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An Expanded Sourcebook Qualitative Data Analysis Matthew B. Miles A. Michael Huberman SAGE Publications ‘ntemational Edvetional ard Thousand Caks London New Delhi oprt xiTurHaNest ‘METU LIBRARY Copyright © 1994 by Matthew B. Miles and ‘A. Michael Huberman Al sights reserved. No part ofthis book may be reproduced or utilized in any form or by any means, ‘electronic or mechanical, including photocopying, recording, or by any information storage and retrieval system, without permission ia writing ‘rom the publisher. For information addres [SAGE Pablo ne. 2455 Teller Rot ‘Thousand Ons, Clteri 91520 rma orderagepoh co ‘SAGE Pobicaons Lu 6 Doni Suee Iarlon 5028 420 nied Kingdom SAGE Pablcsons Ina Pot. Lid 2 Maat ‘Gester Kae 1 New Deh 10 068 tain HOL Muot 1834, Printed ithe United Sates of America Library of Congress Cataloging-n-Publication Data Miles, Mathew B ‘Qualitative dats aealysis: an expanded souresbook / ‘Matthew B. Miss, A Michael Huberman. — 2nd ef om Includes bibliographical references and index. ISBN 0.8039-46538 (e) ISBN 08039-55405 (pb) 4, Social siences Reseach. 2. Education Resear L Huberman, AvM, TL Tie. H62MA37_ 1994 30077234220 sssiz08 cP of 05 17 Sege Production Editor: Rebecea Holland © serupeany a 10980363020 7 List of Figures, Tables, and Boxes ‘Acknowledgments Lintroduetion {The Gmneral Problem B The Nate of The Book Audiences Approach ©, Our Orestxion D. Vases of Quaitatve Reach Recoring Features of Quabtatve Research ‘Ties Approsces to Qualialve Disa ‘Analyse Analyte Methods: Some Comsnen Feanres The Nate of Qualitative Data General Nature Some Uneriying Issues Steeghs of Qualitative Dat , Our View of Qeatiasive Analysis Data Redaction Duta Diclay ‘Conclusion Drawing and Vesifcaton G. Using This Book Overview Contents vith x Foumat of Specific Methods ‘Suggestions for Users 2. Focusing and Bounding the Collection of Data: The Substantive Start ‘Tight Versus Lose: Some Trade of ‘A. Building « Conceptual Frmewore B. Formulating Research Queston® C. Defsig the Cas: Bounding the Tetory D. Sampling: Bounding th Colleton of Duta . rstemenation Sonmary Comments 3. Focusing and Bounding the Collection of Data: Further Design Issues A. Linking Qualitative ard Quantitative Dat Rationale Brief Deseiption| trons Advice , Madagecent eves Bering on Ansys ‘Compater Use Dats Management ‘Sting wd Tine Planing ‘Agreements With Stady Partsigants Summary Commens 2 2 aesun BSRRSEESREES 4 8 5. Within-Case Disp Barly Steps in Analysis ‘Our Assumptions Aboot “Dat” ‘A Contact Summary Shot Decurest Summary Form B. Codes and Coing Reflenive Remarks Marginal Remarks . Patera Coding D. Menoing Developing Propositions E. Case Analyse Moving Inari Case Sorsmary Data Accounting Sheet, . Vignotes H, Prosroteced Case 1. Sexenl Arayas Sormary Comments Within-Case Displays: Exploring ‘and Describing Describing nd Explaining ‘A. How Data Displays Work 8, Parially Ordered Displays Consent Chart, (heckle Matix “Toe Tansecpt Poe Time Ordered Displays Eveat Listing ‘Cc Icient Chart Eveat-Ste Network Activity Record Decision Modeling Growth Grace “Time Ordered Matric . Role Ordered Diepays Role-Ordered Matrix Role by Time Matix E. Conceptually Ordered Displays Conceptually Clastred Mate ‘Thematic Concepts! Matix Folk Texonomy Cognitive Maps Effect Mate Summary Commer Explaining. ‘and Predicting ‘A Explanations ané Causality ‘What Does It Moan o Exlan Soeting? A Way of Thinking About Cali ‘The Power of Qaltave Causal Analyt B, Explanatory Eff Matis © Case Dynamics Mauix D. Causal Netware Vesfyng Causal Newer E, Making and Texting rections 50 1. 10. Summary Commens Cross-Case Displays: Exploring and Deseribing ‘A. Crete. Cate Analysis: Overview ‘Wy Do Cross-Case Analysis? ‘A Key Discion: Vatables Versus Cases ‘Seateles for Cros-Case Analysis B, Patsy Owered Displays Parily-Ordered Meta Matrix . Conceptually Ordered Displays ‘Content Aral Soar Table Substctng a Variable Consist Table Decision Tre Noceling . Cate Ordered Displays ‘Cise- Order Deserve Mets Matrix ‘Ocdesag Cases Trough Summed Indices "Two-Varlable Case-Ordered Max Conse Table Seaterpat E. Tine-Orsere Displays “Time Ordered Mew Matix Seaterplos Ove Time Composite Sequence Analysis Sura Comments ‘Cross-Case Displays: Ordering and Explaining A Explaining Tough Cornpatve Aealsis The Main ase Working Piciles 1, Cese-Ordered Etec Mats , Case Orered Preicor-Ouscome Mari Preciet-Cutzome Consequences Mati D. Verabio-by-Variable Matrix E, Causal Models Causl Chie F. Causal Networkt—Crose-Cate Analysis ‘Aecolees Mais Sommary Comments ‘Matrix Displays: Some Rules of Thumb ‘A, Bulag Mate Displays Matix Elements Rules of Thumb for Maui Bung 2. Entering Mattx Data ules of Thm for Dats Baty . Drawing Conclusions From Matix Data Ble of Thumb for Conehivon Drawing Making Good Sense: Drawing and ‘Verifying Conclusions A, Tales for Ganeeating Meaning 1. Noting Patems, Themes 2. Seeing Plasiy m 239 240 241 244 2 2 3 245 286 5. Chsering 4 Making Memphors 5, Counting 6 Making CorrastsComparisons 1. Patoning Vaabes , Subowming Perot no the General 9, acorns 10, Noting Reaone Between Varsbles 1, Binding oervening Variables 12, Bulg a Logie Cain of Bvideoe 13, Making ConcepalTeocetical Coherence B, Tactis for Testing or Confirming Fengs ‘Checking for Represetativeness 2, Checking for Researcher ets 3. Toangaating 4. Welgung te Evidence 5 Checking te Meaning cf Outes 6 7 8 (Using Brome Cases Following Up Surprises Lockie for Negative Bvigence 9, Maing Then Tess 10, Rakieg Out Spurious Relations 1, Replicating a Finding 12, Chesking Out Rival Explanations 13, Geting Feeback From Informenss . Standards fr the Quality of Conclusions (Ovjectivin/Confmdity ReltiliyDepeodsbiy/Audiabity Taverna ValityCeeibitiy/Autheniciy Excemal Vali Transferabiey/Pcingess Uilizaiowa pliaon/Acton Orientation Documentation ‘Summary Comments 11, Ethieal sues in Analysis Some Framing Remacks hel Teoories Sposfic Ethical oes Confit, Dilemmas, and Trade offs Aare Summary Comments 248 250 232 254 2s 255 286 2s 258 260 288 288 259 BS 12, Producing Reports ‘Te Gener] Probiem Aptinces and ets Voices, Genes, nd tances syle Forts an Srctres Using Reports Summary Comments 13. Concluding Remarks ‘Seving Quabttve Ansys Whole Reflections Advice Appendix: Choosing Computer Programs for Qualitative Data Analysts 1. Overview an Suggestions ff Use 2. Sofware Types ard Functions (Genera Types Specfe Fonetont: What to Lack For Or Considerations 4 How to Chose Software: Key Quetone ‘What Kin of Computer User Are You? ‘What Kind of Datnboe and Project II? ‘What Kind of Analysis Is Antiptedt 4. Progam Chaacteistics 5. Progam Developers and Discos 6 References References ‘Author Index Subject Index About the Authors 298 29 500 301 301 306 30 a0 ou an m1 a 312 313 313 313 a4 34 as as a7 38 3a 3M 337 List of Figures, Tables, and Boxes Figures 1.1 Qualtive Stags fe Edocationa Research 12. Graphic Ovecvew of Qualitative Research Types 13 Component of Dia Analysis: Flow Mode 4 Component of Data Analysis: Interactive Model 21. Conceptal Famework fora Stdy ofthe Dissipation of BduainalInovatons 22 Second Conceptual Framework fora Stay of te Dissemiotion of EicationalInovations 23. Conceptual Framework fora Mulease “School improvement” Feld Std, Intal Version 24 General and Spciic Research Goestions Relating to the Adopion Decision (Schl Improvement swsy) 25. Tho Case ashe Unit of Analyse 26 Typology of Sampling Suatgis in Qualitative Ioguity 21 Prior Insramsntaion: Key Deciion Factors 28 Excopls From Incrviw Gude, Schoo! Ixprovement Study 1 Masuative Designs Linking Quaiaive and (Quantinive Data 32 Uses of Compster Software in QusitativeStdies 33. Whatto Store, Retieve From, ad Retin ‘34 The Aetmsic™ fora Project, 435. Question for Agreement Wit Study Pardsparte 8 36 2 “a 4“ a 4 Contat Summary For: stan excrps) 42. Comet Summary For: Ilstration With Coded ‘Themes (excep) 43. Example of Category Card 44 Marion of aPoorly Strtred List of Cadet (exon) 45. Delinkions of Selected Codes From Table 1 (exe) 46 A Coleage's Marginal Not: Beret 447 Mapping of Concepts: station “48 Inereation of Pere Codes 449. Case Anlyts Meeting Form {4.10 Caze Analysis Form: Exhibit Wits Data 4411 Summary-Aied Approach Analysis 412 Inte Case Seramary Outline: Hostation 4.13 Prentotred Case Ootine: Abbreviated Version ‘414 Teaidonal Arlyss Sequence Compared With Prewruenod Case 4.15 Marginal Nowe asa Coding Aid 51 TheLadéer of Analytical Absracton 52 Growh Gradient for ECR Tanovation, Masepa case 153. Musraon of Context Chart With Assistance Flows (Masepe Case) 54 Ineraction Between Display and Analytic Text 3 36 3 6 @ a n % os 38 2 01 ss 56 57 61 62 63 68 63 65 67 63 6 Content Chat for Tid ss High School and Dintict CCopitive Map: Peter's View of How Restuetaring Proteeds Descriptive Account for Pet's Map of How Restructuring Proceeds ‘Causal Network for Pry Parkdale CARED Progam CCusal Fragment Mastery ofa New Edueatonst Practice List of Antcedent, Meditng, and Outcome ‘eriabls: School Improverent Sy Excerpt From an Event State Network: Peny Parkdale Sheol -ExcorptFroma Cal Nework Pry arkéale Sehool Naatve fr Canal Network: Peay Perkdale CARED Program Factors Supporting "Istiutioralzation”Preicion Favors Working Against Tastderllation™ Fredieden {6.10 Prediction Feedhack Ferm, Pat ‘GL Frediton Feedback Fer, Pa 6:12 Norecursive Reaonthip a 12 73 14 18 16 co 3 81 82 83 8a 8s 86 87 a8 ypoditical Quansuive DataSet: acters Influencing University Anendsnce Hypothetical Pah Analysis: Factors Tfluencig University Attendance Composite Sequence Analyse Career Traetory Date for 11 Cases (Case Bearpes: Decisions About he Breakfast (Contact by Two Stents ‘Composite Mods 1: The Fresiman’sDecson to Buy or Not Bay a Brocka Contract Composite Mode 2: The Freunan's Decision to Buy or Not Baya Breakfast Contract, Scateplot Relationship of Pressure o Adopt and Degree of Laine Given to Users a 2 Sites (Repeated) Composite Sequence Analysis: Creer ‘Trajectory Dat for 11 Cazes Sumurary Tabla: Typical Consoquences of Coping, by Cue (Causa Howehart Tracing User Practice Changes Causal Network for Pry-Pukdble CARED Progam immediate cases of ob nobly muted) Sobpetwork: Variable Streams Leading to High Seb Mobility, Perry-Parkéle Case Sabpetwork fr Sob Mobily, Cason Cass Subnetwork for Job Mobily, Banestown Case Sebrerwork fo Job Mobility, Phmmet Case Seenaio 2: ModeatHigh Outcomes From High Mastery and Low Seledness 1s 1s 16 154 1 ist 156 161 166 m4 18 185 188 199 2 20 BI 233 as ListotPigues, Tales, and Boxes Seennlo 3 ModentefLovi Outcomes From Program Bluing/Downsizing [station of Clasterng, Using Dendrogran Mebid -Reasoas Given for Adoptlon by Uses ‘Two-Varabe Relationship “Two: Variable Relationship With Intervering Venables Exrple ofa Chain of videnoe Supporting an Observed Oxtcre Possible Explanation of Spurious Relationship Display fr Testing Explanation ia Figuce 106 ‘Code List for Analysis Operations (Overview of Qualiatve Dace Analysts Processes 89 tor 102 103 oa 10s 0s 107 108 rr) ‘Tables 21 Chanter of Fab Sted Semple 22 Flas Sampling Frame foc Feld Sudy 41 Uhetation of Start List of Coder 31. Eveat Lining, anstown Case 532. Choakist Matix: Conditions Spponting Preparedness a Smithson Schen,Banestown Case fess Matix: Arsstance Location and Types (dasepa Case) (Repeated) Checks Max: Condon Supporting Preparedness ot Sinton School, Banestows Case 83 32 54 Checklist Matix on Prepreoess (cheratve ‘ema 1) 55 Choclist Matix on Preparedness (aemative focmat 2) ‘56 Checklist Marin on Preparedness aherative form 3) 51 Regoated) Evert Listing, Barestown Case 151) Time-Ordered Matix: Changes in the CARED Irnovaton (a work experiene program) {58 Summary Table for Verifying and Interpreting ‘Time-Ordered Marx: Changes inthe CARED Imovation 59. Role-Orceres Marx: First Reactions tothe Innovation 5.10 Role Ordered Matrix: Example of Net Step Matix to Analyze Intl Ftings (ist reactions tothe imovation) 5.11 Conceptally Cistered Matis: Motives and “Aides (format) 5.12 Conceptually Clustered Max: Mosives and ‘Aides of Uses, Nonuses and Administrators seMeepa 513 Components Ansys Example for Seven Cart Accrgingo Jack 5.4 fois Max: Organizational Chengos After Implementation of te ECRI Program S55 Brfecte Matin: Diet, Met, sd Side Etec of Progam (Eaviconmenal Sites, Lido High Sctoe!) & xs 8 gees 96 107 108 1 109 m re) wa me 126 ns 10 13 ne 10 6 m 2 2 14 1s 16 oa B 19 (QUALITATIVE DATA ANALYSTS ‘case Dyeames Mabe Th IPA fanoationa¢ 2 Force for Oraniatioe] Change in the Dict. sod ix Schools, (Case Dyers Maur: Organizational Dilemmas Posed by BCRI Program ‘Hypotnacal ualtative DataSet er a Case: Influence Actions and Responses, Case #005, ‘ya wan der Molen Caso Leve Display for Panty Ordered Mate Matrix (rma) (Cas- Level Disp for Pally Ordered Mate Matrix: Use’ Second Yeu of inplemeataton thio Parally Ordered Meta Matix: User Feelings (Concerts and Otter Variables orma) Parially Ordered Meta-Matna: User Felines (Concer and Other Vacabes (Lido das) ‘Time Ordered Mat Mates (format) Sommary Table Tadvidual nd nsninal (Conces Dureg Lae Implementation Cluseed Summary Table Problees Serning rom Major Tats of Later Lnplomentsion at eld Stes CContentAnalyeSeomary Table: The Corea of (Organization Charges 7140 Const Table: Esarple of Tabulted Evidence {fara Power Convalization Contre 71 Case-Ordered Mew Marx: Format for Sect Impact Dts (version 1) 1112 Case Ordered Meta Matin; Forme for Set ‘impact Data (version 2) 1113 Cate Orered Deserve Mera Marx (xcer0 Program Objectives and Sten! Impac (et, rmetelevel sd side effec) 1116 Case Orsced Descriptive Mota Mauix, Nex ‘Stop Version (excep: Program Objectives and Seater pect 715 Time- Ordered Mes Matrix (etirinary format) 116 Tie- Ordered Mea-Matr: Sob Mobi an 32 3 34 as 87 88 a Sites Cate Orsered tects Mat (elimina forms) (Case Ordered Efets Matrix (vesion of forma) (Case Ordered Bets Matrix (version 3 of formal) (Cai. Ordered Efets Matix: Elects of Ongoing spd BvereLinked Assistance (Case Ordered Predicir-Outote Matix: Degree cof Prepredress a5 Related to Ease of Ely Implementation | (Cai. Ordered Petite Outeome Mitte! ‘Aatonl Factors Related to arly Implementation ‘Cate Ordered Predictor Outcome Mata: actors (Contibting o Pace Involvement Vasiable-by-Varisble Mase: Coping Suaenes nd Problems, by Case Pedic Outcome Matix: Predict of Magnitude of Ue: Paci Change 150 132 ns im 1» 1» 19 180 8 18 185, 169 ro 1 in 200 21 eo 29 210 an a6 216 218 ma so oa it m1 AL ‘case Ordered Meta Matix: Peerage of Use, vy Cases (Qasitive Analysis Documentation Form ical Fraewocks and Aspects of Reseach Matix for Objectives of Disenastion Strategy Planing ‘Program Characters 2 22 a3 a 43 44 46 st 52 59 6 62 53 65 66 mM 12 13 14 18 ‘Conceptual Framework for an Ekrographic Sdy “Emrgeat Conceptoal Pramnrkc The Antecedents snd Consequones of Cloking Oranizanel Actives ‘Types of Research Questions: ample Document Simmary Foon asation Refccive Remark: Hhstrasons Marginal Remarks Iostaions Date Accounting Soot Abaact Bample ata Accovrting Sheet tiseraton Nasratve Scene: Excerpt ‘Excerpt From a Traserip es Poems vent Fow Nore: A Sauden’s Lesraing and Work Expconce (ttl Incident Chart and Time Line (excep from Hawthorn Sch!) Bat State Network, anstowa Cass (near) ‘Asivity Rezo: Example Decision Modeling: Example Roley-Time Marx Hasraion Role Assistance, by Pass ‘Thematic Concept Mata: Problems an Coping ‘Suatagies (Example From Chester High Schoo!) Poron of lck’ Fole Taxonomy of Cars and “Trcke ‘Two Event Sequeness ‘pantry Bets Matix: Ongoing Assistance Cue tet Loops ‘Segmented Canal Network The Ins luce of PEP Progam at Berton College Srapothag Case Network: The Varables nd Relationships Linking Administators' Actions tnd Teacher Developmeat Acivites Response Ferm for Casal Network Verfcaton Subsructed Variable: Extent of Organizations} Chane Summed Indes: Reporte Changes in Use Paste nd Perceton ‘Two-Variable Case-Ordered Maui: Retionships teen User Practice Stabilization and Local Continuation ‘Toei Cae Od Mati pat ion Making and Akernatives Considered Canta Tite: Expiry Co Showing Ditferet Degrees of User Change a us us 16 nT 18 mm rey 196 11 198 16 82 83 Seat Over Time: The Consequences of asiarce Contnt-Anlyte Summary Teble: Short and Long-Term Effects of Assistance, by Asitarce Domin ‘Conon Analyte Surry Table: Assistance "lfecs in High- and Low-Assstanoe Case, Predictor Oatcone Consequences Mair ‘Aatocedeats and Consequences of Aste 203 212 212 219 Lis ofFigus, Tables, and Boses» xt 72 Repeded) Summed Ince: Reported Changes in Use Prose and Pereopton 2 84 Causal Chai: Htusraion a 85 Causal Chi: Htostraion 2 RG Anlcedens Matrix: Antecedents of Student Impact 234 TO Closers ofteformation Processing Capaciies 248 102 Overaping Cuters: Behaviocl Modes a the Workplace 29 Acknowledgments ‘The first edition ofthis book grew out of our experience in two linked research projets. One, beginning in 1978, ‘was the Field etudy component ofthe Stay of Disserina- tion Bors Supporting School Improvement (Department of Education Contract 300-78-0527) le by David P.Cran- dil of The Network, Inc. We are indebted to him for bis sMoady encouragement end suppert and that of Ann Bezdek ‘Weinheimer, project officor from the Office of Planning, Budgeting and Evaluation. Tn the field study itself, Beverly Loy Taylor andJo Aan Goldberg were strong colleagues; ther fieldwork andcase study analysis, along with ous, ld to volume four ofthe DESSI final report, People, Policies, and Practices: Ex. ‘anining the Chain of Schoo! Improvement, later published a5 Innovation Up Close (Plenum, 1984). ‘The second projec, The Realities of Schoo! lmprove- ‘ment Programs: Analysis of Qualitative Data (NIE grant (G-81-00-8), gave asthe opportunity to develop curt odological ideas further and to wrt the frst edition of his ‘book RolfLehming ofthe Program on Dissemination and Improvement of Practice, was our project officer; we val: ed his sustained interest and advice. ‘The ides in the first edition —ane indeed inthis one— donot necessarily reflect the views ot policies of the De- artaent of Education. But we remain graceful forts spon- sorthip ofthese stsies Inthe last 10 years, many poplehave contributed to our understanding of qualitative data analysis and tothe devel- ‘opment of the second edition. We have experimented in the company of colleagues with studies that expanded, tested, and refined the methods described in the frst edi- tion, We are indebied to Ann Lieberman, Ellen Saxl Myma Cooper, Vernay Mitchell, and Sharon Pity-Jacobs, who joined Miles in a study (1983-1985) of school “change agents; tothe late Eleanor Facrar, Karen Sea- shore Louis, Shella Rosenblum, and Tony Cipollone in & stody with Miles (1985-1989) of urban high schoo! reform: to Par Dali, Adtiaan Verspoor, Ray Chestefeld, Hall- vard Kulay, Tele Ayano, Mumtaz Fahan, and Carlos Ro- jj, whom we assisted ina World Bank stady (1988-1992) of educational reform in Bangladesh, Echiopa, and Co- lommbias to Mari- Madeleine Grounaver and Gianeto Pin, Fiuberman's associates Ia a teachers’ lifecycle study (1982-1986); and to Monica Gather-Thurler and Ewin Beck, sesceistes in Huberman’s study of research use (19841988). ‘As alway, the proces of teaching from the book taught usa gest deal. Thre are too many participants to list, but We were fortunate to have led an extended series of semi- att atthe universities of Nijmegen and Usrecht (trong. thanks toRein ven der Veg and atmany other uiversities 8 wel: Geneva, Zirch, Pars, Dijon, Leaven, Goteborg, ‘Montreal, Toronto, Queen's, Utah, Monash, Melbourne, and Adehide ‘During 1990-1991 we sentan informal survey to wide ‘ange of people engaged in qualitative research, asking for collegial advice and examples of their work. Our warm ‘thanks tothe 126 researchers who responded: they pro- vided a wide range of ideas, paper, advice, and cations that were immencelyhelpfl. Many ofthese collegues are ‘quoted oF cited inthis book. Because computer technology advanced dramatically during this period, we ourselves di the word processing ‘But we must acknowledge the help of Judith Wooleock, ‘whe compute-scanned and cleaned up the text of the fist ‘edition for use in our revision. Ali Yildirim provided ‘srong administrative and soretaral support, prepared ts ‘les and figures with grat patience and sil and produced the reference list Sadi Seferogl alded with graphic pro ‘uetion and with Hbrary search. Michae| Moon's produc tion work on the indexes was oustanding. Our warm ap- preciation to Tina Hil or her excellent typesetting andto Rebecca Helland for her thoughtful prodvetion editing. or permission to reproduce previously published (and some unpublished) material as exhibits, we are grateful to Russell Bernard, Robert Bogdan, Kathleen Carey, ‘homes Carney, Mark Cheslec, Dick Corbett, David Cran- dal Kathleen Eisenhazdt, David Flinders, Christina Glas- win, Randy Hodson, Diane Kell, Klaus Krippendorif, Anton Knzsl, Dean’ Lee, Kenneth Leithwood, Merry Meryfeld, John Ogb, John Owen, Michael Patton, Mare Pill, Laurel Richardson, G. Mark Schoepfle, Nick Smith, ‘Suzanne Stiegelbaue, Bary Turner, Karl Weick, Oswald ‘Werner, Brice Wilson, and Harry Woleot ‘Geants supporting the extensive retrieval end synthesis ‘work for this edition came to us from the John D. and CCatberire T. MacArthur Foundation, where Peter Gerber provided thoughifl support, and from Sage Publications Sara Miller McCune and David McCone of Sage took 2 ‘en interest in the projet. We ae grateful forthe active, Intelligent guidance thet our editor, Mitch Allen, provided throughout the work, ‘We owea very special debt to Carolyn Riehl Her ability to locate snd extrct interesting-ideas—both substantive and methodologieal—from a wide range of qualitative studies is remarkable, She was a stong third colleague during our extonded pried of retteval and ordering. ‘The Appendix, on computer programs, dew centrally fon the work of Eben Weitzman. His gift for combining technical clarity and a good sense of user feniness is Adknowledgrens «xi indispensable for qualiative'researchers ficed with the burgeoning growth of analysis software. Drafts of this edition were reviewed by many people: (Oar warm thanks forthe thoughtfil advice of Martha Ano (Carey, Rick Ginsberg, David Marsh, Toseph Maxwell, ‘Betty Miles, Renata Tesch, Hany Woleot, and an ancny- ‘ous Sage reviewer. ‘As with the frst edition, we are grateful to exch other forthe energy stimulation, and productivity of our work ina demanding eaterprise. We'll soon beat our 15th year ‘of collaboration, The only disappointing feature this time ‘vas thatthe work oocupied jut 2 years. Ui there's al- ‘ways the next comman vente MBM. AME. reaching pee te along fr pein Fp, Poseg in Quaaive Ign by Woo in Te Hendbact of Quaive Research in Edeton by M.D LeConl, W-L Miley, Pesce (BES), pp. 32). 1992 New Yt Acdemis Fess, Copyaght © 192 by Ace ress Rept pron we, fom Qala Research Aci Type ad Sere alt ty Rest, 15, New York Fale Ps Capa © 1990 by Famer Pres Rese by pean. Figs 21 an 22, tom Cnc Promewor: A Say of Dizon ‘nalon Bf Sporting Schoo Improve Te Neo, Ine 97, Andover, MA The Netw Is Copegt © 1579 by The Nowe Reprined by pemissen ue 23, fom Quetave Duss Anbu A Sourceboo of New Mei ‘dityby AM Hcberman and, 8, Miles 1964, Bee Hil, ‘CA Sg Pabicatons, ne, Copyright © 19 Sage Pie ‘inf Reine by psmsion Fie 26, fe “Sarpng i Qusnve ingly" Ia Dong Qual ‘esac (ppt) by AJ. Raa 1992, Nev Pak CA ‘Sige Pibcaon, ns Copyright © 192 by Sas Pion, Ine And or Qvale Eaton Mend nde by MQ. Pace, 1980, Newbery PCA Sage. Cop © 1990 by Seger, Reidy pron oe Fe: ‘ox. fom" Sel opal: AM] Apprshby.O;b eprtucd by pembsion ef Be Arwecan Antolin ‘Assoaton Go dntrplogy ond Eucarion Quarter. 1200. {BEL Not fr slo frberpecten ‘ox 2, om The Antony of Easton Inet by LM Sith fad Ret, 11, New Yor ob Wily Copyright 15789 ‘en Wiley & Sos, ne Reps by pissin ooh Wey Shs, Box 23, erintel om natu and Propra Plaing, oe 1, Me Se “Toward te scat of Clans a Braon Rese” pages 209-314, Copy © 197, wind peri xiv QUALITATIVE DATA ANALYSIS sion fm Pergrcn Pras i, Henogtn Ha Hal, Oo ox20W 0K. igure 43, fom Some Pract Aspect of Que Da Aaya (re Way of aig Cute Proacses sodas Wi ‘SeGuntednet Grund Tear by. A Tor 181, Qua land Qari spp 225.207, Cope D196 by Flower ‘selec Pobre Rep by permission Box 45, frm Teng, Ref ad Rablion by O. Cae and 'B, Won, 109, Nore I: Ablex Copyright © 1981 by Aiden Posing Compra. Repay person, Pipe 46, tora Whar te Good Fld Nov? by R. Bogan sd 1 Bateray a Syromn, NY. Syrsee Une Ceteron Hluean Polley. 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Repos ih perniion of Met Box 64 fom “Pedi ereson the MiCIBBO: Charing te Tata of Parison at Eauy ogra th tt Ail Leva” by One nd Hey, 1987 Aastrain Bae lone Reserchey 15. T8% Repay perio af eater Box 65 rom How the Sch port Steg of Toor tine! Laces Fre Tac Developer (pet resol a to Sth Atl Cofetsce of he Depart of Erie [Renin snd Cente or Lndentip Developrest OLS, ‘Tory Lavo Dan, snd Da 181. Reps ty permit see gue fom "Toe Prfeso Life Cyele of Teaches” by A.M. Hoberman, (907, Teachor Clog Recon 8. 3-7. Re dy permit of ecb Cog Prt Cou Ub eon an thea Pipes 7.75, rom Bogrphe Delon Modal CH ‘Gaga, 1989, Newby Pak, CA: Soe Pelion. Re edb perniin ou 7A te "oding Fat Ste Decne Hh loa Ei Toner ty FM, Barbar 199, eal of Manageme ora 2p 576 Rept ty pasion of Aes Sehnert oral College of Biss Adiseaon, “exss ARM Usiersty ‘hile 710 oe “Baling Theres Pom Case Soy Ree by RM ebatt 199, Academy of Managenent Juma 14 pp. 392-50 Replied by perms of Aten of age Tent Jour, Coleg of sass Adan Texas AM Univer. “le fo Pore on Fadel Eun Prams 7. Mate loge Epo th Sy of Pores roves ‘ies Rss, sndR Mtr, 198, Sansenea CA Systm Developmen Capoten Fp 1 om Chae” by K KappentinMilvarate Tesk. ines In Huta Communion Reseach, 1980, New Yer: ‘eaten Pros. Repel by prion of auth ox 102, fem "Te Ate Woke Compas and Anon tthe ota by R Hodes 9, Jara of Cntenpoar ik rng 2p 47-18 Reed by prmion cf Sge PI “le an “a Serch of ae Gls: Const Bas or ila by D3. Fado, 1992, Quai Se i Eee ‘ton, pp. 10-16 Copgh © 1982 Reprod erm Sion aoa Fan La 1 Introduction We wrote ths book to address a critical need faced by researchers in all fields ofthe human sciences, Put simply: How can we draw valid meaning from qualitative dita? ‘What methods of analysis ean we use that are practical, communicable, and non-selfdetoding-—in shor, will get us knowledge that we and others can rely on? A. The General Problem Qualitative dats usually inthe form of words rather than numbers, have always been the sape of some Fields in the socialsciences, nosably anthropology, history, and poli- cal science. Inthe past decade, however, more researchers in basic disciplines and applied fields (psychology, soc- logy, linguistics, public administration, orgenizational studies, busines studies, health care urban planning, eds cational research, family stdies, program evaluation, and policy analysis) have shifted to @ more qualistive pare- ign, ASL, M. Smith (19926) observed, the tems ePhog- ‘raphy, feld methods, qualitative inquiry, pancipant ob- servation, case study, naturalist methods, and responsive evaluation have become practically synonymous Qualitative data ae sexy. They are a source of well rounded ich descriptions and explanations of processes In identifiable local context. With qualitative ta onecan preserve chronological flow, see precisely which events Jed to which consequences, and derive rutul explana- tions. Then, to, good qualitative data are more likely lead to serendipitous findings and to new integrations they help researchers to get beyond inital conceptions and to generate or revise conceptual frameworks. Finally, the findings from qualitative studies have a quality of “unde- niabilty.” Words, specially organized into incidents or ‘stories, havea concrete, vivi, mcningful flavor that often prover far more convincing to a reader—another Te- searcher a policymaker, « prcttioner—-than pages of summarized numbers ‘The expansion of qualitative inguicy since the ist ed tion ofthis book (Miles & Hoberman, 1984) has been pho nomena, Te base of books, articles, and papers we col- lected for this second edition has more than wripled over that for the firs. Debate on underlying epistemological issues has contioued vigorously (Guba, 1990). There ce full-fledged handbooks (Denzin & Lincoln, 1994; Le Compte, Milroy, & Prisle, 1992), Sage's Qualitative Research Methods series (more than 24 volumes), new journals (Qualitaive Studies in Education, Qualitative Healek Rerearci), newslotors (Cultural Anthropology Methods), annual forums (Edmography in Education Re- seach Forum; Qualzative Research in Education Confer- ence), computer bulletin boards (QUIL), software meet- 2» INTRODUCTION ings (International Conferences on Computers and Qual tative Methodology), and special qaaiative interest groups in most major professional associations. ‘Yet inthe flanry ofthis activity, we should be mindful ‘of some pervasive issues that have not gone away. These issues include the labor-inteniveness (and extesiveness ‘over months or years) of data collection, fequent data overload, the distinct possibility of researcher bias, the ‘ime demands of processing and coding dat, the adequacy of sampling when only a few cases ean be managed, the generalizability of findings, the credibility and quality of ‘conclusions, and their ality in the world of policy and ‘Senin waditonal terms, the reliability and validity of qualitatively decived findings can be seriously in doubt (Desvson, 1979, 1982: Ginsberg, 1990; Kirk & Miler, 1986; Kvale, 19895; LeCompte & Goet, 1982). Although standards forthe “goodness” of qualitative findings may ‘well difer from waditional ona, as Lincoln and Guba (4985, 1990), Welcot: (1992), and others have empha- Sized, the general problem remains, (We discuss this fur- ther in Chapter 10) “Although many researchers, from graduate students sruggting with dissenatons to experienced researchers, work alone on their projects and often focus on ingle ‘cases, qualitative work is becoming more complex. a- creasingly we see “multisite, multimethod” stades (A. G. Sith & Louis, 1982) that may combine qualitative and (quantitative inquiry Rossman & Wilson, 1984), cared fut by aresearch team working with comparable data col- lection and analysis methods (Herriot & Firestone, 1983; Yin, 1984). ‘Beyond these isses, a deep, dark question about quali tative studies remains. As one of us has writen: ‘Te most serious andcentl dificult inthe use of quaitve dt stat methods of analysis ae not well frmelte, For ‘quanta dat there ar ler conventions the researcher anus, But he analyst faced wit bank of qaitative dts hs very fow guidelines for protein again sel-elsion, Jetsons the prevration of aaelable or invalid conclusions to selesifi or poliey-making audiences, How can we beste thar an “earthy” “undeniable,” seenaipon” findings not, Infact wrong? Miles, 1979, p. $91) Since 1979, it must be said, the shred craft of qualita: tive analysis has advanced, For example, matrix and net- ‘work displays arena longer rare, And although phenome nology fas been called “a method without techniques,” ts practitioners have begun to explicate their procedure (Kale, 1988; Melnick & Beaudry, 1990; Peasc, 1985), Grounded theory methods are described more conerily (Strauss & Corbin, 1990), and the motto ofthe Cultural Anthropology Methods Newsleer is “Methods belong to all of us” Sicber’s (1976 finding that less than 5-10% of the pagesin seven well-respected field methods texts were devoted o analysis is by now outdated: More recent texts have addressed analysis problems far mare seriously (Bee- ard, 1988; Bogdan & Biklen, 1992; Goete& LeCompte, 1984; Mecriars, 1988; Patton, 1990; Smith & Manning, 1982: Spradley, 1979; Werner de Schoepfle, 1987s, 19870), ‘Sul the problem of confidence in findings bas not gone away. Clary, we sil lack a bank of expict methods 0 Graw on. We need to keep working at sensible canons fer qualitative dat analysis, in the sense of shared ground res for drawing conclusions and verifying their str lve cesearchers still consider analysis tobe an er form an insist on intuitive approaches it. We are Teft with the reseazchers telling us of classifications and patie drawn from the welter of field data, in ways that, ‘ae irreducible or oven incommunicebe. We do not really sechow the researcher got from 3,600 pages of field notes to the final conclsions, as sprinkled with vivid ilust ‘ons as they may be ‘Other researchers have hesitated to focus on analysis issues on the ground that unequivocal determination of the validiy of findings is impossible (Becker, 1958; Bruyn, 1966; Lofland, 1971; Wolcott, 1992), More pro- foundly, for some phenomenologizally orieated, inter preivist, and constsctvist researchers, there is no una ‘iguous socil reality “oat there” wo be accounted for, so there isitle need to evolve methodological canons to help explicate it law (se Dreitzal, 1970). ln this view, social processes are ephemeral, fluid phenomena with no exist- ence independeat of social actors" ways of construing and describing them, At times it seems a if the competing, often polemical arguments of different schools of thought about how quali- tative research should be done properly use more energy than the actual resentch does. We confess toliking Goorge Homans’ (1949) remarks “People who waite about meth ‘odology often forget sat it ls a mater of strategy, not of morals” (p. 330). ‘This book is weiten In the belief that, as qusliaive researchers, we need to keep sharing our caft—that is, the explicit, sytematic methods we use to draw conclusions and to test them eaefully. We need methods tht are cred ible, dependable, and replicable in qualitative terms. This fs the need aut book addresses, B, The Naturéf This Book ‘This i a practical sourcebook forall researchers who make vse of qualitative dra Ic aims to share the current state ofthe craft, drawing on our experience and that of many colleagues in the design, testing and use of qualita tive data analysis methods. Song emphasis is placed on data displays matrices and netwerks—that gobeyondor- inary narrative text. Each method of data display and analysis is described ad lustre in deta with practical suggestions for the user for adaptation and se ‘Audiences ‘The book is for practicing researchers in all fields whose work, whether base or applied, involves the stg ale wth actual qualitative data analysis issues. ‘An important subset ofthat audience isthe beginning researcher-—a graduate student of junior telf member who is working with qualitative data. We have encoun- tesed many students launched on qualitative disserations or research projects who feel overwhelmed and under- ‘tained. With them in mind, we Keep the language aces sible and supportive, and we offer suggestion for using the book in qualitative methods courses. A third audience is staf specialists and managers, who rely on qualitative information as a routine pat oftheir ‘work and who need practical methods for making the best se of Many examples used inthe book are draw from edu- ‘cational research, both ours and others. We aso include ‘examples from other domains—ealth cae, public health, anthropology, sociology, psychology, business stu politcal science, public administration, program evalu: ation, ibrar selence, organizational studies, criminology, ‘commanicaton, compute sience, family studies, policy research —to underline thatthe methods are genetic, not field limited, ‘Some ofthe methods reported here grew out of multi ple-case studies of organizations, cared out by aresearch ‘eam. But do nt despair if (a) you are working alone, (4) your study has just one case, oF () you are focusing athe individual or small group level, There are many relevant ‘examples for you, along with targeted advice Approach This is asourcebook. We do not consider itto bea com- prehensive handbook. Rather, we have tied to bring to- ‘ether a serviceable set of resources, to encourage their use, and, above all to stimulate thelr frher development, testing, and refinement "The resources came via two routes, First, we retrieved and synthesized a great dal of work published during the last decade, Second, we dew a snowball sample of quali- veresearchers and sent tema an aformal survey, asking them about methods of qualitative daa analysis they had been using, and inviting them to send specific examples, B. TheNaure of This Book 2 exhibits, and suggestions. Many ofthe ideas from these 126-colleagues have been included. ‘This book is about doing analysis. We cover questions of research design and data collection only ae they bear on analysis, and only glancingly address mates suchas o> cess to field sites and trust building with informants. Oth ers have dealt with these issues repeatedly and well, and "We cite thee work along the way, ‘We have taken as concrete and direct an approach as possible, staying close to the reader's elbow and aiming to be a knowledgeable guide through uneven territory. Al- ‘though in each chapter we aim to provide aeoherentintel- Jectual fame for specific methods, we always emphasize hands-on work with actus data. For each ofthe methods outlined, we give specifi Mlusrations, with enough detal 40 that the reader can See how things work, ean try the method, and, most important, can revise the method in future work, ‘We azo tend tobe pragmati. Although we outline our cpstomologial views in section D below, we believe, per haps less naively than the reader might think at fist, thet ‘any method that works—dhat will produce cles, verif- able, credible meanings from a set of qualitative data— ‘rs for ovr mill, regardless ofits antecedents ‘These methods are manageable and straightforward. ‘They do not necessarily require prolonged taining or & spovialized vocabulary. We can add thatthe experience of inventing analysis methods and of using/adapling those of ‘others hasbeen a happy, productive one ‘Thesrengest message of his book isnt that thee par- ticular methods should be applied scrupulously, but tht the creation, testing, and revision of simple, practice, and effective analysis methods remsn the highest priority for qualhatve researchers. ‘The sprit that quests wel summed up by athoug ‘ul remark on the first edition by a European sociologist (OW, Hutmacher, peteonal communication, 1983): ok you've worked ota compeebensive solution many ‘of the methoolopcl problems we hae resolve, that we resolve poorly and sa esl tat we often cover Up when ‘poring out to on peer. But yous isnt teeny slation north last one welcome up. Weaver admit ha we're allcaing boot, you neide, ‘The quest continues, In our survey of qualitative re- searchers, we asked shout sues that were unclear o pz- ling. One researcher replied: "Everything is unclear and puzzling... Improved methedology, however, raises con- fidence to" much more significant plane and provies ‘mare certain base (though notan absolute one) for action’ ‘This book was writen to share the “casting about,” ex perimentasion, dialogue, and learning that good qualitative snalysis requires, We remain convinoed that concrete, 4» urTRODUCTION sharable methods do indeed “belong to all of us." Inthe past decade, we've found chat refining and developing analysis methods on new projects had clear payofh our confidence in findings was greser, and credibility fr out research, practice, and policy audiences was enhanced. We hope our experience wil be helpful to our colleagues, a theirs has been heloful tus. C. Our Orientation Itis good medicine, we think, for escachors to make their preferences clear. To know how a researcher con sires the shape ofthe socal world and alms to give us & credible sooount of itis to know our conversational part- net. If critical reals, a critical theorist, anda socal phe- nomenologist are competing for ou attention, we need to know where exch is coming fom, Each wil have diverse views of what is eal, what ean be known, and how these social fats can be faithfully rendered. ‘tthe time ofthe fist edition of this book, we though of ourselves a realists” Huberman & Miles, 1985). We still do. But “eas” bss come to mean many things. W see ourselves in the lineage of “transcendental realism (Bhaskar, 1978, 1989; Haré & Secord, 1973; Manias & Secord 1982). That means we think tat social phenomena exist not ony inthe mind butelzo in the cbjecive workd— and that some lawful and reasonably stable celatonships are tobe found among them. Te lawfulness comes from the regularities and sequences tha ink together phenom: ena, From these pattern we can drive construct that un Aerie individual an social life, The fact that most of those constructs are invisible to the human eye does not make thom lavalid. Afterall, we all are surrounded by lawful physical mechanisms of which we're, at most, remotely Human relationships and societies have peculiarities that make a realist approach to understanding them more complex—but aot impossible, Ualike researchers in phys cs, we must contend with insttions, structures, prac tices, and conventions that people reproduce and trans form. Human meanings and intentions are worked out within the Frameworks of these social sructures—stro- ‘ures tha re invisible but nonethaless rea. In other word, social phenomena such as language, decision, conflicts, nd hierarchies, exist objectively in the world and exert strong influences over human activities because peeple ‘construe them in common ways. Things that ae believed become rel and ean be inquired into! ‘We agree with intereeivats who point out that knowl ‘edgeis.asocial andhisterical product and that “facts come to us laden with theory. We affirm the existence and im- portaice of the subjective, the phenomenological, the Imeaning-making atthe center of social life Our aim is to register and “transcend” these processes by building theo- ries fo account fr real wold that is both bounded and perceptually aden, and to testthese theories in our various disciplines. ‘Our test do not use “covering laws" or the deductive logicof classical positivism Rather, our explanationsflow froma an account of how differing iractures produced the events we observed. We aim to account fr events rather than simply to document their sequence. We look for an individual or a social proces, a mechanism, a structure at the core of evens that canbe esptured to provide a causal description of the forces at work. “Transcendental realist calls both fr causal explanation and for the evidence to show thateach entity oreventis an instanceof that explanation, So we need not only an ex: planatory soucte but also a grasp of the particular con- figuration at hand, That is one reason why we have bed toward mare inductive methods of study ‘As Erickson (1977) put it, social facts are embeded in social ation, just as social meaning is constr by what people do in everyday life. These meanings are most often Aiscovered bbyhanging round and watching people caely and asking them why they do what they de... (Give tis vention toward socal meaning as embed inte coneet, partes ler dongs of people, qualiave researchers ae rlvtat co fee tributes fhe doing sbtraced fom the see of social tection acount out of context. (9. 8) ‘Our aim here has been tobe explicit about our biases, otto persuade anyone ofteirsuperiorvitwéoreventheir reasonableness, Like Howe (1988), weate wary of abstract epistemological aguments tat do not connect operaton- sy with the acu esearch practices used to gain knowl ge ‘At the working evel, it seems hard to find researchers cncamged in one fixed place along e stecotyped contn- tum between “relativism” and “postpsivsm.” Now scores of postposiiviss are using naturalistic and pheno- nological approaches. At the same time, an increasing umber ofinterpretively oriented ethnographer are using redesigned conceptual frames and instrument, espe ialy when dealing with multiple eases. Few postpesi fiviss wil dispute the vlicity and importance of subjec- tive meanings, and few phenomenologiss stil practice pe bermeneutis. Critical theorists se symboicinterac~ fionism to discover social deteminisms.In epistemoogi cal debates itis teming to operate athe poles. But inthe fetual practice ofempiical research, we believe that all of vs-—realit, interpretive, etal theotsts—are closer to the center, with mulipe overlaps. orthermore, the lines betven eistemotogies have be- come blured. Current perspectives such as pragmatism ‘andcritical theory have qualities ofboth interpretive and postpositivism. Approaches ike ours, which dosway with Correspondence theory (direct, objective knowledge of forms) and include phenomenological meaning, ae hard to situate, Some researchers (e.g, Pitman d& Maxwell, 1992) have argued that realist end interpretivst methods are both ater to build coherent arguments that relate ‘theoretical claims to independently measured facs. Others (Lee, 1991) have aimed to show that each perspective adds ‘2 meaningfol layer without necessarily contradicting the others: a subjective understanding, an interpretive under- sanding (as rendeved by the researcher), a positivist un- ‘erstanding (theoretical proposition accocding to rules of formal log) "The paradigms for condsctingsoval research seem to be shifting beneath our fet, and an increasing number of researchers now sae the world with more pragmatic, ecu ‘merical eyes. Our view sthat sharing more about cur craft Is essential and that tis possible to develop practical stan dards—workable across different perspectives —for judge ing the goodness of conclusions. Even if we happen to be dubious about pstpostvist canons, we are still account- able for the rationality and trustworthiness of our methods. ‘We may face sk of formalization when we dissect and reassemble the analytic procedures used by qualitative researchers, but nota large one. For the time being, we seem tobe ina ively, partially explored realm farremoved from canonical sterility, Tous it seems clear tat research is actually more a orf than 2 slavish adherence to meth dologieal rales. No stady conforms exactly to standard ‘methodology; each one cll forthe researcher to bead the ‘methodology tothe pecaliates of the seting (cf. Mishle, 1390). At the last, we need to find out what qualiratve researchers actully do when they assemble and analy20 data fom th field? Readers looking atthe methods in this sourcebook will find them to be orderly ones, wih a good degree of for tmalizaton. Many colleagoes prefer intuitive, relaxed voy- ages through ther data, and we wish tiem well. We have ‘opted for thoroughness and expiciess, not jst beeanse it suit ur, but because vague desciptions are of ite prac- ical use to thers. Note, however, that some techniques in this book call for metaphorical thinking, figurative repre- sentation, even free association, And the overall strac- ture ofthe text allows for some tecriques to be used and ‘others 1 be lft aside. We advise you to look behind any apparent formalism and seek out what will be useful in your owa work. D. Vasotes of Qualiaive Reseach «5 D. Varieties of Qualitative Research Qualitative research may be conducted in dozens of ways, many with long tadions behind them. To do them alljsieis imposible here For our purposes th question ‘What do some different varieties of qualitative research have to say about analysis? Can we See same common practices, ome themes? Fit, we might ook st some though effort to ary the whole range of qualitative study approaches. Waleat (1992) shows a literal “ee” Figure 11) of neal two dozen strategies ngonieed according toprefered styles of crlletng dita. Bis classification tums around methods ‘Tesch 1990), whose tees computer generated (igtre 1.2), sorts 77 ypes of qualitative research according to three major substantive questions: What are the chars tei of language itself? Can we dacoverreglsries in ‘human exgecincs? Can we comprehend the meaning of & texto ston? These ae broad fanles of research pur pores Tacos (987) taxonomy sorts five major qualitative reiearch tations (ological psychology, holistic et tography, ethnography of sommanicaton, cognitive an thropology, and symbol latractionism) by using dimen- loos incding “assumptions sbout human nature and "the focus (the content examined at what socal sytem leve, and “methodology” (esearch design data Colleton, nd qualitaivelquanttve analy). ‘Te reader intrested in hes sorting efforts will enoy caplring them mote filly. But as eompreheaive and ‘larifying as these catalogs and taxonomies may be, they ‘um out tobe basicaly incommensarat, both nthe Way the different qualitative strands redefined and in the ct tea wed to dstinguih hem. The ming Boggs in ying to get from one to athe. ‘Also, such taxonomies can go out of date quickly. For example, as the more “ntrpretvist steam gains cur Tency, we have qualitative research being conducted in sry, lteratie, nd jouraism, wile historians are us- ing video teperovordae interviews, and statistics to s0p- plement traional dts sree. Recurring Features of Qualitative Research Do any features occur ia most species of qualitative i ‘quiry? Let's makoa try atalist, withthe understanding that ome exemplars wil be left dangling. We concur with ‘Wolzot’s (1982) emphasis on the “naturalist” nature of ost qualitative research—even though thet tm 00, has ‘undergone’a sea change, By combining some of his de- scriptors with several of ons, we can suggest some recar~ ring features of "natu research: 6 » mrRoDUCTION gure ‘Qualitative Strategies in Educational Research (Woleot, 1992) ate Nopparefpant C2 nF A observation Interview “Cay tratogles strategies, ‘archival strategies G By + Quataivereachisconicediveughaniststandor "Thresher tempts cpt data onthe perception prolenged const tal oie sation Theses tral cso eld” Woop aro of exp Su aretypieay “al” ortema ons referee ‘tener ofenpaetcundentaning rated vey lt of ids, rps soci and pn st sipencng or “baiating”pesmcepns sb te sine topics under scsion. + The esearch’ isto gina ole” (tei nr» eating ogh hve mate eearcher mays - conpasing inegrted) overview of he coment under erin emt ard expressions at can be reviewed with Study is ops arangemens, expt and ep Sntxmant, bus tht sould be mlsined ie ie origi nus. fos gout ty. D. Varieties of Quaarve Reseach = 7 Figue 12 ‘Graphic Overview of Qualitative Research Types (Tesch, 1990) — 4 eereccees it interactive et co Sah = ios =. ey eae ate esac one oe ee PULL mare pie tn corr Sion resort combo ogre Seren ca SERENE, eoseabat metay esearch ats tnoarpty ‘he comprehen the meaning otto (Goamenuhine adenosis) ‘terion ‘ shonearogy a ale Se ar ____, audit veseie ‘anc ecomenobay rer enc 1 A main tsk sw explicate the ways people n partelar Setings come to understand, account fo, ake ation, and otherwise manage thei dsyto-ay stations. 1 Many Interpretations of this mail ar posible butsome srs more compelling fr teoretialetons oo greuds of internal consistency. + Relay lite standardized instrumentation sed athe ‘ute, The researcher iezeatially te main “measbrement evn” inthe stay. + Most anayssis one win words. The words can besser bled robelstred, beck into semiotic segment. Tey can ‘be ongnizd to pent the researcher to contrast, compar, stages, and bestow patios upon them. ‘These may be a “coe” of curing featres for nara istic dies, but they are configured snd used difereatly in any particular research tediton, Let's have a illsta- tivelock at three ofthese: ntepretivism, social anthropel- 8 = INTRODUCTION copy, and collaborative social research. We emphasize the analyte differences among them. ‘Three Approaches to (Quallative Data Analysis Incerpretvism. This line of inquiry has a tong iteliecual history Dilthey's (1911/1977) thesis that human discourse and action could not be snalyzed with he methods of natu- tal and phytical science was the defining conceptual pe. spective, Human activity was seen as “text”—as a collec: tion of symbols expressing layers of meaning, How would one interpret such a text? For Dlthey and the phenamenologists, the way led through “deep under. standing.” an empathy or indvelling with the subject of ‘one's inguiries. For the socal interactonins,interpeta- tion comes via the understanding of group 2ctions and in- teractions. In both eases there isan inevitable “interpreta. tion” of meanings made both by the social actors and by the researcher. Phenomenologists often work with interview tran scrips, bt they are careful, often dubious, about condens- ingthis material. They do not, for example use coding, but assume that through continued readings ofthe source ma terial and through vigilance over one's presuppositions, ‘one can reach the “Labenswelt” ofthe informant captae. ing the “essence” of an account—whet is constant in & person's life across its manifold variations. This approach oes not tead to covering laws, but rather toa “practical undsrstanding” of meanings and actions. Interpretiviss of all types also insist that researchers are ‘no more “detached” from their objects of stady than are their informants. Researchers, they argue, have ther own tnderstandings, their own convictions, their own concep tual orientations; they, too, ae members of a particular culture ata specific historical moment. Also they wil be undeniably affected by what they hear and observe inthe field, often in unnoticed ways. Aa interview will bea “eo- ‘elaborated ect on the part of both patos, nota gathering ‘of information by one party. Note the analytic problem: lf researchers use few presstablshed instruments it wil be ficult separate out “externa” information from what they themselves have contributed when decoding and en= coding the words of thls informaats. Qualitative researchers in semiotics, in deconsructviem, inaesheticertclo, in ethnomethodology, and i herme- rneutis often have pursued this genera line of inguity— cach, of eours, with special emphases and variations. Social anthropology. The primary methodology in this field, ethnography, stays close tothe naturalist profile we just described: extended contact witha given eemnmanity, concen for mundane, day-to-day events, ab well as fot ‘unaaual ones, dict or indirect participation in focal ac- tivities, with partiular eate given to the description of focal particularities; focus on individuals perspectives and {nerpretations of ther word and relatively lite prestruc- ‘ured instrumentation, but often a wider use of audio- and videotapes, fli and structured observation than in other research waditions. ‘Analytically, some points are noisble, First, ethno- raphe methods tend toward the descriptive. The analysis task isto reach across multiple datasources (recordings, artifacts, diaries) and to condense them, with somesvhat less concer for the conceptual or theoretical meaning of these observations. Ofcourse in deciding what to leave in, what to highlight, whet to report fist and last, what to interconnect, and what main ideas are important, analytic choices are being made continuously. Social anthropologists are interested inthe behavioral regularities in everyday situations language use, artifacts, rituals, relationships. These regulates often are ex- pressed as “pattems” or “language” or “rules” and they sre meart to provide the inferential keys to the culture o society under study. As Van Maazen (1979) put it the ‘rime analytic tsk isto “uncover and explicate the ways fn which people in particular (work) setings come to an- derstand, account for, take action and otherwise manage ‘their day 1-day situation." Tis “uncovering and “expli cating” is typzally based on suocessve observations end interviews, which are reviewed analytically to guide the text ave lathe Held Finally many social anthropologists are concerned with the genesis o refinement of theory."They may begin with 4 conceptual framework and take it out to the field for testing, refinement, or qualification. Much cross-cultural ‘theory in socialization, pareating, and kinship has resulted ‘rom feld research ina variety of setings. Researches in life history, grounded theory, ecological paychology, narrative studies, and ina wide range of ap- lied studies (education, healt cae, family studies, pro- ‘ram evaluation) often take this general line. Tis perspec- vehusinfommed mach of ourowa werk, though we along with case study analysts (e.g. Yin, 1991), have gravitated to more fully codified research questions, more star- ‘known trot and uty. ‘We have presented these thee streams-—data reduction, data display and conclusion drawingerification—as in texwoven before, during, and after datacole 12 INTRODUCTION Figure Components of Data Analysis: Interactive Model ai Conclusions: araving/verstying Jel form, to make up the geneal domain calle “analysis” ‘The three steams can also be represeted as show in Figure 1.4. tn this view the tree types of analysis activity and the activity of datacolloction itself form an interactive, cyclical process. The researcher steadily moves among those four “nodes” during data collection and then shuts ‘among reduction, display, and conclusion deawing/verif- ‘ation forthe remainder ofthe sud. "The coding of data, for example (data reduction), leads 1 new ideas on what should go into a matrix (data dis- play), Entering the data requires forthe data reduction. AS {he mati fill up, peliminary conclusions are drawn, but they lead to the decision, for example, t add another col- ‘umn tothe matrix to rx the conclusion In this view, qualitative data analysis is a continuous, iteraive enterpcse, Issues of data reduction, of display, and of conclusion drawing/verfiation come into figure suocessvely as analysis episodes follow each other. Bet the other two issues ae always part ofthe ground ‘Such a proces is sctually ao mote complex, conceptc- ally speaking, than the analysis modes quantitative 1e- ‘searchers use. Like their qualitative brethren, they mustbe preoccupied with data reduction (computing means, sta ‘ard deviations, indexes), with display (corelation tl fences). But thei activites ae eared cut through well-de- fined, familiar methods, are guided by eanons, and ate usually more sequential han erative or cyelial. Qualit=- tive researchers, onthe other hand, ao in a more fuid— and more pioneering— positon. ‘Thus, a5 we've suggested, qualitative analysis needs to be well documented as x process—mainly to help us Jearn. Purposes of “auditing” aside, we need to under stand more clearly just what i going on wien we analyze data, to reflect, refine cur methods, and make them more generally usable by thers, See Chapter 1, section D for G, Using This Book Overview “This book is organized roughly aocording to the hronol- ‘oy of qualitative research projects, from initial design to fal reports, Fora cpick oveviow ofthat sequence, see Chap ter 13. Arun through the Table of Contents will lo help. Format of Specific Methods ‘We've designed this sourcebook to be as practical es possible, Each methed is deseribed in tis format: Nae ofmetiod Analyse problem. Te peoblm, need, or city faced bya pntatv dun analye fr which the metod poposed ‘Bevestl elaion. Brief description. What he athod i and ow i woeks, luctration tg more dena “isicase” showing how te ‘method developed an vod, Usually hs ein hs 2 variety of sabbeadings, sich as “Bulting the Dis- ay” "Bern he Dat." and “Analyzing the Data” Veriatons. Aleraatve approaches osng he sme general ‘rise Relevane work of other rserchers ced ‘Advice Sersmatsing commats bout se of th math, and Ups forusiag it well Tims reuired. Approximate estimates (contingent on subject ate, ieucher's kil, research question being ‘shed, eum of eases, 2). “The text also includes sopplementary methods, de- seribodin abriefer format, thatcan be used with or instead ofthe principal method being discussed. Suggestions for Users ‘eas about what a reader should “do with any panion- lar book a often presumptuous, mistaken, or both. AS someone has pointed out, a book is essentially « random access display that users activate merely by marning their eyes toward i. Authors have no control over what readers tend up doing. Neverthaless we give some advice to difer- fenttypes ofusers, based on aur own and other” experience With the frst edition. Experienced researchers. This isa sourcebook. Cole leagues have tld us they ave used iin several ways. 1. Browsing, The book contains a wide range of mate- rial, s0 simply exploring itn én unstrutored way can be frottl. '2, Problemsoiving. Anyone opening the book eomesto i with more or less specifically defined probloms in doing ‘qualitative data analysis. The index has been designed to be "problon-sensitive” to permit easy acces to appropri ste sections ofthe book. The Table of Contents can aso be tsed inthis way. 3. AtoZ Some readers proer to go through « book: sequentially, from ster to finish. We have organized the ‘book itmakes sense thal way. Some A-lo-Zreadershave told ws that chey found it welt jump forward from the fit part of Chapter 5 (withincase descriptive analysis) to Chapter 9 (matrix displays) and Chapter 10 (ates) and then return to Chapter 6 (within case explanatory analysis) before going on to cross-ase analysis (Chapters 7 and 8) and the remainder ofthe book. 4, Operational use. For readers conducting an ongoing qualitative research project, ether alone or with col Teague, it's useful to read pasticulersestions focusing on upcoming analysis tasks (6 the formation of sesearch ‘questions, coding, ime-ordered displays), then to discuss them with aveilable colleagues, and then plan noxt steps in dhe project, revising the methods outlined here or devel- ‘ping new ones, Chapters 2 and 3 ae particularly help uring proposal development and in the star-up and de- sign phases of «project 5, Research consulting. The book canbe used by people ‘with an advisory or consulting rle inthe eut-up and on- going life of research projects. Assuming good problem ‘emtificaton, a research consultant can work with the ci- ‘ent in either & problem-solving or direct taining mode (see below) to aid with thoughtfl project design, and cop. ing with early probiems, ‘Teackersofresearch methods, Somecelleagueshave wed the book asa main text, others ass supplementary one. Ia elther cae our very strong advice Is tw engage students in sctive design, dai collection, and analyst. Several of our readers also ssid that teacher and students nee to engage in analytic work together a colleagues. The bock ie not esigned to be helpful in the type of methods course that is “about” qualitative research and provides no diectex- perience in doing it. Actua dta are needed. ‘A typical teaching sequence is: ‘Chaper2(pre-dat collin wos) (with woxt emphasis on cencapual framework, esearch auetons, snd srt pling) ‘Chuper 3 echtel and managers design see) (Chapter (analy during da collection) (Chater San 6 (vithin-ate nays) G. Using Tis Book = 13, ‘Chop 10 (conclusion dawg and veifeaton tie) (Chapiers7 and 8 (cross-ase analysis) (Captor 9 (matrix bailing ad se) Chapter 1 (ees) CChaper 12 (reports) Chaps 13 (overviow, review) ‘A colleague told us that be has begun a course by dis- cussing section F of Chapter I (“Our View of Qualitative Data Analysis") and thea asking students to draw conclu sions from an existing data oe, such 2s displays from out ‘book Innovation Up Close (Huberman & Miles, 1984), fist working with ideas in Chapters Sand 6 and then turn Jing to Chapters 7 and 8. After that, he supports etadents in doing quick stodies of thar own, analyzing the data they produce, ‘We've found thatthe book can also be used in intensive time-block teaching. Fora3-day taining workshop (maxi ‘mum sie: 25 participants), the most profitable sequence ‘begins with careful atiention to each of the first four see- ions of Chapter 2, then goes on to work on coding in Chapter andthe focuses in more depth ona few display ‘made, one by one, in Chapters 5 through 8. These might Include partally ordered, time-ordered, and conceptually ‘ordered displays in Chapter S; causal networks in Chepter 6; thea similarly ordered metamatrices and ease-crdored preditoe-outcome displays in Chapters 7 and 8. Repeated practice in wsng vious tactics in Chapter 10, as suggested there is also useful. Our experience is that @ rapid overview ofthe tactics isbest done after people have hod direct experience with afew analysis episodes For each topic, we have used aTeaning approach like this, uri out by individuals cr working pais, who say together throughout the workshop: 1, areductory lecture andor reaing to clr the msincon- ‘expan pols of he sect, 2 A bref eaming task (eg drawing a concept fae ‘wor, designing asecton of ecodig scheme, desiaing¢ drawing an evenestat nebwork, interpreting & filled ut matin, wrt an analy), Tenebere wally 0 mlaues or ess, 5 Comparingthe produce ffnévidal or pals by uting aa covebead projector or newsprint deawing generaiations, sivng adie, 4. Ifsep 2 tsar involve aera daa rom he participa ‘oer poested researc, thee shoul bea period oe ppc thei own werk, Constative help shoal be nila forte workshop course leader ‘The same general principles apply when the book is being used ina semester-long course, although the cover- age will be deeper and more leisurely Interim exercises 4 INTRODUCTION focusing on actual research task, critiqued in cls, ae patioulaly productive. Active reflective sef-document Son trough person log or joureals ilo profitable see also Chapter 10, section D). ‘Student and other novice researchers. We give some di- rect advice here, Keeping in mind that you will often be ‘working alone, usually ona single case, and may be feeling worried about the quality of your study-—disseration or not, 1. This book helps you on anabats. Use ate, Itodtny ‘ooksta lp withe basis (eg, Bogdan Bike, 1992 Glesne Peshkin, 1992; LeCompte & Preisle, with ‘Tesch 1993; Lofand & Lotiant, 1984). 2, Protect yourself rom geting overshsined by looking at the big plete, Look at te overview (Pgue £31) In ‘Chapter 13; 20d Chapter 1 section F, scan the ideas on splays In Chapter 9. Remeraber thatthe whole book is ‘oxgaize in rough ie sequence. Sean the “Advis” seeds for each chapter. 4, Learn by doing Use your owe sy (wheter itis inthe ‘laaing stage or under way) a a vehicle and apply tit the suggesons in each chape, When eaing this bok, vreau yourowncerchsons rom the dpa examples and compare wth thse offends colleagues, 5 Compete forth problem of having to wodk alone by finding someone tobe sere frend recto your Work asyou go. 6. Keep an informal ogo ural of what you are running up agsinst, Tis ate wl kp your lrg and wl be ‘ef when you write yp your stady 17. Don't wory about tho jrgotke nares of pacar ds play: theese is what a display eas do fo you. 8. The time estimates soled ae very rough. Don't be almed if yo ake alot lessor mach more than he e- mae, 9. The bigest ney of your earning is the enawing worn, that you're not "dong Itright"Dissertion worked © enenurage Unt, Bu ay given analytic problem can te approached in any asefl ways, Creativity, inventing your way outof a problem, is detitely be bette tne. Some ofthe ror interesting methods you sein the book wee cent by stents snd cher behing researchers Stafepecialists and managers. Toe workshop formats de- scribed above have been used with orgiizationalconsat- nts intresied in improving ther use of qualitative detain diagnosing organizations. I's also useful to have parici- ‘pants work in palts or small teams through a complete consulting case stady, analyzing » bank of data collected {rom clients and generating ation interventions. Most of ‘the suggestions for experienced researchers can be helpful er this eudience es well Notes 1. 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For hope and rates toa os geal agpoach, se ole ox (198) ings de major operas: erin Gea feting "bis ing on Bee” nclaig pond! wor aelie (Gtowiag bow dings wrk, ugh yea ening hy fe ‘and lnehip) and inert (ag tee earn const "What bo made fll?) Al ere oe wih th slic ipenting on ety ‘Oar on gpouc i snrtimes more dative my beg With as ecenng tf reitnsis cr cnsras and dee fom tem & ron codg syste he pig fal ee wats ered daa spe plays ed 1 a ih cnshon ving cated dtr by anew ee ofa te oct od. Math proonesloal esearch soya the ent tel onan ple it tenga comet ee of neac oF ce0g luv Some plearaslogeal mtd, uch fe "emenetel ed frinpeain ets cone oreo ngettnhk “gang fem enpae knowledge of ca or ex os, St tie Sie weoesvet cobs cosisert argument ote vith ‘teeeteaetonets toma mero" tine orm ‘rcp and sei act hs poo ote nvces mpl ead: {fsvand cadens nt search oceans andes with is erp and uit etn apt Wy te loge ‘nth infu) frser ging iter, chon dona ral seh ity be ender, “Tsang fr al qelave mncar ang coher doco snd expan tle le be ps ete sete end oneeicion abn eal aad eval ie. Theis [strange fg he re 2d platy tht constin tery ‘eating ontbe neve, comets onde ae oss fee Wie Chery me cn De st ih bral tinting despa 2 Seto foundsomeueaeensomages danegecil) ef © sper 999) eases a 0h ata cn bead eer ways 2 iene ripe mote ana oryaling mode; “eee” ‘lewis peopl pond plctrsof nave adhe ‘once enamel! meds, deepening De pena mene tie wears Bulan Sith (192) acl ptognps ed rend ws at ey we ot mei re “reals hn Wes, v7 ‘eae iepenton and apg, depend one canst anc G. Using Tai ook #15 7. Treatments aching quaint athe we have fond ge ily eee ne S198) ep refers a. ‘duet 1907 Sook: tp ee of Arete (artery 4.319, lene il rile Bo. 4 Malad Lid and Lotion By, Atal, Paeenan Cares nd ‘Seine (5D, wich a ny vin. tld eas oF en ‘re en He aed Gh (192), who varened acer gual ‘Sve methods ademas ypcl eben tle enue ‘Cerin escalated eure ere oy Wy toleamod sesso song tel app sng ect i cea a acolsburve emotes eles corse eels be snl ewe tun 15d he case Sou at for a eet {see and selceteson toh ural nd matali ts ey port, 2 Focusing and Bounding the Collection of Data THE SUBSTANTIVE START ‘Conary to what you might have heard, quaiative re search design do exist Some are more delbecte thin exher. At the proposal stage ard inthe eal planing and Sarvp stages, many design decisions are teng made— Some explicitly and precisely, some imple, some un- eowingly, and sil eter by default The qualitative r- searchet f begining to foes onthe stlys issues, the cases tobe stud, the data tobe collected, and how these dita wil be managed end aalyaed. “This book is about analy, Why are we talking sbout dosign? As Figure 13 suggests, study design decisions ca, in el sense, be seen as analytic sort ofa ator data reduction —becasse they constrain ter aaly- Sis by rling out cern variables and relationships and tending ethers. Design decisions also permit and sup- port ltr analysis: they peigue your analytic moves. Some design decisions are mainly conceptual: he con- cepa amework and research questions sampling, eo efnition, instrumentation, and te nature ofthe data tobe collected. Others (discussed im Chapter 3), though thoy appear inthe guise of ‘management issues, ae equally focusing and bounding: how data wl be stored, managed and proceed what computer saftace may be used) 6 support the work: and which agreements are made withthe people being sted. We cannot deal thoroughly here with qualitative re- search desig; 20 the detailed, helpful suggestions made bby Marshall and Rossman (1989). In this chapter we dis- cass the analytic issues that arse asa study is bounded, focused, nd organized, We provide specific examples, but ‘want to emphasize that these issues most be dealt with tuniguely in any particular study. They may be approached Tocsely oF tightly; in either cate inital design decisions nearly always leed to redesign. Qualitative research d+ signs are not copyable patterns or panaceas that el the need for building revising, and “choreographing” your analytic work Preise, 1991). ‘Tight Versus Loose: Some Trade-ofls Prior ta iléwers, how auch shape should a qualitative research design have? Should thre be a preexistent con cepmual framework? A set of research questions? Some redesigned devices fo collecting data? Does such prior ‘bounding of the study blind the researcher to imporant featares inthe cae, oF cansemisteading of local informe ants’ perceptions? Does lack of bounding and focusing lead t0 indiscriminate data collection and daca overload? ‘These are recurrent questions in qualitative analysis, and they have started up lively debate. Let's ty to order the tems ofthe debate and to explain our own poston. ‘Any researcher, no matter how unsructred of induc= tive comes to fieldwork with some erenting dees. A 20- ciolegist may focas on families or organizations (rather than, s0y, on rock formations of antl) end, within that {focus Wil ook for data marked by conceptual tags (roles, relationships, routines, norms). I tht researcher looks at ‘loves or lunchrooms, tis tt withthe tyes ofan architect for a cook, bat with an interest in what the room and is ‘contents have to say about the patterns shared by people Ung it. A peychologist would orient differently toward tho same phenomena, “seeing” motivation, anxiety, com- munication, and cognition. ‘The conventional image of field research is one that seeps presticured designs to 8 minimum. Many social anthropologists and social phenomenoloist consider so- al processes to be too complex, to relative, to elusive, ‘F199 exetio to be approached ‘with explicit conceptual ‘ames o standard instruments. They refecamore loosely structured, emergent, inductively “grounded” approach ‘athering dats: The conceptuel framework should emerge from the field in the course ofthe study; the important research questions will come clear only gradvally; mean ‘nfl settings and actors cannot be selected prior to field- work instruments, ian, should be derived from the prop- cates ofthe setting and is actors views of them. ‘We go along with this vision—up to point. Bighly Inductive, locsely designed staies make good sense when experienced researchers have plenty of time and are ex- ploring exotic cultures, understudied phenomens, or very complex socal phenomena, But if you're new to qualita tive studies and are looking at a beter undertood phe- nomenon within a familiar culture or subculture, a loose, indvesive design may be a waste of time, Monts af field. werk and voluminovs cage studies may yield only a few banaltes. As Wolcott (1982) puts there ismeritinopen- mindedness and wilingness to enter a research setting Tocking for questions as well a answers, butts “impos- sible to embark upon research without some idea of what ‘ne is ooking for and foolish not to make that quest ex Plict”(p. 157). ‘Tighter dei ‘course, we think, for re searchers working with well-delineated constructs. In ect, we should remember that qualitative research can be out- sight “confrmatory"—that is, can seek to test or further explicate aconceptulization Tighter designs aso provide clarity and focus for beginning researchers worried about dlifusoness and overload. Soacasecanbemade for tight, prestuctured qualitative designs and for loose, emergeat ones. Much qualitative Focusing and Bouncing leelon of Date = 17 research les betwesn these (Wo extremes, Something ie Txown conceptually about the phenomenon, but Rot enough howe ethoory. The researcher hasan idea of he sof the phoaomenon that rot well understand ows whece wo look for tes hngs—in which stings, mong which actos. And the researcher usbaly has some {nial ideas abou how to gather the information. At the cutset, ten, we usually have atest rodimentary cone cpu framework, St oF general research questions, some notions shout suming, and some inital date gah xing deve. ow presttuctute should a qualatve research design ‘7 Enough ores the ground ex Abraham Lincoln sid when ashed about the proper Teng of «man's legs. It depends onetime avalible, how much ready is known boat the phenomena under tay, the instoment already avaiable, and the ealsisthat wil be made. ‘Our sane Fis ff ents, toward th strated end, To ‘our ener epistemological easons, we should ada few thatare more mundane Fist th looser he inital dsiga, the les sletive the collection of dat: everthing looks Joana the outset if you ae wating forthe Kay con- stricisor rules to emerge fom hese and thal wat can bea long one. The researcher, submerged in data, il ‘eed months or tou. You may bave tat Kind of ine if you'r doing assertion or are funded bya ong-erm fran, bul most projects are ine constrained. Second, fieldwork may well involve malipecase se search, rater tan singl-case studies. If ferent ld- wrkers are operating indusvely, withno common eam. ‘wexkorinsrumertation they arebound tend up withthe Sable diem of data overioad nd ackefcomparbliy “Then 1, we should not forget why we are out in he fel inthe plac: to decribe and analyze a paters of reaionships. Thataskrequitesaset of analytic eateries (Gf Mise, 1990) Stating with them (deductively) or geting pradially to hem Gately) ae both posible In the life of a concepiization, we need both ap: proathes—and may well eed them fom several field Searchers—topull amass offacts and findings int awide- ranging coherent set of generalizations Finally, s researcher, we do ave background knowt- edge. Wese and decipher details, complexities, and sib- ‘tetis that would elude alessknowledgeabie observer We know some question o ash, which incident attend to lovely, ad how cu theoretical interests are embodied in the field, Noto “lead” with your conceptual strength con ‘oe simply sedefeating. Cleary, tade-ffs are involved here. In multiplecase research for example, the looser the intial framework, the ‘more each researcher canbe eceptive to local idiosyrera- sies—but eress-case comparability wil be hard to get, and the costs and the information load willbe colossal. 18 THE SUBSTANTIVE START ‘Tightly coordinated designs fae the opposite dilemma: ‘They yield more economical, compscabe, and potentially generalizable findings, bu they ae less case-sensitive and ‘may entail bending deta out of condestal shape to answer 8 oroes-case analytic question, The soltion may wel ie inavoiding the extremes, With ths backdcop, let's Took more closely at the as pects of astudy design invelving decisions bout focusing land bounding the collection of qualitative data inthe field In this chapter we focus on conceptual aspects, Including developing s conceptual framework, formulating research (questions, defining the case, sampling, and instrumenta- Aion. We turn to management issues in Chapter 3. A. Building a Conceptual Framework Rationale ‘Theary building relies on s few general constructs that subsume amountan of particulars. Categories such as"so- cial climate;"eultual scene," and “role confit” sr the labels we put on itellectal “bins” containing many dis- crete events and behaviors, Any researcher, no matter how {inductive in approach, knows whic bins ar likely to be in play inthe study and what is likely tobe in them. Bins ome from theory and experience and (often) from the feneral objectives of the study envisioned. Setting out bins, naming ther, and getting leaeraboct their intere- lationsips Tead you toa conceptal framework. Doing that exercise also forces you to be selective to Aecide which variables are most important, which elation: ships ate likely # be most meaningfl, and, as @ conse ‘quence, what information should be collected and sna- [yzed—at least atthe outset. IF maltple researchers are involved, the framework helps them stady the same phe ‘nomenon in ways that will permit an eveatval coss-case analysis. Brie Description A conceptual framework explains, either graphically or in narrative form, the main things tobe suied-—the key factors, constructs or Variables—and the presumed rel tioeships among thom. Frameworks canbe redimentry ot elaborate, theery-driven or commonsensical, descriptive orcause hustrations| Let's look ata few examples. First, Figure 21 presents anudimentary, mostly descriptive framework from a large- Scale contract research study (The Network, Inc. 1979) Figure2 Conceptual Framework fora Study of the Dissemination of Educational Innovations (he Network, Ine., 1979) = init ‘The study's general objectives were to examine several programs simed at “school improvement” through the dis- Semination of exemplary innovations, to understand the feasons for implementation sucess, and to make policy ‘ecommendations. Here we soe an example of the bins approach, The framework is mos a visual eatslogue of roles tobe stud- ied (policymakers, ines, adopters) and, withineach roe, ‘where these poople work and what they do (context, char- acteristics, behavior). A sseond major aspect of the study is the innovations, notably their characteristics. third aspect i the outcomes of the innovations (improvement effort success indicators). ‘What does this framework do forthe researcher? Fist itspecifies who and whet will and will not be stuied. For example, it looks 2 if tho people who developed the inno ‘ations wil nt be studied. I alo appears thatthe study will fous on four types of succes! outcomes, Second, the framework assumes some relalonships, as indicated by tie arrows. Some ofthese relationships are purely lgi- cal—for instance, the ida that adopters and the innova- tions will nflaence one another—butthe arrows also mi ror empirical findings. [A Building a Coneptoal Framework 19 igure 22 ‘Second Conceptual Framework for a Study of the Dissemination of Educational Innovations (Tbe Network, Inc, 1979) Pol rake Perspective Poloy We se here the focusing and bounding funtion of a conceptual framework, Some, not all, ctrs are going 0 be studied, along with some, nota, specs oftheir ity. Only somerelationships wil be explored, certain kinds ‘of outcomes measured, and certain analyses made—at Jeast atthe outset, "Now fora slightly more complex, more inferential con- cepeual frame using some of the same vaziables (Figure 22). Iteomes fom the same study. Itis refinement of the fiat Mlastation, with heavier bets being made onthe in- Site Characteristics innovation Charactritoe Phase of Adoption Process terclationships. For example, “policymakers" are hy- pothesized to influence “Tinker” through the provision of technical assistance and through interventions in the Tink- cert network ‘There arg few two-way arrows in this cut. The re searcher is'deiding to collec information selectively, at least onthe frst go, to teat some hypotheses, Similary it looks as if the stay wil focus more heavily on “linker behavior” “adopter behavior,” and “implementation ef- fectiveness"—that i, on varisbles coming later in the 20 «THE SUBSTANTIVE START igure 23 Conceptual Framework for a Multicase “School Improvement” Field Study Initial Version ‘Huberman & Miles, 1984) mpnsonic ——TERNALCONTEXT ADOPTION eveusoF FACTORS ns shost Decision TRANSFORMATIONS OUTCOMES Baa Connie Demag a Gaesie Depes of =oey + ‘oat Srwron tention Tatzstatee [MA] riety eset Siete t | t | Gena name) |_| ogni e tose idted a it Pant geno tan Semon >i me fogemenain [AP perpssand fo sadn, Sirens sor arrose gies orate pascswitie tad ad kt ipaeden spd feisae Sepp oe Coane nee seen impesrica || rnc, ———— T om pts Sioceteas Meine Ieee Progen acne tod epive a TEnopieae [Lox ex pepe pa napa — Since compen, ise tvee eg So, et “Recon” Soot, Tent nen ‘causal cin indicated by the arrows. “Linker perspectiv” for example, willbe studied only asa presumed conse quence of “network embeddedness” and asa predictor of “linker behavion.” ‘Onur continuum from exploratory to confirmatory de- signs, the frst illustration is closer 1a the exploratory end land the second to the confirmatory. Let's have a look at ‘one about micway along the continuum Figure 2.3). This framework is of particular intrest in that it lays out the stady ftom which we draw many of our subsequent exhib- its uberman & Miles, 19836, 1984)? ‘Once again, we have the bins, labeled as évemis (eg. “prior history with innovations", settings (eg. “commie ity, district office... adopting School”), processes (eg, “aststncoy" “changes in user prcoptions and practices”), and theoretical constructs (68 “organizational rules’ Some ofthe eutcomes are hypothesized (eg. "degree of institutonalization”), but most are open-ended (“pet~ ceived gains and losses"). The directional arrows follow time flow, but some bets still are being made (e., that most assistance comes early and that reciprocal changes willooeer among the innovation its users, nd the organi- zation). ‘But the contents of ech bin are less predetermined than inFigute 21, Bach esearcher in the study wil havero find ‘out what the “characteristics” ofthe inaovatons are athe Feldsiteandhow these factors will affect“implementation cffectivenss." This is still avery general brie, This also abrief that can change en route, as this concep- tal frameworkdl, As qualitative researcherscolle=t ata, they revise tei fameworks—make them more presse, replace empirically feeble bins with more meaningful ‘ones, and reconsrue relationships. Conceptual frame- ‘works are simply the current version ofthe researcher's ‘map ofthe territory being investigated. As the explort’s Kaowledge of the train improves the map becomes coe- respondingly more differentiated and integrated, and e- searchers ina multple-case stad can coondinatetheir data collection even mare closely. Variations Heres an ethnographic framework forthe study of mi- nortychiléren's school experience (Box 2.1). “The rectangles with bold outline ae the bins with the highest ressarch priority. The numbers by “arrows” indi- [A Building aConceptial Famesork «21 Tnfluence, others two-way. There ae purely. de- seripive bins (curticulum, teching/learing styles) and ‘ore conceptual labels (opportunity stuctre, “survival” Box 22 Emergent Conceptual Framework: The Antecedents and Consequences of Cloaking Organizational Activities (Smith & Keith, 1971) al Coneepua rnewot for an Ethnographic Sty (Ogbu, 1981) eee = = . Penman cate tettintgs tate ctamielihaysone hw ines ad ge. Eoin rule care can be mapped onto this frame, or they can call for are casting. ‘Conceptual framewarks can alsoevelve anddevelop oot of fieldwork ise L. M. Smith and Keith (1971) were ‘among the first to do tis graphically. Box 22 shows an ‘example deawn from thir stody of the creation ofa new School. The researchers noticed something they called “cloaking of organizational actvities”—keeping internal fanetioning protected from external view. Why did this happen, and what were the consequences? Smith and Keith belived thatthe school's "Yormalized doctrine"=—its phi Tosophy and setup, along with procedural difficulties, staff conflict and poor program fit with community bisses—led to the cloaking, The cloaking, intra, led to inoceurate public perceptions and parental frustration; Kensington Shoo! could nat build fong-era support for self. ‘Although the cloaking idea came from prior organiza- tional research, the way itpaterned st Kensington pus the other associated variables essentially were derived induc- tively Smith and Keith used many soch emergent concep ‘wal frameworks to explicate thet understanding, ‘ Advice Here are some suggestion that summarize and extend ‘what hasbeen sai in this section 22 « THESUBSTANTIVE START 1, Conceptual frameworks are best done graphically rather then intext. Having to get he entire framework on ‘single page obliges you to specify the bins that hod the Giserete phenomena, fo map likely relationships, to divide variables hat ace conceptually or funetionally distinct, and to work with ll ofthe information at ones. Try your hand ati, especially ifyou area beginning researcher 2, Expect to do several iterations right from the ous ‘There are probably as many ways of representing the variables 8s there are variables to represent, but som=— typically later cuts—are more elegant and parsimonious than ober. +3 TEyour study has more than oneresearcher, have each field researcher doa cut ata framework early on and thea ‘compare the severl versions. This procedure will show, Tteraly, where everyone's head is. It usually leads to an explication of contentious or foggy ares thet otherwise would have surfaced later cn, with far more fss of time and dats 4, Avoid the no-risk framework —that is, one that de- Fines variables ata very global level and has two-irec- tional arrows everywhere. This avoidance amounts essen tially to making no focusing and bounding decisions, and is lite otter than he strategy of going indiscriminately into the field to ee what the site has 1 “tell” However, you can begin ih such an omnibus framework —Figure 2.1 is close tothe no-risk framework—asa way of geting to amore selective and specific oae. 5, Prior theosiing and ompiial research are, of ours important inputs Iehelps to lay out your vn orioting frame and then map onto it te variabies and relationships from the literature available, wo see where the overlaps, contradictions, refinements, nd qualifications ae ‘Time Required ‘Taken singly, each iteration of a conceptual framework doesnot tke long I you've already done mech thinking about the stady and are on top ofthe liteature, an initial cat might take 45 minutes to an hour, If you doubt this estimate, we should mention that, ia taining workshops vsing these materials, participants always have been ble to develop preliminary conceptual frameworks for their qualitative studies in under 30 minutes. Te sve is usualy notdeveloping a giant scheme denovo, butmaking explicit what is already in your mind. Furthermore, woeking briskly seems to help cut away the superfluous—even 9 foster synthesis and creativity ‘Sucoetsve cus ofa framework are mote differentiated and have to resolve the prablems ofthe prior one, 0 they take longer—an hour or two. If you are new to the ied, the fist revision may take 2hours or so, Butitisenjoyable ‘work, B. Formulating Research Questions Rationale Itisa direct ete from conceptual framework research questions, IfThave abin labeled “policymaker,” asin Fig te 2.1, and within it subhead called “bebavios." Iam implicitly asking myself some questions about policymak- cer behaviors IFT have a two-way arrow from the policy ‘maker bin to an “innovation” bin a agai in Figure 2.1, ty question bas to do with how policymakers behave in relation tothe inttoduction of innovations and, recipe Cally, how differentkinds of innovations afectpolicymal- cers behaviors. Tf my conceptual framework s more constrained, 0 are my questions. In Figure 2.2, my interes in “policymaker setions” is more focused. 1 want ro ask, How do policy: makers’ actions affect adopter behavior, linkers’ “em boddedness," linker behavior, andthe behavior of different technical “assisters"? Here Tam down to specific varsbles ina bn and specific relationships between bins. Naturally the nature and quality ofthe reladonships will take some pandering before the research questions come clear. ‘What do theve questions do forme? First, they make my theoretical assumptions even more explicit Sesond, they tell me what want to know most or fist I will start by channeling energy in those directions. My collection of data will be more focused and timited. Tam also beginning to make some Implicit sampling everywhere do- ing everything. Your choices—whom © look at or talk where, when, about what, and why—al place Limits (on the conclusions you caa draw, and on how confident you and others fee! about them, Sampling may lok easy, Mich qualitative research ex- amines single “case,” some phenomenon embedded in & ingle cocal seting, Butettngs have cubsctings (echools have classrooms, classcooms have cliques, cliques have individuals), so deciding where to look is noteasy. Within any case, social phenomena proliferate (science lessons, teacher questioning techniques, student urralines, use of innovations; they, too, must be sampled. And the quet- D. Sampling: Boonding the Colection of Data = 27 tions of multiple-case sampling dd enother layer of om- plexiy. How to manage ital? We diseuss some gen- ‘eral principles and suggest usful references for detailed help. Key features of qualitative sampling. Qualitative re searchers usually work with smal! sarples of people, nested in their context and studied in-depth —unlike quan. ‘tative researchers, who sim forlargernumberscf context stripped cass and seak statistical significance. Qualitave samples tend to be purposive, eather than random (Kuzel, 1992; Morse, 1989). That tendency is ly because the inital definition ofthe universe is more limited (eg. aestamaking in an urban presinc), nd partly hecese social processes have logic and a coher ‘nce that random sampling can reduce te uninterpretble sawdust. Funhermere, with small numbers of eases, r= om sampling an deal you a decidedly bised hand, Samples in qualitative studies ave usally aot wholly prespecified, bu ean evolve once fieldwork begins. Initia) choices of informants lead you to similar and different ones; observing one class of events invites comparison ‘with another and understanding one key relationship in the setting reveals facets to be studied in others. Tis is ‘conceptually-driven sequential sampling. ‘Sampling in qualitative research Involves two ations that sometimes pullin diferent directions. First, you need tosetboundariesto define aspects of yourcase() that you can study within the limits of your time and mesn, that ‘connect telly to your research questions, ad that prob: ably will include examples of what you want to study. ‘Second, atthe sume time, you need wo crete a frame tO help you uncover, confirm, or qualify the basic processes cor construct that undergid your stay. Qualitative sampling is often decidedly theory driven, cither “up front” of progressively, as ina grounded theory ‘mode. Suppose that you were studying how “role models” socialize children, and that you could only manage to Took at four kindergarten clases. A fist, that number seers very Jimited, But if you chose teachers according to rele- vant theory, you might pick them according 10 gender, sternnessinartursece, and vocalizing versus academic em: phasis. And you would sample wichineach class fr certain process, sich as deliberate and implicit modeling or ap plication of sanctions. You might find also, as you vent, that certain events, euch as show-and-tell time or being read toby the teacher, were unosuall rch with socaliza- tion sotons, and then you would ample mare careflly for thes. Sampling Uke this, both within and across cases, pus flesh onthe bones of general constructs and their elation- ships. We can see generic processes; our generalizations so notto “al kindergartens,” bat to existing or new theo- Fes ofhow role modeling works. As Firestone (1993) sag- 28 « THESUBSTANTIVE START Figure 26 ‘Typology of Sampling Surategics in Qualitative Inquiry (Kuz, 1992; Patton, 1990) pe of Sampling Pages Msimam vition Documents ree varios nd Metis pra cmon ates Horogeaous Forse ees, sgl, fi goep ltvcvng Cio cae Peleg gens nd masa pletion of nfoematin tie eet ‘Tony baad Finding nampa thu conaet snd cy ean nd eae CCovfeing acsconfiing ass _‘latuatng aml, ssn extol vrai + Somber ein eee cn of ince am gop vo knw pple who kno what ses wera ch Enso or delanteae ‘Leaning fom highly nasal mafia of be phenonecon of est ‘peewe igh steno or aerpe ensy Snformaonsch ene hat nfs he pesoneaon nly, bt ot exe Polkalytaporasccasee Ain elation er tlds ang undid tention Rando prez ‘Added eae whe pote ost esto lage Seated pupae ran sospoup: tas compsrns ceca All ees at met oe eso; ef fox uly re Ofgem Flbving sow leu beg adrarag fhe nope conten ried “Tiago, fesibiey me male tests rd needs cenvetense Swvestine one. ander tu ste xgens olefin and cei gests, the most useful generalizations from qualitstive studiss are analytic, nat “sample-to-popalation.” Generel sampling strategies. rickson (1986) suggests a generic, funneling sampling sequence, working from the ‘outside into the core ofa setting, For exemple, in studying schools, he would begin with the school community (cer susdata, walk around th neighborhood) and then enter the school and the classroom, siaying several days to get a sease of te frequency and occurence of difereat events, From there the focus would ighten:specificevens, times, and leations. Periodically however, Erickson would “Tol low lines of influence. ito the surounding environ rent to test the typicalty of whet was found ina given classroom, and to getabeiterfixonexternl influences and

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