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P"ofesi": ZuJejnTfl Santaila
RESEARCH
. DESIGN
..' Qualitative,
. Quantitative,
and lvlixedMethods
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.. John W .Creswell
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University of Nebraska, Lincoln
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~ CHAPTER ONE
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A FromevJork
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framework be adopted to provlde guidonce about 011focets 01 the
study. trorn ossessing the general philosophical ideas behind the
inqulry to the detailed data collectlon ond cnovsls procedures. Using
an extant framework 0150 otows researchers to lodge their plans in
Ideas well grounded in the literature and recognized by audiences
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ent types and terms abound in the literature. I wlll focus on three:
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quantitotive. qualitative, ond mixed methods opproaches. The flrst ~>
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has. been ovoilable to the social ond human scientlst ter years. the "
secondhos amarged prlmarlly durlng tha last three or tour decodes. W:
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and the last Is new and still deve!oplng in lorm and substance.
This chapler introduces the reader to the three approaches lo
research. I suggest that lo understand them. the proposal developer 1;
needs to considerthree framework elements: philosophicol assump-
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tlons obout whot consntutes knowledge cloims; general procedures
01 research called stroteges of nqury; and detalled procedures 01 W
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dolo collection, onolvsls. and writing. called mefhods. Qualltotlve.
quontitotive. ond mixed methods opprooches trame each 01 these
elements diflerently. and these differences are Identltled and dls-
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cussed in this chapter. Then typical scenarios tha! combine the three
H elements are advanced. tollowed by the reosons why ane would ;,
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IL: choose one.opproach over onother in designlng o study. This discus- (,.
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slon wlll not be a phllosophicol treatise on the nofure 01 I<nowledge.
but it wilt provide a orocncol grounding in some 01 the philosophical
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ideas behind reseorch.
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In the Irst editon of ths book. 1 used two approaches-s-qualtatlve and Approaches toRescarch
Ocsign Processes
'quantitative. 1 descrlbed each in terrns of diferent philosophical
assurnptons about the nature of reality, epislemology. values. the
rhetoric of research, and rnethodology (Creswell, 19,94). Several devel-
Stratcglcs ollnqulry
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Qu<tlilC1liv~
Quuntituvc
Mixcd MC!thuds ..
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, of Research
Questions
being used today in the social and human sciences. Figure 1.1 Knowledge Claims, Strategies ot Inqulry, onc Methods'
Leadlng toApprocches and the Design Process '
Other philosophical assumptons beyond those advanced in 1994
have been widely discussed In the literature. Most notably, critica]
perspectves, advocacy/particpatory perspectives. and pragmatic
ideas (e.g . see Lincoln & Cuba. 2000; Tashakkori & Teddlie, 1998)
are betng extensively dscussed. !\Ithough philosophlcal ideas 3. Whcit rnethudology:-strategy'orplanof action tbat lnks
rernain largely. "hidden" in rescarch Slife & WiIliams. 1995). they rnethods lo outcomes=-gcverns our choice and use of methods
still influence the practice of research and necd to be identified. (e.g., experimental rcsearch, survcy research, ethnography etc.j?
The situation today is lcss quantitative versus qualitatve and more 4. What metbods-tcchniques and procedures=do we pro pose to
bow research practices lie somewhere on a continuurn between the .usc (e.g., questionnare, nterview.locus group, etc.)?
two (e.g., Newrnan & Benz, 1998). The bcst that C.1n be sad is that
studies tend to be more quantitative or qualltatlve in nature. Thus, These four questions show thc interrelated Jevdsof decisi~ns that go '
later in the chapter J introduce l.ypicnJ scenaros 01' quuntitative, into the proccss 01' deslgntng research. Moreover, these are aspects ihat
qualtative. and mixed methods rescarch. . -- informa choice 01' approach, rangng Irorn the broad assumptons that
are brought toa projcct to thc more praccal decslons rnade about bow '
:in~llIy,the practiceof research (such <J$ writing a proposal) involves to collect and analyze dala. '
much more than philosophical assumptlons. Philosophcal ideas , ~ith thesc Ideas in mind. [ conccptualized Crotty's model to address
rnust be cornblned with hroad approaches to research (strategies) three questions central to the design 01' rcsearch:
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andimplcmenlcd with speclc proccdurcs (methods). Thus. a ,
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Iramcwork is ncedcd tbu! combines lhc clcmcnts of philosophical l. Wht knowlcdgc clams are belng rnade by the rse~rcher'
ideas. strategies, and methotlsilllOJlie l't'~eapproaches to research. (including a thcorctical perspcctivc)?
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>11 Crotty's (J 998) ideasest,;hlished thc groundwork for ths framework. 2,. What strategics 01' inquiry will inf'orm the proedures?
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3. Wllat methods 01' data collccton and analyss will be used?
:," questions: ~
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Ncxt, 1 drew a pcturc, as shown in Figure 1.1. Ths dsplays bow three
l. what eptstemology-e-thcory 01' knowledge embedded .in the
elements 01' lnquiry (Le .. knowledge claims. strateges. and methods)
theoretical perspcctive-e-inlorms lhc rcscarch (e.g .. objcctivism, ,
combine lo lorm dlfcrcnt approachcs lo research.Whcse approaches, in
subiectivism. etc.)?
turno are trunslated inlo proccsscs in thc dcsignof research.Prelrrilnary
2. Wbat. theorctical pcrspccuvc-vphilosophlcal stunce=-hes steps in designing <l rescarch proposal, thcn, are to assess the knowledge
behind the rncthodology in qucsuons (c.g .. pusitivism and . claims brought to thc study, lo consider the strategy of' lnqury that will .
postposltivm. intcrprellvisrn. cruical thcory, ctc.)? bf used, and to ldcny spcciflc rncthods. Using these three elements, a
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6 Research Design A Framework tor Design 7
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quanttattve research, posltvlst/postposvst research, empirica1 scence.
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observatons recorded by the researcher .
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8 Research Design A Frornework tor eslgn 9
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4.. Research seeks to develop relevant true statements, ones that -cultural, and historicai experences. The re~earcher"s ntent, then, s to
can serve to explain the stuatlon that is of concern or that make sense of (or nterpret) the rneanngs thers llave .about the world ..
describes the causal relattonshlps of interest. In quantitative Rather than starting with a theory (as in postpostivism). inquirers
.studtes. researchers advance the relationship arnong variables genera te or nductvely develop a theory or pattern of rneaning.
andopose this in terrns of questions or hypotheses. For example, in dscussing constructivism. Crotty (1998) dented .
sevenil assurnptions:
5. Being objectiveis an essental aspect of cornpetent inquiry, and
or this reason researchers rnustexamine methods and conclu-
sions or bias. For example, standards 01' validity and reliabllity' L Meanings are constructed by hurnan bengs as they engage
are rnportant in quanttatve research. wth the world they are interpreting. Qualitative researchers
tend tcuse open-ended questions so that particlpants can
Soclally Cotisttucted Knowledge Claims express their views.
thers claim knowledge through an alternative process and set 2. Humans engage with ther world arid make sense of tbased on
al' assumptlons. Social construcvism (often combined with nter- their historical and social perspectve-c-we are all born into a
prevlsm.'sec Mertens, 19YI-llis such H perspectve. The ideas carne Irorn world of rneaning bestowed upon us by our culture, Thus; qual-
Mannheim and from works such as Bcrger and Luckmann's The Social itative researchers seek lo understand the context 01' settlng of
Construction aJ RCiI!Jt!1 (19h 7) and !.incoln and Guba's NiltllmlisUc the particpants thrugh vsiting this context and gathering
1m/l/ir!! (J 9H5). More receru writers who have sumrnarized this position inormation pcrsonally. They. also make an interpretation of
are Llncoln and CUba (20()O), Schwandt (2000). Neuman (20DO), and what they Ilnd. un interpretution shaped by the researchers'
Crotty (1 'l'l Hl, arnong others, Assurnptions identiflcd in these works hold own experiences and backgrounds.
that imlividuals seek understunding 01' the world in which they lve and 3. The basic generatiori of meaning s always social. arising in and
work. 'l'heydevelop subicctive meanngs 01' their experienccs-e-meantngs outofIntcracon wth a human cornmunty The process of
directed toward certain obiects or thngs. These meanings are varied and qualitatlve research is largely inductve, wth the inquirer gen-
multlple.Icading the researchcr lo look Ior the complexity of views rather
than' narrowing meanings into a few categories or tdeas. 'l'he goal of
- -- . cruting meaning from thedata collected in the fleld.
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. rosearch. then. s to rely as much as possible 011 the participants' views 01'
Advococy/Pat1icipofory Knowledge Clalms
thc situutlon bcing studied. 'l'he quesrions becorne broad and general so
that the participunts can construct the mcanlng of situatlon. a rnean- . Another group of resear hers clairns knowledge throughan advo-
ing typically forged in'l!isclIssions o, inteructionswith other persons. The clcy/particpatory approach, This positon arase durin"gthe 1980s and
more open-ended the quesnning, (he better, as the researcher listcns 19908 frorn ndvdualswho felt that the postpostivist assumptions
curelully lo whal people suy or do illtr)dj~iTiei;clling. Oten thesc subjcct- imposedstructural iaws and theorlcs thatdid not lit marginalized ind-
ive mcanings are ncgotiatcd socially und hstoricallyln other words, thcy viduals or groups or dd not adequately address Issues of social )ustice.
are nol simply lmprinted on ilJdividu~llsblll are lorrncd through intcract- Historically, sorne ol'Thc advocacy/partcpatory (oremancpatory)
ion with'others(hencc sociul constructlvlsm) and through historlcal and writers have drawn on Uie works of Marx, Adorno, Marcuse, Habermas, .
cultural norrns that operan- in illd~iduals' ves. Thus, constructivist and Freire(Nellman, 20(0). More recently worksby Fay (1987). Heron
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i rcscurcher s oftcn addrcss thc "proccsses" of nteracton arnong individu- and Reason (1997), and Kcmmis and Wilkinson (199H) can be read Ior
j.
1; als, 'I'hcy also Iocus on the spccflc contcxts in which people live and work this pcrspcctve, In the main, these nquirers felt that theconstructvlst
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; in.order lo understand the lustorical andcultural settings of the partici- slancc did nol go Iar enough in udvocating Ior an ];tion agenda to help
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: pants.Researchers recognizc that their own background shapes their marglnalixed pecples. Thesc rescarchcrsbclieve that lnqulry needs tobe
tnterpretaon. and they "positon I hernselves" in the reseurch to ntertwincd with politics and a polltical agenda. Thus; the research
acknowledge how their trucrprctaton llows Irorn their own personal. should contain an actlon agenda Iorreforrn that may change thelives of
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10 Research Design A Framework for Deslgn 11
the particpunts, the mstitutions in which individuals work or live, and These are diverse groups and topies, and my surnmaries here are
the researcher's lfe. Moreover, specfic issues needed to be addressed nadequate generalizations. It is helpful to view the surnmary by
that spcak to important social ssues 01' lile day. issues such as empower- Kemmis and Wilkinson (1998) of key features of the advocacy or
mento nequality. oppresslon, dominaon. suppresslon, and allenaton. participatory forms of inquiry:
The advocacy rescarchcr otten begins with one of these ssues as the
ocal point 01' research. 'l'his research also assurnes that the inquirer will 1. Partclpatory action s recursive or dialectical and is focused on
procced collaboratively so <I~ lo no\. lurther marginalize the participants bringing change in practces. Thus, at the end of advo-
about
as u result 01' the inquiry In this scnse, the particlpants may help design cacy/particlpatory studies, researchers advance an action
questions, collect data. analyze inlormatlon, or receive rewards for par- agenda for change.
ticpating in the rescarch. The "voce" orthe participants becornes a
unlted voicc Ior reform and change. 'I'his advocacy may mean provdlng 2. It is Iocused on helping individuals free thcmselves from con-
<l VOlcC Ior thcsc partlcipunts. rasing their consciousness. or advancing straints Iound in the media. in language, in work procedures,
un agenda tor change to irnprove the Ivcs 01' thc participants. and in the relalionships 01' power in educational settings. Advo-
Within thesc knowledge clairns are sumces for groups and indvidu- cacy/participatory studies often bcgin with an lmportant issue
uls in soclety thut muy 11L' Illurgillllized or disenfranchiscd. Therelore, or stance about the problems in society. such as the necd for
empowerment.
theoreticul perspecves muy he ntegr ated with the. philosophical
assumplions that construct u pcturc of the issues being cxamined, the 3. It s emancipatory in that it helps unshackle people lrom the
pcople to be studicd. ,lml t he changos thut are needed. Some of these constraints of irrational and uniust structures that limit self-
theoreucal perspectivcs me lisled helow, development and sclf-determination. The aun 01"advocacy/par-
ticipatory studics s to crea te a political debate and discussion so
.'t'IIJillisL{Jcrsl}(~Cjvcs(I1111make prohlernatic
rcnter women's diverse that change will occur,
situutions und thc mst ituons thnt trame those situaons. Research
topcs may nclude policy issucs rcl.ucd to realizing social jusuce for 4. lt s practica! and collaborativc bccause it is inquiry completed
. womcn in spccic l'llnl.cxb or knowlcdge about opprcssivc situa- "wth" others rather than "on" or "to" others. In thisspirit,
ons lor worncn (Olcxcn, 20(0).
advocacy/partlcipatory authors cngagc the particlpants as
active collaborutors in their inquiries. .
/{Ildalizctl lli,w:OIlJ'SCS raixc nnport.uu qucstions about the control and
pruductinn 01' knowlcdgc. parculurly knowledge about people and
Ptoqmatic Knowledge Claims
communitics ol' color IL\son-llillillgs. 20()O).
All~~~her poslton about clams cm knowlcdge comes from [he prag~
CriUml Ull'orll pcrspcclivcs are conccrned with empowerlng human masts. Pragmatism derives fro/TI (he work of Pcrce. Jan.~s, Mead, and
hcings lo trunsccndt he const ruints placed on them by race, class, Dcwey (Cherryholrncs, 1992)JRccent writers include R6i'ty (1990).
and gcndcr (Fay, 1 ':.IX 7l. Murphy (l9')(l), Patton (1990). and Cherryholmes (1992). There are
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Is rcllcxivc ()I'social itlslin~ und polcul airns.
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A Framework for Desgn 15
14 Research Design
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16 Research Design A Frornework for Deslgn 17
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THREE APPROACHES TO RESEARCH r~~ .
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The knowledge clalms, thc strategies, and the method all contribute
to a research approach that I('I/(/S to be more quanttatve, qualitative, or
mxed. Table 1.4 creates distinctions that rnay be useful in choosing
an approach for a proposal, This table also inc1udes practces of al!
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01' both. H also uses sirutculcs o inquiry such as rrarrativcs. phc-
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ResearchApproach Knowledge Strategy of Methods . culture-sharng group and studyng how tdeveloped shared patterns of
Claims Inquirv behvior over time (i.e. ethnographyj.Dne of thekey elements of col-
Ouantitative Postpositivist Experimental design Measuring lecting data s to observe partcipants' behavlors by partlclpatlng 'in
assumptions attitudes, rating their actlvitles. . .
behavors .
Qualitative Constructvst Ethnographic design Field observations Qualitative approach: particlpatory knowledge clams, narrative
assumptions desgn, and open-ended ntervewng .
Qalitative Emancipatory Narrative design Open-ended :.
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assumptions interviewing Por this study, th~ inquirer seeks to. examine an issue related to
Mixed methods Pragmatic Mixed methods Closed-ended oppresson of- individuals. To study thts, the approach s taken of col-
assumptions design measures.
open-ended
.lectng stories of
ndlvdual oppression using a narratve approach. Ind-.
observations .
I vduals are interviewed at sorne length to deter'minehow they 'have
. personally experienced oppression. .
Figure 1.2 Four Alternative Combinotions 01 Knowledge Claims, Mixed methods approach: pragmatic know!edge claims, collecton of
Strategies of Inquiry, and Methocs
both quantitative and qualltatlvedata scqucntially
()uC/lltiLatil'eapproach:
tul stratcgy of inquiry,
poSI posit ivi:;,tknowlcdge
ami
clums. experimen-
pn'- .nul posttcst mcasures of atttudcs Giy.en these thrce approaches.rwhat Iactors affect a choice 01' one
approach over another Ior he design <ir a proposal? Three considera-
In ths sccnario. the rcscur .IICr tests a thcory by speclyng narrow tions play into this declson: the research problem. th'ipersonal experi-
hypothescs and the collecton ,,1' (j'IHI fN4.V.jJport or refute the hypo- cnccs of the researcher, 'and thc audenccts) for whom the report will
thescs, An experimental desigll is uscd in which ttitudcs are asscsscd be wrltten.
both beforc and nltcruri cxpcrimcnlul trcutmcnt.Thc data are collcctcd
.
. on an instrumcnt thut mcasurcs ill.lii.\ldl's. and t.hc information collectcd .
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s analyzed using stastical prol'"durs and hypothesis testng, Match BetWeen Problem and Approoch
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22 Reseorch Design A Framework for Design 23
intervention, or understanding the best predictors of outcomes, then a means that researchers may be more comfortable with the highly
quantitative approach is best, It s also the best approach to use to test a systematic procedures of quantitative research, Also, for some ndvidu-
theory or explanation. On the other hand, if a concept or phenomenon als, il can be uncomfortable to challenge acceptedapproaehes among
needs to be understood bccause lit.t.le rescarch has been done on it, then some Iaculty by using qualitative and advocacy/partcipatory
it merits a qualtattve approach. Quulttarive research s exploratory and approaches to inquiry. On the other hand, qualtatve approaches allow
-: is useful when the researcher does not know the important variables to room to be innovative and to work more within researcher-designed
, examine. This type of approach rnay be nceded beeause the topie is new, frarncworks. allow more creatve, 'literary-style
They writing, l Iorrn
the tapie has never been addresscd wlth a certain samplc or group of that Individuals may like to use. Por advocacy/parcpatory wrlters.
, people. or existing
theories do noi apply with thepartcular sample or there is undoubtedly a strong personal stirnulus to pursue topies that.
group under study (Morse. I 99 J l are 01' personal Intercst-c-ssues that relate to margtnalzed people and
A mixedmethods design is uselul to capture the best of both quant- an interest in creating a better socety Ior thern und cveryone.
tatve and qualtative approaches. flor example. a researcher may wunt For the mixed mcthods researcher, l project wiIl take extra time
to both generalize the findlngs to a populatlon and dcvclop a detalcd because 01' the need tu colleci ami analyze both quantitavc and qualt-
view of the meantng of a phcnomenon or concept for ndvlduals. In tatvc data, It ts a person who enjoys both the strueture of quanttatve
this rcsearch, the inquirer first explores generally to Icarn about whut research ami the lcxibility 01' qualitativc inquiry.
varables to study ami then studies those variables with H large sample
of ndivlduals, Altcrnavelv, rescarchcrs may Ilrst survey l Iarge
numbcr of tndvduuls. thcn Iollow up with a few 01' thcm to obtaln Audience
their spccilc language ami voices ubout the topic, In these stuaons.
Pinally, rescarchcrs are sensitive to audicnces 1.0 whom thcyreport
the advantages 01' collccung hoth closcd-endcd quanttave data and
ther rcsearch. Thcse audiences may be journal editors, journul rcadcrs,
opcn-cnded qualltutve dat.a pruvc advautageous to best undcrstand a
gruduute comrntuees. conference attendccs, or colleagucs in thc Ileld.
rcsearch problcrn.
Students should considcr thc approuchcs typcally supported ami used
hythcir advisers. 'I'he expcrlcnces of these audicnccs with quuntauvc,
qualuuvc. or mxed methods .studies wiIl shape the dccson rnade
Personal Experiences
uhout this choice.
Into this rnix of choice also COIlW~ thc rescarcher's own personal
training und expcricnccs. /\1\ individuul trancd in technlcal. scicntfic
writing. statistics. and computcr stustcal programa who is also famil-
iar with quantitatlve [ournals in Lile lbrary wouldmost likely choosc
thc qu.uuitutivc designo 'I'lu: qll,Jilliv,' .ipprouch incorporaes 1J111ch
more 01' a litcrary !<1rI11 nI' W'-UIIg, r.omputcr text analysts programs.
arul expcricncc in condurungopcn-cudcd intcrvicws und observations. One prulimlnary considcrationbeforc designing a proposal ls lo idcntily
'l'he rnixcd mcthods rescarchcr I1CCUS lile t,iiNir wilh both quantita- a Iramcwork lor the study 'I'hrec upproaches lo rcsearch are discusscd in
tive und quulitavc rescarch. 'l'his per~'!11 ]SIl nceds an uudcrstandlng this chuptcr: quantitatvc, qualltutivc, und mixed methods rcscarch.
of the rationalcs lor comhillil\!. bot h r"l'1l1S 01' data so that they can be They contain philosophcal assurnptuns about knowledge clarns.
artculated in proposal. '1'11<' mixcd methods approach also requircs strategles 01' inquiry. and specflc rescarch methods. WhelJ philosophy,
knowledge about the dillcrcnt mxcd mclhods designs that help orga- strateges. and rnethods are combincd. thcy provide drferent Irame-
n ize procedures for l Hldy. works lor conducng research, The choice of which approach lo use is
Because quautuve sllldies are I"l~ trnditional modc 01' rese'lrch. bascd 011 thc research problcm, personal expcricnces. and the audlenccs
carefully worked out. proccdures ;111<1 rules cxist. lor the rcsearch. 'I'hs lor whom one seeks lo wrile. .".
Research Design A Frornework for ,[)Esign 25
goes on to discuss nne dfferent theoretlcal orientatons in social
research, such as postmodernism, feminism, critical inquiry, inter-
2, 'l'ake a topie thut you would like to study, and. using the Stephen Kemmis and Mervyn Wilkinson provide an excellent
our cornbinuuons 01' knowlcdge clarns. stratcgics 01' overview of partcpatory rescarch. In particular. they note the six
inquiry, and mchodx in Figure 1,2, dscuss how the topic rnajorfeatures of ths inqulryapproach and then discuss how action
might be studied llsing each 01' the cornblnations. rcsearch is practiced al the individual, the social, or both levels.
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