action (PLA), and
participatory learning research (overview in Chambers, 2008).
Some authors try to find some differences between these two types of research
approaches. For example, Bell et al. (2004) state that there are plentiful opinions of
junction between AR and PR, and we have faith in ascertaining differences between
these two approaches. Reason and Bradbury (2008) argue that within the discussion
on AR, there is a robust effort that labels itself with snowballing self-confidence as
‘participative inquiry and practice’. Kemmis (2005) mentions that many arguments
among the PR partners raise in diverse ways, congregate in the AR paradigm. PR is
also replicated in the labelling of many AR approaches, for example, participatory
action research (PAR). Bergold and Thomas (2012) found the relationship between
these two types of approaches from its aim. They said that the common purpose of
these approaches is to change the social reality based on perceptions into everyday
practices that are gained through PR which is said to be collaborative research (CR)
by scientists, practitioners, service users, etc.
Kemmis (2005) wants to see both approaches as a combination/collaboration
of practice change and collaborative research that they called: participatory action
research (PAR) that is possible and makes good sense. They further noted that
not all thinkers of AR put this accent on collaboration. PR, especially, swings the
prominence from action and change to CR activities.

Methods Used in Participatory Research

According to the IDS and British Academy (n.d.), PR used a range of techniques.
These included focus groups and multistakeholder meetings, participatory inquiry,
action research, oral testimonies and story collection as a foundation for collective
analysis, photo-digital stories, photovoice, drawing and essay writing competitions,
participatory video, theatre for development, reality check approach, and immer-
sions. On the other hand, Organizing Engagement (n.d) provides the following list
(Box 20.1) about different methods used in PR.
20 Participatory Research 295

Box 20.1: Methods of PR

• Interview: Usually a structured interview held one-on-one individuals using

a typical protocol and questionnaire.
• Focus group discussions (FGDs): Aided by small-group or focus-group
discussions with the participants (in some cases, PAR comprises represen-
tatives of a single participant group, such as students, and in other cases,
the participants are nominated from various groups).
• Dialogue: Expedited dialogues or community forums with bigger groups of
participants where feelings, thoughts, or recommendations are recorded.
• Social survey: Social surveys, particularly surveys with undecided replies
that permit respondents to utter their belvederes or surveys that are designed,
instigated, and examined by members of surveyed groups.
• Observation: These include related activities such as doctor-child patient or
doctor-parent interactions using a homogenous observation process. This
method ascertains and record—sometimes using illustrations, diagrams,
or maps such as hospital, nursing home, community, or organizational
problems, resources, or cultural dynamics.
• Documentation review: These include institution reports, policies, parent
or child health guideline, news coverage, or participant stories.
• Historical method: These include old photo, video, or audio documentaries
and oral histories created by the older citizens.
• Ethnographic method: These are the combinations of the above methods
and tools usually to look the relationship between culture and development
of a community.
Source Developed by author based on Organizing Engagement (n.d)

Characteristics Participatory Research

PR is a distinct and different form from other types of research approaches. This is
comprehensive, inclusive, and complex as it combines many other types of research.
This kind of research includes many aspects, and the arrangement, principles, data
collection methods, and ethical aspects are far different from others. It is because:
• PR is obsessed by participants, rather than an external promoter, funder or
academic.
• PR offers a participatory model that is used in a community based on their
local/traditional knowledge. The local people are the maters of this kind of
research approach.
296 M. R. Islam

• PR is combined at every stage of the data collection procedure that includes open
discussion. This approach attempts to use peoples’ existing knowledge, resources,
and capacities.
• PR attempts to explore some experiences that are generated through community
action, its change, or improvement on the issue being researched.
According to Encyclopedia.com (n.d.), PR can be identified by five characteristics:
• Community participation by the people is the central point for such kind of study.
• Inclusion of indigenous/traditional knowledge gained from the local community
that are observed and documented either orally or written.
• A focus on power and empowerment is another feature of PR.
• Mass peoples’ awareness and social learning/education of the participants.
• Political action.
According to Barndt (1980) and Luttrell (1988),
• PR corroborates common knowledge, personal experience and feelings, and
creative and spiritual expressions as useful ways of knowing.
• This kind of method attempts to value the opinions and knowledge of the commu-
nity mass people and researchers should be very sensitive and accurate to follow
this ethical guideline.
• This is a rational assumption of such kind of research that local people are much
aware and they have better knowledge and understanding about their own prob-
lems than the outsiders. However, this principle should be strictly followed during
conducting such kind of research.
• PR uses a variety of data collections tools and techniques such as group discus-
sions, old people’s memories, oral evidence, photography, theatre, and traditional
tales.
Biggs (1988) found four types of characteristics of PR in the field of agriculture
that he called the four modes of participation:
• Contractual: Here, community local people are contracted into the research
projects to take part in their investigation.
• Consuhatire: Here, people are enquired for their opinions and accessed by
researchers before interpolations are made.
• Collaboratire: Here, researchers and local people work together on projects
designed, initiated and management.
• Collegiate: Here, investigators and local people work together as colleagues using
their diverse skills and techniques. This is called a collaborative research where
intercultural exchanges are shared through mutual learning. In this case, the local
people have control over the process.
20 Participatory Research 297

Fundamental Principles of Participatory Research

Some core rules must be considered to conduct this kind of study. One of the main
aspects is who are the people going to participate in this study. It is not like to take
an interview between interview and interviewer through consent that usually does in
traditional research form rather this kind of research includes diverse stakeholders.
These include:
• Local people or local participants are mostly exaggerated by the problem or
intervention under study.
• Local people who are not directly targeted for this study but they are observers and
have long experience about the particular issue can be considered as participants
who can provide some critical understanding about the issues undead in the study.
• Local people are the decision-makers.
• Usually, the researchers can be any interested person who wants to justify or
examine the outcomes of a particular intervention.
• A diverse people can be participants for this kind of study that include health,
human service, and public agency staff and volunteers.
• Community members at large.
Organizing Engagement (n.d) mentions seven distinct and core principles of PR
(Box 20.2).

Box 20.2: Principles of PR

• PR includes stakeholders in most or all aspects of the process.

• PR is conducted with participants, not on participants.
• PR is “transformative rather than merely informative”.
• PR is often conducted in cycles (observation, reflection, action, evaluation,
and modification).
• PR allows participants by edifice their knowledge, skills, confidence, or
agency.
• PR considers that impeccable impartiality and objectivity do not exist in
social contexts.
• PR challenges traditional hierarchies and power dynamics.
Source Developed by author based on Organizing Engagement (n.d)

Bergold and Thomas (2012) consider five principles from a broad perspective of
the community, nature of ownership of the community, and level of participation and
provided detailed explanations of these principles to be followed while conducting
PR (Box 20.3). On the other hand, Gerald Susman’s PAR model is widely used
in the research literature (Fig. 20.1). The principles including reflective critiques,
dialectical critique, collaborative resources, risk, plural structure and theory practice,
298 M. R. Islam

Fig. 20.1 Gerald Susman’s PAR model. Source Susman (1983)

and transformation are the centre of the PAR cycle that runs through action planning,
taking action, evaluation, specifying learning, and final diagnosis. These principles
are useful to form and fortify communities and systems through the all-encompassing
nature of dialogue and activities made at various levels of the study.

Box 20.3: Principles of PR

Democracy as a pre-condition for PR • PR entails a participatory model which is

called a democratic approach within the social
and political context
• Active participation of the underprivileged
groups. It depends on the social alignment
with political commitment
(continued)
20 Participatory Research 299

(continued)
The need for a “safe space” • All sorts of fears and social inhabitants should
be cleared to conduct this kind of research
• A fully secured ‘safe space’ is a prerequisite
for this method where the local participants
can express their feelings and voices without
any confusion. The environment will be local
people friendly and the space will be free
from all sorts of noise and social barriers
Communicative space • Space will be free from all sorts of threats and
domination and it should be considered a
‘communicative space’ where the participants
own this space and they can come to exchange
their views and problems through intercultural
exchange. It will be fully participatory and
congenial
• The local participants as well as the
investigators feel the space in such a way so
that everybody distinguishes three phases
such as inclusion phase, control phase, and
intimacy phase
Who participates? How is “the community” • It is well established that neither the
defined? investigators nor the partisans are not well
educated. However, space will allow all of
them to participate in such an informal way so
that a good discussion will be facilitated
among them to participate in this study
• PR is generally considered the community
which is directly affected by different
local/social problems such as disaster-affected
community, or tidally inundated community
or any health problem, i.e., COVID pandemic.
The important thing is that the investigators
will deliver such kind of dialogue (usually
informal) so that the affected people can
express their level of understanding about the
particular problem they affected, they can
participate such a way so that there raises clear
understanding about the nature and causes of
the problem, local capacity, and resources.
This community will see their capacities and
resources as well as their limitation so that
they can comprehend their understanding, and
the community can get a slight chance to
eloquent, validate, and proclaim their benefits
(continued)
300 M. R. Islam

(continued)
Different degrees of participation • PR follows the ladder model that allows the
community people to take control over
research decisions. This process promotes the
local people to be involved in
decisions-making process throughout the
study period (planning/designing,
implementation, and evaluation). This model
suggests the existence of a continuum, and
thereby shape elementary changes

Source Developed by the author based on Bergold and Thomas (2012)

Stages of Participatory Research

It is mentioned earlier that PR is a comprehensive and complex research in nature.

However, some stages are not to be followed to conduct this kind of research. It
saves time and resources and helps to take more sequential activities. The process
promotes conducting structured and organized research within a limited schedule.
Krishnaswamy (2004) mentions five important stages (Box 20.4) as clarifying the
purpose of research, identifying and involving diverse stakeholders, building trust,
building common understanding, and identifying the research questions. Box 20.4
provides clarification of these principles.

Box 20.4: Stages of PR

Stage 1: Clarify the purpose of the research • To set broader goals of the research project
among the research partners (researchers and
community members)
Stage 2: Identifying and involving diverse • To identify the stakeholders (generally any
stakeholders in the research person, group, or institution affected by the
research) and enable their participation
• To participate the stakeholders from all levels
in different phases such as planning/designing,
implementation, and using the research
• To build relationships between diverse groups,
and between these groups and researchers
• To improve the capacity of diverse participants
to facilitate their interests in wider social and
political arenas and to resolve conflicts
(continued)
20 Participatory Research 301

(continued)
Stage 3: Building Trust • To build trust earlier developing a research
question
Stage 4: Building common understanding • To build a common understanding through a
set of agreed expectations so that they can
remain devoted to the research process
• To facilitate such an environment and space so
that participants feel such a commonality to
participate and use all sorts of capacities and
resources fully
• To locate some powerful participants during
developing activities, information, language,
and approaches are developed
Stage 5: Identify the research questions • To develop the research questions to conduct
the study. The nature and pattern of the
questions will be easy, simple, well
understandable, and provocative through a
common understanding
• To include such questions that can lead
properly to assess the community problems,
their capacity, and involvement in the
problem-solving process

Source Developed by the author based on Krishnaswamy (2004)

The Advancement Project—Healthy City (2011) formulated the steps of the PR

method with five headings such as step 1: project design and implementation (iden-
tify a research topic, questions, goal, and geographic focus); step 2: partner engage-
ment (identify research partners and invite them to collaborate); step 3: data collec-
tion (choose and implement the research and data collection methodology); step 4:
data analysis (analyse the results); and step 5: reporting (report the results) where
documentation, communication, and evaluation process will be followed throughout
conducting PR (Fig. 20.2).
The Children Emergencies (n.d.) designed a clear understanding (Fig. 20.3) about
the steps of PR to provide information on skills and approaches needed for success-
fully engaging children and communities. These include three steps such as behaviour
and attitudes (that should be self-critical, allowing community members to take the
lead, flexible and informal, respecting local knowledge); methods (visual and avail-
able for everyone to take part in, multidisciplinary team, many sources of informa-
tion to get a bigger picture); and finally sharing information between community
members, and with and by the facilitators.
302 M. R. Islam

Project design Partner Data

& engagement Data collection Reporting
analysis
implementation Choose &
Identify research implement the
Identify research partners & invite research & data Report the
Analyze the
topic, questions, them to collection results
results
goal & collaborate methodology
geographic focus Step 5
Step 2 Step 3 Step 4
Step 1

Documentation, communication & evaluation throughout process

Fig. 20.2 Steps of PR. Source Developed by author based on Advancement Project—Healthy City
(2011)

Fig. 20.3 Steps of participatory research. Source Developed by author based on ChildrenEmer-
gencies (n.d.)

Ethics in Participatory Research

In general, research ethics are the moralities and guidelines that escort how the
researchers and participants should be treated during the data collection process.
The ethical matter is very crucial in qualitative research particularly while using
the PR method in the community. This is also true that in many cases all of the
ethical guidelines are difficult to follow at the community level but this is important
to be sensitive to the participants involved in the research (Advancement Project—
Healthy City 2011). It is particularly important for such kind of research as this has
a familiarity to the research cohorts during where requires ethically sound decisions
among the participants. There are some other sensitive areas such as gaining easier
access to groups, data collection procedure, documented, and inferred data so that
they do not harm the participants, and their confidentiality; the danger of misuse
and the reliability, and availability of the professional researchers, etc. PR needs to
facilitate access and reach to a deeper understanding of the cultures and minimize
20 Participatory Research 303

social taboos and social layers what the community people perceive in their minds
and the life-world. Unger (2012) argues that in many cases some of the practices of the
community people may hurt or break their mistrusts can eliminate their participation.
Sometimes, it is very contextual and related to their values and norms. This can be
different from one community to another community or one type of participant
from another type of participant. In all cases, every ethical point must be taken into
consideration (Wohrer & Hocher, 2012).
Wadsworth (1998) mentioned that PR must be assessed through the following
action effects:
• Raising some questions and not others.
• Involving some people in the process … and not others.
• Observing some phenomena and not others.
• Making this sense of it and not alternative senses.
• Deciding to take this action … rather than any other action.
The Advancement Project—Healthy City (2011) has provided some clear and
well-structured ethical guidelines of PR with detailed explanations (Table 20.1).

Importance of Participatory Research

In the qualitative research approach, the PR method is considered one of the popular
and frequently used research approaches. Due to its comprehensive and inclusive-
ness, this research method get immense popularity among social researchers, policy-
makers, development and health practitioners, and other social scientists. Cornwall
and Jewkes (1995) state that PR methods facilitate not only people’s ability to partic-
ipate based on their urgencies but also emphasize resource mobilization, people’s
ability/capacity and encourage them to solve their problems through this research
process through a top-down process. The whole process accelerates the transforma-
tion of power structures and relationships as well as the empowerment of oppressed
people (Maguire, 1987).
This section cited three important statements from two different sources as
Bergold and Thomas (2012) (Box 20.5) and COMMUNITYTOOLBOX (n.d)
(Box 20.6). All of these sources are similar with some differences about the impor-
tance of PR. All mentioned that PR methods geared local level planning, local engage-
ment, to solve local problems where community members are the key to assess and
solve their local problems. This method promotes community empowerment through
a better understanding of the local peoples’ involvement throughout the process. This
method brings interesting and valuable case studies that experience severe problems
with high-quality collaborations, interventions, and prevention projects.
304 M. R. Islam

Table 20.1 Ethical components of PR

Ethical components Explanation
Accessibility of findings Are the findings presented in ways that community
members can understand, access, or find
meaningful?
Benefits to the participants How will you ensure that the participants in the
community are not harmed during the research and
gain as much benefit as possible through their
participation?
Community voice Who is the community?
Who represents the community?
Who speaks for the community?
Do participants come from only some of the areas
you are working in?
Do they represent only some of the social identities
in the community overall?
Are there institutional, organizational or other social
dynamics that privilege some voices over others?
Will some portions of the community benefit more
than others as a result?
Credit How are the results represented?
Whose voice(s) are heard and represented?
Who receives credit for the work conducted?
Data ownership Once the data has been collected, who owns it?
Where is it stored?
How will you responsibly make the data available to
the different community and other stakeholders?
Division of labour How does equity translate into divisions of labour
on the project/process?
Is the work divided equitably among partners?
Justice Do all members of the community have equal
opportunity to participate in the research?
Are there some participants who are unfairly
impacted by the research?
Privacy Will it do any harm to the community or individuals
to report the findings?
How can you protect privacy in the data collection
and sharing process?
Did you get adequate permission from participants
or those that represent them (for example,
parents/guardians of minors)?
Do they understand and agree with the way you plan
to use the data/information?
(continued)
20 Participatory Research 305

Table 20.1 (continued)

Ethical components Explanation
Representation of local communities Does the presentation (or presenter) of findings in
any way reinforce negative social stereotypes in
presenting communities?
Be mindful and transparent about how
representative the findings may or may not be of the
community based on participation
Respect How do you maintain respect for a person’s ability
to engage or not engage in the research without
coercion or force?
Rigor of research and fidelity to findings Are the findings being presented accurately?
Are they presented with any bias or in a way to
make people hear what they want to hear?
Source Developed by author based on Advancement Project—Healthy City (2011)

Box 20.5: Importance of PR

PR methods are rigorously used to discover the interface of science and practice
of the people whose life-world and eloquent activities are under investigation.
The main objective of this kind of research is unfold and explore the living expe-
rience of the local people and their everyday practices. It is always applied the
tools and techniques such as observation, interview, and group discussion. This
emphasizes field visit and discovers the composition of livings and livelihoods
of the local people. This method is rich in terms of its participatory process that
ensures local peoples’ full participation, decision making, and empowerment
process. This investigation captures the everyday challenges and struggles that
the people are facing and living with. It discovers the complex relationships
of human beings where they live with diverse interactions such as admittance
of participation, human relationships, power relations, and other determinants
factors within the living condition. This method is a powerful tool that enables
both participants and researchers about the tools that they use for such investi-
gation through mutual understanding and agreement. It promotes to be familiar
with the local community, living entities, local peoples’ feelings, and the ways
they want to assess the problems and suggest to solve those. This method helps
to increase local peoples’ capacities, local level resource mobilization, and
their management strategies and skills.
306 M. R. Islam

Box 20.6: Importance of PR

• PR is one of the best tools to get real and contextual information about the
people and their problems.
• PR facilitates to community engagement and provides better, complete and
accurate information about the community and its problem.
• PR facilitates community people in more democratic and participatory
approach to understand their needs.
• PR enables people to seek their own resources within their community
through engaging their efforts and all sorts of capitals.
• PR provides a better understanding about their needs and encourages them
to sole these.
• PR improves the capacity and skills of the local people and secure their
participation in planning and implementation this.
• PR helps to changes people’s perceptions and motivate them towards social
harmony.
• PR helps to break down all sorts of social barriers such as racial, ethnic, and
class barriers.
• PR helps people better understand the forces that influence their lives.
• PR supports to move communities toward positive social change.
Source Developed by author based on CMMUNITYTOOLBOX (n.d.)

Challenges of Participatory Research

Due to its comprehensive pattern, PR conceives many challenges, weaknesses,

threats, and limitations in line with its wide importance and advantages. PR considers
local participation and indigenous/local knowledge/strategies within local contexts
and cultures. However, this method requires to fit its tools and techniques within the
local spectrum which are sometimes complex and many cross-cutting issues need to
be addressed. Hasan (2017) developed the PR methods (for detail, see Fig. 20.4) by
mentioning its objectives and serves whom and shows that it address complex social
problems in the local community.
Organizing Engagement (n.d.) listed some main challenges of PR (Box 20.7)
that include more time, funding, staffing, low human capacity and training, power-
relation, coordination, cultural biases, manipulation, benefits, psychological aspects,
etc.
20 Participatory Research 307

Fig. 20.4 Objectives for participatory research methods in addressing complex problems, and the
actor groups who are served by them. Source Hasan (2017

Box 20.7: Challenges of PR

• PR requires more time, funding, or manpower that is bit expensive than

method.
• PR needs to larger groups of people, needs more preparation, outreach,
coordination, and relationship-building. In community setting, these may
be challenging to meet these requirements.
• PR may generate a large amount of data and documentation that sometimes
difficult for data management, data analysis, and interpretation.
• PR process may require training by the specialized skilled experts to the
local participants that may be harder.
• PR uses local institutions and communities, they may not have the
experience, capacity, or training to participate and conduct this study.
• PR is committed to secure authentically democratic, collaborative, inclu-
sive, equitable, and non-hierarchical that may not be possible in practical
situation.
• PR attempts to demolish local power structure through using research ethics,
but it is difficult follow all these ethical guideline.
• PR considers diversity in terms to include local leaders, coordinators, and
facilitators to go through intercultural dialogues which is inclusive and
cross-cultural sensitive. It is seen that in many cases such coordination and
308 M. R. Islam

inclusiveness may not be secured in the local context where power-relation

exists.
• Cultural biases may directly or indirectly impacts the design and execution
process in PR in ways that are discriminatory or exclusionary. Sometimes,
the participants may not such kind of concreate and critical knowledge about
these social complexity to legitimize this.
• PR sometimes can be manipulated by the authorities of local power struc-
ture. In this case, PR may be difficult to incorporate social agenda where
people may not be cooperative to participate in this research process.
• In many cases, PR fails to manipulate the people who are part of local
power structure and power-relation. They may feel this process as a threat
as this can empower the powerless people. In this case, PR sometimes
create hindrance, annoyance, or antipathy among participants, particularly
if they are led to believe their opinions will be perceived and acted on, but
leaders with power and authority drop to implement the community ideas
or blessings that result from the process.
• In general, as method PR is complex in nature that requires to consider many
things at a time where participants feel this hard and difficult to participate.
Source Developed by author based on Organizing Engagement (n.d.)

Conclusions

PR is an important tool/method for qualitative research. There are many advantages

to using this research tool in terms of its comprehensive nature and the possibility
to use multiple data collection methods. This chapter briefly illustrated the char-
acteristics, principles, stages, importance, and challenges of this research method.
To consider its overall scope, we understand that PR can be framed as ‘researching
with people’ instead of ‘doing research and development work for people’. Although
this chapter included many blurred aspects such as lack of concrete definition of PR
and invisibility of the differences between PR and action research and its wide level
of challenges, we find this as a combined approach that includes all participants
throughout the research process, from establishing the research needs, preparing
research questions and developing data collection tools, to analysis and dissemina-
tion of findings. It purposes to address the everyday distresses of community people,
and primarily vagaries the roles of the investigator and who is being researched. It is
because the PR framework instigates with a community’s issue, proposed action, or
strategy, and then supports or increases local community-based engagement (Baum
et al., 2006).
20 Participatory Research 309

Cornwall and Jewkes (1995) illustrated some important aspects between PR and
conventional research approaches. They showed many strong arguments that clearly
show their strengths as an important research tool (Table 20.2). These start with
several questions such as what is the research for, who is the Research for, whose
knowledge counts, topics choice influenced by and methodology chosen for followed
by many important aspects under who takes part in the stage of the research process.
The most important aspect of this method is ‘local’ that conjuncts and instigates
many other local aspects. All of these clearly distinguish this research from other
types of research.
This is more important than the above-mentioned tools, and techniques of PR are
not universal rather that those are the general guidelines of PR. PR tools and tech-
niques almost depend on the particular socioeconomic conditions, places (country
or region or location), cultures, and context. However, the use of these tools and
techniques of PR may vary from country to country, location to location, and context
to context and cultures as well.

Table 20.2 PR and conventional research: a comparison of process

PR Conventional research
What is the research for? Action Understanding with perhaps
action later
Who is the research for? Local people Institutional, personal and
professional interests
Whose knowledge counts? Local people’s Scientists’
Topic choice influenced by? Local priorities Funding priorities, institutional
agendas, professional interests
Methodology chosen for? Empowering, mutual Disciplinary conventions,
learning ‘objectivity’ and ‘truth’
Who takes part in the stage of research process?
Problem identification Local people Researcher
Data collection Local people Researcher, consumer
Interpretation Local concepts and Disciplinary concepts and
frameworks framework
Analysis Local people Researcher
Presentation of findings Locally accessible and useful By researcher to other academics
of funding body
Action on findings Integral to the process Separate and may not happen
Who takes action Local people, with/without External agencies
external support
Who owns the results? Shared The researcher
What is emphasized? Process Outcomes
Source Adapted from Cornwall and Jewkes (1995)
310 M. R. Islam

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Chapter 21
Case Study

R. M. Channaveer and Rajendra Baikady

Abstract This chapter reviews the strengths and limitations of case study as a
research method in social sciences. It provides an account of an evidence base to
justify why a case study is best suitable for some research questions and why not for
some other research questions. Case study designing around the research context,
defining the structure and modality, conducting the study, collecting the data through
triangulation mode, analysing the data, and interpreting the data and theory building
at the end give a holistic view of it. In addition, the chapter also focuses on the types
of case study and when and where to use case study as a research method in social
science research.

Keywords Qualitative research approach · Case study · Social work research

Introduction

Case study research scientifically investigates into a real-life phenomenon and

attempts in-depth contextual analysis (Ridder, 2017); Sadeghi Moghadam et al.,
2021. In social science research, “case study is used to study, explore, and under-
stand complex issues. The method can be considered a robust research method partic-
ularly when a holistic, in-depth investigation is required”. “Case study as a research
method is the best choice when researching the issues in education (Gülseçen &
Kubat, 2006), sociology (Grässel & Schirmer, 2006) and community-based problems
(Johnson, 2006) such as poverty, unemployment, drug addiction, illiteracy etc.”. In
the present context, because of the merit of case study to study social phenomena,
it is becoming popular as a research method in qualitative research. A case study
is widely applied in interpersonal communication and marketing communication
research (Suryani, 2013). “Case study as a research method enables the researcher

R. M. Channaveer (B)
Department of Social Work, Central University of Karnataka, Kadaganchi, India
e-mail: [email protected]
R. Baikady
Department of Social Work, University of Johannesburg, Johannesburg, South Africa

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 313
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_21
314 R. M. Channaveer and R. Baikady

to investigate important topics not easily covered by other methods” (Yin, 2004).
However, the common perception among the researchers is that case study as a
method of research focuses only on exploratory and descriptive phases of research,
while other research methods such as surveys and secondary data analysis focus on
programme evaluation and explanatory phase. (Yin, 2003) argued that “case study
method may also involve many roles such as exploratory, descriptive, evaluation, and
hypothesis testing”.

Meanings and Definitions

The terms “case study”, “case review”, and “case report” are used interchangeably in
the social science circle. The key features of a “case study” are its scientific credentials
and its evidence base for professional applications. A “case review” emphasizes a
critical assessment of a case. A “case report” refers to a summary of a case or the
document reporting a case, as in case law or medicine.
Case studies in social work have significant role to create knowledge and bridge
research and practice (Greenwood & Lowenthal, 2005). Case study as an approach
explore multifaceted issues like poverty, unemployment, illiteracy and other social,
economic, personal, physical, and environmental problems (Crowe et al., 2011).
Generally, case study is a detailed description of a person, group, organization,
community or any kind of situation, and report of a real-life situation. It may be
called an in-depth or intensive analysis of an individual as a unit of study. We can
also conduct a case study in research on a particular event, situation, issue, problem,
individual, group, organization, and community.
Yin (1994) postulates that case study focuses an actual situation, such as the
current state of social problems, issues and challenges; and the operational factors
influencing them. Disciplines like management, economics, sociology, and social
work which conduct surveys effectively use case study to authenticate and support
the results of large-scale studies. Correspondingly, the strategic remedies for the
effective functioning of the organization are also reflected upon through consistent
evaluation. Thus, a case study has backward and forward connectivity and linkages
to bring desirable change in the existing condition.

Definitions

The definitions of case study evolved over a period of time. Case study is defined as “a
systematic inquiry into an event or a set of related events which aims to describe and
explain the phenomenon of interest” (Bromley, 1990). Stoecker defined a case study
as an “intensive research in which interpretations are given based on observable
concrete interconnections between actual properties and people within an actual
concrete setting” (Stoecker, 1991).
21 Case Study 315

There have been consistent efforts made to redefine case study for better under-
standing. The definitions developed later in the twentieth century focused more on
the process, methods, and purpose of the case study. According to Gomm et al. (2000)
“case study refers to research that investigates a few cases in considerable depth”.
Stake (2010) defined case study as more of what is to be studied and not so much
of a methodological choice. Gomm et al. (2000), while defining a case study argued
that “a case study implies a collection of unstructured data and qualitative analysis
of data”.
A recent definition by Yin (2003) focused on examining the relevance of the case
study as a research method. He defined case study research as “an empirical inquiry
that investigates a contemporary phenomenon within its real-life context, especially
when the boundaries between phenomenon and context are not evident” (Yin, 2003).
However, Stake (2010) defined case study as “both the process of learning about the
case and product of learning”.
The definitions are evident that in all probability, case study is based on learning
or exploring new aspects of phenomena, event, individual, group, organization and
community, or any other issues through in-depth study or analysis.

Conceptual Bases of Case Study

It is inevitable for a case study researcher to exhibit philosophical position, present

methodological understanding, hold ability for theoretical application, demonstrate
an ability to link paradigms and perspectives to social, economic, behavioural,
and environmental phenomena, and possess competence to bring desired change
through intervention. The insightful understanding of reality is very essential; which
is external or independent of research in some way and also a mental construction
of people in many ways. The context holds importance to perceive the reality. Thus,
knowledge is a representation of mental construction in a context. Rashid et al.
(2019) states that interpretive reality rather than objective reality forms the base of
epistemological position of the case study researcher.
Researchers consider case study as a methodology, method, approach, and design
of research. Methodology guides research view-point towards a phenomenon under
study. “Qualitative paradigms broadly emphasize and include exploratory, explana-
tory, interpretive, or descriptive purposes. The paradigms include narrative research,
phenomenology, grounded theory, and ethnography” (Hamera et al., 2011).
Case study researchers postulate qualitative paradigms and quantitative
paradigms. There are researchers who advocate the essence of quantitative research
as well as qualitative research (Mills et al., 2009). Some scholars advocate hybrid
approach of combining both the research paradigms for better understanding of a
phenomenon (Ochieng, 2009). As far as the perspectives of research is concerned,
“quantitative or positivist perspective believes in single reality, while qualitative or
interpretive perspective believes in multiple realities” (Bhatta, 2018). Case studies
generally follow the qualitative research methodology.
316 R. M. Channaveer and R. Baikady

Therefore, “the principal goal of case study research is to conduct an in-depth

analysis of an issue within its context and present understanding of the phenomenon
from the perspective of participants” (Harrison et al., 2017). Thus, the paradigms
guide both theoretical design and methodological design of the study. Paradigms
of research methodology may be categorized as research paradigms and theoret-
ical paradigms; both together provide holistic view-point for case study research.
Research paradigms are already discussed above. The theoretical paradigms like
critical theory, strength-based theory, empowerment theory, and so on inform the
researchers to approach the phenomenon under study with right perspective.

Types of Case Studies

There are different types or categories of case study. Yin (1984) posits three cate-
gories of case study—exploratory, descriptive, and explanatory. A pilot study is
generally considered an exploratory case study. Descriptive case studies focus on
the characteristics of the case. The explanatory case studies are employed for causal
studies. Whereas, Stake (2010) classifies “case study as an intrinsic case study, instru-
mental case study, multiple case study or collective case study. The intrinsic type of
case study is undertaken because of the intrinsic motivation of the researcher. The
instrumental case studies provide a base to understand other issues. Multiple case
study or collective case study is an extension of instrumental study”. Iwakabe and
Gazzola (2009) classify case studies into the following categories “(i) Clinical Case
Study (ii) Experimental Case Study and (iii) Naturalistic/ Systematic case Study. The
clinical case study is the narrative account of the intervention or therapy. The exper-
imental case studies in medical settings evaluate effectiveness of an intervention or
treatment. Such studies may be considered as alternatives to large-scale outcome
research” (Widdowson, 2011). However, experimental case studies aim to address
specific changes in the behaviour of the participants or clients that can be attributed
to the designed interventions, whereas systematic case studies are used to rectify the
methodological problems associated with clinical case studies. In this type of case
study method, the data required for the study is gathered from different sources, which
is also called as triangulation method. McDonough postulate two categories of case
studies, such as interpretive case study and evaluative case study. The interpretive
case study is used to interpret the data by developing conceptual categories. Whereas
in evaluative case study, the researcher makes judgement of the phenomenon under
study (McDonough & McDonough, 1997).
“A case study generally uses different but appropriate methods and tools for data
collection from several sources and situations of the phenomenon under study. The
methods and tools employed include both quantitative and qualitative” (Meredith,
1998). Qualitative case study helps in exploration of a phenomenon within a partic-
ular context and use different perspectives to understand different facets of the
phenomenon (Baxter & Jack, 2015). Real time is a major feature of the case studies
that focus on the events or situations that occur in a particular time frame and context,
21 Case Study 317

which in true sense makes the difference (Kaarbo & Beasley, 1999). Distinctively,
Ang et al. (2019) adopted quantitative case study to understand student identity and
satisfaction in higher education. The focus of case study was a private university
considered as a unit of study in Malaysia.

When to Use Case Study Method

Case study can be used in many situations to understand comprehensively the unit
of study and address the issues of pertinent.
• The research questions that the researcher is attempting to address determine
the method of research. Hence, the case study method is most appropriate to
address the descriptive questions of the researcher. Exploratory nature and in-
depth understanding are the prime and distinctive features of case study. Therefore,
case studies attempt to achieve what the survey and experimental studies are not
able to achieve (Towne & Shavelson, 2002).
• The cases study as a research method can be used while exploring the phenomenon
related to the real-world context. As stated by Bromley (1990), the case study
method is favourable for collecting data in a natural setting. A researcher can use
other research methods, but using a case study might help the researcher to gain
a more depth understanding of the particular phenomenon.
• As documented by scholars, the case study method is very useful and extensively
adopted in the research related to evaluation.
• Instrumental case study is relevant to get insights into a phenomenon. Intrinsic
motivation urges a researcher to take-up intrinsic case study. Collective study
can be undertaken to broadly look at a problem or phenomenon (Stake, 1995).
However, in all these cases, case study is exclusively used to study a particular
phenomenon.
• One can prefer to adopt case study as a research method while finding the answer
for the questions such as “how” and “why” (Yin, 1994).
• Case study is also used extensively in psychological rehabilitation and therapy
settings. The evidence shows that psychotherapy research is extensively adopting
the case study methodology. There is a need to develop the skills required for case
studies among psychotherapy practitioners (Widdowson, 2011).

Advantages

Case study as a method has both advantages and disadvantages (Sommer, 1997;
Page et al., 1966; Zeisel, 1984). “It is widely used in social science disciplines such
as Sociology (Grässel & Schirmer, 2006), and Law” (Lovell, 2006) and Medicine
(Taylor & Berridge, 2006). The popularity and reliability of a case study as a research
method in multidisciplinary areas is based on the advantages of the case study method.
318 R. M. Channaveer and R. Baikady

In the following part, an attempt has been done to examine the advantages of a case
study and its applicability in social science research.
• Case study method is extensively used in educational settings. It has been found
most appropriate in such situations, where understanding the unique problems
pertaining to teaching–learning is more prominent.
• Need for a context-based understanding, inevitably demands use of case study
method (Yin, 1984).
• "The strength of case study method is in the limitations of quantitative methods
in providing holistic and in-depth explanations of the social, economic and
behavioural problems” (Zainal, 2003). More striking fact is that multiple case
studies, if rigorously followed, equally potential like the quantitative studies to
present research outcomes.
• The case study method is more appropriate to understand the behavioural and
social issues (Tellis, 1997).
• In a mixed-method study, case study provides insightful understanding to
substantiate the quantitative results (Tellis, 1997).
• "While comparing the case study method with other research methods used in
social science research, the strength of the case study method lays in its ability to
examine the research question in-depth” (Yin, 2004).
• The case study method is very useful in examining the research questions related
to real life (Yin, 2004).
• The case study research has some uniqueness compared to other methods. It is
only case study that can provide the depth understanding of the real-life situations
(Hayes, 2000).
• The case study method has its own well-defined design, data collection, and
analysis procedures. Case studies very effectively make up the gaps in mixed-
method studies, in order to substantiate the results of quantitative studies.
• "Case studies are extremely useful to explore new areas and issues where little
theory is available or measurement is unclear” (Stake, 2010).
• When other research methods are found not appropriate, case study finds its
significance in such situations (Stake, 2010).

Disadvantages

Despite advantages, the case study method in social research has many disadvantages
and criticisms.
• A major criticism presented, “case study method in social research is often
suspected of lack of rigour. In many instances the case study investigator may
be careless and may allow ambiguous evidence or biased views to influence the
direction of the findings and conclusions” (Yin, 1994).
• Case study method cannot make generalization, since take small sample for study.
In some situations, only one subject is taken for the study. In this context, the
21 Case Study 319

general criticism for the case study is “How can you generalise from a single
case?” (Yin, 1984).
• It was pointed that the greatest difficulty in the case study method is about gath-
ering a huge amount of data for the study. Ethnographic case studies and longi-
tudinal case studies also draw a huge volume of data, which complicate the data
analysis (Hamera et al., 2011).
• One very common criticism for the case study method is based on its sample
size. As pointed, case study method depends on a single-case exploration and this
nature of the study making it difficult to generalize the findings and the results of
the study (Tellis, 1997).
• It was also criticized that the sample size used in the case study is very small, and
therefore termed case methodology as ‘microscopic’ (Yin, 1993).
• Despite its advantages, there are many stereotypes around the case study method.
Generalization is the first stereotype of case study method. The second stereotype
is that the case study method is not a method itself but one of the designs in
quasi-experimental research.
• The cases used for the research in case study methods represent real situations in
most situations. Even in some instances the data gathered or used for the study
may be hidden and represent uncommon facts, in this case the subject used for
the case may be fictional. Nevertheless, this nature of the case study affects the
outcome of the study and the result of the study cannot be applicable scientifically
(Hayes, 2000).
• In most of the case study research, the cases used for the purpose are not intended
to be comprehensive or exhaustive. In most incidences, the cases are snapshots
of a particular situation within a complex environment. This nature of the study
subject ultimately affects the result and the findings of the study.

Conclusions

Case study is a robust method of research, provided a systematic process is followed,

methodologically advocated procedures are adopted, and insightful analysis is carried
out. Depending on the nature of need and problem, a case study has its advantages.
It has the strength to serve both primary and secondary purposes of research. If
exclusively, case study research is conducted, authentic data enable the researcher to
analyse the case and generalize to the extent of such cases. This method also has the
potential to meet such gaps that quantitative research leaves behind. In social work
practice, case study plays an important role to enable the caseworker, group worker,
and community organizer to have a comprehensive and clear understanding of the
situation, problem, or challenge; so as to correspondingly design interventions to
bring desired change. In social work research, case study is an empowering initiative
to understand and enable the participant or partner or collaborator to understand in
their context, and gain right perspective of the person, event, or situation. It provides
stronger inputs to bring effective outputs in person/s or situations.
320 R. M. Channaveer and R. Baikady

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Chapter 22
Ethnographic Method

Faisal Ahmmed

Abstract This chapter explicates ethnographic method of qualitative research in the

light of the field experience of the author. Many graduate students face a challenge
in selecting appropriate qualitative methodology for their research. This might be
because of poor understanding of the principles for selecting particular. Limited
experience in conducting qualitative research can also be the reason. This chapter
is an attempt to make the issues clear to novice researchers so that they can design
and conduct ethnographic research following certain steps. It also explains how
narrative description is used in ethnographic research as the product of analysis with
maximum accuracy. The chapter aims to guide an ethnographic researcher to conduct
study in naturalistic setting and present the findings with cultural meaning of studied
phenomenon.

Keywords Ethnographic · Qualitative research · Graduate students

Introduction

It is said that ethnography was developed by Gerhard Friedrich Müller as a separate

discipline first in 1733 (Vermeulen, 2008) in Europe. In 1846, it started to spread
in the USA with support from The Smithsonian Institution. Later in 1879, the US
Bureau of Ethnology began to use this method for collecting data on Indians. German
researcher Frank Boas did much in the late 1800s to advance ethnography, and he and
his students were found dominating this field in the early 1900s in America (Ellen,
1984). In recent years, the importance of ethnography as a method of qualitative
research is gaining rapid recognition to reflect some limitations of the quantitative
method (Brewer, 2000). The aim of ethnographic research is to understand the cultural
meaning and interpretation of human experiences (Charmaz & Mitchell, 2001). It is
an art and science designed to observe and describe human behaviour and culture
in its natural setting (Fetterman, 1998). However, the experience of getting access

F. Ahmmed (B)
Department of Social Work, Shahjalal University of Science and Technology, Sylhet, Bangladesh
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 323
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_22
324 F. Ahmmed

to the natural environment varies irrespective of researchers and research subjects.

Therefore, it is required for a novice researcher to know the challenges, limitations,
and the process of conducting ethnographic research in order to collect, analyse, and
interpret the data more efficiently.
This chapter is a short description of the stages of ethnographic research, data
collection processes I adopted, and the challenges I faced and how overcame them
through the self-learning method. I had a theoretical understanding of conducting
ethnographic research before this field research. I thought that the work would be
very easy for me, and I will be able to conduct my research with maximum accuracy
without major challenges. Just after starting my work, I found that the way I thought
my task would not be so easy. I started thinking but found it difficult to get ways
before practical actions and was waiting to face the practical environment as per its
demand. During my study, I have applied some techniques in the management of field
environment that I did not learn from literature. I got confidence from a single word
‘flexibility’ which is mentioned in kinds of literature as a licence to apply self-skill
and technique in any phase of ethnographic research. Before field work, I thought
that I must gather objective-based data whatever the techniques are. In this process, I
was aware of the ethical obligations but was less aware of the techniques mentioned
in the literature. After completion of my study, I have compared my actions with the
existing literature and got an insight into how self-understanding can be effective in
gathering data for an ethnographic study.

Meaning of Ethnographic Research

The word ‘ethnography’ is derived from the Greek word ethnos, which means a
company, people or nation and graph, which means “writing”. The Webster Dictio-
nary defines ethnography as the study of the geographical distribution of races or
peoples and their relation to the environments in which they live. As one of the
qualitative methods, ethnographic research completely engages in the lives, culture,
or situation which is under investigation. Ethnography is the description of culture
(Spradley, 1979) using a ‘process of learning about people by learning from them’
(Roper & Shapira, 2000 cited in Higginbottom et al., 2013). Fetterman (2010) noted
that ethnographic research emphasizes on in-depth comprehension of the phenomena
which requires data collection from multiple sources including document analysis,
participant observation, interviews, and cultural immersion by a researcher. It is a
method that helps a researcher to explore the pattern of human experience through
participation and careful observation of life events and culture of those under study
(Angrosino, 2007). It facilitates a researcher to integrate him/herself to research
participants with unstructured and flexible data collection methods to explore the
meanings of human activity for the individuals themselves and the broader society
(Brewer, 2000: 20).
Scholars have mentioned certain characteristics of ethnography (Angrosino, 2007;
Atkinson & Hammersley, 1998, cited in Higginbottom et al., 2013; Hammersley,
22 Ethnographic Method 325

1998, cited in Brewer, 2000:19). Analysing all, we can understand the following
characteristics of ethnography:
• Ethnography is conducted in real-life setting to investigate a particular social
phenomenon.
• The process is inductive and holistic.
• The role played by researcher is both observer and a participant that requires a
long term commitment and engagement.
• Collected data using triangulation method may be unstructured and divergent
from pre-coded data.
• Conclusions and interpretations drawn from the comments of the participant
expose ethnography as dialogic.
• The nature of analysis is descriptive which is derived from small sample size, may
be from one case.

Techniques and Tools of Data Collection in Ethnographic

Research

Techniques

Multiple techniques of data collection are usually employed in ethnographic research

to get insightful personal and in-depth information from the research subjects.
However, most widely used ethnographic methods are interviewing, observation,
and document analysis (Angrosino, 2007; Kawulich, 2005).

Participant Observation

Angrosino (2007) described observation as the act of perceiving the activities and
interrelationships of people in the field setting. Participant observation is the process
of enabling researchers to learn about the activities of the people under study in
the natural setting through observing and participating in those activities Kawulich
(2005). Maintaining professional distance, the researcher participate in the lives of the
people under a study through participant observation (Fetterman, 1998). Participant
observation is most effective in studying non-verbal behaviour of individual and
groups.
Werner and Schoepfle (1987) (as cited in Kawlich, 2005) describe three types of
processes of participant observation:
• The first is descriptive observation, in which the researcher observe a situation
or event assuming that s/he knows nothing. This can provide both relevant and
326 F. Ahmmed

irrelevant data about the research subject and researcher has to pick the data those
are in line with the objectives of the study.
• The second type is focused observation which emphasizes observation with inter-
views of research participants. In this process, insights of the participant guide
the researcher’s decisions about the subject matter of observation.
• The third type of observation is selective observation, in which the researcher
focuses on different types of activities. The aim of this observation is to describe
the differences among activities those are being observed.
Bernard (1994) lists five reasons for including participant observation in ethno-
graphic research on cultural issues and other everyday life activities those are difficult
to document or explore through interview:
• It can facilitate to the involvement of researcher in sensitive activities to which
s/he generally would not be invited.
• People act in an artificial way if they are aware of being observed and participant
observation reduces the incidence of such “reactivity”.
• It helps the researcher to develop culturally relevant questions for other method
of investigation.
• It gives the researcher a better understanding of what is happening in the culture
and gives credibility to one’s interpretations of the observation.
• Participant observation also enables and give insights the researcher to prepare
data collection tools both for quantitative and qualitative research (as cited in
Kawlich, 2005).

Interviewing

Interviewing is the process of guiding a conversation to gather data (Angrosino,

2007). In ethnography, the contextual interview can help the researcher to get data
from the place where behaviour occurs. The researcher should be present at the
home or inside the community and an interview with the participant giving special
preference to the participant. If a researcher wants to know about the pattern of the
particular behaviour of community on a particular issue, s/he should be present there
and may ask the participants about this and it becomes easier both for interviewee and
researcher to share and get authentic information through face-to-face conversation.

Archival Research or Document Analysis

This is the analysis of available materials that provide an outline for research project,
formulation of research questions, and justification of study findings. If a researcher
wants to know about the traditional cultural practices of a particular community or
group on a certain issue, s/he should consult with relevant documents available and
22 Ethnographic Method 327

then possible compare them with existing practices that may be gathered through
observation and interviews. Stored existing materials should be selected carefully so
that their reliability is acknowledged by the group and /or community on which the
research is conducted.

Tools

Diary and daily notebook are maintained in documenting data gathered from the
participant observation. There should have checklists, and the researcher can use
them considering their sensitivity to the group or community which is under investi-
gation. If it does not affect the natural environment, the researcher can use it openly
or can keep the checklist in her/his mind and can observe things accordingly. The
interview requires an interview schedule with open-ended questions, and it should
include questions that cover all aspects of research. The camera can be used for docu-
menting the photographs and videos of events and behaviour. The researcher should
be careful in using any tools or instruments, and prior permission of participants and
community people should be earned.

When a Researcher Will Think to Using an Ethnographic

Method

Streubert and Carpenter (1999) mentioned the following reasons for choosing an
ethnographic study:
First, when the researchers are to document, understand, and describe alternative
realities from the participants’ points of view, which are salient to understanding the
range of events and behaviours of people in a particular culture.
Second, when a researcher is interested to build a substantive grounded theory,
the description and interpretation of participant observations produce a description
of the basic social-psychological process. Citing the reference of Charmaz and
Mitchell (2001), Aldiabat and Navenec (2011) mentioned that the ethnographic
method involves only the development of a thick description of how people in a
certain culture live their lives.
My study was qualitative due to the need for a deep understanding of indige-
nous culture on elderly care and support, which could only be discovered through
observations, in-depth interviews, and an examination of practical activities (Patton,
2002). I desired to conduct an in-depth study about the norms, values, and care
system for the elderly as it occurs normally in real life of the Khasi ethnic group,
and it could be possible through an ethnographic method of qualitative research
(Streubert & Carpenter, 1999). An ethnographic approach was identified as the most
appropriate method because it directs focus on the lived experience of the elderly
328 F. Ahmmed

people of selected indigenous groups, social and spiritual leaders, and their family
members who were identified as subjects of the study (Maanen, 1988). To under-
stand the ageing problem within a complex culture (Aldiabat and Navenec, 2011) of
the Khasi indigenous group, ethnographic method of qualitative research was also
suitable. There was nothing known about the ageing issue of the Khasi indigenous
group before this research. Ethnography is, in particular, suitable for investigating
minority groups in society such as the marginalized and the stigmatized peoples’
issues because such work can provide rich, thick, and detailed descriptions about
the unknown or the little known (Li, 2008) issues of those people. Only ethno-
graphic method allows researchers to observe what people do in “real-life” contexts,
not what they say what they do. Ethnographic participant observation can supply
detailed, authentic information unattainable by any other research method (Homan,
1980; Humphreys, 1970; Gans, 1999, cited in Li, 2008). To empower the very people
being studied, transforming the “public consciousness” and “common sense” about
the disadvantaged in society (Fine et al., 2003 cited in Lin 2008), ethnographic
research can be the best selection.

Major Steps Followed to Conduct a Successful Ethnographic

Study

I followed a set of stages in conducting my study which was guided by existing kinds
of literature on the ethnographic method.

Problem Formulation

This should be the first stage of research and in fact formulation of a problem or
selection of research, and the problem can provide a clear understanding of the
methodology to be selected by a researcher. In ethnographic research, it is important
to define the main focus of the research which can be possible by selecting a problem
about which a researcher intends to learn more. I had a personal interest in population
ageing. But the area of ageing is wider and conducting academic research within the
timeframe and financial arrangement needs specific problems which can be inves-
tigated accordingly. Reviewing existing literature, I found ethnic minority elderly
people who are mostly excluded by researchers. Due to my interest and proximity
to my workplace, I had a good relationship with some of the indigenous leaders.
Primarily, I discussed the needs and problems of their elderly and noticed some
exceptional indigenous care systems for their elderly. I found them important, unex-
plored, and felt that I should learn detail about them and selected indigenous support
systems and care for the elderly people in the Khasi community as my research topic.
22 Ethnographic Method 329

Selection of Sample

Most of the ethnographic research follows the purposive sampling technique (Higgin-
bottom et al., 2013). It is perceived that the participants selected through purposive
sampling have specific and sufficient knowledge or experience. Considering the
nature of my research problem. I followed the purposive sampling technique for
selecting both research sites and research participants. I selected village census as a
technique to find out elderly people age 60 years and above so that the participants
can represent sex, gender, and all socioeconomic background. All of the elderly
people living in the selected village were included as participants. As there was no
data on the elderly population in the selected ethnic minority community, the census
was considered the most efficient and effective tool to identify research participants.

Selection of Research Site and Gaining Access

To research ethnic minority communities, research site should be selected technically

so that it permits thorough investigation. As a member of the majority community,
deciding on the research site for this sensitive study was not so easy for me. I selected
the Khasi indigenous group who live in isolated and border territories of the north-
eastern part of Bangladesh. I had to face challenges to identify appropriate gateways
for entry into the community, participate, and observe their various permissible activ-
ities on which I required data for my research. I had a connection with a Khasi leader
who lived in an urban centre and requested him to support me in getting access to
their community. He refused to tell me that the people will not trust me and they will
not allow me to stay in their community as I am a member of the majority community.
I was frustrated and was feeling helpless. Not giving up my plan, I was trying to get
a connection for easy access to the community.
Meanwhile, one of my graduate students extended his support. He was a member
of the Garo ethnic community. The Garo is another ethnic minority community that
had a close relationship with the Khasi people. The father of my student was an
official of an international organization that directly worked for the wellbeing of the
Khasi people. Taking support from my student, I talked to his father and he was
agreed to support me. He suggested me select two remote Khasi villages purposively
where they run their education programme. Though the villages were located in
isolated remote areas without road communication, I agreed and requested him to
arrange everything for me so that I could stay in selected villages for three months.
Accordingly, he made contact with two village leaders. Both of the village leaders
denied it for the first time. My efforts continued, and after a few weeks, both of the
village leaders showed their interest to visit my home. I invited them with the support
of the father of my student. They came and we discussed my purpose. Making them
understand about research was not as easy as they were not formally educated and
unaware about research. I assured them that my presence will not affect their ways
330 F. Ahmmed

of living, I will not act or perform anything against their culture, and above all, I
will never disobey their restrictions. The village leaders were convinced and told
that they have no problem allowing me if their central community leaders permit.
They assured me that they will take the necessary steps for the approval of central
community leaders. Village leaders started negotiation quickly and central leaders
of the Khasi community started to investigate my profession and activities, and at
last, they permitted me to stay in their village. Although the total process took about
two months, I was existed and thankfully acknowledged their support. One date was
fixed and accompanying my Garo student as research assistant we started our journey
to the selected Khasi villages. The journey was not comfortable; we had to walk for
about seven kilometres on muddy channels to reach there. The water of the channel
was full of leeches, snakes, and water insects. A team of Khasi children guided us
during this exciting journey. After reaching the village gate, the mother of the village
head welcomed us and entertained us with Khasi betel leaf as part of their tradition.
This was the first time I had experienced having the hot Khasi betel leaf. This was
hard but enjoyed so that we can be accepted as their wishes. We were accepted nicely;
the village head arranged our housing and food, and the support was very warm.

Presenting Myself

It was critical and confusing for the first time. I made a plan to present myself as a
learner about the community people in the general and the indigenous elderly care
system in particular. Just after reaching the selected research site, residents were
curious and was asking different questions like who am I ?, why should I stay in
their villages?, what I will do?, etc. I gave answers to all of their questions without
hiding anything. I told them how I would be participating in their lives. I made
them clear that a major portion of my time in their community will be observing
elderly peoples’ roles and responsibilities in the family and community and how do
families care for their elderly. I had a preparation to be an ordinary person to the
villagers and accordingly my garbing was alike the community people. I did not
show any query for the first few days. I met people, travelled to their houses, and
introduced myself as simply as possibly. To get wider acceptance, the village head
accompanied me for the first two days and introduced me to his people. It helped me
substantially to get a trustworthy relationship and became easier to escape my status
as an intruder. Community people had their language which was unknown to me.
To overcome language barriers, the village leaders recruited a high school student
in their community who helped me to learn introductory/welcoming communicative
words. After a week, I found myself as a trustworthy and affectionate person to
the community people. Elderly people started sharing their everyday activities, their
needs and problems, and coping mechanisms usually they do the practice. Most of
the elderly people started to invite me to their homes, and I accepted all of their
invitations without hesitation. To find out the population of my study, I made a plan
22 Ethnographic Method 331

to conduct a village census. But it was not needed; all of the elderly people met me
spontaneously and informed me who are not able to move.

Data Collection

Ethnography allows multiple data collection techniques and in most cases use partic-
ipant observation, usually triangulated with interviews, with “key informants” in
particular. Such triangulation importantly helps to ensure the reliability of data. In
my research, I applied in-depth interviews with elderly people. I took key infor-
mant interviews with village leaders, caregivers of elderly people, and children of
the elderly who are living with their elderly parents with chronic illness. In addi-
tion to interviews, I applied informal conversations as a technique of data collection
throughout my data collection process which took almost six months. Participant
observation was also widely applied. Participant observation is used as the primary
method of fieldwork which involves “actively looking, improving memory, informal
interviewing, writing detailed field notes, and perhaps most importantly, patience”
(DeWalt & DeWalt, 2002). It enabled me to learn about the activities of elderly
people in their natural settings through observing and participating in those activi-
ties. I actively participated with elderly people in their natural settings. I have worked
with them in their farmland and participated in social and religious festivals and
observed how elderly people perform their role in the family and the society and
how community people and family members of elderly people respect and support
their elderly members. They provided me with ways to check for non-verbal expres-
sion of feelings including participants’ way of interaction and time spent on various
activities that were not possible to get through interviewing in my research.
While participant observation helped me to reveal the world of Khasi elderly
people in naturalistic community settings, in-depth interviewing exposed the mean-
ings of the indigenous elderly care system and sociocultural values regarding
ageing by attending to elderly peoples’ perspectives and interpretations (Li, 2008).
Collecting data from my participants was not easy going always. After observing
community and elderly people, I found that the interview schedule with open-ended
questions is not a suitable tool. The same was for any formal tools like a checklist. On
the first date of my data collection, I found that participants, as well as community
people, are not comfortable once I try to open any tool like interview schedule and
checklist. They started to ask me curiously what I should write and what I would do
with this. My answers were not satisfactory to them, and I found that the participants
and community people are feeling uneasy interacting with me. Then, I had to take a
different strategy, leave all formal instruments, and go throw all of the questions and
issues that need to be learnt from my participants. I started to interact with them very
informally and not impose control in the discussion, it was in line with the desire
of the participants. I simply raised the issue and participants discussed it in her/his
ways, and I never stopped them. Sometimes, more than one participant attended in
discussion and I also welcomed them. Someday, they invited me to their home, and
332 F. Ahmmed

somedays, I visited their home, workplace, and gathering place. One grocery shop
was in between the two villages where elderly people used to gather for gossiping and
I was a regular listener of that gossiping and I got a lot of data from each gossiping
session. Once I worked with them in their firm lands, I was able to discuss research
questions informally and discussion took place warmly. I have attended their social
festivals and observed how elderly people can participate in multiple roles.

Gathering and Recording Information

I have discussed why it was difficult for me to collect and record data at the same
time. I could not carry any diary or notebooks or any recording tools before the
participants to avoid their confusion. I did not take field notes when I was involved in
the field with my participants. Though I took this strategy for gaining trust and broader
acceptance of participants, it helped me to interact with participants and observe
without interference. After fieldwork, I started to record at night and it was my daily
routine and strategy to document whatever I got in the field. This running description
technique is proposed by Singleton and Straits (2005). This quick regular action was
for minimizing recall problems. My research assistant used to accompany me and
after recording data I used to share with him and he used to support me if I missed any
information to record. Raising the same issue on the next date for more clarification
was a regular practice for avoiding confusion and more clarification about the issue
discussed by the participants. As I had the same discussion and observation with
different people, some issues I forgot to document last night could recall in the field
and wrote them just after getting back from the field. After recording data, my habit
was to read and re-read it and try to gain self-satisfaction. Once I was dissatisfied,
used to find out personal limitations, own biases and visited participants on several
occasions to justify whether I have documented data subjectively or objectively.

Data Analysis and Interpretation

The researcher’s awareness of multiple ways of analysing qualitative data is most

important. The ethnographer is called a human instrument (Fetterman, 2010), and
thus, an ethnographer is to eliminate all personal biases and preconceptions before
entering the study domain—from data collection to analysis. In the data analysis
phase, special emphasis is given to the field notes and records prepared during field-
work. The researcher’s observations are also presented. The qualitative data anal-
ysis process comprises multiple phases, such as examining, cleaning, organizing,
reducing, exploring, describing, explaining, displaying, interrogating, categorizing,
pattern finding, transforming, consolidating, comparing, integrating, synthesizing,
and interpreting data. I followed all of the stages mentioned. I collected rich data
from a relatively small sample which helped me to get a clear insight into my research
22 Ethnographic Method 333

problem. Field notes were collected consciously which had a concrete effect on the
interpretation of research findings (Walls, 2011). I had no desire to generalize the
findings rather my analysis focused on searching inner meanings of issues that were
under my investigation. I have observed the patterns of data and then identified cate-
gories and themes. I also developed typologies of data and based on the relationships
of different social and cultural issues raised by the participants were established
through explanations. Finally, interpretations depicted the meaning and nature of the
indigenous care system, their sustainability, and the possibility of its replication into
the mainstream community of Bangladesh where indigenous and traditional support
systems of the elderly people are decreasing.

Advantages and Challenges Faced by a Researcher

Advantages

A researcher can select a particular method or multiple methods for her/his research
project from some methodologies. However, the suitability of each method should
be examined first for choosing a method for the specific study. The ethnographic
method of qualitative research has certain advantages which can allow a researcher
to select this method for gathering detailed information from a naturalistic environ-
ment. Analysing Wolcott (1999) provided list, Sangasubana (2011) mentioned the
advantages of ethnographic research, some of which are as follows:
• Appropriate for conducting the study by a researcher alone.
• Suitable for study on sensitive issues.
• Applicable to study marginalized groups of people or hard to reach community
which in turn may empower the studied group or community.
• Appropriate for gathering data on insider’s interpretation of reality.
• Facilitates the researcher to observe and document the variations over time.
• Possibility of carrying out research at any place.
• Creates opportunity for a researcher to work without considering the participants
as objects.
• Provides comprehensive findings for further research and writing.
• Makes the researcher’s journey to data collection exploratory and thought
provoking.
• Eases the research with less expensive tools or equipment.
• Allows the researcher’s access to the exclusive domain with full responsibility
which eventually develops his/her skills to discover the facts of chosen setting
and learn others culture.
• Allows a researcher to gather data on verbal and non-verbal behaviours in a
naturalistic setting.
334 F. Ahmmed

Limitations and Challenges

Despite having various advantages in conducting ethnographic research, some limi-

tations are explained by scholars. The advocates of natural science criticized that
ethnography is below the standards of science from the point of view of measure-
ment and generalization. Fabian (1983) criticizes ethnography, as a discipline, for
its failure to pinpoint cultures in time. Neuman (2003) identified three issues: reac-
tivity, reliability, and validity as challenges in conducting ethnographic research. A
researcher should be careful so that it can be overcome. In ethnographic research, all
of the challenges are expected to be minimized by the researcher herself/himself.
Naturally, the community or group which is under investigation may behave differ-
ently in the presence of researcher because they know that they are in a study (Sanga-
subana, 2011). It is easy to minimize this reactivity, and the author has described
how he overcame this challenge during data collection familiarizing himself with his
participants.
In ethnographic research, reliability and validity issue is frequently questioned as
the process depends upon the quality (insight, consciousness, questions and observing
the behaviours and events from different viewpoints and outlooks (Neuman, 2003) of
the researcher alone. To ensure reliability, the researcher should know how to gather
consistent, and credible data both internally and externally (Neuman, 2003). In the
data collection stage of this chapter, the author has mentioned how he recorded the
behaviour of elderly people consistently in different contexts of their lives. He also
mentioned how data gathered from the elderly people were cross-checked and verified
gathering data from community leaders, caregivers, and children of elderly people.
These were for ensuring the consistency of data. Sangasubana (2011) emphasizes
the credibility assessment of the sources of data due to researchers’ reliance on what
others express.
Validity can also be ensured by the ethnographic researcher by gathering and
analysing data and also representing the lives and culture under the study Neuman
(2003). It is described earlier that being a non-member of the community, how the
author was capable of performing as an insider of the community. This helped him to
interact with elderly people effectively and gather data from a naturalistic environ-
ment. The result and conclusions were articulated based on the practical observation
and field notes those were preserved and recorded with maximum accuracy.
In addition, ethnographic research is labour intensive and time-consuming. It
takes a long to get access to the community, build confidence in the community,
and observe the natural setting for understanding colure. Sometimes, it becomes
difficult to participate and observe at the same time and information might be missing
and again more time needs to cross-check the field data. Observer effect is another
limitation through which researcher face difficulty during data collection as the group
or community people become aware of the researchers’ observation upon them.
Personal biases due to massive participation may also hamper the validity of data. It
becomes difficult to follow structured observation in controlled settings which may
22 Ethnographic Method 335

hamper the objectivity of the study. All of these limitations can be minimized by the
capability of the researcher.

Conclusions

Though conceptual and methodological confusions are raised by a section of scholars

and an ethnographic researcher may experience personal, cultural, and method-
ological challenges; ethnographic research has meaningful and useful application
in learning people and societies who are not known or slightly known by the other
people of a broader society. Problems of validity and relevance in ethnography are
explained by Hammersley (1992); however, the ethnographic researcher can present
the narrative of the cultural connotation of the phenomenon through investigation on
both verbal and non-verbal behaviours in naturalistic settings which are not possible
by a quantitative researcher. It allows a researcher to get an insight into reality Ethno-
graphic research can be conducted by a single researcher and that is why it may be
less expensive, easily manageable, and interesting but adventurous. Increased self-
awareness and skills of the ethnographic researcher can produce valid and reliable
knowledge on the culture, society of a marginalized group of people which also can
create a base for further investigation on the same issue.

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Chapter 23
Indigenous and Decolonizing Research
Methodology

Ndungi wa Mungai

Abstract This chapter presents an introduction to alternative approaches to research

based on indigenous worldviews and knowledge. This approach also emphasizes
decolonizing research methods that are developed from a Eurocentric view of the
world. It argues for the urgent need to apply methods that are meaningful to non-
Euro-western people as part of mental decolonization and liberation. When research
is conducted from a Euro-western perspective, it privileges a single worldview and
ignores and marginalizes others. How research is designed implemented and inter-
preted and who has a say in these processes have a bearing on the outcome. An indige-
nous and decolonizing paradigm prioritizes collective identity, sharing of knowledge,
respect of people’s history, culture, spirituality, and relationships as seen from their
perspective. It is concluded that while the indigenous and decolonizing methodology
is still evolving, there is a rich body of work that attests to its viability.

Keyword Indigenous research methods · Decolonization · Relationality ·

Research paradigm

Defining Parameters of Indigenous and Decolonizing

A definition of indigenous and decolonizing methodology is not easy as both indige-

nous and decolonization are contested concepts. However, for this chapter and in
the interest of keeping this discussion simple and accessible, indigenous will include
all cultures that are not Euro-western. Colonized people and cultures will include
all those who have been dominated by Euro-western domination, whether they are
now fully independent as in many Asian and African countries, or continue to live
in the shadow of that domination as in Australia, New Zealand, and North America.
Indigenous research, therefore, refers to research done by, with, for, and in the interest
of these people whose voices and worldview have been dominated and distorted by
colonialism.

N. wa Mungai (B)
School of Social Sciences, Charles Sturt University, Wagga Wagga, Australia
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 337
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_23
338 N. Mungai

Indigenous research has an emphasis and focus on the local phenomenon, pays
attention to context, aims to be integrative, and is informed and guided by an indige-
nous research paradigm (Chilisa, 2012). A paradigm here refers to a developed body
of work by committed researchers that establish recognized applicable concepts,
patterns theories, and standards in indigenous and decolonizing research. The objec-
tive is to create a space within and outside the academy to talk, explore, and work
more creatively with particular groups and communities that have been oppressed and
their point view historically regarded as unimportant or insignificant (Smith, 1999).
Research is therefore not regarded as a neutral process as research has been experi-
enced historically by non-western people as a tool for oppression. Research can be
potentially changed to be a liberatory and transformative process for the indigenous
people. However, for this to happen we have to pay attention to their specific needs,
hopes, desires, and aspirations.
Decolonising research methodologies are concerned with resisting and changing
how research has been used as a tool for oppressing and colonizing the ‘other’ in Euro-
western research approaches. Smith (1999) has argued convincingly that research has
in the past been associated with the extreme abuses of colonized people where the
knowledge obtained through scientific research was used to justify and legitimate the
dehumanization, dispossession, colonization, and destruction of colonized people.
The research that aided imperialism collected and analysed data in ways that aided a
western discourse of the ‘other’ and also made colonized people internalize a sense
of inferiority. Research can therefore play a pivotal role in assisting the colonized
people to reclaim their self-knowledge. This reclamation of self-knowledge has been
described in Kenya as ‘kwimenya’—to rediscover yourself, both as individual and
collective as people with a history and connection to others and the world (Mungai,
2012). Decolonizing the mind, even after political decolonisation, is the way Ngugi
(1986) has described this process.

Why Do We Need an Indigenous and Decolonizing

Methodology?

A good question to ask is why do we need indigenous and decolonizing methods?

Can’t scientific research methods, with universal laws of science that are based on
evidence and logic, suffice to serve humanity? The problem has been that social
research methods have been developed in Euro-western cultures and have tended
to serve the interest of the colonizers while harming the colonized people and their
cultures. Even in Euro-western cultures, certain segments have voiced their concerns
about the bias. Feminist theorists, for example, have noted the gender bias in research
that overlooks the interests of girls and women. In postcolonial research, African and
Asian and other non-western feminists are working to steer research in a direction that
addresses their needs and they resist the continued oppression of girls and women:
23 Indigenous and Decolonizing Research Methodology 339

A postcolonial indigenous feminist perspective moves out of the cage of universalized

western gender theory and employs postcolonial and indigenous perspectives to reveal local
standpoints that express girls and women’s agency and resistance to oppression. (Chilisa,
2012, p. 261)

It is clear therefore that while research is a process that is dedicated to the pursuit of
knowledge it is not a neutral process. What knowledge is sought and how and by who
it is done are issues with significant social and political implications. Indigenous and
decolonizing research aims to ensure that the voices and interests of the indigenous,
colonized, and formerly colonized people are heard.
The issue is, however, more than just having the voices of the oppressed heard. It is
about acknowledging and accepting the way they see their social reality (ontology),
their way of knowing that social reality (epistemology), and their ethics and value
system (axiology). Euro-western social science methodologies may present them-
selves as universal but in reality, they represent a Euro-western ontology, episte-
mology, and axiology. This matters because anything different from that Euro-
western worldview is bound to be ignored, marginalized, or dismissed as not a
legitimate human experience.

Indigenous Ontology

There is no unified indigenous ontology so it is important to avoid the trap of

presenting this as a universal view. What is important is to explore the particular
cases while also noting the commonalities. One such common feature is the impor-
tance of relationships. Before any collection of any data, it is important to estab-
lish relationships. In many traditional settings, it is critical to start proceedings by
establishing how the participants are related. Chilisa (2012) notes that ‘indigenous
ontology has an emphasis on relations and connections between humans and other
beings in the universe’ (p. 21). The African philosophy of Ubuntu emphasizes that
all beings are connected and it is only through those connections that we realize our
full human potential (Mungai et al., 2014). Research with indigenous people, there-
fore, has to start with acknowledging and establishing a relationship through rituals
and practices appropriate to the participating communities. It is clear too from this
ontological perspective that relationships between people and between people and
their physical and spiritual environment are the key to well-being. Wilson (2001)
suggests that the relationship goes beyond the researcher and research participants
to include a relation with all living and non-living beings. An indigenous research
method, therefore, has to be accountable to all the relations.
Spirituality is another key aspect of indigenous research. Spirituality is, however,
not easily defined and often confused with religion. From an indigenous perspective,
spirituality refers to the interconnectedness and inter-relatedness with nature, with
the cosmos, the universe, and the creator of all that is in the universe. The ancient
Egyptians held these beliefs on interconnectedness in the principles referred at as
Maat which represented ‘the idea that it was necessary to possess order, balance,
340 N. Mungai

harmony, justice, truth, righteousness, and reciprocity as minima for holding back
chaos in every aspect of life’ (Asante, 2007, p. 38). This was considered critical to
maintaining the physical, spiritual, and moral health of the individuals and commu-
nity. It is clear therefore that in indigenous research participants might be unhappy
with any research that might unsettle existing order and relationships. In the Maori
culture, all living things have mauri (a life force) and a spirit (Moeke-Maxwell,
2015). It is important to note too that spirituality is not a separate entity but is part of
the connected whole that make up the physical, mental, spiritual, and environmental
well-being of the individual and society. Aboriginal Australians refer to ‘Dream-
time’ a concept that translates to a time when mythic beings created the world, all
the creations that exist, and the laws to govern every aspect of life including rituals and
sacred sites (d’Abbs & Chenhall, 2013). Like other traditional spirituality, aborig-
inal spirituality is holistic and views all beings as interconnected with a common
origin in dream time. Western scholarship has often struggled to comprehend the
strong kinship links and the attachment people have to place. Researchers have to
understand the spiritual beliefs of research participants as this has implications not
only on their worldview but more importantly on how to engage them. Sharing food,
prayers, and participating in rituals can make a difference between being accepted
or rejected as a researcher.
Decolonization is an important concept in research with indigenous people and
cultures that are not Euro-western, precisely because research has played a promi-
nent role in their oppression and marginalization. An example of this approach
is the Kaupapa Maori, a theory and practice articulating the Maori resistance to
continued colonization of Maori people and culture and taking an anti-colonial posi-
tion (Mahuika, 2008). The reason for taking an anti-colonial position is that the social
sciences we study are founded on Euro-western culture, history, and philosophies
and have either been harmful to the interest of non-western people or do not identify
with their struggles or problems (Smith, 1999).
There may not be a specific decolonizing method that can be described as indige-
nous but that is not a problem. No culture is self-sufficient, and we can borrow
what is relevant and appropriate and compatible with our needs. Talking circles
have, for example, been found to be appropriate for research with indigenous
people as sharing in non-hierarchical groups is the accepted way of sharing wisdom
and exchanging information (Chilisa, 2012). Aboriginal Australians refer to that
approach as ‘yearning circles’ and share some similarities with discussion focus
groups in Euro-western methods but conducted differently.

Indigenous Epistemology

While ontology is about the beliefs like reality, epistemology is about the thinking
process to gain more knowledge about the nature of that reality. An Indigenous
epistemology approaches knowledge as relational, which means that knowledge is
23 Indigenous and Decolonizing Research Methodology 341

shared by all creations (Wilson, 2001). This is fundamentally different from a Euro-
western epistemology that would regard knowledge as something that an individual
can acquire and possess exclusively. The relationship that exists between people and
between people and objects becomes even more significant than an objective reality
(Wilson, 2001).
The indigenous system of knowledge is thus based on these relationships between
people, between people and objects, and even between people and the cosmos. What
is considered important knowledge then is the knowledge on relationships and relat-
edness? The research questions then are about relationships and being accountable for
these relationships and not about the validity concerns in the Euro-western research
methods. Some methods are consistent with this epistemology such as ‘talking
circles’ and storytelling. They are consistent because they involve establishing rela-
tionships and sharing knowledge, wisdom, and experiences (Wilson, 2001). Aborig-
inal Australian researchers identify participatory action research (PAR) to be consis-
tent with this epistemology as it includes coming together and forming relationships
as a first step towards action on a particular local issue (Ivanitz, 1999). PAR has other
advantages including being a useful tool for self-determination and an appropriate
tool for addressing social justice issues.

Indigenous Axiology in Research

Indigenous axiology refers to the ethics and values that are important in research
with indigenous communities as well as cultures that do not identify with Euro-
western traditions. An emphasis on relationality discussed above points to relational
axiology that reflects relational accountability. The pillars of a relational ontology
that also guide the axiology are accountable responsibility, respectful representation,
reciprocal appropriation, and rights and regulations (Chilisa, 2012). The implications
here are that the researcher needs to engage with the research participants in ways
that build respectful relationships, ensure non-exploitative engagement, take respon-
sibility for the relationships, ensure the research gives back to the community, and
lead to reciprocally sharing knowledge.
When people have a history of colonial oppression, then the researcher must pay
attention to this for the effects colonialism linger on even after independence. The
history of researchers taking advantage of community lack of knowledge to exploit
them in appropriating their knowledge or distorting their perspective means research
using indigenous axiology needs to pay special attention to who is gaining from
research, who owns the research, and whose interests are served by the research.
Ethical indigenous research should engage the community in all aspects of the
research from designing the questions to analysing and interpreting the results.
Research in Maori culture illustrates how researchers begin by explaining who
they are and where they come from, what their purpose and interest in the research,
and what the purpose of the research is (Chilisa, 2012). This is normal in any
342 N. Mungai

research but in indigenous research establishing your relationship to the partici-

pant, the community has a special meaning as it helps to cement the connection and
establish trust and lasting relationships.
Consent is a fundamental issue in all ethical research. In indigenous research,
consent might need to be obtained, not only from individuals but also from the
collective—group, community, or family. In some cases, this might mean going
through the elders who are considered knowledgeable, responsible, and the gate-
keepers to the community. Respecting the belief system of the community is critical,
and many traditional communities have strong links with the place or land and see
a strong link to the living and non-living world. Where people have adopted other
religions such as Hinduism, Christianity, or Islam, that has to be respected as well and
acknowledged as a valid worldview. Understanding that there is diversity even within
a given community or religion is important. Understanding Muslims for example,
one has to understand the diversity of Muslims and the social and political issues
affecting their ‘collective consciousness,… Mudslims’ way of knowing, and consid-
ering the ongoing dehumanization of Islam and Muslims [in the west since 2011]’
(Stonebanks, 2008, p. 318). Researchers have an ethical responsibility to represent
social marginalization.

Method Issues and Challenges

The challenges that one face in proposing to use the indigenous methodologies
are that many universities and research institutions regard Euro-western research
methodologies as universal, proven, and evidence-based. The European cultural
foundations and philosophical basis of these methods are overlooked. Indigenous
methodologies have a responsibility to ‘expose the problem of applying cultural
methods to another culture’s epistemology, theory, and/or philosophy’ (Kovach,
2000, p. 174). There is therefore an urgent need to free social research from this
Euro-western domination and bring forth an alternative worldview that highlights
neglected aspects like spirituality, collective identity, and relatedness realities of
indigenous people and exposes past exploitation and abuse by western researchers.
Taking culture into consideration is critical to indigenous research and therefore
methods that are consistent with cultural practices have a higher chance of success.
One such approach that has been found useful is the use of story and the central
importance of location, culture, and a grounding in personal experience (Kovach,
2000). Using the story as a method is consistent with an indigenous methodology
and paradigm that is based on a relational epistemology. To use a story than to gather
knowledge, one has to ask a question that is open enough to invite conversation. Data
collection methods that are favoured by this approach include storytelling, research
circles, conversations, and journaling (Kovach, 2000). The use of questionnaires
and highly structured interviews are unsuitable while researching tribal people like
Aboriginal Australians (Ivanitz, 1999). Part of the reason is low literacy rates but the
highly individualized approach also limits dialogue and sharing. That is not to say
23 Indigenous and Decolonizing Research Methodology 343

the methods can never be used but to caution about the serious limitation and low
chances of acceptability.
Conversations and methods based on conversations are consistent with oral tradi-
tions and have a higher chance of acceptability. This can be very time consuming
and not easy to analyse as many qualitative researchers know. However, sitting in
research circles, yearning circles or sharing circles are approaches that people in
villages will be familiar with as ways of collective decision-making approaches on
community matters. Rituals such as prayers and sharing of food could also be part
of this activity. Local knowledge, including having accepted leaders, is critical for
the success of this approach to gathering data.
A method that is also consistent with an indigenous methodology is autoethnog-
raphy, which is a study that involves the self in the narrative. As a method, it involves
telling a story or stories but the researcher is the teller of the story (McIvor, 2010).
The story is particular to the teller but it also tells about a particular time and the life
experience of a generation. The sharing of the story allows the exploration of life in a
given time and location. It reveals the relationships the teller had and also establishes
relationships with the listener/reader. Autoethnography, therefore, blends the narra-
tive method in Euro-western research methodologies with an indigenous approach
to research through storytelling to create new knowledge.
Decolonizing, transformational, and healing approaches are also noted as critical
in indigenous research. Decolonizing as a concept is easy to understand for people
with a history of being colonized and know social research methods were used in
the process to marginalize the non-Europeans. Transformational research empha-
sizes that research is conducted with a clear purpose of improving people’s lives
and addressing their expressed needs. Healing refers to mitigating the harm done in
the past by research and colonization. A decolonizing, transformative, and healing
researcher, therefore, takes a heavy responsibility to ensure that research serves a
different purpose from what was done in the past. A researcher with this approach
is therefore reflective, consultative, engages the participants in all aspects of the
research, does not exploit participants, and works for the best interests of the partic-
ipants. It is hard to know everything about a community so an advisory committee
is always helpful in guiding the indigenous methodology researcher.

Ethical Issues and Challenges

Whether one is indigenous or an outsider doing indigenous research, there are ethical
issues to consider. These ethical issues relate to the institutions of the research but also
issues to do with indigenous communities. The needs of the institutions to minimize
risks and the indigenous communities focus on relations and connections may not
always be aligned. However, care must always be taken to protect the interest and
welfare of the research participants.
There are many ethics review bodies that researchers have to conform with. The
Euro-western institutions want to have the power to control and own the research data,
344 N. Mungai

especially when it may have a market value and may force contract agreements in their
favour (Chilisa, 2012). The committed indigenous research needs to be conscious of
this and ensure the research participants are not exploited.
The issue of language can be complicated if one is researching as an outsider to
a community. Appropriate use of language and cultural translator is critical in such
circumstances. It is important that the research information including the purpose,
expected outcome, and what participation entails is available in the language of
the participants. The use of indigenous languages in research is an important ethical
issue. It is also integral to the anti-imperialist struggle and self-determination (Ngugi,
1986). Many indigenous people have a collective memory of being swindled by
imperialism to sign agreements they had no chance of comprehending. This implies
research and is demonstrated by apprehension to sign consent forms which university
ethics review boards insist on. This issue needs to be handled with care by ethics
review bodies and discussed with the participants. A compromise needs to be found
and that might be in the form of verbal consent by individuals, research circle groups,
or community elders. The important thing is that there is no coercion, manipulation
or deception, and individual and collective rights and cultures are respected.

Application Issues and Challenges

When it comes to applying the question is how different the indigenous methodolo-
gies are from the conventional Euro-western ones. Are they completely new methods
or do they borrow some aspects from the Euro-western methods? Do they meet
or depart somewhere or are they entirely different methodologies? There are also
suggestions that rather than a binary approach of Euro-western methods and indige-
nous methods there could be a composite method that takes the best of both worlds
and develop a ‘post-conventional method’ (Bell, 2012). This is a major and ongoing
debate so it will only be touched on briefly here.
One argument offered is that the clear point of departure is in the interpretation
of data. Asante (2007) argues that the sense we make of the data collected makes
all the difference. In the past, western researchers have collected data from and on
colonized people and interpreted it in ways that harmed them. Arguing in favour
of an Afrocentric paradigm when researching African people, Asante argues that
the data should be understood the African people’s perspective and their worldview.
Important as data analysis and interpretations are, the data that one collects, who
collects the data and who designs and analyses the data as well as how this is done
are all important. By the time, one arrives at the analysis and interpretation it could
be too late if these other issues have not been addressed.
A different perspective is that there is an indigenous and decolonizing paradigm
that approaches research very differently from Euro-western paradigms in every
aspect of the research. The paradigm is still developing with a growing number of
researchers in different places like Africa, Canada, Australia, New Zealand, and Asia.
The paradigm departs from the individualistic approach in Euro-western paradigms
23 Indigenous and Decolonizing Research Methodology 345

and has an ontology that emphasizes relations and connectedness and liberation
from past and present colonial exploitation. The epistemology adopted also focuses
on the importance of relationships in knowledge building. The paradigm also adopts
axiology that emphasizes accountability to the relationships and involvement of the
indigenous people in all aspects of the research.
Having an indigenous paradigm does not mean completely inventing all aspects
of indigenous research. That would be unrealistic and all knowledge includes some
borrowing from other sources or cultures. The important thing is to be able to choose
what to select and how to modify what you select to meet your needs. Decolonization
does not mean hostility to western knowledge but offering constructive criticism and
developing a better, effective, and more accountable approach to research with indige-
nous people. This is explained well in how the Māori researchers use a theoretical
approach known as kaupapa to advance Maori research:
Kaupapa Māori is not about rejecting pākehā [white] knowledge. Instead, it is about empow-
ering Māori hapū [clan or sub tribe] and iwi[tribe] to carve out new possibilities, and to
determine in their ways their past, present and future identities and lives (Mahuika, 2008,
p. 12).

So indigenous research methodologies are developed by indigenous people who

have found that conventional Euro-western methodologies do not reflect their social
realities because they were developed in and for different cultures.
The proposed ‘post-conventional methodology’ aims to close this divide but it
might be too early to accept such a proposal. The indigenous methodologies are still
developing and should continue to do so alongside the Euro-western methods and
both can keep on borrowing from each other. The biggest danger of marrying the two
is that the Euro-western methods with their universal claims would soon overwhelm
the indigenous methods.

The Future of Indigenous Research

Convincing the universities and research institutions on the viability of indigenous

methods is a challenge. Even many non-westerners are not familiar with indigenous
methodologies and do not use them. I was not aware of them until I started my PhD
and discovered the Afrocentric paradigm as an alternative that I could use in my
research. In my social research methods classes, indigenous research methods are
only discussed in passing as ‘other methods’.
This is not the situation in all universities and some universities offer courses
in indigenous research methods. Important developments have been made and a
paradigm is evolving. Decolonization is an important part of this paradigm (Smith,
1999). Consistent with that idea of the indigenous paradigm being aligned with
postcolonial methodologies is the importance of addressing mental decolonization
in formerly colonized countries (Chilisa, 2012). Important theoretical and applied
346 N. Mungai

research work is being done, and the body of knowledge is growing rapidly and so
it is looking very hopeful.

References

Asante, M. K. (2007). An Afrocentric manifesto. Polity.

Bell, K. (2012). Towards post-conventional philosophical base for social work. British Journal of
Social Work, 42, 408–423. https://doi.org/10.1093/bjsw/bcr073
Chilisa, B. (2012). Indigenous research methodologies. Sage.
d’Abbs, P., & Chenhall, R. (2013). Spirituality and religion in response to substance misuse among
indigenous Australians. Substance Use and Misuse, 48, 1114–1129.
Ivanitz, M. (1999). Culture, ethics and participatory methodology in cross-cultural research.
Australian Aboriginal Studies, 2, 46–58.
Kovach, M. E. (2000). Indigenous methodologies: Characteristics, conversations and contexts.
University of Toronto Press.
Mahuika, R. (2008). Kaupapa Māori theory is critical and anti-colonial. MAI Review, 3, 1–16. From:
http://www.review.mai.ac.nz
McIvor, O. (2010). I am my subject: Blending indigenous research methodology and autoethnog-
raphy through integrity-based, spirit-based research. Canadian Journal of Native Education,
33(1), 137–155.
Moeke-Maxwell, T. (2015). Growing closer to death: Māori spirituality and ageing.
From https://www.selwynfoundation.org.nz/media/2020/an-investigation-of-traditional-maori-
care-customs-dr-tess-moeke-maxwell.pdf
Mungai, N. W. (2012). “kwimenya”: The cultural foundation for self-discovery. In V. Pulla, L.
Chenoweth, A. Francis, & S. Bakaj (Eds.), Papers in strengths based practice (pp. 112–124).
Allied Publishers.
Mungai, N. W., Wairire, G. G., & Rush, E. (2014). The challenges of maintaining social work ethics
in Kenya. Ethics and Social Welfare, 8(2), 170–186.
Ngugi, W. T. (1986). Decolonizing the mind: The politics of language in African literature. James
Currey.
Smith, L. T. (1999). Decolonizing methodologies: Research and indigenous people. Zed Books.
Stonebanks, C. D. (2008). An Islamic perspective on knowledge, knowing and methodology. In N. K.
Denzin, Y. S. Lincoln, & L. H. Smith (Eds.), Handbook of critical and indigenous methodologies
(pp. 293–319). Sage.
Wilson, S. (2001). What is indigenous research methodology? Canadian Journal of Native
Education, 25(2), 175–179.
Chapter 24
In-Depth Case Interview

Md. Golam Azam

Abstract The interview has a long history of comprehensive use for collecting data
in almost all disciplines of social science. In social research, there are various kinds of
the interview being used to obtain in-depth information from the respondents under
research study. The present chapter is not only confined to focus on the in-depth
interview but also on relevant issues related to in-depth interviews that is a useful
method of collecting detailed information. Here, the writer has presented the details
of the in-depth interview that has widespread acceptance and popularity as a data
collection method in qualitative research.

Keywords Interview · In-depth case interview · Qualitative research · Naturalistic

paradigm

Introduction

An in-depth interview is one of the most popular methods of gathering information

from the respondents (participants) in qualitative research. An in-depth interview is
less structured and non-directive that permits freedom for both the interviewer and
the respondent within the boundaries of research. The in-depth interview usually can
take place face-to-face or over the phone in some cases. As a data collection method,
an in-depth interview provides researchers with a wider scope of capturing descriptive
data about the respondent’s attitude, behaviour, feelings, and perception. This type of
interview typically is a conversation with pre-determined response categories, and the
researcher tries to uncover the respondent’s views, attitudes, opinions, and percep-
tions. Historically, in-depth interviews began to be used as a method of collecting
data for the study since an interpretative approach was adopted for the investiga-
tion in the fields of qualitative research studies (naturalistic or interpretative studies
within the phenomenological paradigm (i.e., a philosophical position that explains

Md. Golam Azam (B)

Institute of Social Welfare and Research, University of Dhaka, Dhaka 1205, Bangladesh
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 347
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_24
348 Md. Golam Azam

how knowledge about human behaviour and culture is generated and communi-
cated). The prime goal of interpretative research is to acquire a deep understanding
of human experiences. This kind of research is often concerned with such data collec-
tion methods as the in-depth interview, participant observation, and the collection
of relevant documents (Maykut & Morehouse, 1994: 46). In qualitative research, an
in-depth interview is multimethod in focus that involves a naturalistic approach to
its subject matter. This means that qualitative researchers explore things in natural
settings and try to make sense of phenomena in terms of their meaning (Hughes, n.
d.). In the case of qualitative study, the in-depth interview plays a significant role in
providing detailed information about the subjective issues under study.

Meaning of In-Depth Interview

In a simple sense, the interview is a systematic way of conversation to collect data

from the respondents. This is a conversation wherein the interviewer asks questions
and the respondent gives answers to the questions. An interview is a two-way verbal
communication that allows an exchange of ideas and information between the inter-
viewer and respondent. Many research scholars have made a variety of definitions of
interviews used in qualitative research. Cannell and Kahn (1968) describe an inter-
view as a conversation with a purpose. Frey and Oishi (1995) define an interview as a
purposeful conversation, in which one person asks prepared questions (interviewer)
and other answers (respondent). Dornyei (2007) argues that an interview is a natural
and socially acceptable way of gathering data as it can be used in different situa-
tions that cover a range of topics. According to some research scholars (Bell, 1987;
Berg, 2007), interviewing is adopted as a tool for social research because it facilitates
getting direct explanations for human actions through a comprehensive speech inter-
action (Alshenqeeti, 2014). Maccoby and Maccoby (1954) define an interview as an
“interchange in which one person … attempts to elicit information or expressions of
opinion or belief from another person or persons”. Goode and Hatt (1952) define an
interview as a close face-to-face conversation or a dialogue between the interviewer
and interviewee. According to Young (1960), the interview may be regarded as a
systematic method by which a person can enter into the inner life experience of a
comparative stranger (respondent). From the above definitions, it can be said that
in-depth interview applied in qualitative research describes the meaning of central
themes in the world of the respondent’s life. The main task of in-depth interviewing
is to understand the meaning of what the respondents say (Kvale, 1996). In addition,
interviews are a useful tool for getting the story behind a respondent’s experiences
and the interviewer can pursue deeper information around the topics of interest. Inter-
views may also be useful as follow-up to certain respondents to further investigate
their responses (McNamara, 1999).
However, within the framework of the above definitions, an in-depth interview
(referred to as depth interview) can be defined as an unstructured interviewing and
24 In-Depth Case Interview 349

also a method of qualitative data collection (Bowling, 1997). An in-depth inter-

view is a conversation between the interviewer and respondent that focuses on the
respondent’s perception of self, life, and experience and is expressed in his/her own
words. This is a qualitative research method that encompasses the conduct of inten-
sive individual interviews with a few respondents to explore their perspectives on
a particular issue, event, or condition. An in-depth interview is a tool that guides
a conversation between two or more persons towards a particular topic of research
interest. This interview method is used in various qualitative researches to gain a
detailed understanding of a case (person), situation, and social phenomenon. Also,
an in-depth interview is known as an unstructured interview which the researcher
uses to extract information to get a holistic understanding of the respondent’s point
of view. It can also be used to explore interesting areas for further investigation and
involves asking respondents open-ended questions and probing wherever essential
to obtain useful data (Patton, 1987). Although many research scholars have defined
interview as a technique of data collection, this is mainly used in qualitative research
and is grounded in interpretivism, a philosophical position closely associated with
how the social world is understood, interpreted, experienced, or produced. Qual-
itative research aims to produce rounded understandings based on contextual and
detailed data in the form of holistic analysis that can be obtained by using in-depth
interviews (Mason, 1996).

Objectives of In-Depth Interview

An in-depth interview is a technique of data collection in qualitative research that

allows a person-to-person conversation between a respondent and a trained inter-
viewer. An in-depth interview is called an open-ended discussion and discovery-
oriented method that involves the administration of interviews with a small number
of respondents. The main objective of an in-depth interview is to discover the perspec-
tives on a particular situation, issue, and programme (Boyce & Neale, 2006). This
type of interview is often unstructured that guides the interviewer in encouraging
the respondents to talk about the topic of research interest. In other words, this
method is used to explore and understand the respondent’s behaviours in terms of
his/her point of view, feelings, and perspectives and also is a more suitable tech-
nique for describing a social phenomenon in detail. This interview technique is used
for asking questions and also for the systematic recording and documenting of the
responses concerned with extreme probing for deep meaning and understanding of
the responses. However, the basic objectives of an in-depth interview are as follows:
1. To understand beliefs, opinions, behaviour, and experience of respondents on a
particular subject.
2. To obtain contextualized and in-depth information about the research topic.
3. To collect detailed information on a topic of interest as a supplement to the data
gathered by using other methods (e.g., structured questionnaire).
350 Md. Golam Azam

4. To observe the situation of the respondents quickly and comprehensively and

collect additional information.
5. To generate deeper insights and concepts (not generalizable) related to the
research.
6. To extend the span of understanding about a social phenomenon under study.
7. To enrich the body of knowledge by adding new information to the research
issue.

Basic Characteristics of In-Depth Interview

Some basic characteristics differentiate an in-depth qualitative research interview

from a regular interview. The basic characteristics of the in-depth interview are as
follows:

Open-Ended Questions

In an in-depth interview, open-ended questions need to be worded in order that

the respondent cannot simply answer yes or no but elucidate the topic of the inter-
view well. Many open-ended questions begin with “why” or “how”, which gives the
respondent a free option to answer the questions openly by using their own words
that can be easily understood regardless of some differences between the interviewer
and respondent in terms of background and economic and social status.

Semi-structured Format

The semi-structured format is a commonly used interview technique that mainly

addresses the key themes rather than specific questions. In this interview, the inter-
viewer uses a checklist of topics or questions to be asked. In doing so, the interviewer
should have some pre-planned questions to ask the respondents during the interview.
The semi-structured interview is a more focused interview than the more general
unstructured one that allows the respondent a certain degree of flexibility to answer
the questions leading to the generation of themes and issues as they arise. While
conducting this interview, the interviewers do not insist the respondent on asking
specific questions in a specific order. Rather, they allow the natural flow of questions
based on the responses provided by the respondents.
24 In-Depth Case Interview 351

Conversational Nature

An in-depth interview facilitates having a deep understanding and interpretation

of the responses provided by the respondents. When the conversion takes place
between the interviewer and respondent, the role of the interviewer will be of a listener
primarily and smooth transitions from one topic to the next will exist there. But the
interviewer will try to interpret what he/she hears and also seek clear understanding
from the respondents during the interview.

Recording Responses

The responses provided by the respondent will be recorded with audiotape and
complemented with written notes by the interviewer. By and large, a written note
includes the observations of both verbal and non-verbal behaviours as they emerge in
natural situations and also immediate personal reflections about the interview topics.
Besides, in-depth interviews involve not only the questions asked but also systematic
recording and documenting of the responses for gaining an in-depth understanding
of the responses given by the respondents. The interviewer should record the views
and feelings of the interviewer that come out immediately after an interview.

Components of an In-Depth Interview

Rapport Building

Rapport building (a trust-based relation) is the ability to make interactional dynamics

between the interviewer and respondent that are positive, relaxed, and mutually
respectful. Through rapport building, the physical distance between interviewer and
respondent is removed, social and cultural barriers are reduced, and an open mutual
flow of ideas to and fro happens. In addition, respondents can talk freely about
the study topic when they feel comfortable in the presence of the interviewer, trust
them and feel secure about the confidentiality of responses provided, and do not feel
judged. In reality, rapport building requires engagement in the data collection process
by which the interviewer gets close to the respondents, situations, or phenomenon
being studied.
352 Md. Golam Azam

Use of Language (Words Choice)

During a conversation between interviewer and respondent, the words used by

them should be very simple, clearly understandable for both. Because, they may be
different in terms of education, socioeconomic status, geographical location, ideo-
logical beliefs, and cultural and religious identities. In an in-depth interview, the
understanding local language is very important for the interviewer so that he/she can
apprehend the actual meaning of what the respondents say on a particular issue.

Use of Body Language

The use of body language such as head nodding, leaning forward in an attentive
position, smiling, click, and verbal cues (“I see”, “really”) helps to show interest and
encouragement of the persons concerned in the interview process. In addition, regular
eye contact, handshake, soft voice, and sitting up straight contribute to developing
open and smooth verbal communication between the interviewer and respondent.
Consequently, the possibility of obtaining more in-depth qualitative data on multiple
subjective issues gets much higher.

Empathy

Empathy simply refers to the capacity of a person to understand and share the feelings
and experiences of another. In an in-depth interview, empathy denotes that the inter-
viewer can understand the responses, and he can identify the respondent’s context,
emotions, goals, and motivations at maximum level. So the interviewer should take
an empathetic stance while seeking a deep understanding of the respondent’s feel-
ings and emotions without judgement. He or she needs to show openness, sensitivity,
respect, awareness, and responsiveness to the respondents under study. And these
are very significant to encourage the respondents to speak freely and openly as well.

Open-Ended Questions

At the time of undertaking an in-depth interview, open-ended questions are often

asked by the interviewer that normally facilitates the emergence of descriptive or
narrative information from the respondents. It contributes to a great deal in extracting
deeper responses (answers) from the respondents about the topic being investigated.
And the open-ended, easy, and encouraging questions can help the interviewer to get
24 In-Depth Case Interview 353

natural and proper responses from the respondents, which contributes to attaining
research objectives.

Types of In-Depth Interview

The mode of an interview is generally determined by the objectives of an interview.

An in-depth interview varies from an informal conversation to a more formal inter-
view. But, based on the use of different methods to elicit information, an in-depth
interview as a data collection method may be classified into three categories such as
structured, semi-structured, and unstructured (non-directive). These types of in-depth
interviews are described below with a short description.

Semi-structured In-Depth Interview

A semi-structured in-depth interview is a common interview technique that follows

a framework to address key themes rather than specific questions. This type of inter-
view is a blend of structured and unstructured interviews where the questions are
pre-designed before the interview begins. In this interview, the interviewer gives
respondents the chance of explaining particular issues through open-ended ques-
tions. Besides, the interviewer does not prefer to use a structured format which
sometimes impedes the depth and richness of the responses (Bryman, 2008). While
conducting this interview, a checklist of topics or questions is needed that helps to get
more detailed information. In addition, the interviewer can use an interview guide
developed around the issues central to the research questions. And this guide encom-
passes a list of topics without fixed wording or fixed ordering of questions. This type
of interview is more focused than the more general and unstructured interview and
is used to gain focused qualitative textual data by a detailed examination.

Structured In-Depth Interview

A structured interview known as a focused interview is like a scheduled interview

that uses a detailed interview schedule (e.g., questionnaire). This type of interview is
a pre-planned interview where the interviewer writes down the interview questions
before undertaking the interview. This mode of the interview is an effective way to
keep the interview rightly focused on the target topics (Bryman, 2008). To conduct
the interview, the interviewer employs a list of specific standardized questions and
the respondent is asked the same questions in the same order. And close-ended
questions (e.g., Yes/No; scales) are asked to get answers from the respondent, and the
respondent chooses correct answers among several pre-set answers. But a structured
354 Md. Golam Azam

in-depth interview does not apply pre-coded answers. Instead, the questions to be
asked are developed as ‘open’ questions that encourage the respondent to talk at
some length about the specific topics of interest. Although this interview follows the
systematic use of a set of specific questions, it is not applied to collect responses
to specific questions that can be compared across the whole sample. Because the
responses are found as ‘subjective accounts’ rather than ‘objective answers’, the
structured in-depth interviewer does not require the use of the exact wording or the
exact sequence of questions (Merton et al., 1956).

Unstructured In-Depth Interview

An unstructured interview is sometimes called an open-ended interview or ethno-

graphic interview (Dornyei, 2007). This method of the interview does not follow
any pre-determined set of questions. Rather, the interviewer addresses the issues as
they emerge during the interview. This type of interview permits the respondents to
talk about what they think and observe is suitable and important. The respondents
are encouraged to talk freely about a particular topic that the interviewer feels inter-
ested in. But the interviewer must guide the conversation onto the areas of interest to
the research. This is similar to a conversation in which the interviewer might ask a
single question, and then, the respondent has the option as to what extent he/she will
respond (Bryman, 2008). The unstructured in-depth interview allows a more relaxed
atmosphere, in which the respondent can elaborate the phenomenon with flexibility
and openness leading to unpredictable directions.

Preparation for an In-Depth Interview

Before embarking on an in-depth interview, an interviewer needs to be well-prepared

with a good and constructive plan that may lead to the desired success of the interview.
In the execution of the plan in carrying out the interview, the interviewer should
determine and follow several prior steps systematically, which have been put forward
below:

Defining the Purpose of the Interview

Before conducting an interview, the interviewer has to determine what information

is required to be collected, because the information should be incorporated into the
overall research framework. And the information produced by the interviews needs
to be related to specific questions that the interviewer wants to answer. But the
respondents need to know why they participate in an interview. So clarification as to
24 In-Depth Case Interview 355

why the interview will be carried out should be made well to the respondents before
beginning the interview.

Making Structure of the Interview

A good structure is very important before conducting an interview. Due to the lack
of a structured format of the interview, an experienced and skilled interviewer may
not be able enough to conduct the interview systematically. So an in-depth interview
must need a good format and follow a systematic process. But the reality is that in
the hands of an inexperienced interviewer, objectives attained in an interview cannot
reach a satisfactory level because many important issues may be missed or interesting
data about the topic can be ignored.

Scripting the Interview

An in-depth interview requires a script (written text/responses to interview questions)

or protocol (instrument of inquiry) for gaining the desired outcome of an interview. In
the case of an effective interview, detailed questions should be prepared and reviewed
with the respondents in advance to ensure that all the issues to be explored have been
covered. If necessary, consultation with knowledgeable persons can be done that can
result in the successful collection of data. But a possible exception to using a script
in an interview may be especially with hostile or suspicious respondents. A casual
approach with this type of respondents may elicit information, but a more structured
interview may cause the respondents to conceal or omit the information needed to
collect.

Preparing the Respondent

The respondents have to be in a stable psychosomatic state and prepared for an in-
depth interview. Before beginning the interview, confirmation of time and place of
interview will be done, and a summary of the questions or a general outline of the
issues to be investigated will be reviewed in advance. Although the summary of the
questions may not be the full protocol that can be given to the respondent. But it
completely depends on the interviewer as a matter of his/her discretion. Moreover,
respondents may indeed be busy with their works, so the researcher should delimit the
role in such a way that the information can be obtained with the fullest cooperation
of the respondents. But the emphasis on the critical role of the respondents in terms
of their cooperation will be highly given so that the chance of getting available data
along with the assurance level of data confidentiality will be increased. In addition, the
356 Md. Golam Azam

respondents will be informed duly about how much time is required for completing
the interview.

The Process for Conducting an In-Depth Interview

An in-depth interview follows several general processes for its conducting which are
also pursued in other social research. Generally, a plan of conducting the in-depth
interview, preparation of instruments, identification and selection of respondents
(samples), collection and analysis of data, and dissemination of findings are major
steps in an in-depth interview process (Boyce & Neale, 2006). The details of the
in-depth interview process have been presented below in brief:

Plan of Conducting Interview

A good plan for successfully conducting an interview is very important. In particular,

identification of the respondents in terms of sample size (i.e., how many respondents
will be interviewed?), the pattern of data to be collected from the respondents, and a
definite time frame are to be planned systematically. If needed, additional respondents
can be identified and included in the sample during data collection thorough interview.

Preparation of Data Collection Instrument

The preparation of a suitable interview protocol and instrument is imperative for data
collection. An interview protocol is an instrument of inquiry that includes questions
to be asked for specific information related to the aims of a study (Patton, 2015).
This is also called an inquiry-based conversation regarding a particular topic (e.g.,
someone’s life or certain ideas and experiences). In other words, it is a set of questions
that facilitate semi-structured and open-ended interviews. An interview protocol
plays a significant role in guiding the administration of the interview. And interview
protocol and instrument are the instructions that are followed for each interview to
ensure consistency between interviews and increase the reliability of the findings.

Development of an Interview Guide

An interview guide is simply a list of questions or topics that the interviewer uses to
explore answers to the questions asked during the interview. Generally, it includes an
informed consent form and main questions of not more than 15 to guide the interview.
24 In-Depth Case Interview 357

Also, probes will be included where the interviewer thinks necessary and helpful.
When needed, translation of guides into local languages and test of the translation
will be done. As a result, it will contribute much to collecting substantial in-depth
information from the respondents.

Training for the Interviewer

The interviewer should be well-experienced and skilled in collecting data as much

authentic and reliable as possible. If the interviewer is inexperienced, he/she needs
to be made skilled and qualified by giving proper education and training so that
they can conduct the interview more effectively. If necessary, the interviewer can be
engaged in learning the local language. As a result, he/she can be able to speak the
local language well with the respondents. This is very essential because sometimes
misinterpretation or misunderstanding of some questions or words can make hurdles
to conducting a good interview that ultimately lead to the failure of the interviewer
to collect more authentic and reliable data from the respondents.

Collection of Data

An interview should be set up with the respondents by explaining the purpose of

the interview and the reason for choosing the respondents for the interview. During
conducting the interview, the time required for the interview, informed consent of
the respondents, and assurance to maintain the confidentiality of information will
be considered with high emphasis by the interviewer. Apart from that, the matter
of note-taking or tape recording will be sincerely described to the respondents and
note-taking will be done during data collection. This will facilitate the interviewer
to describe and summarize the information with maximum clarity. The above issues
help the respondents to be prepared in providing cooperation and information that
the interviewer normally expects for attaining the purpose of the interview.

Consent of the Interviewee

Before carrying out an interview, the interviewer has to get the consent of the inter-
viewee (respondent) in the participation of an interview. After having consent, the
interviewer can conduct a normal interview and make a summary of key data imme-
diately following the interview. Aside from that, the interviewer will verify the
authenticity of information delivered by the respondents, because the success of
the interviewer mostly relies on the collection of data as authentic and reliable as
possible.
358 Md. Golam Azam

Analysis of Data

While undertaking an interview, the interviewer needs to clarify data and develop
themes and ideas in the investigation. But the collected qualitative data kept as tape
recordings or editing accounts will be transcribed (making a written text of the
interviews) and reviewed by using a systematic process. In addition, all interview
data will be analysed (i.e., making sense of the information) based on themes or
patterns as they emerge, and the findings of the interview will be disseminated for
those institutions and people who are interested in getting knowledge and ideas about
the issues explored through the in-depth interview.

How is an In-Depth Case Interview Carried Out?

An in-depth interview is a data collection method that the interviewer uses to go

deeply into some aspects of the respondent’s feelings, motives, attitudes, and life
history. An in-depth interview is normally carried out face-to-face so that a rapport
between the interviewer and respondent is developed. This interview is directed
to get more details about the respondents under study. But effective use of this
interview largely depends on the knowledge and skill of the interviewer. During the
interview, body language is used to add a high level of understanding to the answers
to the questions asked by the interviewer. As in-depth interviews are not ‘neutral
social spaces’, the interviewer must be respectful and should maintain appropriate
boundaries at all times (Macdonald & Headlam, 1986).
However, an in-depth interview is more of a guided conversation carried out by
using a discussion guide that facilitates the flushing out of the respondent’s views,
opinions, and perceptions through open-ended questioning. This type of interview
is often applied in phenomenological research studies (i.e., case study research,
observational research) where researchers do not focus on the generalization of
findings (data), nor do they look for the cause-effect relationships between vari-
ables. Rather, they emphasize exploration and description of a phenomenon to gain
profound understanding as to the contexts being investigated.

Advantages and Disadvantages of In-Depth Case Interview

Advantages

An in-depth interview provides much more comprehensive information as compared

to other forms of data collection like surveys and questionnaires. As a qualitative
data collection method, an in-depth interview enables the interviewer to study the
behaviour, feelings, and perceptions of the respondents. It enables the interviewer
24 In-Depth Case Interview 359

to gain more extra knowledge, insight, and detailed understanding of a concept or

theme. But qualitative descriptions developed by in-depth interviews can play a vital
role in suggesting possible relationships, causes, effects, and dynamic processes. An
in-depth interview allows interviewers to understand a phenomenon deeply from a
conversation with the respondents. This can help the researcher to get at interpretive
perspective, that is, the connections and relationships a person (respondent) sees
between particular events, phenomena, and beliefs. However, some advantages and
disadvantages of an in-depth interview are described below:

Advantages of In-Depth Case Interview

There are a considerable number of advantages of using an in-depth interview. An in-

depth interview allows the respondents to share their opinions without bias from other
respondents. Generally, in-depth interviews are more flexible and cost-effective when
carried out face-to-face or over the telephone to gain deeper knowledge and insight
into specific objectives of the interview. This is the most useful form of primary
inquiry and is appropriate when detailed perceptions, opinions, and attitudes are
targeted to know. Also, in-depth interviews are particularly effective when the goal
is to gain sensitive feedback.

Rapport and Empathy

An in-depth interview requires a trust-based rapport between the respondent and

interviewer. Like a guided informal conversation, an in-depth interview is more
useful to make respondents feel comfortable than with the formal setting of a struc-
tured questionnaire. This interview usually provides openness, trust, and empathy
between the respondent and interviewer. The establishment of good rapport leads the
respondents to feel at ease that helps generate more detailed and insightful responses
regarding the topic of investigation. And the respondents become able to discuss
intimate and confidential issues without fear and hesitation because of rapport built
with trust and confidence.

Respondent-Led Interaction

An in-depth interview is an unstructured format of questioning. While conducting

an interview, the interviewer can listen to what the respondent says and even can
ask further questions based on what the respondents answer the questions asked
before. This type of interview allows the respondents to express and explain their
views in more detail than with a structured interview. As an in-depth interview is
two-way verbal communication, detailed information, giving emphasis typically on
the perspectives of respondents, is possible to get from the respondents.
360 Md. Golam Azam

Scope of Follow-Up

An in-depth interview allows the interviewers to gain a comprehensive understanding

of the phenomenon under study. This also provides the interviewer with a good
opportunity to ask follow-up questions and probe for obtaining additional informa-
tion. In-depth interviews contribute to generating a rich understanding of the attitudes,
perceptions, and motivations of respondents. In addition, this type of interview allows
the interviewer to check the responses provided by the respondents. If a respondent
cannot understand the meaning of a question, the interviewer can freely rephrase it or
ask follow-up questions to clarify aspects of answers that were not delivered before.

Scope of Monitoring Interview

As an in-depth interview is undertaken in a face-to-face interactional situation, the

interviewer can focus on body language and observe the changes in voice tone and
word choice to get a deep understanding of the respondent’s perspectives. In an
in-depth interview in natural settings, the body language and facial expressions of
the respondents are more clearly observed and understood. And this can help the
interviewer to identify, select the respondents, and also carry out the interview process
easier and faster. It also promotes a higher response rate than written questions. Even
it can permit clarification of questions asked in an interview and helps the use of
some stimulus materials and visual aids that support the whole interview process.

Scope of a Wider Exploration

An in-depth qualitative interview is a highly effective tool used to collect data in

qualitative research. Because the in-depth interview is an open-ended and discovery-
oriented method that helps the interviewer to explore the feelings and perspectives
of respondents on particular subjects. Furthermore, it ensures a higher possibility of
getting detailed background information and helps to create further questions relevant
to the topic of study. Also, this method provides suitable scope for the respondents
who are inclined to keep aloof from expressing their opinions publicly.

Quick Identification of Findings

An in-depth interview is a very insightful technique that facilitates the researchers

to identify the most valuable findings quickly and sometimes in the first interview.
Besides, an in-depth interviewer does not require numerous respondents to gather
useful data and procure significant insights about the respondents’ perspectives. This
kind of interview is of particular benefit to the researcher as he/she prepares a quali-
tative research report with the study findings (i.e., knowledge, information, and new
insights).
24 In-Depth Case Interview 361

Disadvantages of In-Depth Case Interview

The effective in-depth interview can work as a powerful technique for gathering
authentic information from the respondents. But if the interview is not conducted
and handled carefully, it can be a source of bias that results in distorting the flow of
communication. Although an in-depth interview has some advantages in collecting
in-depth information, there are some significant limitations and pitfalls of using
this method in qualitative data collection. The main disadvantages of the in-depth
interview are described in the following manner:

Costly Approach

An in-depth interview can be a bit more costly compared to other methods used in
data collection. Although a large volume of qualitative data can be gathered through
an in-depth interview, they are considered expensive to collect and also to analyse.
Even the issue of collecting quality data is of significant concern in the study. While
using an in-depth interview as the way of gathering data, interviewers must demon-
strate that the purpose of the study is to uncover and describe the perspectives of
respondents on particular events. So the collection of detailed information through
in-depth interviews needs a substantial amount of money and resource.

Issue of Time-Consuming

The conduct of an in-depth interview is a time-consuming process that requires

careful and systematic planning. Some planning issues are the development of inter-
view structure, style, setting, and recording of the data. So an in-depth interview
requires more time because of its detailed nature of questions and responses. More-
over, identification and selection of the respondents and collection and analysis of
qualitative data take a prolonged time. Along with these, an in-depth interview needs
to be transcribed, organized, analysed, and reported by providing answers to specific
research questions. It sometimes requires extra time, especially while an interviewer
tries to go deeply into some aspects of the respondent’s feelings, motives, attitudes,
life history, and so on. Collection, analysis, and interpretation of qualitative data
require a considerable length of time for the investigators who want to get in-depth
information from the respondents.

Bias in an In-Depth Interview

An in-depth interview is a less standardized form of an interview that relies more

on the questioning style and choice of subject matter. As a result, the interviewer
362 Md. Golam Azam

may introduce his/her personal biases into the interviewing process. And the inter-
viewer may make judgements based on his/her preconceived ideas instead of uncov-
ering the character or real personality traits of the respondents. Both interviewer and
respondent cannot be fully free of bias because of their different pattern of beliefs,
attitudes, values, and perceptions. In particular, subjective matters relating to feel-
ings, ideologies, beliefs, perceptions, and perspectives may undermine the strength
of authenticity and consistency of data collected. As a collection of detailed data is
largely based on the prior experiences of the interviewer, bias in selecting the respon-
dents, designing data collection, developing instruments, and conducting interviews
may be affected by the interviewer’s personal bias. Also, due to interviewer bias, the
reliability of data collected by unstructured interviews may be impaired. This can
take place when the values of the interviewer interfere with the results produced by
the interview. On the contrary, the respondent may also provide biased or unreliable
information. Even the respondent’s desire for having incentives to take part in an
interview may cloud the objectivity of the interview.

Inconsistency an In-Depth Interview

When an interview involves personal interaction, effective cooperation between inter-

viewer and respondent is of high significance. During an interview, respondents
sometimes may be unwilling or feel uncomfortable to share those issues that the
interviewer expects to explore. On the other hand, the interviewer may not ask those
questions that evoke long narratives from respondents due to the lack of expertise in
the interview or sound familiarity with the local language that the respondent uses.
Besides, the interviewer may not properly understand the responses to the questions
or elements of the conversation. Sometimes, respondents may have a good reason
not to be considered truthful while providing information (Douglas, 1976). All these
matters can lead to inconsistency in the entire process of the interview.

Lack of Interpersonal Skills and Training

To conduct an in-depth interview fruitfully, the interviewer needs to be more qualified

so that he/she can collect insightful information and prevent some data loss. But many
interviewers do not possess some interpersonal skills required to conduct unstruc-
tured interviews. In that case, proper training may be needed for the interviewer
who can undertake unstructured interviews with responsibility, patience, and moti-
vation. Moreover, the interviewer needs some useful skills such as an adaptation to
different personalities and emotional states, rapport building with trustful behaviour,
and culture-specific styles by emphasizing the respondent’s perspectives. Sometimes,
some special skills become essential to elicit effective and reliable data from the
special respondents. If the interviewer is not adequately knowledgeable, experienced,
24 In-Depth Case Interview 363

and skilful, the entire process of an interview can be of little or no success. In partic-
ular, an inexperienced interviewer may be unable to keep the questions properly
focused on the issues that may provide the right information.

Problem of Generalization

The problem of reliability or validity is a major criticism in an in-depth interview.

As qualitative (non-numerical) data are subjective, it is difficult to apply conven-
tional standards for measuring the reliability and validity of data. Data collected
by using qualitative methods are mostly subjective and qualitative (i.e., opinions,
feelings, views, perceptions) and are also thought of as rich in description of partic-
ipants, places, and conversations. But these data are not easily handled by statistical
procedures. In addition, the contexts, situations, events, and interactions cannot be
replicated to any extent and the generalization of findings (data) cannot be made
to a wider context as well. The establishment of generalizable knowledge (results)
is not possible especially due to the small sample size, non-random sampling, and
the subjective nature of data. Moreover, accusations of the unreliability of data are
very common in qualitative studies because different results may be achieved on a
different day or with different participants (people).

Conclusions

In conclusion, it can be stated that in-depth interview is being extensively used in

social research and is considered a powerful tool in collecting qualitative data. An
in-depth interview is a useful method which the researchers use to collect qualita-
tive data from the respondents that lead to the generation of intensive knowledge
about the topic under investigation. Generally speaking, an in-depth interview is
very significant to unfold opinions, experiences, values, and other relevant issues of
the respondents. According to some research scholars, an interview is always goal-
oriented and predominantly used for formulating hypotheses or theory building as
opposed to hypothesis testing. It helps the researcher to know the views and ideas
of the respondents taking part in a research study. However, the researchers who
are so much interested in using this method for data collection need to be famil-
iarized with the techniques of data collection from going through the literature of
research methods, followed by gaining hands-on experiences about the techniques.
Furthermore, they should acquire better ideas as to the factors that inevitably affect
the interview process in different situations or with different persons. In fine, it can
be said that to make a success of the in-depth interview, researcher or interviewer
should be very much systematic, expert, conscious, and sensitive to all the issues
concerned with the entire interview process.
364 Md. Golam Azam

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Chapter 25
Observation

Shekh Farid

Abstract This chapter discusses ‘observation’ as a data collection method in social

research. Observation is considered to be a scientific one when it serves a partic-
ular research objective, is systematically planned and recorded, and is subjected to
check its validity and reliability. While using this method, the researcher may actively
participate in the group being studied or be a detached emissary from the group, he
may use precision instruments prepared in advance or be flexible, and he may also
observe in a controlled environment or a natural setting. The greatest advantage of
using this method is that it allows researchers to collect data through participating
in observed phenomena when they occur. But, the method may not be truly objec-
tive since the observed data are inevitably filtered through the interpretive lens of
the observer. Hence, the researcher requires to be more cautious in selecting the
approach to observation and recording the observed phenomena. However, obser-
vation has become a widely used method in social sciences, mostly in the study of
human behaviour.

Keywords Observation · Social research · Participant observation · Data

collection · Social sciences

Introduction

In everyday life, we constantly observe the things we see around us. Many of our
behaviours, attitudes, and beliefs are formed by the way we observe things, events,
and phenomena. Many of the discoveries and inventions in the modern world are,
therefore, the results of the observation of scientists. Apart from being a regular
activity of our daily life, observation has become a scientific tool of obtaining facts
regarding what is going on around us. One of the most important steps of any social
investigation is the collection of data either from primary or secondary sources
through different methods. Observation is proclaimed to be one of the methods of

S. Farid (B)
Bangladesh Bureau of Statistics (BBS), Dhaka, Bangladesh
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 365
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_25
366 S. Farid

gathering data from primary sources. However, observation in our ordinary life is not
similar to the observation used in scientific inquiry as the latter is done in a concerted
way with a specific aim and is recorded and interpreted systematically to yield valid
and reliable data. Observation takes different forms depending on the nature of the
information sought and participants to be observed. It is widely used in behavioural
sciences along with physical and natural sciences. Observation has some advantages
over other methods of collecting data. While employing this method, researchers can
observe, record, and analyse the events, actions, and behaviour of individuals and
groups in a natural setting, allowing them to generate more theoretical and concep-
tual accounts (Smith, 2009). It has some limitations as well, for it largely depends on
the interpretative lens and the ability of the observer to understand the fact. There-
fore, the observation researcher needs to have some specific qualities which may not
seem to be obvious while using other methods. This section aims to discuss ‘obser-
vation’ as a direct method of collection of data in social research. After analysing
the conceptual framework of observation, it highlights some widely used types and
tools of observation. Moreover, it also discusses when and why we use the method in
a social investigation and the qualities needed for an observation researcher. Finally,
it looks at the advantages and limitations of using this method for obtaining research
data.

Meanings and Definitions of Observation

We use the term ‘observation’ in our ordinary life when we watch something keenly
and consciously. Observation is simply taken as watching phenomena, behaviour, or
things with a specific purpose. The dictionary definitions of the term also denote so.
Macmillan Dictionary defines ‘observation’ as “the process of watching someone
or something carefully, in order to find something out”. The Oxford Dictionary also
looks at ‘observation’ as “the action or process of closely observing or monitoring
something or someone”. It also views the term as “a statement based on something one
has seen, heard and noticed”. While Macmillan Dictionary emphasizes ‘watching’,
the latter uses the term ‘monitoring’ as synonymous with observation and includes
‘hearing’ in its process. The Concise Oxford Dictionary, however, includes the term
‘noting’ while defining ‘observation’. It denotes it as “accurate watching and noting
of phenomena as they occur in nature concerning cause and effect or mutual rela-
tionship”. In social research, observation is used in a much wider sense. As noted by
Payne and Payne (2004), “observation in a strict sense of simply watching people is
little used in social research (except as an unobtrusive method) both because human
behaviour is too complex to record in this way, and because it isolates researchers
from what is being studied, so preventing participation or deeper exploration of
understandings through conversation or interview” (Payne & Payne, 2004).
Observation is different from watching or seeing; whereas watching is merely an
eye affair, observation is more than an eye affair. Authors on social research empha-
sized more on developing and discussing techniques for observational methods rather
25 Observation 367

than giving a precise definition of ‘observation’. Even, some authors defined it from
the narrower sense including only the visual aspect in the process. Young and Schmid
(1984) define observation as “systematic viewing, coupled with consideration of the
seen phenomena, in which main consideration must be given to the larger unit of
activity, by which the specific observed phenomena occurred”. Their definition lacks
wider acceptance as it emphasizes only ‘viewing’, though it includes ‘consideration’
as an important aspect in observation. To be precise, observation, as a primary method
of data collection in social research, does not confine itself to visual data collection;
rather, it includes the collection of data through other senses (i.e., smelling, taste,
touching, hearing, feeling) and, most importantly, through using one’s capacity to
realize the fact. Involving a much wider aspect, the term has been defined by Walliman
(2006), who viewed observation as “records, usually of events, situations or things,
of what you have experienced with your senses, perhaps with the help of an instru-
ment (e.g., camera, tape recorder, microscope, etc.)”. This definition emphasizes
recording of sensory experience with the help of instruments but lacks clarity on its
very nature to be ‘systematic’ and ‘purposeful’. Keeping all these into consideration,
we define ‘observation’ as a systematic method of collecting primary data through
purposeful and accurate sensation, consideration, and recording of things, behaviour,
and phenomena. We use the term ‘purposeful’ to differentiate it from the ordinary
process of watching and ‘accurate’ to put pressure only on the collection of reliable
data. Using ‘sensation’, we mean the collection of data through sensory experiences.
The observer, at first, perceives the phenomena, behaviour, or things through sense
organs and then considers over what he perceives and recognizes the facts by drawing
upon his experiences, skills, and thoughts. It essentially includes noting down and
recording the observed phenomena as they come to the observer’s perception as facts
or evidence for research. The whole process will be systematic, not haphazard. In
social research, it is thought to be a scientific one only when it is deliberately done,
serves a specific purpose of research, and is recorded and presented in a systematic
manner keeping in view its reliability and validity as a scientific method. There-
fore, our definition of ‘observation’ necessarily includes the following features: (i)
it is a method of collecting primary data in research, (ii) it collects data through
sensory experience to serve specific research objective, (iii) the process is coupled
with consideration over what is experienced through using sense organs, (iv) the
whole process is deliberately done and recorded systemically, and (v) the observed
facts are subjected to check the validity and reliability. Whereas other methods, inter-
view and focus group discussions (FGDs), for example, obtain information through
direct talk with the persons, in observation the investigator gathers facts by observing
the phenomena and recording what he observes. While observing behaviours of the
human being, a researcher is likely to find out what the person does rather than what
he says he does.
368 S. Farid

Types of Observation

Observational methods vary depending on the nature of data, and persons, behaviour,
and phenomena to be observed. Authors on social research mainly categorized obser-
vation into participant and non-participant types (see, e.g., Crano et al., 2002; Flick,
2009; Howitt & Cramer, 2011; Payne & Payne, 2004; Walliman, 2006; Yin, 2011)
depending on the level of involvement of the researcher and into structured and
relatively unstructured observation (see, e.g., Crano et al., 2002; Howitt & Cramer,
2011; Payne & Payne, 2004; Poster, 2006) based on the use of formal and precision
instruments in observation. Some authors also mentioned two other kinds of obser-
vation—controlled and non-controlled (see, e.g., Kothari, 2010; Smith, 2009). We
broadly discuss scientific observation into the following types:

Structured and Relatively Unstructured Observation

Observation may either be a structured or relatively unstructured one. When inves-

tigators observe the phenomena by defining in advance the categories under which
the information is to be collected and recorded, the way of recording, the condition
of observation, and the unit to be observed, we call it ‘structured observation’. The
coding system is very common in this type of research which allows the researcher
to focus on a very limited and explicit portion of behaviours (Crano et al., 2002).
Structured observation is more appropriate to use in a descriptive study. The essential
characteristic of more structured observation is that the categories to be used in obser-
vation, what to be observed, and how the instances of behaviour are to be assigned to
the categories are specified clearly before data collection begins (Poster, 2006). These
are done by the use of data collection tools—like observational protocol and field
notes. A researcher, for example, while using the structured observational methods to
know the behaviour pattern of the juvenile delinquents in a correctional setting, can
best proceed on by developing an observational protocol categorizing which aspects
of behaviour he is willing to study, such as mode, way of talking, body language,
overt behaviour, and emotion. Many researchers developed structured systems to
observe the behaviour of different groups.
Observation may also be a relatively unstructured one. It is quite adverse to the
structured observational method. Whereas in structured observation, unit of observa-
tion, categorization of information, condition of observation, and mode of recording
are clearly defined in advance, in relatively unstructured observation, there is no
prepared guideline on what and how to be observed and recorded. We call it rela-
tively unstructured observation as a completely unstructured observation may not be
a scientific one, for, observation, in a true sense, becomes scientifically meaningful
only when it is done in a concerted and systematic manner. In relatively unstruc-
tured observation, no hard and fast rules are laid down as the investigator does not
25 Observation 369

know in advance which aspect would be more relevant to his study and his realiza-
tion about the problem might also change over time during observation. Unstruc-
tured observation is employed mostly in the exploratory study and when we want to
develop the hypothesis to be tested by further study. An investigator, for instance,
may use relatively unstructured observation to know the situation of prisoners and
draw hypotheses based on data yielded by the use of the technique. The methods are
sometimes seen as lacking objectivity than structured observation, because without
having a clear theoretical framework, the research may not be able to observe and
record the behaviours or phenomena in a reliable and repeatable way (Jupp, 2006).
He describes this type of observation as ‘casual’ or ‘informal’ observation.

Controlled and Non-controlled Observation

While using observational methods in social research, we also talk about two other
types—controlled and non-controlled observation. Controlled observation is charac-
terized by the use of pre-arranged precision (mechanical) instruments, standardized
conditions, and control over the phenomena or behaviour to be observed. Usually,
controlled observation takes place in a laboratory under controlled conditions (espe-
cially in experimental research), whereas non-controlled observation is employed
in exploratory research (Kothari, 2010). In controlled observation, the investigators
use standardized conditions (in addition to mechanical aids), select representative
samples, and make attempts to correct sampling errors to yield more scientifically
accurate data. As a precision instrument, the investigators utilize, wherever possible,
laboratory setup. They may also use a checklist, camera, sociometric scales, or maps.
The major pitfall of the use of controlled observation is that the persons to be observed
may not behave naturally in a controlled laboratory environment. We can use, for
example, controlled observation to observe the impact of play therapy on a group
of children and observe the behaviour of two groups, one of which (experimental
group) is brought under the therapy keeping the other group (non-controlled group)
out of the therapy.
Non-controlled observation is, in contrast, simple and devoid of all the instruments
and conditions used in controlled observation. When observation takes place in a
natural setting without having to use precision instruments and external interferences,
we term the way of observation as ‘non-controlled observation’. A researcher, for
example, is willing to know the situation of people living in extreme poverty in a
rural community, he should plan to observe their situation visiting the area. He does
not need to use any standardized condition and control over their behaviours and life
pattern.
370 S. Farid

Participant, Non-participant, and Disguised Observation

In participant observation, the investigator actively participates in the activities of

the people of his study so that he can experience what the people experience by
getting closer to them. He shares in, to a greater or lesser degree, and records the
life, behaviour, and activities of the people he is studying. Participant observation,
as defined by Jupp (2006), is a qualitative method of studying a social phenomenon,
whereby the researcher participates in the ordinary life of a social setting keeping in
the record of his observations and experiences. The researcher does not necessarily
carry out the same task the members of the group do, rather he participates and shares
in their activities so that he can closely look at and record their activities. Participant
observation is believed to be the most popular method for collecting field data in an
ethnographic study (Howitt & Cramer, 2011). Scientists also use it in the study of
sub-cultures (Flick, 2009). For instance, when an investigator is willing to know the
culture and behaviour of an ethnic community living in an isolated area, he can best
start by staying with them over time and participating in their activities. The main
pitfall of participant observation is that the investigator may lose his identity as an
observer and get biased while getting actively involved in the culture of the group.
Besides, the conscious behaviour of the people may hamper their naturalness. In
some cases, adopting participant observation methods is less preferred considering
the required time, resources, and security of the researcher.
In non-participant observation, the observer plays the role of a detached emissary
rather than getting actively involved in the group he is observing. The investigator
does not share in the activities of the people he is studying, rather he remains an
outsider of the group to observe and record the facts at the time they occur. Suppose,
a researcher is willing to know the health-seeking behaviour of people living in a
slum area, he may choose to visit the slum and observe their behaviours being a
non-participant observer instead of participating in their lives.
At times, the researcher may need to keep the people he is studying unaware of
his presence and identity intending to get the actual behaviour or phenomena taking
place in a natural setting. The investigator may also be unable to observe directly, or
the persons to be observed may not allow him to observe. In these cases, the inves-
tigator may choose to keep him in disguise and observe the behaviour keeping his
identity unknown to them. Hence, we talk of another kind of non-participant obser-
vation—disguised observation. In disguised observation, the researcher observes the
behaviour and phenomena in a way that his identity and presence remain unknown
to the observed people. You would have heard the story of king Harun ar-Rashid who
used to observe the situation of general people in disguise which is the best example
of disguised observation.
The researcher may assume diverse roles depending on the degree to which he
participates in the activities of the group he is observing: the complete observer,
the observer-as-participant, the participant-as-observer, and the complete participant
(Flick, 2009; Walliman, 2006). As a ‘complete participant’, he participates actively
with the group, whereas as a ‘complete observer’, he plays the role of a detached
25 Observation 371

emissary and uses unobtrusive techniques. As an ‘observer-as-participant’, he mainly

plays the role of an observer with little participation in the activities of the group,
whereas as a ‘participant-as-observer’, he takes an active part in the events keeping
them aware of his identity and role. While discussing the types of observational
methods, it should be made clear that both participant and non-participant observation
could be either of controlled or the non-controlled type and also of structured or
partially structured one. Whatever approach to observation a researcher adopts, he
must do it systematically and maintain a record of what he is observing.

Recording and Use of Data Collection Tools in Observation

While employing observational methods, we use ‘observational protocol’ or ‘obser-

vation guide’ as data collection tools. An observational protocol includes both
descriptive notes (persons, events, and activities to be studied) and reflective notes
(perception, feelings, and thoughts of the researcher), as well as time, place, and date
of field setting of the study (Creswell & Creswell, 2018). In an ethnographic study, the
observation researcher also uses ‘field note’ as a data collection tool, which reduces
the just-observed persons, places, and events to written accounts (Emerson et al.,
2001). Bernard (2011) discussed four kinds of field notes to be used in the ethno-
graphic study: field jottings, a diary, a log, and field notes proper. Since note-taking
is inevitably a selective endeavour (given that researcher only notes what seems
significant to him), it is crucial to choose what to be recorded or ignored (Ciesielska
et al., 2018). Observation researchers also use the photograph or other audio-visual
recording devices to ensure a ‘complete record’ and take notes based on the record.
Recording of observed phenomena might be of two types: descriptive (recording
exactly what happened) and analytical (recording based on judgement and assump-
tion on what is observed). Codes—where observed actions and events are recorded
in the form of numbers and symbols—can be used to make the recording process
easier and record much data in a short period. Codes are used when observation
categories and things to be observed are explicit and known in advance (Sarantakos,
1998). In the case where spot recording or note-taking is not possible, the researcher
must record or take notes later based on his memory or recorded information.

When and Why Using Observation Method for Data

Collection

Although considerable studies were conducted within the artificial settings in the
laboratory, a growing number of investigations today aim at studying behaviour in
natural settings (Crano et al., 2002). Usually, we prefer to use observation when
we tend to know the natural behaviours that take place in a particular setting. For
372 S. Farid

instance, when a researcher aims to gather information regarding hospital negligence,

he must visit the area of his study and observe the behaviour of healthcare providers
taking place in the hospital. It is widely used in the ethnographic study and the study
of sub-cultures. Observational methods become inevitable when events, actions, or
circumstances are thought to be major sources of information (Bickman & Rog,
1998). Observational techniques are also employed where behaviour is repeated. In
some social inquiries, observation is inevitable for the collection of accurate data,
especially when researchers are likely to know the situation of a particular commu-
nity. A researcher, for example, while willing to know the reaction of a social group
towards some social stimuli, shall prefer to observe their reaction, rather than asking
questions on how they react towards the stimuli.
Usually, we use observational methods in qualitative studies. But, at times, obser-
vational studies can also refer to statistical studies (Yin, 2011). For example, we may
be likely to observe how many people enter into a religious institution and quantita-
tively express those observed data through the statistical formula. This quite happens
in experimental research. Observation can be used to acquire data pertinent to the
formulated hypothesis for it to be tested; it may also be used to have the insight to
formulate a hypothesis for an intended study. Sometimes, we are likely to study the
behaviour of some people who cannot express their feelings or give verbal reports
properly because of plain reasons—children and challenged persons for example.
Observation is particularly used in the study of non-verbal behaviour. Observation
may solely be used as a data collection technique; it may, however, also be used
as supplementary to other methods. Today, observation is widely used concurrently
with other data collection methods to supplement information from other sources
and give an in-depth picture of the phenomena.

Qualities of an Observation Researcher

In social sciences, observing the behaviour of the human being is not an easy task
since people do not very often behave the same way, even in the same circum-
stance. The success of observation research depends on the knowledge, skills,
training, beliefs, attitudes, and emotions of the researchers. Therefore, the obser-
vation researcher needs to possess some specific qualities to find out accurate data.
First of all, the observer should be objective and free from personal bias. His personal
beliefs, attitudes, and emotions should not enter into the observation process, and he
should record how things are rather than how he believes. In this regard, he must be
non-judgemental and able to record what he observes, mostly simultaneous events,
quickly and sharply, and choose only accurate data. This requires creativity and
skills in using shorthand-like symbols (Payne & Payne, 2004). Thus, an observa-
tion researcher needs to have good eyesight and the ability to understand reality.
Since observation depends on the sensory experiences of the observer, the observa-
tion researcher needs to be physically and mentally fit and able to use sense organs
to find out the facts. In some studies, observation largely relies on the memory of
25 Observation 373

the observer. Therefore, the observation researcher needs to be intelligent and have
a sharp memory. Previous experience in observation, the ability to get along with
others, and good knowledge of the subject to be studied are also of paramount impor-
tance (Sarantakos, 1998). Apart from these, a good observer is always goal-oriented
and able to pay close attention to the behaviours, things, or phenomena being studied.

Advantages and Limitations of Using Observation Method

Observation as a data collection method has some distinct advantages over other
methods. Sometimes, researchers aim to find out facts that cannot be collected
using other methods. Employing observational techniques is inevitable when the
behaviours, events, or phenomena require to be studied in the place they occur.
Perhaps, the greatest advantage of utilizing this method is that it allows the inves-
tigator to record the phenomena directly as they take place and the behaviour as it
happens, whereas other methods, interview and focus group discussions (FGDs), for
example, absolutely depend on participants’ ability and desire to expose the fact.
Another important advantage of using this method is that data gathered from other
sources can be checked and supplemented by the observational data (Poster, 2006).
We may use observational data to check and compare with the data found by using
other methods. We may also use observation as supplementary to other methods as it
does not impose any barrier to the simultaneous use of other methods. A researcher,
for example, intends to know if women are being empowered with the assets trans-
ferred to them through a project, he may collect information through face-to-face
interviews with them. In addition, he can use observational methods concurrently
with the interview, for investigation of the actual behaviour pattern of the women is
subjected to observing them. People, at times, express their attitudes, thoughts, and
feelings through non-verbal communication, such as facial expressions, movements,
and gestures (Neuman, 2007). Using observational methods is undoubtedly superior
to other methods in the study of these non-verbal behaviours. In addition to these, the
respondents may not be willing to cooperate with the interviewers. They may not be
able to speak for themselves and therefore cannot take part in interviews or question-
naires: mentally retarded persons, young children, babies, and animals are obvious
examples (Poster, 2006). Even, the interviewers may not be able to understand the
language of the respondents. In these cases, however, observational methods are
considered to be the best data collection methods. Using observational methods is
also advantageous when the real scenario of a social situation can be observed and
revealed only by the researchers themselves than by the respondents (Poster, 2006).
There are also some disadvantages of using observation as a data collection
method. Observation is not always truly objective as it relies on the observational
skills of researchers; even observation of the same phenomena or behaviour by two
observers will not always be the same. Apart from this, the researcher’s own beliefs,
values, prior knowledge, and perception may prejudice the process—from sensa-
tion and retention to perception. Hence, data found from the observation of two
374 S. Farid

observers cannot be compared easily and are difficult to check validity and relia-
bility. Another limitation of using this method is that people do not always behave
the same way even in the same circumstance. When people are being observed,
they may consciously or unconsciously change the way they behave, which may not
represent the actual account of how they behave in a natural setting (Poster, 2006).
There are also challenges with the procedure of observation. Recording exactly what
the researcher observes, remembering field notes, writing down quotes accurately in
the field notes, and keeping away from being overwhelmed with information remain
challenging (Creswell, 2007). On the other hand, observation can also be very time-
consuming and difficult when the activities, events, and behaviours are not constant—
the observer may require to wait so long for activities to happen or he may find it
difficult to record when so much happen at once (Walliman, 2006). Moreover, obser-
vational data are difficult to quantify and present statistically. Another limitation of
using the method is to define a role for the observers that will be more effective to
find out the accurate information (Flick, 2009). While using observational methods,
the researcher may also have difficulty in gaining entry into some situations or in
his phenomena of study (such as in the case of studying a powerful group). He may
also face difficulty in observing sensitive behaviour, and in many cases, he will not
be allowed to observe (e.g., sexual behaviour). Furthermore, observational methods
cannot be used in case of irregular or sudden events, like a disaster, and in case of
events that happened in the past. Despite the limitations of using observation, it is
a widely used and inevitable (in some cases) method of acquiring facts in social
research.

Conclusions

The success of a social investigation largely depends on the use of an effective and
suitable method of gathering research data. Observation is an important method of
gaining primary facts in social research through sensory experience (i.e., watching,
hearing, smelling, tasting, feeling, etc.). For observational methods to be scientifi-
cally meaningful, the data obtained through sensory experience should be recorded
systematically so that they can be subsequently analysed for research purpose and
their validity and reliability can be ensured. Observation may be used as the only
method of data collection in a particular study; it might also be used to gather supple-
mentary data that would interpret and qualify or add value to the findings obtained by
using other methods. Observation is advantageous over the other methods because it
allows researchers to observe the events or phenomena in the environment in which
they occur. However, while using observational methods, the researcher needs to
select the approach to be used and mode of recording carefully.
25 Observation 375

References

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(5th ed.). AltaMira Press.
Bickman, L., & Rog, D. J. (1998). Handbook of applied social research methods. Sage Publications
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Ciesielska, M., Boström, K. W., & Öhlander, M. (2018). Observation methods. In M. Ciesielska &
D. Jemielniak (Eds.), Qualitative methodologies in organization studies (pp. 33–52). Palgrave
Macmillan.
Crano, W. D., Brewer, M. B., & Lac, A. (2002). Principles and methods of social research (2nd
ed.). Lawrence Erlbaum Associates, Publishers.
Creswell, J. W. (2007). Qualitative inquiry and research design: Choosing among five approaches
(2nd ed.). Sage Publications.
Creswell, J. W., & Creswell, J. D. (2018). Research design : Qualitative, quantitative, and mixed
methods approaches (5th ed.). Sage.
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Coffey, S. Delamont, J. Lofland, & L. Lofland (Eds.), Handbook of ethnography (pp. 351–368).
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Howitt, D., & Cramer, D. (2011). Introduction to research methods in psychology (3rd ed.). Pearson
Educaion Limited.
Jupp, V. (2006). The sage dictionary of social research methods. Sage Publications.
Kothari, C. R. (2010). Research methodology: Methods and techniques. New Age International (P)
Limited, Publishers.
Neuman, W. (2007). Basics of social researh: Quantitativa and qualitative approaches (2nd ed.).
Pearson education Inc.
Payne, G., & Payne, J. (2004). Key concepts in social research. Sage Publications.
Poster, P. (2006). Observational research. In R. Sapsford & V. Jupp (Eds.), Data collection and
analysis (2nd ed., pp. 57–72). Sage Publications.
Sarantakos, S. (1998). Social research (2nd ed.). Palgrave.
Smith, R. (2009). Doing social work research. Open University Press.
Walliman, N. (2006). Social research methods. Sage Publications.
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Inc.
Chapter 26
Focus Group Discussion

Niaz Ahmed Khan and Shireen Abedin

Abstract This chapter provides a short description of the focus group discussion
- an important data collection method in qualitative research. The chapter begins with
a quote from a focus group discussion that helps in understanding the essence of the
technique with a description of how and where it is done. The chapter discusses the
moderator’s role in the focus group discussion with his/her key qualifications. The
discussion includes the rationale when this method is used in qualitative research.
The chapter then narrates the steps of conducting a focus group discussion with a
brief template. It also provides some practical tips on how to conduct a successful
focus group discussion. Towards the end of this chapter, there is a section that details
the pros and cons of focus group discussion.

Keyword Social research · Qualitative research · Moderator’s role · Group

discussion · Focus group discussion

An Introduction to the Focus Group Method

Faruq: Being able to earn money is empowerment.

Aliya: Empowerment is when girls are allowed to make their own decisions.
Researcher: What’s empowerment?
Hasan: When an older person respects your opinions and feelings.
Dola: When your parents treat you just like your brothers and give you the same
things.
Meghla: When boys and girls are treated as equals.
The above quotes are from a focus group discussion session with young
Bangladeshi adolescents aged between eleven and nineteen in a slum located in
Banani, Dhaka, Bangladesh. The study was conducted as part of research to gauge

N. A. Khan (B)
Department of Development Studies, University of Dhaka, Dhaka, Bangladesh
e-mail: [email protected]
S. Abedin
E2E Research & Consultancy, Dhaka, Bangladesh

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 377
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_26
378 N. A. Khan and S. Abedin

and understand how adolescent development and empowerment are interlinked, inter-
preted, and given meaning to by adolescents in Bangladesh. The findings of the study
show that adolescents’ comprehension of empowerment and development are formed
through multiple forms of social processes which in turn determine the corresponding
responses to these concepts. The methodology used for data collection was focus
group discussion. Thus, from the above-mentioned quote, it is visible that using the
focus group methodology offers researchers an opportunity to listen to people and
learn from them.
The use of focus groups as a tool to gather qualitative information dates back
to the period before World War II. In 1926, Emory Bogardus made the first use of
group interviews in his social psychological research to develop a social distance
scale (Wilkinson, 2004). Sociologist Robert Merton’s first introduction focus group
methodology was in the years following World War II, and eventually, in 1956 he
wrote a book titled The Focused Interview. Since the 1950s, while focus groups have
become a common methodology used by marketers, it was not until the 1980s that
focus groups were rediscovered by social scientists. Despite sociologists calling this
technique “group interviews”, these were essentially what we know today as ‘focus
group discussions’.

The Nature and Characteristics of Focus Group Discussions

What is an FGD?
At the simplest level, a focus group is an informal discussion among a group of
selected individuals about a particular topic (Wilkinson, 2004). A focus group is
a form of qualitative research, in which a group of (usually homogenous) people
are asked about their perceptions, opinions, beliefs, and attitudes towards a product,
service, concept, advertisement, idea, or packaging. The sessions are conducted in
an interactive and engaging setting where participants are free to talk with other
group members. One of the key defining features of focus groups is that it is a group
of individuals having some common interest or characteristics, who are brought
together by a moderator, who uses the group and its interaction (among members
and with the moderator) as a way to gain information about a specific issue. Focus
group discussions are perceived and practised within the spirit of total participation
of all involved during the session.
How is it done?
Methodologically, focus group discussions involve a group of 8–12 people who come
from similar social and cultural backgrounds or who have similar experiences or
concerns, but are usually unrelated to each other. While groups containing fewer than
8 individuals are often unlikely to create or facilitate the impetus and group dynamics
necessary for a successful session, groups of more than 12 participants may feel over-
crowded and may not be conducive to a cohesive and natural discussion (Dachler,
26 Focus Group Discussion 379

1997; Fern, 1982). Participants for a focus group discussion session are selected in
a manner that they have certain characteristics in common (such as socioeconomic
status, demographics, and lifestyle factors) that relate to the main issue/topic under
consideration for the focus group. They need to go through a careful screening process
to meet certain criteria, such as they should have had adequate exposure or experi-
ence with, and/or understanding of the concept/issue/product being discussed. These
participants are then brought together in a convenient and comfortable setting to chat
on a specific issue with the help of an experienced moderator, where they engage in an
interactive dialogue. It is important to note that commonality among group members
avoids interactions and conflicts among group members on side issues (Nelson &
Frontczak, 1988). Thus, a female focus group should not bring together young adoles-
cents, young mothers, and elderly women because their lifestyles and situations are
significantly different. Moreover, it is important to consider the social and cultural
environment and framework of where the focus groups are being conducted. For
instance, in Bangladesh, separate focus groups need to be conducted for males and
females, as mixing the two genders in a single discussion session would often yield
minimal to guarded to zero responses from the female participants.
Where is it done?
The physical setting of the focus group is another important feature that needs to
be considered. A relaxed, informal atmosphere is needed to ensure that the partici-
pants feel comfortable and are willing to respond spontaneously and openly. Typi-
cally, focus groups last between 1 and 2 h (may extend to three hours, in case of
extended sessions), and during this time, the moderator engages in rapport building
with the participants and examines, in-depth, their beliefs, feelings, ideas, opinions,
behaviours, attitudes, and knowledge regarding the topics that are part of the discus-
sion. Focus groups are usually held in central locations, such as the moderators’
homes or rented spaces. They are also invariably recorded, on videotapes and audio-
tapes, for later replay, transcription, and analysis. Audio recording of the sessions
is common in Bangladesh, as the costs of video recordings are significantly high.
An important point that should be noted is that participants should be informed
about the recording and should voluntarily agree to have their views and discus-
sions recorded. Frequently, clients or stakeholders (those involved with the research)
observe the session from purpose-built viewing facilities, such as a room nearby
using a one-way mirror, allowing the researcher or client to observe the discussion
and group dynamics without disturbing the discussion session in progress or making
their presence known that may influence the interactions.
Role of the moderator
The moderator plays a crucial role in determining the success or failure of the focus
group. Not only is the moderator responsible for establishing a connection with
the participants, probing for stimulating and extracting key insights, and keeping
the discussion moving forward; in many instances, the moderator also plays a key
role in the analysis and the interpretation of the data. Thus, the moderator must
have the necessary skills, experience, understanding and knowledge of the topic(s)
380 N. A. Khan and S. Abedin

that are to be discussed, and an in-depth grasp of the nature of group dynamics.
Some key qualifications of being an effective moderator include rapport building;
active listening; maintaining objectively and neutrality; flexibility; application of
probing techniques; showing respect and recognition; subject-specific knowledge;
enthusiasm; vibrance; and a sense of humour (Society of Sensory Professionals
(n.d.); Krueger & Casey, 2009; Malhotra, 2000). It is important to remember that
the objective of focus groups is not to reach an agreement on the issues/concepts
that have been discussed. Instead, the key purpose of focus groups is to facilitate and
elicit a variety of responses from the participants in the discussion, to gain a better
understanding of the attitudes, behaviour, opinions, or perceptions of participants
on the issues that have been discussed in the group discussion session. Simply put,
the main objective of the FGD is to acquire knowledge regarding a particular issue
or concept. Some focus group discussions on an issue are conducted with similar
types of participants to identify the trends and patterns in perceptions, behaviours,
attitudes, or opinions. Focus groups in social science research are used to gain an in-
depth understanding of the participants’ meanings, perceptions, and interpretations.
Meticulous, detailed, and methodical analyses of the discussions provide ideas and
insights as to how a programme, concept, good/product, service/facility, creative
ideas/advertisements, or opportunity is perceived by the group.

When to Use FGDs?

The main purpose of a focus group is to gather insights and information about people’s
perceptions, opinions, beliefs, thoughts, and attitudes and not to come to a consensus
or even make a decision (decisions will be made on the analyses of the discussions and
not during the discussion). As such, there are particular situations and cases, when
FGDs are a better tool for data collection than others (cf. Shamdasani, 1990). First,
FGDs may be particularly relevant for ‘exploratory’ nature of investigations; this
essentially refers to any investigation that is directed towards gauging perceptions,
thoughts, opinions, beliefs, attitudes, knowledge, behaviours, and motivations about
a particular issue. The exploration could also be into topics of which very little to
nothing is known, for example, an enquiry towards understanding ways in which
cultural meanings and importance are attributed to specific rituals followed by an
indigenous community in particular contextual setting. Second, FGDs become useful
when a research study aims to assess and identify the needs for a programme, service,
or policy before introducing them on the scale, for example, to assess the needs and
requirements of starting a suicide helpline in Bangladesh or to assess and analyse an
already existing child protection programme in the local cultural context of a rural
village in Bangladesh. In the same vein, FGDs can be used for investigations that
seek to obtain feedback and opinions on a programme, idea, service, or policy after
introduction, for example, to collect information and feedback on the introduction
by the Bangladesh Government of the mandatory age of marriage to be 18 years
old. In doing so, FGDs may also serve as a useful tool in bridging research and
26 Focus Group Discussion 381

policy. They can be used to provide insights into different opinions among different
groups involved in the change process, thus enabling the process to be better and
effectively managed. There is another important use of FGDs in the context of policy,
programme, and services; this involves providing direction and relevant information
for developing appropriate materials and messages for various interventions. For
example, FGDs can help programme managers in determining the right messages
and stimuli to use for communication interventions in Bangladeshi primary schools.
Third, some steps and methods of research may especially benefit from the use of
FGDs. In the context of a mixed-method study, for example, FGDs can be used
to generate and explore research questions. Mixed-method studies may effectively
deploy FGDs in conjunction with other tools and techniques with the aim of helping
in the examination and explanation of people’s actual thoughts, feelings, opinions,
beliefs, and perceptions. FGDs can also be used as a precursor to the later phases of a
study; in other words, feedback from the FGDs can help to fine-tune the language and
direction of questions to be used in a questionnaire. The other related use of FGDs
involves social surveys—especially in the context of collecting information about
pertinent and related questions or terminology to be included in a written survey.
For example, in a study on adolescent development, it is important to assess what
participants understand by empowerment and how they see it in light of existing
norms in society for adolescent boys and girls.

Steps in Conducting Focus Group Discussions

The essential steps to be followed in conducting focus group discussions are as

follows:
Planning
1. The process of conducting focus group discussions starts with an examination
into and determination of the objectives to be achieved by the research project.
Close and detailed scrutiny of the general and specific objectives of the research
is done, which leads to the identification of the most appropriate tool(s) to address
the objectives.
2. Once it has been determined that focus groups are to be conducted either stand-
alone or in conjunction with other tools, it is important to carefully list down a
comprehensive and exhaustive list of purpose and objectives for the focus groups.
This may simply be a list or guideline of questions that the researcher wants to
be answered through the focus groups.
3. The number of FGDs to be conducted needs to be determined based on the scope
of the research project. This would mean evaluating the information required, area
coverage under consideration, and the budget and time available for the study.
For example, more group discussions may be needed to explore the reasons for
the higher prevalence of early marriage in rural areas vs urban communities
in Bangladesh, vis-à-vis a simpler goal of identifying and distinguishing the
382 N. A. Khan and S. Abedin

terminology and words people use to refer to family planning for developing a
questionnaire.
A quote that perfectly suits focus groups:
“The task, is not to contemplate what no one has yet contemplated, but to
think like no one has meditated what everyone has before him”, Schopenhauer.
Implementing
4. Then a questionnaire is developed to screen the potential participants, as per
the requirements of the research project. Typical information obtained from the
screening questionnaires is standard socioeconomic and demographic details,
behaviour, attitudes and knowledge regarding a product or service or concept,
and previous participation in focus groups (if any). A general rule of thumb is
the more similar the study population in terms of social characteristics, the fewer
groups that will be needed. As the number of distinct target subgroups increases
in the study population, the need for a larger number of FGDs arises. For example,
groups comprising only doctors should be run separately from those composed
of pharmacists.
5. A detailed discussion guide for use by the moderator during the focus group
discussions needs to be created. This is done through a series of broad discussions
between the client, researcher, and moderator. As it is the moderator who will be
in control of the discussion session and is responsible for driving the discussion
towards addressing the research objectives, s/he must have an adequate under-
standing of the nature and purpose of the research, its objectives, and how the
gathered findings and insights will be used. The typical sections of a discussion
guideline consist of the following sections (Jordan Civil Society Program, 2012):
• Introduction or ice-breaking section: starts with the moderator greeting
the participants, introducing him/herself, presenting the general issue under
discussion, and asking the participants to introduce themselves.
• Introductory questions: are also often called warm-up questions and these
set the tone of discussion and help participants get over their uneasiness.
• Transition questions: move the session from the introductory phase to the
specific topic of interest to be researched. These questions are important as
they set the tone and direction of the group discussion and also make people
understand the specific issues that they will be talking about throughout the
discussion session.
• In-depth questions: located in the middle of the discussion guide, these
require participants to express their viewpoints and opinions towards the issues
that are being discussed. The core purpose of the FGDs is answered in this
section.
• Closure: these are the final questions (usually one or two) that create an oppor-
tunity for participants to clarify positions they made earlier in the discussion.
The moderator finally thanks the participants and requests comments/feedback
on the session.
26 Focus Group Discussion 383

6. The group discussion is then conducted in a facilitating environment, and the

sessions are recorded (audio and/or video) with consent from the participants.
Analysis
7. Once the group discussion is over, comes the most critical part of the focus
group discussion process, which is managing and analysing the data produced
by the discussion sessions. Both good data and excellent research design would
be of no use, if not analysed correctly and communicated clearly to the client. The
recorded discussion sessions and notes taken (by either a co-moderator or a note-
taker) are transcribed into specific information areas, and the contents are then
analysed by researchers or data analysts. It is the analyst’s responsibility to report
specific comments verbatim and findings, while looking for consistent responses,
new ideas, and concerns voiced and suggested by body language and/or facial
expressions (if video recording is available).
Reporting the Findings
8. Focus group discussions are a technique used to collect data for qualitative
research. As such, the reports of findings based on focus groups should not be
presented with frequencies or statistics because ‘counting’ misleads readers in
thinking that these findings are true for a much wider population, which is not the
case. One should always remember that focus groups are not representative, but
rather atypical. Once the data collected through the group discussions have been
analysed, the final report, typically including expressions such as “most partici-
pants thought” or “participants were divided on this issue”, is then submitted to
the client or the commissioning authority. The report could be in the form of an
oral presentation, written narrative (question-based and presented in the form of
a ‘story’) or thematic (organized by issues and themes covered in the discussion)
reports, or in the form of PowerPoint presentations.

Practical Tips for Conducting FGDs

1. Planning is the most important phase of conducting a focus group discussion.

The amount of time and effort put into the planning phase is an important
determinant of the quality of results obtained from the group discussions. This
includes things such as identifying the purpose of the study, detailing out the
objectives of the FGDs, deciding on the appropriate parameters to be used for
recruitment, drafting and finalizing the contents and flow of the discussion guide
that will be used by the moderator, and choosing the appropriate moderator with
the adequate level of understanding of the issue to be discussed in the FGDs.
2. Recruitment: Identify information-rich target audiences. To ensure that the
right people are recruited, the moderator (and researcher) needs to be actively
involved in managing the recruitment process. Care should be taken to exclude
people who have already participated in numerous focus groups, especially
384 N. A. Khan and S. Abedin

within the past six months. Such so-called professional respondents are unchar-
acteristic of the segment that the research wants to study, and their participation
often leads to serious concerns of validation and appropriateness (Kahan, 1996).
Another important point to remember is that while recruiting group partici-
pants do not tell them what the topic of the research is though you may mention
the general issue; this is to avoid biases in responses during the discussion
from those participants who (may) do some prior research which negatively
influences findings, before coming for the group discussions.
3. The right number of FGDs: It is also imperative to decide on the appropriate
number of focus groups to be conducted. One useful strategy is to conduct
as many FGDs as are necessary to provide an adequate answer to the study
questions.
4. Group Size: Smaller groups are better; try to aim for a maximum of 10 partic-
ipants. Also, care should be taken that groups are not conducted with too few
participants as this will hamper the dynamics of group discussion (Dachler,
1997).
5. Discussion Guide: Testing is the key to a sound discussion guide. Always check
the discussion guide with colleagues to check the formulation, the content, and
the meaning of the questions.
6. Never prejudge the participants based on physical appearance. In countries
like Bangladesh, the majority of the participants in focus groups for social
research belong to the lower socioeconomic classes. As such, it is important to
remember that the appearance of the participants has no relation to the value of
their perspectives.
7. Moderator Skills: The moderator’s role is to facilitate the discussion in the
focus group. A good moderator should be friendly with the participants and be
able to engage people and draw their responses out in a group environment,
listen well, know when and what to probe, interpret the results of the sessions,
and communicate those effectively to the clients. As a moderator, one should:
• Maintain eye contact with all participants to make everyone feel important
• Encourage and ensure participation from all group participants.
• Always write down the profile of the group on your notes to avoid later
confusions
• Try to avoid “selective listening”, by focusing on points that support an
already established perspective.
• Avoid using jargon while conducting the discussions and talk in simple,
layman’s language that the participants can easily understand.
• Avoid panicking when faced with difficult or unanticipated questions or
participants who may try to take control of the group.
• Avoid asking leading questions as well as expressing your own opinions and
judgments.
8. Coordination: For the group discussion to be successful in yielding the required
findings, there should be proper and regular coordination between the client and
the moderator, starting from deciding on the focus group objectives to deciding
26 Focus Group Discussion 385

on the participant profile to providing inputs to the discussion guide and external
stimuli to be used in group sessions.
9. Time Management: This is a crucial aspect of effective focus groups. Usually,
focus groups last for 60–90 min, and as such, it is important to define a tentative
time for each question as well as the entire session. Ideally, there should not be
more than 12–15 questions in a focus group session—as exceeding this would
mean too many questions are being asked, thereby leading to loss of focus.
10. Notetakers: should prepare a shortcode for some words and names to make
the note-taking easier as well as create a code with the moderator to be in sync
with each other as the discussion progresses. Notes should be written neatly and
legibly to ensure future reference during the transcription and analysis phase.
11. Consent: ensure that you have proper permission to conduct the FGD (elders,
parents, caretakers, etc.) and also obtain participant consent to record the FDG
sessions.
12. Report Writing: Good writing skills, clear organization, and inclusion of care-
fully selected direct quotes from participants will make the report exciting and
insightful to readers. A seasoned and experienced moderator will provide to
a client objective conclusions based on the particular results and consequent
interpretation of the research, irrespective of what the client wants to hear. As
such, honesty in interpreting and reporting findings is essential to the focus
groups being successful in achieving their objectives.

Advantages and Limitations of Focus Group Discussions

Focus groups are an effective means of collecting qualitative information. In compar-

ison with the other qualitative data collection tools (such as observations and inter-
views), focus groups provide access to forms of data that are not obtained easily.
Compared to observations, focus groups allow the researcher an opportunity to
observe a significantly large amount of interaction on a topic within a limited period,
provided the researcher can efficiently gather and conduct the focus group sessions.
Vis-à-vis interview techniques, focus groups facilitate the observation of interac-
tion within a group of people on a particular topic. Through these interactive group
sessions, the degree of similarities or differences in the participants’ opinions and
experiences can be gauged much more clearly and quickly.
Focus group discussions, when done properly, not only yield rich and detailed
information and deep insights compared to other data collection methods, but they
also do so within a comparatively short period. When properly carried out, a focus
group creates a supportive and facilitating environment that makes participants
comfortable and willing to answer and respond to critical queries in their own words,
expressing their honest emotions and thought. While surveys are good for collecting
information about people’s attributes, attitudes, choices, likes, and dislikes, they can
only provide numerical findings in the form of rankings or preferences. But, if and
386 N. A. Khan and S. Abedin

when one needs a deeper and more meaningful exploration, among a homogenous
group of people, then focus group discussions are an efficient solution.
Focus groups offer several advantages over other data collection techniques, and
these are summarized below:
1. Compared to individual responses gathered through surveys and individual
interviews, FGDs provide a more diverse range of information, insight, and
ideas, as several people in a group come together and discuss or deliberate on
(a) particular issue(s).
2. The very nature of group interviews facilitates a greater diversity and spon-
taneity of responses, as one person’s comment/observation triggers a chain
reaction from the other participants.
3. In group discussions, once the rapport has been built, participants willingly
express their ideas and share their feelings as the general level of excitement
and engagement over the topic increases in the group.
4. The homogenous nature of the groups makes participants feel comfortable and
at ease in sharing their ideas and feelings with others, as the others as similar
to them.
5. Since group discussions encourage and facilitate spontaneous interaction and
engagement, participants are not required to answer specific questions on an
individual basis. As such, their responses are spontaneous and unconventional,
therefore providing an accurate idea of their views and opinions.
6. Unconventional and unanticipated ideas are more likely to materialize and be
expressed in a group discussion than in an individual interview. The researcher
can also get information from non-verbal cues, such as facial expressions or
body language of the participants at different points in the discussion.
7. As the groups involve simultaneous engagement and involvement of some
participants, it is essential to use highly trained moderators, who are usually
expensive but crucial to the success of the group discussions.
8. Group discussions can either be observed in real time by clients or parties
invested in the research or be recorded for later viewing by both clients and
researchers to draw insights and findings.
9. As the discussions are guided by a guideline and not a structured/numerical
questionnaire, there is flexibility in the topics covered and the depth with which
they are treated, facilitating the free flow and more in-depth exploration of
information.
10. In group discussion sessions, the data collection and analysis processes proceed
relatively quickly, as some individuals are interviewed at the same time. Results
are also easier to understand than complicated statistical data.
However, just like all other tools of data collection, focus groups also have some
innate disadvantages, which may be summarized as follows:
1. If not analysed properly, then focus groups run the risk of being misused and
abused by considering the findings to be conclusive instead of exploratory in
nature.
26 Focus Group Discussion 387

2. Unlike other tools of data collection, there is a greater risk of client and researcher
biases in focus group discussions. Furthermore, as the results of focus groups are
often interpreted subjectively, the results can be more easily misinterpreted than
the results of other data collection techniques.
3. The quality of the focus group discussion results depends heavily on the skills and
experience of the moderator. Though the moderator can control the discussion,
the extent to which s/he can control the discussion depends on his/her experience.
Inexperienced moderators may face problems in controlling some participants
who try to dominate the group or lead the discussion away from the main topic
under contemplation.
4. Focus group data tend to be chaotic and messy. The unstructured nature of the
responses makes coding, data analysis, and interpretation difficult.
5. Care should be taken to remember that focus group results are not representative
of the general population due to small sample sizes and heterogeneity of the
population and hence cannot be generalized or projected onto a larger population.
Consequently, focus group results should not be the sole basis for decision-
making.

References

Dachler, H. P. (1997). Qualitative methods in organizational research: A practical guide. In C.

Cassell & G. Symon (Eds.), Organizational studies (pp. 709–724). SAGE.
Fern, E. F. (1982, February 19). The use of focus groups for idea generation: The effects of group
size, aqquaintanceship, and moderator on response quantity and quality. Journal of Marketing
Research, 1–13.
Jordan Civil Society Program. (2012). Developing the discussion guide. In A step-by-step guide to
focus group research for non-governmental organizations (pp. 39–40). USAID.
Kahan, H. (1996, October). A professional opinion. American Demographics (Tools Supplement),
14–19.
Krueger, R. A., & Casey, M. (2009). Focus groups: A practical guide for applied research. SAGE.
Malhotra, N. K. (2000). In N. K. Malhotra (Ed.), Marketing research—An applied orientation
(p. 150). Prentice Hall International (UK).
Nelson, J. E., & Frontczak, N. (1988). How acquaintanceship and analyst can influence focus group
results. Journal of Advertising, 17, 41–48.
Shamdasani, D. W. (1990). Focus groups: Theory and practices. SAGE.
Wilkinson, S. (2004). Focus groups: A feminist method. In S. Hesse-Biber & M. Yaiser (Eds.),
Feminist perspectives on social research (pp. 271–295). Oxford University Press.
Chapter 27
Key Informants’ Interviews

Salma Akhter

Abstract This chapter provides a short description of the key informant interview
(KII), an important data collection method in qualitative research. Then, the chapter
explains the suitability of this method in qualitative research. The chapter discusses
the selection process of key informants with the roles of researcher and interviewer.
The chapter gives important guidelines of the steps to conduct KII. The chapter
also provides some guidelines about the data process, data presentation, and data
analysis strategies of KII. The chapter ends with a description of the advantages and
disadvantages of KII.

Keywords Social research; Qualitative research; Interview; Key informants

Definition of Key Informant Interview

The term key informant is usually associated with qualitative research. Key infor-
mant interview is interviewing knowledgeable persons as an important part of the
method of investigation (Blackwell Encyclopaedia of Sociology, 2018). Key infor-
mant interviews are in-depth interviews to capture participants’ perspectives on the
research topic. KIIs include interviewing persons who can provide required infor-
mation, insights, and ideas, on a specific issue as an expert source of information
(Kumar, 1989). Key informant interview is a conversation between a trained inter-
viewer and an expert in his or her field, or a leader personality of the community.
KII is conducted to collect information from community leaders, professionals, or
residents who can give recommendations for solutions from their particular knowl-
edge and understanding (UCLA). KIIs have been used in programme evaluations
and needs assessments (Lavrakas, 2008). The key informant is a proxy for her or his
associates at the organization or group (Parsons, 2008). While studying an organiza-
tion, a key informant might be the person in a central position. Where the researcher

S. Akhter (B)
Department of Sociology, University of Dhaka, Dhaka 1000, Bangladesh
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 389
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_27
390 S. Akhter

cannot be a direct observer, and where the researcher does not understand the mean-
ings of behaviour, KIIs are helpful. Tremblay considers key informants as “natural
observers”, and Sjoberg and Nett describe them as “strategic informants” (cited in
Marshall, 1996).
Key informant interviews can be conducted by face-to-face interviews and by tele-
phone interviews. Face-to-face interviews are mostly used in social research. Face-to-
face KII creates a congenial atmosphere for both interviewer and key informants. As
face-to-face interviews are taken in a natural setting, the interviewer can sense of key
informants’ working environment or community situation. Face-to-face interviews
are suitable to capture non-verbal communication and the convenience of asking to
follow up and probing questions arising from a free-flow discussion. In case of time
limit or non-availability of high profile key informants, an Internet-based interview
can also be conducted. KIIs questions are open-ended as it requires capturing key
informants’ perceptions, experiences, and beliefs (Pact incl., 2014). Key informant
interviews follow a script or guide, which may include probing questions.

Suitability of Key Informant Interviews

Qualitative methods are increasingly being used in the social and policy sciences.
This came with the realization of the need for understanding naturalistic settings and
understanding context and the complexity of implementing social change (Shorrtell,
cited in Sofaer, 2002). Human interaction issues due to the fast-changing technologies
and increasing need are felt for well-timed assessment of systems with distributed
users in verifying circumstances (Pace, 2004). This led to the use of in-depth inter-
views in commercial usability and academic research (Adams & Cox, 2008). As
an exploratory method, key informant interview is suitable to use in planning and
evaluating extension programmes. ‘Key informant interviews help to get informa-
tion within a short time and thus keep the cost of data collection low, thus, known
as the “Rapid Appraisal Technique” (Marshall, 1996). Marshall states that the key
informant technique was originally used in the field of cultural anthropology; now, it
is used in sociology and psychology and medicine widely. Key informant is suitable
in various phases of development activities which include identification, planning,
implementation, and evaluation. It is useful for a planning activity which can affect
project design and also identify reasons for beneficiaries not using services of a
project’ (USAID, 1996). World Health Organization (2003) made use of KII in
health-related studies. Key informant interviews may be used in safety audits and
human rights monitoring (UN WOMEN, endvawnow.org).
Key informant interviews are suitable for providing information in a wide range of
situations. USAID (1996) lists situations where key informant interviews are useful
(cited in betterevaluation.org):
• Qualitative and descriptive information is needed for decision-making.
• Understanding of the perspectives.
27 Key Informants’ Interviews 391

• Generating recommendations.
• Identifying relevant issues before designing a quantitative study.
Kumar (1989) highlights the suitability of key informant interviews in the
following situations:
• To generate general information such as socioeconomic conditions of an area and
population composition. These sorts of data are essential in project or programme
planning and in doing evaluations.
• Planning effective interventions in an area by identifying attitudes and motivations
of a target population towards the issue.
• Provide information and insights for making a critical decision.
• Interpretation of quantitative data collected by other methods and other agencies.
• KIIs help define parameters of a quantitative study, the structure of questionnaires
in a survey.
• For generating specific recommendations.
UCLA indicates when it is suitable to conduct KII:
• To identify urgent issues or problems in a community by local experts.
• To apprehend the beliefs and motivation of local people on a specific issue.
• To gather data from persons with varied experiences and views.
• To talk on sensitive issues, capture the open conversation of informants on the
issue, and get comprehensive data.
For studies on complex issues, study questions need to be identified to be answered
by the Key Informant Interviews and to be answered by the surveys.

Selection of Key Informants

The researcher identifies appropriate groups from which small numbers of key infor-
mants are drawn based on the nature and scope of a study. According to Campbell and
Levine (1970), selection of key informants is not to identify cross-sectional represen-
tatives of the community but experts on certain aspects of community life who have
societal access to information (cited in Valadez and Bamberger, 1994). Regarding
the selection of key informants, Valadez and Bamberger (1994) emphasize the issue
of acceptability of them and suggest the use of a standard social science technique
“Sociogram”, by which researchers through systematic and unobtrusive observation
can construct a partial social network; can select the most communicated ones as
the key informants; ask individuals to list people of their social networks; and from
overlapping communication networks identify key informants.
The ideal characteristics of a key informant are willingness; knowledge; commu-
nicability; impartiality; credibility; and representativeness.

Role and Qualities of the Researcher and Interviewer

McKenna and Main (2013) focus on the specific role of the researcher as they cite
Minkler (2004) who considers that the utmost significant role of the researcher is theo-
retical and methodological expertise. They also look into the relationships between
392 S. Akhter

communities and researchers and quote Cornwell (2008) that action researchers must
consider the importance of nature of participants and reasons of participation and for
whose benefit. Thus, the selection of a key informant is crucial. Regarding the need
for the intuitive nature of the interviewer, Ritchie and Lewis (2003) consider “knowl-
edge as buried metal and the researcher as a miner who excavates the valued metal”
(Kvale, 1996: 3). Kvale (1996) outlines qualities and skills of the interviewer as
knowledgeable, gentle and tolerant, sensitive, open and flexible, critical but politely
challenge inconsistencies, able to remember, integrate, and should clarify and extend
meanings of the respondents’ statements without changing their meaning. According
to Narayanasamy (2009), interviewer should be an enthusiast in learning; sensitive to
moods of respondents; look for information and leads; seize upon them and follow;
create an atmosphere of confidence, trust, and enjoyment; facilitate an informa-
tion flow; allow cross-checking of information; and s/he should not feel superior to
participants; won’t hesitate to clear doubts; won’t take participants taken for granted;
won’t monopolize interview; shouldn’t follow a single track of pursuing something
that is of interest only to the interviewer; and shouldn’t misinterpret the information
collected. Familiarity with local cultural norms and behaviour and sensitivity to these
are a must for the interviewer.

Steps in conducting KII

UCLA provided the guideline for steps of conducting KII which is a standard
procedure.
• Determine what information is needed by reviewing existing data.
• Select target population and possible key informants.
• Prepare an interview tool.
• Decide documentation method.
• Identify designated interviewer(s).
• Take interviews.
• Compiling and organizing KII data.

Conducting Key Informant Interviews

Initial Contact and Approaching Key Informants

As initial contact is crucial to get access to key informants, interviewers must establish
rapport with them so that key informants trust the interviewer to express their views
and opinions. Rapport building needs attention on ‘image management’ (Meason
1985, Hammersley and Atkinson 1983, cited in Jones, 1993). Thakur (2005) empha-
sizes ensuring warmth and responsiveness, a permissive atmosphere, and freedom
from any kind of coercion. Meason (1985) cited in Jones, 1993) suggests using shared
interest to stimulate rapport. While approaching, key informants should be informed
that his/her responses are very important for the study. Where people are not willing
27 Key Informants’ Interviews 393

to be interviewed without approval by concerned officials particularly in government

and donor organizations, the interviewer needs to have a letter from higher officials
of those organizations. Interviewers usually make appointments with key informants
to ensure prior consent or indicate their willingness to come at the key informants’
convenience.
In moving away from a highly structured format, it is sometimes difficult to know
what approach to take to produce effective interview material (Burgess 1982, 1984,
cited in Jones, 1993). Interview guides are used to conduct KII incorporating topics
and issues to be covered. The key questions may be framed by the interviewer in
the course of interviews (Kumar, 1989). KIIs usually use unstructured questions
like these helps to explore fresh or sensitive topics comprehensively (Narayanasamy
2009).
Before beginning the interview, the interviewer should introduce himself; explain
the background and objective and purpose of the interview; people involved in the
process; reasons for and use of collected information; credibility for the interview;
the probable uses of the collected data, the benefit of the community by this study
(Kumar, 1989). The key informant should be assured of the confidentiality of infor-
mation provided by them. The atmosphere of an interview should be informal and
relaxed. If respondents are not comfortable, or there is a lack of privacy or is a
possibility of interference from outsiders, the interviewer should change the location
tactfully. Women interviewers may be preferred for interviewing women key infor-
mants for sensitiveness and privacy reasons. Kumar (1989) considers spontaneity of
participants may be less in the presence of programme officials and officials’ pres-
ence in a group can be intimidating for some key informants from low socioeconomic
strata (Kumar, 1989).

Presentation of Questions

Presentation of questions is very important in key informant interviews, wording

of questions, sequence of questions need attention. For KIIs, questions should be
phrased according to the local context. According to Kumar (1989), as key informant
interviews seek deeper meanings, in-depth descriptions, and thoughtful explanations,
questions are to be phrased to capture detailed information and avoid direct yes or no
answers which are done for formal surveys. Questions should be designed to capture
the key informant’s expertise and unique viewpoint.
The key informant questions, in general should be minimum; these questions
may have followed up complementary questions. Preparation of an interview guide
is needed for key informant interviews. An interviewer can break broad questions
down into simple and smaller ones. The unstructured nature of questions elicits
unanticipated and insightful replies from the respondents. Thus, researchers have a
proper understanding of people and subjects (Thakur, 2005). Key informant inter-
views do not use rigid questionnaires; the interviewer should list key issues of the
interview (USAID, 1996)’. The interviewer can start with a general conversation,
394 S. Akhter

descriptive information. USAID (1996) guidelines suggest starting KII with some
basic ‘ice-breaking questions’ to feel relaxed, for example: Tell me about your daily
activities. Although interviewers usually have some pre-planned questions, during
the interview they need to allow the natural flow of questions with probing ques-
tions. As respondents may not be comfortable with personal questions, interviewers
can start asking impersonal questions first and bring personal and intimate questions
later to have the least resistance from the respondents (Thakur, 2005). Kumar (1989)
suggests that questions that expose personal views and judgmental attitudes could
be asked in a favourable environment after trust is built. For example, in a study
on women’s micro-credit programmes, the interviewer can start with the history
of respondents’ participation in the programme and then bring the issues of effi-
ciency and effectiveness of such programmes on poverty alleviation and women’s
empowerment.
Interviewers should be extremely careful in phrasing such questions to avoid
making the key informant uncomfortable. In some cases, asking the same question
in another way is helpful (University of Illinois). An interview is more effective if
the interview is done through a natural conversation. Non-verbal communication
is important in such interviews. The interviewer should not ask confusing dubious
questions. The jargon and technical terms need to be minimized in KIIs except for
interviews with a technical expert (Kumar, 1989).
For studies that require time trend data, the interviewer can start with the current
situation and then move to queries about the past to capture the institutional memories.
Qualitative research often involves the reconstruction of events through probing
informants to think about the ways the sequences of events unfolded about a present
situation (Bryman, 2004).

Probing Questions

Probing encourages respondents to reflect more profoundly on the sense of their

remarks (UCLA). Probing questions help cross-check the accuracy of the level of
understanding of respondents (Thakur, 2005). However, Thakur (2005) warns that
probing questions should avoid creating the impression that the interviewer is doing
a cross-examination and should maintain a conversational manner. It is necessary to
do skilful probing for elaboration and clarifications of responses. When more details
are required, the interviewer can tell the informant—I am getting an idea, would you
please tell me more about it.
An interviewer would ensure that the key informants move from generalities to
specifics. When the respondent is unclear or incoherent, Kumar (1989) suggests
such comments clarify the situation: “Would you please repeat it?” While analysing,
narratives can illuminate how informants use language to convey particular meaning
and experiences (Punch, 2001).
27 Key Informants’ Interviews 395

Convincing Key Informants

If the informant does not give any opinions, the interviewer should find out the
reasons for the uncomfortable feelings of the informant and the interviewer should
assure the informant about confidentiality and privacy. In case key informant takes
a long time with an inappropriate answer, the interviewer should try to understand
whether there is any productive answer underneath; otherwise, the interviewer can
politely interrupt and proceed to a different topic courteously.
The relation between interviewer and interviewee is key in ensuring the quality of
the data (Measor 1985, cited in Jones, 1993). A neutral attitude, empathetic approach,
and familiarity with the issue but avoiding biases are expected from interviewers. In
an unfavourable situation when interviewers experience stubborn manners or silence
from the key informants, particularly in sensitive issues, the interviewer should deal
with them by realizing the reasons behind their behaviours. The interviewer can try
other topics or issues to make the informant more accommodating. If the interviewer
fails to convince the informant, another interview in a less formal, congenial atmo-
sphere and different location could be tried. Sometimes, informants who would be
negatively affected by the project may be aggressive but exceptional sources of infor-
mation in the assessment of some projects such as infrastructure projects, as their
responses would be helpful in planning and implementing resettlement and rehabil-
itation plans. If an informant continues to be non-responsive, non-cooperative, and
aggressive for long and the interviewer understands that there is no sign of changing
the informant’s attitude, the interviewer should terminate the interview.
Kumar (1989) considers that role-playing can help present sensitive questions. An
example of role-playing is in a study on gender inequality and harassment of women
workers in a workplace; interviewer can ask the informants—if I have been your
manager what would have you suggest to improve the workplace environment? He
suggests the interviewers’ consciousness of social, cultural, and political sensibilities
while using this technique (Kumar, 1989:15). The key informant should not control
any conversation.

Concluding Questions and Summary

Concluding questions are suitable to have additional information or comments from

the informants. An interviewer can request the informants for their suggestions in
these questions to improve a programme.
The interviewer can summarize the major comments of the interview and check
with the formants whether all the major points are covered. An interviewer can
ask informants if they like to add any additional comments. After completing the
396 S. Akhter

interviews, the interviewer should thank the informant for the time and valuable
comments and can send follow-up notes to thank the informants.

Interviewing Key Informants by a Team

KII is conducted by a team jointly in some project or programme evaluations. In
this case, a suitable procedure is developed for all members’ participation in asking
questions without intimidating the respondent and timely completion of an interview
with quality data. It can be done by designating one person as the primary interviewer
who after covering all the issues requests other team members for asking questions.
Alternatively, every member based on expertise is assigned specific topics or issues
within the allocated time.

Key Informant Interviews with Translators

While working in an area or population where the interviewer and key informant have
a language barrier, the involvement of a translator is needed. A major challenge with
using translators is some information is lost in the translation process particularly if
the interviewer is not familiar with the sociocultural context of the study population or
area. To minimize the risk of translators failing to translate the discussion accurately
and properly, the interviewer is expected to orient the translator on the scope of the
study. The interviewer needs to check that respondent’s comments are translated
carefully with the same phrasing.

Successful Communication in Key Informant Interviews

Communication is a key factor of a successful key informant interviews. For a

successful KII, the interviewer should take care of the following matters.
• Eye contact is very important in getting the full attention of the informants. The
interviewer has to take notes and follow the interview guide unobtrusively, without
disturbing the conversation.
• Orient informant the purpose of the interview and begin with non-controversial
topics.
• Inform key informant about the length of the interview and reschedule if the time
is not convenient for the key informant.
• Maintain privacy for ensuring the reliability of the information.
• Provide informant required time to reflect on sensitive questions.
• Listening carefully and repeating informants’ key points help summarize
responses.
• The interviewer should maintain neutrality about the informant’s views. The
interviewer should not use any non-verbal signs which indicate agreement or
disagreement of any comments of the key informant.
• Depersonalizing a sensitive subject such as criticisms on a programme.
• Ask informants for specific examples, incidents, events, activities, and useful
anecdotes to back up generalizations.
27 Key Informants’ Interviews 397

Special Care on Gender Issues

UN WOMEN emphasizes that the interviewer must be cautious in conducting inter-
views on violence against women. Ethical considerations should be of prime concern
in doing interviews with survivors of VAW (endvawnow.org). World Health Orga-
nization (2003) highlights the important ethical and safety considerations in inter-
viewing survivors of violence against women. WHO emphasizes the issues of -
assess the risks of the informant ; be attentive and respectful to every woman’s
self-assessment of own situation and risks; prepare referral information; provide
information on women’s native and local languages; ensure confidentiality; avoid
re-traumatize a survivor-woman or girl; advances of good practice, policies, inter-
ventions; preparation for emergency intervention in addition to common ethical
issues.

Recording Interviews

Key informant interviews can be documented by taking notes or recording conver-

sations.
Note-taking: Note-taking is crucial in interviewing key informants to ensure capturing
all information. As it is not like structured questions, the skill of note-taking can make
a huge difference in analysing data. Fetterman (1989) considers good notes as the
bricks and mortar of field research (cited in Neuman, 1997). The interviewers should
explain to informants about the inevitability of note-taking for proper recoding of
information ensuring not to miss any crucial information in data analysis and report
writing. Extensive note-taking is important as some information during the interview
may not be considered significant and may appear as important and relevant after
the interview. The interviewer can use abbreviations and codes to make note-taking
faster but, in this case, immediately after the interview needs to review the notes
and fill in the blanks to ensure all information are noted. The interviewers should
note the non-verbal behaviours of informants to be scrutinized more carefully during
analysing data. Respondent’s remarks may generate new ideas and insight for the
interviewer. Interviewers can also take notes of their impressions and insights about
informants’ responses.
In the interviews where conversations are recorded using a tape recorder, the
interviewer has to take detailed notes. This will be a safeguard for accessing data in
mechanical failure. This will also help capture the non-verbal manners of the infor-
mant. As making transcriptions of records of tapes is time-consuming and expensive,
written notes are time-saving. Also, written notes can be cross-checked with recorded
information for more reliability of the information.
Use of Tape Recorders: The use of tape recorders has become widespread in key
informant interviews in recent times. Recording ensures the authenticity of the inter-
view. If the interview is needed to be taped, the interviewer should take permission
of the key informant before the interview starts. Recording should be discontinued
398 S. Akhter

during an interview when the informant feels discomfort on any issue. While an inter-
view is taped, the interviewer can take notes without interrupting the conversation.
However, informants may become more formal while a conversation is recorded and
may avoid giving information of personal experiences and recording may make key
informants feel intimidated and reluctant to talk about sensitive issues.

Translation

The use of the same language for interviews and written notes helps to keep lucidity
and save time. Translating interviews is time-consuming. During translation, the
translator should be careful about not losing the detail of the conversation. If
not professionally and carefully done, some senses may be lost or misinterpreted
during translation. For verifying consistency, doing the record translated and then
retranslating it into the language of the interview can be done.

Online or Virtual Interview

Virtual interviews and discussions are getting more and more used in social research.
A virtual interview is interviewing using information and communication technolo-
gies (ICTs). The types of virtual interviews include structured, unstructured, and
semi-structured interviews. These also include in-depth interviews, focus groups, and
group interviews. Online interviews can save time for both interviewers and infor-
mants. This can be done for the high profile key informants. This is also suitable for
interviewing students and teachers online on and in group-based interviews. Burgess
considers “Information and Communications Technologies (ICTs) in universities
offer abundant prospects for qualitative research” (Burgess 1995, cited in Turney &
Pocknee, 2005).

Ethical Issues and Consent Form

Ethics is an integral part of research at all stages, from the formulation of the problem
to presenting results. The researcher’s integrity is crucial in social research, and
Collins argued that an important reason for increased reliance on quantitative methods
is due to lack of trust (cited in Neuman, 1997). In qualitative research, there is a
concern about the extent of researcher and informant relationships. According to
Richards and Schwartz (2002), anonymity and confidentiality are crucial ethical
issues in qualitative research. According to them, the term ‘confidentiality’ conveys
different meanings to researchers of various disciplines (cited in Sanjari et al., 2014).
Informed consent is an essential part of ethics in research in various areas. For
27 Key Informants’ Interviews 399

qualitative researchers, it is of the utmost importance to specify in advance which

data will be collected and how they are to be used (Hoeyer K, Dahlager L, Lynöe
N, 2005, cited in Sanjari, et al., 2014). The ethical conduct of qualitative research is
complex. This is evolving and a matter of continuing debate in qualitative research
(Preissle 1993).
Informed consent practices are developed on basis of national and global research
ethics guiding principles. Informed consent is used by qualitative research as part
of ethical consideration. This is a form that describes the research details, the risks,
and the benefits (Mack et al., 2005). For taking consent before the interview, the
interviewer will give the form to the informant and ask to sign the consent form for
literate people. The interviewer will read the consent form loudly to the informant
for obtaining consent for the illiterate or less literate population. After taking the
informant’s signature in the consent form, the interviewer will sign it. If it is required
the interviewer to take oral consent, the interviewer will sign the consent form for
documenting that the interviewer has taken consent from the informant. The consent
form always should list the contact information of officials for study in case of
informants have any questions (Mack et al., 2005). A consent form should be given
or sent before the interview to the informant for a telephone interview.

Analysing Key Informant Interview Data

The steps of data analysis of KIIs suggested by USAID and Kumar (1989) are as
follows:
Interview Summary Sheet:
A summary sheet is prepared on the key findings based on notes and information
into manageable themes. This is useful in analysing the interview.
Using Descriptive Code:
The researcher can use descriptive codes to indicate data to be in the proper cate-
gory. Relevant ideas, concepts, questions, or themes are coded. The advantage of
pre-coding saves time but coding after completion of the interviews helps identify
empirically relevant categories.
Presenting Data:
Data can be presented in visual presentations by using tables, boxes, and figures.
These summarize bulk data and show patterns or trends. This helps present the
essential results to key decision-makers and policymakers.
Reliability and Validity of Findings:
To increase the validity of findings, feedback can be obtained from a few key infor-
mants by sharing a summary or sharing major findings in a meeting or focus group.
400 S. Akhter

The key informants are allowed to question the findings and present their arguments
and thoughts (Kumar, 1989:32).
Report writing based on qualitative data has various forms. According to
Richardson one way is the ‘narrative of the self’, the researcher is free from a
goal of ‘getting it right’, and ‘relive the experiences’ (Richardson, 1994, cited in
Bailey, 2017). Richardson suggests that it will follow as ‘poems honour the speaker’s
pauses, repetitions, alliteration, narrative strategies, rhythms, and so on’. According
to Richardson, another way is classified as “mixed genres”; field researchers draw
upon “literary, artistic, and scientific”.

Examples of Key Informants:

• For assessing government’s programme’s impact, key informants will be govern-

ment officials at various levels from the national level to sub-districts.
• For impact assessment of government and development partners’ programmes at
local government, key informant would be Local Government Representatives at
different tiers of local government and government officials.
• For the Evaluation of the United Nations Development Assistance Framework
(UNDAF) for a country, key informants would be the Head of UN Agencies in
that country.
• For an education-related development intervention, key informants would be
education ministry officials, education officers at district and sub-district levels,
and teachers of the educational institutions.
• For health-related programmes, doctors and health officials would be key
informants.
• For community development programmes, community leaders, NGOs, govern-
ment officials, civil society, and Local Government Institutions’ representatives
would be key informants.

Advantages and Disadvantages of Key Informants’ Interview

The brief key points of KIIs are presented in Box 27.1

Advantages Disadvantages
Key informant interviews is based on Selecting the “right” key informants is
gathering data from well-informed persons crucial for ensuring representation of diverse
on the study issue, thus it provides insight backgrounds and viewpoints (UCLA).
that cannot be obtained with other method Selection biases due to non-familiarity with
Kumar (1989:3) the conditions of informants may happen
KII provides information on events, When quantitative or statistical data are
activities, or circumstances that explain needed to plan a project or monitor its
operational challenges advancement, KIIs cannot be used without
survey (Kumar 1989)
(continued)
27 Key Informants’ Interviews 401

(continued)
Advantages Disadvantages
Co-operation between interviewer and Interviewer’s biases based on preconceived
informants, ‘sharing reflection’ (Douglas, notions, giving priorities or credence to
1985) are features of KII elites’ views or respond more to ideas are
some issues of concern
KIIs’ flexibility allows exploration of fresh Difficult for busy and hard-to-reach
thoughts. The interviewer can pursue respondents
predesigned complex issue arisen from one Selection of most appropriate informants
KII with other key informants requires time
Skilful social scientists conduct KIIs When only a few people are interviewed,
validity of the findings could be difficult
KIIs are least expensive (Washington Quantification and generalization are
University) among the social science difficult from the information collected from
research methods. Save high cost of KII unless interviewing many key
printing, mailing of quantitative data informants is done
analysis
Get an insiders’ view through rapport/ trust Trust building is difficult being an outsider
building
Can provide in-depth information about Interviewer’s rapport with the informant
causes of the problem of any programme may affect the information provided by
and project. informant and obtained by interviewer
Allows interviewer to clarify ideas and Informants may give interviewer their own
information on continual basis impressions and biases
Can easily be used combining with other For some studies may have to be combined
qualitative and quantitative techniques and with other methods as achieving
methods. Ali et al. (2014) consider that KII representativeness of the total community is
technique could be useful to researchers difficult by using only KII
who face confusion in designing the
research and feel the need for experts’
views.
Allows researcher to obtain information Representative range of informants and the
from diverse (ages, ethnic, religious, perspectives of less visible community
education, community responsibilities) members may be overlooked in some
people and capture minority or “silent studies. Excluded community may feel
majority” viewpoints offended for being left out and may
intervene during interview
Researcher can build or strengthen The interviewer who is conducting a
relationships with key community nondirective interview needs to develop a
stakeholders ‘mode of discourse that is completely
foreign to ordinary conversation’ (Rogers
cited in Thakur, 2005)
Can promote consciousness, attention, and The researcher needs to be careful about Key
eagerness about an issue informant’s exaggeration about facts or
self-importance
(continued)
402 S. Akhter

(continued)
Advantages Disadvantages
Like other qualitative methods evoke The quality and nature of the information
culturally significant responses unexpected depends on interview guides, appropriately
for researcher (Mack et al. 2005) worded Questions, intelligent inquiries,
properly recorded responses, systematic
analysis, and adequately verified findings.
Otherwise poorly planned and implemented
KII can generate information of ‘dubious
value and low credibility’ (Kumar 1989)

Despite some limitations, the key informant interview is increasingly being used
in social research due to its flexibility and exploratory nature and providing quality
information within a short time with the least expenses compared to many other
methods.

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Chapter 28
Discourse Analysis

Lokasundari Vijaya Sankar

Abstract This chapter is an introduction to discourse analysis. Discourse analysis

is both a methodology and an approach to the analysis of discourse. It is a term used
for the examination and analysis of speech and writing, though other texts which
give meaning are included in the definition of discourse. The chapter outlines what
discourse analysis is; shows the importance of context and culture in this method of
analysis; outlines some common approaches to discourse analysis; and shows how
to design a study for discourse analysis.

Keywords Discourse analysis · Context · Culture · Power relations

Introduction

Discourse analysis (DA) examines patterns of the language within different texts. It
examines the contexts in which language is used. The term refers to language that
is used in written, spoken, sign language, or any kind of sign process like using
metaphors, analogies, and symbolism to create meaning. Therefore, discourse refers
to linguistic and non-linguistic communication.
Harris (1952) wanted to examine how linguistic and non-linguistic languages
interacted with one another and created meaning. The creation and study of meaning
is a very important concept in the study of discourse analysis because language can
be used in many ways depending on situations and contexts. These different styles
of using language are known as discourses.
The term ‘discourse analysis’ was first used by Zellig Harris in 1952 when
he examined the connections between speech and writing. He wanted to examine
how linguistic and non-linguistic languages interacted with one another and created
meaning. The creation and study of meaning is a very important concept in the
study of discourse analysis because language can be used in many ways depending

L. V. Sankar (B)
School of Communication, Taylor University, Subang Jaya, Malaysia
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 405
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_28
406 L. V. Sankar

on situations and contexts. These different styles of using language are known as
discourses.
Discourse analysis is a difficult concept to explain in just one interpretation
because of the evolving nature of its study. Researchers use the term in different ways
to interpret language and texts because technological innovations and the interdisci-
plinary role of discourse plays a large role in what constitutes text or language. Blom-
maert (2005), for instance, says that discourse means instances of communicative
action or meaningful symbolic behaviour while Johnstone (2008), says that commu-
nication can be in various types of media other than language such as ‘photography,
clothing, music, architecture, and dance’ (pg.3).
Foucoult (1972), on the other hand, thinks of discourse as examples of the larger
systems of thought that are prevalent within a particular historical location that makes
some things meaningful in thought and talk. Therefore, he feels that the thoughts
and processes that precede discourse such as ideologies about religion, medicine,
politics, power, and other aspects of daily living influence the way we think and act.
These larger systems that exist in particular periods guide and explain discourse.
While generally in language and linguistics, a text is studied for its linguistic
structure; in discourse analysis, the text is studied to reveal the social, psychological,
cultural, and other components that makeup people’s psyche in creating meaning
when saying (either vocally, in writing or by creating signs or photos and other
communicative events) in interpreting text and/or discourse.
Discourse analysis started as a part of the study of linguistics. However, it has
become an interdisciplinary study in contemporary times. From the 1960s, much
work has been done with discourse through the study of language at the word, clause,
or sentence level to provide an analysis of language as the text that is studied with the
social context providing a secondary background to language as can be seen in the
work of Prop (1958). Discourse analysis in its more modern form has moved on to the
study of language as it is used in a social context rather than language as text. Early
studies of discourse analysis were therefore situated in linguistics which primarily
studied the text with the context providing a background, whereas the current studies
of discourse analysis view language as a study of the context thereby making the
context an integral part of the analysis of language (Bhatia et al., 2008).
This evolution of the study of discourse from the study of language at the next
level to the study of language in use has its foundations in the insights derived from
sociology, psychology, communication, business, law, and a host of other disciplines.
These insights have been incorporated into the study of language so that language
used in academic, cultural, social, professional, and workplace settings (to name a
few) can be studied in context. The works of sociologists such as Goffman (1959)
and Garfinkel (1967) helped in this evolution of discourse analysis when they studied
the role of language in social behaviour while others such as Sapir and Whorf studied
language in anthropology (in Bhatia et al., 2008:2), thereby making discourse analysis
an interdisciplinary one.
28 Discourse Analysis 407

Cultural context is essential to the understanding of meaning because unless one

understands the culture that a person is from and the uniqueness of creating meaning
in that particular culture, the true meaning of discourse will be lost (Paltridge, 2012).
Language should be studied in very real situations where it occurs naturally so that
meaning is understood in authentic, real, and natural contexts.
Discourse analysis can therefore be a study of language at the next level, where we
look at the linguistic structures, for example, at the sentence level or the metaphors
used to convey meaning. Or it can be studied to see how language is used to achieve
certain aims or goals by participating in speech and other communicative acts or
taking part in communicative events to convey a certain meaning in a certain situation.
It is also a study of how people control, manage and manipulate communication
within their groups as well as how they communicate with groups outside their
social, cultural or national groups. Discourse analysis is also about how language is
used to communicate ideas and beliefs and how these are communicated beyond the
boundaries of language structures.

Common Approaches to Discourse Analysis

According to Schiffrin et al. (2003), DA can be broadly studied from three

perspectives:
i. Language Beyond the Sentence Level

Usually, the study of language and linguistics involves the study of grammatical
structures such as phonology, morphology, and syntax which analyses sentence-
level language details. DA studies beyond just one sentence and looks further into
the occurrence of more than just a sentence and could involve conversations held
between or among several people.
ii. Language in Use

DA can also study language in use which refers to the context in which language
is used. It could be the language between doctors, lawyers, friends, colleagues, etc.
The context of language refers to the geographical (which country), physical loca-
tion (coffee shop, business setting, hospital, etc.), the cultural (e.g., ethnic culture,
professional culture), and other dynamics that constitute context are also important
to this analysis.
iii. Social Practices in Use

This is an area that is evolving and is important in the study of DA. It involves the
study (besides language and other texts) of non-linguistic items used by the speaker
(such as the dress, the gestures used, items carried by the speaker such as hand-
phones and computing devices) and the understandings brought by the speakers to
408 L. V. Sankar

the conversation ( such as rules of society, thought, customs, and other known and
accepted practices).
Wetherell, Taylor, and Yates (cited in Hogan, 2013) state that the study of discourse
analysis has certain core traditions. It is a two-way process that does not exist on its
own and is both influenced by and influences other disciplines. Because of this nature
of discourse analysis, it examines spoken and written and other communicative texts
from different subjects like medicine, law, psychology, advertising, etc. and analyses
it from many different perspectives to examine race, gender, power relations, etc.
Scholars in DA such as state that DA can be either descriptive (as in linguistic
analysis) or critical (as in applied linguistics or political discourse) while Hodges
et al., (2008:571) suggest three different approaches to DA. The first approach is
based on empirical analysis of language such as written and/or spoken texts on the
uses of language in social settings (to discover social practices) such as conversation
analysis. The second approach is a formal linguistic analysis of texts (to discover the
meanings of text) such as sociolinguistics. The third and final approach analyses oral,
written, and other data/discourses (to discover the uses of texts in social settings) to
construct what is possible for people and institutions to think and say.
Three approaches mentioned by Hodges et al. (2008) are discussed below. An
additional fourth is added as it is an important method (Kress & van Leeuwen, 1996)
that combines different modes of communication (to include digital communication).
• Conversation Analysis
This approach started in the 1960s by Garfinkel (1967) and chiefly aims to interpret
how members of a common culture use their understanding of their culture to
act, interact and interpret in their daily lives. The analysis of such conversations
is to understand and document the competencies of the members of a cultural
group as they participate in conversations. In undertaking conversation analysis,
researchers try to understand patterns in social life by asking questions of why
certain words or phrases were used, the patterns observed in social practices such
as taking turns during conversation and understanding sequences in utterances.
With this type of analysis, rules or patterns of conversations that govern a cultural
group can be discovered.
• Ethnography of Communication (sociolinguistics)
Gumperz and Hymes (1991) introduced the term ethnography of communication
to explain how people of a common ethnic background use language to become
members of that group. A person’s ability to interact within a community by under-
standing nuances of the community’s practices is an example of communicative
competence.
• Critical Discourse Analysis (CDA)
This type of study looks into power and how it can be used in language to promote
it. For this, discourses are studied carefully to understand power relations espe-
cially in the study of gender, race and colour. While each CDA specialist has their
way of analysing discourse, all of them study the social structures that create and
maintain power (Jahedi et al., 2014).
28 Discourse Analysis 409

• Multimodal Discourse Analysis

In this method of discourse analysis, the text is seen as only one form of commu-
nication available for interacting socially with others. While most other forms
of discourse analysis emphasize the text itself, multimodal analysis of discourse
places emphasis on all the new electronic media that has taken the world by storm.
Kress and van Leeuwen (1996) who did much work on this approach took the
view that most interactions were governed by a single accepted mode of commu-
nication whether it was in music, art, or literature. However, this single form
of communication changed with the introduction of digital media. People have
different forms of expressing themselves in addition to text (such as sound, music,
and visuals etcetera). Also, the increasing multicultural landscape of countries,
technologies in transport, electronic communication, and the blurring boundaries
of countries globally have contributed to a new social and cultural landscape that
makes communication much more complicated than just the analysis of a text.
Multimodal analysis, according to Idema (2003), is the de-centring of language
as the principal mode of communication and moving towards a more complex
semiotic landscape that includes changes in social and cultural diversity.

How to Design a Study Using Discourse Analysis

As can be seen from the above, DA is an approach that can be used in several
disciplines either singly or together. The methods of analysis are also many as shown
above. The following design is a general one given for DA and not specific to any
one discipline.
1. Fix Your Topic and Read Relevant Literature
As in all scientific studies, it will be essential for you to ascertain the topic which
you wish to study and make every attempt to read all available sources to ensure that
you are familiar with work that has already been done in the field. For the study of
DA, choose topics that show how structures in social work. According to van Djik,
in his website ‘What do we mean by Discourse Analysis?’, these structures may
be structures of expression (such as sounds, images, movements, including those of
words, word order, or sentence structure), on the one hand, and structures of meaning
and (inter)action, on the other. (http://www.discourses.org/journals/das/whatisdiscou
rseanalysis/index.html).
Several genres can be explored under discourse analysis (such as discourse in
politics, the media, education, science, and business). These can then be studied about
context, power, interaction, and cognition so that prevailing structures of society can
be revealed through the analysis of the data being analysed.
2. Establish the Context
As stated earlier in this chapter, context is very important in discourse analysis;
therefore before reading and understanding literature, it is important to establish
410 L. V. Sankar

where the material originates from and how the literature will help you in the study
being planned. Establish what the social and historical context is and in which each
of the studies was produced. Make notations of important issues or information
arising from the readings: for example: what language was the source written in,
what country and place it is from, who wrote it (and when), and who published it
(and when). Ensure that you keep a good file of all your references so that you can
read them as many times as necessary.
3. Establish Background of Source Materials

In discourse analysis, the social, political, and cultural contexts are important. Conse-
quently, try and understand the philosophies and other contextual circumstances
surrounding the materials read. If you are reading historical documents, then you
need to try and gauge the mindset of the authors as well as their institutional and
personal backgrounds. If you are looking at journalistic material, newspaper articles,
and television productions, establish who the authors and the editorial staff are; what
the political position of the media house (that they work in) is and whether it has any
interesting affiliations to political parties. In many cases, media outlets themselves
provide some of this information online on their websites. Contact the editors and
find a way to explore their backgrounds thoroughly.
4. Establish the Medium of the Data Gathered
The next thing to do is to understand the medium in which the material that you are
working with is presented. Make sure to identify the different media types in which
your source appeared and also be clear about the version that you are analysing.
Newspaper articles can be different based on whether they are the print version or an
online version. An online version will have interactive media options which allow
for comments from readers, present links and other multimedia content. A print
version may be subject to a country’s media laws and may be framed differently
to make it family-friendly. Consider carefully whether additional photographs and
other visual media that accompany your data will have an impact on your analysis.
Another important consideration is the type of article being analysed. Is it a news
item, a report or interview, an editorial, a commentary, a letter to the editor or some
other form of writing? The background to the piece of writing will help to assess how
the author of the piece wrote it and for which audience it was written (Schneider,
2013).
5. Prepare Your Material for Analysis
Your next step is to get ready for analysing your data. You need to either work
with a digital copy or with a print copy. A print copy will allow you to place your
own marks/comments on features that you consider important. If you work with a
digitized copy, then you can prepare the data by numbering the lines so that you
work more scientifically and can identify any line in your data through a numbering
system.
The following table gives a general outline of the levels of analysis for interpreting
text for a discourse analysis (Table 28.1).
28 Discourse Analysis 411

Table 28.1 Level of analysis of discourse method

Level of analysis Clarifying questions Sub-steps
Level 1 How can the text be understood 1.Read the text
Understand and explicate the ‘normally’? carefully
main intention to study the text Can the statements (if spoken) be 2. Make first notes to
(written, spoken or other forms reworded or rephrased to mean clarify your questions
of discourse) for analysis something else? 3. Write down your first
What does the writer/speaker wish to impressions of the text
emphasise? How do you know this?
What is the intention of the
speaker/writer? How do you know
this?
What would be an acceptable
interpretation of this text? How
would you know this?
Level 2 What are contextual facts that might 3. Wherever
Understand and explicate the be bridged to a story in the discourse applicable—make
context surrounding this text transcript? Are there background secondary
Is there an historical or other factors known that notes—concerning the
organization/person(s) behind might be evoked through the text? context of the
the text creation? discourse/text
What is their background?
What social or political context
surrounds the text?
Level 3 What are the units in the 4. Read discourse/text
Categorise the text/discourse text related to the research again
following the research model. constructs/dimensions/components? 5. Give codes to every
What are the components or Are there text units that can be text unit based on the
dimensions of the model being categorised in more than one research model
used in the study? component or dimension? 6. Compile sets of
interpretive
accounts per
component, dimension
or construct (for
example, in tables)
Level 4 How can the dimension and the 7. Read the interpretive
Explicate the meanings research construct be understood as a accounts that you have
discovered in the whole? come up with
text/discourse How could the text accounts be 8. Label every unit of
estimated following the research analysis in line with the
intention, model, etc.? research intention,
depicting
the research construct
clearly
9. Extract a core
summary
(continued)
412 L. V. Sankar

Table 28.1 (continued)

Level of analysis Clarifying questions Sub-steps
Level 5 What can be said about the linguistic 10. Read the
Characterise the presentation in the units? interpretive accounts
linguistic features of Are there convincing arguments? per set of text/discourse
the text units Clearness? Vagueness? Transparency 11. Identify the
or other linguistic features? linguistic
presentation of every
unit
Level 6 What can be said about the relevancy 12. Identify the
Refine the components of every component for the noteworthiness
Extrapolate the dimension in the research model? of every text unit for
interpretations on to Are there dimensions that can be the particular
every component of a text restructured after a revision? component analysed
13. Identify the
significance of
every component for
the dimension
14. Refine the
structures of the
dimensions (unifying
some components,
eliminating others, etc.)
Level 7 What can be concluded about 15. Refine the research
Explicate the general significance of every dimension model according to the
relationships found in the about their placement in the theory insights discovered
model used for the study? during your analysis
Adapted from: Bondarouk and Ruël (2004:14)

6. Identify Cultural References

Context and culture are important aspects of analysing discourse. The next step is to
investigate the extent to which context and culture inform the discourse that is being
analysed. Does the data refer to other texts, sources, or other subject matters? Does it
refer to contexts and cultures through sources such as books and movies? This way
you can establish context and cultural elements that rule the discourse.
7. Identify Linguistic Markers

Discourse analysis has much to do with language, its various properties and usage.
Apart from looking at the role of context, it is also important to identify linguistic
markers in detail. This type of coding can involve:
• Grammar features: such as nouns, pronouns, verbs, adverbs, adjectives, tenses,
passive, and active statements. These features can reveal the intent of the people
in the text.
• Vocabulary: words can shed light as to the kind of language used according to
subject or discipline. A medical text will probably employ different kinds of words
28 Discourse Analysis 413

compared to business for instance. Look for common features that will show the
flow and logic of the text.
• Rhetorical devices: these devices which include proverbs, idioms, similes,
metaphors, and allegories are often used by literary writers to show arguments
artistically.
8. Interpret the Data

The last part of discourse analysis is to interpret the data. It is the most important
aspect as you need to figure out what the entire discourse means. Your various efforts
at obtaining results will now have to be tied together so that you can have answers
to your research questions and objectives. You will need to tie together the linguistic
features of the text with the context and examine fragments of the discourse to get
a broad picture of the text. Keep in mind the author’s sentiments, the context, the
culture, and the text to make sense of the meaning created by the text. Examine the
arguments laid out and compare them with other arguments and knowledge in the
area.
9. Present Your Findings
The last step in discourse analysis is to present your findings in a coherent, cohesive
and comprehensible manner following known protocols for the document which you
are writing, be it a thesis, dissertation or journal paper. Divide your findings into the
common themes discovered during the interpretation stage and use those as headings
to write your findings.

Conclusions

DA is the study of how language through written and spoken texts and other modern
discourses (both linguistic and non-linguistic) provide meaning to society. It is a study
of how society maintains and establishes structures that guide discourse. DA is also
the study of language beyond the sentence level, the study of language in use and the
study of social practices. Common approaches to the analysis of discourse include
conversation analysis, ethnography of communication, critical discourse analysis,
and multimodal discourse analysis.

References

Bhatia, V. K., Flowerdew, J., & Jones, R. H. (Eds.). (2008). Advances in discourse studies. Routledge:
New York
Blommaert, J. (2005). Key topics in sociolinguistics. Reino Unido: Cambridge.Blommaert, J.
(2005). Key topics in sociolinguistics. Reino Unido: Cambridge.
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Bondarouk, T., & Ruël, H.J.M. (2004). Discourse analysis: making complex methodology simple.
In: T. Leino, T. Saarinen, and S. Klein (Eds.), Proceedings of the 12th European Conference on
Information Systems (ECIS). June 14–16.2004 Turku Finland. http://www.ecis2004.fi
Foucault, M. (1972). The archaeology of knowledge: Translated from the french by AM Sheridan
Smith. Pantheon Books, New York.
Garfinkle, H (1967). Studies in ethnomethodology. Prentice-Hall, ISBN, 0745600050,
9780745600055.
Goffman, Irving (1959). The presentation of self in everyday life, Doubleday.
Gumperz, J. J., & Hymes, D. (1991). Directions in Sociolinguistics: The Ethnography of
Communication. Wiley Blackwell Publishers. ISBN: 978-0-631-14987-3.
Harris Zellig, S. (1952). Discourse Analysis: A sample text. Language, 28(4), 474–494. Linguistic
Society of America, Chicago.
Hogan, S. (2013). Understanding Discourse Analysis? Paper Produced for Doctor of Practice.
Students.Academia.edu.
Idema, R. (2003). Multimodality, resemiotization: Extending the analysis of discourse as multi-
semiotic practice. Visual Communication, 2(1), 29–57.
Jahedi, M., Abdullah, F. S., & Mukundan, J. (2014). An overview of focal approaches of critical
discourse analysis. International Journal of Education and Literacy Studies, 2(4), 28–35.
Johnstone, B. (2008). Discourse Analysis. Blackwell Publishing.
Kress, G. R., & van Leeuwen, T. (1996). Reading images: the grammar of visual Design. Psychology
Press: United Kingdom.
Paltridge, B. (2012). Discourse analysis: An introduction. Bloomsbury Publishing Plc. London:
United Kingdom.
Propp, V. (1958). Morphology of the Folktale. Texas University Press.
Reeves, S., Kuper, A., & Hodges, B. D. (2008). Qualitative research methodologies: ethnography.
Bmj, 337:a879.https://doi.org/10.1136/bmj.a879
Schiffrin, D., Tannen, D., & Hamilton, H. E. (Eds). (2003). The handbook of discourse Analysis.
Wiley-Blackwell: New Jersey
Schneider, F. (2013). How to do a discourse analysis. Politics East Asia. http://www.politicseast
asia.com/studying/how-to-do-a-discourse-analysis
Chapter 29
Sampling Techniques for Qualitative
Research

Heather Douglas

Abstract This chapter explains how to design suitable sampling strategies for qual-
itative research. The focus of this chapter is purposive (or theoretical) sampling to
produce credible and trustworthy explanations of a phenomenon (a specific aspect of
society). A specific research question (RQ) guides the methodology (the study design
or approach). It defines the participants, location, and actions to be used to answer the
question. Qualitative studies use specific tools and techniques (methods) to sample
people, organizations, or whatever is to be examined. The methodology guides the
selection of tools and techniques for sampling, data analysis, quality assurance, etc.
These all vary according to the purpose and design of the study and the RQ. In this
chapter, a fake example is used to demonstrate how to apply your sampling strategy
in a developing country.

Keywords Phenomenon. Methodology. Research Question. Methods. Tools and

Techniques. Purposive Sampling. Sampling Frame. Trustworthiness

Introduction

The purpose of a qualitative study is to understand or explain a specific phenomenon.

A phenomenon is a specific aspect of social practice, event, issue, situation, or
behaviour. An inductive qualitative approach is used when very little is known about
the phenomenon, or when the phenomenon is complex, or when you need to assess the
implications for some reason. Qualitative research seeks to explore the understand-
ings (what is known), experiences (what has happened), and/or viewpoints of people
who are involved with the phenomenon. These can be established when researchers
design and carry out a trustworthy study by using the right approach, tools, and
techniques.

H. Douglas (B)
The University of Queensland, The Royal Society of Queensland, Activation Australia, Brisbane,
Australia
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 415
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_29
416 H. Douglas

Qualitative researchers know that the social setting of the phenomenon always
influences the understandings and experiences of people in that setting. A trustworthy
study can explain why these differences exist, and how different experiences or view-
points occur. Trustworthiness is a central part of a qualitative study. A trustworthy
study means your approach and methods are appropriate, and you have conducted
all aspects of your study in a way so that your findings are credible and reliable
(qualitative studies produce findings, quantitative studies produce results).
Before you start collecting data, you must be very clear about what exactly you
are trying to understand (this is the study objective). Being very clear about the
objective before you start will help you decide exactly how you will conduct the
study. Then you decide the specific aspects of the phenomenon you will examine
(these are the concepts)—you will be able to identify relevant concepts from your
previous study of the theoretical literature). After this, you should write a short
specific question that states your objective, the phenomenon you will study, and the
limits of the study, especially the specific location/s, and the kinds of people, groups
or organizations, etc., you plan to investigate). This sentence becomes the research
question (RQ). Then, you can decide what theory and research traditions will guide
your investigation, and the most suitable study design (quantitative or qualitative).
After this, you can design an appropriate sampling strategy.
Each study will use a different sampling strategy to examine the phenomenon.
You might investigate just one person, family, organization, or community, or you
might compare one phenomenon in different places. For example, you might talk
to different kinds of people to understand a particular issue in one place (Douglas,
1999) or examine the issues for a group of people in one place (Douglas, 2006),
or you might aim to understand how a disabled child affects a family (Douglas &
Borbasi, 2009). Your study might examine how small enterprises operate in one place
(Douglas, 2010), or one country (Douglas et al., 2018a), or compare variations of a
particular kind of organization in different countries (Douglas et al., 2018b).

Sampling Strategies in Qualitative Research

It is very time-consuming to collect and analyse data, and it is very time-consuming

in qualitative research. This means it is very expensive to conduct a large study. For
this reason, deliberately sampling from a suitable population is an essential aspect
of qualitative social research.
The main goal of a qualitative sampling strategy is to define the population that is
involved with and/or affected by the phenomenon. This is called the ‘unit of analysis’.
People (usual individuals) are the most common unit of analysis in a qualitative
inquiry, but study participants also might be organizations, villages, events, nations,
or even artefacts (such as texts, photos, or tools). Once you know the unit of analysis,
you can design a suitable strategy to sample the correct population.
Qualitative studies do not rely on mathematical analyses. Only a small number
of participants (people, groups, organizations, etc.) provide data, so it is essential to
29 Sampling Techniques for Qualitative Research 417

carefully select the most suitable participants, who will generate the best possible
data so you can produce trustworthy findings. The most suitable participants will
vary, but the RQ will guide your decision for study participants.

Purposive Sampling

Purposive (or purposeful) sampling is a non-probability technique used to delib-

erately select the best sources of data to meet the purpose of the study. Purposive
sampling is sometimes referred to as theoretical or selective or specific sampling.
Theoretical sampling is used in qualitative research when a study is designed
to develop a theory. Specific (also known as selective or critical) sampling
is frequently used in an exploratory study which seeks simply to understand a
phenomenon about which not much is known so that further studies might be
developed.
The value of purposive sampling is that it allows the researcher to collect only the
necessary data. This is important, as it takes much more time to analyse qualitative
data than quantitative data. Limiting the number of participants reduces the amount
of data to be analysed, which in turn reduces the time (and cost) to finish a good
quality study.

Different Forms of Purposive Sampling

Using a purposive sampling strategy, the researcher invites specific participants to

provide information (data) based on the researcher’s informed judgement of who
is likely to provide the best information to meet the study objectives. Deciding
who is to be invited to participate is based on prior knowledge gained from a
review of the academic literature or previous research, or some form of experi-
ence of the phenomenon, or other reliable sources of knowledge. In a deliberate
purposive sampling strategy, the researcher has some options to select study partici-
pants including homogeneous, maximum variation, expert, selective, and typical case
sampling.
Homogeneous sampling is used when the researcher wishes to access information
from many participants with the same characteristics. Each participant has a particular
characteristic or experience that the researcher is investigating. A homogeneous
sample might be chosen if the RQ is quite specific, and the phenomenon is already
known to relate to a particular group of participants. A homogenous sample might
consist of people of the same age, gender, ethnicity, occupation, or from a single
organization or region, or with similar backgrounds (such as being an orphan) or
common experiences (such as homelessness). Homogenous sampling allows the
researcher to develop a deep understanding of the phenomenon.
418 H. Douglas

Maximum variation sampling selects participants (people, organizations, places,

events) across the range of typical and also unusual experiences, behaviours,
qualities, or viewpoints. This technique allows the researcher to capture a wide
range of views and/or lived experiences to build a very good understanding of the
phenomenon. The sampling technique allows the researcher to identify common
aspects that occur across a broad sample, so it is often used when the researcher
seeks to explain rather than simply explore a phenomenon.
Expert sampling is finding individuals with a very good understanding of the
phenomenon. This technique might be used at the beginning of a study to understand
particular aspects for example when there are opposite views of the phenomenon in
the literature. It also might be used at the end of a study to investigate aspects of the
analysed data which the researcher does not yet understand.
Selective sampling involves the researcher finding particular people or cases (e.g.,
organizations) that are special or unusual in some way. This technique might be used
to examine a particular aspect of the phenomenon such as an individual, organization,
or place which did something differently or had a different outcome from the same
technique. Deliberately investigating particular individuals or cases which are very
different often provides valuable information to demonstrate why the phenomenon
differs across a sample.
Typical case sampling is a technique the researcher would use when the objective is to
understand usual patterns of experiences, characteristics, behaviours, and so on. This
is used in a similar way to homogenous sampling. By selecting cases that demonstrate
common characteristics, the researcher can examine aspects of the phenomenon
which regularly appear in these types of organizations, events, or places depending
on the unit of analysis.
Convenience sampling is not recommended for qualitative research. In inconve-
nience sampling, the researcher collects data from anyone willing and available
(such as students). This is not likely to produce useful, good quality data since the
study participants are not necessarily the most people to inform the RQ.
Total population sampling also is not recommended. Gathering data from everyone
involved in the phenomenon produces an enormous amount of data. It is difficult
and overwhelming to analyse a vast quantity of data. Instead, researchers usually use
deliberate or purposive sampling strategies to select potential study participants.

Ethical Issues in Sampling

You need to think about ethics and quality issues before you start your study. You
will note that I discuss sampling about ‘potential participants. Researchers should
never assume that a participant will be interested or willing to participate in a study.
Instead, it is our job to find the most suitable potential participant and then invite them
29 Sampling Techniques for Qualitative Research 419

to share their knowledge with us. If the person refuses to take part, we must accept
their decision and invite another potential participant. Thus, voluntary participation
is an essential ethical requirement of good quality research.
There is some danger of paying participants. This might seem surprising if study
participants are very poor people, but payment has ethical risks, and it may reduce the
quality of the study findings. There are two important things to consider before you
decide to pay participants. First, participants might attend because they are paid, but
they might not necessarily be the best people to provide the best quality data. Second,
paid participants are more likely to provide data that they think the researcher wants
to hear. These risks are very real, and both have the potential to reduce the overall
quality of the findings (see Draper et al., 2009).

Multiple Sampling Strategies for Different Stages of a Study

In a study where little is known, or when you are examining a complex issue, you
might use several different sampling strategies in different stages of a study. When
you do this, the analysis of the data generated from each stage shapes the sampling
strategy for the next stage. The researcher might use one technique at the beginning
of the study (such as expert sampling) to explore usual patterns of behaviours or
experiences and then use maximum variation sampling to explore different charac-
teristics of the phenomenon. Alternatively, the researcher might explore the range of
experiences with maximum variation sampling and then gain a deeper understanding
by investigating one or two typical cases in depth. Both methods provide a very good
understanding of a phenomenon; however, it would be a large study, and this would
be expensive.

Constructing a Sampling Frame

Sampling is a deliberate process of selecting potential participants from a sampling

frame of those we anticipate could provide useful information to answer the RQ.
The researcher does not guess who to sample. Instead, researchers make an informed
judgement based on a review of papers published in quality academic journals and
reports of studies published by good quality sources such as United Nations agencies
and governments. Knowing we need to invite potential participants to participate in
the study, exactly how do we go about selecting study participants?
Researchers select potential participants for a qualitative study from a sample
frame, that is, the total population of those who are involved in or affected by the
phenomenon being investigated. This population must be specific, and the researcher
should think beyond the obvious. For example, in the Fijian education study described
above, the population would consist of all families with children in an area or
region; but the population for the sampling frame is broader than these families. The
420 H. Douglas

researcher should also include schools and government policy officers in the region,
education academics, and so on. It is also wise to include in the sampling frame those
who are involved with the phenomenon—in this case, the children—since they will
have some views which should be heard. Naturally, not everyone involved can be
included in a study. This would take a lot of time and produce much more data than
is required to answer the RQ. So the researcher must devise a strategy to select the
most suitable potential participants who are likely to provide useful information to
answer the RQ.
The researcher knows who (or what) is in the sampling frame—that is, the kind
of participants they are looking for. Based on their reviews of previous studies, the
researcher knows the age, gender, background, class, income levels, organizational
size, locations, etc., of potential participants. The next step is to decide who to
approach first. Ideally, the researcher will approach potential participants directly,
rather than use an indirect strategy such as posting a general invitation on Facebook.
Often, the researcher already knows an individual or group who has some experience
of the phenomenon. In the education study described below, the researcher may
already know two families who do or do not send their children to school. In this
case, the researcher could call or email or otherwise directly approach each of these
families, explain what the study is designed to do, and invite each family to participate
in the study. Having collected and analysed this data, the researcher could then decide
who else they want to interview until they can answer the RQ.
However, this random approach is probably not the best way to start sampling.
Sometimes, it is difficult to find a starting point, or sometimes, the most useful
study participants are not easy to find. The researcher needs to be creative in this
situation and think laterally about where they might find potential study participants.
For example, I recently did a study of small enterprises that had ceased to operate,
wanting to know what had affected the decision to close down. I looked for small
enterprises that had recently closed, but it was not easy to find them. Eventually, I
identified a particular kind of person who would be likely to know of small enterprises
in their local area that had closed. This person helped identify several people I could
contact. This sampling strategy was very successful and I rapidly located sufficient
study participants to complete the study (I reported this technique in a conference
paper, see Douglas, 2007). There is a simpler way to implement purposive sampling,
but first, we must consider the number of participants we are seeking.

How Many Participants Is Enough?

We now understand why we would do a quantitative study and who we would select
for different kinds of studies (i.e., what units of analysis we are looking for, and
where we would find these potential participants). We also know when and what
kinds of sampling strategies we might use, and how we would invite participants to
be part of the study. Next, we need to decide how many participants we need. The
answer to this question is a simple rule: we continue to sample and collect data until
29 Sampling Techniques for Qualitative Research 421

we can explain and/or understand a phenomenon and can answer the RQ. Once the
researcher can answer the RQ, the study has reached ‘saturation’, that is, new data
are not adding to our understanding of the phenomenon. Then, we stop collecting
and analysing data.
Thus, the capacity of the researcher to understand the phenomenon and answer
the RQ determines the number of participants who are invited to contribute their data
to the study. Often, the sample is very small, possibly as small as three case studies,
or 25 or 30 interviewees. The sample might be large as 1500 participants (or even
more) from diverse backgrounds and life experiences if the phenomenon is complex
or is associated with high risks for policy decisions. An example of this kind of study
would be a government that wants to understand a topic that is already identified as
being sensitive such as community views on nuclear power stations. This would be
very expensive, and it would need substantial funding.
In a purposive sampling strategy, we deliberately sample across all the known
elements (concepts) that we anticipate might be important. The easiest way to select
suitable study participants is to use a matrix and select a range of participants in a
pattern across all of the criteria. We do not need to find a participant that meets the
known variations of every element. Instead, we make sure we cover each element
several times so there is variation across the sample. In this way, we are likely to
access good quality information from the smallest number of study participants.

Sampling Example: Education Study in Fiji

This section explores how to implement a sampling strategy. Let us consider a study
seeking to understand ‘why children from Fijian families tend not to complete high
school?’ Let us assume this study was commissioned to inform government policy.
Governments always like numbers. A quantitative study could survey a random
sample of Fijians (for example Puamua, 1999). However, we know that a quantitative
survey will not easily explain why or how events or situations occur, so the researcher
decides to conduct a qualitative study.
How would you design the sampling strategy? Initially, you might expect to find
families living in rural places are less likely to send their children to school. Or
that religion influences girls’ education. Or that school attendance would be lower
if there are not many schools nearby, or that good teachers prefer to work in high-
income areas. Or there might be some other reason that you do not know about.
The researcher will start by talking to local people with knowledge of the issue who
could help understand the problem. Then, they would review published articles to
find out what is already known. These two steps will identify which concepts should
be explored.
The aim at this early exploratory stage is to understand what is happening across
the whole Fijian population, but we do not want to survey or talk to everyone. Simply
talking to a large number of Fijians would not necessarily give a clear picture of the
issue. Understanding this issue is best done by exploring different viewpoints from
422 H. Douglas

different kinds of people. In this example, Fijian families are the unit of analysis,
not schools or the Fijian education system, but the research would not involve all
Fijian families or all schools. Data for this study should be generated from purpo-
sive sampling. In this qualitative study, we would deliberately purposefully sample
participants with different backgrounds and experiences of education to understand
the variety of issues that might influence how and why Fijian families educate their
children and would then provide a deep understanding of how and why the issue is
occurring.
The most important information for this study will come from parents and their
children. But the first round of interviews would be with relevant Fijian and local
government officials. These people would tell us what they know. We might invite
them to discuss what they do not understand. Others with knowledge of the issue
would include school principals, teachers, the owners of private Fijian schools, and
different agencies that provide support for families in each locality—health services,
support agencies for poor families, services providing transport for children to school,
and so on. This is a very large set of informants, so we would not immediately talk
to everyone. However, we might expand the sample towards the end of the study if
the RQ is not answered after talking to the Fijian families.
To answer the RQ, the researcher would purposefully design a sampling strategy
to maximize the diversity of the Fijian families who have children of school age. This
purposive sampling process would deliberately seek input from different kinds of
families: wealthy and poor, large and small, in rural and city locations, and different
ethnic and religious backgrounds.
Once the extent of the potential population is established, the researcher would
try to limit the data collection, as this reduces both the time and cost to complete the
study. The researcher would consider whether they need to sample families across
all of the Fijian islands, or whether a single location would be sufficient. The RQ
and purpose of the study help the researcher answer this question. In this example,
the study aims to inform government policy, so sampling should be in several sites
to explore elements that affect education in different ways.
Influences on education might include the family size and income, school fees,
different school types, distance between schools, employment of family members, or
different kinds of industries in the region. The concepts to be sampled would probably
include the gender of the child, the family ethnicity, and the number of children in the
family. The sample would consist of small and large families, with different income
levels living in different kinds of places (towns and rural villages, in large and small
islands). Families with children of different ages would be systematically sampled,
along with different social backgrounds, ethnicities, and religions. We know that
parents make educated decisions, so we should also sample the parent’s age and
level of education. The Fijian population consists of two main cultural groups, with
Fijians with Indian heritage consisting of approximately 45% of the population. When
there is a significantly different cultural group in the population, we need to sample
both groups proportionally. In this study, approximately 45% of the sample should
be Fijians with Indian heritage. We should oversample a minority group if there is
a significant minority that is less than 25% of the population. To oversample, you
29 Sampling Techniques for Qualitative Research 423

would select a proportionally larger sample from the minority group. Oversampling
ensures the data have sufficient content from the minority group so we can understand
issues and viewpoints across the whole population.
This sampling strategy ensures you access data from a diverse group of people.
But there is another matter we must consider. Fiji is a small country, but there are
significant differences between towns and villages, remote islands, etc. Therefore,
we need to sample these families in different locations to be sure we understand the
phenomenon. At least, three different kinds of sites would be appropriate (a large
town, a village on a large island, and at least one but preferably two or three villages
on small remote islands). Please note that it is important to use the same sampling
strategy in each location so the data are consistent—this helps to produce trustworthy
findings.
Figure 29.1 shows a matrix pattern to sample across several criteria, showing you
do not need to sample every concept in every location if you make sure you always
collect data from people who meet several criteria. It is important to maximize the
diversity across the sample when you use a matrix like this.
Now, we are ready to collect data. Start with the group who are easiest to access and
the most obvious sources. In this study, we could start by investigating a critical case
in a mainstream school that will demonstrate the phenomenon being investigated.
This would probably be a large government school in the main town. We would visit
this school, talk to the Principal, discuss the study with them, and invite them to

Element of interest Participants

(concept) Options
1 2 3 4 5 6

Child’s gender Male

Family ethnicity
Number of children in a
family 3-4

Age of parents

Location

Fig. 29.1 Sampling matrix example for an education study. Source Author
424 H. Douglas

participate in the study. But we are investigating families, not schools, so we would
ask the Principal to help us invite suitable parents to participate in the study. We would
ask the Principal if families varied in ways that might affect their education intentions
(based on knowledge from previous studies) and then ask for a list of families at that
school. Alternatively, we could put information about the study on a notice board
and invite parents to contact us. This second method is an indirect sampling strategy
which is similar to convenience sampling, so it is less likely to produce reliable
information than the first sampling method, so we would not do this unless we
had to. The list of families from this first school then becomes the first sampling
frame. Based on our discussion with the Principal, we would deliberately select
three to five families that we anticipate will provide good information (remembering
to maximize diversity in the sample). We invite five families (parents and children)
to be interviewed. We will still not be able to answer the RQ because we have only
sampled one population. Therefore, after analysing this first round of data, we move
on to the second school in this same location.
We then deliberately select schools in different locations that are likely to provide
variation in elements we have identified from the first round of data analysis. For
example, if most of the children in the first study site are from middle-income fami-
lies, the second school might have some poor families (maximum variation strategy).
These interviews with families from the second school are likely to provide infor-
mation that will differ from the first set of families. After analysing this data, we
might think we understand what is happening in government schools, so we could
then interview several families from the private schools. We should also deliberately
select families from the second ethnic group and deliberately sample different kinds
of people from the first round of interviews. We should aim to sample different kinds
of schools—perhaps a non-profit school and a commercial or special school.
Then, we do this the same way in another two or three locations in the main
town. We then repeat this process in at least two different kinds of locations. The
study is finished when we can answer the RQ after analysing the data. If we cannot
answer the RQ, we keep collecting and analysing the data until we can answer
the RQ. Analysing and comparing the data provided by different kinds of families
(remember we are investigating families, not schools) might answer the RQ. If not,
then this comparative analysis would inform the next stage of the study, which might
be a series of in-depth interviews with key informants such as education academics,
government policy officers, and school principals from both government and private.
All of these key informants would have a very good understanding of education in
this location.
At each stage of the study, the sampling strategy would be informed by the under-
standings already gained during the previous analyses of the data, i.e., from families
at the two or three schools and the key informant interviews. Note that each stage
of this study would have a different list of potential participants who the researcher
considers might add valuable information to the RQ.
Finally, if the RQ still cannot be answered, and we have sufficient resources left,
the researcher might examine the specific issues that emerge from the analysis of
all this data from families and the key informants. We might conduct a series of
29 Sampling Techniques for Qualitative Research 425

focus groups—first with mothers, then fathers, then children, and then teachers—
to compare attitudes to education among wealthy and poor families, families with
different ethnic backgrounds, and so on. Or we might organize a discussion among
children from different locations, or civic leaders or religious groups, or whatever
element the researcher has identified in the data analysis as inconsistent and not yet
understood. Before deciding who to invite to a focus group as the final stage of this
study, the researcher would need to construct a sampling frame as before.
Before finalizing the study after the data are analysed, we should review the
purpose of the study and make sure the sampling has been suitable to cover the
population. In this Fijian example, we needed to think about whether schools are all
the same. Does the government provide all schools, or are some schools provided
by religious groups or private organizations? In Fiji, the government provides nearly
all schools, but some schools are provided by private organizations. If there is a
significant number of schools offered by agencies or the government, we needed
to sample families not only in different locations but also from different types of
schools. And we also needed to deliberately sample the two main ethnic groups
(proportionally as for the population discussed above). Once we are sure we have
sampled adequately, we can have more confidence that the findings are trustworthy.

Conclusions of Sampling Strategies in Qualitative Studies

• A qualitative study aims to sample appropriately and collect and analyse data to
produce trustworthy findings.
• The researcher will design a sampling strategy to select study participants after
deciding the purpose of the study, the specific research question this study will
answer, and the limits of the study (such as the unit of analysis, location, period,
etc., of the study).
• This sampling decision is based on the researchers’ informed assessment of which
participants are most likely to provide the best information (data) to gain meaning
and understanding so the researcher can answer the RQ.
• Purposive sampling allows the researcher to carefully alter the study participants as
the data are progressively collected and analysed. This sampling strategy reduces
the need to collect and analyse too much data and thus reduces the time and
resources needed to finish a study.
• Qualitative studies sampled purposively in this way are likely to produce credible
and trustworthy findings that explain the phenomenon being studied.
426 H. Douglas

References

Douglas, H. (2010). Divergent orientations in social entrepreneurship organisations. In K. Hockerts,

J. Robinson, & J. Mair (Eds.), Values and opportunities in social entrepreneurship (pp. 71–95).
Palgrave Macmillan.
Douglas, H., Eti-Tofinga, B., & Singh, G. (2018a). Contextualising social enterprise in Fiji. Social
Enterprise Journal, 14(2), 208–224. https://doi.org/10.1108/SEJ-05-2017-0032
Douglas, H., Eti-Tofinga, B., & Singh, G. (2018b). Hybrid organisations contributing to wellbeing
in small Pacific island countries. Sustainability Accounting, Management and Policy Journal,
9(4), 490–514. https://doi.org/10.1108/SAMPJ-08-2017-0081
Douglas, H., & Borbasi, S. (2009). Parental perspectives on disability: The story of Sam, Anna, and
Marcus. Disabilities: Insights from across fields and around the world, 2, 201–217.
Douglas, H. (1999). Community transport in rural Queensland: Using community resources effec-
tively in small communities. Paper presented at the 5th National Rural Health Conference,
Adelaide, South Australia, pp. 14–17th March.
Douglas, H. (2006). Action, blastoff, chaos: ABC of successful youth participation. Child, Youth
and Environments, 16(1). Retrieved from http://www.colorado.edu/journals/cye
Douglas, H. (2007). Methodological sampling issues for researching new nonprofit organisations.
Paper presented at the 52nd International Council for Small Business (ICSB) 13–15 June, Turku,
Finland.
Draper, H., Wilson, S., Flanagan, S., & Ives, J. (2009). Offering payments, reimbursement and
incentives to patients and family doctors to encourage participation in research. Family Practice,
26(3), 231–238. https://doi.org/10.1093/fampra/cmp011
Puamua, P. Q. (1999). Understanding Fijian under-achievement: An integrated perspective.
Directions, 21(2), 100–112.
Chapter 30
Data Analysis Techniques for Qualitative
Study

Heather Douglas

Abstract This chapter describes how to analyse qualitative data to produce authentic
findings. Analysis of qualitative data must be a slow and careful process. This chapter
will only discuss how to analyse text since this is the most common form of data
in qualitative studies. Text is written language, such as field notes, transcribed inter-
views and focus group discussions, reports, organizational records, journal articles,
or website/social media information. Qualitative data include photos and videos,
objects and artefacts, and actions and sounds. More complex data include events,
organizational processes, or interactions between people. This chapter will discuss
the interview and similar written data since novice researchers often generate these
data: however, the analysis process is similar for all textual data. The analysis process
described in this chapter is based on a simple grounded theory approach Thomas
(Am J Eval 27:237–246, 2006). Thomas’s approach is simpler for novices than that
described by Glaser (Emergence versus forcing: Basics of grounded theory anal-
ysis. Sociology Press, 1992) or Strauss and Corbin (Basics of qualitative research:
Grounded theory procedures and techniques. Sage, 1990), but it must be done
correctly to produce trustworthy findings.

Keywords Trustworthy · Interviews · Text · Grounded theory · Approach ·

Concepts · Clusters · Themes · Synthesis · Interpreting · Chain of evidence

Introduction

Qualitative studies examine a specific phenomenon in a specific situation. Using

qualitative techniques allows researchers to understand a particular topic in great
depth. Researchers use qualitative techniques for three reasons: (1) to define concepts;
(2) to explain a specific aspect of an earlier study that is not clear, or (3) to build theory.
An excellent study using qualitative techniques will always produce interesting new
information. The phenomenon will be understood, key concepts will be defined, the

H. Douglas (B)
The University of Queensland, The Royal Society of Queensland, and Activation Australia,
Brisbane, Australia
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 427
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_30
428 H. Douglas

study will add to existing knowledge, and a new theory will result. Having defined
core concepts and established how these operate in a particular situation, a future
study could investigate causality or connections among concepts.
We should always try to produce reliable research findings. Why else would we
research? All aspects of qualitative studies must be done carefully if we are to produce
good quality authentic, trustworthy, and truthful findings (Alvesson, 2010). For find-
ings to be trustworthy, all research processes, including sampling, data collection,
and analysis, must be rigorous and robust so the findings are authentic and truthful.
Qualitative researchers do not try to confirm causes, and they never claim that their
findings are generalizable to other situations. A qualitative study always applies to a
specific situation, context, and location. This does not mean that qualitative research
is less valuable than other kinds of research. It does mean that the rich and mean-
ingful findings relate to a specific time and place. The researcher should always make
this statement when they write up the study findings. Once the study findings are
identified, the researcher will report the findings. Note—quantitative studies produce
results; qualitative studies create findings.

Aim of Qualitative Analysis

Qualitative research has two main aims: to make sense of the data (Weick, 1995) so
the researcher can answer the specific research question. Succeeding with these aims
involves much more than coding data.

Preparing for Data Analysis

In many qualitative studies, data are gathered by speaking directly to participants in

interviews or focus groups. Naturally, you should do the interview or focus group in
a quiet place so you can hear what each participant is saying. For qualitative research
to be trustworthy, you need to analyse exactly what each participant said. For this
reason, you should audio record the interviews or focus groups. If the recording is
not possible, you should capture the exact statements of each participant by having
at least two people taking notes of exactly what each person is saying. You might
also take notes during the interview, as these add to the recorded data, but analysing
notes without recording data is not sufficient for a qualitative study to be considered
trustworthy. If this is not possible, then having will allow the researcher to understand
what the participant said. Focus groups are usually noisy, so use at least two devices.
Create a chain of evidence all through the research process. This is done by
keeping detailed records of all your actions, and why you made decisions. Record
when and where each interview took place and why you invited every person to
participate. An Excel spreadsheet is a useful way to record these notes as they can
be searched easily or reorganized if that is necessary. Note the day and date of the
30 Data Analysis Techniques for Qualitative Study 429

interview or focus group, starting and finishing times, if you had interruptions if
some questions were difficult for participants, and so on. Make good notes as soon
as you finish the interview to help you recall what happened. Keep records of when
you transcribed each interview, and the pseudonym or codename you gave each
participant. Note any significant elements that emerged during the initial analysis of
each interview. All these notes will help you understand the data when you start the
analysis. In a separate file, keep notes of your analysis processes and your thoughts
and ideas as you progress. This chain of evidence adds to the quality, rigour, and
trustworthiness of the research process. These records will help you recall what
happened and understand why you did what you did. The chain of evidence will help
you justify your methodology in your report, or to an examiner or journal reviewer.
It will also allow you to do additional data analyses if necessary.
It is much easier and faster to transcribe each interview on the same day than to
do lots of interviews and transcribe them after a few days. Transcribing immediately
means you will remember much of what was said, how the interview progressed,
and any emotions, unusual responses, or other features that might be important in
the analysis. Thus, you transcribe faster and more accurately.
Finally, make paper or electronic copies of absolutely everything—your interview
schedule, code names, transcripts, analysis files, notes, etc. Mishaps occur, so keep
the original files in a safe place and analyse the copies so you can return to the original
to check anything if necessary.

Analysis Process

Qualitative data analysis is a slow process of moving backwards and forwards

between the research question (RQ), theory, and your data from the transcribed
interviews while thinking about the context of your study. Although it takes time, it
is essential to be systematic and rigorous to create trustworthy findings.
Where to start
To start, print each interview transcript with a wide margin on one side and make
notes as you read. Try to start with an open mind. Try to have no assumptions about
what you will find in the analysis. It is difficult to work this way, but it will help you
to see what is actually in the data, not looking at what you think might be there.
Qualitative data analysis has five stages. The first stage is when you see what is
in each interview transcript and identify important concepts. In the second stage,
you compare the concepts and identify a few important themes. In the third stage,
you review your initial analysis by going back to the original texts and ensuring your
concepts and themes are truthful for your data. The fourth stage involves turning your
analysis into robust findings. The final stage is to write up your findings. You must
be methodological and systematic to produce trustworthy findings, so you cannot
hurry the analysis process.
430 H. Douglas

1st stage of qualitative data analysis—identifying concepts

• You need to become very familiar with each text. Read the interview transcript
several times so you know what the person said. We will now call this the ‘text’.
• As you read, note anything obvious, e.g., support for statements in other inter-
views, contradictions, things needing to be clarified, or statements that do not
support the theory.
• Go back through the interview and systematically review each text about the RQ.
• Ask yourself “what is this person saying” and “what does this statement mean”
and “how does this help us understand the RQ”?
• With different coloured markers, highlight short statements or sections within the
text. Each colour will indicate different things, e.g., historical events, or state-
ments relating to economic matters, statements contradicting other participants,
statements supporting previous theory, or anything that is very important for the
RQ. Especially note anything interesting or different from other interviews.
• Ask yourself as you read “is this idea the same as something I found previously” or
if different “why is it different?” Differences may occur because participants have
different experiences or viewpoints, or because you have started to ask clarifying
questions during interviews.
• Consider what each highlighted segment relates to and give it a name. I like to
use a pencil as you can then change the name of the concept if you wish. These
will be the concepts in each text that are relevant to the RQ.
• Highlight statements that may be useful as evidence; when you write up the study,
this will add to trustworthiness.
• The text will now look like a rainbow with overlapping colours. Usually, you will
have a large amount of data that is not marked as it is not useful.
• Summarize the data in this text.
• Keep notes as you analyse each text on what you are finding. Especially note what
relates to the RQ—your study must answer the RQ!
• You might also like to note interesting stuff that is beyond the RQ in a separate
file—you may come back to this at a later date when this study is finished so you
can write another paper or prepare another study to clarify some issues raised in
this one that is not part of this RQ. By noting them here, you can then let them go
for this study as you can then be sure you will not forget later, so you can forget
it now…
• Then move on to the next text and do the same thing until you have analysed each
text.
2nd stage—making sense of the data and identifying themes
• This stage involves identifying clusters of concepts from the data and grouping
these into higher-order themes. As you review the initial concepts, you will iden-
tify themes, that is, a simpler and a higher-level idea that relates to clusters of
concepts in the texts. Not all themes will be in each text.
• First, make a list of all the concepts you identified in all of the interviews. Each
text might have about 30 concepts, so you will have a very long list!
30 Data Analysis Techniques for Qualitative Study 431

• Now you need to identify recurring patterns of statements and bring these together
into a shorter list of themes. Start by bringing all of the concepts into clusters.
• Many people find it helpful to organize their material in different ways. Using
different processes helps you find the connections. Using different analytical
processes helps stop straight-line thinking.
• You might like to use paper on a large wall. Draw lines between the clusters.
Think about how they relate to each other. Each concept may relate to several
others. Use sticky notes to help organize your thoughts. Move the sticky notes
around. Try to organize a couple of clusters that relate to something new that is
important. Reorganize as necessary. Draw new lines. Use different colours to trial
new ways of organizing the clusters. Draw circles around the clusters that are
strongly related to the RQ.
• Alternatively, try drawing a concept map of the material logically. Add the clusters
where they fit into the concept map. See if this fits with what you have found.
• Some researchers like to create tables of concepts. Link each with text from the
interviews. Think about what each table means, and how it relates to the RQ.
Name each table.
• Review all of these analysis processes about the RQ. You will now be able to
identify clusters of concepts that are connected, and that gives meaning to the
RQ.
• When you are satisfied, consider what each cluster relates to and give each a name
that describes what it is.
• You will probably have 10 or perhaps 20 clusters. You must reduce the number
of clusters until it is meaningful, and so you can report your findings. So you now
must organize the clusters into a few higher-level groups of ideas that explain the
main aspects of the data. Reduce the clusters to three or four and no more than
six sets of clusters.
• Think about differences and identify connections. Ask yourself “what does this
concept cluster relate to”, “is this concept cluster the same or different from those
in the other transcripts”, and “what are the links between this and other clusters”.
• Think about how each cluster relates to the RQ. Try bringing different clusters
together and identify aspects that explain the RQ. Keep trying until you can orga-
nize three or no more than five circles of clusters that are important in explaining
the RQ. Give each a name that describes the idea. These clusters of concepts will
become themes.
• This second stage is very messy. Don’t hurry. It takes a long time to organize all
your concepts into logical themes that summarize what the interviewees said. Be
precise—this step is the central part of your data analysis.
3rd stage—verifying initial analysis
• The next step is to verify your initial analysis. You will need to go back to the
original data regularly to make sure that what you think you have found is what
is actually in the data.
432 H. Douglas

• In this stage of the analysis, you are trying to understand exactly what is in the
text to ensure authenticity. Your analysis and findings must be directly linked to
your data. You must be methodical so the findings are authentic.
• Work back and forth between the concepts, texts, clusters of concepts, texts, and
clusters.
• Go back to the interview transcripts and your notes. Review the summary of each
transcript and make sure the themes you have identified relate to what is in the
texts.
• Rename the clusters and themes to signal what is in the data. Reorganize the
clusters as necessary.
• Do this process as many times as you need to. It will take time. In the end, you
will be certain that the clusters of concepts (themes) are true to what is in your
interview data. And you will be sure that the themes add something meaningful
to the RQ.
• This third stage of verifying the data analysis takes quite a lot of time. It is essential
to produce rigorous and trustworthy findings.
4th stage—merging and interpreting your findings
• The fourth stage is to consolidate the groupings of themes you have found in the
text into a robust finding for your study.
• This is ‘synthesizing’, or a process of merging your findings to answer the RQ
and identify new or contradictory material.
• Think about the themes, and how they relate to the RQ and theory.
• Step back from the data and think about what you have found.
• Once you are clear about your analysis and findings, ask yourself what this all
means.
• First, think about what you found in your analysis and how your findings help
you to understand the RQ. Have you found something new? How and why is what
you have found important to others?
• Think about how the themes you found add to what is already known in practice.
Is there something new, or do your findings confirm what is already known?
• Think about how your analysis relates to theory. Did you find something new? If
so, is it important, and if so, why?
• Stop when you are quite sure that you have made sense of the data, and you can
now answer the RQ. If you have found something new, you may also be able to
add a new theory.
• This stage mainly involves time thinking, reflecting, and reviewing your findings
of existing practice, and what has been identified previously in theory.

5th stage—write up the findings

No study is finished until you share your findings so others can discover what you
now know. It is not good enough for only you to know your findings, you must
present your findings so others can also know and understand. Usually, you will
write a report: sometimes, you will present your findings verbally to others, with
30 Data Analysis Techniques for Qualitative Study 433

illustrations so others can understand how you did your study and what you found.
Think about who might be interested in what you have found and write or present
something suitable for that audience.

Conclusions

Qualitative research is an exciting way to understand new things. A single qualitative

study does not produce generalizable findings, but when you use rigorous methods,
qualitative studies always produce interesting new information. Findings from qual-
itative studies identify new concepts that can then be verified with other studies
in different locations or with different kinds of participants. To produce trustworthy
findings, qualitative data must be analysed with a rigorous systematic approach. This
chapter has described the five stages involved in analysing qualitative data:
• Identify the concepts in your data.
• Make sense of your data and merge concepts into unifying themes.
• Verify your initial analysis.
• Merge and interpret your findings.
• Write up your findings.

References

Alvesson, M. (2010). Interpreting Interviews. Sage.

Glaser, B. G. (1992). Emergence vs forcing: Basics of grounded theory analysis. Sociology Press.
Strauss, A. L., & Corbin, J. M. (1990). Basics of qualitative research: Grounded theory procedures
and techniques. Sage.
Thomas, A. (2006). A general inductive approach to analysing qualitative evaluation data. American
Journal of Evaluation, 27(2), 237–246.
Weick, K. E. (1995). Sensemaking in organizations. Sage.
 Part V
Mixed Method Approach
Chapter 31
Designing a Research Proposal
in Mixed-Method Approach

Lokasundari Vijaya Sankar

Abstract A research proposal is an important document that outlines a plan for a

research study. It should contain pertinent and sufficient information for the appli-
cation of grants, scholarships, these proposals, and other scientific studies to be
examined and approved by a panel of examiners. A research proposal should first
introduce the topic of study and its importance to the scientific community. It will
further give an argument as to why the study is important and outline the objective and
research questions that drive the study. A detailed plan for the study should be arrived
at, describing theoretical bases, the sample for the study and the data collection and
analysis methods. A plan of execution should also be included.

Keywords Research proposal · Research design · Plan of a scientific study

Introduction

A research proposal is a plan to conduct a scientific study. It needs to detail the

topic under consideration and the issues surrounding the topic and outline the objec-
tive and the questions that need addressing amid the current theory and knowledge
surrounding the topic and the debates about it. Further, research proposals should
clearly state how the study will be carried out by outlining the methodology clearly
and succinctly. Finally, it should identify the potential contribution of the study for
practice and possibility theory.
Research proposals may be required by funding agencies, industries, or univer-
sities. The reasons for each may be different. A funding agency will normally fund
a research project that will benefit society in general and improve knowledge (such
as poverty eradication, better growth of crops, or ways of improving the education
system for instance) while industries tend to fund projects that will result in new
technologies or new models of their products that will in turn boost sales of their
products (new models of cars, phones, or computers for instance). Universities on

L. V. Sankar (B)
School of Communication, Taylor University, Subang Jaya, Malaysia
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 437
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_31
438 L. V. Sankar

the other hand require proposals for the completion of postgraduate degrees such as
a Masters or a Doctoral degree.
Whatever the reasons may be, all agencies studying a research proposal want to
know:
• What the purpose of research is.
• What the significance of the research is.
• What limitations there are to the study.
• What the cost of the research will be.
• How long it will take to complete the study.
• What people, tools and other amenities are required to conduct the study.
• How the study will be conducted.
• What findings are expected.
• What the benefits of the study will be.
• What long term profits such a study will give the company/university/funding
agency.
• Ethical considerations that might occur during the conduct of the study.
Examiners of a research proposal will examine:
1. The cost factor and whether the study can be afforded. They will also set up
an investigative body to ensure that the money is properly spent and that the
researcher is monitored when requests for money are made.
2. The quality and value of the study. An academic panel will read and ensure
that the research proposal is sound and that it complies with all academic and
scientific principles.
3. The benefits that the proposed study may give. The agency/company responsible
for the research will monitor the cost–benefit factor so that money is well spent
for future profits.

Definition
Prominent scholar, John Creswell, defines the mixed-method approach as ‘the collec-
tion or analysis of both quantitative and qualitative data in a single study’ (Creswell &
Plano Clark, 2011: 212). The definition points to the use of both quantitative and
qualitative techniques to fulfil the aims of a study.
Types of methodology for writing a research proposal
A research proposal can be qualitative, quantitative, or mixed-methods in approach.
In this chapter, an outline of how to write a proposal using the mixed-method approach
is given as follows:
Design of a research proposal using a mixed-method approach
Researchers preparing to conduct a study should first do a thorough reading about
their topics so that they are familiar with all the research that has been done on the
topic, the debates surrounding the topic and the methodologies that have been used
by other researchers successfully, theories used, and the findings that are already
31 Designing a Research Proposal in Mixed-Method Approach 439

available on the topic. This reading of previous literature is essential so that any
research proposed is one premised on knowledge of the area and so that the proposed
study will add to available information on the topic to the scientific community and
fill a knowledge gap.
Research can be conducted using several broad methodologies such as qualitative
and quantitative methods. Each type has its own merits based on the objectives of the
study. Qualitative research aims to understand and deduce societal concerns for the
phenomenon being studied, and it provides insights into the problems being studied.
Qualitative research helps to uncover trends within the problem or phenomenon
being studied. Qualitative studies are usually exploratory, and the data collection
methods used are to promote this. The tools used to collect data can be innovative
and not very structured to get data from individuals and groups in an unstructured
manner the sample size need not be large as in quantitative studies. Normally, respon-
dents are selected purposefully to obtain information to understand a phenomenon.
Quantitative research, on the other hand, focuses on generating numerical data
that can be presented in statistical form. It is usually used to test the relationships
between constructs and other variables being studied. Quantitative studies use large
sample data and so findings are generalized to the larger sample population. This
methodology uses data that can be numerically measured to uncover patterns in
research.
Characteristics of a mixed-method approach
An approach that uses several different methods to explore phenomenon(s) under
study is known as using mixed-methods. This type of research is based on the two
perspectives in research which are qualitative and quantitative methods. One can use
research questions or hypotheses after examining the relevant literature to start a
project. When using a two-pronged approach, the sample too can vary as can the size
of the samples. When collecting data for this type of study, different techniques may
be used following the protocols in qualitative and quantitative research. Interpretation
of the data can be continual, and it influences the various stages in the research
process.
When and why to use mixed-methods in social research
The mixed-method is used when the researcher feels that one single design is insuf-
ficient to investigate the problem at hand. Often, a mixed approach takes more time
than a single approach but may be necessary when the objective of the research needs
both a qualitative and quantitative approach, such as when it is necessary to explore
a phenomenon, use a new instrument, test a theory, complement the strengths of one,
and overcome the weaknesses of another design or look at a research problem or a
theory in different ways.
How to conduct a mixed-method
A mixed approach to research uses techniques from both qualitative and quantitative
methodologies in the collection and analysis of data in one single study. The reason
440 L. V. Sankar

for using this type of research is that, when qualitative and quantitative research is
used together, a better understanding of the study questions, problems, or hypotheses
is possible as opposed to using just one approach (Bulsara, 2014).
Creswell (2003) suggests the following six design strategies for conducting mixed-
method research:
1. Sequential Explanatory
This methodology involves using quantitative methods followed by qualitative
methods. The reasoning behind this methodology is to use qualitative methods only
to assist in a quantitative study.
2. Sequential Exploratory
In this methodology, a qualitative methodology dominates initially, and subsequently,
quantitative techniques are used to strengthen and assist in the data collection and
analysis. This type of approach is good for exploratory studies.
3. Sequential Transformative
In this approach, either method may be used first but at the analysis stage, both results
are integrated to reveal answers to a research problem.
4. Concurrent Triangulation
In this type of study, both methods are employed at the same time to validate and
corroborate the results emerging from the study. This method capitalizes on the
strengths of each method while attempting to overcome the weaknesses in each
method.
5. Concurrent Nested
In this method, one method is the dominant one while the other is embedded within
the study. The reason for using this method is to one method for the dominant research
question while another is used to answer questions arising from the dominant one.
6. Concurrent Transformative
For studies that test a theoretical perspective, different methodologies are used to
understand and evaluate the theory at different levels.
Advantages of mixed-method research
A mixed-method approach is useful in studies that wish to explore unexpected
results from previous research, use different methodologies suited for exploring a
phenomenon, and evaluate research instruments and theories and provide.
Disadvantages of mixed-method research
A mixed-method approach is time-consuming, poses problems when resolving
discrepancies between different types of data, can provide unequal evidence, and
can be difficult for the researcher to decide when to use which method.
31 Designing a Research Proposal in Mixed-Method Approach 441

Structure of the Research Proposal for a Mixed-Method

Study

Title Page
This page will have the title of the project and the researcher’s particulars which
include name, student number, affiliation, and contact details.
Abstract
An abstract usually comes at the beginning of a research study, and it normally has
between 150 and 300 words. It will outline the proposed study by saying something
about the topic, specify the objectives and research questions and/or hypotheses,
describe the theoretical framework used and the proposed mixed methodology to
be used, and describe the data collection and analysis methods to be carried out.
Keywords that describe the study must be given in italics (about 5 keywords). The
keywords can be the topic itself, the theory to be used, the sample (if dealing with a
particular culture or ethnicity), or any other descriptor that is important. An abstract
is a short synopsis of the project.
Table of Contents
This section provides a clear picture of the research study by detailing and enumer-
ating in an orderly fashion the contents of the study. It should be reader-friendly and
list all major parts of the research study. A list of tables, figures, and illustrations
should be included.
Introduction
The introduction should begin with a statement of what is being proposed and intro-
duce the study clearly and succinctly. There should be sufficient background infor-
mation to help readers to situate the research problem within the larger context of
the topic being examined. It should also show how its solution will add to avail-
able knowledge or even be important to some agency or community. To do this,
the introduction should flow naturally and describe the study using the following
headings:
Problem Statement
This is a very important part of the research proposal because it shows that you are
going to fill in an information gap. After reading your problem statement, the reader
should be able to understand why you are doing this study and be convinced of its
importance. To do this, present studies done in the recent past and review the findings
discovered. A problem could exist in theory or practice, and it could lead to the need
for your study. It might be that your gap is in content, geography, sample, tools, or
theory. Say clearly how you intend to fill in the gap and where the gap exists.
442 L. V. Sankar

Objective
Aims and objectives should be clearly stated in terms that show what you wish
to achieve by the end of your dissertation or thesis. They should be clear concise
statements of the intent expressed in general terms. To write your objective statement,
be specific about what you wish to do. It is prudent to bear in mind that the objective
should be doable or achievable within the time frame available for the research.
Factors to consider when coming up with research aims are time and logistical
constraints and access to the sample of the study.
Research Questions
State very clearly the phenomenon to be studied and presented as the main question
and possibly a small set of sub-questions. They should also be formulated so that
they ask the right questions that can fulfil the objectives of the study.
Research questions should show the relationship between the concepts to be studied
and the theory that is being used, or they can also aim to formulate new theories.
Creating research questions is a task that requires much reading of literature related
to the topic, understanding the theoretical focus, and merging it with the researcher’s
interests.
Definition of Key Terms
The proposal should be written so that a general reader who does not know much
about the proposed investigation can understand how and why this study will be
conducted. This section defines important terms and concepts that are usually stated in
the objectives and research questions. Subject-specific and technical terms or defini-
tions created for the study should be defined so that words that are different in meaning
from traditionally accepted meanings are clear to the reader. Use authoritative sources
in the definitions of key terms.
Significance of Study
Here, you will outline why the study is important and who it will benefit from the
study. This is in addition to the problem statement, and it will concentrate on how
the findings of the study are crucial to the advancement of knowledge.
Literature Review
In this section, readings relevant to the topic should be selected carefully, reviewed,
and presented critically. This is where the researcher can show that he/she is familiar
with major works done on the topic. Work done by others should lead to a clear
impression of what has already been done, the methodologies used, and the theories
applied in previous studies. This section will show the need to conduct the study and
how the study will be able to fill in a knowledge gap regarding the topic in question.
Methodology or Research Design
In this section, a description of the proposed research should be given clearly so that
other specialists in the area can study, vet, and understand your design. This section
31 Designing a Research Proposal in Mixed-Method Approach 443

is very important, and it is necessary to justify the mixed-method approach for the
study. Explain what the purpose of the qualitative method is and what the purpose
of the quantitative method is and in which order each method will be applied. It will
be prudent to be realistic about the study so that the design is achievable and can be
accomplished in the time frame available.
Theoretical Framework
Describe clearly the theoretical focus of the study, the philosophy that it carries, and
the implications that it has for your proposed study. Who is the proponent of the
theory? Who else has built upon the theory? Will this study be using the main theory
or will you use a model that has arisen from it? Have studies been conducted using
the proposed framework? If possible, draw a figure of the framework that connects
the theory to your study by drawing connections between the variables to the sample,
tools, and projected findings. Your framework should show how you are using the
quantitative and qualitative techniques and how they will merge to carry out the
study.
Sample Design
Carefully separate the two types of studies as distinct phases so the requirements
and specific methods can be explained, e.g., the sampling methods for the quan-
titative part of the study and qualitative parts of the study. Describe each sample
using the demographics used for the selection of the study sample and the number in
each category. For example, you may wish to present the quantitative sample using
a table that shows the number of participants and the demographic data (like age,
gender, nationality, socioeconomic status etcetera) used for the selection together
with the quantitative tool selected (such as a survey or questionnaire). For the quali-
tative sample, describe the number of participants, the method of selection, and the
demographics used to select the participants. Draw a table for the sample selection
to provide a clear and concise description of the sample and the reason for their
selection.
Data Collection Tools
For the mixed-method study, the tools will be both qualitative and quantitative. There-
fore, a clear description of both tools is necessary. For a quantitative tool like the
questionnaire, for example, a clear description of the various sections of the ques-
tionnaire will be useful. It will be logical to defend the questionnaire categories by
connecting them to the study’s objective and research questions. Provide a set of
categories that will be included in the questionnaire.
For the interview (or any other qualitative method such as observations, audio/video
recordings etcetera), describe the type of questions that will be asked at the interview.
This too must be tied to the objective and research questions. Provide an interview
schedule for greater clarity and the observation techniques that will accompany the
interview.
444 L. V. Sankar

Sites and Venues of Research

In this section, describe where the tools will be administered. How will the ques-
tionnaires, for example, be distributed and collected? Where will the interviews
or audio/video tapings be conducted? Is there a particular reason for choosing the
venues?
Data Analysis Methods
In this section, separately describe how the analysis of both the qualitative data and
the quantitative data will be analysed. Give a clear idea of the statistical tools that will
be used to measure the questions asked in the questionnaire; what variables will be
tested; whether they are simple percentages and counts, content analysis; or whether
you will be using software tools such as SPSS or ANOVA.
Similarly describe and discuss the method of analysis of the qualitative data from
interviews, audio/video, or other textual material. Discuss the form of analysis of
the visual data as well as the interviews that will probably be transcribed, in a
proper format with coding categories that have been chosen from both the theo-
retical perspective and the research questions. How the thematic analysis will be
done after the data have been coded needs to be explained clearly and carefully.
Limitations of the Study
In this section, it is important to outline the limitations of the study with regard
to geography, sample, tools, or any other factor that limits the findings from being
generalized to the whole population. The findings from the qualitative part of a mixed-
mode design cannot be generalized, and this must be mentioned in the limitations,
whereas the quantitative findings may (if the sample collected falls within acceptable
levels) be generalized.
Ethical Considerations
It is important to comply with the ethics policies of the country or organizations
promoting the research. It usually involves a statement saying that all ethical regu-
lations will be followed and identifies any specific problems which might occur and
what the researcher would do if these did occur. Participants of the research should be
briefed about the research aims and objectives and assured of anonymity. A consent
form should be signed by participants who take part in interviews and are recorded
in some manner.
Research Timeline
Present the proposed timeline of your research from when you will start your research
study to when you propose to finish. Draw a Gantt chart or a table that will show
a schedule for completing all of the different parts of the research study. Having a
schedule with dates is essential to complete the study on time.
31 Designing a Research Proposal in Mixed-Method Approach 445

Conclusion
Conclude your research proposal by providing a summary of your proposed plan
for your study by including the research aim, theoretical focus, sampling method,
data collection tools and the method of analysis, and anticipated contributions of the
study.
List of References
At the end of the proposal, a list of references should be provided using a common
method such as APA or other approved styles such as the Harvard and MLA. Consis-
tency is necessary so that whatever style is chosen should be followed scrupulously
throughout. All references used in literature review, the introduction and problem
statement, data analysis, and all through the proposal should be listed.

Conclusions

The mix of a qualitative and quantitative approach to conducting a study is called

a mixed-method study. This chapter explains what mixed-method research is by
providing a definition and outlines when and how to use it. A research proposal is
an important document that outlines a plan for a research study. It should contain
pertinent and sufficient information for the application of grants, scholarships, these
proposals, and other scientific studies to be examined and approved by a panel of
examiners. This chapter provides a guide on how to write a research proposal for a
mixed-method study.

References

Bulsara, C. (2014). Using A Mixed Methods Approach To Enhance And Validate Your
Research. Notre Dame University. https://www.google.com/webhp?sourceid=chrome-instant&
ion=1&espv=2&ie=UTF-8#q=dr%20caroline%20bulsara%20mixed%20methods
Creswell, J. W., & Plano Clark, V. L. (2011). Designing and conducting mixed methods research
(2nd ed.). Sage.
Creswell, J. W. (2003). Research design: Qualitative, quantitative, and mixed methods approaches.
Sage.
 Part VI
Data Collection Instrument Development,
Fieldwork and Research Ethics
Chapter 32
Preparation and Development of Data
Collection Instruments for Social
Research

M. Rezaul Islam

Abstract The objective of this chapter is to give a clear idea to the research students
on the preparation and development of data collection instruments for conducting
social research. There are numerous debates about the types of data collection instru-
ments in social research. I have written off all of these instruments into main three
categories, such as interview schedule, guideline, and checklist. First, this chapter
provides the general rules for the preparation and development of these instruments
and then describes the preparatory stages. Secondly, it provides a template of each
type of instrument.

Keywords Social research. · Data collection. · Data collection preparation. · Data

collection instruments

Introduction

The preparation and development of data collection instruments are one of the main
phases of the social research process. It is said that the quality of research find-
ings in the light of research objectives and research questions fully depends on the
proper preparation and development of data collection instruments. The data collec-
tion instruments are synonymized by different names such as questionnaires and
data collection tools. Social research is a highly sensitive idea/project, which annals
the human perception/opinions on a particular area of human life. In general, data
collection is the process of gathering information on specific variables in a recog-
nized organized manner that aids one to respond to pertinent queries according to the
objective and research question of a particular study. However, this is crucial how we
are preparing and developing our data collection instruments. Here, data collection
instruments are the main tools for data collection. However, the mental and physical

M. R. Islam (B)
Institute of Social Welfare and Research, University of Dhaka, Dhaka 1205, Bangladesh
e-mail: [email protected]
Centre for Family and Child Studies, Research Institute of Humanities and Social Sciences,
University of Sharjah, Sharjah, United Arab Emirates

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 449
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_32
450 M. R. Islam

preparation and alerts are preconditions for good and well-organized data collection
instruments.
It is remarkably observed that many research students or even professional
researchers are not very serious during the preparation and development of data
collection instruments. This phase is very important because the quality of data
generally depends on the quality of data collection instruments. Therefore, in every
PhD research project, a few months are allocated for developing these data collec-
tion instruments. The type and number of questions, size and nature of questions,
the language, time, and data management, all completely depend on the veracious
preparation of data collection instruments. In quantitative research such as laboratory-
based research, medical research or any research that involves life risk is important
to take sufficient preparation in developing a questionnaire. Such research also has a
high financial involvement. Qualitative research, such as corruption, mental health,
human rights, trafficking, abusing or even service evaluation, needs more careful
preparation for the development of data collection instruments.

Rules for Preparation and Development of Data Collection

Instruments

There is no specific rule or template to prepare data collection instruments. The sorts
of rules and preparation required mostly depend on the particular data collection
method, particular data collection tool, and research objective. The field setting is also
important. The number of data collection instruments, size and types of questions,
length of data collection, and the procedure are significant considerations. Here, the
students need to be careful to verify whether sufficient opportunities are prevailing in
the data collection instruments that can fulfil the research objective. In some studies,
there should have a ‘prove’ option in the instruments so that the data collectors can
prove the facts through observing in the field. In many cases, the researchers need
some contextual information, such as community setting and ecological settings, or
they may need some more detailed information on a particular case. However, the
students should provide sufficient options in the data collection instruments so that
they can collect information according to their research objectives. In some cases,
there may have physical or emotional harm or the matter of confidentiality from both
sides (researchers and respondents), which should be minimized. However, the data
collection instruments should have such kind of option for this minimization.
In some cases, there are a lot of challenges and limitations in both commune and
procedural levels in qualitative research (Islam et al., 2014; Islam, Siti Hajar and
Wahab 2013). In this case, the researchers face tremendous challenges to conduct
their studies. This is particularly true in the countries like Bangladesh, where the
researchers may face some challenges that are related to their mental and physical
harm. As a result, they may face contradiction in using ethical guideline that is
related to the reliability and validity issue. This may happen during conduction
32 Preparation and Development of Data Collection Instruments … 451

of focus group discussion (FGDs) in a particular community, where the research

objectives sometimes may go against the particular group of respondents who are
involved or who have support to a particular political party. For example, the role of
Islamic NGOs/Islamic faith-based NGOs towards human development or even any
NGO which is identified as the opponent of the current government may observe
a similar threat from the particular group of participants. However, this is alarming
for the researchers to be aware of this kind of matter during the preparation of data
collection instruments.
Levinson et al. (1999) mentioned eight significant aspects that should be consid-
ered to prepare data collection instrument, e.g., (i) draft the content of the instrument
based on pre-determined information needs, (ii) pay attention to language, (iii) craft
questions carefully, (iv) optimize the sequence of the questions, (v) make the format
easy to follow, (vi) check for consistency between instruments, (vii) pre-test the
instrument, and (viii) revise the instrument. Though I would argue that this is difficult
to follow the particular format or prescription from the literature about the particular
rules during the preparation and development of data collection instruments. This
absolute depends on the particular piece of research, its objectives, nature and types
of data, time, location, the community settings where the research will be conducted,
researchers’ experiences and quality, and use of data. Even there is no clear-cut state-
ment about the total time for an interview or the number of questions. In many cases,
some interviews can run one hour and some can be several hours. It also depends on
the type and nature of data collection instruments. An in-depth case study even can
continue for several days or months according to the phase/objective of the research.
The most important is to prepare the data collection instruments in such a way so
that a PhD students can:
• Manage his/her research within his/her schedule.
• Utilize the research opportunities sufficiently within the time frame.
• Afford the research.
• Collect data sufficiently according to the research objective.
• Tackle the challenges and limitations in the field.
• Communicate with the respondents easily according to their level of education
and understanding.
• Collect data according to the satisfaction of the participants, etc.
To consider the above discussion, I have provided some general rules (Box 32.1)
to prepare data collection instruments that are generally applicable to all types of
research and data collection procedures.

Box 32.1: General rules for data collection instruments

• Include all questions and aspects in the light of research objectives and
research questions
• Maintain the sequence of the questions in the instruments
452 M. R. Islam

• Make the language of the instruments easy, short, understandable, simple,

specific, and self-explanatory
• Prepare the instruments in the local language
• Consider the language ability and knowledge of the respondents
• Put the ‘probe’, if it is needed
• Careful about the age, education, and cultural aspects of the respondents
• Prepare the questions especially for the interview schedule such a way
that creates an opportunity to build up a rapport between researcher(s) and
respondent(s)
• Do not ask any questions in the instruments that can upset/hurt the
respondent(s)
• Try to avoid the sensitive questions if it is not needed to avoid possible
harm/conflict such as political issue or matter of confidentiality between
researcher(s) and respondent(s)
• Try to put all basic information such as date and time and identity such as
age, group, education, etc., in the instruments
• Instruments should be manageable in terms of time, cost, and stan-
dard/quality.

Stages/Phases of Data Collection Instruments

In research, the stages/phases of the preparation and development of data collection

instruments are very critical. Most of the social research consults human perceptions,
human behaviour, culture, human practice, and their norms and values. From indi-
vidual, group, and community perspectives, many issues are human sensitive. Many
aspects are related to their sensitivity, choice, privacy, and confidence. Therefore,
the instruments should have some assurance to consider all these issues properly.
As a result, the asking information and question should be arranged or organized in
such a way that the participants/respondents feel relaxed, confident, and reliable to
express their opinions. Otherwise, they may hide some sensitive issues or overlook
those issues intentionally, which would be questions of the reliability and validity
of data. This is very important that the asking questions will be written or told in
such a way that creates more confidence among the participants when the asking
questions or discussion will progress. Some questions or aspects which can be asked
later that should not be asked earlier or some issues which can attract a particular
individual’s current or past status should not be asked in such a way that can interrupt
to conduct data collection activity. In some cases, the researchers should not take
some information about the respondents such as their name or even some informa-
tion such as ‘age’. Here, the participants do not want to recognize themselves or they
may feel that this information might be the cause of their harm and threat. However,
32 Preparation and Development of Data Collection Instruments … 453

2. Demographic
1. Identification ans socio- 3. Objective
pahse economic data phase
phase

Fig. 32.1 Stages/Phases. Source Developed by author

in these cases, the researchers should not write respondents’ ‘names’ or sometimes
they should not ask their age.
In general, a data collection instrument such as schedule, guideline, or check-
list should be three stages/phases such as identification phase, demographic and
socioeconomic data phases, and objective phase (Fig. 32.1).
• Identification phase: This phase includes the following aspects:
• Title of the study.
• Clarification of research objective.
• Funding and operational organizations.
• Use of data, and privacy and confidentiality.
• Date, time, and duration of data collection.
• Respondents’ basic information such as name and age (if required).
• Demographic and socioeconomic data phases: This phase includes all basic
information about the respondents’ demographic information such as participant’s
age, number of family members and their age, relationship with the respondents,
and marital status and the socioeconomic information such as occupation, income,
expenditure, resources and properties, education, ethnicity, religion, geographical
location of residence, housing, health and sanitation, institutional involvement
and membership, recreation and culture, and social gathering. This is noted that
what kinds of information would be needed for a particular qualitative study fully
depends on the aspect/area/objective of the research. Nevertheless, in general,
every research should take some demographic and socioeconomic information.
Some researches that are more related to the demographic status need more demo-
graphic information. Some researches such as poverty, nutrition, and health need
more information on socioeconomic information.
• Objective phase: This is a very important phase of data collection instruments.
This phase can be divided into two, three, or more sub-sections. The number of
sub-sections will purely depend on the number of research objectives and vari-
ables. In general, a researcher considers the number of this sub-section according
to the number of research objectives in the light of the selected variables. The
454 M. R. Islam

length and content of the questions also depend on the type and nature of the
answers the researcher is required.
The following sub-section clarifies these phases.

Types and Templates of Data Collection Instruments

There is a wide range of criticism and debate about the types, natures, and templates
of the data collection instruments. In general, no universally accepted template should
be followed in all studies. Again, it depends on the particular piece of research, type
and nature, research objective, types of data required, and time and context of the
research. Even there is a certain level of confusion and debate about the types of data
collection instruments against the nature and type of research, and data collection
methods. In this section, I will introduce some templates of data instruments that a
PhD student should follow. In general, three types of data collection instruments are
used in the research:
• Interview schedule.
• Guideline.
• Checklist.
Table 32.1 presents the types of data collection instruments against the nature and
types of research and data collection methods.

Table 32.1 Data collection instruments, nature and types of research, and types of methods
Types of data collection Research approach Types of research Types of methods
instruments
Interview schedule Quantitative Social survey Interview
Qualitative Case study In-depth case study
Mixed method
Guideline Qualitative Case study Focus group discussions
(FGDs)
Key informant
interviews (KIIs)
Checklist Quantitative Social survey Observation
Qualitative Case study Community mapping
Ethnographic Discourse analysis (DA)
Documentation survey Documentation survey
32 Preparation and Development of Data Collection Instruments … 455

Interview Schedule

A schedule or interview schedule is the most important, popular, and widely used
data collection instrument. This is used in both qualitative and quantitative research
and mixed-method in social survey and case study research. A schedule is a set of
questions with structured answers to guide a researcher. It is a plan or guideline for
investigation. The schedule is a list of queries that are required to examine the hypoth-
esis/research objective. Simply, a schedule is a set of questions verbalized and offered
with a specific determination for testing an assumption/hypothesis/objective. Usually,
a research interview involves a steered dialogue between two people—the researcher
and the participant. Interviews may be conducted face-to-face as when two people
are sitting together having a conversation guided by the interview schedule, or they
may be conducted over the telephone. An interview can be closed-ended with struc-
tured questionnaires or open-ended with unstructured questionnaires. Many inter-
view schedules can be with a semi-structured questionnaire. This is important to be
careful that there is an opportunity to use the ‘observation’ method in the face-to-face
interview. However, if there is anything that needs to get ‘proven’ should have an
opportunity or keep an option in the interview schedule to do this. Here are examples
of structured and semi-structured interview schedules.

Structured Interview Schedule

The structured schedule is used in social research where all answers to the required
questions are given. Usually, this kind of instrument is used when the answers are
known or discovered but needs to put ‘tick’ which is the level/category of the answer.
The Likert Scale is mostly popular in the structured interview schedule. Here are three
examples of the Likert Scales (Figs. 32.2, 32.3 and 32.4).

Semi-Structured Interview Schedule

The semi-structured interview schedule is one of the popular data collection instru-
ments in the qualitative research method. When a researcher wants to know some
opinions in a short format such as what, when, how, and why. This is often used when
the answers are not quite sure or there are some options of the answer, but difficult
to limit it in a scale such as Likert Scales. In some cases, a researcher needs some
bit detailed answer to a particular question. Here is an example of a semi-structured
interview schedule. We assume that the main objective of this study is to explore the
456 M. R. Islam

Fig. 32.2 Likert scale: Form

1 Source Developed by
author

Fig. 32.3 Likert scale: Form

2 Source Developed by
author
32 Preparation and Development of Data Collection Instruments … 457

Fig. 32.4 Likert scale: Form 3 Source Developed by author

daily activities the street children in Dhaka city are doing and what sorts of chal-
lenges they face in the street. Here are two main questions and some sub-questions
for an example (Box 32.2).

Box 32.2: Interview Schedule Main Question: What does street children
do in his/her daily activities?
Sub-questions:
• What time do you get up early in the morning?
• What do you do in the morning time?
• What do you do in the noontime?
• What do you do in the afternoon time?
• What do you do in the evening and at night-time?
• Do you eat three times daily?
• What do you eat at your breakfast, lunch, and dinner and who pay the bills?
• Give a list of your daily activities (usually you do)?
• Do you do any work and what are those? If you work, how much amount
do you earn every day?
• Do you have any friends and who are they?
• Do you have any relatives in this city and do you visit them?
• Do you get any help from them and what types of this help?
458 M. R. Islam

• How do you get your recreation? Give bit detail

• How do you collect or buy your dress?
Main Question: Do you face any kind of challenge in the street?
Sub-questions:
• Do you get your all necessities as you required? If not why?
• Do you face any physical harassment by anybody? What are those?
• Do you face any psychological problems and what are those?
• Do you face any sexual abuse? If yes, tell me more about this? (nature,
types, and trend)
• Do you face any other types of discrimination and abuse? What are those?
• Do you get any kind of police harassment and what type of harassment?
• Have you been forcedly evicted from your living place? How many times
and what did you do at that time?
• Do you get any help/assistance from the government, NGO or community-
based organizations, or individuals? What are those?
• Do you feel insecure about your life such as your education, your health,
and your job in future?
• What do you suggest to improve your lives and livelihoods?
Source Prepared by the author

Guideline

This is one of the significant data collection instruments that is used to collect data
from qualitative data collection methods such as FGDs and KIIs. The nature of
the statement of a guideline will be very simple and should be written in assertive
sentences, with no question mark. The aspects or contents of this guideline should
be arranged/organized in such a way, where a researcher can maintain the sequence
of the information as required in his/her research objectives. This is important that
the nature of this checklist depends on the particular respondents/group of respon-
dents and the research objective. If this guideline applies to an individual respondent
such as KIIs, this should focus/address the individual’s attention properly so that
the participant can feel relaxed, comfortable, confident, and free. If the checklist
applies to a group of people such as FGDs, the instrument should provide sufficient
opportunity to all respondents so that everybody gets an equal chance or opportu-
nity to express their comments/opinions. In qualitative research, we apply this kind
of instrument with the verities of respondents such as community people, commu-
nity leaders, NGO workers, government officials/representatives, practitioners, key
persons, management people, and the people based on their occupational status.
32 Preparation and Development of Data Collection Instruments … 459

However, the nature of language and type of questions should be according to the
status of respondents.
Here is an example of FGD guidelines (Box 32.3). The main objective of this
guideline is to explore some expert-level opinions from the members of civil society,
NGO workers, human rights workers, policymakers, development practitioners, and
journalists who work in relevant fields.

Box 32.3: FGD guidelines (Community leaders)

1. General perceptions about street children in Dhaka city
2. Principal causes to be a street children
3. Your experiences that the problems, challenges, and discriminations the
street children face?
4. Legal protection and available services for street children in Bangladesh
5. Your suggestions to reduce the number of street children in Dhaka city
Source Prepared by the author

Checklist

The checklist as a data collection instrument is used in both quantitative and qual-
itative research and the research methods such as social survey, case study, and
ethnographic and documentation survey methods. This instrument is usually used in
qualitative data collection techniques such as observation, community mapping, and
discourse analysis (DA). The format of this instrument is similar to the structured
questionnaire. Here, all of the possible options are mentioned, and the researchers just
put ‘tick’ on the applicable possible options. Sometimes, some information may be
left as black and the researchers just insert the right number or answer. This instrument
is frequently used in observation methods, community mapping, and documentation
surveys in library research. The nature of the format of such an instrument is simpler
than the schedule. This would be very short and specific.
Here is an example of a checklist for observation techniques (Box 32.4). This
checklist includes some queries that are possible to observe of street children. This
checklist is a part of the semi-structured interview method, and information was
checked and recorded during the interview period. The interviewer/observer recorded
the situation of a street child during the interview period.
460 M. R. Islam

Box 32.4: Observation checklist

Name of Observer……………………. Date:………… Time
Start……………………
Time Finish………………. Time Taken………………………
1. Physical/health condition of the street child: Very good  Good  Average
 Bad  Very bad 
2. Mental/psychological/emotional expression: Very good  Good 
Average  Bad  Very bad 
3. Clothing conditions: Very good  Good  Average  Bad  Very bad
4. Any sign about physical torture/abuse: Yes  No 
5. Type of work s/he is doing during the interview:
………………………………
Source Prepared by the author

Here is an example of a checklist that is used in community mapping. Sabur (2013)

used this checklist to know the sanitation system in a community in Bangladesh
(Fig. 32.5). Here, the researcher sketched a community map in a particular commu-
nity, where the research was conducted and recorded all major information related
to sanitation such as a house, hillock, road, tube well, pond, mosque, madrasa, well,
and temple. It is important that which type of information and data the researchers
will record depends on the research objective.

Fig. 32.5 Community mapping Source Sabur (2013)

32 Preparation and Development of Data Collection Instruments … 461

Conclusion

Preparation to develop data collection instruments is a core task of a PhD student. The
quality and efficiency of research exclusively depend on this important phase. This is
suggested that a student will give sufficient and fruitful time to prepare and develop
the required data collection instruments. Three important considerations are crucial
to prepare and develop effective and useful data collection instruments, e.g., to look
at the principal concepts used in the study, to look at the research objectives and
research questions, and to justify the applicability of the main theories/approaches
used in the research. A PhD students always look at whether all of these aspects
are inclusively included in the data collection instruments. This is important that
due to time constraints, financial shortages, and lack of availability of environmental
convenience, it may not possible to rearrange the data collection further if it ends.
However, a student should take the necessary initiative during the preparation and
development of data collection instruments.

References

Islam, M. R., Cojocaru, S., Siti Hajar, A. B., S., Haris, A. W., & Sabri, S. (2014). Commune and
procedural level challenges and limitations in conducting social research in Malaysia: A case of
disabled people. Revista De Cercetare Si Interventie Sociala, 46, 255–272.
Islam, M. R., Siti Hajar A. B., A., & Haris, A. (2013). Local knowledge in the lips of globalization:
Uncertainty of community participation in NGO activities. Revista De Cercetare Si Interventie
Sociala, 43, 7–23.
Levinson, F. J., Hicks, K. M., Rogers, B. L., Schaetzel, T., Troy, L. M., & Young, C. (1999).
Monitoring and evaluation: A guidebook for nutrition project managers in developing countries.
World Bank.
Sabur, M. A. (2013). Better sanitation, with communities taking the lead. Community Eye Health,
26(82), 28.
Chapter 33
Fieldwork for Data Collection:
Preparation and Challenges

Md. Abul Hossen

Abstract Field research is an important aspect of any empirical social study. Field
research can be challenging, exciting as well as rewarding and daunting too. The
purpose of this chapter is to discuss the meaning and importance of field research
and to provide a basic understanding to the new researcher who wants to conduct
field research about the process of field research. While the chapter highlight the
common field research practices, it will also discuss the potential tensions, dilemmas
and challenges that may encounter during field research and the possible strategies
needed to address them. This chapter argues that researcher should be sensitive and
careful regarding reflexivity, positionality, and the relations of power during field
research in order to conduct an emancipatory, democratic, and culturally sensitive
field research. Such activity includes greater attention to the openness about the
purpose of the research and activities undertaken, self-disclosure, mutual sharing
of information, and explicit recognition of the expertise of the participant that they
gained through lived experiences.

Keywords Social research · Field research · Field preparation · Data collection ·

Field-level challenges · Local context

Introduction

Field research is one of the most challenging parts of social research that offer new
insights into the phenomena under study. Field research demands constant negotiation
among interest, situations, and logistics (Scott et al., 2005). Field research as a part of
social science research brings the researcher closest to the research participants and
the community under study. It is a dynamic process where exchange and interaction
occurred between and among the different actors involved in the research process.
Field research is the process of observing and collecting data about people, cultures,

Md. Abul Hossen (B)

Department of Social Work, Jagannath University, Dhaka 1100, Bangladesh
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 463
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_33
464 Md. Abul Hossen

and natural environments. It also provides an opportunity to examine and understand

the way scientific theories interact with real life.

Field Research: Conceptual Underpinning

In general terms, field research is defined as “field research is the study of people
acting the natural courses of their daily lives. The fieldworker ventures into the
worlds of others to learn first hand about how they live, how they talk and behave,
and what captivates and distressed them…. It is also seen as a method of study whose
practitioners try to understand the meanings that activities observed have for those
engaging in them” (Emerson, 2001:1). Schatzman and Strauss (1973:14) explained,
“field method is more like an umbrella of activity beneath which any technique
may be used for gaining the desired knowledge, and for processes of thinking about
this information”. More explicitly, field research is characterized by its location and
by how it is conducted. Concerning location, field research is carried out in natural
settings; for example, anthropologists spend extended time with distinct communities
or social workers trying to understand the daily life of people living in the shelter
homes.

A Brief History of Field Research

British social anthropologist BronislawMalinoski (1844–1942) was the first

researcher to live with a group of people for a long time and provide a detailed
picture about his data collection process whereby he explained the pain and pleasure
of field research. Malinoski suggested that “social researchers should directly interact
with and live among the native peoples and learn their customs, beliefs, and social
processes” (Neuman, 2001: 380). Contemporary sociological field research has its
origins in the social reform movement of the turn of the twentieth century, in which
the description of the life and conditions of the urban poor was viewed as paving
the way for change and improvement. The reform movement found its strongest
academic expression in the Chicago School in early 1920. In the second phase, from
the 1940s to the 1960s, the Chicago school developed participant observation as a
distinct technique. It expanded an anthropological model to groups and settings in
the researcher’s society. They tried to study people in their natural habitat by directly
interacting with the community and getting a sense of the complex situation and
makinga theoretical statement.
33 Fieldwork for Data Collection: Preparation and Challenges 465

Preparation for the Field

All research begins with a “hunch” that the researcher has. It is expected that the
researcher is supposed to have an initial idea about the issue that is under study. The
researcher should not go into the field as a “blank slate”. If the researcher went to
the field without minimum knowledge about the community, culture, and people, he
will face difficulty how to start, what to talk to, whom to talk to, and how to talk
even how to start the initial research process. In absence of an initial understanding,
the field research might be ended up with a pleasure trip. Hence, the researcher must
visit the field having read up on the works of other researchers or newspaper articles
or information from any other source so that the researcher get an initial idea about
the nature of the field, the complexities, the threats, and the opportunities that might
have in the field.
Wax and Wax (1980) in their article on ‘Fieldwork and the Research Process’
underscore the need for studying the scholarly articles and available literature to learn
the complex issue that is under investigation before entering into the field, which they
call as a ‘mark of respect for the respondents’. John Davis in “Fieldwork” (Davis,
1984) also suggests the researcher to gather useful and valuable information about
the debate in their respective field prior to entering in the field.

Steps in Field Research

Field research is considered as a focal point or backbone of any research. So to

undertake meaningful fieldwork, proper strategy and careful planning is very crucial.
So the researcher would make a road map regarding every step of field research. In
this regard, some tips may be helpful:
• Prepare oneself psychologically and mentally, study the works of other researchers
and scientific journals to get an initial understanding, and defocus.
• Select a study site that is comparatively easy to gain access.
• Enter the field, connect, and interact with local people, establish social relations
with them.
• Watch, hear, listen, and try to collect rich and thick data.
• Start interviewing the participants.
• Take a break and think about what is going on.
• Disengage and physically leave the setting.
• Give final thought on data gathered and analyse them carefully, have a member
check, and write a report.
466 Md. Abul Hossen

Methods of Data Collection

The most commonly used method of collecting data is the interview, observation,
and focus group discussion. In the interview, method participants are asked ques-
tions, basically open-ended, and the responses are recorded by the interviewer in a
face to face situation. On the other hand in the observation methods, the researcher
observes the social phenomena in natural settings, and in focus group discussion,
the participants are brought together in groups, and the interviewer, while using a
general discussion guide, elicits detailed information through probes.

Issues and Challenges of Field Research

Familiarizing Yourself with the Literature

Before getting involved directly in the field, one should prepare himself by reviewing
the relevant literature that will assist him in deciding what to look for while in the
field. Such preparation plays an important role in enabling him to appreciate in a
more meaningful way whatever he may observe in the field. However, there is a
danger of over familiarizing oneself ahead of time.

Selecting Site for Data Collection

To go for fieldwork first things, you need to identify the setting or population of
interest. Before selecting a research site you might need to think about the three
factors such as whether the site is easy to enter, the probability of getting cooperation
from the community and the risk associated with the process. Although this ideal is
seldom attained, you should describe what makes the selections of this particular site
especially sound. Sometimes, a site might look interesting initially considering its
richness, diversity, and the research objectives you intend to gain but if you cannot
get entry into it, it would be ended up as a futile exercise. So you have to be careful
and smart enough to select a study site.

Gaining Entry into the Field

The next concern is to gain direct entry into the setting. The situation is much more
demanding than it may seem. Examples vary from one extreme to the other—while
in some cases, researchers are welcomed warmly by the members of the group to
be studied, and in other cases, either they are not allowed to enter the field at all or
33 Fieldwork for Data Collection: Preparation and Challenges 467

are thrown out after they have been in the field for quite some time. As Marshall
and Rossman (2006:110) suggested, “you need to discuss steps taken to gain entry
into the setting and to secure permissions to study the participants or situation. A
probable gatekeeper may be a thug on the corner, an administrator of a hospital, or
the owner of the business, formal or informal leaders, and pimp in the brothels”.

Establishing Rapport

The researcher needs to establish a proper rapport with the participants. This is a way
to gain an understanding of participants and their complex situations. This will open
up a window to seeing, feeling, and observing events from different perspectives. If
the researcher can gain the participant and community complete trust, they are likely
to be less formal and more cooperative, and hence, the data will be of higher quality.
Otherwise, he may end up collecting information much of which may not be of any
real use.

Strategies to Address the Challenges

Mutual sharing, reflexivity, relationship building, flexibility, and maintaining dialog-

ical relation is a key to minimizing the concerns that might arise during the field
research process (Wahab, 2003). The researcher needs to undertake several steps to
deal with the issue:

Negotiating Power

Power is a central aspects of any field research, and it is very important to neutralize
power differential to get true data (Lal, 1996). Notions of research being subjec-
tive and value-free have been radically challenged by feminist theorists (Haraway,
1991;Harding, 1991; Hartstock, 1987). The feminist always critical about the hierar-
chical relations of power between researcher and participants and seek to eliminate
hierarchies in knowledge production process. Qualitative researchers committed to
build good mutual relations with their research participants in order to get authentic
data and to democratize the research process. The researcher needs to be aware about
the power relations during different stages of the research process such as data collec-
tion, analysis, and publishing and be strategic to resolve this dilemma and tension to
foster an egalitarian relationship with the participants.
468 Md. Abul Hossen

Tacit Acknowledgement and Recognize Their Experiences

and Expertise

Recognition of peoples experience and expertise is very important to conduct eman-

cipatory research. You can start your interview by saying ‘you are the expert in what
we are going to talk about. Therefore, as much as it is with your capabilities, I would
like you to use your expertise and knowledge in providing answers to the questions
that will be posted to you’. You need to constantly remind participants that there are
no right or wrong answers and that their responses are a reflection of their unique
experiences. This statement aimed to achieve two things: First, it serves to reaffirm
their sense of worth and respect for the knowledge they possess. Secondly, it is a
way of saying the power is in your hand to drive the affairs of the encounter and also
to boost up their morale that they know lots of things to offer in the scientific world.

Encourage Participants to Ask Questions

Phoenix (1994:63) has mentioned that “another way to develop rapport and balancing
power in the interview situation is to encourage participants to ask questions and
provide them as much information as possible about the intended project and
their nature of cooperation”. These techniques are very helpful in that it reduces
any mystery that surrounds the researcher. By encouraging personal questions and
providing an honest answer to the participant’s questions it is possible to make a
friendly relation with participants and this way we can avoid the tension that might
have in participants minds. It can also help to build trust with the participants which
ultimately encourage participants to provide a truthful answer to research questions.

The Dichotomy of Insider and Outsider

One of the issues that come across the literature is that of representation of researchers
own positionality. Positionality is defined as a researcher’s insider or outsiders status
vis-à-vis the research and research site in which the research take place. It is also about
one’s social position, power, status in the form of knowledge and resources (Herr &
Anderson, 2006). Herr and Anderson (2006) advance this point that researchers
assume multiple positionalities at different points of the study. Clarity about the
position of the researcher about the research is important because it defines the
researcher’s epistemological, methodological, ethical direction and has implications
for validity claims and research ethics (Herr & Anderson, 2006).Hence the researcher
needs to accept that the relations between researcher and participants are hierarchical.
At the same time, researchers need to recognize, understand, and manage his/her role
as a researcher and take responsibility for their work (Kobayashi, 1994).
33 Fieldwork for Data Collection: Preparation and Challenges 469

Strengths of Field Research

The prime strength of field research is that it provides detailed, rich, and fresh data
about the people, situation, and a process that a researcher is interested to know.
Other techniques or methods of data collection such as experiments and surveys
cannot provide us with that much information that we get from field research. It is
the field research whereby a researcher spends extended periods with the respondent’s
community as a result, the researcher gets a sense of the surroundings and can unearth
many sociocultural complexities and facts that are very much essential to understand
the settings and situations.

Ethical Considerations

Research does involve collecting data from people, about people (Punch, 2005).
Social research involved human subjects so it is very important to think about the
welfare of research participants in every possible way. The researcher should always
be careful about the right of the participants and protect them from any harm that
might emanate from the research process.
As Isreal and Hay (2006) underscore the importance to develop the trust with the
participants and to show respect, the rights, privacy, needs and privilege of the partic-
ipants to foster a democratic relationship so that the human rights of the participants
can be protected and maintained. The researcher should inform the participants about
anonymity. The respondents have every right to know about the research, research
process, their nature of involvement, the withdrawal procedures, and the intended
benefit yield from the research.

Conclusions

The most exciting and rewarding part of social research is field research. It is also a
dynamic process that involves the constant negotiation of complex relations, interests,
situations, and logistics. Since each field is different itis difficult to provide a precise
set of rules and procedures for conducting field research. What a field researcher does
depend on the situation, the purpose of the study, the nature of the setting, and the
skills, interests, needs, and point of view of the field researcher. To gain maximum
benefit from field research, it is essential to have a plan, establish trust, and maintain
a respectful relationship with communities and participants. Finally, it should be
noted that field research is an adventurous journey for the researcher and it demands
very careful and systematic planning. At the same time, it should also remember
that it would never be a rigid process rather researcher should be flexible, make
constant adjustments to conduct democratic, emancipatory, and culturally sensitive
field research.
470 Md. Abul Hossen

References

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Planning, 19(4), 279–288.
Emerson, R. (2001). Contemporary field research: Perspective and Formulations. Waveland Pr. Inc.
Haraway, D. (1991).Siminascybrogs and women: The reinvention of nature. Routledge.
Harding, S. (1991). Whose science? Whose knowledge? Cornell University Press.
Hartsock, N. (1987). The feminist standpoint:Developing the ground for a specifically feminist
historical Materialism. In Harding S(Ed.), Feminism and methodology (p.157–180). University
of Indiana Press.
Herr, K., & Anderson, G. L. (2006). The action research dissertation: A guide for students and
faculty. Sage Publications.
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Chapter 34
Ethics and Empirics: Essence of Ethics
in Social Research

A. K. M. Ahsan Ullah

Abstract Over the last one and a half decades, some fundamental changes have
occurred in social research, and the renewed emphasis on ensuring ethical stan-
dards at every step of the research process constitutes one of such changes. The
purpose of the discussion here is to shed light on the fundamental steps and issues
concerning research ethics—as commonly encountered, especially by early career
researchers and research students—and highlight the fact that ethics constitutes an
essential element in maintaining the quality of research. The chapter focuses on the
primary stages, methodology, and procedures of ethical protections that the modern
social research institution has established to protect study participants’ rights and
privacy. Keeping the participant anonymous throughout the research process is one
of the fundamental principles of research ethics. Another important ethical consid-
eration concerns the hierarchies between researchers and participants (respondents);
one implication is that research participants may not be coerced into participating
in research anymore. They have the liberty to withdraw from the study at any time.
Depending on the level of (physical, psychological, political, and financial) sensi-
tivity, the matter of ethical approval for a particular research project has to go through
various levels of the ethical screening process.

Keyword Ethics · Social research · Institutional review board · Sensitivity ·

Confidentiality

Introduction

Without research, society would not have progressed as much as it has today. There
is no doubt that positive changes in policies and goals for human improvement have
resulted from research. As a result, a sound and ethically verified technique should
serve as the foundation for any research (American Psychological Association, 2002;
Resnik, 2015; Ullah et al., 2020). A decade ago, a hierarchy was maintained between

A. K. M. Ahsan Ullah (B)

Faculty of Arts and Social Sciences, University of Brunei Darussalam, Bandar Seri Begawan,
Brunei
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 471
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_34
472 A. K. M. Ahsan Ullah

the researchers and the researched, implying that the researchers are on top and the
researched at the bottom. Thus, the researchers are placed in a position to feel obliged
to furnish information. As the ethical standard is set, this trend is supposed to decline.
The risks and vulnerabilities that respondents/researched face should be considered
with care (Angell et al., 2006; Sales & Folkman, 2000; Ullah & Huque, 2014). This
means a significant shift has taken place about ethical concerns in research from the
previous decade.
In the pre-ethics age as if, whatever questions the questionnaires had could be
asked of the respondents. Privacy, the risk of injury, vulnerability to abuse, and the
implications of these factors were not significant. The practice has been in most
cases like respondents are coerced or made obliged to provide data, and they cannot
withdraw from being interviewed as they start. The reality is that the researchers
or respondents do not benefit from the research they are involved in. Instead, the
researchers reap an immediate benefit in reputation, upward mobility in professional
careers, and enhanced incomes. Of course, the results of the data benefit society, the
nation, and humanity as a whole. Nonetheless, they have been labelled as obligated
to supply information regardless of how destructive or unsafe it may be for them.
This is unethical by any reckoning.
The relationship between researcher and research is important in methodology.
Understandably, the researchers have been enjoying a privileged position over the
research. The inherent power imbalance between the researcher and researcher are
frequently discussed, but the problem is that the discussion is directed from the
researchers’ point of view (Råheim et al., 2016). However, some counter-arguments
defining what information counts in a specific researcher–researched interaction is
not the researcher’s entire responsibility because participants may bring their own
goal to the study scenario (Karnieli-Miller et al., 2009). Of course, this is not the
case for most research fields in Asia, Africa, and Latin America. Asymmetric rela-
tions between researcher and researched yield worse results than expected from data
collected from the area (Burns et al., 2012; Lalor et al., 2006; Malacrida, 2007).
The emergence of research ethics began to protect human and animal subjects
involved in any research in whatever way it takes. The first attempt to craft regulations
began during the Doctors Trial of 1946–1947, a segment of the Nuremberg Trials
for Nazi war criminals (University of Minnesota, 2003). In reaction to abuses during
medical experimentation on humans, the first contemporary code guiding research
ethics was formed during the Nuremberg trials of Nazi war crimes (Levine, 2009). “In
the Doctors Trial, 23 German Nazi physicians were accused of torturing and abusing
concentration camp inmates in grotesque and horrific “experiments”. Thousands of
victims were tortured, brutalized, crippled, and murdered in the name of research
by the accused doctors. Some of their experiments entailed exposing patients to
severe temperatures and altitudes to gain scientific data on the human body’s limits
(University of Minnesota, 2003: 1)”.
A fundamental question I am asked frequently ‘why research needs to be based on
ethical standards?’ My answer is simple: we cannot harm human and animal subjects
for our study due to ethical failures. The researchers have to stand to guarantee that
their research must not harm anything and anyone. If a researcher is asked questions
34 Ethics and Empirics: Essence of Ethics in Social Research 473

about their political opponents and the findings are published in any form, the study
could be in danger at some point in time. A researcher, for instance, either deliberately
or carelessly, falsified data in a clinical trial may endanger or even kill patients, and
a researcher who violates safety regulations may imperil his or her health as well
(Resnik, 2015).
Research that involves human and animal subjects raise unique and complex
ethical, legal, social, and political issues. Hence, a few objectives come to the fore
Burkhardt et al. (2014). They go on to argue that because ethical standards are
so widespread, it is easy to dismiss them as common sense, and why are there so
many ethical disagreements in our culture if morality is just common sense? The
primary objective is to protect human and animal participants from any risks and
vulnerabilities are emanating from the research they are involved in. The next one is
to ensure that research is carried out to benefit individuals and society. The other goal
is to assess the ethical soundness of specific research activities. While I concur with
Burkhardt et al. (2014), I contend that research ethics shift power from researchers to
those who are researched. Why is a power shift in researched–researcher necessary?
This chapter expounds on the key of research ethics and the processes involved
in ethics application. In doing so, personal experiences as faculty chair of the ethics
committee are the primary source as well as an applicant for ethics approval. Some
interviews have been incorporated in this chapter as well. Challenges involved in
research are primarily the issues of the researchers, and research ethics are related
to the interests of research.

Significance of Research Ethics

The principles of ethics guide us in doing our research without harming the partici-
pants of the study. Ethical guidelines in conducting research are essential to establish
the validity of the research. Since the emergence of research ethics, it has become an
important component of research methodology. A common review report on submit-
ting a paper for potential publication is whether the research [based on which the paper
is written] underwent ethical review. Also, budgets for research grants are released
subjected to ethical approval from a respective ethics committee. Resnik (2015)
offered a few reasons why ethical norms are important to adhere to in research and
justified the reasons by saying that norms promote the aims and integrity of research.
These efforts rectify fabrication, falsification, or misrepresentation of research data
and thus minimizing errors. Ethical standards encourage trust, accountability, mutual
respect, and justice, which are vital to collaborative work. Ethics ensure the account-
ability of the researchers to the public, which helps to build public support for
research. Research projects are more likely to be funded if the quality and integrity
of research are ensured through ethical procedures. This is due to the ethics’ bold
promises of social responsibility, human rights, and animal care, as well as legal
compliance and public health and safety (Dyrbye et al., 2007; Nowak et al., 2006).
474 A. K. M. Ahsan Ullah

Ethics is a strategy, approach, or viewpoint for determining how to under-

stand difficult situations. For example, when analysing a complex issue like global
warming, one can approach the subject from an economic, ecological, political, or
ethical standpoint. While an economist looks at the costs and benefits of various
global warming measures, an environmental ethicist might look at the ethical values
of the issue (Gajjar, 2013: 1).
Even though defined ethical guidelines and principles are in place, there are situ-
ations when research runs afoul of possible participants’ rights. No set of ethical
guidelines can predict every ethical situation. Most organizations have established
an ethics committee to assess research or funding applications for ethical implica-
tions and determine whether additional steps are required to safeguard the safety and
rights of potential participants (Colt & Mulnard, 2006; Stair et al., 2001). This proce-
dure protects both the researchers and the individuals who are being studied from the
legal ramifications of failing to address major ethical issues raised by participants
(Gajjar, 2013; Ullah & Huque, 2014).

The Ethical Process

Indeed, researchers face a range of ethical requirements, and the level of requirements
for ethics applications often depends on the rigour and implications of the research
and the organizational and national policies as well. In a democratic society, sensi-
tivity is defined differently from that of a society under a dictatorial system. In a
country where Shariah law, for instance, is in effect, research on gender issues or
lesbian, gay, bisexual, and transgender (LGBT) may be considered extremely sensi-
tive. Therefore, requirements for putting an application for research to get it approved
by an ethical committee could be cumbersome in terms of long wait time. Documents
to be appended with the application package as well vary widely. Although most
communities have legal standards that govern behaviour, ethical norms are typically
less formal than laws. Even though most countries utilize laws to enforce broadly
accepted moral norms and that ethical and legal norms use comparable notions, ethics
and law are not the same things (Resnik, 2015).
To place the application to the IRB, the applicant has to assemble the application
documents package, which includes application forms and supporting documents
such as PIF, PCF, survey instruments, and recruitment advertisements. Table 34.1
shows the documents that should be submitted to the review panel. Relevant persons
before submission should duly sign the forms. Then the IRB would be in a position to
assess the level of risk of the application and allocate to a possible review pathway. If
revisions are required, the IRB may request them and then approve or disapprove the
application after they are satisfied with the revisions. The ethics permission may be
granted or denied, and the office contacts the chief investigator/research supervisor.
In general, applications are considered under two tracks: The fast track and the
full consideration track. Some institutions allow the chair only to consider the appli-
cations, which are not too sensitive to approve under a fast track. The rests go through
34 Ethics and Empirics: Essence of Ethics in Social Research 475

Table 34.1 Documents to be submitted to the review panel

Materials submitted IRB considerations Potential problems
Trial protocol(s) and The protocol is updated and all All elements are not
amendment(s) amendments have been adequately detailed and
incorporated carefully justified
Investigator’s brochure Approved IB IB lacks the required
information. Studies referred
to in the protocol not detailed
in the brochure
Written and verbal informed Adherence to respective IRB Failure to follow local IRB
consent form(s) and consent requirements for the template consent form template. Use of
form updates and any standard language consent form language that
differs substantially from
institutional standards
Subject recruitment materials Provides sufficient detail to The recruitment process does
inform the potential participant not protect the patient’s
of study requirements, confidentiality, and/or privacy.
duration, and compensation Researched/respondents
(for time and transportations) receive unsolicited phone
calls!
Written information to be Must not be coercive. Indicate Problems exist with type size
provided to subjects that the materials are related to and ease of use and the tone of
a research activity only the language
Available safety information All of the available information Most often safety reports may
regarding studies and sufficient exist that are not incorporated
safety data to support the use into the IB
of the test article for the
expected duration of
participant enrolment
Information about payments Compensation should not The process should be clear to
and compensation to subjects create an unfair inducement for the IRB and the study
study participation. Timing and participant
method of payment should be
clear
Investigator’s current Licensure and training are Many clinical procedures are
curriculum vitae and/ or other necessary to safely perform all used for screening and
evidence of qualifications study-related activities. monitoring. It should be clear
Inclusion of other study team that qualified individuals are
members where special being used to interpret this
expertise is required information
Any other documents required Completion of an Lack of investigative training
by the IRB/IEC IRB-approved course in human of the IRB members may
and animal subjects research delay the study
Sources Adapted from Jacobs (2010), Ullah and Huque (2014)
476 A. K. M. Ahsan Ullah

Assempling application documents

Sign off by Head of School or Equivalent

Chief Investigator and applicantts
Approval process
Risk assessment

Review by ethics review body

Notification of approval or
disapproval

Fig. 34.1 Approval process. Source Author

full consideration by the entire ethics committee. It is, of course, difficult to measure
the level of sensitivity quantitatively (Fig. 34.1).

Institutional Oversight

The Institutional Review Board (IRB) and Independent Ethics Committees (IECs) of
respective institutes oversee the research conducted on human or animal participants
by particular institutes. The primary goal is to make it easier for human and animal
subjects to participate while ensuring that their rights are maintained. IRBs and IECs
are in charge of safeguarding the rights and safety of participants (Fitzgerald &
Phillips, 2006; Gunsalus et al., 2007; Jacobs, 2010).
All institutes are expected to respect the highest ethical standards in research while
allowing their academics, staff, and students to perform research efficiently (Amer-
ican University, 2016; Fitzgerald & Phillips, 2006). The IRB’s primary role should be
to help researchers achieve these goals by examining, approving, suggesting changes,
if necessary, in research protocols. The detailed elements of the approval procedure
are presented in Fig. 34.2. The IRB process is generally based on rules and regula-
tions of the policies of the respective country. Some institutions need their own IRB
to review every research, while others rely entirely on a central IRB for particular
types of studies. At least five members of the IRB should represent from diverse back-
grounds (i.e., professional skills and interests, including both sexes, with at least one
member who is not directly linked with the university). While the minimum number
of members is five, some IRBs include more to accommodate additional expertise
(Jacobs, 2010).
34 Ethics and Empirics: Essence of Ethics in Social Research 477

Fig. 34.2 Elements of ethics

application. Source Author

Consent Application Remuneration

form form statement

Statement
Anonymity confidentiality on how to
statement statement preserve
data

Statement
of who Advettisement
has access for
to the recruitm
information ent
Statement
Proposal of
Question implication
naire/che of the
cklist research

Although codes and policies are important, like any set of rules, they do not
cover the range of situations; they frequently necessitate a great deal of interpreta-
tion. As a result, researchers must understand how to interpret, evaluate, and apply a
variety of research standards, as well as how to act ethically in a variety of scenarios
(Resnik, 2015; Ullah & Huque, 2014). The government’s restricted definition of
scientific misconduct has sparked a lot of debate, and many researchers and policy-
makers are unhappy about it. In any research setting, a study involving vulnerable
people, such as children, people with developmental impairments, or homeless or
undocumented, raises particular difficulties. Overall, research ethics is a set of rules
for conducting research responsibly to educate scientists to maintain a high ethical
standard (University of Minnesota, 2003).

Research on Research on
AIDS students’
patients performances
High sensitivity ----- low sensitivity

Debates are ongoing on students’ projects [both at graduate and undergrad levels]
about whether they should go through the IRB process. The debates are stemming
478 A. K. M. Ahsan Ullah

from the notion that the IRB process may appear as a cumbersome job for them which
may eventually demoralize doing research. On a personal level, I keep arguing that
any research that involves human and animal subjects must go through the IRB
process to ensure the safety of the subjects. Of course, a range of research may
not go through IRB or may need to go through a fast track/expedited procedure so
that students do not have to re-register for the module/course that results in delayed
graduation.
An example from the USA is that research conducted by specific US federal agen-
cies, overseen by the Food and Drug Administration, or carried out by institutions
that have opted to subject all of their research to the Common Rule criteria is legally
obligated to undergo ethical review (Larson et al., 2004). What kind of research can
be expedited? According to Jacobs (2010) and Ullah and Huque (2014), the IRB
may consider expediting the evaluation of research activities that pose just a little
risk and fit into one of the following categories. Some issues appear suddenly and
need immediate research attention must go through an expedited review process
(Ullah & Nawaz, 2020; Ullah et al., 2020). For example, research related to COVID-
19 must obtain prioritization approval from any IRB (Ullah, 2010a, 2010b, 2012,
2016). Some human subjects may fall into categories exempt from ethical scrutiny
(Ullah et al., 2015). This category excludes studies that rely solely on educational
examinations, survey processes, interviews, or public behaviour observation unless
the data collected are both identifiable and potentially dangerous if made public
(Amdur & Bankert, 2011; Millum & Menikoff, 2010).

Fundamental Principles of Research Ethics

The issues of ethics form a key element in research (Barbour, 2000; Chetty, 2016).
As a result, anybody engaging in research must adhere to the research’s goals of
transmitting true knowledge, truth, and error prevention (Barbour, 2000). Account-
ability, trust, mutual respect, and fairness are all principles that must be shared by all
stakeholders involved in research. Hence, ethical considerations in research refer to a
researcher’s responsibility to the general public by safeguarding the human or animal
participants of a study (Kumar, 2014). Ethical principles—moral judgements—are an
expression of how we should behave as individuals (Amdur & Bankert, 2011; Fanelli,
2009; Grady, 2002). Ethics should be based on the principle of non-discrimination
against colleagues or students based on sex, race, ethnicity, or other factors not
related to scientific competence and integrity (Jacobs, 2010; Resnik, 2015; Ullah &
Haque, 2020; Ullah & Huque, 2014). Given the importance of research ethics, it’s
no wonder that many professional organizations, government agencies, and univer-
sities have developed specific research ethics codes, norms, and policies (Resnik,
2015). Honesty is the primary principle in any research; hence it is the best policy in
ethical consideration. Avoidance of subjectivity and adapting objectivity means that
avoiding biases is an important component of ethics. Biases could distort the research
34 Ethics and Empirics: Essence of Ethics in Social Research 479

Honesty
Legality
Non-
discrimi
Responsible nation Confidentiality
mentoring

Ethics Protection Carefulness

Compe
tence

Openness Respect
Responsible Objectivity
publication

Integrity Responsible
mentoring

Fig. 34.3 Components of ethics. Adapted from Shamoo and Resnik (2015)

finding, which may lead to a destructive policy formulation. Integrity, openness, and
carefulness help minimize errors.
Respect for intellectual property and colleagues—one of the important principles
of ethics—leads to deterring or avoiding plagiarism and maintaining the veracity of
the data and analysis. The confidentiality of the research is crucial to maintaining an
ethical standard. In any event, social responsibility should not be overlooked because
ethical practices such as research, public education, and lobbying help to alleviate
societal ills (Burman et al., 2003; Candilis et al., 2006; Koocher, 1998). Shamoo and
Resnik (2015) has outlined detailed components of ethics (Fig. 34.3).

Discussion and Epilogue

After reviewing ethical policies of at least 40 prominent institutions (universities,

research organizations, etc.) from Asia, North America, the Pacific, and Africa, it is
evident that ethical approval has been made a requirement for all research undertaken
480 A. K. M. Ahsan Ullah

by any staff or student that involves human and animal participants. These days, many
university regulations demand ethical approval even if the research does not directly
involve human participants but raises additional ethical considerations due to the
study’s potential societal or environmental effects. It is also critical that researchers
figure out ahead of time whose review body permissions are required for the type of
research they will be conducting.
The main point is that human reasoning is important in ethical decision-making,
but its ability to answer all ethical challenges in a fixed time is limited (Shamoo &
Resnik, 2015). Maintaining a high standard of ethics of research means that it must
be ensured that participation is voluntary, and any participant must not be coerced
to participate in any study. The necessity of informed consent is closely tied to the
concept of voluntary involvement. In practice, this implies that potential research
volunteers must be thoroughly informed of the processes and dangers associated
with the study before agreeing to participate. Participants must be paid for their time
and for their transportation (unless participants decline to accept). Venues or loca-
tions of interviews should be the choice of the participants. Researchers must be
familiar with the ins and outs of any foreign law that may apply to their research.
Confidential records should be kept in a safe location with limited access, and iden-
tifying information should be removed as well (Meslin & Quaid, 2004). Before the
interview is conducted, it is must be made clear to the participants about how the
data will be preserved and who will have access to those data and the implications
of such accesses, and when they intend to destroy the data.
In my case, it took more than six months to get my ethics application approved.
The challenge lies with the fact that sometimes the entire period of the research
project is one year. This delay will put the completion of the research on time will be
jeopardized. In order to obtain informed permission, participants must be explained
about how their data will be used, what will be done with case materials, images, audio
and video recordings, and all other forms of data acquired in the study (Emanuel et al.,
2000). Misconduct is most often caused by both environmental and individual factors,
such as when morally weak, uninformed, or insensitive individuals are placed in
stressful or flawed circumstances. In any case, even if it does not prevent wrongdoing,
a course in research ethics can be valuable in avoiding deviations from norms.
By introducing them to concepts, tools, principles, and methodologies, ethical
processes should assist researchers in dealing with the problems they are likely to
face during the study process. People will get a better grasp of ethical standards and
policies due to this, and eventually, their ethical judgement and decision-making will
improve. Deviations may occur because some researchers are unaware of some of the
most basic ethical research rules. Ethical guidelines also state that researchers should
not put participants in situations where they might face bodily or psychological harm
as a result of their participation. All research must ensure participant anonymity,
which means that identifiable information must not be shared with anybody who
is not directly involved in the study. The notion of anonymity is a tighter norm,
which means that the subject will stay anonymous during the study—even to the
researchers.
34 Ethics and Empirics: Essence of Ethics in Social Research 481

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Stair, T. O., et al. (2001). Variation in institutional review board responses to a standard protocol
for a multicenter clinical trial. Academic Emergency Medicine, 8(6), 636–641.
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development and despair. Springer.
Ullah, A. K. M. A., & Huque, A. S. (2014). Asian immigrants in North America with HIV/AIDS:
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Dilemmas. Public Administration and Policy, 22(2), In Press. (Emerald Journal)
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migration in perspective. Migration Letters, 17(2), 357–368.
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University of Minnesota. (2003). A guide to research ethics. University of Minnesota: Center for
Bioethics.
 Part VII
Referencing and Plagiarism
Chapter 35
Plagiarism and Referencing Techniques
Used in Social Research Report

Hossain M. Zabed and Xianghui Qi

Abstract The result of a research work is usually communicated by writing a report

in which plagiarism and referencing system need to be carefully checked for compli-
ance with the pre-defined standards and to make it original, well-formatted, and
acceptable. Plagiarism is simply stealing other’s works, ideas, methods, outcomes,
and interpretations without appropriately acknowledging the original source. It is
considered one of the serious misconducts in any academic writing, and hence
research reports should be plagiarism free or within the acceptable range of plagia-
rism. Referencing is another important aspect of academic writing that deals with
acknowledging others’ works in an appropriate format. Some referencing styles are
available that can vary in formatting guidelines. A report should conform to the
prescribed guidelines of a style suggested by the journal or organization to which it is
to be submitted. Therefore, acquiring adequate knowledge about referencing styles
will greatly help young researchers, particularly undergraduate and postgraduate
students, to write their research reports respecting the prescribed formats. A stan-
dard referencing system consists of the in-text citation and the list of all references
at the end of the report. Several reference management software have been devel-
oped and used to make the references of a report conforming to the recommended
style. Endnote is one such software that is widely used in all fields of academic
research. This chapter provides insights into the principles of plagiarism and tech-
niques for avoiding this academic crime from a research report. It also discusses the
fundamentals of referencing in academic writing, referencing styles and approaches,
reference management software, and recommended guidelines for each style with
easy-to-understand examples.

Keywords Academic writing · Plagiarism · Plagiarism checking tools ·

Referencing · Bibliography · Reference management software

H. M. Zabed (B) · X. Qi
School of Food and Biological Engineering, Jiangsu University, Zhenjiang, China
e-mail: [email protected]; [email protected]

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2022 485
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2_35
486 H. M. Zabed and X. Qi

Introduction

In the current competitive world, researchers need to compete with their colleagues
in professional life, where publication is regarded as a key quality indicator to get a
job, promotion, or success in an academic or research career. The publication is also
an asset that qualifies authors to attain appreciation and acknowledgement as profes-
sionals in a certain area in both the national and international arena (Asnake, 2015).
Likewise, publication and thesis or dissertation writing after completing research
works is one of the major requirements of any graduate student to get his/her grad-
uation (Blair, 2016). Researchers or professionals also need to write projects and/or
reports on their projects to submit to the funding agencies to get research funds or
close any allocated project. In all these contexts, plagiarism and referencing are the
two key aspects of academic writing, which need to maintain and check carefully for
achieving a standard and acceptable end product by meeting pre-defined standards,
and making the publication or report original and well-formatted (Alzahrani et al.,
2012; Husain et al., 2017).
With the advancements in digitalization and enrichment of online resources,
researchers can now get easy access to a wide variety of websites and large databases.
This, in turn, has increased the chances to identify the similarity of any publication
or report with the previously published resources already available online, which
is referred to as plagiarism (Maurer et al., 2006). Plagiarism is simply the stealing
of other’s works, ideas, methods, outcomes, and interpretations without appropri-
ately acknowledging the source. It is considered one of the serious misconducts in
any academic writing, and hence, research reports should be free from plagiarism
or within the acceptable range of similarity (Debnath, 2016; Masic, 2019; Singh &
Remenyi, 2016). Acceptability of any academic writing is significantly hampered if
it is compromised with the standards of plagiarism. Manuscript with high plagiarism
is often difficult to publish, and in fact, many research items are rejected from the
journals at the submission stage simply for the plagiarism issues (Debnath, 2016).
Referencing is another most important part of writing a report in any academic
research study. In general, the referencing system is defined as the acknowledgement
of the work or ideas of another person, which has been published formally and is
available publicly in some other way (East, 2005; Neville, 2012). The reference
provides essential information so the reader can retrieve the published or unpublished
works, sources of data, and other material used by the writer in his/her report. In
academic research and writing, information is often borrowed from other sources
to explain the theoretical underpinning of the study, the importance of the current
work, and the implication of the research outcomes. An appropriate referencing
system recognizes the ideas and work of others, and it expresses the loyalty of the
writer to acknowledging the foundations of these ideas in the current work. A lack of
references in a report means that the author is plagiarizing (Juyal et al., 2015) since
all research is based to some extent on the ideas and previous research of others.
With the increasing numbers of undergraduate and postgraduate students engaging
in academic research, young researchers face difficulties in avoiding plagiarism
35 Plagiarism and Referencing Techniques Used in Social Research … 487

and maintaining referencing system properly in their research reports (Cleal, 2005;
Martin, 2013; Neville, 2010). A comprehensive and an easy to understand presen-
tation of the plagiarism and referencing systems would help to give the young
researchers proper knowledge at the early stages of their research. Considering these
facts, this chapter provides an overview of the plagiarism and referencing systems
used in social research reporting by dividing the contents into two sections. In the first
section, the basics of plagiarism and how to avoid it are discussed, while an overview
and maintaining referencing in academic writing are discussed in the second section.

Plagiarism

Understanding Plagiarism

Plagiarism is the act of presenting someone else’s work or idea as one’s work without
providing suitable credit or acknowledgement of the original source. More specifi-
cally, plagiarism is referred to as the “unauthorized misappropriation of another work,
ideas, methods, results, or words without giving the original source” (Ghajarzadeh
et al., 2013). As stated by the World Association of Medical Editors (WAME), plagia-
rism is considered if six consecutive words are copied from the original source
(Masic, 2012, 2019).
Plagiarism is one of the serious misconducts in academic writing, and any report
or publication should be free from such misconduct for the author’s reputation and
professionalism. Plagiarism can be generally classified into two categories, plagia-
rism of text and idea, where the former is the most common type of plagiarism. On
the other hand, plagiarism of an idea is the most critical one as it is very difficult to
trace out if any researcher steals someone else’s idea. A report can be plagiarized if
it is flawed by any of the below acts (Debnath, 2016; Maurer et al., 2006):
• Claiming someone else’s work as one’s own work.
• Copying and pasting a significant portion of someone’s published materials
without proper acknowledgement or citation.
• Copying a part or whole document.
• Failing to put a quotation in quotation mark.
• Presenting others’ work in different words but with the same meaning (para-
phrasing) without proper acknowledgement or citation.
• Reusing portions of the author’s own published works, which is known as self-
plagiarism.
• Copying a significant part of someone else’s single material in one’s own report,
even if the proper acknowledgements or credits are given.
488 H. M. Zabed and X. Qi

Reasons of Plagiarism

A physicist and politician, Walter Bagehot, said, “The tendency of a human to imitate
what is in front of him is one of the strongest parts of his nature”. This is, in fact,
the inherent reason why people plagiarize their academic writing. Moreover, despite
plagiarism can be found in all levels of academic writing, the most concerning cases
are recently found in student’s writing. Young researchers or graduate students may
come across plagiarism misconduct for various reasons, ranging from the real lack
of knowledge to complete disgraceful intentions (Debnath, 2016; Juyal et al., 2015;
Mohammed et al., 2015):
• Wishing to get good marks or not to be failed in the examinations.
• Extreme pressure for publication.
• Inappropriate time management or delaying their works.
• Lack of knowledge on plagiarism and understanding citation or referencing
style or unawareness of the policy of plagiarism in the institution (accidental
plagiarism).
• Poor writing skills.
• Personal belief that plagiarism is not a crime.
• An abundance of resources online (unintentional plagiarism).

How to Avoid Plagiarism

To avoid plagiarism, it is necessary to arrange and deliver good lectures to the novices
by the experts or experienced professionals or superior authority of the institution
at the beginning of conducting research and academic writing. The lectures should
include introducing the students to the policy of the institution on plagiarism, together
with covering the research ethics, how to comply with the research ethics, how to
avoid plagiarism, and what are the punishments to be encountered for violating
plagiarism and research ethics. It is also equally important that novices should be
properly trained in academic writing skills, particularly non-native speaking students.
The major ways of avoiding plagiarism in academic writing are highlighted below
(Anonymous, 2020a, 2020b; Masic, 2019)
• Understanding the context and paraphrasing: Source material should be read care-
fully to find out the relevant information. Copy-paste of the information from that
previously published material should be avoided by alternatively understanding
the content and restating it in own words. This technique of avoiding plagiarism is
preferably known as paraphrasing. However, acknowledging or citing the source
material is still required, otherwise, the report will be plagiarized even if the
information is paraphrased.
• and citation of the source material: Any text, equation, idea, or figure included in
the report from a previously published material needs to be appropriately acknowl-
edged and cited in the right place. Citing the source material is an effective way to
35 Plagiarism and Referencing Techniques Used in Social Research … 489

keep the report free from plagiarism. If the source material belongs to the author’s
own published work, it is still required to cite properly in the new writing to avoid
plagiarism.
• Taking permission for the reproduced materials: Some reports or manuscripts may
directly incorporate any figure, table, or images from the previously published
works. In this case, only citation or acknowledgement is not enough, and also,
proper permission must be taken from the copyright persons or organization.
• Citing one’s own published materials: Any information that needs to be included
in one’s report from the materials published by the same author(s) previously also
should be checked through to avoid self-plagiarism. The text should be considered
as if it were written by someone else.
• Using information by quoting: Wherever it is planned to add any information
by quoting a source, it should be done the same way it appears. It should not
be misquoted. However, it should be kept in mind that some higher education
organizations may discourage quoting or quotes with words out of 40 words or
more. Citing a quote may be dissimilar to citing paraphrased material.
• The enclosure of a reference list: To avoid plagiarism, a reference list should be
added at the end of the report. References included in the reference list must
meet the requirements or the formatting guidelines used by the educational insti-
tution or journal where the manuscript is going to be submitted. The information
required for a reference is very specific and usually contains the author(s), date
of publication, title, and source.
• Checking the report in plagiarism checkers: Before finalizing or submitting the
report or manuscript to the destination, it should be checked through for avoiding
unintentional plagiarism. In recent years, due to the abundance of online resources,
plagiarism still may occur in the report unintentionally. However, the similarity
found after plagiarism checking must be reduced even if it is unintentional.

Detecting Plagiarism

Plagiarism can be detected broadly in three ways, such as comparing one’s own report
against a body of other documents available in any resource or online, searching a
representative passage or paragraph of the report or writing material in a search engine
popularly Google, and stylometric analysis of a document to compare it with the
writing style of the documents written earlier by the same author (Maurer et al., 2006).
Among these three techniques, the former is popularly used to detect plagiarism,
while the latter two are not so commonly practiced. Nowadays, it is not unusual for
a scholar or author to find a reproduction of his/her published material in another
published document by someone else without appropriate credit or acknowledgement
of the original work (Debnath, 2016).
Based on the above-mentioned techniques, many tools have been developed for
checking plagiarism automatically rather than doing it manually. Each tool has its
490 H. M. Zabed and X. Qi

own merits and demerits, and is available either for free or may need a subscrip-
tion or paying money (Table 35.1). The plagiarism checking tools can work by
searching their own databases, Web and bibliographic databases, or internet sources
and give the results as the percentage of similarity with various documents available
in the databases. For example, Turnitin is one of the most popular and widely used
plagiarism checking tools that provide results as the similarity index (total simi-
larity), including specifically the similarity from internet sources, publications, and
student’s papers.

Referencing

Importance of Referencing

Referencing is important for various reasons. It is an integral part of any research

document. A standard and acceptable document should be consistent with a good
referencing system. Some key reasons for maintaining a good referencing system
are as follows (Cleal, 2005; Garfield, 1996; Neville, 2010):
• It is a matter of honesty and presenting research outcomes ethically and
responsibly.
• Ideas, data, and materials used in research reports from the public domain are
products of someone’s hard work and/or intellectual property, which should be
recognized.
• Plagiarism can partly be avoided by correct referencing.
• Referencing helps readers to trace the origin of ideas and distinguish between the
writer’s concept and an idea that is already published by another person.
• Disputes, statements, and viewpoints are essential parts of a research report that
can be validated through reliable sources of information, where referencing is the
best method of identifying such evidence.
• Referencing provides an opportunity to identify influential sources that other
researchers might also use.
• Referencing can identify the methodology, equipment used, data sources, etc.
• It provides the background of the document to the reader.
• Referencing can correctly identify one’s published work.
• It creates an opportunity to evaluate the previously published work.
• Referencing can substantiate or justify the claims made in a document.
• Referencing is important for identifying the original publications in which an idea
or concept was discussed.
35 Plagiarism and Referencing Techniques Used in Social Research … 491

Table 35.1 Plagiarism checking tools (ESC, 2020; Pappas, 2013)

Name Pros Cons Availability Weblink
Turnitin • Simple process • Need an ongoing Not free http://www.tur
• Automated fee for use nitin.com/
searching tool • It does not
• More reliable differentiate
• The highest rate between
of detection correctly cited
material and
material that is
plagiarized
• It cannot check
figures or table
included in a
document
whether they are
legitimate or
plagiarized
iThenticate • It is mostly • It does not search Not free http://www.ithent
intended for the context icate.com/
publishers, submitted
corporations, law previously
firms, and others
Plagiarism.org • Can track digital • Can not detect Not free https://plagiarism.
information problems in org/
• Can combat paragraphs with
piracy of minor changes
intellectual
property
Dupli checker • Free of charge • Only one search Entirely free https://www.duplic
• Easy to use each day hecker.com/
Copyleaks • Good for • Can only use Need to buy a https://copyleaks.
Education and after sign up plan com/
Business • Free page
• Multiple file restriction
formats and
languages
PaperRater • Three tools in • Can not save Need to buy a https://www.pap
one, proofreader reports plan errater.com/
& grammar
check,
vocabulary
builder,
plagiarism
checker
• Fast results
(continued)
492 H. M. Zabed and X. Qi

Table 35.1 (continued)

Name Pros Cons Availability Weblink
Plagiarisma • Basic and • Limited checks Free and http://plagiarisma.
easy-to-use per day premium for net/
• Multi-purpose upgrade
tool
• Firefox and
Chrome
extensions
Plagiarism • User-friendly • Supports only Entirely free http://www.plagia
checker • Detailed Google or Yahoo of charge rismchecker.com/
guidelines browsers
• Entirely online
Plagium • Basic but fully • Limited free Free for http://www.pla
functional features limited words gium.com/
• Easy to use
PlagScan • Fully online • Relatively Need to buy a https://www.pla
• Integration complicated plan gscan.com/plagia
features interface rism-check/
PlagTracker • Fast • No file uploading Need to buy a https://www.plagtr
• Detailed reports in the free plan acker.com/
• Six languages version
supported
Quetext • Basic layout and • No file uploading Entirely Free https://www.que
functional of charge text.com/
interface
• Unlimited usage
Viper • A three-step tool • Limited target Entirely Free https://www.sca
• User-friendly group, mostly of charge nmyessay.com/
interface students

When Is Referencing Necessary?

A typical research report consists of several parts, such as the abstract or summary,
introduction, methodology, materials and methods, results, discussion, and conclu-
sion. In the introduction and discussion sections, information is often borrowed
from other sources to explain the theoretical underpinning, importance, and potential
implications of the outcomes of the present work. The materials and methods section
contains references if the methodology or methods are adapted from a previous
study. This section also needs referencing when describing the source of material
and equipment used in the study. Abstract, results, and conclusion almost always
lack any referencing as the authors explain their outcomes in these sections either
broadly or in summary. However, the abstract and conclusion may also contain a
short reference if this cannot be avoided, particularly when it is necessary to draw a
conclusion or suggestion based on the research work of someone else. Specifically,
referencing should be done rigorously when writing a research report to clarify the
35 Plagiarism and Referencing Techniques Used in Social Research … 493

sources of information used in the study. Some of these specific contents of the report
are pointed out below:
• When describing or discussing a definition, theory, model, concept, or practice
associated with a particular writer;
e.g., “Referencing can be defined as the acknowledgement of the works or ideas of
other persons, which have been published formally or are available in the public
domain in another way” (Reference).
• To demonstrate the importance of the work;
e.g., “It has been reported that environmental conditions significantly affect the
growth of a crop during field experiment” (Reference).
• To point out a research gap in the report;
e.g., “In a recent study, it has been pointed out that still there is no scientific data
on how the migrant workers can contribute to the social stability of the country”
(Reference).
• To show the vastness of the research work on the specific topic of the writer;
e.g., “Numerous studies have been done over the last several decades to
improve technical and technological aspects of energy production” (Reference-1;
Reference-2; Reference-3 and so on).
• To describe the method(s) used in the study;
e.g., “Starch content in the rice flour was determined by the enzymatic method”
(Reference).
• To mention the source of data used in the research/report;
e.g., “Data present in this report on weather conditions during the experiment were
obtained from the Ministry of Science and Technology, Malaysia” (Reference).
• To identify the source of a material or equipment used during an experiment;
e.g., “The constructs used in this study were drawn from recent research”
(Reference)
• To show the similarity of the research outcome(s) to others’ work;
e.g., “In our investigation, it was observed that organizational performance
decreased significantly with the decrease in workforce diversity. Similar findings
have been reported elsewhere” (Reference).
• To compare the study results with literature;
e.g., “The blood pressure (BP) was recorded 140/95 in a patient under a stress
condition. In an earlier study, BP was reported 145/90 in a patient under the same
stress condition” (Reference).
• To explain the research outcomes logically;
e.g., “It was observed that ethanol concentration reached a plateau after a certain
time. This might have happened for the exhaustion of soluble sugars over time”
(Reference).
494 H. M. Zabed and X. Qi

Source of Referencing Materials and Ways of Citation

The sources of a reference can be either from a primary or secondary origin that
includes a variety of works. Some of these sources are listed below, with the list in
decreasing levels of reliability of the source information:
• Journal articles (communications, full papers, reviews, perspectives, minireviews,
opinions, analysis articles, comments, etc.)
• Dictionaries
• Encyclopaedias
• Theses and dissertations
• Books and edited books
• Book sections or book chapters
• Government documents
• Conference proceedings
• Reports
• Patents
• Personal communication from a reliable source
• Online database
• Magazine article
• Newspaper article
• Catalogue
• Podcast (reliability depends on the organization)
• Web page (reliability depends on the organization)
• Unpublished work
• Blog.
Referencing different source materials in a research report is done in four ways
(Kasi, 2009):
• Paraphrasing: selected portions from the source materials are included in the
report, but the author uses their own words while being careful that meaning does
not change.
• Summarizing: one or more paragraphs of the source work are written with fewer
words and sentences without changing the meaning or essence of the original
work.
• Interpreting: the outcomes of the original work are presented by the author while
ensuring the interpretation is accurate and does not conflict with the source.
• Quoting: the actual words of the source are used in quotation marks (“………”),
listing the page number of the source material after the in-text reference.
35 Plagiarism and Referencing Techniques Used in Social Research … 495

Fig. 35.1 Schematic diagram of the referencing styles. Source Adapted by author

Referencing Styles

All referencing should be in the same style throughout the text and bibliography.
A good referencing system has two steps citing the source material in the text, and
listing the full details of each source, usually at the end of the text as a reference
list. A bibliography lists additional materials that were consulted, but not used in the
report.
Style rules for citations and bibliographies vary depending on the academic field,
institution, publisher, or organization where the research report is to be submitted. All
the citations and references mentioned in the research report should exactly match
the prescribed style, including punctuation, use of capitals and italics, bold fields,
abbreviations, use of DOI, and details of the volume and issue numbers for a journal.
Correct referencing not only adds to the quality of the report but also establishes
the capacity of the author to write to a high standard. Using a referencing soft-
ware program such as EndNote ensures the referencing will be presented correctly,
provided the source information is accurate.
Referencing styles are broadly classified into two major types, either a name
style or a numerical style (Neville, 2008). Both referencing styles are subdivided
into several styles introduced by different renowned organizations (Fig. 35.1). These
styles are summarized in Table 35.2 with examples.

APA Style

The APA style is one of the most commonly used referencing styles in science,
social and behavioural sciences (Kasi, 2009). It is also frequently used for discipline
papers, and many journals and publishers. Since this style is used so commonly, the
following section explains how to present references in the APA style.
Table 35.2 A summary of different referencing styles
496

Style Full name Style Available manual Major field of In-text example Reference list example
application
ACS American Chemical Number The ACS style Chemistry and Stocker2 reported 2. Stocker, J. H., Ed. Chemistry and
Society guide: effective related that… Science Fiction; American Chemical
communication of disciplines Society: Washington, DC, 1998
scientific
information, 3rd ed
AGLC Australian Guide to Number Australian guide to Law It has been reported 45 Augusto Zimmerman, ‘How

Legal Citation legal citation, 3rd ed that…….45 Brazilian Judges Undermine the
Rule of Law. A Critical Appraisal’
(2008) 11 International Trade and
Business Law Review 179, 184
AMA American Medical Number AMA manual of Medicine Diabetes mellitus is 13. Geller AC, Venna S, Prout M,
Association style: a guide for associated with a high et al. Should the skin cancer
authors and editors, risk of foot ulcers.13 examination be taught in medical
10th ed school? Arch Dermatol.
2002;138(9):1201–1203
APA American Author-date Concise rules of Widely used in Williams (2008) Williams, J. H. (2008). Employee
Psychological APA style, 6th ed many reported that… engagement: Improving
Association disciplines, participation in safety. Professional
particularly in Safety, 53(12), 40–45
the Social
Sciences
Chicago Chicago Manual of Author-date The Chicago Arts and This issue has been Weinstein, J. I. “The Market in
Style Manual of Style, humanities addressed in a recent Plato’s Republic.” The New
16th ed study (Weinstein, Republic 104 (2009): 439–58
2009)
(continued)
H. M. Zabed and X. Qi
Table 35.2 (continued)
Style Full name Style Available manual Major field of In-text example Reference list example
application
CSE (CBE) Council of Science Author-date Scientific style and Life sciences, An earlier study was Bennett AB, Gratton C.
Editors/Council of format: the CSE and other conducted on…. 2012. Measuring natural pest
Biology Editors manual for authors, scientific (Bennett and Gratton suppression at different spatial
editors, and disciplines 2012) scales affects the importance of local
publishers, 7th ed variables. Environ Entomol.
41(5):1077–85
Harvard − Author-date There is no official Not specified Bradbury (2006) Bradbury, A.J. (2006) Successful
manual of the concluded that… presentation skills. 3rd ed. London:
Harvard style Kogan Page
IEEE Institute of Number IEEE (Institute of Electrical It is believed that…[1] [1] B. Klaus and P. Horn, Robot
Electrical and Electrical and engineering and Vision. Cambridge, MA: MIT Press,
Electronics Electronics computer 1986
Engineers Engineers) Style science
Manual
MLA Modern Language Author-date MLA style manual Modern Hughes et al. (2004) Hughes, Jane C., Elizabeth V.
Association of and guide to literature and reported that…. Brestan, and Linda Anne Valle.
America scholarly linguistics “Problem-Solving Interactions
publishing, 3rd ed. between Mothers and Children”
and MLA Child and Family Behavior Therapy
Handbook for 26.1 (2004): 1–16
35 Plagiarism and Referencing Techniques Used in Social Research …

writers of research
papers, 7th ed
(continued)
497
Table 35.2 (continued)
498

Style Full name Style Available manual Major field of In-text example Reference list example
application
Vancouver − Number There is no official Health sciences An unhealthy diet may Song M, Lipman TH. Concept
manual, but the US cause Type 2 diabetes1 analysis: self-monitoring in type 2
National Library of diabetes mellitus. Int J Nurs
Medicine’s style Stud.2008;45(11):1700–10
guide is now
considered as the
guide
H. M. Zabed and X. Qi
35 Plagiarism and Referencing Techniques Used in Social Research … 499

In-text citation in the APA style has two elements- the author’s name followed
by a comma, and the year of the publication. The exact citation style changes, based
on the number of authors, the number of citations in a single statement, and the
expression style of the statement. Citing a source with only one author shows the
surname of the author without any initial, a comma, and the year of publication,
e.g., (Rahim, 2014). For two authors of a source, show the surnames of both authors
separated by “and” then followed by a comma and the year, e.g., (Rahim & Jabbar,
2010). A source with more than two authors is cited using the surname of the first
author followed by et al. and year, e.g., (John et al., 2016). When more than one work
is cited for a single statement, the references are listed in alphabetical order by the
first author’s name, with each reference separated by a semicolon, e.g., (Abraham,
2015; Liu et al., 2012; Russel and Zhang, 2008). When two or more works are cited
with the same author and the same year, the references are distinguished by using a,
b, c…. after the year, e.g., (Boyce et al., 2016a; Boyce et al., 2016b). The in-text APA
referencing style changes based on the style of a statement in the report. When the
statement appears without mentioning the author’s name, the citation is shown as: It
has been reported that overpopulation affects the country’s economy (Smith et al.,
1989). On the other hand, referencing an author as part of the narrative is shown as
Smith et al., (1989) reported that overpopulation affects the country’s economy.
The list of references in the APA style is presented at the end of the document
in alphabetical order, based on the first author’s surname (see details in Table 35.2).
If the reference runs over more than one line, each line of the reference after the
first should be indented. For each reference, the first author’s family name is listed
followed by a comma, then the author’s initials are listed with a full stop and space
between each initial, and the reference finishes with a full stop. All authors are
presented in this way, with each author separated by a comma, then adding ‘and’
before the last author followed by a full stop, then the year of publication in round
brackets followed by a full stop, e.g., Kim et al., (2017). After the authors, the title
of the source material is listed in full with all spelling and punctuation reproduced
in the reference list exactly as it is written in the source document. When the source
is published in a refereed journal, APA referencing requires the volume and issue
number, as well as the start and finishing page numbers. When there is more than
one author in the journal paper, the reference is listed in the following way:
• One author: Surname of the author followed by initial(s):
Williams, J. H. (2008). Employee engagement: Improving participation in safety. Profes-
sional Safety, 53(12), 40-45.

• At least two and up to seven authors: List all authors with the surname followed
by initials, using the same order as in the source:

Kim, H., Burgard, S. A., and Seefeldt, K S. (2017). Housing Assistance and Housing Inse-
curity: A Study of Renters in Southeastern Michigan in the Wake of the Great Recession.
91(1), 41–70.
500 H. M. Zabed and X. Qi

• Eight or more authors: List the first six authors followed by a separator ……
then ‘and’ followed by the last author’s name:
Wolchik, S. A., West, S. G., Sandler, I. N., Tein, J.-Y., Coatsworth, D., Lengua, L.,...Griffin,
W. A. (2000). An experimental evaluation of theory-based mother and mother–child
programs for children of divorce. Journal of Consulting and Clinical Psychology, 68(5),
843-856.

Reference is presented slightly differently when the source is an edited book. The
authors’ names, year of publication, and title are listed for a journal article. After
this, the names and initials of the editors are listed with the initials coming before
the surname, then (Eds.) is added to indicate that these people are the editors, not
the authors. Following this, the title of the book, place of publication and publisher’s
name is listed. If the source material is from a chapter in an edited book, the authors
of the chapter are listed, followed by the year, and the title of the chapter. Then the
names of the book editors are listed, the title of the book, and the publisher’s location
is followed by a colon and then the publisher’s name (see examples in Table 35.3).

Reference Management Software

Reference management (RM) software is now widely used by researchers as an

essential tool for academic writing. RM software offers some advantages in academic
writing, and they are popular, even though not all of the software programs provide
equal advantages. Some RM software programs are available in the market, and
some of which are popular with the scientific community are presented in Box 35.1.
In general, RM software programs are expected to be able to provide the following
benefits (Gilmour & Cobus-Kuo, 2011):
• Easy formatting of different referencing styles
• Organizing references correctly
• Searching and sorting source materials
• Providing citation annotations
• Data migration between different reference managing systems
• Sharing the RM database among researchers
• Citing references and creating accurate bibliographies
• Integrating word processor and RM software for citations
• Importing citations from databases and websites
• Accumulating metadata
• Managing citations in the database of the software itself.
35 Plagiarism and Referencing Techniques Used in Social Research … 501

Table 35.3 General rules for referencing system in APA style

Referencing source General rule Examples
Authored book Author, A. A. (Year). Title of • Alexie, S. (1992). The business
work. Location published: of fancy dancing: Stories and
Publisher poems. Brooklyn, NY: Hang
Loose Press.
• Zhu, Y., Lan, H., Ness, D. A.,
Xing, K., Schneider, K., Lee,
S. H., & Ge, J. (2015).
Transforming rural
communities in China and
beyond: Community
entrepreneurship and
enterprises, infrastructure
development and investment
modes. Heidelberg: Springer.
Edited book Author, A. A., Author, B. B. • Chamberlain, S.,
(Eds.). Title of the book. Volume Foxwell-Norton, K., &
if applicable. Series Title if Anderson, H. (Eds.). (2014).
applicable, Series Editor if Generation next: Becoming
applicable. Location published: socially enterprising. Oxford:
Publisher Oxford University Press.
• Majamdar, S., Guha, S., &
Marakkath, N. (Eds.). (2015).
Technology and Innovation for
Social Change. New York:
Springer.
Chapter in an edited book Author, A. A. (Year). Title of the • Booth-LaForce, C., & Kerns,
chapter. In: A. A. Editor (Eds.) K. A. (2009). Child-parent
Title of the Book, (pp. xxx-xxx). attachment relationships, peer
Location published: Publisher relationships, and peer-group
functioning. In: K. H. Rubin,
W. M. Bukowski, & B. Laursen
(Eds.), Handbook of peer
interactions, relationships, and
groups (pp. 490–507). New
York, NY: Guilford Press.
• Mandinyenya, I., E., &
Douglas, H. (2014). Pragmatic
altruism: A gentle process of
co-creating social enterprise in
a developing country. In H.
Douglas, & S. Grant (Eds.),
Social Entrepreneurship and
Enterprise: Concepts in
Context (pp. 219–240).
Melbourne: TUP.
(continued)
502 H. M. Zabed and X. Qi

Table 35.3 (continued)

Referencing source General rule Examples
Refereed journal (printed) Author, A. A., Author, B. B., & • Keller, T. E., Cusick, G. R., &
Author, C. C. (Year). Title of Courtney, M. E. (2007).
article. Title of Journal, Volume Approaching the transition to
(Issue no.), xxx-xxx adulthood: Distinctive profiles
of adolescents ageing out of
the child welfare system.
Social Services Review, 81(3),
453–484.
• Singh, G. & Belwal, R. (2008).
Entrepreneurship and SMEs in
Ethiopia: Evaluating the role,
prospects, and problems faced
by women in this emergent
sector. Gender in
Management: An International
Journal 23(2), 120–136.
Online journal Author, A. A. (Year, Date). Title • Senior, B., & Swailes, S.
of work. Title of the Journal, (2007). Inside management
Volume (Issue no.), xxx-xxx. teams: Developing a teamwork
DOI survey instrument. British
Journal of Management, 18,
138–153.https://doi.org/10.
1111/j.1467-8551.2006.00507.
x
Online report Author, A. A. (Year, Date). Title • Kenney, G. M., Cook, A., &
of report. Retrieved from URL, Pelletier, J. (2009). Prospects
date of retrieval for reducing uninsured rates
among children: How much
can premium assistance
programs help? Retrieved from
Urban Institute website: http://
www.urban.org/url.cfm?ID=
411823. Accessed 23 March
2017.
Government report Author (if known), Department • Department of Foreign Affairs
Name in Full. (Year). Title of the and Trade. (2011).
report. Location: Department International Development
Name Policy Statement: Supporting
sustainable development.
Wellington NZ: Department of
Foreign Affairs and Trade.
(continued)
35 Plagiarism and Referencing Techniques Used in Social Research … 503

Table 35.3 (continued)

Referencing source General rule Examples
Online magazine article Author, A. A. (Year, Date). Title • Lodewijkx, H. F. M. (2001,
of work. Title of the Magazine, May 23). Individual-group
Volume (Issue no.), xxx-xxx. continuity in cooperation and
Retrieved from URL, retrieval competition under varying
date communication conditions.
Current Issues in Social
Psychology, 6(12), 166–182.
Retrieved from http://www.
uiowa.edu/~grpproc/crisp/
crisp.6.12.htm
Print magazine article Author, A. A. (Year, Date). Title • Mathews, J., Berrett, D., &
of work. Title of the Magazine, Brillman, D. (2005, May 16).
Volume (Issue no.), xxx-xxx Other winning equations.
Newsweek, 145 (20), 58–59.

Box 35.1

Name Major advantage References

EndNote • Bibliographies made easy http://www.endnote.com/
• Compatible for both Windows
and Macintosh computers
• A desktop application, making
it accessible both online and
offline
Reference manager • Bibliographies make easy on http://www.refman.com/
the desktop and web
ProCite • An information toolbox http://www.procite.com/
RefViz • Explore research literature http://www.refviz.com/
visually
Citation • Bibliography and research note http://www.citationonline.net/9-
software home
Sonny software • Reference bibliographic http://www.sonnysoftware.com/
management
RefWorks • Web-based and compatible on http://www.refworks.com/
all platforms
Mendeley • Combines desktop and http://www.mendeley.com/
web-based applications
• Gathers metadata from pdf
Zotero • Automatic synchronization http://www.zotero.com/
across multiple computers
• Gathers metadata from pdf
CiteULike • Exchanges data with other RM http://www.citeulike.com/
504 H. M. Zabed and X. Qi

Conclusions

In any academic writing, plagiarism is considered serious misconduct that also

violates research ethics. Therefore, young researchers should be aware of this and
encouraged or emphasized to write their reports or document without plagiarism.
There are many plagiarism checking tools either free or paid which young researchers
can use to check their document whether it is plagiarized or free from plagiarism.
Another important part of a document is the referencing system. Accurate refer-
encing is required in academic writing, and it is a vital part of a research report.
A typical referencing system has two parts, the citation in the text, and a reference
list at the end of the text. Referencing is used in almost all sections of a research
report. Information in a report can be borrowed from various source materials, but
the source of the information must be accredited with a reference. The contents of a
source can be presented in a report through paraphrasing, summarizing, interpreting,
or quoting, provided the course is accredited. Citation of a source can be done either
numerically or by author and date systems, but the references must be presented in a
consistent style throughout the report. Many referencing styles have been standard-
ized for academic writing, and the preferred style varies depending on the field and
discipline of the research. APA is the most used style in social science and asso-
ciated disciplines such as management. Reference management software systems
are widely used in academic writing, with EndNote probably the most popular and
widely used.

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Author Index

A H
Abedin, Shireen, 377 Haque, Md. Shahidul, 59
Abul Hossen, Md., 463 Hatta, Zulkarnain A., 167
Abusaleh, Kazi, 15 Hei, Kuang Ching, 43
Ahmad, Iftakhar, 263 Hossain, Md. Ismail, 263
Ahmmed, Faisal, 181, 323 Hussein, Hazreena, 207
Ahsan Ullah, A. K. M., 471
Akhter, Salma, 389
AL-Muaalemi, Mohammed Abdulmalek, I
221 Islam, M. Rezaul, 3, 291, 449
Ali, Isahaque, 167 Islam, Md. Rafiqul, 117
Ali, Mumtaz, 43 Islam, Rabiul, 101
Anwar, Akib Bin, 15
Azman, Azlinda, 167
K
Karim, Md. Rezaul, 131
B Karupiah, Premalatha, 73
Baikady, Rajendra, 313 Khan, Kanamik Kani, 29
Khan, Niaz Ahmed, 279, 377

C M
Channaveer, R. M., 313 Mahmud, Ashek, 83
Chowdhury, Shofiqur Rahman, 181 Mahsin, Md., 235, 257
Mallick, Shahid, 167
Manzoor Rashid, A. Z. M., 279
D Mehedi, Nafiul, 263
David, Maya Khemlani, 43 Mohsin Reza, Md., 29
Douglas, Heather, 415, 427 Moniruzzaman Sarker, 221

F O
Farid, Shekh, 365 Oakkas, Mohammad Ali, 181

G Q
Golam Azam, Md., 347 Qi, Xianghui, 485
© The Editor(s) (if applicable) and The Author(s), under exclusive license 507
to Springer Nature Singapore Pte Ltd. 2022
M. R. Islam et al. (eds.), Principles of Social Research Methodology,
https://doi.org/10.1007/978-981-19-5441-2
508 Author Index

R W
Rabiul Islam, Md., 157 wa Mungai, Ndungi, 337
Rahman, Syed Tanveer, 157

S
Sankar, Lokasundari Vijaya, 405, 437 Z
Sayeed Akhter, Md., 101 Zabed, Hossain M., 485
Sultana, Tahmina, 167 Zaman, Farhana, 83