Research Design: Qualitative, Quantitative, and Mixed Methods Approaches (6th Edition) PDF

RESEARCH DESIGN Sixth Edition RESEARCH DESIGN Qualitative, Quantitative, and Mixed Methods Approaches Sixth Edition John W. Creswell University of Michigan J. David Creswell Carnegie Mellon University Los Angeles London New Delhi Singapore Washington DC Melbourne FOR INFORMATION: SAGE Publications, Inc. 2455 Teller Road Thousand Oaks, California 91320 E-mail: [email protected] SAGE Publications Ltd. 1 Oliver’s Yard 55 City Road London EC1Y 1SP United Kingdom SAGE Publications India Pvt. Ltd. B 1/I 1 Mohan Cooperative Industrial Area Mathura Road, New Delhi 110 044 India SAGE Publications Asia-Pacific Pte. Ltd. 18 Cross Street #10-10/11/12 China Square Central Singapore 048423 Copyright © 2023 by SAGE Publications, Inc. All rights reserved. Except as permitted by U.S. copyright law, no part of this work may be reproduced or distributed in any form or by any means, or stored in a database or retrieval system, without permission in writing from the publisher. All third-party trademarks referenced or depicted herein are included solely for the purpose of illustration and are the property of their respective owners. Reference to these trademarks in no way indicates any relationship with, or endorsement by, the trademark owner. Printed in the United States of America Library of Congress Cataloging-in-Publication Data Names: Creswell, John W., author. | Creswell, J. David, author. Title: Research design : qualitative, quantitative, and mixed methods approaches / John W. Creswell, J. David Creswell. Description: Sixth edition. | Thousand Oaks, California : SAGE, | Includes bibliographical references and index. Identifiers: LCCN 2022032270 | ISBN 9781071817940 (paperback ; alk. paper) | ISBN 9781071817971 (pdf) | ISBN 9781071817964 (epub) | ISBN 9781071817957 (epub) Subjects: LCSH: Social sciences—Research—Methodology. | Social sciences—Statistical methods. Classification: LCC H62.C6963 2023 | DDC 300.72/1—dc23/eng/20220707 LC record available at https://lccn.loc.gov/2022032270 This book is printed on acid-free paper. Acquisitions Editor: Leah Fargotstein Product Associate: Audra Bacon Production Editor: Tracy Buyan Copy Editor: Pam Schroeder Typesetter: C&M Digitals (P) Ltd. Proofreader: Jennifer Grubba Indexer: Integra Cover Designer: Janet Kiesel Marketing Manager: Victoria Velasquez BRIEF CONTENTS Preface Companion Website Acknowledgments About the Authors PART I PRELIMINARY CONSIDERATIONS Chapter 1 The Selection of a Research Approach Chapter 2 Review of the Literature Chapter 3 The Use of Theory Chapter 4 Writing Strategies and Ethical Considerations PART II DESIGNING RESEARCH Chapter 5 The Introduction Chapter 6 The Purpose Statement Chapter 7 Research Questions and Hypotheses Chapter 8 Quantitative Methods Chapter 9 Qualitative Methods Chapter 10 Mixed Methods Procedures Glossary References Author Index Subject Index DETAILED CONTENTS Preface Companion Website Acknowledgments About the Authors PART I PRELIMINARY CONSIDERATIONS Chapter 1 The Selection of a Research Approach Learning Objectives Introducing Key Terms in this Chapter Three Approaches or Methodologies in Research Three Major Components of a Research Approach Philosophical Worldviews The Postpositivist Worldview The Constructivist Worldview The Transformative Worldview The Pragmatic Worldview Research Designs Quantitative Designs Qualitative Designs Mixed Methods Designs Research Methods Interconnecting Worldviews, Designs, and Methods Criteria for Selecting a Research Approach The Research Problem and Questions Personal Experiences Audience Summary Key Terms Writing Exercises Additional Readings Chapter 2 Review of the Literature Learning Objectives Introduction The Research Topic A Draft Title A Significant Topic The Purpose and Organization of a Literature Review Purpose of a Literature Review The Organization of the Literature Review General Forms A Qualitative Structure A Quantitative Structure A Mixed Methods Structure Steps in Conducting a Literature Review Searching the Literature Computer Databases Types of Literature Priority of the Literature Overall Evaluation Quality Abstracting the Literature Components of an Abstract Theoretical, Conceptual, and Methodological Abstracts A Literature Map Style Manual Use The Definition of Terms General Guidelines Special Terms ► Example 2.2 Defining Terms in a Dissertation Summary Key Terms Writing Exercises Additional Readings Chapter 3 The Use of Theory Learning Objectives Introduction The Varied Use of Theory Quantitative Theory Use Definition of a Theory in Quantitative Research Variables in Quantitative Research Testing Causal Claims in Quantitative Research Stating Theories in Quantitative Research Placement of Quantitative Theories Writing a Quantitative Theoretical Perspective ► Example 3.1 A Quantitative Theory Section Qualitative Theory Use Variation in Theory Use in Qualitative Research Locating the Theory in Qualitative Research ► Example 3.2 A Theory Early in a Qualitative Study ► Example 3.3 Theory at the End of a Qualitative Study Mixed Methods Theory Use Types of Mixed Methods Theory Use Importance of a Theory Distinctions Between a Theory and a Worldview A Theoretically Driven Mixed Methods Study What Theory Informs ► Example 3.4 A Discipline-Based Theory in a Mixed Methods Study Summary Key Terms Writing Exercises Additional Readings Chapter 4 Writing Strategies and Ethical Considerations Learning Objectives Introduction Writing the Proposal Topics Presented in a Proposal A Qualitative Proposal ► Example 4.1 A Qualitative Constructivist or Interpretivist Format A Quantitative Proposal ► Example 4.2 A Qualitative Participatory or Social Justice Format ► Example 4.3 A Quantitative Format A Mixed Methods Proposal ► Example 4.4 A Mixed Methods Format Designing the Sections of a Proposal Writing Strategies The Process The Habit of Writing Clear and Concise Writing Coherence Voice, Tense, and “Fat” Ethical Issues Prior to Beginning the Study Beginning the Study Collecting the Data Analyzing the Data Reporting, Sharing, and Storing Data Summary Key Terms Writing Exercises Additional Readings PART II DESIGNING RESEARCH Chapter 5 The Introduction Learning Objectives Introduction to a Study The Importance of Introductions An Abstract for a Study Qualitative, Quantitative, and Mixed Methods Introductions A Model for an Introduction An Illustration of an Introduction The Research Problem Evidence From the Literature Justifying the Problem Deficiencies in the Evidence ► Example 5.1 Deficiencies in the Literature— Needed Studies ► Example 5.2 Deficiencies in the Literature—Few Studies Importance of the Problem for Audiences ► Example 5.3 Significance of the Study Stated in an Introduction to a Quantitative Study Summary Key Terms Writing Exercises Additional Readings Chapter 6 The Purpose Statement Learning Objectives Introduction Significance of a Purpose (or Study Aim) Statement A Qualitative Purpose Statement ► Example 6.1 A Purpose Statement in a Qualitative Phenomenology Study ► Example 6.2 A Purpose Statement in a Qualitative Case Study ► Example 6.3 A Purpose Statement in a Narrative Study ► Example 6.4 A Purpose Statement in a Grounded Theory Study A Quantitative Purpose Statement ► Example 6.5 A Purpose Statement in a Survey Study ► Example 6.6 A Purpose Statement in a Dissertation Survey Study ► Example 6.7 A Purpose Statement in an Experimental Study A Mixed Methods Purpose Statement ► Example 6.8 A Convergent Mixed Methods Purpose Statement ► Example 6.9 An Explanatory Sequential Mixed Methods Purpose Statement ► Example 6.10 An Exploratory Sequential Mixed Methods Purpose Statement Summary Key Terms Writing Exercises Additional Readings Chapter 7 Research Questions and Hypotheses Learning Objectives Introduction Quantitative Research Questions and Hypotheses ► Example 7.1 Script for a Descriptive Quantitative Research Question ► Example 7.2 Script for a Relationship-Oriented Quantitative Research Question and Directional Hypothesis ► Example 7.3 Example of Quantitative Directional Hypotheses Qualitative Research Questions ► Example 7.4 A Qualitative Central Question in an Ethnography ► Example 7.5 Qualitative Central Questions in a Case Study ► Example 7.6 Qualitative Sub-Questions Mixed Methods Research Questions and Hypotheses ► Example 7.7 Statement of Objectives in a Mixed Methods Study ► Example 7.8 Research Questions in a Mixed Methods Study Summary Key Terms Writing Exercises Additional Readings Chapter 8 Quantitative Methods Learning Objectives Introduction Putting Quantitative Research in Context Quantitative Designs Components of a Survey Study Method Plan The Survey Design The Purpose Rationale for Using the Survey Method Type of Survey Method Specify the Form of Data Collection The Population and Sample The Population Sampling Design Type of Sampling Population Stratification Sample Size Determination Power Analysis Instrumentation The Survey Instruments Used to Collect Data Instruments and Measures Validity of Scores Using the Instrument Reliability of Scores on the Instrument Inter-Rater Reliability Sample Items Content of an Instrument Pilot Testing Administering the Survey Variables in the Study Data Analysis Preregistering the Study Plan Interpreting Results and Writing a Discussion Section Reporting Results Statistical Tests in Survey Research Practical Evidence Context of Previous Studies Components of an Experimental Study Method Plan Participants Recruiting Participants Random Assignment Power Analysis for Sample Size Formal Design Statement Variables Independent Variables Manipulation Check Dependent Variables Other Variables Instrumentation and Materials Materials Cover Story Experimental Procedures Type of Experiment ► Example 8.1 Pre-Experimental Designs ► Example 8.2 Quasi-Experimental Designs ► Example 8.3 True Experimental Designs ► Example 8.4 Single-Subject Designs Threats to Validity Internal Validity External Validity The Procedure Data Analysis Reporting the Descriptive Statistics Preliminary Analysis Inferential Statistical Tests Factorial Designs Single-Subject Designs Preregistering the Study Plan Interpreting Results and Writing a Discussion Section ► Example 8.5 An Experimental Method Plan Summary Key Terms Writing Exercises Additional Readings Chapter 9 Qualitative Methods Learning Objectives Introduction Putting Qualitative Research Into Context Participants’ Meanings Natural Setting Researcher as Key Instrument Multiple Sources of Data Inductive and Deductive Data Analysis Emergent Design Reflexivity Researcher’s Role A Complex Account The Approach or Design Descriptive Methods Analytic Frameworks Data Collection Procedures Sampling and Recruitment Permissions Data Collection Types Ethical Issues Data Recording Procedures Observation Protocol or Guide Interview Protocol Data Analysis Procedures Simultaneous Procedures Winnowing the Data Using Qualitative Computer Software Programs Steps in the Analytic Process Step 1. Organizing and Preparing the Data for Analysis Step 2. Reading Through All the Data Step 3. Coding the Data Step 4. Identifying Themes Step 5. Developing a Story Line Interpretation Step 6. Further Analyzing the Data Using an Analytic Framework Step 7. Representing and Interpreting the Data Coding the Data Expected Codes Surprising Codes Codes of Unusual or Conceptual Interest Predetermined Codes Visual Images as Codes Interpretation Validity and Reliability Defining Qualitative Validity Validity Strategies Reliability Strategies Intercoder Agreement Qualitative Generalization Writing the Qualitative Report Writing Strategies A Sample Qualitative Method Section The Qualitative Research Paradigm The Ethnographic Research Design The Researcher’s Role Bounding the Study Setting Actors Events Processes Ethical Considerations Data Collection Strategies Data Analysis Procedures Verification Reporting the Findings Summary Key Terms Writing Exercises Additional Readings Chapter 10 Mixed Methods Procedures Learning Objectives Introduction Putting Mixed Methods Research in Perspective Characteristics of Mixed Methods Research Justification for Using Mixed Methods Research Definitions of Mixed Methods Terms Open- and Closed-Ended Data Research Design Integration Joint Display Metainferences The Process of Conducting a Mixed Methods Study Quantitative and Qualitative Data Collection Core Mixed Methods Designs The Convergent Mixed Methods Design Explanatory Sequential Mixed Methods Design Exploratory Sequential Mixed Methods Design Complex Mixed Methods Designs Types of Complex Designs Development of Complex Designs Examples of Complex Designs Incorporating Core Designs Into Complex Designs Factors Important in Choosing a Mixed Methods Design Choice Based on Intent and Procedures Other Reasons for Choosing a Design Popular Designs in a Field or Discipline The Single Researcher Versus a Team Choice of Design by Advisers or Mentors Secondary Reasons for a Choice Examples of Mixed Methods Procedures ► Example 10.1 A Convergent Mixed Methods Design ► Example 10.2 An Explanatory Sequential Mixed Methods Design ► Example 10.3 An Exploratory Sequential Mixed Methods Design ► Example 10.4 Social Justice Design Summary Key Terms Writing Exercises Additional Readings Glossary References Author Index Subject Index PREFACE PURPOSE This book advances a framework, a process, and compositional approaches for designing a proposal or research project for qualitative, quantitative, and mixed methods research in the human, health, and social sciences. The ascendency of qualitative research, the emergence of mixed methods approaches, and the growth of quantitative designs have created a need for this book’s unique comparison of the three approaches to inquiry. This comparison begins with preliminary philosophical assumptions for all three approaches, a review of the literature, an assessment of the use of theory and conceptual frameworks in research approaches, and reflections about the importance of writing and ethics in scholarly inquiry. The book then addresses the key elements in the process of designing and conducting a research project: writing an introduction; stating a purpose or research aims for the study; identifying research questions and hypotheses; and advancing methods and procedures for data collection, analysis, and interpretation. At each step in this process, the reader is taken through qualitative, quantitative, and mixed methods approaches. AUDIENCE This book is intended for students and faculty who seek assistance in preparing a plan, proposal, or research project for a scholarly journal article, a dissertation, a thesis, or an application for funding. At a broader level, the book may be useful as both a reference book and a textbook for courses in research methods. To best take advantage of the design features in this book, the reader needs a basic familiarity with qualitative and quantitative research; however, terms will be explained and defined and recommended strategies advanced for those needing introductory assistance in the design process. Highlighted terms in the text and a glossary of the terms at the back of the book provide a working language for understanding research. This book also is intended for a broad audience in the human, health, and social sciences. Readers’ comments from the past five editions suggest that individuals using the book come from many disciplines and fields. We hope that researchers in fields such as marketing, management, criminal justice, communication studies, psychology, sociology, K–12 education, higher and postsecondary education, nursing, family medicine, health services research, global health, behavioral health, urban studies, family research, and other fields of study will find this sixth edition useful. FORMAT In each chapter, we share examples drawn from varied disciplines. We drew examples from books, journal articles, dissertation proposals, and dissertations. Although our primary specializations are educational psychology, the health sciences, and psychology, the illustrations are inclusive of many fields. They reflect issues in social justice and examples of studies with marginalized individuals in our society as well as the traditional samples and populations studied by researchers. Inclusiveness also extends to methodological pluralism in research today, and the discussion incorporates alternative philosophical ideas, diverse modes of inquiry, and numerous procedures. This book is not a detailed method text; instead, we highlight the essential features of research design. We have attempted to reduce research to its core ideas so that researchers can plan a thorough and thoughtful study. The coverage of research designs is limited to frequently used forms: surveys and experiments in quantitative research; narrative research, phenomenology, grounded theory, ethnography, and case studies in qualitative research; and convergent, explanatory sequential, and exploratory sequential designs in mixed methods research. Although students preparing a dissertation proposal should find this book helpful, topics related to the politics of presenting and negotiating a study with review committees are addressed thoroughly in other texts. Consistent with accepted conventions of scholarly writing, we have tried to eliminate any words or examples that convey a discriminatory (e.g., sexist or ethnic) orientation. Examples were selected to provide a full range of gender and cultural orientations. Throughout the text we do not favor either qualitative or quantitative research. Indeed, we have intentionally altered the order of qualitative and quantitative examples throughout the book. Readers should also note in the longer examples cited in this book many references made to other writings. We cite only references we use in this book, not the entire list of references embedded within examples. As with earlier editions, we have maintained features to enhance the readability and understandability of the material: bullets to emphasize key points, numbered points to stress key steps in a process, and longer examples of complete passages with annotations to highlight key research ideas. NEW FEATURES IN THE SIXTH EDITION In this sixth edition of the book, we have added new features in response to reviewers’ comments and emerging trends in research methods: We offer more inclusive and supportive language in our discussions throughout the book. New tables and figures clarify content, such as the difference between a research problem, a purpose or aim, and a research question. Research methods is a living and evolving science. We updated the text to capture new trends and include new references to bring a state-of-the-art discussion to the book. Each chapter now begins with learning objectives. We have reorganized and added a number of new features to the quantitative methods chapter. The structure of the three methods chapters—quantitative, qualitative, and mixed methods—now show a similar and consistent sequence of method topics. As in previous editions, we alternate starting with quantitative research and then qualitative research to give preference to both approaches. The chapter on mixed methods research reflects updated content and current views. Throughout the text we inserted new, updated examples. We added tables in a couple of the chapters to define key terms needed by the reader. We recognize that mixed methods research has its own unique terminology. We have clarified and improved the writing exercises to help readers better achieve learning objectives. OUTLINE OF THE CHAPTERS This book is divided into two parts. Part I comprises steps that researchers need to consider before they develop their proposals or plans for research. Part II discusses the sections used to develop a scholarly research proposal for a thesis, dissertation, or a research report. Part I. Preliminary Considerations This part of the book discusses preparing for the design of a scholarly study. It contains Chapters 1 through 4. Chapter 1. The Selection of a Research Approach In this chapter, we begin by defining quantitative, qualitative, and mixed methods approaches. We then discuss how philosophy, designs, and methods intersect when one uses one of these approaches. We review different philosophical stances (postpositivist, constructivist, transformative, and pragmatic); advance types of qualitative, quantitative, and mixed methods designs; and then discuss the methods associated with each design. We also consider the factors for choosing an approach to research. Thus, this chapter should help proposal developers decide whether a qualitative, quantitative, or mixed methods approach is suitable for their proposed research project. Chapter 2. Review of the Literature It is important to extensively review the literature on your topic before you design your proposal. Thus, you need to begin with a researchable topic and a draft topic and then explore the literature using the steps advanced in this chapter. Realize that literature reviews differ for quantitative, qualitative, and mixed methods projects. The steps call for searching the literature, using computerized databases, locating a small number of studies to review, evaluating the quality of the information sources, developing a literature map, and assembling a summary of the literature. This chapter should help researchers thoughtfully consider relevant literature on their topics and start compiling and writing literature reviews. Chapter 3. The Use of Theory Theories serve different purposes in the three approaches inquiry. In quantitative research, they provide a proposed explanation for the relationship among variables tested by the investigator. Different types of quantitative variables are related in theories and often presented as causal models indicating a time ordering. In qualitative research, they may often serve as a lens for the inquiry, or they may be generated during the study. In mixed methods studies, researchers employ them in many ways, including those associated with quantitative and qualitative approaches. This chapter helps researchers consider and plan how to incorporate theory into their studies. Chapter 4. Writing Strategies and Ethical Considerations It is helpful to have an overall outline of topics in a proposal or research study before you begin writing. Thus, this chapter begins with a general model of questions addressed in a good proposal. It then presents the structure of a proposal for a qualitative, quantitative, and mixed methods study with different outlines for writing proposals. Writing clearly and concisely is a necessary part of a good proposal, and the discussion turns to writing strategies. The act of writing helps researchers think through a project. The project needs to be easy to read, coherent with sections tied together, and grammatically correct. Ethical issues that arise in projects also need attention. Strategies need to be developed to attend to issues arising prior to and during the conduct of the study. Ethical issues also arise in the reporting and dissemination of a study. PART II. DESIGNING RESEARCH In Part II, we turn to the components of designing the research proposal. Chapters 5 through 10 address steps in this process. Chapter 5. The Introduction It is important to properly introduce a research study. We provide a model for writing a good scholarly introduction to your proposal. The chapter begins with designing an abstract for a study. This is followed by developing an introduction to include identifying the research problem or issue, framing this problem within the existing literature, pointing out deficiencies in the literature, and targeting the study for an audience. This chapter provides a systematic method for designing a scholarly introduction to a proposal or study. Chapter 6. The Purpose Statement At the beginning of research proposals or projects, authors mention the central purpose or study aim. This passage is the most important statement in the entire research process, and an entire chapter is devoted to this topic. In this chapter, you learn how to write this statement for qualitative, quantitative, and mixed methods studies. Scripts, to be filled in with your project, provide practical statements that will ease your process of designing a proposal or a research study. Chapter 7. Research Questions and Hypotheses The questions and hypotheses addressed by the researcher serve to narrow and focus the purpose of the study. As a major signpost in a project, research questions and hypotheses need to be written carefully. In this chapter, you will learn how to write both qualitative and quantitative research questions and hypotheses as well as how to employ both forms in writing mixed methods questions and hypotheses. Numerous examples serve as scripts to illustrate these processes. Chapter 8. Quantitative Methods Quantitative methods involve the processes of collecting, analyzing, interpreting, and writing the results of a study. Specific methods exist in both survey and experimental research that relate to identifying a sample and population, specifying the type of design, collecting and analyzing data, presenting the results, making an interpretation, and writing the research in a manner consistent with a survey or experimental study. In this chapter, the reader learns the specific procedures for designing survey or experimental methods that need to go into a research proposal. This chapter provides checklists to ensure the inclusion of all steps. Chapter 9. Qualitative Methods Qualitative approaches to data collection, analysis, interpretation, and report writing differ from the traditional, quantitative approaches. Purposeful sampling, open-ended data collection, text or images analysis (e.g., pictures), figures and tables, representations, and personal interpretations of the findings all inform qualitative methods. This chapter advances steps in designing qualitative procedures into a research proposal, and it also includes a checklist for making sure that you cover important procedures. Ample illustrations provide examples from narrative studies, phenomenology, grounded theory, ethnography, case studies, and descriptive studies. Chapter 10. Mixed Methods Procedures Mixed methods research involves the collection and “mixing” or integration of both quantitative and qualitative data in a study. It is not enough to only analyze your qualitative and quantitative data. Further analysis comprises integrating the two databases for additional insight into research problems and questions. Mixed methods research has increased in popularity in recent years, and this chapter highlights important developments and introduces the use of this design. This chapter begins by defining mixed methods research and the core characteristics that describe it. Then it takes the reader through the process of designing a method section for a proposal or plan. This process involves collecting both quantitative (closed-ended) and qualitative (open-ended) data based on research questions or hypotheses. This is followed by identifying a mixed methods design with the intent and procedures to integrate the two databases. We discuss three core designs and four complex designs. To analyze the integration we suggest using a joint display that arrays the quantitative and qualitative data or results in a table. Then researchers examine the table and draw inferences or insight from integrating the two databases. Choosing a mixed methods design involves considering the intent and the procedures for integrating the data. Flowcharts in the chapter help researchers decide on an appropriate mixed methods design for their studies. Designing a study is a difficult and time-consuming process. This book will not necessarily make the process easier or faster, but it can provide specific skills useful in research, knowledge about the steps involved in the process, and a practical guide to composing and writing scholarly research. Before the steps of the process unfold, we recommend that proposal developers think through their approaches to research, conduct literature reviews on their topics, develop an outline of topics to include in a proposal design, and begin anticipating potential ethical issues that may arise in the research. COMPANION WEBSITE The SAGE edge companion site for Research Design, Sixth Edition, is available at edge.sagepub.com/creswellrd6e. The Student Study Site provides a personalized approach to help students accomplish their coursework goals. Videos featuring John W. Creswell and others expand on important topics in research design. SAGE Journal articles plus accompanying exercises provide opportunities to apply concepts from each chapter. Sample research proposals and templates offer further guidance on research design. The Instructor Resources Site supports teaching by making it easy to integrate quality content and create a rich learning environment. Editable, chapter-specific PowerPoint® slides offer ease and flexibility in creating multimedia presentations. A diverse range of prewritten and editable test questions helps assess progress and understanding. The Instructor’s Manual highlights key concepts from each chapter and provides a helpful reference and teaching tool including: Chapter-specific writing and peer review exercises that emphasize critical thinking and application of the concepts Discussion questions and group activities that launch classroom interaction and encourage students to engage further with the material All figures and tables from the book are available for download. ACKNOWLEDGMENTS This book could not have been written without the encouragement and ideas of the hundreds of students in the doctoral-level Proposal Development course that John taught at the University of Nebraska- Lincoln for over 30 years. Specific former students and editors were instrumental in its development: Dr. Sharon Hudson, Dr. Leon Cantrell, the late Nette Nelson, Dr. De Tonack, Dr. Ray Ostrander, and Diane Wells. Since the publication of the first edition, John has also become indebted to the students in his introductory research methods courses and to individuals who have participated in his qualitative and mixed methods seminars. These courses have been his laboratories for working out ideas, incorporating new ones, and sharing his experiences as a writer and researcher. In addition, John wants to thank his staff over the years in the Office of Qualitative and Mixed Methods Research at the University of Nebraska–Lincoln who have helped conceptualize content in this book and now those in the Department of Family Medicine at the University of Michigan. John is especially indebted to the scholarly work of Dr. Vicki Plano Clark, Dr. Ron Shope, Dr. Kim Galt, Dr. Yun Lu, Dr. Sherry Wang, Amanda Garrett, and Dr. Alex Morales. David wants to thank his dad (who was his first mentor) for inspiring him to pursue research methods and psychological science in his life’s work. David has been teaching quantitative research methods for more than 15 years and is indebted to his students for helping him understand the common opportunities and challenges facing students as they design their first research projects. He is grateful to share his insights and approaches in the new edition of this book. In addition, we are grateful for the insightful suggestions provided by the reviewers for SAGE. We also could not have produced this book without the generous support and encouragement of our friends at SAGE. SAGE is and has been a first-rate publishing house. We especially owe much to our former editor and mentor, C. Deborah Laughton (now of Guilford Press), and to Lisa Cuevas-Shaw and Vicki Knight. Now we are working under the talented guidance of Leah Fargotstein, who has been most supportive of our work and who has encouraged us throughout the process. Last, we want to thank all of the SAGE staff with whom we have had the pleasure to work. We have grown together and helped develop research methods as a distinguished, worldwide field. At SAGE, we have also benefited from the contributions of reviewers to this fifth edition: Clare Bennett, University of Worcester; Kelly Kennedy, Chapman University; Therese A. G. Lewis, Northumbria University; Andrew Ryder, University of North Carolina Wilmington; Tiffany J. Davis, University of Houston; Lora L. Wolff, Western Illinois University; Laura Meyer, University of Denver; Andi Hess, Arizona State University; and Audrey Cund, University of the West of Scotland. The authors and SAGE would like to thank the following reviewers of the sixth edition: Krishna Bista Morgan State University, Maryland Keisa Boykin University of Saint Augustine for Health Sciences Lihua Dishman A. T. Still University of Health Sciences Cassandra Johnson Texas State University Aujean Lee University of Oklahoma James Perren Alliant International University EJ Summers Texas State University ABOUT THE AUTHORS John W. Creswell, PhD, is a professor of family medicine and senior research scientist at the Michigan Mixed Methods Program at the University of Michigan. He has authored numerous articles and 33 books on mixed methods research, qualitative research, and research design. While at the University of Nebraska–Lincoln, he held the Clifton Endowed Professor Chair, served as Director of the Mixed Methods Research Office, founded SAGE’s Journal of Mixed Methods Research, and was an adjunct professor of family medicine at the University of Michigan and a consultant to the Veterans Administration health services research center in Ann Arbor, Michigan. He was a Senior Fulbright Scholar to South Africa in 2008 and to Thailand in 2012. In 2011, he co-led a National Institutes of Health working group on the “best practices of mixed methods research in the health sciences” and in 2014 served as a visiting professor at Harvard’s School of Public Health. In 2014, he was the founding President of the Mixed Methods International Research Association. In 2015, he joined the staff of Family Medicine at the University of Michigan to co-direct the Michigan Mixed Methods Program. In 2016, he received an honorary doctorate from the University of Pretoria, South Africa. In 2017, he co-authored the American Psychological Association “standards” on qualitative and mixed methods research. In 2018 his book Qualitative Inquiry and Research Design (with Cheryl Poth) won the Textbook and Academic Author’s 2018 McGuffey Longevity Award in the United States. He currently makes his home in Ashiya, Japan, and Honolulu, Hawaii. J. David Creswell, PhD, is the William S. Dietrich II Professor in Psychology and Director of the Health and Human Performance laboratory at Carnegie Mellon University. Much of his research is quantitative in nature and focuses on understanding what makes people resilient under stress. He has published more than 75 peer-reviewed articles, co-edited the Handbook of Mindfulness (2015, Guilford), and received early career awards for his research from the Association for Psychological Science (2011), the American Psychological Association (2014), and the American Psychosomatic Society (2017). These research contributions came from a childhood and adulthood of discussing research methodology with his dad, so this book now extends a collaboration going back many years! David has been teaching research methods courses for the past 16 years as a professor in psychology. PART I PRELIMINARY CONSIDERATIONS Chapter 1 The Selection of a Research Approach Chapter 2 Review of the Literature Chapter 3 The Use of Theory Chapter 4 Writing Strategies and Ethical Considerations This book is intended to help researchers develop a plan or proposal for a research study. Part I addresses several preliminary considerations that are necessary before designing a proposal or a plan for a study. These considerations relate to selecting an appropriate research approach, reviewing the literature to position the proposed study within the existing literature, deciding on whether to use a theory in the study, and employing—at the outset—good writing and ethical practices. CHAPTER 1 THE SELECTION OF A RESEARCH APPROACH LEARNING OBJECTIVES 1. Define major research terms used in this book so that you can incorporate them into your projects. 2. Describe the three major methodologies and their differences to select an appropriate methodology for your study. 3. Describe the relationship among the terms, philosophical worldview assumptions, designs, and methods. How would you connect these three components in your study? 4. Appraise which one of the philosophical worldviews fits your experiences, training, and cultural orientation. 5. Identify which one of the types of research designs you will use in your study. 6. Describe the differences between quantitative methods, qualitative methods, and mixed methods research. 7. Identify the reasons for choosing either a quantitative, qualitative, or mixed methods approach to use in your study. INTRODUCING KEY TERMS IN THIS CHAPTER Research has its own language, and it is important to understand key terms to use in a study. The title of this book uses the term, research approaches. Research approaches (or methodologies) are procedures for research that span the steps from broad assumptions to detailed methods of data collection, analysis, and interpretation. This plan involves several decisions, and researchers need not take them in the order in which they are presented here. The overall decision involves which approach should be used to study a topic. Informing this decision should be the philosophical assumptions the researcher brings to the study; procedures of inquiry (called research designs); and specific research methods of data collection, analysis, and interpretation. The selection of a research approach includes the research problem or issue being addressed, the researchers’ personal experiences, and the audiences for the study. Thus, in this book, philosophical assumptions, research approaches, research designs, and research methods are four key terms representing a perspective about research flow from broad constructions of research to the narrow procedures of methods. Table 1.1 explains these key terms in more detail. Table 1.1 Key Terms and Their Definitions as Used in This Chapter Key Terms Definitions Philosophical Before a study begins, a researcher brings a point of view and a set of beliefs to the Assumptions research process that informs their approach to conducting the study. Philosophical assumptions are these beliefs and values. They emphasize what the researcher holds to be most important in conducting a study. Philosophical assumptions develop from an individual’s training in a specific discipline or field of study (e.g., psychology). They also emerge from prior experiences in research and the cultural environment of an individual. Research We will use the term research approach synonymously with research methodology. Approach This term represents different types of research to have historically emerged. In this chapter, we will present three broad methodologies: quantitative, qualitative, and mixed methods. Research We use the term research design to mean the ways of conducting research within a Design broad methodology. Thus, as seen in this chapter, broad methodologies can be subdivided into different types of designs. Each design has its own procedures used in conducting a study. Research Within a particular design, the researcher gathers data, analyzes it, and makes an Methods interpretation of its meaning. These are the methods in a study. THREE APPROACHES OR METHODOLOGIES IN RESEARCH In this book, we advance three broad research approaches or methodologies: (a) qualitative, (b) quantitative, and (c) mixed methods. Unquestionably, the three approaches are not as discrete as they first appear. Researchers should not view qualitative and quantitative approaches as rigid, distinct categories, opposites, or dichotomies. Instead, they represent different ends on a continuum (Creswell & Guetterman, 2018; Newman & Benz, 1998). A study tends to be more qualitative than quantitative or vice versa. Mixed methods research resides in the middle of this continuum because it incorporates elements of both qualitative and quantitative approaches. Often the distinction between qualitative research and quantitative research is framed in terms of using words (qualitative) rather than numbers (quantitative) or, better yet, using closed-ended questions and responses (quantitative hypotheses) or open-ended questions and responses (qualitative interview questions). A more complete way to view the gradations of differences between them is found in the basic philosophical assumptions researchers bring to the study, the types of research strategies used in the research (e.g., quantitative experiments or qualitative case studies), and the specific methods employed in conducting these strategies (e.g., collecting data quantitatively on instruments versus collecting qualitative data through observing a setting). Moreover, there is a historical evolution to both approaches—with the quantitative approaches dominating the forms of research in the social sciences from the late 19th century until the mid-20th century. During the latter half of the 20th century, interest in qualitative research increased and mixed methods research developed. With this background, it should prove helpful to view definitions of these three key terms as used in this book: Qualitative research is an approach for exploring and understanding the meaning individuals or groups ascribe to a social or human problem. The research process involves emerging questions and procedures, data typically collected in the participant’s setting, data analysis inductively building from particulars to general themes, and the researcher making interpretations of the meaning of the data. The final written report has a flexible structure. Those who engage in this form of inquiry use an inductive style building from data to themes and a focus on individual meaning, and emphasize the importance of reporting the complexity of a situation. Quantitative research is an approach for testing objective theories by examining the relationship among variables or a comparison among groups. These variables, in turn, can be measured, typically on instruments, so that numbered data can be analyzed using statistical procedures. The final written report has a set structure comprising an introduction, methods, results, and discussion. Quantitative researchers test theories deductively, build into a study protections against bias, control for alternative or counterfactual explanations, and seek to generalize and replicate the findings. Mixed methods research is an approach to inquiry involving collecting both quantitative and qualitative data, using a specific procedure or design, combining (or integrating) the two forms of data within the design, and drawing conclusions (metainferences) about the insight to emerge from the combined databases. This description emphasizes a methods perspective focused on understanding mixed methods research from its data collection, data analysis, and interpretation. Also, in mixed methods a researcher brings philosophical assumptions and theories that inform the conduct of the research. THREE MAJOR COMPONENTS OF A RESEARCH APPROACH The broad research approach is the plan or proposal to conduct research, involving the intersection of philosophy, research designs, and specific methods. Figure 1.1 presents a framework that we use to explain the interaction of these three components. In planning a study, researchers need to think through the philosophical worldview assumptions that they bring to the study, the research design that is related to this worldview, and the specific methods or procedures of research that translate the approach into practice. Description Figure 1.1 A Framework for Research—The Interconnection of Worldviews, Design, and Research Methods Philosophical Worldviews Although philosophical ideas remain largely hidden in research (Slife & Williams, 1995), they still influence the practice of research and need to be identified. We suggest that individuals preparing a research proposal or plan make the larger philosophical ideas they espouse explicit. This information will help explain why they chose qualitative, quantitative, or mixed methods approaches for their research. In writing about worldviews, a proposal might include a section that addresses the following: The philosophical worldview being used by the researcher A definition of basic ideas of that worldview An individual’s worldview drawn on research experiences, training, or cultural environment How the worldview shaped their approach to research We have chosen to use the term worldview as meaning “a basic set of beliefs that guide action” (Guba, 1990, p. 17). Others have called them paradigms (Lincoln et al., 2011; Mertens, 2010); epistemologies and ontologies (Crotty, 1998), or broadly conceived research methodologies (Neuman, 2009). We prefer the word “worldview” because it brings a global perspective to research in this era of international interconnections. We see worldviews as a general philosophical orientation about the world and the nature of research that a researcher brings to a study. Individuals develop worldviews based on their discipline orientations and research communities, advisers and mentors, past research experiences, and cultural experiences. Individual researchers’ beliefs based on these factors will often lead to embracing a strong qualitative, quantitative, or mixed methods approach in their research. The philosophical beliefs are important to include in a study because a reader can best interpret the research knowing the biases and the particular stance being taken by the researcher. We recognize that in quantitative research the position of the researcher remains largely hidden and not expressed; still we feel that it needs to be presented in the open for readers to interpret a study. Although there is ongoing debate about what worldviews or beliefs researchers bring to inquiry, we will highlight four widely discussed in the literature: postpositivism, constructivism, transformative, and pragmatism. The major elements of each position are presented in Table 1.2. Table 1.2 Four Worldviews Postpositivism Constructivism Determination Understanding Reductionism Multiple participant meanings Empirical observation and measurement Social and historical construction Theory verification Theory generation Transformative Pragmatism Political Consequences of actions Power and justice oriented Problem centered Collaborative Pluralistic Change oriented Real-world practice oriented The Postpositivist Worldview Postpositivist worldviews have represented the traditional form of research, and these assumptions hold true more for quantitative research than qualitative research. This worldview is sometimes called the scientific method or doing science research. It is also called positivist/postpositivist research, empirical science, and postpositivism. This last term is called postpositivism because it represents the thinking after positivism, challenging the traditional notion of the absolute truth of knowledge (Phillips & Burbules, 2000) and recognizing that we cannot be certain about our claims of knowledge when studying the behavior and actions of humans. The postpositivist tradition comes from 19th-century writers such as Comte, Mill, Durkheim, Newton, and Locke (Smith, 1983) and more recently from writers such as Phillips and Burbules (2000). Those who hold a postpositivist worldview hold a deterministic philosophy that causes (probably) determine effects or outcomes. Thus, the problems studied by postpositivists reflect the need to identify and assess the causes that influence outcomes, such as those found in experiments. It is also reductionistic in that the intent is to reduce the ideas into a small, discrete set to test, such as the variables that comprise hypotheses and research questions. Careful observation and measurement of the objective reality “out there” in the world represent a postpositivist lens. Thus, developing numeric measures of observations and studying the behavior of individuals become paramount for a postpositivist. Finally, laws or theories govern the world, and these theories need to be tested, verified, and refined so that we can understand the world. Thus, in the scientific method—the accepted approach to research by postpositivists—a researcher begins with a theory, collects data that either supports or refutes the theory, and then makes necessary revisions and conducts additional tests. In reading Phillips and Burbules (2000), you can gain a sense of the key assumptions of this position, such as the following: Knowledge is conjectural (and antifoundational)—absolute truth can never be found. Thus, evidence established in research is always imperfect and fallible. For this reason, researchers state that they do not prove a hypothesis; instead, they indicate a failure to reject the hypothesis. Research is the process of making claims and then refining or abandoning some of them for other claims more strongly warranted. Most quantitative research, for example, starts with the test of a theory. Data, evidence, and rational considerations shape knowledge. In practice, the researcher collects information on instruments based on measures completed by the participants or by observations recorded by the researcher. Research seeks to develop relevant, true statements that explain the situation of concern or that describe the causal relationships of interest. In quantitative studies, researchers advance the relationships among variables and pose these as questions or hypotheses. Being objective is an essential aspect of competent inquiry; researchers must examine methods and conclusions for bias. For example, standards of validity and reliability are important in quantitative research. The Constructivist Worldview Others hold a different worldview. A constructivist or social constructivist worldview (often combined with interpretivism) is a philosophical position used in qualitative research. The ideas came from Mannheim and from works such as Berger and Luckmann’s (1967) The Social Construction of Reality and Lincoln and Guba’s (1985) Naturalistic Inquiry. More recent writers who have summarized this position are Lincoln et al. (2011), Mertens (2010), and Crotty (1998), among others. Those who hold a constructivist worldview believe that individuals seek understanding of the world in which they live and work. Individuals develop subjective meanings of their experiences—meanings directed toward certain objects or things. These meanings are varied and multiple, leading the researcher to look for the complexity of views rather than narrowing meanings into a few categories or ideas. The goal of the research relies as much as possible on the participants’ views of the situation. The questions become broad and general so that the participants can construct the meaning of a situation, typically forged in discussions or interactions with other persons. The more open-ended the questioning, the better because the researcher listens carefully to what people say or do in their life settings. Often these subjective meanings are negotiated socially and historically. They are not simply imprinted on individuals but are formed through interaction with others (hence social constructivism) and through historical and cultural norms that operate in individuals’ lives. Thus, constructivist researchers often address the processes of interaction among individuals. They also focus on the specific contexts in which people live and work to understand the historical and cultural settings of the participants. Researchers recognize that their own backgrounds shape their interpretations, and they position themselves in the research to acknowledge how their interpretations flow from their personal, cultural, and historical experiences. The researcher’s intent is to make sense of (or interpret) the meanings others have about the world. Rather than starting with a theory (as in postpositivism), inquirers generate or inductively develop a theory or pattern of meaning. For example, in discussing constructivism, Crotty (1998) identified several assumptions: Human beings construct meanings as they engage with the world they are interpreting. Qualitative researchers tend to use open-ended questions so that the participants can share their views. Humans engage with their world and make sense of it based on their historical and social perspectives—we are all born into a world of meaning bestowed upon us by our culture. Thus, qualitative researchers seek to understand the context or setting of the participants through visiting this context and gathering information personally. They also interpret what they find, an interpretation shaped by the researcher’s own experiences and background. The basic generation of meaning is always social, arising in and out of interaction with a human community. The process of qualitative research is largely inductive; the inquirer generates meaning from the data collected in the field. The Transformative Worldview Another group of researchers holds to the philosophical assumptions of the transformative approach. This position arose during the 1980s and 1990s from individuals who felt that the postpositivist assumptions imposed structural laws and theories that did not fit marginalized individuals in our society or issues of power and social justice, discrimination, and oppression. There is no uniform body of literature characterizing this worldview, but it includes groups of researchers that are critical theorists, participatory action researchers, community-based participatory researchers, Marxists, feminists, and racial and ethnic minorities. It also includes persons with disabilities, indigenous and postcolonial peoples, and members of the lesbian, gay, bisexual, transsexual, and queer communities. Historically, the transformative writers have drawn on the works of Marx, Adorno, Marcuse, Habermas, and Freire (Neuman, 2009). Fay (1987), Heron and Reason (1997), Kemmis and Wilkinson (1998), Kemmis and McTaggart (2000), and Mertens (2009, 2010) are additional authors writing about this perspective. In the main, these inquirers felt that the constructivist stance did not go far enough in advocating for an action agenda to help marginalized people. A transformative worldview holds that research inquiry needs to be intertwined with politics and a political change agenda to confront social oppression at whatever levels it occurs (Mertens, 2010). Thus, the research contains an action agenda for reform that may change the lives of the participants, the institutions in which individuals work or live, and the researcher’s life. Moreover, researchers need to address specific important social issues of the day, issues such as empowerment, inequality, oppression, domination, suppression, and alienation. The researcher often begins with one of these issues as the focal point of the study. This research also assumes that the inquirer will proceed collaboratively to not further marginalize the participants as a result of the inquiry. In this sense, the participants may help design questions, collect data, analyze information, or reap the rewards of the research. Transformative research provides a voice for these participants, raising their consciousness or advancing an agenda for change to improve their lives. It becomes a united voice for reform and change. This philosophical worldview focuses on the needs of groups and individuals in our society that may be marginalized or disenfranchised. Therefore, theoretical perspectives may be integrated with philosophical assumptions that construct a picture of the issues being examined, the people studied, and the changes needed, such as in feminist perspectives, racialized discourses, critical theory, queer theory, and disability theory. An important development around the world has been the expansion of interest in indigenous methodologies that respect and honor the culture of individuals being studied. For example, in a study in Botswana, Chilisa and Tsheko (2014) discussed the importance of attending to cultural language of participants (e.g., gestures, tones, expressions) and using conversational modes of data collection (e.g., talking circles, storying). Also important is seeking out “knowers” of the language for proverbs, myths, and folktales, including participants as co-researchers, and engaging in respectful principles of accountability toward the participants. Although these are diverse groups and our explanations here are generalizations, it is helpful to view the summary by Mertens (2010) of key features of the transformative worldview or paradigm: It places central importance on the study of lives and experiences of diverse groups that have traditionally been marginalized. For these groups, their lives have been constrained by oppressors, leading to strategies to resist, challenge, and subvert these constraints. In studying these diverse groups, the researcher focuses on inequities based on gender, race, ethnicity, disability, sexual orientation, and socioeconomic class that result in asymmetric power relationships. The research in the transformative worldview links political and social action to these inequities. Transformative research uses a program theory of beliefs about how a program works and why the problems of oppression, domination, and power relationships exist. The Pragmatic Worldview Another position about worldviews comes from the pragmatists. Pragmatism derives from the work of Peirce, James, Mead, and Dewey (Cherryholmes, 1992). Other writers include Murphy (1990), Patton (1990), and Rorty (1990). There are many forms of a pragmatic worldview, but it arises out of actions, situations, and consequences rather than antecedent conditions (as in postpositivism). There is a concern with applications—what works—and solutions to problems (Patton, 1990). Instead of focusing on methods, researchers emphasize the research problem and question and use all approaches available to understand the problem (see Rossman & Wilson, 1985). As a philosophical underpinning for mixed methods studies, Morgan (2007), Patton (1990), and Tashakkori and Teddlie (2010) convey its importance for focusing attention on the research problem in social science research and then using pluralistic approaches to gather data about the problem. Using Cherryholmes (1992), Morgan (2007), and our own views, pragmatism provides a philosophical basis for research: Pragmatism is not committed to any one system of philosophy and reality. This idea applies to mixed methods research in that inquirers draw liberally from both quantitative and qualitative assumptions when they engage in their research. Individual researchers have a freedom of choice. In this way, researchers are free to choose the methods, techniques, and procedures of research that best meet their needs and purposes. Pragmatists do not see the world as an absolute unity. In a similar way, mixed methods researchers look to many approaches for collecting and analyzing data rather than subscribing to only one way (e.g., quantitative or qualitative). Truth is what works at the time. It is not based in a duality between reality independent of the mind or within the mind. Thus, in mixed methods research, investigators use both quantitative and qualitative data because they provide the best understanding of a research problem. The pragmatist researchers look to the what and how to research based on the intended consequences. Mixed methods researchers need to establish a purpose for their mixing, a rationale for reasons why quantitative and qualitative data need to be mixed in the first place. Pragmatists agree that research always occurs in social, historical, political, and other contexts. In this way, mixed methods studies may include a postmodern turn, a theoretical lens that reflects social justice and political aims. Pragmatists believe in an external world independent of the mind as well as that lodged in the mind. But they believe that we need to stop asking questions about reality and the laws of nature (Cherryholmes, 1992). “They would simply like to change the subject” (Rorty, 1990, p. xiv). Thus, for the mixed methods researcher, pragmatism opens the door to multiple methods, different worldviews, assumptions, and forms of data collection and analysis. Research Designs Of the three-part framework—philosophical assumptions, research designs, and research methods—our focus now turns to the second element, the research designs. The researcher not only selects a qualitative, quantitative, or mixed methods study to conduct; the inquirer also decides on a type of study design within these three choices. Research designs are types of inquiry within qualitative, quantitative, and mixed methods approaches that provide specific direction for procedures in a research study. Others have called them strategies of inquiry (Denzin & Lincoln, 2011). The designs available to the researcher have grown over the years as computer technology has advanced our data analysis, our ability to analyze complex models, and our capacity to engage in new procedures for conducting social science research. Select types will be emphasized in the methods discussions of Chapters 8, 9, and 10, types frequently used in the social and health sciences. Here we introduce the designs that will be discussed later and that are cited in examples throughout the book. An overview of these designs is shown in Table 1.3. Table 1.3 Alternative Research Designs Quantitative Designs Qualitative Methods Designs Designs Experimental and quasi- Descriptive Convergent experimental method Explanatory sequential Single-subject Narrative research Exploratory sequential Nonexperimental such as surveys Phenomenology Complex designs with embedded core designs Longitudinal Grounded theory Ethnography Case study Quantitative Designs During the late 19th and throughout the 20th century, designs associated with quantitative research invoked the postpositivist worldview and originated mainly in physiology and psychology. These include true experiments and quasi-experiments (see an original, early treatise on this, Campbell & Stanley, 1963). An additional experimental design is applied behavioral analysis or single-subject experiments. This type of experiment involves a treatment administered over time to a single individual or a small number of individuals (Cooper et al., 2007; Neuman & McCormick, 1995). One type of nonexperimental quantitative research is causal-comparative research. The investigator compares two or more groups in terms of a cause (or independent variable) that has already happened. Another nonexperimental form of research is the correlational design in which investigators use the correlational statistic to describe and measure the degree or association (or relationship) between two or more variables or sets of scores (Creswell & Guetterman, 2018). These designs involve more complex relationships among variables found in techniques of structural equation modeling, hierarchical linear modeling, and logistic regression. More recently, quantitative strategies have involved complex experiments with many variables and treatments (e.g., factorial designs and repeated measure designs). Designs often employ longitudinal data collection over time to examine the development of ideas and trends. Designs have also included elaborate structural equation models that incorporate causal paths and the identification of the collective strength of multiple variables. Rather than discuss these quantitative approaches, we will focus in this book on two primary designs: surveys and experiments. Survey research provides a quantitative or numeric description of a population’s trends, attitudes, or opinions by studying a sample of that population. It includes cross-sectional and longitudinal studies using questionnaires or structured interviews for data collection to generalize from a sample to a population (Fowler, 2008). Experimental research seeks to determine if a specific treatment influences an outcome. The researcher assesses this by providing a specific treatment to one group, withholding it from another, and then determining how both groups scored on an outcome. Experiments include true experiments, the random assignment of subjects to treatment conditions, and quasi-experiments that use nonrandomized assignments (Keppel, 1991). Included experiments are single-subject designs in which a single individual or group is observed over a period of time and interventions administered and then withheld (Gast & Ledford, 2014). Qualitative Designs In qualitative research, the numbers and types of approaches have also become more clearly visible during the 1990s and into the 21st century. The historic origin for qualitative research comes from anthropology, sociology, the humanities, and evaluation. Books have summarized the various types, and complete procedures are now available on specific qualitative inquiry approaches (Creswell & Poth, 2018). For example, Clandinin and Connelly (2000) constructed a picture of what narrative researchers do. Moustakas (1994) discussed the philosophical tenets and the procedures of the phenomenological method; Charmaz (2006), Corbin and Strauss (2007, 2015), and Strauss and Corbin (1990, 1998) identified the procedures of grounded theory. Fetterman (2010) and Wolcott (2008) summarized ethnographic procedures and the many faces and research strategies of ethnography, and Stake (1995) and Yin (2009, 2012, 2014) suggested processes involved in case study research. In this book, illustrations are drawn from the following qualitative designs, recognizing that approaches such as participatory action research (Kemmis & McTaggart, 2000), discourse analysis (Cheek, 2004), and others not mentioned are also viable ways to conduct qualitative studies: Descriptive method in qualitative research is an approach to analysis where the researcher stays close to the data, uses limited frameworks and interpretation for explaining the data, and catalogues the information into themes. Narrative research is a design of inquiry from the humanities in which the researcher studies the lives of individuals and asks one or more participants to provide stories about their lives (Riessman, 2008). This information is then often retold or restoried by the researcher into a narrative chronology. Often, in the end, the narrative combines views from the participant’s life with those of the researcher’s life in a collaborative narrative (Clandinin & Connelly, 2000). Phenomenological research is a design of inquiry coming from philosophy and psychology in which the researcher describes the lived experiences of individuals about a phenomenon as described by participants. This description culminates in the essence of several individuals who have all experienced the phenomenon. This design has strong philosophical underpinnings and typically involves conducting interviews (Giorgi, 2009; Moustakas, 1994). Grounded theory is a design of inquiry from sociology in which the researcher derives a general, abstract theory of a process, action, or interaction grounded in the views of participants. This process involves using multiple stages of data collection and the refinement and interrelationship of categories of information to form a theory (Charmaz, 2006; Corbin & Strauss, 2007, 2015). Ethnography is a design of inquiry coming from anthropology and sociology. The researcher studies the shared patterns of behaviors, language, and actions of an intact cultural group in a natural setting over a prolonged period of time. Data collection often involves observations and interviews (Wolcott, 1994). Case studies are a design of inquiry found in many fields, especially evaluation, in which the researcher develops an in-depth analysis of a case, often a program, event, activity, process, or one or more individuals. Cases are bounded by time and place (or setting), and researchers collect detailed information using a variety of data collection procedures over a sustained period of time (Stake, 1995; Yin, 2009, 2012, 2014). Mixed Methods Designs Mixed methods research involves collecting quantitative and qualitative data and combining or integrating the data to yield insights or inferences from the combined data. Qualitative data tends to be open-ended without predetermined responses, whereas quantitative data usually includes closed-ended responses such as those found on questionnaires or psychological instruments. As we know it today, the field of mixed methods research began in the middle to late 1980s. Its origins, however, go back further. In 1959, Campbell and Fisk used multiple methods to study psychological traits—although their methods were only quantitative measures. Their work prompted others to collect multiple forms of data, such as observations and interviews (qualitative data) with traditional surveys (Sieber, 1973). Early thoughts about the value of multiple methods—called mixed methods—resided in the idea that all methods had bias and weaknesses. The collection of both quantitative and qualitative data neutralized the weaknesses of each form of data. Combining data sources—a means for seeking convergence across qualitative and quantitative methods—was born (Jick, 1979). By the early 1990s, mixed methods turned toward the systematic integration of quantitative and qualitative data and the idea of ways to combine the data through different types of research designs. These types of designs were extensively discussed in a major handbook addressing the field in 2003 and reissued in 2010 (Tashakkori & Teddlie, 2010). As the field developed, specific mixed methods designs emerged complete with diagrams to help the reader understand the designs (Creswell & Plano Clark, 2018; Creswell, 2022). Practical issues are being widely discussed today in terms of examples of “good” mixed methods studies and evaluative criteria, the use of teams to conduct this form of inquiry, and the expansion of mixed methods worldwide. Although many designs exist in the mixed methods field, this book will focus on the three primary designs, called core design, and several complex designs that involve the embedding of core designs into processes or frameworks. A convergent mixed methods design is a core form of mixed methods design. The researcher converges or merges quantitative and qualitative data to provide a comprehensive analysis of the research problem. In this design, the investigator typically collects both forms of data at roughly the same time and then integrates the information in the interpretation of the overall results. Contradictions or incongruent findings are explained or further probed in this design. An explanatory sequential mixed methods design is a core design in which the researcher first conducts quantitative research, analyzes the results, and then builds on the results to explain them in more detail with qualitative research. It is considered explanatory because the initial quantitative data results are explained further with the qualitative data. It has a sequential structure because the initial quantitative phase follows the qualitative phase. This type of design is popular in fields with a strong quantitative orientation (because the project begins with quantitative research), but it presents challenges of identifying the quantitative results and explaining the sample selection process in the study. An exploratory sequential mixed methods design is the reverse sequence from the explanatory sequential design. In the exploratory sequential design the researcher first begins with a qualitative research phase and explores the views of participants. The data are then analyzed and the information used to build into a second, quantitative phase. The qualitative phase may be used in several ways. It can help build an instrument that best fits the sample under study, identify appropriate instruments to use in the follow-up quantitative phase, and develop an intervention for an experiment. The qualitative phase can also help design an app or website or to specify variables that need to go into a follow-up quantitative study. Challenges to this design reside in focusing in on the appropriate qualitative findings to use in the quantitative design and the sample selection for both phases of research. A complex mixed methods design involves embedding one or more core designs into a framework or a process. For example, the core designs can augment an experiment by collecting qualitative data after the experiment to help explain the quantitative outcome results. The core designs can be used within a case study framework to deductively document cases or to generate cases for further analysis. The core designs can inform a theoretical study drawn from social justice (see Chapter 3) as an overarching perspective within a design that contains both quantitative and qualitative data. The core designs can also be used in the different phases of an evaluation procedure that spans from a needs assessment to a test of a program or experimental intervention. Research Methods The third major element in the philosophy-design-methods framework is the specific research methods that involve the forms of data collection, analysis, and interpretation that researchers propose for their studies. As shown in Table 1.4, it is useful to consider the full range of possibilities of data collection and to organize these methods, for example, by their degree of predetermined nature, their use of closed- ended versus open-ended questioning, and their focus on numeric versus nonnumeric data analysis. These methods will be developed further in Chapters 8 through 10. Researchers collect data on an instrument or test (e.g., a set of questions about attitudes toward self- esteem) or gather information on a behavioral checklist (e.g., observation of a worker engaged in a complex skill). On the other end of the continuum, collecting data might involve visiting a research site and observing the behavior of individuals without predetermined questions or conducting an interview in which the individual talks openly about a topic, largely without the use of specific questions. The choice of methods turns on whether the intent is to specify the type of information to be collected in advance of the study or to allow it to emerge from participants in the project. Also, the type of data analyzed may be numeric information gathered on scales of instruments or text information recording and reporting the voice of the participants. Researchers make interpretations of the statistical results, or they interpret the themes or patterns that emerge from the data. In some forms of research, both quantitative and qualitative data are collected, analyzed, and interpreted. Instrument data may be augmented with open- ended observations, or census data may be followed by in-depth exploratory interviews. In this case of mixing methods, the researcher makes inferences across both the quantitative and qualitative databases. Table 1.4 Quantitative, Mixed, and Qualitative Methods Quantitative Methods Mixed Methods Qualitative Methods Predetermined Both predetermined and Emerging methods emerging methods Instrument-based questions Both open- and closed- Open-ended questions ended questions Performance data, attitude data, Multiple forms of data Interview data, observation data, observational data, and census data drawing on all document data, and audiovisual data possibilities Statistical analysis Statistical and text Text and image analysis analysis Statistical interpretation Across databases Themes, patterns, and interpretation interpretation INTERCONNECTING WORLDVIEWS, DESIGNS, AND METHODS The worldviews, the designs, and the methods all contribute to a research approach that tends to be quantitative, qualitative, or mixed. Table 1.5 creates distinctions that may be useful in choosing an approach. This table also includes practices of all three approaches that we emphasize in the remaining chapters of this book. Typical scenarios of research can illustrate how these three elements combine into a research design. Example 1. Quantitative Approach: Postpositivist Worldview, Experimental Design, and Pretest and Posttest Measures of Attitudes In this scenario, the researcher tests a theory by specifying narrow hypotheses and the collection of data to support or refute the hypotheses. The researcher uses an experimental design to assess attitudes both before and after an experimental treatment. The data are collected on an instrument that measures attitudes, and the information is analyzed using statistical data analysis procedures and hypothesis testing. Table 1.5 Qualitative, Quantitative, and Mixed Methods Approaches Tends to or Qualitative Approaches Quantitative Mixed Methods Approaches Typically Approaches Uses these Constructivist/transformative Postpositivist Pragmatic knowledge claims philosophical knowledge claims knowledge claims assumptions Tends to or Qualitative Approaches Quantitative Mixed Methods Approaches Typically Approaches Employs Phenomenology, grounded these theory, ethnography, case designs study, and narrative Surveys and Sequential, convergent, and experiments (true, complex designs quasi-experimental, single-subject) Employs Open-ended questions, Closed-ended Both open- and closed-ended these emerging approaches, text questions, questions, both emerging and methods or image data predetermined predetermined approaches, approaches, numeric and both quantitative and data (may include qualitative data and analysis some open-ended questions) Uses these Positions themselves Tests or verifies Collects both quantitative and practices of theories or explanations qualitative data research Collects participant meanings Identifies variables to Develops a rationale for mixing study Focuses on a single Integrates the data at different concept or phenomenon Relates variables in stages of inquiry questions or Brings personal values into hypotheses Presents visual pictures of the the study procedures in the study Uses standards of Studies the context or validity and reliability Employs the practices of both setting of participants qualitative and quantitative Observes and research Validates the accuracy of measures information findings numerically Makes interpretations of the Uses unbiased data approaches Creates an agenda for Employs statistical change or reform procedures Collaborates with the participants Employs text analysis procedures Example 2. Qualitative Approach: Constructivist Worldview, Ethnographic Design, and Observation of Behavior In this situation, the researcher seeks to establish the meaning of a phenomenon from participants’ views. This means identifying a culture-sharing group and studying how it develops shared patterns of behavior over time (i.e., ethnography). One of the key elements of collecting data in this way is to observe participants’ behaviors during their engagement in activities. Example 3. Qualitative Approach: Transformative Worldview, Narrative Design, and Open-Ended Interviewing For this study, the inquirer seeks to examine an issue related to oppression of individuals. To study this, the researcher collects stories about individual oppression using a narrative approach. Individuals are interviewed to determine how they have personally experienced oppression. Example 4. Mixed Methods Approach: Pragmatic Worldview, Collection of Both Quantitative and Qualitative Data Sequentially in the Design The researcher bases the inquiry on the assumption that collecting diverse types of data best provides a more complete understanding of a research problem than quantitative or qualitative data alone. The study begins with a broad survey to generalize results to a population and then, in a second phase, focuses on qualitative, open-ended interviews to collect detailed views from participants to help explain the initial quantitative survey. CRITERIA FOR SELECTING A RESEARCH APPROACH Given the possibility of qualitative, quantitative, or mixed methods approaches, what factors affect a choice of one approach over another for the design of a proposal? To make this choice, we need to add to worldview, design, and methods the research problem, the personal experiences of the researcher, and the audience(s) for the report. The Research Problem and Questions A research problem, more thoroughly discussed in Chapter 5, is an issue or concern that needs to be addressed (e.g., the issue of racial discrimination). The problem comes from voids, conflicts in research results, and topics neglected in the literature. It also can arise from the need to emphasize the voice of marginalized participants and real-life problems found in the workplace, the home, the community. Certain types of social research problems call for specific approaches. For example, if the problem requires for (a) the identification of factors that influence an outcome, (b) the utility of an intervention, or (c) understanding the best predictors of outcomes, then a quantitative approach is best. It is also the best approach to use to test a theory or explanation. On the other hand, if a concept or phenomenon needs to be explored and understood because little research has been done on it or involves an understudied sample, it merits a qualitative approach. Qualitative research is especially useful when the researcher does not know the important research questions or variables to examine. This type of approach may be needed because the topic is new, the subject has never been addressed with a certain sample or group of people, and existing theories do not apply with the sample or group under study (Morse, 1991). A mixed methods design is useful when the quantitative or qualitative approach, each by itself, is inadequate to study a research problem and the strengths of both quantitative and qualitative research (and its data) can provide the best understanding. For example, a researcher may want to generalize the findings to a population and develop a detailed view of the meaning of a phenomenon or concept for individuals. In this research, the inquirer first explores to learn what variables to study and then examines them with a large sample of individuals. Alternatively, researchers may first survey a large number of individuals and then follow up with a few participants to obtain their specific views and their voices about the topic. In these situations, collecting both closed-ended quantitative data and open-ended qualitative data proves advantageous. Personal Experiences Researchers’ personal training and experiences also influence their choice of approach. An individual trained in technical, scientific writing, statistics, and computer statistical programs and familiar with quantitative journals in the library would most likely choose the quantitative design. In contrast, individuals who enjoy writing in a storytelling or literary way, conducting personal interviews, or making up-close observations may gravitate to the qualitative approach. The mixed methods researcher is an individual familiar with both quantitative and qualitative research. This person also has the time and resources to collect and analyze both quantitative and qualitative data. Because quantitative studies are the traditional mode of research, carefully worked out procedures and rules exist for them. Researchers may be more comfortable with the highly structured procedures of quantitative research. Also, it can be uncomfortable for some individuals to challenge accepted approaches among some faculty by using qualitative and transformative approaches to inquiry. In contrast, qualitative approaches allow room to be innovative and to work more within researcher- designed frameworks. They allow more creative, literary-style writing, a form that individuals may like to use. For those researchers undertaking social justice or community involvement studies, a qualitative approach is typically best, although this form of research may also incorporate mixed methods designs. For the mixed methods researcher, the project will take extra time because of the need to collect and analyze both quantitative and qualitative data. It fits a person who enjoys and has the skills in quantitative, qualitative research, and mixed methods research. Audience Finally, researchers write for audiences that will accept their research. These audiences may be journal editors and readers, faculty committees, conference attendees, or colleagues in the field. Students should consider the approaches typically supported and used by their advisers. The experiences of these audiences with quantitative, qualitative, or mixed methods studies can shape the decision made about the choice of design. Summary In designing a research proposal or a research project, start by understanding the definitions for philosophical assumptions, research approach (or methodology), research design, and research method. Understand that this book will address three broad approaches to inquiry: quantitative, qualitative, and mixed methods. Then, a framework is helpful to proceed with a study. This framework involves understanding the philosophical assumptions the researcher brings to a study; the designs or procedures available in quantitative, qualitative, and mixed methods research; and the specific methods to be used. In choosing a specific design for a project, consider these three components. In addition, a choice of approach involves the research problem or issue being studied, the personal experiences of the researcher, and the audience for whom the researcher writes. KEY TERMS Case studies 15 Complex mixed methods design 17 Constructivist worldview 9 Convergent mixed methods design 16 Descriptive method 15 Ethnography 15 Experimental research 14 Explanatory sequential mixed methods design 16 Exploratory sequential mixed methods design 17 Grounded theory 15 Mixed methods research 5 Narrative research 15 Phenomenological research 15 Philosophical assumptions 4 Postpositivist worldview 8 Pragmatic worldview 11 Qualitative research 5 Quantitative research 5 Research approach 4 Research design 4 Research methods 4 Survey research 14 Transformative worldview 10 Worldview 7 WRITING EXERCISES 1. Why are philosophical assumptions necessary as a prerequisite for conducting a research study? What philosophical approach best fits your research project? 2. Discuss your choice of a research approach—quantitative, qualitative, or mixed methods—for your study. Why did you choose it? 3. What are the distinctions among the quantitative research, qualitative research, and mixed methods research approaches? Additional Readings Crotty, M. (1998). The foundations of social research: Meaning and perspective in the research process. SAGE. A hierarchical relationship exists among philosophy, theory, methodology, and methods. Michael Crotty offers a useful framework to see these relationships. He ties together the many epistemological issues, theoretical perspectives, methodology, and methods of social research. He interrelates the four components of the research process and shows a representative sampling of topics of each component. He then goes on to discuss nine different theoretical orientations in social research, such as postmodernism, feminism, critical inquiry, interpretivism, constructionism, and positivism. Lincoln, Y. S., Lynham, S. A., & Guba, E. G. (2011). Paradigmatic controversies, contradictions, and emerging confluences revisited. In N. K. Denzin & Y. S. Lincoln, The SAGE handbook of qualitative research (4th ed., pp. 97–128). SAGE Philosophical assumptions are often confusing to researchers and need to be carefully studied. Yvonna Lincoln, Susan Lynham, and Egon Guba have provided distinctions among the different philosophical positions. They advance the basic beliefs of five alternative inquiry paradigms in y y g social science research: (a) positivism, (b) postpositivism, (c) critical theory, (d) constructivism, and (e) participatory. These extend the earlier analysis provided in the first and second editions of the handbook. Each is presented in terms of ontology (i.e., nature of reality), epistemology (i.e., how we know what we know), and methodology (i.e., the process of research). The participatory paradigm adds another alternative paradigm to those originally advanced in the first edition. After briefly presenting these five approaches, they contrast them in terms of several issues, such as the nature of knowledge, how knowledge accumulates, and goodness or quality criteria. Mertens, D. (2009). Transformative research and evaluation. Guilford. In many countries around the world, a transformative research approach helps establish change in communities and groups. Donna Mertens provides a guide for this transformation. She has devoted an entire text to advancing the transformative paradigm and the process of transformative research. She discusses the basic features of the transformative paradigm as an umbrella term, provides examples of groups affiliated with this paradigm, and links the paradigm to quantitative, qualitative, and mixed methods approaches. In this book, she also discusses the research procedures of sampling, consent, reciprocity, data collection methods and instruments, data analysis and interpretation, and reporting. Phillips, D. C., & Burbules, N. C. (2000). Postpositivism and educational research. Rowman & Littlefield. In research, the philosophy behind quantitative research is typically neither expressed in studies nor well-known. Thus, it is helpful for D. C. Phillips and Nicholas Burbules to summarize the major ideas of postpositivist thinking. Through two chapters, “What Is Postpositivism?” and “Philosophical Commitments of Postpositivist Researchers,” the authors advance major ideas about postpositivism and differentiate it from positivism. Postpositivism suggests that human knowledge is conjectural rather than unchallengeable and that our warrants for knowledge can be withdr

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