Second Edition QUAUTATIVE INQUIRY €? RESEARCH DESIGN Choosing Among Five Approaches John W. Creswell University of Nebraska, lincoln @ SAGE. Publications Thousand Oakes « London «New DelhiCopyright © 2007 by Sage Publications, Tre Al rights reserved. No past of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording, oF by any information storage and retrieval system, without permission in writing from the publisher, For information: Sage Publications, Inc © irae ‘Thousand Oaks, California 91320 Emma: ordes@sagepub.com Sage Publications Led. 1 Oliver's Yard 35 City Road London ECIY ISP United Kingdom Sage Publications India Pvt, Le. 3-42, Panchsheel Enclave Post Box 4109 New Delhi 110017 India Printed in the United States of America Library of Congress Cataloging-in-Publication Data Creswell, John W, ‘Qualitative inquiry and research design: Choosing among five approaches / John W. Creswell 2nd ed. pecm, Includes bibliographical references and index. ISBN 978-1-4129-1606-6 (cloth) ISBN 978-1-4129-1607-3 (pbk) 1, Social sciences—Methodology. 1. Title. 61.073 2007 300.72—de22, 2006031956 This book is printed on acid-free paper. o7 0 0 0 11 1098 765432 ER Acquisitions Editor: Lisa Cuevas Shaw Editorial Assistants Karen Greene Production Editor: Denise Santoyo Copy Edicers Jamie Robinson Typesetters ‘C&M Digitals (P) Led, Indexer Kathy Paparchontis aConteats Analytic Table of Contents by Approach List of Tables and Figures Acknowledgements 1, Introduction Purpose What Is New in This Edition Rationale for This Book Selection of the Five Approaches Narrative Research Phenomenology Grounded Theory Ethnography Case Study Positioning Myself Audience Organization 2. Philosophical, Paradigm, and Interpretive Frameworks Questions for Discussion Philosophical Assumptions Paradigms or Worldviews Postpositivism Social Constructivism, Advocacy/Participatory Pragmatism Interpretive Communities Postmodern Perspectives Feminist Theories Critical Theory and Critical Race Theory (CRT)Queer Theory Disability Theories Summary Additional Readings Exercises 3. Designing a Qualitative Study Questions for Discussion The Characteristics of Qualitative Research ‘When to Use Qualitative Research ‘The Process of Designing a Qualitative Study The General Structure of « Plan or Proposal Summary Additional Readings Exercises 4. Five Qualitative Approaches to Inquiry Questions for Discussion Narrative Research Definition and Background ‘Types of Narrative Studies Procedures for Conducting Narrative Research Challenges Phenomenological Research Definition and Background ‘Types of Phenomenology Procedures for Conducting Phenomenological Research Challenges Grounded Theory Research Definition and Background ‘Types of Grounded Theory Studies Procedures for Conducting Grounded Theory Research Challenges Ethnographic Research Definition and Background ‘Types of Ethnographies Procedures for Conducting an Ethnography Challenges Case Study Research Definition and Background ‘Types of Case Studies 28 30 30 31 33 35 36 36 39 41 47 50 SL 52 53 53 53 53 54 $8 S7 S7 57 59 60 62 62 62 64 66 67 68 68 6 70 n 73 23 raProcedures for Conducting a Case Study 4 Challenges 78 ‘The Five Approaches Compared % Summary 81 Additional Readings 81 Exercises 84 5. Five Different Qualitative Studies 85 Questions for Discussion 86 A Narrative-Biographical Study (Angrosino, 1994; see Appendix B) 86 ‘A Phenomenological Study (Anderson &¢ Spencer, 20025 see Appendix ©) 88 A Grounded Theory Study (Morrow & Smith, 1995; see Appendix D) 90 ‘An Ethnography (Haentfler, 2004; see Appendix E) 1 A Case Study (Asmussen & Creswell, 19955, see Appendix F) 2 Differences Among the Approaches 93 Summary 96 Additional Readings 96 Exercises 100 6. Introducing and Focusing the Study 101 Questions for Discussion 101 The Research Problem 402 The Purpose Statement 103 The Research Questions 107 The Central Question 107 Subquestions 109 Summary 113 Additional Readings 114 Exercises 314 7. Data Collection 417 Questions for Discussion 17 ‘The Data Collection Circle 118 The Site or Individual 119 Access and Rapport 123 Purposeful Sampling Strategy 1s Forms of Data 129 Interviewing 132 Observing 134Recording Procedures 135 Field Issues 138 ‘Access to the Organization 138 Observations 139 Interviews 140 Documents and Audiovisual Materials 141 Ethical Issues at Scoring Data 142 Five Approaches Compared 148 Summary 4 Additional Readings 144 Exercises 14s 8, Data Analysis and Representation 147 Questions for Discussion 147 ‘Three Analysis Strategies 148 ‘The Data Analysis Spiral 150 Analysis Within Approaches to Inquiry 155 Narrative Research Analysis and Representation 155 Phenomenological Analysis and Representation 159 Grounded Theory Analysis and Representation 160 Exhnographic Analysis and Representation 161 Case Study Analysis and Representation 163 Compating the Five Approaches 164 ‘Computer Use in Qualitative Data Analysis 164 Advantages and Disadvantages 165 A Sampling of Computer Programs 166 Use of Computer Software Progeams With the Five Approaches 168 How to Choose Among the Computer Programs 173 Summary 173 Additional Readings 175 Exercises 176 9. Writing a Qualitative Study 77 Questions for Discussion 178 Several Rhetorical Issues 178 Reflexivity and Representations in Writing 178 Audience for Our Writings 180 Encoding Our Writings 180 Quotes in Our Writings 182 Narrative Research Structure 183Overall Rhetorical Structure 183 Embedded Rhetorical Structure 185 Phenomenological Structure 187 Overall Rhetorical Structure 187 Embedded Rhetorical Structure 188 Grounded Theory Structure 189 Overall Rhetorical Structure 190 Embedded Rhetorical Structure 191 Ethnographic Structure 192 Overall Rhetorical Structure 192 Embedded Rhetorical Structure 194 Case Stady Structure 195 Overall Rhetorical Structure 195 Embedded Rhetorical Steucture 196 A Comparison of Narrative Structures 197 Summary 198 Additional Readings 198 Exercises 199 10. Standards of Validation and Evaluation 201 Questions for Discussion 201 Validation and Reliability in Qualitative Research 202 Perspectives on Validation 202 Validation Strategies 207 Reliability Perspectives 209 Evaluation Criteria 21 Qualitative Perspectives 211 Narrative Research 213 Phenomenological Research 215 Grounded Theory Research 216 Ethnographic Research 217 Case Study Research 218 ‘Comparing the Evaluation Standards of the Five Approaches 219 Summary 219 Additional Readings 220 Exercises 221 11. “Turning the Story” and Conclusion 223 Turning the Story 224 ‘A Case Smdy 228 A Narrative Study 22sA Phenomenology A Grounded Theory Study ‘An Ethnography Conclusion Exercises Appendix A. An Annotated Glossary of Terms Appendix B. A Narrative Research Study—“On the Bus With Vonnie Lee: Explorations in Life History and Metaphor” Michael V. Angrosino Appendix C. A Phenomenological Study—Cognitive Representations of AIDS” Elizabeth H, Anderson and Margaret Hull Spencer Appendix D. A Grounded Theory Study—“Constructions of Survival and Coping by Women Who Have Survived Childhood Sexual Abuse” Susan L. Morrow and Mary Lee Smith ‘Appendix E, An Ethnography—“Rethinking Subcultural Resistance: Core Values of the Straight Edge Movement” Ross Haenfler Appendix F. A Case Study—*Campus Response to a Student Gunman” Kelly J. Asmaussen and Job W. Creswell References Author Index Subject Index About the Author 226 227 228 230 232 233 251 265 285 309 337 385 37 379 395Analytic Table of Contents by Approach Narrative Research Use of narrative approaches 9 Key books and references 10 Definition and background 54 ‘Types of narrative studies 54 Procedures in conducting narrative research 35 Challenges in using narcative research 37 Focus of narrative research 34 Example of a narrative study, Appendix B 252 Research problem 103 Purpose statement 106 Research questions 110 Individual or site to be studied 19 Access and rapport issues 123 Sampling strategy 126 Forms of data 131 Ethical issues a1 Data analysis ass Writing a narrative study 183 Standards of evaluation 213 Case study “turned” into a narrative study ns Phenomenology Use of psychological approach 9 Key books and references 0 Definition and background 7xii Qualitative Inquiry and Recearch Design ‘Types of phenomenology 59 Procedures in conducting phenomenology 60 Challenges in using phenomenology a Focus of phenomenology 34 Example of a phenomenological study, Appendix C 265 Research problem 103 Purpose statement 106 Research questions 110 Participants in a phenomenological study 119 Access issues 125 Sampling strategy 128 Forms of data BI Ethical issues 141 Data analysis 159 Writing a phenomenological study 187 Standards of evaluation, 215 Case study “turned” into a phenomenology 25 Grounded Theory Use of sociological approach. 9 Key books and references 10 Definition and background a Types of grounded theory studies “4 Procedures in conducting grounded theory research 66 Challenges in using grounded theory research 7 Focus of grounded theory research 4 Example of a grounded theory study of, Appendix D 285 Research problema 103 Purpose statement 106 Research questions am Participants in a grounded theory study 122 Access issues 125 Sampling strategy 128 Forms of data 131 Ethical issues 141 Data analysis 160 Writing a grounded theory study 189 Standards of evaluation, 216 Case study “turned” into 2 grounded theory study 227Analytic Table of Contents by Approach xili Ethnography Use of anthropological, sociological, nd interpretive approaches 9 Key books and references 10 Definition and background 68 Types of ethnographies 69 Procedures in conducting ethnography 70 Challenges in using ethnography n Focus of ethnography 94 Example of an ethnography, Appendix E 309 Research problem 103 Purpose statement 107 Research questions 112 ’ Site to be studied 122 Access and rapport issues 12s Sampling strategy 128 Forms of data BL Ethical issues Mi Data analysis 161 Writing an ethnography 192 Standards of evaluation 217 Case study “turned” into ethnography 28 Case Study Use of evaluation approach 3 Key books and refererices 10 Definition and background 2B Types of case studies 74 Provedutes for conducting a case study m4 Challenges in using a case study 1s Focus of a case study 4 Example of a case study, Appendix F 337 Research problem 103 Purpose statement 107 Research questions 112 Site to be studied 122 Access and rapport issues 125 Sampling strategy 29 Forms of data 132xiv Qualitative Inquiry and Research Design Ethical issues Data analysis Writing a case study Standards of evaluation A case study revisited before “turning” 141 163 195 218 22sList of Tables and Figures Tables Table 1.1. Qualitative Approaches Mentioned by Authors 7 Table 2.1. Philosophical Assumptions With Implications for Practice 17 Table 3.1. Characteristics of Qualitative Research 38 Table 4.1. Contrasting Characteristics of Five Qualitative Approaches 78 ‘Table 4.2. Reporting Structures for Each Approach 80 Table 6.1. Words to Use in Encoding the Purpose Statement 105 Table 7.1. Data Collection Activities by Five Approaches 120 Table 7.2. Typology of Sampling Strategies in Qualitative Inquiry 127 Table 8.1. General Data Analysis Strategies, by Authors 149 Table 8.2. Data Analysis and Representation, by Research Approaches 156 Table 9.1. Overall and Embedded Rhetorical Structure and the Five Approaches 184 ‘Table 10.1. Perspectives and Terms Used in Qualitative Validation 203 Figures Figure 5.1. Differentiating Approaches by Foci 94 Figuee 7.1. Data Collection Activities 8 Figure 7.2. Sample Human Subjects Consent-to-Participate Form 124 Figure 7.3. A Compendium of Data Collection Approaches in Qualitative Research 130 Figure 7.4. Sample Interview Protocol 136 Figure 7.5, Sample Observational Protocol Length of Activity 137 Figuce 8.1. The Data Analysis Spiral 151xvi Quulitative Inquiry and Research Design Figure 8,2, Layers of Analysis in the Gunman Case 155 Figure 8.3, Template for Coding a Narrative Study 170 Figure 8.4, Template for Coding a Phenomenological Study 170 Figure 8,5. Template for Coding a Grounded Theory Study 171 Figure 8.6. Template for Coding an Ethnography a7 Figure 8.7. Template for Coding a Case Study (Using a Multiple or Collective Case Approach) 172 Figure 8.8, Features to Consider When Comparing Qualitative Data Analysis Sofware 174 Figure 11.1, Visual Diagram of the Three Components of Qualitative Research 224Acknowledgements fam most thankful to the many students in my “Seminar in Qualitative Research” at the University of Nebraska-Lincola who helped to shape this book over the years. They offered suggestions, provided examples, and dis- ‘cussed the material in this book. Also, I benefited from capable scholars who helped to shape and form this book in the first edition: Paul Turner, Ken Robson, Dana Miller, Diane Gillespie, Gregory Schraw, Sharon Hudson, Karen Eifler, Neilida Aguilar, and Harry Wolcott. Ben Crabtree and Rich Hofmann helped form the frst edition text significantly and encouraged me to proceed, and they diligently and timely responded to Sage’s request to be first edition external reviewers. In addition, Keith Pezzoli, Kathy O'Byrne, Joanne Cooper, and Phylis Langton served as first edition reviewers for Sage and added insight into content and structure that I could not see because of my closeness to the material. As always, I am indebted to C, Deborah Laughton, who served as my acquisition editor for the first edition, and to Lisa Cuevas Shaw who served in this role for the second edition, Also, for the second edition, members of my Office of Qualitative and Mixed Methods Research all provided valuable input. I especially single out Dr. Vicki Plano Clark and Dr. Ron Shope, who have been instrumental in refining and shap- ing my ideas about qualitative research. Also, Lam grateful to the Department of Educational Psychology, which provided me with a full sabbatical year during 2005-2006 to work on this book. Finally, to members of my family— Karen, David, and Johanna—thanks for providing me with time to spend Jong hours writing and revising this book. Thank you all.1 Introduction We con the first edition of this book initially began during a 1994 sutnmer qualitative seminar in Vail, Colorado, sponsored by the University of Denver under the able guidance of Edith King of the College of Education. One morning, I facilitated the discussion about qualitative data analysis. I began on a personal note, introducing one of my recent qualita~ tive studies—a case study of a campus response to 2 student gun incident (Asmussen & Creswell, 1995). I knew this case might provoke some discus- sion and present some complex analysis issues. It involved a Midwestern uni- versity's reaction to a gunman who attempted to fire on students in andergraduate css. Seanding belore the group, Ichrovicled the evens of the case, the themes, and the lessons we learned about a university reaction to a near tragic event. Then, unplanned, Harry Wolcott of the University of Oregon, another resource person for our seminar, raised his hand and asked for the podium, He explained how he would approach the study as a cultural anthropologist. To my surprise, he “turned” oar case study into ethnography, framing the study in an entirely new way. After Harry had concluded, Les Goodchild, then of Denver University, spoke, and he turned the gunman case into a historical study. I delighted in these surprise turns of my initial case study. This unforeseen set of events kindled an idea I had long har- bored—that one designed a study differently depending on the type of qual- itative research. I began to write the first edition of this book, guided by a single, compelling question: How does the type or approach of qualitative inquiry shape the design or procedures of a study?2 Qualitative Inquiry and Research Design Purpose Both editions of this book are my attempt to answer this question. My pri- ‘mary intent is to examine five different approaches to qualitative inquiry— narrative, phenomenology, grounded theory, ethnography, and case studies—and to discuss their procedures for conducting a qualitative study. The conduct of a study includes the introduction to a study, including the formation of the purpose and research questions; data collection; data analy- siss report writings and standards of validation and evaluation. In the process of providing procedures for conducting a study, I introduce a comparative analysis of the five approaches so that researchers can make an informed choice as to which approach best suits their research problems. Because the procedures for conducting research evolve from a researcher's philosophical and theoretical stances, I begin with these stances. Then, to set the stage for discussing each of the five approaches, I summarize the major characteristics and provide an example of each from a published journal arti- cle, With this understanding, I next go through the steps in the process of ‘conducting a study and illustrate how this might proceed for each of the five types of qualitative research. Throughout the book, I provide tables that summarize major differences among the approaches. | end the book by tak ing the qualitative case study presented at the beginning of the book in ‘Chapter 5 and “rum” the type of study from the original case study to @ nar- rative study, a phenomenology, a grounded theory study, and an ethnogra- phy. By reading this book, I hope that you will gain a better understanding of the steps in the process of research, five qualitative approaches to inquiry, and the differences and similarities among the five approaches to inguiry (see the glossary in Appendix A for definitions of terms in bold italics). What Is New in This Edition Since T wrote the first edition of this book, many changes have occurred on the landscape of qualitative research, and these changes and my thinking about them are reflected in this second edition. Qualitative research has become more accepted as ¢ legitimate mode of inquiry in the social behav- ioral and health sciences than it was 10 years ago. Courses on qualitative research, funding invitations for qualitative projects, and the emergence of qualitative journals all speak to an increased acceptance of qualitative research within the social and human sciences. Thus, I provide references t0 new books that have captured the attention of the qualitative community since I wrote the first edition during the mid-1990s.Introduction 3 Since then, the interpretive qualitative research approach, focusing on the self-reflective nature of how qualitative research is conducted, read, and advanced, has become much more dominant in the qualitative dis- course, and has, in many ways, been integrated into the core of qualitative inquiry. The role of the researcher, the person reading a textual passage, and the individuals from whom qualitative data are collected play a more central role in researchers’ design decisions (Denzin & Lincoln, 2005). Some researchers have called for a methodological dialogue to addcess questions of disciplinary power, theoretical future of the field, alternative theoretical approaches, discontinuance of conceptual traditions, new meth- ods of training and preparation, and alternative writing and publication possibilities (Koro-Ljungberg & Greckhamer, 2005). I see this trend com- ing largely from ethnography, but writers in grounded theory (Charmaz, 2006), narrative research (Clandinin & Connelly, 2000), and phenome- “nology (van Manen, 1990) have certainly embraced this interpretive “tum.” To incorporate different theoretical approaches and to speak to the power of discourse in qualitative research is certainly necessary. Not all writers, however, have embraced the self-referential component of the interpretive approach. For example, Atkinson, Coffey, and Delamont (2003) have recently written about the dangers of forgetting the disciphi- naty traditions of ethnography: “We believe that too much contemporary work advocates and celebrates self-referential work, with little relevance to our understanding of actual social worlds.” (p. xi). I agree. The focus of all qualitative research needs to be on understanding the phenomenon being explored rather than solely on the reader, the researcher, or the par~ ticipants being studied, But the interpretive stance has much to offer. Thus, for each of the approaches discussed in this book, I now reflect on inter- pretive elements of procedures. These interpretive aspects also inform how | view the basic design of qualitative research found in Chapter 3. In addi- tion, I brought up to the front of the book the philosophical and theoreti- cal discussion (Chapter 2) so that it can help frame all other discussions about qualitative research, Some have argued that the purpose of qualitative research should be to advance a social justice agenda (Denzin & Lincoin, 2005). While one needs to acknowledge that our society has become more diverse, cognizant of underrepresented groups, and educated about racial and ethnic tensions, not all qualitative projects must have this agenda as a central feature. All studies should acknowledge and recognize these issues as part of all inquiry and actively write about them. The passages on data collection in this book focus on the sensitivity required ro collect data among diverse samples and the strategies that inform these procedures.4 Qualitative Inquiry and Research Design Thave become much more cognizant of the variations within each of the five approaches (Creswell 8¢ Maietta, 2002). Partly this has developed because readers have called it to my attention (for example, by saying that “there are several ways to approach grounded theory”), and partly i is due to the increasing fragmentation and diversity that now exists in qualitative research, Book writers on the various approaches have contributed to this development as wel. For example, I now see biography (Denzin, 1989a), described in detail in my first edition, as one of only many approaches to narrative research (Clandinin 8 Conoley, 2000), a broader more inclusive term. So narrative research is now one of the five approaches highlighted in this book. Narrative research incorporates many forms, such as autobiography, life stories, and per- sonal stories, as well as biographies. Phenomenology, as I view it now, has sev- eral approaches, such as hermeneutical phenomenology (van Manen, 1990) and transcendental or psychological phenomenology (Moustakas, 1994) Grounded theory, for years dominated by Strauss and Corbin (1990, 1998), now has the strong constructivist, less structured approach advanced by ‘Charmaz. (2005), and ethnography has taken a turn from description and the objective, realist orientation to an openly ideological production of cultures (Koro-Ljungberg & Greckhamer, 2005). Case stady research has the voice of Yin (2003), a more structured approach to research than the earlier Stake (1995) approach, I have inserted new passages addressing alternative types of procedures within each of the five approaches, and I now discuss specific steps in conducting a study within each of the five approaches. ‘The qualitative enterprise is much more fragmented than it was, and it is being challenged by writings that advocate for a return to the experimental model of inquiry, such 2s those found in the No Child Left Behind Act (Maxwell, 2005) and che National Research Council's monograph on scientific research in education (National Academy of Sciences, 2000). The “camps” in qualitative research seem to be the methodologists, who embrace rigorous ‘methods; the philosophical advocates, who seck to identify and expand the number of paradigmatic and theoretical lenses used in qualitative research; the social justice researchers, largely drawn from ethnography, who advocate the social ends for qualitative research; and those in the health science group, who look to qualitative research to augment their experimental, intervention trials and their correlational designs. Today, individuals teaching, writing, and dis- cussing qualitative research need to be clear about their stance and share it with their audiences, My attempt has been to honor all ofthese diverse perspectives in qualitative research, but my strong background in applied methods has led to.an overall methods orientation to this text: ‘The data analysis has become more sophisticated as many qualitative software programs vie for a privileged status in qualitative research and incorporate more sophisticated subprograms that enable researchers toIntroduction 5 output qualitative codes to spreadsheets, statistical programs, or to concept maps. In this edition, T introduce several computer programs being used to analyze qualitative data, and thus extend the discussion of options available. ‘The term that I used in the first edition, “traditions,” has now been replaced by “approaches,” signalizing that I not only want to respect past approaches, but I also want to encourage current practices in qualitative research. Other writers have referred to the approaches as “strategies of inquiry” (Denzin & Lincoln, 2005), “varieties” (Tesch, 1990), or “meth- ods” (Morse & Richards, 2002). By research design, I refer to the entire process of research from conceptualizing a problem to writing research ques- tions, and on to data collection, analysis, interpretation, and report writing (Bogdan & Taylor, 1975). Yin (2003) commented, “The design is the logi- cal sequence that connects the empirical data to a study’s initial research ‘questions and, ultimately, to its conclusions” (p. 20}. Hence, T include in the "specific design features from the broad philosophical and theoretical per- spectives to the quality and validation of a study. Rationale for This Book Since the 1994 Vail seminar, I have been asking individuals who approached ime with their qualitative studies, “What type are you doing?” Since the pub- lication of the first edition of this book in 1998, I have increasingly heard from individuals that they are doing ethnography, or grounded theory, case study research. The types of qualitative approaches that I wrote about in the first edition have now become part of the lexicon of qualitative research, and researchers are much more aware of the type of designs they are using than they were in the 1990s, ‘My intent is that this book will include several features: ‘ Ithighlights the procedures of actually doing qualitative research. For years, the actual “doing” of qualitative research has been relegated to sec- ondary status, behind the philosophical ideas and the important research questions. Of course, philosophy and the guiding questions are important, bbut the methods and procedures are important, too, and cannot be over- looked in conducting scholarly qualitative research. + It provides qualitative researchers with options for conducting quali tative inquiry and helps them with decisions about what approach is best to use in studying their research problems. With so many books on quali- tative research in general and on the various approaches of inquiry, quali- tative rescarch students are often at a loss for understanding what options (ce., approaches) exist and how one makes an informed choice of an option for research. To clarify this, I limit the options to five major types.