25
Matthew DeCarlo
Chapter Outline
- Ethical responsibility and cultural respect (6 minute read)
- Critical considerations (6 minute read)
- Preparations: Creating a plan for qualitative data analysis (11 minute read)
- Thematic analysis (15 minute read)
- Content analysis (13 minute read)
- Grounded theory analysis (7 minute read)
- Photovoice (5 minute read)
Content warning: Examples in this chapter contain references to LGBTQ+ ageing, damaged-centered research, long-term older adult care, family violence and violence against women, vocational training, financial hardship, educational practices towards rights and justice, Schizophrenia, mental health stigma, and water rights and water access.
Just a brief disclaimer, this chapter is not intended to be a comprehensive discussion on qualitative data analysis. It does offer an overview of some of the diverse approaches that can be used for qualitative data analysis, but as you will read, even within each one of these there are variations in how they might be implemented in a given project. If you are passionate (or at least curious 😊) about conducting qualitative research, use this as a starting point to help you dive deeper into some of these strategies. Please note that there are approaches to analysis that are not addressed in this chapter, but still may be very valuable qualitative research tools. Examples include heuristic analysis,[1] narrative analysis,[2] discourse analysis,[3] and visual analysis,[4] among a host of others. These aren’t mentioned to confuse or overwhelm you, but instead to suggest that qualitative research is a broad field with many options. Before we begin reviewing some of these strategies, here a few considerations regarding ethics, cultural responsibility, power and control that should influence your thinking and planning as you map out your data analysis plan.
19.1 Ethical responsibility and cultural respectfulness
Learning Objectives
Learners will be able to…
- Identify how researchers can conduct ethically responsible qualitative data analysis.
- Explain the role of culture and cultural context in qualitative data analysis (for both researcher and participant)
The ethics of deconstructing stories
Throughout this chapter, I will consistently suggest that you will be deconstructing data. That is to say, you will be taking the information that participants share with you through their words, performances, videos, documents, photos, and artwork, then breaking it up into smaller points of data, which you will then reassemble into your findings. We have an ethical responsibility to treat what is shared with a sense of respect during this process of deconstruction and reconstruction. This means that we make conscientious efforts not to twist, change, or subvert the meaning of data as we break them down or string them back together.
The act of bringing together people’s stories through qualitative research is not an easy one and shouldn’t be taken lightly. Through the informed consent process, participants should learn about the ways in which their information will be used in your research, including giving them a general idea what will happen in your analysis and what format the end results of that process will likely be.
A deep understanding of cultural context as we make sense of meaning
Similar to the ethical considerations we need to keep in mind as we deconstruct stories, we also need to work diligently to understand the cultural context in which these stories are shared. This requires that we approach the task of analysis with a sense of cultural humility, meaning that we don’t assume that our perspective or worldview as the researcher is the same as our participants. Their life experiences may be quite different from our own, and because of this, the meaning in their stories may be very different than what we might initially expect.
As such, we need to ask questions to better understand words, phrases, ideas, gestures, etc. that seem to have particular significance to participants. We also can use activities like member checking, another tool to support qualitative rigor, to ensure that our findings are accurately interpreted by vetting them with participants prior to the study conclusion. We can spend a good amount of time getting to know the groups and communities that we work with, paying attention to their values, priorities, practices, norms, strengths, and challenges. Finally, we can actively work to challenge more traditional methods research and support more participatory models that advance community co-researchers or consistent oversight of research by community advisory groups to inform, challenge, and advance this process; thus elevating the wisdom of community members and their influence (and power) in the research process.
Accounting for our influence in the analysis process
Along with our ethical responsibility to our research participants, we also have an accountability to research consumers, the scientific community at large, and other stakeholders in our qualitative research. As qualitative researchers (or quantitative researchers, for that matter), people should expect that we have attempted, to the best of our abilities, to account for our role in the research process. This is especially true in analysis. Our finding should not emerge from some ‘black box’, where raw data goes in and findings pop out the other side, with no indication of how we arrive at them. Thus, an important part of rigor is transparency and the use of tools such as writing in reflexive journals, memoing, and creating an audit trail to assist us in documenting both our thought process and activities in reaching our findings. There will be more about this in Chapter 20 dedicated to qualitative rigor.
Key Takeaways
- Ethics, as it relates specifically to the analysis phase of qualitative research, requires that we are especially thoughtful in how we treat the data that participants share with us. This data often represents very intimate parts of people’s lives and/or how they view the world. Therefore, we need to actively conduct our analysis in a way that does not misrepresent, compromise the privacy of, and/or disenfranchise or oppress our participants and the groups they belong to.
- Part of demonstrating this ethical commitment to analysis involves capturing and documenting our influence as researchers to the qualitative research process.
Exercises
After you have had a chance to read through this chapter, come back to this exercise. Think about your qualitative proposal. Based on the strategies that you might consider for analysis of your qualitative data:
- What ethical concerns do you have specific to this approach to analyzing your data?
- What steps might you take to anticipate and address these concerns?
19.2 Critical considerations
Learning Objectives
Learners will be able to…
- Explain how data analysis may be used as tool for power and control
- Develop steps that reflect increased opportunities for empowerment of your study population, especially during the data analysis phase
How are participants present in the analysis process; What power or influence do they have
Remember, research is political. We need to consider that our findings represent ideas that are shared with us by living and breathing human beings and often the groups and communities that they represent. They have been gracious enough to share their time and their stories with us, yet they often have a limited role once we gather data from them. They are essentially putting their trust in us that we won’t be misrepresenting or culturally appropriating their stories in ways that will be harmful, damaging, or demeaning. Elliot (2016)[5] discusses the problems of "damaged-centered" research, which is research that portrays groups of people or communities as flawed, surrounded by problems, or incapable of producing change. Her work specifically references the way research and media have often portrayed people from the Appalachian region, and how these influences have perpetuated, reinforced, and even created stereotypes that these communities face. We need to thoughtfully consider how the research we are involved in will reflect on our participants and their communities.
Now, some research approaches, particularly participatory approaches, suggest that participants should be trained and actively engaged throughout the research process, helping to shape how our findings are presented and how the target population is portrayed. Implementing a participatory approach requires academic researchers to give up some of their power and control to community co-researchers. Ideally these co-researchers provide their input and are active members in determining what the findings are and interpreting why/how they are important. I believe this is a standard we need to strive for. However, this is the exception, not the rule. As such, if you are participating in a more traditional research role where community participants are not actively engaged, whenever possible, it is good practice to find ways to allow participants or other representatives to help lend their validation to our findings. While to a smaller extent, these opportunities suggest ways that community members can be empowered during the research process (and researchers can turn over some of our control). You may do this through activities like consulting with community representatives early and often during the analysis process and using member checking (referenced above and in our chapter on qualitative rigor) to help review and refine results. These are distinct and important roles for the community and do not mean that community members become researchers; but that they lend their perspectives in helping the researcher to interpret their findings.
The bringing together of voices: What does this represent and to whom
As social work researchers, we need to be mindful that research is a tool for advancing social justice. However, that doesn’t mean that all research fulfills that capacity or that all parties perceive it in this way. Qualitative research generally involves a relatively small number of participants (or even a single person) sharing their stories. As researchers, we then bring together this data in the analysis phase in an attempt to tell a broader story about the issue we are studying. Our findings often reflect commonalities and patterns, but also should highlight contradictions, tensions, and dissension about the topic.
Exercises
Reflexive Journal Entry Prompt
Pause for a minute. Think about what the findings for your research proposal might represent.
- What do they represent to you as a researcher?
- What do they represent to participants directly involved in your study?
- What do they represent to the families of these participants?
- What do they represent to the groups and communities that represent or are connected to your population?
For each of the perspectives outlined in the reflexive journal entry prompt above, there is no single answer. As a student researcher, your study might represent a grade, an opportunity to learn more about a topic you are interested in, and a chance to hone your skills as a researcher. For participants, the findings might represent a chance to share their input or frustration that they are being misrepresented. Community members might view the research findings with skepticism that research produces any kind of change or anger that findings bring unwanted attention to the community. Obviously we can’t foretell all the answers to these questions, but thinking about them can help us to thoughtfully and carefully consider how we go about collecting, analyzing and presenting our data. We certainly need to be honest and transparent in our data analysis, but additionally, we need to consider how our analysis impacts others. It is especially important that we anticipate this and integrate it early into our efforts to educate our participants on what the research will involve, including potential risks.
It is important to note here that there are a number of perspectives that are rising to challenge traditional research methods. These challenges are often grounded in issues of power and control that we have been discussing, recognizing that research has and continues to be used as a tool for oppression and division. These perspectives include but are not limited to: Afrocentric methodologies, Decolonizing methodologies, Feminist methodologies, and Queer methodologies. While it’s a poor substitute for not diving deeper into these valuable contributions, I do want to offer a few resources if you are interested in learning more about these perspectives and how they can help to more inclusively define the research process.
Key Takeaways
- Research findings can represent many different things to many different stakeholders. Rather than as an afterthought, as qualitative researchers, we need to thoughtfully consider a range of these perspectives prior to and throughout the analysis to reduce the risk of oppression and misrepresentation through our research.
- There are a variety of strategies and whole alternative research paradigms that can aid qualitative researchers in conducting research in more empowering ways when compared to traditional research methods where the researcher largely maintain control and ownership of the research process and agenda.
Resources
This type of research means that African indigenous culture must be understood and kept at the forefront of any research and recommendations affecting indigenous communities and their culture.
Afrocentric methodologies: These methods represent research that is designed, conducted, and disseminated in ways that center and affirm African cultures, knowledge, beliefs, and values.
- Pellerin, M. (2012). Benefits of Afrocentricity in exploring social phenomena: Understanding Afrocentricity as a social science methodology.
- University of Illinois Library. (n.d.). The Afrocentric Research Center.
Decolonizing methodologies: These methods represent research that is designed, conducted, and disseminated in ways to reclaim control over indigenous ways of knowing and being.[6]
- Paris, D., & Winn, M. T. (Eds.). (2013). Humanizing research: Decolonizing qualitative inquiry with youth and communities. Sage Publications.
- Smith, L. T. (2012). Decolonizing methodologies: Research and indigenous peoples (2nd ed.). Zed Books Ltd.
Feminist methodologies: Research methods in this tradition seek to, “remove the power imbalance between research and subject; (are) politically motivated in that (they) seeks to change social inequality; and (they) begin with the standpoints and experiences of women”.[7]
- Gill, J. (n.d.) Feminist research methodologies. Feminist Perspectives on Media and Technology.
- U.C.Davis., Feminist Research Institute. (n.d.). What is feminist research?
Queer(ing) methodologies: Research methods using this approach aim to question, challenge and often reject knowledge that is commonly accepted and privileged in society and elevate and empower knowledge and perspectives that are often perceived as non-normative.
- de Jong, D. H. (2014). A new paradigm in social work research: It’s here, it’s queer, get used to it!.
- Ghaziani, A., & Brim, M. (Eds.). (2019). Imagining queer methods. NYU Press.
19.3 Preparations: Creating a plan for qualitative data analysis
Learning Objectives
Learners will be able to…
- Identify how your research question, research aim, sample selection, and type of data may influence your choice of analytic methods
- Outline the steps you will take in preparation for conducting qualitative data analysis in your proposal
Now we can turn our attention to planning your analysis. The analysis should be anchored in the purpose of your study. Qualitative research can serve a range of purposes. Below is a brief list of general purposes we might consider when using a qualitative approach.
- Are you trying to understand how a particular group is affected by an issue?
- Are you trying to uncover how people arrive at a decision in a given situation?
- Are you trying to examine different points of view on the impact of a recent event?
- Are you trying to summarize how people understand or make sense of a condition?
- Are you trying to describe the needs of your target population?
If you don’t see the general aim of your research question reflected in one of these areas, don’t fret! This is only a small sampling of what you might be trying to accomplish with your qualitative study. Whatever your aim, you need to have a plan for what you will do once you have collected your data.
Exercises
Decision Point: What are you trying to accomplish with your data?
- Consider your research question. What do you need to do with the qualitative data you are gathering to help answer that question?
To help answer this question, consider:
-
- What action verb(s) can be associated with your project and the qualitative data you are collecting? Does your research aim to summarize, compare, describe, examine, outline, identify, review, compose, develop, illustrate, etc.?
- Then, consider noun(s) you need to pair with your verb(s)—perceptions, experiences, thoughts, reactions, descriptions, understanding, processes, feelings, actions responses, etc.
Iterative or linear
We touched on this briefly in Chapter 17 about qualitative sampling, but this is an important distinction to consider. Some qualitative research is linear, meaning it follows more of a traditionally quantitative process: create a plan, gather data, and analyze data; each step is completed before we proceed to the next. You can think of this like how information is presented in this book. We discuss each topic, one after another.
However, many times qualitative research is iterative, or evolving in cycles. An iterative approach means that once we begin collecting data, we also begin analyzing data as it is coming in. This early and ongoing analysis of our (incomplete) data then impacts our continued planning, data gathering and future analysis. Again, coming back to this book, while it may be written linear, we hope that you engage with it iteratively as you are building your proposal. By this we mean that you will revisit previous sections so you can understand how they fit together and you are in continuous process of building and revising how you think about the concepts you are learning about.
As you may have guessed, there are benefits and challenges to both linear and iterative approaches. A linear approach is much more straightforward, each step being fairly defined. However, linear research being more defined and rigid also presents certain challenges. A linear approach assumes that we know what we need to ask or look for at the very beginning of data collection, which often is not the case.
With iterative research, we have more flexibility to adapt our approach as we learn new things. We still need to keep our approach systematic and organized, however, so that our work doesn’t become a free-for-all. As we adapt, we do not want to stray too far from the original premise of our study. It’s also important to remember with an iterative approach that we may risk ethical concerns if our work extends beyond the original boundaries of our informed consent and IRB agreement. If you feel that you do need to modify your original research plan in a significant way as you learn more about the topic, you can submit an addendum to modify your original application that was submitted. Make sure to keep detailed notes of the decisions that you are making and what is informing these choices. This helps to support transparency and your credibility throughout the research process.
Exercises
Decision Point: Will your analysis reflect more of a linear or an iterative approach?
- What justifies or supports this decision?
Think about:
- Fit with your research question
- Available time and resources
- Your knowledge and understanding of the research process
Exercises
Reflexive Journal Entry Prompt
- Are you more of a linear thinker or an iterative thinker?
- What evidence are you basing this on?
- How might this help or hinder your qualitative research process?
- How might this help or hinder you in a practice setting as you work with clients?
Acquainting yourself with your data
As you begin your analysis, you need to get to know your data. This usually means reading through your data prior to any attempt at breaking it apart and labeling it. You might read through a couple of times, in fact. This helps give you a more comprehensive feel for each piece of data and the data as a whole, again, before you start to break it down into smaller units or deconstruct it. This is especially important if others assisted us in the data collection process. We often gather data as part of team and everyone involved in the analysis needs to be very familiar with all of the data.
Capturing your reaction to the data
During the review process, our understanding of the data often evolves as we observe patterns and trends. It is a good practice to document your reaction and evolving understanding. Your reaction can include noting phrases or ideas that surprise you, similarities or distinct differences in responses, additional questions that the data brings to mind, among other things. We often record these reactions directly in the text or artifact if we have the ability to do so, such as making a comment in a word document associated with a highlighted phrase. If this isn’t possible, you will want to have a way to track what specific spot(s) in your data your reactions are referring to. In qualitative research we refer to this process as memoing. Memoing is a strategy that helps us to link our findings to our raw data, demonstrating transparency. If you are using a Computre-Assisted Qualitative Data Analysis Software (CAQDAS) software package, memoing functions are generally built into the technology.
Capturing your emerging understanding of the data
During your reviewing and memoing you will start to develop and evolve your understanding of what the data means. This understanding should be dynamic and flexible, but you want to have a way to capture this understanding as it evolves. You may include this as part of your memoing or as part of your codebook where you are tracking the main ideas that are emerging and what they mean. Figure 19.3 is an example of how your thinking might change about a code and how you can go about capturing it. Coding is a part of the qualitative data analysis process where we begin to interpret and assign meaning to the data. It represents one of the first steps as we begin to filter the data through our own subjective lens as the researcher. We will discuss coding in much more detail in the sections below covering various different approaches to analysis.
Date | Code Lable | Explanations |
6/18/18 | Experience of wellness | This code captures the different ways people describe wellness in their lives |
6/22/18 | Understanding of wellness | Changed the label of this code slightly to reflect that many participants emphasize the cognitive aspect of how they understand wellness—how they think about it in their lives, not only the act of ‘experiencing it’. This understanding seems like a precursor to experiencing. An evolving sense of how you think about wellness in your life. |
6/25/18 | Wellness experienced by developing personal awareness | A broader understanding of this category is developing. It involves building a personalized understanding of what makes up wellness in each person’s life and the role that they play in maintaining it. Participants have emphasized that this is a dynamic, personal and onging process of uncovering their own intimate understanding of wellness. They describe having to experiment, explore, and reflect to develop this awareness. |
Exercises
Decision Point: How to capture your thoughts?
- How will you capture your thinking about the data and your emerging understanding about what it means?
- What will this look like?
- How often will you do it?
- How will you keep it organized and consistent over time?
In addition, you will want to be actively using your reflexive journal during this time. Document your thoughts and feelings throughout the research process. This will promote transparency and help account for your role in the analysis.
For entries during your analysis, respond to questions such as these in your journal:
- What surprises you about what participants are sharing?
- How has this information challenged you to look at this topic differently?
- As you reflect on these findings, what personal biases or preconceived notions have been exposed for you?
- Where might these have come from?
- How might these be influencing your study?
- How will you proceed differently based on what you are learning?
By including community members as active co-researchers, they can be invaluable in reviewing, reacting to and leading the interpretation of data during your analysis. While it can certainly be challenging to converge on an agreed-upon version of the results; their insider knowledge and lived experience can provide very important insights into the data analysis process.
Determining when you are finished
When conducting quantitative research, it is perhaps easier to decide when we are finished with our analysis. We determine the tests we need to run, we perform them, we interpret them, and for the most part, we call it a day. It’s a bit more nebulous for qualitative research. There is no hard and fast rule for when we have completed our qualitative analysis. Rather, our decision to end the analysis should be guided by reflection and consideration of a number of important questions. These questions are presented below to help ensure that your analysis results in a finished product that is comprehensive, systematic, and coherent.
Have I answered my research question?
Your analysis should be clearly connected to and in service of answering your research question. Your examination of the data should help you arrive at findings that sufficiently address the question that you set out to answer. You might find that it is surprisingly easy to get distracted while reviewing all your data. Make sure as you conducted the analysis you keep coming back to your research question.
Have I utilized all my data?
Unless you have intentionally made the decision that certain portions of your data are not relevant for your study, make sure that you don’t have sources or segments of data that aren’t incorporated into your analysis. Just because some data doesn’t “fit” the general trends you are uncovering, find a way to acknowledge this in your findings as well so that these voices don’t get lost in your data.
Have I fulfilled my obligation to my participants?
As a qualitative researcher, you are a craftsperson. You are taking raw materials (e.g. people’s words, observations, photos) and bringing them together to form a new creation, your findings. These findings need to both honor the original integrity of the data that is shared with you, but also help tell a broader story that answers your research question(s).
Have I fulfilled my obligation to my audience?
Not only do your findings need to help answer your research question, but they need to do so in a way that is consumable for your audience. From an analysis standpoint, this means that we need to make sufficient efforts to condense our data. For example, if you are conducting a thematic analysis, you don’t want to wind up with 20 themes. Having this many themes suggests that you aren’t finished looking at how these ideas relate to each other and might be combined into broader themes. Having these sufficiently reduced to a handful of themes will help tell a more complete story, one that is also much more approachable and meaningful for your reader.
In the following subsections, there is information regarding a variety of different approaches to qualitative analysis. In designing your qualitative study, you would identify an analytical approach as you plan out your project. The one you select would depend on the type of data you have and what you want to accomplish with it.
Key Takeaways
- Qualitative research analysis requires preparation and careful planning. You will need to take time to familiarize yourself with the data in general sense before you begin analyzing.
- Once you begin your analysis, make sure that you have strategies for capture and recording both your reaction to the data and your corresponding developing understanding of what the collective meaning of the data is (your results). Qualitative research is not only invested in the end results but also the process at which you arrive at them.
Exercises
Decision Point: When will you stop?
- How will you know when you are finished? What will determine your endpoint?
- How will you monitor your work so you know when it’s over?
19.4 Thematic analysis
Learning Objectives
Learners will be able to…
- Explain defining features of thematic analysis as a strategy for qualitative data analysis and identify when it is most effectively used
- Formulate an initial thematic analysis plan (if appropriate for your research proposal)
What are you trying to accomplish with thematic analysis?
As its name suggests, with thematic analysis we are attempting to identify themes or common ideas across our data. Themes can help us to:
- Determine shared meaning or significance of an event
- Povide a more complete understanding of concept or idea by exposing different dimensions of the topic
- Explore a range of values, beliefs or perceptions on a given topic
Themes help us to identify common ways that people are making sense of their world. Let’s say that you are studying empowerment of older adults in assisted living facilities by interviewing residents in a number of these facilities. As you review your transcripts, you note that a number of participants are talking about the importance of maintaining connection to previous aspects of their life (e.g. their mosque, their Veterans of Foreign Wars (VFW) Post, their Queer book club) and having input into how the facility is run (e.g. representative on the board, community town hall meetings). You might note that these are two emerging themes in your data. After you have deconstructed your data, you will likely end up with a handful (likely three or four) central ideas or take-aways that become the themes or major findings of your research.
Variations in approaches to thematic analysis
There are a variety of ways to approach qualitative data analysis, but even within the broad approach of thematic analysis, there is variation. Some thematic analysis takes on an inductive analysis approach. In this case, we would first deconstruct our data into small segments representing distinct ideas (this is explained further in the section below on coding data). We then go on to see which of these pieces seem to group together around common ideas.
In direct contrast, you might take a deductive analysis approach (like we discussed in Chapter 8), in which you start with some idea about what grouping might look like and we see how well our data fits into those pre-identified groupings. These initial deductive groupings (we call these a priori categories) often come from an existing theory related to the topic we are studying. You may also elect to use a combination of deductive and inductive strategies, especially if you find that much of your data is not fitting into deductive categories and you decide to let new categories inductively emerge.
A couple things to note here. If you are using a deductive approach, be clear in specifying where your a priori categories came from. For instance, perhaps you are interested in studying the conceptualization of social work in other cultures. You begin your analysis with prior research conducted by Tracie Mafile’o (2004) that identified the concepts of fekau’aki (connecting) and fakatokilalo (humility) as being central to Tongan social work practice.[8] You decide to use these two concepts as part of your initial deductive framework, because you are interested in studying a population that shares much in common with the Tongan people. When using an inductive approach, you need to plan to use memoing and reflexive journaling to document where the new categories or themes are coming from.
Coding data
Coding is the process of breaking down your data into smaller meaningful units. Just like any story is made up by the bringing together of many smaller ideas, you need to uncover and label these smaller ideas within each piece of your data. After you have reviewed each piece of data you will go back and assign labels to words, phrases, or pieces of data that represent separate ideas that can stand on their own. Identifying and labeling codes can be tricky. When attempting to locate units of data to code, look for pieces of data that seem to represent an idea in-and-of-itself; a unique thought that stands alone. For additional information about coding, check out this brief video from Duke’s Social Science Research Institute on this topic. It offers a nice concise overview of coding and also ties into our previous discussion of memoing to help encourage rigor in your analysis process.
As suggested in the video[9], when you identify segments of data and are considering what to label them ask yourself:
- How does this relate to/help to answer my research question?
- How does this connect with what we know from the existing literature?
- How does this fit (or contrast) with the rest of my data?
You might do the work of coding in the margins if you are working with hard copies, or you might do this through the use of comments or through copying and pasting if you are working with digital materials (like pasting them into an excel sheet, as in the example below). If you are using a CAQDAS, there will be a function(s) built into the software to accomplish this.
Regardless of which strategy you use, the central task of thematic analysis is to have a way to label discrete segments of your data with a short phrase that reflects what it stands for. As you come across segments that seem to mean the same thing, you will want to use the same code. Make sure to select the words to represent your codes wisely, so that they are clear and memorable. When you are finished, you will likely have hundreds (if not thousands!) of different codes – again, a story is made up of many different ideas and you are bringing together many different stories! A cautionary note, if you are physically manipulating your data in some way, for example copying and pasting, which I frequently do, you need to have a way to trace each code or little segment back to its original home (the artifact that it came from).
When I’m working with interview data, I will assign each interview transcript a code and use continuous line numbering. That way I can label each segment of data or code with a corresponding transcript code and line number so I can find where it came from in case I need to refer back to the original.
The following is an excerpt from a portion of an autobiographical memoir (Wolf, 2010)[10]. Continuous numbers have been added to the transcript to identify line numbers (Figure 19.4). A few preliminary codes have been identified from this data and entered into a data matrix (below) with information to trace back to the raw data (transcript) (Figure 19.5).
1 | I have a vivid picture in my mind of my mother, sitting at a kitchen table, |
2 | listening to the announcement of FDR’s Declaration of War in his famous “date |
3 | which will live in infamy” speech delivered to Congress on December 8, 1941: |
4 | “The United States was suddenly and deliberately attacked by naval and air forces |
5 | of the Empire of Japan.” I still can hear his voice. |
6 | |
7 | I couldn’t understand “war,” of course, but I knew that something terrible had |
8 | happened; and I wanted it to stop so my mother wouldn’t be unhappy. I later |
9 | asked my older brother what war was and when it would be over. He said, “Not |
10 | soon, so we better get ready for it, and, remember, kid, I’m a Captain and you’re a |
11 | private.” |
12 | |
13 | So the war became a family matter in some sense: my mother’s sorrow (thinking, |
14 | doubtless, about the fate and future of her sons) and my brother’s assertion of |
15 | male authority and superiority always thereafter would come to mind in times of |
16 | international conflict—just as Pearl Harbor, though it was far from the mainland, |
17 | always would be there for America as an icon of victimization, never more so than |
18 | in the semi-paranoid aftermath of “9/11” with its disastrous consequences in |
19 | Iraq. History always has a personal dimension. |
Data Segment | Transcript (Source) | Transcript Line | Initial Code |
I have a vivid picture in my mind of my mother, sitting at a kitchen table, listening to the announcement of FDR’s Declaration of War in his famous “date which will live in infamy” speech delivered to Congress on December 8, 1941: “The United States was suddenly and deliberately attacked by naval and air forces of the Empire of Japan.” I still can hear his voice. | Wolf Memoir | 1-5 | Memories |
I couldn’t understand “war,” of course, but I knew that something terrible had happened; and I wanted it to stop so my mother wouldn’t be unhappy. | Wolf Memoir | 7-8 | Meaning of War |
I later asked my older brother what war was and when it would be over. He said, “Not soon, so we better get ready for it, and, remember, kid, I’m a Captain and you’re a private.” | Wolf Memoir | 8-11 | Meaning of War; Memories |
Exercises
Below is another excerpt from the same memoir[11]
What segments of this interview can you pull out and what initial code would you place on them?
Create a data matrix as you reflect on this.
It was painful to think, even at an early age, that a part of the world I was beginning to love—Europe—was being substantially destroyed by the war; that cities with their treasures, to say nothing of innocent people, were being bombed and consumed in flames. I was a patriotic young American and wanted “us” to win the war, but I also wanted Europe to be saved.
Some displaced people began to arrive in our apartment house, and even as I knew that they had suffered in Europe, their names and language pointed back to a civilized Europe that I wanted to experience. One person, who had studied at Heidelberg, told me stories about student life in the early part of the 20th century that inspired me to want to become an accomplished student, if not a “student prince.” He even had a dueling scar. A baby-sitter showed me a photo of herself in a feathered hat, standing on a train platform in Bratislava. I knew that she belonged in a world that was disappearing.
For those of us growing up in New York City in the 1940s, Japan, following Pearl Harbor and the “death march” in Corregidor, seemed to be our most hated enemy. The Japanese were portrayed as grotesque and blood-thirsty on posters. My friends and I were fighting back against the “Japs” in movie after movie: Gung Ho, Back to Bataan, The Purple Heart, Thirty Seconds Over Tokyo, They Were Expendable, and Flying Tigers, to name a few.
We wanted to be like John Wayne when we grew up. It was only a few decades after the war, when we realized the horrors of Hiroshima and Nagasaki, that some of us began to understand that the Japanese, whatever else was true, had been dehumanized as a people; that we had annihilated, guiltlessly at the time, hundreds of thousands of non-combatants in a horrific flash. It was only after the publication of John Hersey’s Hiroshima(1946), that we began to think about other sides of the war that patriotic propaganda had concealed.
When my friends and I went to summer camp in the foothills of the Berkshires during the late years of the war and sang patriotic songs around blazing bonfires, we weren’t thinking about the firestorms of Europe (Dresden) and Japan. We were worried that our counselors would be drafted and suddenly disappear, leaving us unprotected.
Identifying, reviewing, and refining themes
Now we have our codes, we need to find a sensible way of putting them together. Remember, we want to narrow this vast field of hundreds of codes down to a small handful of themes. If we don’t review and refine all these codes, the story we are trying to tell with our data becomes distracting and diffuse. An example is provided below to demonstrate this process.
As we refine our thematic analysis, our first step will be to identify groups of codes that hang together or seem to be related. Let’s say you are studying the experience of people who are in a vocational preparation program and you have codes labeled “worrying about paying the bills” and “loss of benefits”. You might group these codes into a category you label “income & expenses” (Figrue 19.6).
Code | Category | Reasoning |
Worrying about paying the bills | Income & expenses | Seem to be talking about financial stressors and potential impact on resources |
Loss of benefits |
Code | Category | Reasoning | Category | Reasoning |
Worrying about Paying the bills | Income & expenses | Seem to be talking about financial stressors and potential impact on resources | Financial insecurities | Expanded category to also encompass personal factor- confidence related to issue |
Loss of benefits | ||||
Not confident managing money |
You may review and refine the groups of your codes many times during the course of your analysis, including shifting codes around from one grouping to another as you get a clearer picture of what each of the groups represent. This reflects the iterative process we were describing earlier. While you are shifting codes and relabeling categories, track this! A research journal is a good place to do this. So, as in the example above, you would have a journal entry that explains that you changed the label on the category from “income & expenses” to “financial insecurities” and you would briefly explain why. Your research journal can take many different forms. It can be hard copy, an evolving word document, or a spreadsheet with multiple tabs (Figure 19.8).
Journal Entry Date: 10/04/19 Changed category [Income & expenses] to [Financial insecurities] to include new code “Not confident managing money” that appears to reflect a personal factor related to the participant’s confidence or personal capability related to the topic. |
Now, eventually you may decide that some of these categories can also be grouped together, but still stand alone as separate ideas. Continuing with our example above, you have another category labeled “financial potential” that contains codes like “money to do things” and “saving for my future”. You determine that “financial insecurities” and “financial potential” are related, but distinctly different aspects of a broader grouping, which you go on to label “financial considerations”. This broader grouping reflects both the more worrisome or stressful aspects of people’s experiences that you have interviewed, but also the optimism and hope that was reflected related to finances and future work (Figure 19.9).
Code | Category | Reasoning | Category | Reasoning | Theme |
Worrying about paying the bills | Income & expenses | Seem to be talking about financial stressors and potential impact on resources | Financial insecurities | Expanded category to also encompass personal factor- confidence related to issue | Financial considerations |
Loss of benefits | |||||
Not confident managing money | |||||
Money to do things | Financial potential | Reflects positive aspects related to earnings | |||
Saving for my future |
This broadest grouping then becomes your theme and utilizing the categories and the codes contained therein, you create a description of what each of your themes means based on the data you have collected, and again, can record this in your research journal entry (Figure 19.10).
Journal Entry Date: 10/10/19 Identified an emerging theme [Financial considerations] that reflects both the concerns reflected under [Financial insecurities] but also the hopes or more positive sentiments related to finances and work [Financial potential] expressed by participants. As participants prepare to return to work, they appear to experience complex and maybe even conflicting feelings towards how it will impact their finances and what this will mean for their lives. |
Building a thematic representation
However, providing a list of themes may not really tell the whole story of your study. It may fail to explain to your audience how these individual themes relate to each other. A thematic map or thematic array can do just that: provides a visual representation of how each individual category fits with the others. As you build your thematic representation, be thoughtful of how you position each of your themes, as this spatially tells part of the story.[12] You should also make sure that the relationships between the themes represented in your thematic map or array are narratively explained in your text as well.
Figure 19.11 offers an illustration of the beginning of thematic map for the theme we had been developing in the examples above. I emphasize that this is the beginning because we would likely have a few other themes (not just “financial considerations”). These other themes might have codes or categories in common with this theme, and these connections would be visual evident in our map. As you can see in the example, the thematic map allows the reader, reviewer, or researcher can quickly see how these ideas relate to each other. Each of these themes would be explained in greater detail in our write up of the results. Additionally, sample quotes from the data that reflected those themes are often included.
Key Takeaways
- Thematic analysis offers qualitative researchers a method of data analysis through which we can identify common themes or broader ideas that are represented in our qualitative data.
- Themes are identified through an iterative process of coding and categorizing (or grouping) to identify trends during your analysis.
- Tracking and documenting this process of theme identification is an important part of utilizing this approach.
Resources
References for learning more about Thematic Analysis
Clarke, V. (2017, December 9). What is thematic analysis?
Maguire, M., & Delahunt, B. (2017). Doing a thematic analysis: A practical, step-by-step guide for learning and teaching scholars.
Nowell et al. (2017). Thematic analysis: Striving to meet the trustworthiness criteria.
The University of Auckland. (n.d.). Thematic analysis: A reflexive approach.
A few exemplars of studies employing Thematic Analysis
Bastiaensens et al. (2019). “Were you cyberbullied? Let me help you.” Studying adolescents’ online peer support of cyberbullying victims using thematic analysis of online support group Fora.
Borgström, Å., Daneback, K., & Molin, M. (2019). Young people with intellectual disabilities and social media: A literature review and thematic analysis.
Kapoulitsas, M., & Corcoran, T. (2015). Compassion fatigue and resilience: A qualitative analysis of social work practice.
19.5 Content analysis
Learning Objectives
Learners will be able to…
- Explain defining features of content analysis as a strategy for analyzing qualitative data
- Determine when content analysis can be most effectively used
- Formulate an initial content analysis plan (if appropriate for your research proposal)
What are you trying to accomplish with content analysis
Much like with thematic analysis, if you elect to use content analysis to analyze your qualitative data, you will be deconstructing the artifacts that you have sampled and looking for similarities across these deconstructed parts. Also consistent with thematic analysis, you will be seeking to bring together these similarities in the discussion of your findings to tell a collective story of what you learned across your data. While the distinction between thematic analysis and content analysis is somewhat murky, if you are looking to distinguish between the two, content analysis:
- Places greater emphasis on determining the unit of analysis. Just to quickly distinguish, when we discussed sampling in Chapter 10 we also used the term “unit of analysis. As a reminder, when we are talking about sampling, unit of analysis refers to the entity that a researcher wants to say something about at the end of her study (individual, group, or organization). However, for our purposes when we are conducting a content analysis, this term has to do with the ‘chunk’ or segment of data you will be looking at to reflect a particular idea. This may be a line, a paragraph, a section, an image or section of an image, a scene, etc., depending on the type of artifact you are dealing with and the level at which you want to subdivide this artifact.
- Content analysis is also more adept at bringing together a variety of forms of artifacts in the same study. While other approaches can certainly accomplish this, content analysis more readily allows the researcher to deconstruct, label and compare different kinds of ‘content’. For example, perhaps you have developed a new advocacy training for community members. To evaluate your training you want to analyze a variety of products they create after the workshop, including written products (e.g. letters to their representatives, community newsletters), audio/visual products (e.g. interviews with leaders, photos hosted in a local art exhibit on the topic) and performance products (e.g. hosting town hall meetings, facilitating rallies). Content analysis can allow you the capacity to examine evidence across these different formats.
For some more in-depth discussion comparing these two approaches, including more philosophical differences between the two, check out this article by Vaismoradi, Turunen, and Bondas (2013).[13]
Variations in the approach
There are also significant variations among different content analysis approaches. Some of these approaches are more concerned with quantifying (counting) how many times a code representing a specific concept or idea appears. These are more quantitative and deductive in nature. Other approaches look for codes to emerge from the data to help describe some idea or event. These are more qualitative and inductive. Hsieh and Shannon (2005)[14] describe three approaches to help understand some of these differences:
- Conventional Content Analysis. Starting with a general idea or phenomenon you want to explore (for which there is limited data), coding categories then emerge from the raw data. These coding categories help us understand the different dimensions, patterns, and trends that may exist within the raw data collected in our research.
- Directed Content Analysis. Starts with a theory or existing research for which you develop your initial codes (there is some existing research, but incomplete in some aspects) and uses these to guide your initial analysis of the raw data to flesh out a more detailed understanding of the codes and ultimately, the focus of your study.
- Summative Content Analysis. Starts by examining how many times and where codes are showing up in your data, but then looks to develop an understanding or an “interpretation of the underlying context” (p.1277) for how they are being used. As you might have guessed, this approach is more likely to be used if you’re studying a topic that already has some existing research that forms a basic place to begin the analysis.
This is only one system of categorization for different approaches to content analysis. If you are interested in utilizing a content analysis for your proposal, you will want to design an approach that fits well with the aim of your research and will help you generate findings that will help to answer your research question(s). Make sure to keep this as your north star, guiding all aspects of your design.
Determining your codes
We are back to coding! As in thematic analysis, you will be coding your data (labeling smaller chunks of information within each data artifact of your sample). In content analysis, you may be using pre-determined codes, such as those suggested by an existing theory (deductive) or you may seek out emergent codes that you uncover as you begin reviewing your data (inductive). Regardless of which approach you take, you will want to develop a well-documented codebook.
A codebook[/pb_glossary] is a document that outlines the list of codes you are using as you analyze your data, a descriptive definition of each of these codes, and any decision-rules that apply to your codes. A [pb_glossary id="1192"]decision-rule provides information on how the researcher determines what code should be placed on an item, especially when codes may be similar in nature. If you are using a deductive approach, your codebook will largely be formed prior to analysis, whereas if you use an inductive approach, your codebook will be built over time. To help illustrate what this might look like, Figure 19.12 offers a brief excerpt of a codebook from one of the projects I'm currently working on.
Coding, comparing, counting
Once you have (or are developing) your codes, your next step will be to actually code your data. In most cases, you are looking for your coding structure (your list of codes) to have good coverage. This means that most of the content in your sample should have a code applied to it. If there are large segments of your data that are uncoded, you are potentially missing things. Now, do note that I said most of the time. There are instances when we are using artifacts that may contain a lot of information, only some of which will apply to what we are studying. In these instances, we obviously wouldn’t be expecting the same level of coverage with our codes. As you go about coding you may change, refine and adapt your codebook as you go through your data and compare the information that reflects each code. As you do this, keep your research journal handy and make sure to capture and record these changes so that you have a trail documenting the evolution of your analysis. Also, as suggested earlier, content analysis may also involve some degree of counting as well. You may be keeping a tally of how many times a particular code is represented in your data, thereby offering your reader both a quantification of how many times (and across how many sources) a code was reflected and a narrative description of what that code came to mean.
Representing the findings from your coding scheme
Finally, you need to consider how you will represent the findings from your coding work. This may involve listing out narrative descriptions of codes, visual representations of what each code came to mean or how they related to each other, or a table that includes examples of how your data reflected different elements of your coding structure. However you choose to represent the findings of your content analysis, make sure the resulting product answers your research question and is readily understandable and easy-to-interpret for your audience.
Key Takeaways
- Much like thematic analysis, content analysis is concerned with breaking up qualitative data so that you can compare and contrast ideas as you look across all your data, collectively. A couple of distinctions between thematic and content analysis include content analysis's emphasis on more clearly specifying the unit of analysis used for the purpose of analysis and the flexibility that content analysis offers in comparing across different types of data.
- Coding involves both grouping data (after it has been deconstructed) and defining these codes (giving them meaning). If we are using a deductive approach to analysis, we will start with the code defined. If we are using an inductive approach, the code will not be defined until the end of the analysis.
Exercises
Identify a qualitative research article that uses content analysis (do a quick search of "qualitative" and "content analysis" in your research search engine of choice).
- How do the authors display their findings?
- What was effective in their presentation?
- What was ineffective in their presentation?
Resources
Resources for learning more about Content Analysis
Bengtsson, M. (2016). How to plan and perform a qualitative study using content analysis.
Colorado State University (n.d.) Writing@CSU Guide: Content analysis.
Columbia University Mailman School of Public Health, Population Health. (n.d.) Methods: Content analysis
Mayring, P. (2000, June). Qualitative content analysis.
A few exemplars of studies employing Content Analysis
Collins et al. (2018). Content analysis of advantages and disadvantages of drinking among individuals with the lived experience of homelessness and alcohol use disorders.
Corley, N. A., & Young, S. M. (2018). Is social work still racist? A content analysis of recent literature.
Deepak et al. (2016). Intersections between technology, engaged learning, and social capital in social work education.
19.6 Grounded theory analysis
Learning Objectives
Learners will be able to...
- Explain defining features of grounded theory analysis as a strategy for qualitative data analysis and identify when it is most effectively used
- Formulate an initial grounded theory analysis plan (if appropriate for your research proposal)
What are you trying to accomplish with grounded theory analysis
Just to be clear, grounded theory doubles as both qualitative research design (we will talk about some other qualitative designs in Chapter 22) and a type of qualitative data analysis. Here we are specifically interested in discussing grounded theory as an approach to analysis in this chapter. With a grounded theory analysis, we are attempting to come up with a common understanding of how some event or series of events occurs based on our examination of participants' knowledge and experience of that event. Let's consider the potential this approach has for us as social workers in the fight for social justice. Using grounded theory analysis we might try to answer research questions like:
- How do communities identity, organize, and challenge structural issues of racial inequality?
- How do immigrant families respond to threat of family member deportation?
- How has the war on drugs campaign shaped social welfare practices?
In each of these instances, we are attempting to uncover a process that is taking place. To do so, we will be analyzing data that describes the participants' experiences with these processes and attempt to draw out and describe the components that seem quintessential to understanding this process.
Variations in the approach
Differences in approaches to grounded theory analysis largely lie in the amount (and types) of structure that are applied to the analysis process. Strauss and Corbin (2014)[15] suggest a highly structured approach to grounded theory analysis, one that moves back and forth between the data and the evolving theory that is being developed, making sure to anchor the theory very explicitly in concrete data points. With this approach, the researcher role is more detective-like; the facts are there, and you are uncovering and assembling them, more reflective of deductive reasoning. While Charmaz (2014)[16] suggests a more interpretive approach to grounded theory analysis, where findings emerge as an exchange between the unique and subjective (yet still accountable) position of the researcher(s) and their understanding of the data, acknowledging that another researcher might emerge with a different theory or understanding. So in this case, the researcher functions more as a liaison, where they bridge understanding between the participant group and the scientific community, using their own unique perspective to help facilitate this process. This approach reflects inductive reasoning.
Coding in grounded theory
Coding in grounded theory is generally a sequential activity. First, the researcher engages in open coding of the data. This involves reviewing the data to determine the preliminary ideas that seem important and potential labels that reflect their significance for the event or process you are studying. Within this open coding process, the researcher will also likely develop subcategories that help to expand and provide a richer understanding of what each of the categories can mean. Next, axial coding will revisit the open codes and identify connections between codes, thereby beginning to group codes that share a relationship. Finally, selective or theoretical coding explores how the relationships between these concepts come together, providing a theory that describes how this event or series of events takes place, often ending in an overarching or unifying idea tying these concepts together. Dr. Tiffany Gallicano[17] has a helpful blog post that walks the reader through examples of each stage of coding. Figure 19.13 offers an example of each stage of coding in a study examining experiences of students who are new to online learning and how they make sense of it. Keep in mind that this is an evolving process and your document should capture this changing process. You may notice that in the example "Feels isolated from professor and classmates" is listed under both axial codes "Challenges presented by technology" and "Course design". This isn't an error; it just represents that it isn't yet clear if this code is most reflective of one of these two axial codes or both. Eventually, the placement of this code may change, but we will make sure to capture why this change is made.
Open Codes | Axial Codes | Selective |
Anxious about using new tools | Challenges presented by technology | Doubts, insecurities and frustration experienced by new online learners |
Lack of support for figuring technology out | ||
Feels isolated from professor and classmates | ||
Twice the work—learn the content and how to use the technology | ||
Limited use of teaching activities (e.g. "all we do is respond to discussion boards") | Course design | |
Feels isolated from professor and classmates | ||
Unclear what they should be taking away from course work and materials | ||
Returning student, feel like I'm too old to learn this stuff | Learner characteristics | |
Home feels chaotic, hard to focus on learning |
Constant comparison
While ground theory is not the only approach to qualitative analysis that utilizes constant comparison, it is certainly widely associated with this approach. Constant comparison reflects the motion that takes place throughout the analytic process (across the levels of coding described above), whereby as researchers we move back and forth between the data and the emerging categories and our evolving theoretical understanding. We are continually checking what we believe to be the results against the raw data. It is an ongoing cycle to help ensure that we are doing right by our data and helps ensure the trustworthiness of our research. Ground theory often relies on a relatively large number of interviews and usually will begin analysis while the interviews are ongoing. As a result, the researcher(s) work to continuously compare their understanding of findings against new and existing data that they have collected.
Developing your theory
Remember, the aim of using a grounded theory approach to your analysis is to develop a theory, or an explanation of how a certain event/phenomenon/process occurs. As you bring your coding process to a close, you will emerge not just with a list of ideas or themes, but an explanation of how these ideas are interrelated and work together to produce the event you are studying. Thus, you are building a theory that explains the event you are studying that is grounded in the data you have gathered.
Thinking about power and control as we build theories
I want to bring the discussion back to issues of power and control in research. As discussed early in this chapter, regardless of what approach we are using to analyze our data we need to be concerned with the potential for abuse of power in the research process and how this can further contribute to oppression and systemic inequality. I think this point can be demonstrated well here in our discussion of grounded theory analysis. Since grounded theory is often concerned with describing some aspect of human behavior: how people respond to events, how people arrive at decisions, how human processes work. Even though we aren't necessarily seeking generalizable results in a qualitative study, research consumers may still be influenced by how we present our findings. This can influence how they perceive the population that is represented in our study. For example, for many years science did a great disservice to families impacted by schizophrenia, advancing the theory of the schizophrenogenic mother[18]. Using pseudoscience, the scientific community misrepresented the influence of parenting (a process), and specifically the mother's role in the development of the disorder of schizophrenia. You can imagine the harm caused by this theory to family dynamics, stigma, institutional mistrust, etc. To learn more about this you can read this brief but informative editorial article by Anne Harrington in the Lancet.[19] Instances like these should haunt and challenge the scientific community to do better. Engaging community members in active and more meaningful ways in research is one important way we can respond. Shouldn't theories be built by the people they are meant to represent?
Key Takeaways
- Ground theory analysis aims to develop a common understanding of how some event or series of events occurs based on our examination of participants' knowledge and experience of that event.
- Using grounded theory often involves a series of coding activities (e.g. open, axial, selective or theoretical) to help determine both the main concepts that seem essential to understanding an event, but also how they relate or come together in a dynamic process.
- Constant comparison is a tool often used by qualitative researchers using a grounded theory analysis approach in which they move back and forth between the data and the emerging categories and the evolving theoretical understanding they are developing.
Resources
Resources for learning more about Grounded Theory
Chun Tie, Y., Birks, M., & Francis, K. (2019). Grounded theory research: A design framework for novice researchers.
Gibbs, G.R. (2015, February 4). A discussion with Kathy Charmaz on Grounded Theory.
Glaser, B.G., & Holton, J. (2004, May). Remodeling grounded theory.
Mills, J., Bonner, A., & Francis, K. (2006). The development of Constructivist Grounded Theory.
A few exemplars of studies employing Grounded Theory
Burkhart, L., & Hogan, N. (2015). Being a female veteran: A grounded theory of coping with transitions.
Donaldson, W. V., & Vacha-Haase, T. (2016). Exploring staff clinical knowledge and practice with LGBT residents in long-term care: A grounded theory of cultural competency and training needs.
Vanidestine, T., & Aparicio, E. M. (2019). How social welfare and health professionals understand “Race,” Racism, and Whiteness: A social justice approach to grounded theory.
19.7 Photovoice
Learning Objectives
Learners will be able to...
- Explain defining features of photovoice as a strategy for qualitative data analysis and identify when it is most effectively used
- Formulate an initial analysis plan using photovoice (if appropriate for your research proposal)
What are you trying to accomplish with photovoice analysis?
Photovoice is an approach to qualitative research that combines the steps of data gathering and analysis with visual and narrative data. The ultimate aim of the analysis is to produce some kind of desired change with and for the community of participants. While other analysis approaches discussed here may involve including participants more actively in the research process, it is certainly not the norm. However, with photovoice, it is. Using an approach that involves photovoice will generally assume that the participants in your study will be taking on a very active role throughout the research process, to the point of acting as co-researchers. This is especially evident during the analysis phase of your work.
As an example of this work, Mitchell (2018)[20] combines photovoice and an environmental justice approach to engage a Native American community around the significance and the implications of water for their tribe. This research is designed to help raise awareness and support advocacy efforts for improved access to and quality of natural resources for this group. Photovoice has grown out of participatory and community-based research traditions that assume that community members have their own expertise they bring to the research process, and that they should be involved, empowered, and mutually benefit from research that is being conducted. This mutual benefit means that this type of research involves some kind of desired and very tangible changes for participants; the research will support something that community members want to see happen. Examples of these changes could be legislative action, raising community awareness, or changing some organizational practice(s).
Training your team
Because this approach involves participants not just sharing information, but actually utilizing research skills to help collect and interpret data, as a researcher you need to take on an educator role and share your research expertise in preparing them to do so. After recruiting and gathering informed consent, part of the on-boarding process will be to determine the focus of your study. Some photovoice projects are more prescribed, where the researcher comes with an idea and seeks to partner with a specific group or community to explore this topic. At other times, the researcher joins with the community first, and collectively they determine the focus of the study and craft the research question. Once this focus has been determined and shared, the team will be charged with gathering photos or videos that represent responses to the research question for each individual participant. Depending on the technology used to capture these photos (e.g. cameras, ipads, video recorders, cell phones), training may need to be provided.
Once photos have been captured, team members will be asked to provide a caption or description that helps to interpret what their picture(s) mean in relation to the focus of the study. After this, the team will collectively need to seek out themes and patterns across the visual and narrative representations. This means you may employ different elements of thematic or content analysis to help you interpret the collective meaning across the data and you will need to train your team to utilize these approaches.
Converging on a shared story
Once you have found common themes, together you will work to assemble these into a cohesive broader story or message regarding the focus of your topic. Now remember, the participatory roots of photovoice suggest that the aim of this message is to seek out, support, encourage or demand some form of change or transformation, so part of what you will want to keep in mind is that this is intended to be a persuasive story. Your research team will need to consider how to put your findings together in a way that supports this intended change. The packaging and format of your findings will have important implications for developing and disseminating the final products of qualitative research. Chapter 21 focuses more specifically on decisions connected with this phase of the research process.
Key Takeaways
- Photovoice is a unique approach to qualitative research that combines visual and narrative information in an attempt to produce more meaningful and accessible results as an alternative to other traditional research methods.
- A cornerstone of Photovoice research involves the training and participation of community members during the analysis process. Additionally, the results of the analysis are often intended for some form of direct change or transformation that is valued by the community.
Exercises
Reflexive Journal Entry Prompt
After learning about these different types of qualitative analysis:
- Which of these approaches make the most sense to you and how you view the world?
- Which of them are most appealing and why?
- Which do you want to learn more about?
Exercises
Decision Point: How will you conduct your analysis?
- Thinking about what you need to accomplish with the data you have collected, which of these analytic approaches will you use?
- What makes this the most effective choice?
- Outline the steps you plan to take to conduct your analysis
- What peer-reviewed resources have you gathered to help you learn more about this method of analysis? (keep these handy for when you write-up your study!)
Resources
Resources for learning more about Photovice:
Liebenberg, L. (2018). Thinking critically about photovoice: Achieving empowerment and social change.
Mangosing, D. (2015, June 18). Photovoice training and orientation.
University of Kansas, Community Toolbox. (n.d.). Section 20. Implementing Photovoice in Your Community.
Woodgate et al. (2017, January). Worth a thousand words? Advantages, challenges and opportunities in working with photovoice as a qualitative research method with youth and their families.
A few exemplars of studies employing Photovoice:
Fisher-Borne, M., & Brown, A. (2018). A case study using Photovoice to explore racial and social identity among young Black men: Implications for social work research and practice.
Houle et al. (2018). Public housing tenants’ perspective on residential environment and positive well-being: An empowerment-based Photovoice study and its implications for social work.
Mitchell, F. M. (2018). “Water Is Life”: Using photovoice to document American Indian perspectives on water and health.
- Kleining, G., & Witt, H. (2000). The qualitative heuristic approach: A methodology for discovery in psychology and the social sciences. Rediscovering the method of introspection as an example. Forum Qualitative Sozialforschung/Forum: Qualitative Social Research, 1(1). ↵
- Burck, C. (2005). Comparing qualitative research methodologies for systemic research: The use of grounded theory, discourse analysis and narrative analysis. Journal of Family Therapy, 27(3), 237-262. ↵
- Mogashoa, T. (2014). Understanding critical discourse analysis in qualitative research. International Journal of Humanities Social Sciences and Education, 1(7), 104-113. ↵
- Contandriopoulos, D., Larouche, C., Breton, M., & Brousselle, A. (2018). A sociogram is worth a thousand words: proposing a method for the visual analysis of narrative data. Qualitative Research, 18(1), 70-87. ↵
- Elliott, L. (2016, January, 16). Dangers of “damage-centered” research. The Ohio State University, College of Arts and Sciences: Appalachian Student Resources. https://u.osu.edu/appalachia/2016/01/16/dangers-of-damage-centered-research/ ↵
- Smith, L. T. (2012). Decolonizing methodologies: Research and indigenous peoples (2nd ed.). Zed Books Ltd. ↵
- PAR-L. (2010). Introduction to feminist research. [Webpage]. https://www2.unb.ca/parl/research.htm#:~:text=Methodologically%2C%20feminist%20research%20differs%20from,standpoints%20and%20experiences%20of%20women. ↵
- Mafile'o, T. (2004). Exploring Tongan Social Work: Fekau'aki (Connecting) and Fakatokilalo (Humility). Qualitative Social Work, 3(3), 239-257. ↵
- Duke Mod U Social Science Research Institute. (2016, November 11). How to know you are coding correct: Qualitative research methods. [Video]. YouTube. https://www.youtube.com/watch?v=iL7Ww5kpnIM&feature=youtu.be ↵
- Wolf, H. R. (2010). Growing up in New York City: A generational memoir (1941-1960). American Studies Journal, 54. http://www.asjournal.org/54-2010/growing-up-in-new-york-city/ ↵
- Wolf, H. R. (2010). Growing up in New York City: A generational memoir (1941-1960). American Studies Journal, 54. http://www.asjournal.org/54-2010/growing-up-in-new-york-city/ ↵
- Clarke, V., Braun, V., & Hayfield, N. (2015). Thematic analysis. In J. A. Smith (ed.) Qualitative psychology: A practical guide to research methods, (3rd ed.). 222-248. ↵
- Vaismoradi, M., Turunen, H., & Bondas, T. (2013). Content analysis and thematic analysis: Implications for conducting a qualitative descriptive study. Nursing & Health Sciences, 15(3), 398-405. ↵
- Hsieh, H. F., & Shannon, S. E. (2005). Three approaches to qualitative content analysis. Qualitative Health Research, 15(9), 1277-1288. ↵
- Corbin, J., & Strauss, A. (2014). Basics of qualitative research: Techniques and procedures for developing grounded theory. Sage publications. ↵
- Charmaz, K. (2014). Constructing grounded theory. Sage Publications ↵
- Gallicano, T. (2013, July 22). An example of how to perform open coding, axial coding and selective coding. [Blog post]. https://prpost.wordpress.com/2013/07/22/an-example-of-how-to-perform-open-coding-axial-coding-and-selective-coding/ ↵
- Harrington, A. (2012). The fall of the schizophrenogenic mother. The Lancet, 379(9823), 1292-1293. ↵
- Harrington, A. (2012). The fall of the schizophrenogenic mother. The Lancet, 379(9823), 1292-1293. ↵
- Mitchell, F. M. (2018). “Water Is Life”: Using photovoice to document American Indian perspectives on water and health. Social Work Research, 42(4), 277-289. ↵
Chapter Outline
- Human subjects research (19 minute read)
- Specific ethical issues to consider (12 minute read)
- Benefits and harms of research across the ecosystem (7 minute read)
- Being an ethical researcher (8 minute read)
Content warning: examples in this chapter contain references to numerous incidents of unethical medical experimentation (e.g. intentionally injecting diseases into unknowing participants, withholding proven treatments), social experimentation under extreme conditions (e.g. being directed to deliver electric shocks to test obedience), violations of privacy, gender and racial inequality, research with people who are incarcerated or on parole, experimentation on animals, abuse of people with Autism, community interactions with law enforcement, WWII, the Holocaust, and Nazi activities (especially related to research on humans).
With your literature review underway, you are ready to begin thinking in more concrete terms about your research topic. Recall our discussion in Chapter 2 on practical and ethical considerations that emerge as part of the research process. In this chapter, we will expand on the ethical boundaries that social scientists must abide by when conducting human subjects research. As a result of reading this chapter, you should have a better sense of what is possible and ethical for the research project you create.
6.1 Human subjects research
Learning Objectives
Learners will be able to...
- Understand what we mean by ethical research and why it is important
- Understand some of the egregious ethical violations that have occurred throughout history
While all research comes with its own set of ethical concerns, those associated with research conducted on human subjects vary dramatically from those of research conducted on nonliving entities. The US Department of Health and Human Services (USDHHS) defines a human subject as “a living individual about whom an investigator (whether professional or student) conducting research obtains (1) data through intervention or interaction with the individual, or (2) identifiable private information” (USDHHS, 1993, para. 1).[1] Some researchers prefer the term "participants" to "subjects'" as it acknowledges the agency of people who participate in the study. For our purposes, we will use the two terms interchangeably.
In some states, human subjects also include deceased individuals and human fetal materials. Nonhuman research subjects, on the other hand, are objects or entities that investigators manipulate or analyze in the process of conducting research. Nonhuman research subjects typically include sources such as newspapers, historical documents, pieces of clothing, television shows, buildings, and even garbage (to name just a few), that are analyzed for unobtrusive research projects. Unsurprisingly, research on human subjects is regulated much more heavily than research on nonhuman subjects. This is why many student research projects use data that is publicly available, rather than recruiting their own study participants. However, there are ethical considerations that all researchers must take into account, regardless of their research subject. We’ll discuss those considerations in addition to concerns that are unique to human subject research.
Why do research participants need protection?
First and foremost, we are professionally bound to engage in the ethical practice of research. This chapter discusses ethical research and will show you how to engage in research that is consistent with the NASW Code of Ethics as well as national and international ethical standards all researchers are accountable to. Before we begin, we need to understand the historical occurrences that were the catalyst for the formation of the current ethical standards. This chapter will enable you to view ethics from a micro, mezzo, and macro perspective.
The research process has led to many life-changing discoveries; these have improved life expectancy, improved living conditions, and helped us understand what contributes to certain social problems. That said, not all research has been conducted in respectful, responsible, or humane ways. Unfortunately, some research projects have dramatically marginalized, oppressed, and harmed participants and whole communities.
Would you believe that the following actions have been carried out in the name of research? I realize there was a content warning at the beginning of the chapter, but it is worth mentioning that the list below of research atrocities may be particularly upsetting or triggering.
- intentionally froze healthy body parts of prisoners to see if they could develop a treatment for freezing[2]
- scaled the body parts of prisoners to how best to treat soldiers who had injuries from being exposed to high temperatures[3]
- intentionally infected healthy individuals to see if they could design effective methods of treatment for infections[4]
- gave healthy people TB to see if they could treat it[5]
- attempted to transplant limbs, bones, and muscles to another person to see if this was possible[6]
- castrated and irradiated genitals to see if they could develop a faster method of sterilization[7]
- starved people and only allowed them to drink seawater to see if they could make saline water drinkable[8]
- artificially inseminated women with animal sperm to see what would happen[9]
- gassed living people to document how they would die[10]
- conducted cruel experiments on people and if they did not die, would kill them so they could undergo an autopsy[11]
- refused to treat syphilis in African American men (when treatment was available) because they wanted to track the progression of the illness[12]
- vivisected humans without anesthesia to see how illnesses that researches gave prisoners impacted their bodies[13]
- intentionally tried to infect prisoners with the Bubonic Plague[14]
- intentionally infected prisoners, prostitutes, soldiers, and children with syphilis to study the disease's progression[15]
- performed gynecological experiments on female slaves without anesthesia to investigate new surgical methods[16]
The sad fact is that not only did all of these occur, in many instances, these travesties continued for years until exposed and halted. Additionally, these examples have contributed to the formation of a legacy of distrust toward research. Specifically, many underrepresented groups have a deep distrust of agencies that implement research and are often skeptical of research findings. This has made it difficult for groups to support and have confidence in medical treatments, advances in social service programs, and evidence-informed policy changes. While the aforementioned unethical examples may have ended, this deep and painful wound on the public's trust remains. Consequently, we must be vigilant in our commitment to ethical research.
Many of the situations described may seem like extreme historical cases of misuse of power as researchers. However, ethical problems in research don't just happen in these extreme occurrences. None of us are immune to making unethical choices and the ethical practice of research requires conscientious mindful attention to what we are asking of our research participants. A few examples of less noticeable ethical issues might include: failing to fully explain to someone in advance what their participation might involve because you are in a rush to recruit a large enough sample; or only presenting findings that support your ideas to help secure a grant that is relevant to your research area. Remember, any time research is conducted with human beings, there is the chance that ethical violations may occur that pose social, emotional, and even physical risks for groups, and this is especially true when vulnerable or oppressed groups are involved.
A brief history of unethical social science research
Research on humans hasn’t always been regulated in the way it is today. The earliest documented cases of research using human subjects are of medical vaccination trials (Rothman, 1987).[17] One such case took place in the late 1700s, when scientist Edward Jenner exposed an 8-year-old boy to smallpox in order to identify a vaccine for the devastating disease. Medical research on human subjects continued without much law or policy intervention until the mid-1900s when, at the end of World War II, a number of Nazi doctors and scientists were put on trial for conducting human experimentation during the course of which they tortured and murdered many concentration camp inmates (Faden & Beauchamp, 1986).[18] The trials, conducted in Nuremberg, Germany, resulted in the creation of the Nuremberg Code, a 10-point set of research principles designed to guide doctors and scientists who conduct research on human subjects. Today, the Nuremberg Code guides medical and other research conducted on human subjects, including social scientific research.
Medical scientists are not the only researchers who have conducted questionable research on humans. In the 1960s, psychologist Stanley Milgram (1974)[19] conducted a series of experiments designed to understand obedience to authority in which he tricked subjects into believing they were administering an electric shock to other subjects. In fact, the shocks weren’t real at all, but some, though not many, of Milgram’s research participants experienced extreme emotional distress after the experiment (Ogden, 2008).[20] A reaction of emotional distress is understandable. The realization that one is willing to administer painful shocks to another human being just because someone who looks authoritative has told you to do so might indeed be traumatizing—even if you later learn that the shocks weren’t real.
Around the same time that Milgram conducted his experiments, sociology graduate student Laud Humphreys (1970)[21] was collecting data for his dissertation on the tearoom trade, which was the practice of men engaging in anonymous sexual encounters in public restrooms. Humphreys wished to understand who these men were and why they participated in the trade. To conduct his research, Humphreys offered to serve as a “watch queen,” in a local park restroom where the tearoom trade was known to occur. His role would be to keep an eye out for police while also getting the benefit of being able to watch the sexual encounters. What Humphreys did not do was identify himself as a researcher to his research subjects. Instead, he watched his subjects for several months, getting to know several of them, learning more about the tearoom trade practice and, without the knowledge of his research subjects, jotting down their license plate numbers as they pulled into or out of the parking lot near the restroom.
Sometime after participating as a watch queen, with the help of several insiders who had access to motor vehicle registration information, Humphreys used those license plate numbers to obtain the names and home addresses of his research subjects. Then, disguised as a public health researcher, Humphreys visited his subjects in their homes and interviewed them about their lives and their health. Humphreys’ research dispelled a good number of myths and stereotypes about the tearoom trade and its participants. He learned, for example, that over half of his subjects were married to women and many of them did not identify as gay or bisexual.[22]
Once Humphreys’ work became public, there was some major controversy at his home university (e.g., the chancellor tried to have his degree revoked), among scientists in general, and among members of the public, as it raised public concerns about the purpose and conduct of social science research. In addition, the Washington Post journalist Nicholas von Hoffman wrote the following warning about “sociological snoopers”:
We’re so preoccupied with defending our privacy against insurance investigators, dope sleuths, counterespionage men, divorce detectives and credit checkers, that we overlook the social scientists behind the hunting blinds who’re also peeping into what we thought were our most private and secret lives. But they are there, studying us, taking notes, getting to know us, as indifferent as everybody else to the feeling that to be a complete human involves having an aspect of ourselves that’s unknown (von Hoffman, 1970).[23]
In the original version of his report, Humphreys defended the ethics of his actions. In 2008[24], years after Humphreys’ death, his book was reprinted with the addition of a retrospect on the ethical implications of his work. In his written reflections on his research and the fallout from it, Humphreys maintained that his tearoom observations constituted ethical research on the grounds that those interactions occurred in public places. But Humphreys added that he would conduct the second part of his research differently. Rather than trace license numbers and interview unwitting tearoom participants in their homes under the guise of public health research, Humphreys instead would spend more time in the field and work to cultivate a pool of informants. Those informants would know that he was a researcher and would be able to fully consent to being interviewed. In the end, Humphreys concluded “there is no reason to believe that any research subjects have suffered because of my efforts, or that the resultant demystification of impersonal sex has harmed society” (Humphreys, 2008, p. 231).[25]
Today, given increasing regulation of social scientific research, chances are slim that a researcher would be allowed to conduct a project similar to Humphreys’. Some argue that Humphreys’ research was deceptive, put his subjects at risk of losing their families and their positions in society, and was therefore unethical (Warwick, 1973; Warwick, 1982).[26] Others suggest that Humphreys’ research “did not violate any premise of either beneficence or the sociological interest in social justice” and that the benefits of Humphreys’ research, namely the dissolution of myths about the tearoom trade specifically and human sexual practice more generally, outweigh the potential risks associated with the work (Lenza, 2004, p. 23).[27] What do you think, and why?
These and other studies (Reverby, 2009)[28] led to increasing public awareness of and concern about research on human subjects. In 1974, the US Congress enacted the National Research Act, which created the National Commission for the Protection of Human Subjects in Biomedical and Behavioral Research. The commission produced The Belmont Report, a document outlining basic ethical principles for research on human subjects (National Commission for the Protection of Human Subjects in Biomedical and Behavioral Research, 1979).[29] The National Research Act (1974)[30] also required that all institutions receiving federal support establish institutional review boards (IRBs) to protect the rights of human research subjects. Since that time, many organizations that do not receive federal support but where research is conducted have also established review boards to evaluate the ethics of the research that they conduct. IRBs are overseen by the federal Office of Human Research Protections.
The Belmont Report
As mentioned above, The Belmont Report is a federal document that outlines the foundational principles that guide the ethical practice of research in the United States. These ethical principles include: respect for persons, beneficence, and justice. Each of these terms has specific implications as they are applied to the practice of research. These three principles arose as a response to many of the mistreatment and abuses that have been previously discussed and provide important guidance as researchers consider how they will construct and conduct their research studies. As you are crafting your research proposal, makes sure you are mindful of these important ethical guidelines.
Respect for Persons
As social workers, our professional code of ethics requires that we recognize and respect the "inherent dignity and worth of the person."[31] This is very similar to the ethical research principle of respect for persons. According to this principle, as researchers, we need to treat all research participants with respect, dignity and inherent autonomy. This is reflected by ensuring that participants have self-determination to make informed decisions about their participation in research, that they have a clear understanding of what they will be asked to do and any risks involved, and that their participation is voluntary and can be stopped at any time. Furthermore, for those persons who may have diminished autonomy (e.g. children, people who are incarcerated), extra protections must be built in to these research studies to ensure that respect for persons continues to be demonstrated towards these groups, as they may be especially vulnerable to exploitation and coercion through the research process. A critical tool in establishing respect for persons in your research is the informed consent process, which will be discussed in more detail below.
Beneficence
You may not be familiar with this word yet, but the concept is pretty straightforward. The main idea with beneficence is that the intent of research is to do good. As researchers, to accomplish this, we seek to maximize benefits and minimize risks. Benefits may be something good or advantageous directly received by the research participant, or they may represent a broader good to a wider group of people or the scientific community at large (such as increasing knowledge about the topic or social problem that you are studying). Risks are potential physical, social, or emotional harm that may come about as a response to participation in a study. These risks may be more immediate (e.g. risk of identifying information about a participant being shared, or a participant being upset or triggered by a particular question), or long-term (e.g. some aspect about the person could be shared that could lead to long-term stigmatization). As researchers, we need to think about risk that might be experienced by the individual, but also risks that might be directed towards the community or population(s) the individual may represent. For instance, if our study is specifically focused on surveying single parents, we need to consider how the sharing of our findings might impact this group and how they are perceived. It is a very rare study in which there is no risk to participants. However, a well-designed and ethically sound study will seek to minimize these risks, provide resources to anticipate and address them, and maximize the benefits that are gained through the study.
Justice
The final ethical principle we need to cover is justice. While you likely have some idea what justice is, for the purposes of research, justice is the idea that the benefits and the burdens of research are distributed fairly across populations and groups. To help illustrate the concept of justice in research, research in the area of mental health and psychology has historically been critiqued as failing to adequately represent women and people of diverse racial and ethnic groups in their samples (Cundiff, 2012).[32] This has created a body of knowledge that is overly representative of the white male experience, further reinforcing systems of power and privilege. In addition, consider the influence of language as it relates to research justice. If we create studies that only recruit participants fluent in English, which many studies do, we are often failing to satisfy the ethical principle of justice as it applies to people who don't speak English. It is unrealistic to think that we can represent all people in all studies. However, we do need to thoughtfully acknowledge voices that might not be reflected in our samples and attempt to recruit diverse and representative samples whenever possible.
These three principles provide the foundation for the oversight work that is carried out by Institutional Review Boards, our next topic.
Institutional review boards
Institutional review boards, or IRBs, are tasked with ensuring that the rights and welfare of human research subjects will be protected at all institutions, including universities, hospitals, nonprofit research institutions, and other organizations, that receive federal support for research. IRBs typically consist of members from a variety of disciplines, such as sociology, economics, education, social work, and communications (to name a few). Most IRBs also include representatives from the community in which they reside. For example, representatives from nearby prisons, hospitals, or treatment centers might sit on the IRBs of university campuses near them. The diversity of membership helps to ensure that the many and complex ethical issues that may arise from human subjects research will be considered fully and by a knowledgeable and experienced panel. Investigators conducting research on human subjects are required to submit proposals outlining their research plans to IRBs for review and approval prior to beginning their research. Even students who conduct research on human subjects must have their proposed work reviewed and approved by the IRB before beginning any research (though, on some campuses, exceptions are made for student projects that will not be shared outside of the classroom).
The IRB has three levels of review, defined in statute by the USDHHS.
Exempt
Exempt review is the lowest level of review. Studies that are considered exempt expose participants to the least potential for harm and often involve little participation by human subjects. In social work, exempt studies often examine data that is publicly available or secondary data from another researcher that has been de-identified by the person who collected it.
Expedited
Expedited review is the middle level of review. Studies considered under expedited review do not have to go before the full IRB board because they expose participants to minimal risk. However, the studies must be thoroughly reviewed by a member of the IRB committee. While there are many types of studies that qualify for expedited review, the most relevant to social workers include the use of existing medical records, recordings (such as interviews) gathered for research purposes, and research on individual group characteristics or behavior.
Full board
Finally, the highest level of review is called a full board review. A full board review will involve multiple members of the IRB evaluating your proposal. When researchers submit a proposal under full board review, the full IRB board will meet, discuss any questions or concerns with the study, invite the researcher to answer questions and defend their proposal, and vote to approve the study or send it back for revision. Full board proposals pose greater than minimal risk to participants. They may also involve the participation of vulnerable populations, or people who need additional protection from the IRB. Vulnerable populations include prisoners, children, people with cognitive impairments, people with physical disabilities, employees, and students. While some of these populations can fall under expedited review in some cases, they will often require the full IRB to approve their study.
It may surprise you to hear that IRBs are not always popular or appreciated by researchers. Who wouldn’t want to conduct ethical research, you ask? In some cases, the concern is that IRBs are most well-versed in reviewing biomedical and experimental research, neither of which is particularly common within social work. Much social work research, especially qualitative research, is open-ended in nature, a fact that can be problematic for IRBs. The members of IRBs often want to know in advance exactly who will be observed, where, when, and for how long, whether and how they will be approached, exactly what questions they will be asked, and what predictions the researcher has for their findings. Providing this level of detail for a year-long participant observation within an activist group of 200-plus members, for example, would be extraordinarily frustrating for the researcher in the best case and most likely would prove to be impossible. Of course, IRBs do not intend to have researchers avoid studying controversial topics or avoid using certain methodologically sound data collection techniques, but unfortunately, that is sometimes the result. The solution is not to eradicate review boards, which serve a necessary and important function, but instead to help educate IRB members about the variety of social scientific research methods and topics covered by social workers and other social scientists.
What we have provided here is only a short summary of federal regulations and international agreements that provide the boundaries between ethical and unethical research.
Here are a few more detailed guides for continued learning about research ethics and human research protections.
- University of California, San Francisco: Levels of IRB Review
- United States Department of Health and Human Services: The Belmont Report
- NIH, National Institute of Environmental Health Sciences: What is Ethics in Research & Why is it important
- NIH: Guiding Principles for Ethical Research
- Council on Social Work Education: National Statement on Research Integrity in Social Work
- Butler, I. (2002). A code of ethics for social work and social care research. British Journal of Social Work, 32(2), 239-248
Key Takeaways
- Research on human subjects presents a unique set of challenges and opportunities when it comes to conducting ethical research.
- Research on human subjects has not always been regulated to the extent that it is today.
- All institutions receiving federal support for research must have an IRB. Organizations that do not receive federal support but where research is conducted also often include IRBs as part of their organizational structure.
- Researchers submit studies for IRB review at one of three different levels, depending on the level of harm the study may cause.
Exercises
- Recall whether your project will gather data from human subjects and sketch out what the data collection process might look like.
- Identify which level of IRB review is most appropriate for your project.
- For many students, your professors may have existing agreements with your university's IRB that allow students to conduct research projects outside the supervision of the IRB. Make sure that your project falls squarely within those parameters. If you feel you may be outside of such an agreement, consult with your professor to see if you will need to submit your study for IRB review before starting your project.
6.2 Specific ethical issues to consider
Learning Objectives
Learners will be able to...
- Define informed consent, and describe how it works
- Identify the unique concerns related to the study of vulnerable populations
- Differentiate between anonymity and confidentiality
- Explain the ethical responsibilities of social workers conducting research
As should be clear by now, conducting research on humans presents a number of unique ethical considerations. Human research subjects must be given the opportunity to consent to their participation in research, and be fully informed of the study’s risks, benefits, and purpose. Further, subjects’ identities and the information they share should be protected by researchers. Of course, how consent and identity protection are defined may vary by individual researcher, institution, or academic discipline. In this section, we’ll take a look at a few specific topics that individual researchers must consider before embarking on research with human subjects.
Informed consent
An expectation of voluntary participation is presumed in all social work research projects. In other words, we cannot force anyone to participate in our research without that person’s knowledge or consent. Researchers must therefore design procedures to obtain subjects’ informed consent to participate in their research. This specifically relates back to the ethical principle of respect for persons outlined in The Belmont Report. Informed consent is defined as a subject’s voluntary agreement to participate in research based on a full understanding of the research and of the possible risks and benefits involved. Although it sounds simple, ensuring that one has actually obtained informed consent is a much more complex process than you might initially presume.
The first requirement is that, in giving their informed consent, subjects may neither waive nor even appear to waive any of their legal rights. Subjects also cannot release a researcher, her sponsor, or institution from any legal liability should something go wrong during the course of their participation in the research (USDHHS,2009).[33] Because social work research does not typically involve asking subjects to place themselves at risk of physical harm by, for example, taking untested drugs or consenting to new medical procedures, social work researchers do not often worry about potential liability associated with their research projects. However, their research may involve other types of risks.
For example, what if a social work researcher fails to sufficiently conceal the identity of a subject who admits to participating in a local swinger’s club? In this case, a violation of confidentiality may negatively affect the participant’s social standing, marriage, custody rights, or employment. Social work research may also involve asking about intimately personal topics that may be difficult for participants to discuss, such as trauma or suicide. Participants may re-experience traumatic events and symptoms when they participate in your study. Even if you are careful to fully inform your participants of all risks before they consent to the research process, I’m sure you can empathize with thinking you could bear talking about a difficult topic and then finding it too overwhelming once you start. In cases like these, it is important for a social work researcher to have a plan to provide supports. This may mean providing referrals to counseling supports in the community or even calling the police if the participant is an imminent danger to himself or others.
It is vital that social work researchers explain their mandatory reporting duties in the consent form and ensure participants understand them before they participate. Researchers should also emphasize to participants that they can stop the research process at any time or decide to withdraw from the research study for any reason. Importantly, it is not the job of the social work researcher to act as a clinician to the participant. While a supportive role is certainly appropriate for someone experiencing a mental health crisis, social workers must ethically avoid dual roles. Referring a participant in crisis to other mental health professionals who may be better able to help them is the expectation.
Beyond the legal issues, most IRBs require researchers to share some details about the purpose of the research, possible benefits of participation, and, most importantly, possible risks associated with participating in that research with their subjects. In addition, researchers must describe how they will protect subjects’ identities, how, where, and for how long any data collected will be stored, how findings may be shared, and whom to contact for additional information about the study or about subjects’ rights. All this information is typically shared in an informed consent form that researchers provide to subjects. In some cases, subjects are asked to sign the consent form indicating that they have read it and fully understand its contents. In other cases, subjects are simply provided a copy of the consent form and researchers are responsible for making sure that subjects have read and understand the form before proceeding with any kind of data collection. Your IRB will often provide guidance or even templates for what they expect to see included in an informed consent form. This is a document that they will inspect very closely. Table 6.1 outlines elements to include in your informed consent. While these offer a guideline for you, you should always visit your schools, IRB website to see what guidance they offer. They often provide a template that they prefer researchers to use. Using these templates ensures that you are using the language that the IRB reviewers expect to see and this can also save you time.
Elements | Brief description |
Welcome | A greeting for your participants, a few words about who you/your team are, the aim of your study |
Procedures | What your participants are being asked to do throughout the entire research process |
Risks | Any potential risks associated with your study (this is very rarely none!); also, make sure to provide resources that address or mitigate the risks (e.g. counseling services, hotlines, EAP) |
Benefits | Any potential benefits, either direct to participant or more broadly (indirect) to community or group; include any compensation here, as well |
Privacy | Brief explanation of steps taken to protect privacy.; address confidentiality or anonymity (whichever applies); also address how the results of the study may be used/disseminated |
Voluntary Nature | It is important to emphasize that participation is voluntary and can be stopped at any time |
Contact Information | You will provide your contact information as the researcher and often the contact of the IRB that is providing approval for the study |
Signatures | We will usually seek the signature and date of participant and researcher on these forms (unless otherwise specified and approved in your IRB application) |
One last point to consider when preparing to obtain informed consent is that not all potential research subjects are considered equally competent or legally allowed to consent to participate in research. Subjects from vulnerable populations may be at risk of experiencing undue influence or coercion (USDHHS, 2009).[34] The rules for consent are more stringent for vulnerable populations. For example, minors must have the consent of a legal guardian in order to participate in research. In some cases, the minors themselves are also asked to participate in the consent process by signing special, age-appropriate assent forms designed specifically for them. Prisoners and parolees also qualify as vulnerable populations. Concern about the vulnerability of these subjects comes from the very real possibility that prisoners and parolees could perceive that they will receive some highly desired reward, such as early release, if they participate in research or that there could be punitive consequences if they choose not to participate. When a participant faces undue or excess pressure to participate by either favorable or unfavorable means, this is known as coercion and must be avoided by researchers.
Another potential concern regarding vulnerable populations is that they may be underrepresented or left out of research opportunities, specifically because of concerns about their ability to consent. So, on the one hand, researchers must take extra care to ensure that their procedures for obtaining consent from vulnerable populations are not coercive. The procedures for receiving approval to conduct research with these groups may be more rigorous than that for non-vulnerable populations. On the other hand, researchers must work to avoid excluding members of vulnerable populations from participation simply on the grounds that they are vulnerable or that obtaining their consent may be more complex. While there is no easy solution to this ethical research dilemma, an awareness of the potential concerns associated with research on vulnerable populations is important for identifying whatever solution is most appropriate for a specific case.
Protection of identities
As mentioned earlier, the informed consent process includes the requirement that researchers outline how they will protect the identities of subjects. This aspect of the research process, however, is one of the most commonly misunderstood. Furthermore, failing to protect identities is one of the greatest risks to participants in social work research studies.
In protecting subjects’ identities, researchers typically promise to maintain either the anonymity or confidentiality of their research subjects. These are two distinctly different terms and they are NOT interchangeable. Anonymity is the more stringent of the two and is very hard to guarantee in most research studies. When a researcher promises anonymity to participants, not even the researcher is able to link participants’ data with their identities. Anonymity may be impossible for some social work researchers to promise due to the modes of data collection many social workers employ. Face-to-face interviewing means that subjects will be visible to researchers and will hold a conversation, making anonymity impossible. In other cases, the researcher may have a signed consent form or obtain personal information on a survey and will therefore know the identities of their research participants. In these cases, a researcher should be able to at least promise confidentiality to participants.
Offering confidentiality means that some identifying information is known at some time by the research team, but only the research team has access to this identifying information and this information will not be linked with their data in any publicly accessible way. Confidentiality in research is quite similar to confidentiality in clinical practice. You know who your clients are, but others do not. You agree to keep their information and identity private. As you can see under the “Risks” section of the consent form in Figure 5.1, sometimes it is not even possible to promise that a subject’s confidentiality will be maintained. This is the case if data are collected in public or in the presence of other research participants in the course of a focus group, for example. Participants who social work researchers deem to be of imminent danger to self or others or those that disclose abuse of children and other vulnerable populations fall under a social worker’s duty to report. Researchers must then violate confidentiality to fulfill their legal obligations.
There are a number of steps that researchers can take to protect the identities of research participants. These include, but are not limited to:
- Collecting data in private spaces
- Not requesting information that will uniquely identify or "out" that person as a participant
- Assigning study identification codes or pseudonyms
- Keeping signed informed consent forms separate from other data provided by the participant
- Making sure that physical data is kept in a locked and secured location, and the virtual data is encrypted or password-protected
- Reporting data in aggregate (only discussing the data collectively, not by individual responses)
Protecting research participants’ identities is not always a simple prospect, especially for those conducting research on stigmatized groups or illegal behaviors. Sociologist Scott DeMuth learned that all too well when conducting his dissertation research on a group of animal rights activists. As a participant observer, DeMuth knew the identities of his research subjects. So when some of his research subjects vandalized facilities and removed animals from several research labs at the University of Iowa, a grand jury called on Mr. DeMuth to reveal the identities of the participants in the raid. When DeMuth refused to do so, he was jailed briefly and then charged with conspiracy to commit animal enterprise terrorism and cause damage to the animal enterprise (Jaschik, 2009).[35]
Publicly, DeMuth’s case raised many of the same questions as Laud Humphreys’ work 40 years earlier. What do social scientists owe the public? Is DeMuth, by protecting his research subjects, harming those whose labs were vandalized? Is he harming the taxpayers who funded those labs? Or is it more important that DeMuth emphasize what he owes his research subjects, who were told their identities would be protected? DeMuth’s case also sparked controversy among academics, some of whom thought that as an academic himself, DeMuth should have been more sympathetic to the plight of the faculty and students who lost years of research as a result of the attack on their labs. Many others stood by DeMuth, arguing that the personal and academic freedom of scholars must be protected whether we support their research topics and subjects or not. DeMuth’s academic adviser even created a new group, Scholars for Academic Justice, to support DeMuth and other academics who face persecution or prosecution as a result of the research they conduct. What do you think? Should DeMuth have revealed the identities of his research subjects? Why or why not?
Discipline-specific considerations
Often times, specific disciplines will provide their own set of guidelines for protecting research subjects and, more generally, for conducting ethical research. For social workers, the National Association of Social Workers (NASW) Code of Ethics section 5.02 describes the responsibilities of social workers in conducting research. Summarized below, these responsibilities are framed as part of a social worker’s responsibility to the profession. As representative of the social work profession, it is your responsibility to conduct and use research in an ethical manner.
A social worker should:
- Monitor and evaluate policies, programs, and practice interventions
- Contribute to the development of knowledge through research
- Keep current with the best available research evidence to inform practice
- Ensure voluntary and fully informed consent of all participants
- Not engage in any deception in the research process
- Allow participants to withdraw from the study at any time
- Provide access to appropriate supportive services for participants
- Protect research participants from harm
- Maintain confidentiality
- Report findings accurately
- Disclose any conflicts of interest
Key Takeaways
- Researchers must obtain the informed consent of research participants.
- Social workers must take steps to minimize the harms that could arise during the research process.
- If anonymity is promised, individual participants cannot be linked with their data.
- If confidentiality is promised, the identities of research participants cannot be revealed, even if individual participants can be linked with their data.
- The NASW Code of Ethics includes specific responsibilities for social work researchers.
Exercises
- Talk with your professor to see if an informed consent form is required for your research project. If documentation is required, customize the template provided by your professor or the IRB at your school, using the details of your study. If documentation on consent is not required, for example if consent is given verbally, use the templates as guides to create a guide for what you will say to participants regarding informed consent.
- Identify whether your data will be confidential or anonymous. Describe the measures you will take to protect the identities of individuals in your study. How will you store the data? How will you ensure that no one can identify participants based on what you report in papers and presentations? Be sure to think carefully. People can be identified by characteristics such as age, gender, disability status, location, etc.
6.3 Benefits and harms of research across the ecosystem
Learning Objectives
Learners will be able to...
- Identify and distinguish between micro-, mezzo-, and macro-level considerations with respect to the ethical conduct of social scientific research
This chapter began with a long list of harmful acts that researchers engaged in while conducting studies on human subjects. Indeed, even the last section on informed consent and protection of confidential information can be seen in light of minimizing harm and maximizing benefits. The benefits of your study should be greater than the harms. But who benefits from your research study, and who might be harmed? The first person who benefits is, most clearly, you as the researcher. You need a project to complete, be it for a grade, a grant, an academic responsibility, etc. However you need to make sure that your benefit does not come at the expense of harming others. Furthermore, research requires resources, including resources from the communities we work with. Part of being good stewards of these resources as social work researchers means that we need to engage in research that benefits the people we serve in meaningful and relevant ways. We need to consider how others are impacted by our research.
Micro-, mezzo-, and macro-level concerns
One useful way to think about the breadth of ethical questions that might arise out of any research project is to think about potential issues from the perspective of different analytical levels that are familiar to us as social workers. In Chapter 1, you learned about the micro-, mezzo-, and macro-levels of inquiry and how a researcher’s specific point of focus might vary depending on her level of inquiry. Here we’ll apply this ecological framework to a discussion of research ethics. Within most research projects, there are specific questions that arise for researchers at each of these three levels.
At the micro-level, researchers must consider their own conduct and the impact on individual research participants. For example, did Stanley Milgram behave ethically when he allowed research participants to think that they were administering electric shocks to fellow participants? Did Laud Humphreys behave ethically when he deceived his research subjects about his own identity? Were the rights of individuals in these studies protected? How did these participants benefit themselves from the research that was conducted? While not social workers by trade, would the actions of these two researchers hold up against our professional NASW Code of Ethics? The questions posed here are the sort that you will want to ask yourself as a researcher when considering ethics at the micro-level.
At the mezzo-level, researchers should think about their duty to the community. How will the results of your study impact your target population? Ideally, your results will benefit your target population by identifying important areas for social workers to intervene and to better understand the experiences of the communities they serve. However, it is possible that your study may perpetuate negative stereotypes about your target population or damage its reputation. Indigenous people in particular have highlighted how historically social science has furthered marginalization of indigenous peoples (Smith, 2013).[36] Mezzo-level concerns should also address other groups or organizations that are connected to your target population. This may include the human service agencies with whom you've partnered for your study as well as the communities and peoples they serve. If your study reflected negatively on a particular housing project in your area, for example, will community members seek to remove it from their community? Or might it draw increased law enforcement presence that is unwanted by participants or community members? Research is a powerful tool and can be used for many purposes, not all of them altruistic. In addition, research findings can have many implications, intended and unintended. As responsible researchers, we need to do our best to thoughtfully anticipate these consequences.
Finally, at the macro-level, a researcher should consider duty to, and the expectations of, society. Perhaps the most high-profile case involving macro-level questions of research ethics comes from debates over whether to use data gathered by, or cite published studies based on data gathered from, the Nazis in the course of their unethical and horrendous experiments on humans during World War II (Moe, 1984).[37] Some argue that because the data were gathered in such an unquestionably unethical manner, they should never be used. The data, say these people, are neither valid nor reliable and should therefore not be used in any current scientific investigation (Berger, 1990).[38]
On the other hand, some people argue that data themselves are neutral; that “information gathered is independent of the ethics of the methods and that the two are not linked together” (Pozos, 1992, p. 104).[39] Others point out that not using the data could inadvertently strengthen the claims of those who deny that the Holocaust ever happened. In his striking statement in support of publishing the data, medical ethics professor Velvl Greene (1992) says,
Instead of banning the Nazi data or assigning it to some archivist or custodial committee, I maintain that it be exhumed, printed, and disseminated to every medical school in the world along with the details of methodology and the names of the doctors who did it, whether or not they were indicted, acquitted, or hanged.…Let the students and the residents and the young doctors know that this was not ancient history or an episode from a horror movie where the actors get up after filming and prepare for another role. It was real. It happened yesterday (p. 169–170).[40]
While debates about the use of data collected by the Nazis are typically centered on medical scientists’ use of them, there are conceivable circumstances under which these data might be used by social scientists. Perhaps, for example, a social scientist might wish to examine contemporary reactions to the experiments. Or perhaps the data could be used in a study of the sociology of science. What do you think? Should data gathered by the Nazis be used or cited today? What arguments can you make in support of your position, and how would you respond to those who disagree?
Additionally at the macro-level, you must also consider your responsibilities to the profession of social work. When you engage in social work research, you stand on the reputation the profession has built for over a century. Since research is public-facing, meaning that research findings are intended to be shared publicly, you are an ambassador for the profession. How you conduct yourself as a social work researcher has potential implications for how the public perceives both social work and research. As a social worker, you have a responsibility to work towards greater social, environmental, and economic justice and human rights. Your research should reflect this responsibility. Attending to research ethics helps to fulfill your responsibilities to the profession, in addition to your target population.
Table 6.2 summarizes the key questions that researchers might ask themselves about the ethics of their research at each level of inquiry.
Level of inquiry | Focus | Key ethics questions for researchers to ask themselves |
Micro-level | Individual | Does my research interfere with the individual’s right to privacy? |
Could my research offend subjects in any way, either the collection of data or the sharing of findings? | ||
Could my research cause emotional distress to any of my subjects?
In what ways does my research benefit me? In what ways does my research benefit participants? |
||
Has my own conduct been ethical throughout the research process? | ||
Mezzo-level | Group | How does my research portray my target population? |
Could my research positively or negatively impact various communities and the systems they are connected to?
How do community members perceive my research? |
||
Have I met my duty to those who funded my research?
What are potential ripple effects for my target population by conducting this research? |
||
Macro-level | Society | Does my research meet the societal expectations of social research?
What is the historical, political, social context of my research topic? |
Have I met my social responsibilities as a researcher and as a social worker?
Does my research follow the ethical guidelines of my profession and discipline? How does my research advance social, environmental or economic justice and/or human rights? How does my research reinforce or challenge systems of power, control and structural oppression? |
Key Takeaways
- At the micro-level, researchers should consider their own conduct and the rights of individual research participants.
- At the mezzo-level, researchers should consider the expectations of their profession, any organizations that may have funded their research, and the communities affected by their research.
- At the macro-level, researchers should consider their duty to and the expectations of society with respect to social science research.
Exercises
- Summarize the benefits and harms at the micro-, mezzo-, and macro-level of inquiry. At which level of inquiry is your research project?
- In a few sentences, identify whether the benefits of your study outweigh the potential harms.
6.4 Being an ethical researcher
Learning Objectives
Learners will be able to...
- Identify why researchers must provide a detailed description of methodology
- Describe what it means to use science in an ethical way
Research ethics has to do with both how research is conducted and how findings from that research are used. In this section, we’ll consider research ethics from both angles.
Doing science the ethical way
As you should now be aware, researchers must consider their own personal ethical principles in addition to following those of their institution, their discipline, and their community. We’ve already considered many of the ways that social workers strive to ensure the ethical practice of research, such as informing and protecting subjects. But the practice of ethical research doesn’t end once subjects have been identified and data have been collected. Social workers must also fully disclose their research procedures and findings. This means being honest about how research subjects were identified and recruited, how exactly data were collected and analyzed, and ultimately, what findings were reached.
If researchers fully disclose how they conducted their research, then those who use their work to build research projects, create social policies, or make treatment decisions can have greater confidence in the work. By sharing how research was conducted, a researcher helps assure readers they have conducted legitimate research and didn’t simply come to whatever conclusions they wanted to find. A description or presentation of research findings that is not accompanied by information about research methodology is missing relevant information. Sometimes methodological details are left out because there isn’t time or space to share them. This is often the case with news reports of research findings. Other times, there may be a more insidious reason that important information is missing. This may be the case if sharing methodological details would call the legitimacy of a study into question. As researchers, it is our ethical responsibility to fully disclose our research procedures. As consumers of research, it is our ethical responsibility to pay attention to such details. We’ll discuss this more in the next section.
There’s a New Yorker cartoon that depicts a set of filing cabinets that aptly demonstrates what we don’t want to see happen with research. Each filing cabinet drawer in the cartoon is labeled differently. The labels include such headings as, “Our Facts,” “Their Facts,” “Neutral Facts,” “Disputable Facts,” “Absolute Facts,” “Bare Facts,” “Unsubstantiated Facts,” and “Indisputable Facts.” The implication of this cartoon is that one might just choose to open the file drawer of her choice and pick whichever facts one likes best. While this may occur if we use some of the unscientific ways of knowing described in Chapter 1, it is fortunately not how the discovery of knowledge in social work, or in any other science for that matter, takes place. There actually is a method to this madness we call research. At its best, research reflects a systematic, transparent, informative process.
Honesty in research is facilitated by the scientific principle of replication. Ideally, this means that one scientist could repeat another’s study with relative ease. By replicating a study, we may become more (or less) confident in the original study’s findings. Replication is far more difficult (perhaps impossible) to achieve in the case of many qualitative studies, as our purpose is often a deep understanding of very specific circumstances, rather than the broad, generalizable knowledge we traditionally seek in quantitative studies. Nevertheless, transparency in the research process is an important standard for all social scientific researchers—that we provide as much detail as possible about the processes by which we reach our conclusions. This allows the quality of our research to be evaluated. Along with replication, peer review is another important principle of the scientific process. Peer review involves other knowledgeable researchers in our field of study to evaluate our research and to determine if it is of sufficient quality to share with the public. There are valid critiques of the peer review process: that it is biased towards studies with positive findings, that it may reinforce systemic barriers to oppressed groups accessing and leveraging knowledge, that it is far more subjective and/or unreliable than it claims to be. Despite these critiques, peer review remains a foundational concept for how scientific knowledge is generated.
Full disclosure also includes the need to be honest about a study’s strengths and weaknesses, both with oneself and with others. Being aware of the strengths and weaknesses of your own work can help a researcher make reasonable recommendations about the next steps other researchers might consider taking in their inquiries. Awareness and disclosure of a study’s strengths and weaknesses can also help highlight the theoretical or policy implications of one’s work. In addition, openness about strengths and weaknesses helps those reading the research better evaluate the work and decide for themselves how or whether to rely on its findings. Finally, openness about a study’s sponsors is crucial. How can we effectively evaluate research without knowing who paid the bills? This allows us to assess for potential conflicts of interest that may compromise the integrity of the research.
The standard of replicability, the peer-review process, and openness about a study’s strengths, weaknesses, and funding sources enables those who read the research to evaluate it fairly and completely. Knowledge of funding sources is often raised as an issue in medical research. Understandably, independent studies of new drugs may be more compelling to the Food and Drug Administration (FDA) than studies touting the virtues of a new drug that happen to have been funded by the company who created that drug. But medical researchers aren’t the only ones who need to be honest about their funding. If we know, for example, that a political think tank with ties to a particular party has funded some research, we can take that knowledge into consideration when reviewing the study’s findings and stated policy implications. Lastly, and related to this point, we must consider how, by whom, and for what purpose research may be used.
Using science the ethical way
Science has many uses. By “use” I mean the ways that science is understood and applied (as opposed to the way it is conducted). Some use science to create laws and social policies; others use it to understand themselves and those around them. Some people rely on science to improve their life conditions or those of other people, while still others use it to improve their businesses or other undertakings. In each case, the most ethical way for us to use science is to educate ourselves about the design and purpose of any studies we may wish to use. This helps us to more adequately critique the value of this research, to recognize its strengths and limitations.
As part of my research course, students are asked to critique a research article. I often find in this assignment that students often have very lofty expectations for everything that 'should' be included in the journal article they are reviewing. While I appreciate the high standards, I often give them feedback that it is perhaps unrealistic (even unattainable) for a research study to be perfectly designed and described for public consumption. All research has limitations; this may be a consequence of limited resources, issues related to feasibility, and unanticipated roadblocks or problems as we are carrying out our research. Furthermore, the ways we disseminate or share our research often has restrictions on what and how we can share our findings. This doesn't mean that a study with limitations has no value—every study has limitations! However, as we are reviewing research, we should look for an open discussion about methodology, strengths, and weaknesses of the study that helps us to interpret what took place and in what ways it may be important.
For instance, this can be especially important to think about in terms of a study's sample. It can be challenging to recruit a diverse and representative sample for your study (however, that doesn't mean we shouldn't try!). The next time you are reading research studies that were used to help establish an evidence based practice (EBP), make sure to look at the description of the sample. We cannot assume that what works for one group of people will uniformly work with all groups of people with very different life experiences; however, historically much of our intervention repertoire has been both created by and evaluated on white men. If research studies don't obtain a diverse sample, for whatever reason, we would expect that the authors would identify this as a limitation and an area requiring further study. We need to challenge our profession to provide practices, strategies, models, interventions, and policies that have been evaluated and tested for their efficacy with the diverse range of people that we work with as social workers.
Social scientists who conduct research on behalf of organizations and agencies may face additional ethical questions about the use of their research, particularly when the organization for which a study is conducted controls the final report and the publicity it receives. There is a potential conflict of interest for evaluation researchers who are employees of the agency being evaluated. A similar conflict of interest might exist between independent researchers whose work is being funded by some government agency or private foundation.
So who decides what constitutes ethical conduct or use of research? Perhaps we all do. What qualifies as ethical research may shift over time and across cultures as individual researchers, disciplinary organizations, members of society, and regulatory entities, such as institutional review boards, courts, and lawmakers, all work to define the boundaries between ethical and unethical research.
Key Takeaways
- Conducting research ethically requires that researchers be ethical not only in their data collection procedures but also in reporting their methods and findings.
- The ethical use of research requires an effort to understand research, an awareness of your own limitations in terms of knowledge and understanding, and the honest application of research findings.
Exercises
- Think about your research hypothesis at this point. What would happen if your results revealed information that could harm the population you are studying? What are your ethical responsibilities as far as reporting about your research?
- Ultimately, we cannot control how others will use the results of our research. What are the implications of this for how you report on your research?
Chapter Outline
- Human subjects research (19 minute read)
- Specific ethical issues to consider (12 minute read)
- Benefits and harms of research across the ecosystem (7 minute read)
- Being an ethical researcher (8 minute read)
Content warning: examples in this chapter contain references to numerous incidents of unethical medical experimentation (e.g. intentionally injecting diseases into unknowing participants, withholding proven treatments), social experimentation under extreme conditions (e.g. being directed to deliver electric shocks to test obedience), violations of privacy, gender and racial inequality, research with people who are incarcerated or on parole, experimentation on animals, abuse of people with Autism, community interactions with law enforcement, WWII, the Holocaust, and Nazi activities (especially related to research on humans).
With your literature review underway, you are ready to begin thinking in more concrete terms about your research topic. Recall our discussion in Chapter 2 on practical and ethical considerations that emerge as part of the research process. In this chapter, we will expand on the ethical boundaries that social scientists must abide by when conducting human subjects research. As a result of reading this chapter, you should have a better sense of what is possible and ethical for the research project you create.
6.1 Human subjects research
Learning Objectives
Learners will be able to...
- Understand what we mean by ethical research and why it is important
- Understand some of the egregious ethical violations that have occurred throughout history
While all research comes with its own set of ethical concerns, those associated with research conducted on human subjects vary dramatically from those of research conducted on nonliving entities. The US Department of Health and Human Services (USDHHS) defines a human subject as “a living individual about whom an investigator (whether professional or student) conducting research obtains (1) data through intervention or interaction with the individual, or (2) identifiable private information” (USDHHS, 1993, para. 1).[42] Some researchers prefer the term "participants" to "subjects'" as it acknowledges the agency of people who participate in the study. For our purposes, we will use the two terms interchangeably.
In some states, human subjects also include deceased individuals and human fetal materials. Nonhuman research subjects, on the other hand, are objects or entities that investigators manipulate or analyze in the process of conducting research. Nonhuman research subjects typically include sources such as newspapers, historical documents, pieces of clothing, television shows, buildings, and even garbage (to name just a few), that are analyzed for unobtrusive research projects. Unsurprisingly, research on human subjects is regulated much more heavily than research on nonhuman subjects. This is why many student research projects use data that is publicly available, rather than recruiting their own study participants. However, there are ethical considerations that all researchers must take into account, regardless of their research subject. We’ll discuss those considerations in addition to concerns that are unique to human subject research.
Why do research participants need protection?
First and foremost, we are professionally bound to engage in the ethical practice of research. This chapter discusses ethical research and will show you how to engage in research that is consistent with the NASW Code of Ethics as well as national and international ethical standards all researchers are accountable to. Before we begin, we need to understand the historical occurrences that were the catalyst for the formation of the current ethical standards. This chapter will enable you to view ethics from a micro, mezzo, and macro perspective.
The research process has led to many life-changing discoveries; these have improved life expectancy, improved living conditions, and helped us understand what contributes to certain social problems. That said, not all research has been conducted in respectful, responsible, or humane ways. Unfortunately, some research projects have dramatically marginalized, oppressed, and harmed participants and whole communities.
Would you believe that the following actions have been carried out in the name of research? I realize there was a content warning at the beginning of the chapter, but it is worth mentioning that the list below of research atrocities may be particularly upsetting or triggering.
- intentionally froze healthy body parts of prisoners to see if they could develop a treatment for freezing[43]
- scaled the body parts of prisoners to how best to treat soldiers who had injuries from being exposed to high temperatures[44]
- intentionally infected healthy individuals to see if they could design effective methods of treatment for infections[45]
- gave healthy people TB to see if they could treat it[46]
- attempted to transplant limbs, bones, and muscles to another person to see if this was possible[47]
- castrated and irradiated genitals to see if they could develop a faster method of sterilization[48]
- starved people and only allowed them to drink seawater to see if they could make saline water drinkable[49]
- artificially inseminated women with animal sperm to see what would happen[50]
- gassed living people to document how they would die[51]
- conducted cruel experiments on people and if they did not die, would kill them so they could undergo an autopsy[52]
- refused to treat syphilis in African American men (when treatment was available) because they wanted to track the progression of the illness[53]
- vivisected humans without anesthesia to see how illnesses that researches gave prisoners impacted their bodies[54]
- intentionally tried to infect prisoners with the Bubonic Plague[55]
- intentionally infected prisoners, prostitutes, soldiers, and children with syphilis to study the disease's progression[56]
- performed gynecological experiments on female slaves without anesthesia to investigate new surgical methods[57]
The sad fact is that not only did all of these occur, in many instances, these travesties continued for years until exposed and halted. Additionally, these examples have contributed to the formation of a legacy of distrust toward research. Specifically, many underrepresented groups have a deep distrust of agencies that implement research and are often skeptical of research findings. This has made it difficult for groups to support and have confidence in medical treatments, advances in social service programs, and evidence-informed policy changes. While the aforementioned unethical examples may have ended, this deep and painful wound on the public's trust remains. Consequently, we must be vigilant in our commitment to ethical research.
Many of the situations described may seem like extreme historical cases of misuse of power as researchers. However, ethical problems in research don't just happen in these extreme occurrences. None of us are immune to making unethical choices and the ethical practice of research requires conscientious mindful attention to what we are asking of our research participants. A few examples of less noticeable ethical issues might include: failing to fully explain to someone in advance what their participation might involve because you are in a rush to recruit a large enough sample; or only presenting findings that support your ideas to help secure a grant that is relevant to your research area. Remember, any time research is conducted with human beings, there is the chance that ethical violations may occur that pose social, emotional, and even physical risks for groups, and this is especially true when vulnerable or oppressed groups are involved.
A brief history of unethical social science research
Research on humans hasn’t always been regulated in the way it is today. The earliest documented cases of research using human subjects are of medical vaccination trials (Rothman, 1987).[58] One such case took place in the late 1700s, when scientist Edward Jenner exposed an 8-year-old boy to smallpox in order to identify a vaccine for the devastating disease. Medical research on human subjects continued without much law or policy intervention until the mid-1900s when, at the end of World War II, a number of Nazi doctors and scientists were put on trial for conducting human experimentation during the course of which they tortured and murdered many concentration camp inmates (Faden & Beauchamp, 1986).[59] The trials, conducted in Nuremberg, Germany, resulted in the creation of the Nuremberg Code, a 10-point set of research principles designed to guide doctors and scientists who conduct research on human subjects. Today, the Nuremberg Code guides medical and other research conducted on human subjects, including social scientific research.
Medical scientists are not the only researchers who have conducted questionable research on humans. In the 1960s, psychologist Stanley Milgram (1974)[60] conducted a series of experiments designed to understand obedience to authority in which he tricked subjects into believing they were administering an electric shock to other subjects. In fact, the shocks weren’t real at all, but some, though not many, of Milgram’s research participants experienced extreme emotional distress after the experiment (Ogden, 2008).[61] A reaction of emotional distress is understandable. The realization that one is willing to administer painful shocks to another human being just because someone who looks authoritative has told you to do so might indeed be traumatizing—even if you later learn that the shocks weren’t real.
Around the same time that Milgram conducted his experiments, sociology graduate student Laud Humphreys (1970)[62] was collecting data for his dissertation on the tearoom trade, which was the practice of men engaging in anonymous sexual encounters in public restrooms. Humphreys wished to understand who these men were and why they participated in the trade. To conduct his research, Humphreys offered to serve as a “watch queen,” in a local park restroom where the tearoom trade was known to occur. His role would be to keep an eye out for police while also getting the benefit of being able to watch the sexual encounters. What Humphreys did not do was identify himself as a researcher to his research subjects. Instead, he watched his subjects for several months, getting to know several of them, learning more about the tearoom trade practice and, without the knowledge of his research subjects, jotting down their license plate numbers as they pulled into or out of the parking lot near the restroom.
Sometime after participating as a watch queen, with the help of several insiders who had access to motor vehicle registration information, Humphreys used those license plate numbers to obtain the names and home addresses of his research subjects. Then, disguised as a public health researcher, Humphreys visited his subjects in their homes and interviewed them about their lives and their health. Humphreys’ research dispelled a good number of myths and stereotypes about the tearoom trade and its participants. He learned, for example, that over half of his subjects were married to women and many of them did not identify as gay or bisexual.[63]
Once Humphreys’ work became public, there was some major controversy at his home university (e.g., the chancellor tried to have his degree revoked), among scientists in general, and among members of the public, as it raised public concerns about the purpose and conduct of social science research. In addition, the Washington Post journalist Nicholas von Hoffman wrote the following warning about “sociological snoopers”:
We’re so preoccupied with defending our privacy against insurance investigators, dope sleuths, counterespionage men, divorce detectives and credit checkers, that we overlook the social scientists behind the hunting blinds who’re also peeping into what we thought were our most private and secret lives. But they are there, studying us, taking notes, getting to know us, as indifferent as everybody else to the feeling that to be a complete human involves having an aspect of ourselves that’s unknown (von Hoffman, 1970).[64]
In the original version of his report, Humphreys defended the ethics of his actions. In 2008[65], years after Humphreys’ death, his book was reprinted with the addition of a retrospect on the ethical implications of his work. In his written reflections on his research and the fallout from it, Humphreys maintained that his tearoom observations constituted ethical research on the grounds that those interactions occurred in public places. But Humphreys added that he would conduct the second part of his research differently. Rather than trace license numbers and interview unwitting tearoom participants in their homes under the guise of public health research, Humphreys instead would spend more time in the field and work to cultivate a pool of informants. Those informants would know that he was a researcher and would be able to fully consent to being interviewed. In the end, Humphreys concluded “there is no reason to believe that any research subjects have suffered because of my efforts, or that the resultant demystification of impersonal sex has harmed society” (Humphreys, 2008, p. 231).[66]
Today, given increasing regulation of social scientific research, chances are slim that a researcher would be allowed to conduct a project similar to Humphreys’. Some argue that Humphreys’ research was deceptive, put his subjects at risk of losing their families and their positions in society, and was therefore unethical (Warwick, 1973; Warwick, 1982).[67] Others suggest that Humphreys’ research “did not violate any premise of either beneficence or the sociological interest in social justice” and that the benefits of Humphreys’ research, namely the dissolution of myths about the tearoom trade specifically and human sexual practice more generally, outweigh the potential risks associated with the work (Lenza, 2004, p. 23).[68] What do you think, and why?
These and other studies (Reverby, 2009)[69] led to increasing public awareness of and concern about research on human subjects. In 1974, the US Congress enacted the National Research Act, which created the National Commission for the Protection of Human Subjects in Biomedical and Behavioral Research. The commission produced The Belmont Report, a document outlining basic ethical principles for research on human subjects (National Commission for the Protection of Human Subjects in Biomedical and Behavioral Research, 1979).[70] The National Research Act (1974)[71] also required that all institutions receiving federal support establish institutional review boards (IRBs) to protect the rights of human research subjects. Since that time, many organizations that do not receive federal support but where research is conducted have also established review boards to evaluate the ethics of the research that they conduct. IRBs are overseen by the federal Office of Human Research Protections.
The Belmont Report
As mentioned above, The Belmont Report is a federal document that outlines the foundational principles that guide the ethical practice of research in the United States. These ethical principles include: respect for persons, beneficence, and justice. Each of these terms has specific implications as they are applied to the practice of research. These three principles arose as a response to many of the mistreatment and abuses that have been previously discussed and provide important guidance as researchers consider how they will construct and conduct their research studies. As you are crafting your research proposal, makes sure you are mindful of these important ethical guidelines.
Respect for Persons
As social workers, our professional code of ethics requires that we recognize and respect the "inherent dignity and worth of the person."[72] This is very similar to the ethical research principle of respect for persons. According to this principle, as researchers, we need to treat all research participants with respect, dignity and inherent autonomy. This is reflected by ensuring that participants have self-determination to make informed decisions about their participation in research, that they have a clear understanding of what they will be asked to do and any risks involved, and that their participation is voluntary and can be stopped at any time. Furthermore, for those persons who may have diminished autonomy (e.g. children, people who are incarcerated), extra protections must be built in to these research studies to ensure that respect for persons continues to be demonstrated towards these groups, as they may be especially vulnerable to exploitation and coercion through the research process. A critical tool in establishing respect for persons in your research is the informed consent process, which will be discussed in more detail below.
Beneficence
You may not be familiar with this word yet, but the concept is pretty straightforward. The main idea with beneficence is that the intent of research is to do good. As researchers, to accomplish this, we seek to maximize benefits and minimize risks. Benefits may be something good or advantageous directly received by the research participant, or they may represent a broader good to a wider group of people or the scientific community at large (such as increasing knowledge about the topic or social problem that you are studying). Risks are potential physical, social, or emotional harm that may come about as a response to participation in a study. These risks may be more immediate (e.g. risk of identifying information about a participant being shared, or a participant being upset or triggered by a particular question), or long-term (e.g. some aspect about the person could be shared that could lead to long-term stigmatization). As researchers, we need to think about risk that might be experienced by the individual, but also risks that might be directed towards the community or population(s) the individual may represent. For instance, if our study is specifically focused on surveying single parents, we need to consider how the sharing of our findings might impact this group and how they are perceived. It is a very rare study in which there is no risk to participants. However, a well-designed and ethically sound study will seek to minimize these risks, provide resources to anticipate and address them, and maximize the benefits that are gained through the study.
Justice
The final ethical principle we need to cover is justice. While you likely have some idea what justice is, for the purposes of research, justice is the idea that the benefits and the burdens of research are distributed fairly across populations and groups. To help illustrate the concept of justice in research, research in the area of mental health and psychology has historically been critiqued as failing to adequately represent women and people of diverse racial and ethnic groups in their samples (Cundiff, 2012).[73] This has created a body of knowledge that is overly representative of the white male experience, further reinforcing systems of power and privilege. In addition, consider the influence of language as it relates to research justice. If we create studies that only recruit participants fluent in English, which many studies do, we are often failing to satisfy the ethical principle of justice as it applies to people who don't speak English. It is unrealistic to think that we can represent all people in all studies. However, we do need to thoughtfully acknowledge voices that might not be reflected in our samples and attempt to recruit diverse and representative samples whenever possible.
These three principles provide the foundation for the oversight work that is carried out by Institutional Review Boards, our next topic.
Institutional review boards
Institutional review boards, or IRBs, are tasked with ensuring that the rights and welfare of human research subjects will be protected at all institutions, including universities, hospitals, nonprofit research institutions, and other organizations, that receive federal support for research. IRBs typically consist of members from a variety of disciplines, such as sociology, economics, education, social work, and communications (to name a few). Most IRBs also include representatives from the community in which they reside. For example, representatives from nearby prisons, hospitals, or treatment centers might sit on the IRBs of university campuses near them. The diversity of membership helps to ensure that the many and complex ethical issues that may arise from human subjects research will be considered fully and by a knowledgeable and experienced panel. Investigators conducting research on human subjects are required to submit proposals outlining their research plans to IRBs for review and approval prior to beginning their research. Even students who conduct research on human subjects must have their proposed work reviewed and approved by the IRB before beginning any research (though, on some campuses, exceptions are made for student projects that will not be shared outside of the classroom).
The IRB has three levels of review, defined in statute by the USDHHS.
Exempt
Exempt review is the lowest level of review. Studies that are considered exempt expose participants to the least potential for harm and often involve little participation by human subjects. In social work, exempt studies often examine data that is publicly available or secondary data from another researcher that has been de-identified by the person who collected it.
Expedited
Expedited review is the middle level of review. Studies considered under expedited review do not have to go before the full IRB board because they expose participants to minimal risk. However, the studies must be thoroughly reviewed by a member of the IRB committee. While there are many types of studies that qualify for expedited review, the most relevant to social workers include the use of existing medical records, recordings (such as interviews) gathered for research purposes, and research on individual group characteristics or behavior.
Full board
Finally, the highest level of review is called a full board review. A full board review will involve multiple members of the IRB evaluating your proposal. When researchers submit a proposal under full board review, the full IRB board will meet, discuss any questions or concerns with the study, invite the researcher to answer questions and defend their proposal, and vote to approve the study or send it back for revision. Full board proposals pose greater than minimal risk to participants. They may also involve the participation of vulnerable populations, or people who need additional protection from the IRB. Vulnerable populations include prisoners, children, people with cognitive impairments, people with physical disabilities, employees, and students. While some of these populations can fall under expedited review in some cases, they will often require the full IRB to approve their study.
It may surprise you to hear that IRBs are not always popular or appreciated by researchers. Who wouldn’t want to conduct ethical research, you ask? In some cases, the concern is that IRBs are most well-versed in reviewing biomedical and experimental research, neither of which is particularly common within social work. Much social work research, especially qualitative research, is open-ended in nature, a fact that can be problematic for IRBs. The members of IRBs often want to know in advance exactly who will be observed, where, when, and for how long, whether and how they will be approached, exactly what questions they will be asked, and what predictions the researcher has for their findings. Providing this level of detail for a year-long participant observation within an activist group of 200-plus members, for example, would be extraordinarily frustrating for the researcher in the best case and most likely would prove to be impossible. Of course, IRBs do not intend to have researchers avoid studying controversial topics or avoid using certain methodologically sound data collection techniques, but unfortunately, that is sometimes the result. The solution is not to eradicate review boards, which serve a necessary and important function, but instead to help educate IRB members about the variety of social scientific research methods and topics covered by social workers and other social scientists.
What we have provided here is only a short summary of federal regulations and international agreements that provide the boundaries between ethical and unethical research.
Here are a few more detailed guides for continued learning about research ethics and human research protections.
- University of California, San Francisco: Levels of IRB Review
- United States Department of Health and Human Services: The Belmont Report
- NIH, National Institute of Environmental Health Sciences: What is Ethics in Research & Why is it important
- NIH: Guiding Principles for Ethical Research
- Council on Social Work Education: National Statement on Research Integrity in Social Work
- Butler, I. (2002). A code of ethics for social work and social care research. British Journal of Social Work, 32(2), 239-248
Key Takeaways
- Research on human subjects presents a unique set of challenges and opportunities when it comes to conducting ethical research.
- Research on human subjects has not always been regulated to the extent that it is today.
- All institutions receiving federal support for research must have an IRB. Organizations that do not receive federal support but where research is conducted also often include IRBs as part of their organizational structure.
- Researchers submit studies for IRB review at one of three different levels, depending on the level of harm the study may cause.
Exercises
- Recall whether your project will gather data from human subjects and sketch out what the data collection process might look like.
- Identify which level of IRB review is most appropriate for your project.
- For many students, your professors may have existing agreements with your university's IRB that allow students to conduct research projects outside the supervision of the IRB. Make sure that your project falls squarely within those parameters. If you feel you may be outside of such an agreement, consult with your professor to see if you will need to submit your study for IRB review before starting your project.
6.2 Specific ethical issues to consider
Learning Objectives
Learners will be able to...
- Define informed consent, and describe how it works
- Identify the unique concerns related to the study of vulnerable populations
- Differentiate between anonymity and confidentiality
- Explain the ethical responsibilities of social workers conducting research
As should be clear by now, conducting research on humans presents a number of unique ethical considerations. Human research subjects must be given the opportunity to consent to their participation in research, and be fully informed of the study’s risks, benefits, and purpose. Further, subjects’ identities and the information they share should be protected by researchers. Of course, how consent and identity protection are defined may vary by individual researcher, institution, or academic discipline. In this section, we’ll take a look at a few specific topics that individual researchers must consider before embarking on research with human subjects.
Informed consent
An expectation of voluntary participation is presumed in all social work research projects. In other words, we cannot force anyone to participate in our research without that person’s knowledge or consent. Researchers must therefore design procedures to obtain subjects’ informed consent to participate in their research. This specifically relates back to the ethical principle of respect for persons outlined in The Belmont Report. Informed consent is defined as a subject’s voluntary agreement to participate in research based on a full understanding of the research and of the possible risks and benefits involved. Although it sounds simple, ensuring that one has actually obtained informed consent is a much more complex process than you might initially presume.
The first requirement is that, in giving their informed consent, subjects may neither waive nor even appear to waive any of their legal rights. Subjects also cannot release a researcher, her sponsor, or institution from any legal liability should something go wrong during the course of their participation in the research (USDHHS,2009).[74] Because social work research does not typically involve asking subjects to place themselves at risk of physical harm by, for example, taking untested drugs or consenting to new medical procedures, social work researchers do not often worry about potential liability associated with their research projects. However, their research may involve other types of risks.
For example, what if a social work researcher fails to sufficiently conceal the identity of a subject who admits to participating in a local swinger’s club? In this case, a violation of confidentiality may negatively affect the participant’s social standing, marriage, custody rights, or employment. Social work research may also involve asking about intimately personal topics that may be difficult for participants to discuss, such as trauma or suicide. Participants may re-experience traumatic events and symptoms when they participate in your study. Even if you are careful to fully inform your participants of all risks before they consent to the research process, I’m sure you can empathize with thinking you could bear talking about a difficult topic and then finding it too overwhelming once you start. In cases like these, it is important for a social work researcher to have a plan to provide supports. This may mean providing referrals to counseling supports in the community or even calling the police if the participant is an imminent danger to himself or others.
It is vital that social work researchers explain their mandatory reporting duties in the consent form and ensure participants understand them before they participate. Researchers should also emphasize to participants that they can stop the research process at any time or decide to withdraw from the research study for any reason. Importantly, it is not the job of the social work researcher to act as a clinician to the participant. While a supportive role is certainly appropriate for someone experiencing a mental health crisis, social workers must ethically avoid dual roles. Referring a participant in crisis to other mental health professionals who may be better able to help them is the expectation.
Beyond the legal issues, most IRBs require researchers to share some details about the purpose of the research, possible benefits of participation, and, most importantly, possible risks associated with participating in that research with their subjects. In addition, researchers must describe how they will protect subjects’ identities, how, where, and for how long any data collected will be stored, how findings may be shared, and whom to contact for additional information about the study or about subjects’ rights. All this information is typically shared in an informed consent form that researchers provide to subjects. In some cases, subjects are asked to sign the consent form indicating that they have read it and fully understand its contents. In other cases, subjects are simply provided a copy of the consent form and researchers are responsible for making sure that subjects have read and understand the form before proceeding with any kind of data collection. Your IRB will often provide guidance or even templates for what they expect to see included in an informed consent form. This is a document that they will inspect very closely. Table 6.1 outlines elements to include in your informed consent. While these offer a guideline for you, you should always visit your schools, IRB website to see what guidance they offer. They often provide a template that they prefer researchers to use. Using these templates ensures that you are using the language that the IRB reviewers expect to see and this can also save you time.
Elements | Brief description |
Welcome | A greeting for your participants, a few words about who you/your team are, the aim of your study |
Procedures | What your participants are being asked to do throughout the entire research process |
Risks | Any potential risks associated with your study (this is very rarely none!); also, make sure to provide resources that address or mitigate the risks (e.g. counseling services, hotlines, EAP) |
Benefits | Any potential benefits, either direct to participant or more broadly (indirect) to community or group; include any compensation here, as well |
Privacy | Brief explanation of steps taken to protect privacy.; address confidentiality or anonymity (whichever applies); also address how the results of the study may be used/disseminated |
Voluntary Nature | It is important to emphasize that participation is voluntary and can be stopped at any time |
Contact Information | You will provide your contact information as the researcher and often the contact of the IRB that is providing approval for the study |
Signatures | We will usually seek the signature and date of participant and researcher on these forms (unless otherwise specified and approved in your IRB application) |
One last point to consider when preparing to obtain informed consent is that not all potential research subjects are considered equally competent or legally allowed to consent to participate in research. Subjects from vulnerable populations may be at risk of experiencing undue influence or coercion (USDHHS, 2009).[75] The rules for consent are more stringent for vulnerable populations. For example, minors must have the consent of a legal guardian in order to participate in research. In some cases, the minors themselves are also asked to participate in the consent process by signing special, age-appropriate assent forms designed specifically for them. Prisoners and parolees also qualify as vulnerable populations. Concern about the vulnerability of these subjects comes from the very real possibility that prisoners and parolees could perceive that they will receive some highly desired reward, such as early release, if they participate in research or that there could be punitive consequences if they choose not to participate. When a participant faces undue or excess pressure to participate by either favorable or unfavorable means, this is known as coercion and must be avoided by researchers.
Another potential concern regarding vulnerable populations is that they may be underrepresented or left out of research opportunities, specifically because of concerns about their ability to consent. So, on the one hand, researchers must take extra care to ensure that their procedures for obtaining consent from vulnerable populations are not coercive. The procedures for receiving approval to conduct research with these groups may be more rigorous than that for non-vulnerable populations. On the other hand, researchers must work to avoid excluding members of vulnerable populations from participation simply on the grounds that they are vulnerable or that obtaining their consent may be more complex. While there is no easy solution to this ethical research dilemma, an awareness of the potential concerns associated with research on vulnerable populations is important for identifying whatever solution is most appropriate for a specific case.
Protection of identities
As mentioned earlier, the informed consent process includes the requirement that researchers outline how they will protect the identities of subjects. This aspect of the research process, however, is one of the most commonly misunderstood. Furthermore, failing to protect identities is one of the greatest risks to participants in social work research studies.
In protecting subjects’ identities, researchers typically promise to maintain either the anonymity or confidentiality of their research subjects. These are two distinctly different terms and they are NOT interchangeable. Anonymity is the more stringent of the two and is very hard to guarantee in most research studies. When a researcher promises anonymity to participants, not even the researcher is able to link participants’ data with their identities. Anonymity may be impossible for some social work researchers to promise due to the modes of data collection many social workers employ. Face-to-face interviewing means that subjects will be visible to researchers and will hold a conversation, making anonymity impossible. In other cases, the researcher may have a signed consent form or obtain personal information on a survey and will therefore know the identities of their research participants. In these cases, a researcher should be able to at least promise confidentiality to participants.
Offering confidentiality means that some identifying information is known at some time by the research team, but only the research team has access to this identifying information and this information will not be linked with their data in any publicly accessible way. Confidentiality in research is quite similar to confidentiality in clinical practice. You know who your clients are, but others do not. You agree to keep their information and identity private. As you can see under the “Risks” section of the consent form in Figure 5.1, sometimes it is not even possible to promise that a subject’s confidentiality will be maintained. This is the case if data are collected in public or in the presence of other research participants in the course of a focus group, for example. Participants who social work researchers deem to be of imminent danger to self or others or those that disclose abuse of children and other vulnerable populations fall under a social worker’s duty to report. Researchers must then violate confidentiality to fulfill their legal obligations.
There are a number of steps that researchers can take to protect the identities of research participants. These include, but are not limited to:
- Collecting data in private spaces
- Not requesting information that will uniquely identify or "out" that person as a participant
- Assigning study identification codes or pseudonyms
- Keeping signed informed consent forms separate from other data provided by the participant
- Making sure that physical data is kept in a locked and secured location, and the virtual data is encrypted or password-protected
- Reporting data in aggregate (only discussing the data collectively, not by individual responses)
Protecting research participants’ identities is not always a simple prospect, especially for those conducting research on stigmatized groups or illegal behaviors. Sociologist Scott DeMuth learned that all too well when conducting his dissertation research on a group of animal rights activists. As a participant observer, DeMuth knew the identities of his research subjects. So when some of his research subjects vandalized facilities and removed animals from several research labs at the University of Iowa, a grand jury called on Mr. DeMuth to reveal the identities of the participants in the raid. When DeMuth refused to do so, he was jailed briefly and then charged with conspiracy to commit animal enterprise terrorism and cause damage to the animal enterprise (Jaschik, 2009).[76]
Publicly, DeMuth’s case raised many of the same questions as Laud Humphreys’ work 40 years earlier. What do social scientists owe the public? Is DeMuth, by protecting his research subjects, harming those whose labs were vandalized? Is he harming the taxpayers who funded those labs? Or is it more important that DeMuth emphasize what he owes his research subjects, who were told their identities would be protected? DeMuth’s case also sparked controversy among academics, some of whom thought that as an academic himself, DeMuth should have been more sympathetic to the plight of the faculty and students who lost years of research as a result of the attack on their labs. Many others stood by DeMuth, arguing that the personal and academic freedom of scholars must be protected whether we support their research topics and subjects or not. DeMuth’s academic adviser even created a new group, Scholars for Academic Justice, to support DeMuth and other academics who face persecution or prosecution as a result of the research they conduct. What do you think? Should DeMuth have revealed the identities of his research subjects? Why or why not?
Discipline-specific considerations
Often times, specific disciplines will provide their own set of guidelines for protecting research subjects and, more generally, for conducting ethical research. For social workers, the National Association of Social Workers (NASW) Code of Ethics section 5.02 describes the responsibilities of social workers in conducting research. Summarized below, these responsibilities are framed as part of a social worker’s responsibility to the profession. As representative of the social work profession, it is your responsibility to conduct and use research in an ethical manner.
A social worker should:
- Monitor and evaluate policies, programs, and practice interventions
- Contribute to the development of knowledge through research
- Keep current with the best available research evidence to inform practice
- Ensure voluntary and fully informed consent of all participants
- Not engage in any deception in the research process
- Allow participants to withdraw from the study at any time
- Provide access to appropriate supportive services for participants
- Protect research participants from harm
- Maintain confidentiality
- Report findings accurately
- Disclose any conflicts of interest
Key Takeaways
- Researchers must obtain the informed consent of research participants.
- Social workers must take steps to minimize the harms that could arise during the research process.
- If anonymity is promised, individual participants cannot be linked with their data.
- If confidentiality is promised, the identities of research participants cannot be revealed, even if individual participants can be linked with their data.
- The NASW Code of Ethics includes specific responsibilities for social work researchers.
Exercises
- Talk with your professor to see if an informed consent form is required for your research project. If documentation is required, customize the template provided by your professor or the IRB at your school, using the details of your study. If documentation on consent is not required, for example if consent is given verbally, use the templates as guides to create a guide for what you will say to participants regarding informed consent.
- Identify whether your data will be confidential or anonymous. Describe the measures you will take to protect the identities of individuals in your study. How will you store the data? How will you ensure that no one can identify participants based on what you report in papers and presentations? Be sure to think carefully. People can be identified by characteristics such as age, gender, disability status, location, etc.
6.3 Benefits and harms of research across the ecosystem
Learning Objectives
Learners will be able to...
- Identify and distinguish between micro-, mezzo-, and macro-level considerations with respect to the ethical conduct of social scientific research
This chapter began with a long list of harmful acts that researchers engaged in while conducting studies on human subjects. Indeed, even the last section on informed consent and protection of confidential information can be seen in light of minimizing harm and maximizing benefits. The benefits of your study should be greater than the harms. But who benefits from your research study, and who might be harmed? The first person who benefits is, most clearly, you as the researcher. You need a project to complete, be it for a grade, a grant, an academic responsibility, etc. However you need to make sure that your benefit does not come at the expense of harming others. Furthermore, research requires resources, including resources from the communities we work with. Part of being good stewards of these resources as social work researchers means that we need to engage in research that benefits the people we serve in meaningful and relevant ways. We need to consider how others are impacted by our research.
Micro-, mezzo-, and macro-level concerns
One useful way to think about the breadth of ethical questions that might arise out of any research project is to think about potential issues from the perspective of different analytical levels that are familiar to us as social workers. In Chapter 1, you learned about the micro-, mezzo-, and macro-levels of inquiry and how a researcher’s specific point of focus might vary depending on her level of inquiry. Here we’ll apply this ecological framework to a discussion of research ethics. Within most research projects, there are specific questions that arise for researchers at each of these three levels.
At the micro-level, researchers must consider their own conduct and the impact on individual research participants. For example, did Stanley Milgram behave ethically when he allowed research participants to think that they were administering electric shocks to fellow participants? Did Laud Humphreys behave ethically when he deceived his research subjects about his own identity? Were the rights of individuals in these studies protected? How did these participants benefit themselves from the research that was conducted? While not social workers by trade, would the actions of these two researchers hold up against our professional NASW Code of Ethics? The questions posed here are the sort that you will want to ask yourself as a researcher when considering ethics at the micro-level.
At the mezzo-level, researchers should think about their duty to the community. How will the results of your study impact your target population? Ideally, your results will benefit your target population by identifying important areas for social workers to intervene and to better understand the experiences of the communities they serve. However, it is possible that your study may perpetuate negative stereotypes about your target population or damage its reputation. Indigenous people in particular have highlighted how historically social science has furthered marginalization of indigenous peoples (Smith, 2013).[77] Mezzo-level concerns should also address other groups or organizations that are connected to your target population. This may include the human service agencies with whom you've partnered for your study as well as the communities and peoples they serve. If your study reflected negatively on a particular housing project in your area, for example, will community members seek to remove it from their community? Or might it draw increased law enforcement presence that is unwanted by participants or community members? Research is a powerful tool and can be used for many purposes, not all of them altruistic. In addition, research findings can have many implications, intended and unintended. As responsible researchers, we need to do our best to thoughtfully anticipate these consequences.
Finally, at the macro-level, a researcher should consider duty to, and the expectations of, society. Perhaps the most high-profile case involving macro-level questions of research ethics comes from debates over whether to use data gathered by, or cite published studies based on data gathered from, the Nazis in the course of their unethical and horrendous experiments on humans during World War II (Moe, 1984).[78] Some argue that because the data were gathered in such an unquestionably unethical manner, they should never be used. The data, say these people, are neither valid nor reliable and should therefore not be used in any current scientific investigation (Berger, 1990).[79]
On the other hand, some people argue that data themselves are neutral; that “information gathered is independent of the ethics of the methods and that the two are not linked together” (Pozos, 1992, p. 104).[80] Others point out that not using the data could inadvertently strengthen the claims of those who deny that the Holocaust ever happened. In his striking statement in support of publishing the data, medical ethics professor Velvl Greene (1992) says,
Instead of banning the Nazi data or assigning it to some archivist or custodial committee, I maintain that it be exhumed, printed, and disseminated to every medical school in the world along with the details of methodology and the names of the doctors who did it, whether or not they were indicted, acquitted, or hanged.…Let the students and the residents and the young doctors know that this was not ancient history or an episode from a horror movie where the actors get up after filming and prepare for another role. It was real. It happened yesterday (p. 169–170).[81]
While debates about the use of data collected by the Nazis are typically centered on medical scientists’ use of them, there are conceivable circumstances under which these data might be used by social scientists. Perhaps, for example, a social scientist might wish to examine contemporary reactions to the experiments. Or perhaps the data could be used in a study of the sociology of science. What do you think? Should data gathered by the Nazis be used or cited today? What arguments can you make in support of your position, and how would you respond to those who disagree?
Additionally at the macro-level, you must also consider your responsibilities to the profession of social work. When you engage in social work research, you stand on the reputation the profession has built for over a century. Since research is public-facing, meaning that research findings are intended to be shared publicly, you are an ambassador for the profession. How you conduct yourself as a social work researcher has potential implications for how the public perceives both social work and research. As a social worker, you have a responsibility to work towards greater social, environmental, and economic justice and human rights. Your research should reflect this responsibility. Attending to research ethics helps to fulfill your responsibilities to the profession, in addition to your target population.
Table 6.2 summarizes the key questions that researchers might ask themselves about the ethics of their research at each level of inquiry.
Level of inquiry | Focus | Key ethics questions for researchers to ask themselves |
Micro-level | Individual | Does my research interfere with the individual’s right to privacy? |
Could my research offend subjects in any way, either the collection of data or the sharing of findings? | ||
Could my research cause emotional distress to any of my subjects?
In what ways does my research benefit me? In what ways does my research benefit participants? |
||
Has my own conduct been ethical throughout the research process? | ||
Mezzo-level | Group | How does my research portray my target population? |
Could my research positively or negatively impact various communities and the systems they are connected to?
How do community members perceive my research? |
||
Have I met my duty to those who funded my research?
What are potential ripple effects for my target population by conducting this research? |
||
Macro-level | Society | Does my research meet the societal expectations of social research?
What is the historical, political, social context of my research topic? |
Have I met my social responsibilities as a researcher and as a social worker?
Does my research follow the ethical guidelines of my profession and discipline? How does my research advance social, environmental or economic justice and/or human rights? How does my research reinforce or challenge systems of power, control and structural oppression? |
Key Takeaways
- At the micro-level, researchers should consider their own conduct and the rights of individual research participants.
- At the mezzo-level, researchers should consider the expectations of their profession, any organizations that may have funded their research, and the communities affected by their research.
- At the macro-level, researchers should consider their duty to and the expectations of society with respect to social science research.
Exercises
- Summarize the benefits and harms at the micro-, mezzo-, and macro-level of inquiry. At which level of inquiry is your research project?
- In a few sentences, identify whether the benefits of your study outweigh the potential harms.
6.4 Being an ethical researcher
Learning Objectives
Learners will be able to...
- Identify why researchers must provide a detailed description of methodology
- Describe what it means to use science in an ethical way
Research ethics has to do with both how research is conducted and how findings from that research are used. In this section, we’ll consider research ethics from both angles.
Doing science the ethical way
As you should now be aware, researchers must consider their own personal ethical principles in addition to following those of their institution, their discipline, and their community. We’ve already considered many of the ways that social workers strive to ensure the ethical practice of research, such as informing and protecting subjects. But the practice of ethical research doesn’t end once subjects have been identified and data have been collected. Social workers must also fully disclose their research procedures and findings. This means being honest about how research subjects were identified and recruited, how exactly data were collected and analyzed, and ultimately, what findings were reached.
If researchers fully disclose how they conducted their research, then those who use their work to build research projects, create social policies, or make treatment decisions can have greater confidence in the work. By sharing how research was conducted, a researcher helps assure readers they have conducted legitimate research and didn’t simply come to whatever conclusions they wanted to find. A description or presentation of research findings that is not accompanied by information about research methodology is missing relevant information. Sometimes methodological details are left out because there isn’t time or space to share them. This is often the case with news reports of research findings. Other times, there may be a more insidious reason that important information is missing. This may be the case if sharing methodological details would call the legitimacy of a study into question. As researchers, it is our ethical responsibility to fully disclose our research procedures. As consumers of research, it is our ethical responsibility to pay attention to such details. We’ll discuss this more in the next section.
There’s a New Yorker cartoon that depicts a set of filing cabinets that aptly demonstrates what we don’t want to see happen with research. Each filing cabinet drawer in the cartoon is labeled differently. The labels include such headings as, “Our Facts,” “Their Facts,” “Neutral Facts,” “Disputable Facts,” “Absolute Facts,” “Bare Facts,” “Unsubstantiated Facts,” and “Indisputable Facts.” The implication of this cartoon is that one might just choose to open the file drawer of her choice and pick whichever facts one likes best. While this may occur if we use some of the unscientific ways of knowing described in Chapter 1, it is fortunately not how the discovery of knowledge in social work, or in any other science for that matter, takes place. There actually is a method to this madness we call research. At its best, research reflects a systematic, transparent, informative process.
Honesty in research is facilitated by the scientific principle of replication. Ideally, this means that one scientist could repeat another’s study with relative ease. By replicating a study, we may become more (or less) confident in the original study’s findings. Replication is far more difficult (perhaps impossible) to achieve in the case of many qualitative studies, as our purpose is often a deep understanding of very specific circumstances, rather than the broad, generalizable knowledge we traditionally seek in quantitative studies. Nevertheless, transparency in the research process is an important standard for all social scientific researchers—that we provide as much detail as possible about the processes by which we reach our conclusions. This allows the quality of our research to be evaluated. Along with replication, peer review is another important principle of the scientific process. Peer review involves other knowledgeable researchers in our field of study to evaluate our research and to determine if it is of sufficient quality to share with the public. There are valid critiques of the peer review process: that it is biased towards studies with positive findings, that it may reinforce systemic barriers to oppressed groups accessing and leveraging knowledge, that it is far more subjective and/or unreliable than it claims to be. Despite these critiques, peer review remains a foundational concept for how scientific knowledge is generated.
Full disclosure also includes the need to be honest about a study’s strengths and weaknesses, both with oneself and with others. Being aware of the strengths and weaknesses of your own work can help a researcher make reasonable recommendations about the next steps other researchers might consider taking in their inquiries. Awareness and disclosure of a study’s strengths and weaknesses can also help highlight the theoretical or policy implications of one’s work. In addition, openness about strengths and weaknesses helps those reading the research better evaluate the work and decide for themselves how or whether to rely on its findings. Finally, openness about a study’s sponsors is crucial. How can we effectively evaluate research without knowing who paid the bills? This allows us to assess for potential conflicts of interest that may compromise the integrity of the research.
The standard of replicability, the peer-review process, and openness about a study’s strengths, weaknesses, and funding sources enables those who read the research to evaluate it fairly and completely. Knowledge of funding sources is often raised as an issue in medical research. Understandably, independent studies of new drugs may be more compelling to the Food and Drug Administration (FDA) than studies touting the virtues of a new drug that happen to have been funded by the company who created that drug. But medical researchers aren’t the only ones who need to be honest about their funding. If we know, for example, that a political think tank with ties to a particular party has funded some research, we can take that knowledge into consideration when reviewing the study’s findings and stated policy implications. Lastly, and related to this point, we must consider how, by whom, and for what purpose research may be used.
Using science the ethical way
Science has many uses. By “use” I mean the ways that science is understood and applied (as opposed to the way it is conducted). Some use science to create laws and social policies; others use it to understand themselves and those around them. Some people rely on science to improve their life conditions or those of other people, while still others use it to improve their businesses or other undertakings. In each case, the most ethical way for us to use science is to educate ourselves about the design and purpose of any studies we may wish to use. This helps us to more adequately critique the value of this research, to recognize its strengths and limitations.
As part of my research course, students are asked to critique a research article. I often find in this assignment that students often have very lofty expectations for everything that 'should' be included in the journal article they are reviewing. While I appreciate the high standards, I often give them feedback that it is perhaps unrealistic (even unattainable) for a research study to be perfectly designed and described for public consumption. All research has limitations; this may be a consequence of limited resources, issues related to feasibility, and unanticipated roadblocks or problems as we are carrying out our research. Furthermore, the ways we disseminate or share our research often has restrictions on what and how we can share our findings. This doesn't mean that a study with limitations has no value—every study has limitations! However, as we are reviewing research, we should look for an open discussion about methodology, strengths, and weaknesses of the study that helps us to interpret what took place and in what ways it may be important.
For instance, this can be especially important to think about in terms of a study's sample. It can be challenging to recruit a diverse and representative sample for your study (however, that doesn't mean we shouldn't try!). The next time you are reading research studies that were used to help establish an evidence based practice (EBP), make sure to look at the description of the sample. We cannot assume that what works for one group of people will uniformly work with all groups of people with very different life experiences; however, historically much of our intervention repertoire has been both created by and evaluated on white men. If research studies don't obtain a diverse sample, for whatever reason, we would expect that the authors would identify this as a limitation and an area requiring further study. We need to challenge our profession to provide practices, strategies, models, interventions, and policies that have been evaluated and tested for their efficacy with the diverse range of people that we work with as social workers.
Social scientists who conduct research on behalf of organizations and agencies may face additional ethical questions about the use of their research, particularly when the organization for which a study is conducted controls the final report and the publicity it receives. There is a potential conflict of interest for evaluation researchers who are employees of the agency being evaluated. A similar conflict of interest might exist between independent researchers whose work is being funded by some government agency or private foundation.
So who decides what constitutes ethical conduct or use of research? Perhaps we all do. What qualifies as ethical research may shift over time and across cultures as individual researchers, disciplinary organizations, members of society, and regulatory entities, such as institutional review boards, courts, and lawmakers, all work to define the boundaries between ethical and unethical research.
Key Takeaways
- Conducting research ethically requires that researchers be ethical not only in their data collection procedures but also in reporting their methods and findings.
- The ethical use of research requires an effort to understand research, an awareness of your own limitations in terms of knowledge and understanding, and the honest application of research findings.
Exercises
- Think about your research hypothesis at this point. What would happen if your results revealed information that could harm the population you are studying? What are your ethical responsibilities as far as reporting about your research?
- Ultimately, we cannot control how others will use the results of our research. What are the implications of this for how you report on your research?
2.3 Practical and ethical considerations for collecting data
Learning Objectives
Learners will be able to...
- Identify potential stakeholders and gatekeepers
- Differentiate between raw data and the results of scientific studies
- Evaluate whether you can feasibly complete your project
Are you interested in better understanding the day-to-day experiences of maximum security prisoners? This sounds fascinating, but unless you plan to commit a crime that lands you in a maximum security prison, gaining access to that particular population would be difficult for a graduate student project. While the topics about which social work questions can be asked may seem limitless, there are limits to which aspects of topics we can study or at least to the ways we can study them. This is particularly true for research projects completed by students.
Feasibility refers to whether you can practically conduct the study you plan to do, given the resources and ethical obligations you have. In this section, we assume that you will have to actually conduct the research project that you write about in your research proposal. It's a good time to check with your professor about your program's expectations for student research projects. For students who do not have to carry out their projects, feasibility is less of a concern because, well, you don't actually have to carry out your project. Instead, you'll propose a project that could work in theory. However, for students who have to carry out the projects in their research proposals, feasibility is incredibly important. In this section, we will review the important practical and ethical considerations student researchers should start thinking about from the beginning of a research project.
Access, consent, and ethical obligations
One of the most important feasibility issues is gaining access to your target population. For example, let’s say you wanted to better understand middle-school students who engaged in self-harm behaviors. That is a topic of social importance, so why might it make for a difficult student project? Let's say you proposed to identify students from a local middle school and interview them about self-harm. Methodologically, that sounds great since you are getting data from those with the most knowledge about the topic, the students themselves. But practically, that sounds challenging. Think about the ethical obligations a social work practitioner has to adolescents who are engaging in self-harm (e.g., competence, respect). In research, we are similarly concerned mostly with the benefits and harms of what you propose to do as well as the openness and honesty with which you share your project publicly.
Gatekeepers
If you were the principal at your local middle school, would you allow an MSW student to interview kids in your schools about self-harm? What if the results of the study showed that self-harm was a big problem that your school was not addressing? What if the researcher's interviews themselves caused an increase in self-harming behaviors among the children? The principal in this situation is a gatekeeper. Gatekeepers are the individuals or organizations who control access to the population you want to study. The school board would also likely need to give consent for the research to take place at their institution. Gatekeepers must weigh their ethical questions because they have a responsibility to protect the safety of the people at their organization, just as you have an ethical obligation to protect the people in your research study.
For student projects, it can be a challenge to get consent from gatekeepers to conduct your research project. As a result, students often conduct research projects at their place of employment or field work, as they have established trust with gatekeepers in those locations. I'm still doubtful an MSW student interning at the middle school would be able to get consent for this study, but they probably have a better chance than a researcher with no relationship to the school. In the case where the population (children who self-harm) are too vulnerable, student researchers may collect data from people who have secondary knowledge about the topic. For example, the principal may be more willing to let you talk to teachers or staff, rather than children. I commonly see student projects that focus on studying practitioners rather than clients for this reason.
Stakeholders
In some cases, researchers and gatekeepers partner on a research project. When this happens, the gatekeepers become stakeholders. Stakeholders are individuals or groups who have an interest in the outcome of the study you conduct. As you think about your project, consider whether there are formal advisory groups or boards (like a school board) or advocacy organizations who already serve or work with your target population. Approach them as experts an ask for their review of your study to see if there are any perspectives or details you missed that would make your project stronger.
There are many advantages to partnering with stakeholders to complete a research project together. Continuing with our example on self-harm in schools, in order to obtain access to interview children at a middle school, you will have to consider other stakeholders' goals. School administrators also want to help students struggling with self-harm, so they may want to use the results to form new programs. But they may also need to avoid scandal and panic if the results show high levels of self-harm. Most likely, they want to provide support to students without making the problem worse. By bringing in school administrators as stakeholders, you can better understand what the school is currently doing to address the issue and get an informed perspective on your project's questions. Negotiating the boundaries of a stakeholder relationship requires strong meso-level practice skills.
Of course, partnering with administrators probably sounds quite a bit easier than bringing on board the next group of stakeholders—parents. It's not ethical to ask children to participate in a study without their parents' consent. We will review the parameters of parental and child consent in Chapter 5. Parents may be understandably skeptical of a researcher who wants to talk to their child about self-harm, and they may fear potential harms to the child and family from your study. Would you let a researcher you didn't know interview your children about a very sensitive issue?
Social work research must often satisfy multiple stakeholders. This is especially true if a researcher receives a grant to support the project, as the funder has goals it wants to accomplish by funding the research project. Your MSW program and university are also stakeholders in your project. When you conduct research, it reflects on your school. If you discover something of great importance, your school looks good. If you harm someone, they may be liable. Your university likely has opportunities for you to share your research with the campus community, and may have incentives or grant programs for student researchers. Your school also provides you with support through instruction and access to resources like the library and data analysis software.
Target population
So far, we've talked about access in terms of gatekeepers and stakeholders. Let's assume all of those people agree that your study should proceed. But what about the people in the target population? They are the most important stakeholder of all! Think about the children in our proposed study on self-harm. How open do you think they would be to talking to you about such a sensitive issue? Would they consent to talk to you at all?
Maybe you are thinking about simply asking clients on your caseload. As we talked about before, leveraging existing relationships created through field work can help with accessing your target population. However, they introduce other ethical issues for researchers. Asking clients on your caseload or at your agency to participate in your project creates a dual relationship between you and your client. What if you learn something in the research project that you want to share with your clinical team? More importantly, would your client feel uncomfortable if they do not consent to your study? Social workers have power over clients, and any dual relationship would require strict supervision in the rare case it was allowed.
Resources and scope
Let's assume everyone consented to your project and you have adequately addressed any ethical issues with gatekeepers, stakeholders, and your target population. That means everything is ready to go, right? Not quite yet. As a researcher, you will need to carry out the study you propose to do. Depending on how big or how small your proposed project is, you’ll need a little or a lot of resources. Generally, student projects should err on the side of small and simple. We will discuss the limitations of this advice in section 2.5.
Raw data
One thing that all projects need is raw data. It's extremely important to note that raw data is not just the information you read in journal articles and books. Every year, I get at least one student research proposal that simply proposes to read articles. It's a very understandable mistake to make. Most graduate school assignments are simply to read about a topic and write a paper. A research project involves doing the same kind of research that the authors of journal articles do when they conduct quantitative or qualitative studies. Raw data can come in may forms. Very often in social science research, raw data includes the responses to a survey or transcripts of interviews and focus groups, but raw data can also include experimental results, diary entries, art, or other data points that social scientists use in analyzing the world.
As the above examples illustrate, some social work researchers do not collect raw data of their own, but instead use secondary data analysis to analyze raw data that has been shared by other researchers . One common source of raw data in student projects from their internship or employer. By looking at client charts or data from previous grant reports or program evaluations, you can use raw data already collected by your agency to answer your research question. You can also use data that was not gathered by a scientist but is publicly available. For example, you might analyze blog entries, movies, YouTube videos, songs, or other pieces of media. Whether a researcher should use secondary data or collect their own raw data is an important choice which we will discuss in greater detail in section 2.4. Nevertheless, without raw data there can be no research project. Reading the literature about your topic is only the first step in a research project.
Time
Time is a student's most precious resource. MSW students are overworked and underpaid, so it is important to be upfront with yourself about the time needed to answer your question. Every hour spent on your research project is not spent doing other things. Make sure that your proposal won't require you to spend years collecting and analyzing data. Think realistically about the timeline for this research project. If you propose to interview fifty mental health professionals in their offices in your community about your topic, make sure you can dedicate fifty hours to conduct those interviews, account for travel time, and think about how long it will take to transcribe and analyze those interviews.
- What is reasonable for you to do over this semester and potentially another semester of advanced research methods?
- How many hours each week can you dedicate to this project considering what you have to do for other MSW courses, your internship and job, as well as family or social responsibilities?
In many cases, focusing your working question on something simple, specific, and clear can help avoid time issues in research projects. Another thing that can delay a research project is receiving approval from the institutional review board (IRB), the research ethics committee at your university. If your study may cause harm to people who participate in it, you may have to formally propose your study to the IRB and get their approval before gathering your data. A well-prepared study is likely to gain IRB approval with minimal revisions needed, but the process can take weeks to complete and must be done before data collection can begin. We will address the ethical obligations of researchers in greater detail in Chapter 5.
Money
Most research projects cost some amount of money, but for student projects, most of that money is already paid. You paid for access to a university library that provides you with all of the journals, books, and other sources you might need. You paid for a computer for homework and may use your car to drive to go to class or collect your data. You paid for this class. You are not expected to spend any additional money on your student research project.
However, it is always worth looking to see if there are grant opportunities to support student research in your school or program. Often, these will cover small expenses like travel or incentives for people who participate in the study. Alternately, you could use university grant funds to travel to academic conferences to present on your findings and network with other students, practitioners, and researchers. Chapter 24 reviews academic conferences relevant to social work practice and education with a focus on the United States.
Knowledge, competence, and skills
Another student resource is knowledge. By engaging with the literature on your topic and learning the content in your research methods class, you will learn how to study your topic using social scientific research methods. The core social work value of competence is key here. Here's an example from my work on one of my former university's research ethics board. A student from the design department wanted to study suicide by talking to college students in a suicide prevention campus group. While meeting with the student researcher, someone on the board asked what she would do if one of the students in her study disclosed that they were currently suicidal. The researcher responded that she never considered that possibility, and that she envisioned a more "fun" discussion. We hope this example set off alarm bells for you, as it did for the review board.
Clearly, researchers need to know enough about their target population in order to conduct ethical research. Because students usually have little experience in the research world, their projects should pose fewer potential risks to participants. That means posing few, if any, questions about sensitive issues, such as trauma. A common way around this challenge is by collecting data from less vulnerable populations such as practitioners or administrators who have second-hand knowledge of target populations based on professional relationships.
Knowledge and the social work value of ethical competence go hand in hand. We see the issue of competence often in student projects if their question is about whether an intervention, for example dialectical behavioral therapy (DBT), is effective. A student would have to be certified in DBT in order to gather raw data by practicing it with clients and tracking their progress. That's well outside the scope of practice competency for an MSW student and better suited to a licensed practitioner. It would be more ethical and feasible for a student researcher to analyze secondary data from a practitioner certified to use DBT or analyze raw data from another researcher's study.
If your working question asks about which interventions are effective for a problem, don't panic. Often questions about effectiveness are good places to start, but the project will have to shift in order be workable for a student. Perhaps the student would like to learn more about the cost of getting trained in DBT, which aspects of it practitioners find the most useful, whether insurance companies will reimburse for it, or other topics that require fewer resources to answer. In the process of investigating a smaller project like this, you will learn about the effectiveness of DBT by reading the scholarly literature but the actual research project will be smaller and more feasible to conduct as a student.
Another idea to keep in mind is the level of data collection and analysis skills you will gain during your MSW program. Most MSW programs will seek to give you the basics of quantitative and qualitative research. However, there are limits to what your courses will cover just as there are limits to what we could include in this textbook. If you feel your project may require specific education on data collection or analysis techniques, it's important to reach out to your professor to see if it is feasible for you to gain that knowledge before conducting your study. For example, you may need to take an advanced statistics course or an independent study on community-engaged research in order to competently complete your project.
In summary, here are a few questions you should ask yourself about your project to make sure it's feasible. While we present them early on in the research process (we're only in Chapter 2), these are certainly questions you should ask yourself throughout the proposal writing process. We will revisit feasibility again in Chapter 9 when we work on finalizing your research question.
- Do you have access to the data you need or can you collect the data you need?
- Will you be able to get consent from stakeholders, gatekeepers, and your target population?
- Does your project pose risk to individuals through direct harm, dual relationships, or breaches in confidentiality?
- Are you competent enough to complete the study?
- Do you have the resources and time needed to carry out the project?
Key Takeaways
- People will have to say “yes” to your research project. Evaluate whether your project might have gatekeepers or potential stakeholders. They may control access to data or potential participants.
- Researchers need raw data such as survey responses, interview transcripts, or client charts. Your research project must involve more than looking at the analyses conducted by other researchers, as the literature review is only the first step of a research project.
- Make sure you have enough resources (time, money, and knowledge) to complete your research project during your MSW program.
Exercises
Think about how you might answer your question by collecting your own data.
- Identify any gatekeepers and stakeholders you might need to contact.
- Do you think it is likely you will get access to the people or records you need for your study?
Describe any potential harm that could come to people who participate in your study.
- Would the benefits of your study outweigh the risks?
2.4 Raw data
Learning Objectives
Learners will be able to...
- Identify potential sources of available data
- Weigh the challenges and benefits of collecting your own data
In our previous section, we addressed some of the challenges researchers face in collecting and analyzing raw data. Just as a reminder, raw data are unprocessed, unanalyzed data that researchers analyze using social science research methods. It is not just the statistics or qualitative themes in journal articles. It is the actual data from which those statistical outputs or themes are derived (e.g., interview transcripts or survey responses).
There are two approaches to getting raw data. First, students can analyze data that are publicly available or from agency records. Using secondary data like this can make projects more feasible, but you may not find existing data that are useful for answering your working question. For that reason, many students gather their own raw data. As we discussed in the previous section, potential harms that come from addressing sensitive topics mean that surveys and interviews of practitioners or other less-vulnerable populations may be the most feasible and ethical way to approach data collection.
Using secondary data
Within the agency setting, there are two main sources of raw data. One option is to examine client charts. For example, if you wanted to know if substance use was related to parental reunification for youth in foster care, you could look at client files and compare how long it took for families with differing levels of substance use to be reunified. You will have to negotiate with the agency the degree to which your analysis can be public. Agencies may be okay with you using client files for a class project but less comfortable with you presenting your findings at a city council meeting. When analyzing data from your agency, you will have to manage a stakeholder relationship.
Another great example from my class this year was a student who used existing program evaluations at their agency as raw data in her student research project. If you are practicing at a grant funded agency, administrators and clinicians are likely producing data for grant reporting. Your agency may consent to have you look at the raw data and run your own analysis. Larger agencies may also conduct internal research—for example, surveying employees or clients about new initiatives. These, too, can be good sources of available data. Generally, if your agency has already collected the data, you can ask to use them. Again, it is important to be clear on the boundaries and expectations of your agency. And don't be angry if they say no!
Some agencies, usually government agencies, publish their data in formal reports. You could take a look at some of the websites for county or state agencies to see if there are any publicly available data relevant to your research topic. As an example, perhaps there are annual reports from the state department of education that show how seclusion and restraint is disproportionately applied to Black children with disabilities, as students found in Virginia. In my class last year, one student matched public data from our city's map of criminal incidents with historically redlined neighborhoods. For this project, she is using publicly available data from Mapping Inequality, which digitized historical records of redlined housing communities and the Roanoke, VA crime mapping webpage. By matching historical data on housing redlining with current crime records, she is testing whether redlining still impacts crime to this day.
Not all public data are easily accessible, though. The student in the previous example was lucky that scholars had digitized the records of how Virginia cities were redlined by race. Sources of historical data are often located in physical archives, rather than digital archives. If your project uses historical data in an archive, it would require you to physically go to the archive in order to review the data. Unless you have a travel budget, you may be limited to the archival data in your local libraries and government offices. Similarly, government data may have to be requested from an agency, which can take time. If the data are particularly sensitive or if the department would have to dedicate a lot of time to your request, you may have to file a Freedom of Information Act request. This process can be time-consuming, and in some cases, it will add financial cost to your study.
Another source of secondary data is shared by researchers as part of the publication and review process. There is a growing trend in research to publicly share data so others can verify your results and attempt to replicate your study. In more recent articles, you may notice links to data provided by the researcher. Often, these have been de-identified by eliminating some information that could lead to violations of confidentiality. You can browse through the data repositories in Table 2.1 to find raw data to analyze. Make sure that you pick a data set with thorough and easy to understand documentation. You may also want to use Google's dataset search which indexes some of the websites below as well as others in a very intuitive and easy to use way.
Organizational home | Focus/topic | Data | Web address |
National Opinion Research Center | General Social Survey; demographic, behavioral, attitudinal, and special interest questions; national sample | Quantitative | https://gss.norc.org/ |
Carolina Population Center | Add Health; longitudinal social, economic, psychological, and physical well-being of cohort in grades 7–12 in 1994 | Quantitative | http://www.cpc.unc.edu/projects/addhealth |
Center for Demography of Health and Aging | Wisconsin Longitudinal Study; life course study of cohorts who graduated from high school in 1957 | Quantitative | https://www.ssc.wisc.edu/wlsresearch/ |
Institute for Social & Economic Research | British Household Panel Survey; longitudinal study of British lives and well- being | Quantitative | https://www.iser.essex.ac.uk/bhps |
International Social Survey Programme | International data similar to GSS | Quantitative | http://www.issp.org/ |
The Institute for Quantitative Social Science at Harvard University | Large archive of written data, audio, and video focused on many topics | Quantitative and qualitative | http://dvn.iq.harvard.edu/dvn/dv/mra |
Institute for Research on Women and Gender | Global Feminisms Project; interview transcripts and oral histories on feminism and women’s activism | Qualitative | https://globalfeminisms.umich.edu/ |
Oral History Office | Descriptions and links to numerous oral history archives | Qualitative | https://archives.lib.uconn.edu/islandora/ object/20002%3A19840025 |
UNC Wilson Library | Digitized manuscript collection from the Southern Historical Collection | Qualitative | http://dc.lib.unc.edu/ead/archivalhome.php? CISOROOT=/ead |
Qualitative Data Repository | A repository of qualitative data that can be downloaded and annotated collaboratively with other researchers | Qualitative | https://qdr.syr.edu/ |
Ultimately, you will have to weigh the strengths and limitations of using secondary data on your own. Engel and Schutt (2016, p. 327)[83] propose six questions to ask before using secondary data:
- What were the agency’s or researcher’s goals in collecting the data?
- What data were collected, and what were they intended to measure?
- When was the information collected?
- What methods were used for data collection? Who was responsible for data collection, and what were their qualifications? Are they available to answer questions about the data?
- How is the information organized (by date, individual, family, event, etc.)? Are identifiers used to indicate different types of data available?
- What is known about the success of the data collection effort? How are missing data indicated and treated? What kind of documentation is available? How consistent are the data with data available from other sources?
In this section, we've talked about data as though it is always collected by scientists and professionals. But that's definitely not the case! Think more broadly about sources of data that are already out there in the world. Perhaps you want to examine the different topics mentioned in the past 10 State of the Union addresses by the President. One of my students this past semester is examining whether the websites and public information about local health and mental health agencies use gender-inclusive language. People share their experiences through blogs, social media posts, videos, performances, among countless other sources of data. When you think broadly about data, you'll be surprised how much you can answer with available data.
Collecting your own raw data
The primary benefit of collecting your own data is that it allows you to collect and analyze the specific data you are looking for, rather than relying on what other people have shared. You can make sure the right questions are asked to the right people. For a student project, data collection is going to look a little different than what you read in most journal articles. Established researchers probably have access to more resources than you do, and as a result, are able to conduct more complicated studies. Student projects tend to be smaller in scope. This isn't necessarily a limitation. Student projects are often the first step in a long research trajectory in which the same topic is studied in increasing detail and sophistication over time.
Students in my class often propose to survey or interview practitioners. The focus of these projects should be about the practice of social work and the study will uncover how practitioners understand what they do. Surveys of practitioners often test whether responses to questions are related to each other. For example, you could propose to examine whether someone's length of time in practice was related to the type of therapy they use or their level of burnout. Interviews or focus groups can also illuminate areas of practice. A student in my class proposed to conduct focus groups of individuals in different helping professions in order to understand how they viewed the process of leaving an abusive partner. She suspected that people from different disciplines would make unique assumptions about the survivor's choices.
It's worth remembering here that you need to have access to practitioners, as we discussed in the previous section. Resourceful students will look at publicly available databases of practitioners, draw from agency and personal contacts, or post in public forums like Facebook groups. Consent from gatekeepers is important, and as we described earlier, you and your agency may be interested in collaborating on a project. Bringing your agency on board as a stakeholder in your project may allow you access to company email lists or time at staff meetings as well as access to practitioners. One of our students last year partnered with her internship placement at a local hospital to measure the burnout of that nurses experienced in their department. Her project helped the agency identify which departments may need additional support.
Another possible way you could collect data is by partnering with your agency on evaluating an existing program. Perhaps they want you to evaluate the early stage of a program to see if it's going as planned and if any changes need to be made. Maybe there is an aspect of the program they haven't measured but would like to, and you can fill that gap for them. Collaborating with agency partners in this way can be a challenge, as you must negotiate roles, get stakeholder buy-in, and manage the conflicting time schedules of field work and research work. At the same time, it allows you to make your work immediately relevant to your specific practice and client population.
In summary, many student projects fall into one of the following categories. These aren't your only options! But they may be helpful in thinking about what students projects can look like.
- Analyzing chart or program evaluations at an agency
- Analyzing existing data from an agency, government body, or other public source
- Analyzing popular media or cultural artifacts
- Surveying or interviewing practitioners, administrators, or other less-vulnerable groups
- Conducting a program evaluation in collaboration with an agency
Key Takeaways
- All research projects require analyzing raw data.
- Student projects often analyze available data from agencies, government, or public sources. Doing so allows students to avoid the process of recruiting people to participate in their study. This makes projects more feasible but limits what you can study to the data that are already available to you.
- Student projects should avoid potentially harmful or sensitive topics when surveying or interviewing clients and other vulnerable populations. Since many social work topics are sensitive, students often collect data from less-vulnerable populations such as practitioners and administrators.
Exercises
- Describe the difference between raw data and the results of research articles.
- Identify potential sources of secondary data that might help you answer your working question.
- Consider browsing around the data repositories in Table 2.1.
- Identify one of the common types of student projects (e.g., surveys of practitioners) and how conducting a similar project might help you answer your working question.
This resource draws from the existing body of open educational resources on social science research methods. This index provides information about which sources were adapted in each chapter. This index does not include attributions for images, which are provided in the Media Attributions section at the end of each chapter before the footnotes.
I should note that this textbook draws heavily from Scientific inquiry in social work by Matt DeCarlo and published by Open Social Work under a CC-BY-NC-SA 4.0 license which adapted a large chunk of content from Principles of sociological inquiry: Quantitative and qualitative methods by Amy Blackstone and published by the Saylor Foundation under a CC-BY-NC-SA license. In many ways, this project is indebted to Dr. Blackstone's seminal scholarly gift.
Chapter 1 adapted content from:
- Chapter 1 of Scientific inquiry in social work by Matt DeCarlo and published by Open Social Work under a CC-BY-NC-SA 4.0 license.
- Cultural Humility: People, Principles and Practices—Part 1 of 4 published by Vivian Chavez under a CC BY-NC-ND 3.0 license.
Chapter 2 adapted content from:
- Sections 2.1 and 15.1 of Scientific inquiry in social work by Matt DeCarlo and published by Open Social Work under a CC-BY-NC-SA 4.0 license.
- How to create a concept map published by the University of Guelph Library under a CC-BY 4.0 license.
Chapters 3, 4, and 5 adapted content from:
- Sections 2.2, 2.3, 3.1, and 3.2 of Scientific inquiry in social work by Matt DeCarlo and published by Open Social Work under a CC-BY-NC-SA 4.0 license.
- Bonanno & Veselak's article A matter of trust: Parents attitudes towards child mental health information sources and published in Advances in Social Work under a CC-BY 4.0 license.
- The section on SIFT from Introduction to College Research by Walter D. Butler, Aloha Sargent, and Kelsey Smith and published under a CC-BY 4.0 license.
- Information privilege by Steely Library NKU and published under a CC-BY 4.0 license.
Chapter 6 adapted content from:
- Chapter 5 of Scientific inquiry in social work by Matt DeCarlo and published by Open Social Work under a CC-BY-NC-SA 4.0 license.
Chapter 7 adapted content from:
- Section 6.2 of Scientific inquiry in social work by Matt DeCarlo CC-BY-NC-SA 4.0 published by Open Social Work under a CC-BY-NC-SA 4.0 license.
- The GO-GN research methods handbook by Farrow, R., Iniesto, F., Weller, M. & Pitt., R. published by the Global OER Graduate Network (GO-GN) under a CC-BY 4.0 license.
- A small amount of content from the Wikipedia entry for postpositivism published under a CC-BY-SA 3.0 license as well as Yosef Jabarin's article on conceptual frameworks published by the
International Journal of Qualitative Methods under a CC-BY 4.0 license.
Chapter 8 adapted content from:
- Sections 6.3, 7.2, and 7.3 of Scientific inquiry in social work by Matt DeCarlo CC-BY-NC-SA 4.0 published by Open Social Work which is adapted from Principles of sociological inquiry: Quantitative and qualitative methods by Amy Blackstone CC-BY-NC-SA published by the Saylor Foundation.
- Chapter 10 of Research methods in psychology (4th edition) by Rajiv S. Jhangiani, I-Chant A. Chiang, Carrie Cuttler, and Dana C. Leighton CC-BY-NC-SA 4.0 from Kwantlen Polytechnic University Library.
Chapter 9 adapted content from:
- Chapter 8 of Scientific inquiry in social work by Matt DeCarlo CC-BY-NC-SA 4.0 published by Open Social Work under a CC-BY-NC-SA 4.0 license.
- Many figures and ideas from Principles of sociological inquiry: Quantitative and qualitative methods by Amy Blackstone CC-BY-NC-SA published by the Saylor Foundation.
Chapter 10 adapted content from:
- Chapter 10 of Scientific inquiry in social work by Matt DeCarlo and published by Open Social Work under a CC-BY-NC-SA 4.0 license.
Chapter 11 adapted content from:
- Chapter 9 of Scientific inquiry in social work by Matt DeCarlo CC-BY-NC-SA 4.0 published by Open Social Work under a CC-BY-NC-SA 4.0 license.
- Chapter 6 of Social Science Research: Principles, Methods, and Practices published by Anol Bhattacherjee under a CC-BY-NC-SA 3.0 Unported license.
- Chapter 35 of Research methods in psychology (4th edition) by Rajiv S. Jhangiani, I-Chant A. Chiang, Carrie Cuttler, and Dana C. Leighton CC-BY-NC-SA 4.0 from Kwantlen Polytechnic University Library.
Chapter 12 adapted content from:
- Chapter 35 of Research methods in psychology (4th edition) by Rajiv S. Jhangiani, I-Chant A. Chiang, Carrie Cuttler, and Dana C. Leighton CC-BY-NC-SA 4.0 from Kwantlen Polytechnic University Library.
- Chapter 9 of Social Science Research: Principles, Methods, and Practices published by Anol Bhattacherjee under a CC-BY-NC-SA 3.0 Unported license.
- The final section on cultural bias adapts a large amount of content from Navigating cross-cultural research: methodological and ethical considerations, an open access article by Tanya Broesch, Alyssa N. Crittenden, Bret A. Beheim, Aaron D. Blackwell, John A. Bunce, Heidi Colleran, Kristin Hagel, Michelle Kline, Richard McElreath, Robin G. Nelson, Anne C. Pisor, Sean Prall, Ilaria Pretelli, Benjamin Purzycki, Elizabeth A. Quinn, Cody Ross, Brooke Scelza, Kathrine Starkweather, Jonathan Stieglitz and Monique Borgerhoff Mulder published by Proceedings of the Royal Academy of Biological Sciences under a CC-BY 4.0 license.
Chapter 13 adapted content from:
- Chapter 7 of Research methods in psychology (3rd American edition) by Paul C. Price, Rajiv S. Jhangiani, I-Chant A. Chiang, Dana C. Leighton, and Carrie Cuttler published by Washington State University Press under a CC-BY-NC-SA 4.0 license.
Chapter 15 adapted content from:
- Chapter 12 of Research methods in psychology (3rd American edition) by Paul C. Price, Rajiv S. Jhangiani, I-Chant A. Chiang, Dana C. Leighton, and Carrie Cuttler CC-BY-NC-SA 4.0 published by Washington State University Press under a CC-BY-NC-SA 4.0 license.
Chapter 19 adapted content from:
- Figures 19.4 and 19.5 are from Growing up in New York City: A Generational Memoir (1941–1960). by Howard R. Wolf and published in American Studies Journal under a CC-BY-SA 4.0 license.
Chapter 21 adapted content from:
- Figure 21.1 is from Street youth labor as an expression of survival and self-worth by Karabanow, J & Gurman, E. and published in Critical Social Work under a CC-BY-NC-ND 4.0 license.
Chapter 24 adapted content from:
- Chapter 16 of Scientific inquiry in social work by Matt DeCarlo CC-BY-NC-SA 4.0 published by Open Social Work under a CC-BY-NC-SA 4.0 license.
Publisher
This textbook is part of the Open Social Work project. Open Social Work is dedicated to spreading open education, open access, open science, and the practices that support them in social work education and research. Other social work open textbooks as well as resources for faculty who want to engage in open scholarship are available at www.opensocialwork.org. Together, we can create a social work knowledge base owned by the community.
Suggested citation
DeCarlo, M., Cummings, C., & Agnelli, K. (2021). Graduate research methods in social work: A project-based approach. Open Social Work. https://www.doi.org/10.21061/msw-research
Copyright license
Graduate research methods in social work: A project-based approach was created by Matthew DeCarlo, Cory Cummings, and Kate Agnelli. Unless otherwise noted, this textbook and all of the associated resources (workbook, slideshows, activities, etc.) are © 2021 by these authors and licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 License (https://creativecommons.org/licenses/by-nc-sa/4.0/).
Publisher
This textbook is part of the Open Social Work project. Open Social Work is dedicated to spreading open education, open access, open science, and the practices that support them in social work education and research. Other social work open textbooks as well as resources for faculty who want to engage in open scholarship are available at www.opensocialwork.org. Together, we can create a social work knowledge base owned by the community.
Suggested citation
DeCarlo, M., Cummings, C., & Agnelli, K. (2021). Graduate research methods in social work: A project-based approach. Open Social Work. https://www.doi.org/10.21061/msw-research
Copyright license
Graduate research methods in social work: A project-based approach was created by Matthew DeCarlo, Cory Cummings, and Kate Agnelli. Unless otherwise noted, this textbook and all of the associated resources (workbook, slideshows, activities, etc.) are © 2021 by these authors and licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 License (https://creativecommons.org/licenses/by-nc-sa/4.0/).
approach to recruitment where participants are members of an organization or social group with identified membership
an experimental design in which participants are randomly assigned to control and treatment groups, one group receives an intervention, and both groups receive only a post-test assessment
Chapter Outline
- Human subjects research (19 minute read)
- Specific ethical issues to consider (12 minute read)
- Benefits and harms of research across the ecosystem (7 minute read)
- Being an ethical researcher (8 minute read)
Content warning: examples in this chapter contain references to numerous incidents of unethical medical experimentation (e.g. intentionally injecting diseases into unknowing participants, withholding proven treatments), social experimentation under extreme conditions (e.g. being directed to deliver electric shocks to test obedience), violations of privacy, gender and racial inequality, research with people who are incarcerated or on parole, experimentation on animals, abuse of people with Autism, community interactions with law enforcement, WWII, the Holocaust, and Nazi activities (especially related to research on humans).
With your literature review underway, you are ready to begin thinking in more concrete terms about your research topic. Recall our discussion in Chapter 2 on practical and ethical considerations that emerge as part of the research process. In this chapter, we will expand on the ethical boundaries that social scientists must abide by when conducting human subjects research. As a result of reading this chapter, you should have a better sense of what is possible and ethical for the research project you create.
6.1 Human subjects research
Learning Objectives
Learners will be able to...
- Understand what we mean by ethical research and why it is important
- Understand some of the egregious ethical violations that have occurred throughout history
While all research comes with its own set of ethical concerns, those associated with research conducted on human subjects vary dramatically from those of research conducted on nonliving entities. The US Department of Health and Human Services (USDHHS) defines a human subject as “a living individual about whom an investigator (whether professional or student) conducting research obtains (1) data through intervention or interaction with the individual, or (2) identifiable private information” (USDHHS, 1993, para. 1).[84] Some researchers prefer the term "participants" to "subjects'" as it acknowledges the agency of people who participate in the study. For our purposes, we will use the two terms interchangeably.
In some states, human subjects also include deceased individuals and human fetal materials. Nonhuman research subjects, on the other hand, are objects or entities that investigators manipulate or analyze in the process of conducting research. Nonhuman research subjects typically include sources such as newspapers, historical documents, pieces of clothing, television shows, buildings, and even garbage (to name just a few), that are analyzed for unobtrusive research projects. Unsurprisingly, research on human subjects is regulated much more heavily than research on nonhuman subjects. This is why many student research projects use data that is publicly available, rather than recruiting their own study participants. However, there are ethical considerations that all researchers must take into account, regardless of their research subject. We’ll discuss those considerations in addition to concerns that are unique to human subject research.
Why do research participants need protection?
First and foremost, we are professionally bound to engage in the ethical practice of research. This chapter discusses ethical research and will show you how to engage in research that is consistent with the NASW Code of Ethics as well as national and international ethical standards all researchers are accountable to. Before we begin, we need to understand the historical occurrences that were the catalyst for the formation of the current ethical standards. This chapter will enable you to view ethics from a micro, mezzo, and macro perspective.
The research process has led to many life-changing discoveries; these have improved life expectancy, improved living conditions, and helped us understand what contributes to certain social problems. That said, not all research has been conducted in respectful, responsible, or humane ways. Unfortunately, some research projects have dramatically marginalized, oppressed, and harmed participants and whole communities.
Would you believe that the following actions have been carried out in the name of research? I realize there was a content warning at the beginning of the chapter, but it is worth mentioning that the list below of research atrocities may be particularly upsetting or triggering.
- intentionally froze healthy body parts of prisoners to see if they could develop a treatment for freezing[85]
- scaled the body parts of prisoners to how best to treat soldiers who had injuries from being exposed to high temperatures[86]
- intentionally infected healthy individuals to see if they could design effective methods of treatment for infections[87]
- gave healthy people TB to see if they could treat it[88]
- attempted to transplant limbs, bones, and muscles to another person to see if this was possible[89]
- castrated and irradiated genitals to see if they could develop a faster method of sterilization[90]
- starved people and only allowed them to drink seawater to see if they could make saline water drinkable[91]
- artificially inseminated women with animal sperm to see what would happen[92]
- gassed living people to document how they would die[93]
- conducted cruel experiments on people and if they did not die, would kill them so they could undergo an autopsy[94]
- refused to treat syphilis in African American men (when treatment was available) because they wanted to track the progression of the illness[95]
- vivisected humans without anesthesia to see how illnesses that researches gave prisoners impacted their bodies[96]
- intentionally tried to infect prisoners with the Bubonic Plague[97]
- intentionally infected prisoners, prostitutes, soldiers, and children with syphilis to study the disease's progression[98]
- performed gynecological experiments on female slaves without anesthesia to investigate new surgical methods[99]
The sad fact is that not only did all of these occur, in many instances, these travesties continued for years until exposed and halted. Additionally, these examples have contributed to the formation of a legacy of distrust toward research. Specifically, many underrepresented groups have a deep distrust of agencies that implement research and are often skeptical of research findings. This has made it difficult for groups to support and have confidence in medical treatments, advances in social service programs, and evidence-informed policy changes. While the aforementioned unethical examples may have ended, this deep and painful wound on the public's trust remains. Consequently, we must be vigilant in our commitment to ethical research.
Many of the situations described may seem like extreme historical cases of misuse of power as researchers. However, ethical problems in research don't just happen in these extreme occurrences. None of us are immune to making unethical choices and the ethical practice of research requires conscientious mindful attention to what we are asking of our research participants. A few examples of less noticeable ethical issues might include: failing to fully explain to someone in advance what their participation might involve because you are in a rush to recruit a large enough sample; or only presenting findings that support your ideas to help secure a grant that is relevant to your research area. Remember, any time research is conducted with human beings, there is the chance that ethical violations may occur that pose social, emotional, and even physical risks for groups, and this is especially true when vulnerable or oppressed groups are involved.
A brief history of unethical social science research
Research on humans hasn’t always been regulated in the way it is today. The earliest documented cases of research using human subjects are of medical vaccination trials (Rothman, 1987).[100] One such case took place in the late 1700s, when scientist Edward Jenner exposed an 8-year-old boy to smallpox in order to identify a vaccine for the devastating disease. Medical research on human subjects continued without much law or policy intervention until the mid-1900s when, at the end of World War II, a number of Nazi doctors and scientists were put on trial for conducting human experimentation during the course of which they tortured and murdered many concentration camp inmates (Faden & Beauchamp, 1986).[101] The trials, conducted in Nuremberg, Germany, resulted in the creation of the Nuremberg Code, a 10-point set of research principles designed to guide doctors and scientists who conduct research on human subjects. Today, the Nuremberg Code guides medical and other research conducted on human subjects, including social scientific research.
Medical scientists are not the only researchers who have conducted questionable research on humans. In the 1960s, psychologist Stanley Milgram (1974)[102] conducted a series of experiments designed to understand obedience to authority in which he tricked subjects into believing they were administering an electric shock to other subjects. In fact, the shocks weren’t real at all, but some, though not many, of Milgram’s research participants experienced extreme emotional distress after the experiment (Ogden, 2008).[103] A reaction of emotional distress is understandable. The realization that one is willing to administer painful shocks to another human being just because someone who looks authoritative has told you to do so might indeed be traumatizing—even if you later learn that the shocks weren’t real.
Around the same time that Milgram conducted his experiments, sociology graduate student Laud Humphreys (1970)[104] was collecting data for his dissertation on the tearoom trade, which was the practice of men engaging in anonymous sexual encounters in public restrooms. Humphreys wished to understand who these men were and why they participated in the trade. To conduct his research, Humphreys offered to serve as a “watch queen,” in a local park restroom where the tearoom trade was known to occur. His role would be to keep an eye out for police while also getting the benefit of being able to watch the sexual encounters. What Humphreys did not do was identify himself as a researcher to his research subjects. Instead, he watched his subjects for several months, getting to know several of them, learning more about the tearoom trade practice and, without the knowledge of his research subjects, jotting down their license plate numbers as they pulled into or out of the parking lot near the restroom.
Sometime after participating as a watch queen, with the help of several insiders who had access to motor vehicle registration information, Humphreys used those license plate numbers to obtain the names and home addresses of his research subjects. Then, disguised as a public health researcher, Humphreys visited his subjects in their homes and interviewed them about their lives and their health. Humphreys’ research dispelled a good number of myths and stereotypes about the tearoom trade and its participants. He learned, for example, that over half of his subjects were married to women and many of them did not identify as gay or bisexual.[105]
Once Humphreys’ work became public, there was some major controversy at his home university (e.g., the chancellor tried to have his degree revoked), among scientists in general, and among members of the public, as it raised public concerns about the purpose and conduct of social science research. In addition, the Washington Post journalist Nicholas von Hoffman wrote the following warning about “sociological snoopers”:
We’re so preoccupied with defending our privacy against insurance investigators, dope sleuths, counterespionage men, divorce detectives and credit checkers, that we overlook the social scientists behind the hunting blinds who’re also peeping into what we thought were our most private and secret lives. But they are there, studying us, taking notes, getting to know us, as indifferent as everybody else to the feeling that to be a complete human involves having an aspect of ourselves that’s unknown (von Hoffman, 1970).[106]
In the original version of his report, Humphreys defended the ethics of his actions. In 2008[107], years after Humphreys’ death, his book was reprinted with the addition of a retrospect on the ethical implications of his work. In his written reflections on his research and the fallout from it, Humphreys maintained that his tearoom observations constituted ethical research on the grounds that those interactions occurred in public places. But Humphreys added that he would conduct the second part of his research differently. Rather than trace license numbers and interview unwitting tearoom participants in their homes under the guise of public health research, Humphreys instead would spend more time in the field and work to cultivate a pool of informants. Those informants would know that he was a researcher and would be able to fully consent to being interviewed. In the end, Humphreys concluded “there is no reason to believe that any research subjects have suffered because of my efforts, or that the resultant demystification of impersonal sex has harmed society” (Humphreys, 2008, p. 231).[108]
Today, given increasing regulation of social scientific research, chances are slim that a researcher would be allowed to conduct a project similar to Humphreys’. Some argue that Humphreys’ research was deceptive, put his subjects at risk of losing their families and their positions in society, and was therefore unethical (Warwick, 1973; Warwick, 1982).[109] Others suggest that Humphreys’ research “did not violate any premise of either beneficence or the sociological interest in social justice” and that the benefits of Humphreys’ research, namely the dissolution of myths about the tearoom trade specifically and human sexual practice more generally, outweigh the potential risks associated with the work (Lenza, 2004, p. 23).[110] What do you think, and why?
These and other studies (Reverby, 2009)[111] led to increasing public awareness of and concern about research on human subjects. In 1974, the US Congress enacted the National Research Act, which created the National Commission for the Protection of Human Subjects in Biomedical and Behavioral Research. The commission produced The Belmont Report, a document outlining basic ethical principles for research on human subjects (National Commission for the Protection of Human Subjects in Biomedical and Behavioral Research, 1979).[112] The National Research Act (1974)[113] also required that all institutions receiving federal support establish institutional review boards (IRBs) to protect the rights of human research subjects. Since that time, many organizations that do not receive federal support but where research is conducted have also established review boards to evaluate the ethics of the research that they conduct. IRBs are overseen by the federal Office of Human Research Protections.
The Belmont Report
As mentioned above, The Belmont Report is a federal document that outlines the foundational principles that guide the ethical practice of research in the United States. These ethical principles include: respect for persons, beneficence, and justice. Each of these terms has specific implications as they are applied to the practice of research. These three principles arose as a response to many of the mistreatment and abuses that have been previously discussed and provide important guidance as researchers consider how they will construct and conduct their research studies. As you are crafting your research proposal, makes sure you are mindful of these important ethical guidelines.
Respect for Persons
As social workers, our professional code of ethics requires that we recognize and respect the "inherent dignity and worth of the person."[114] This is very similar to the ethical research principle of respect for persons. According to this principle, as researchers, we need to treat all research participants with respect, dignity and inherent autonomy. This is reflected by ensuring that participants have self-determination to make informed decisions about their participation in research, that they have a clear understanding of what they will be asked to do and any risks involved, and that their participation is voluntary and can be stopped at any time. Furthermore, for those persons who may have diminished autonomy (e.g. children, people who are incarcerated), extra protections must be built in to these research studies to ensure that respect for persons continues to be demonstrated towards these groups, as they may be especially vulnerable to exploitation and coercion through the research process. A critical tool in establishing respect for persons in your research is the informed consent process, which will be discussed in more detail below.
Beneficence
You may not be familiar with this word yet, but the concept is pretty straightforward. The main idea with beneficence is that the intent of research is to do good. As researchers, to accomplish this, we seek to maximize benefits and minimize risks. Benefits may be something good or advantageous directly received by the research participant, or they may represent a broader good to a wider group of people or the scientific community at large (such as increasing knowledge about the topic or social problem that you are studying). Risks are potential physical, social, or emotional harm that may come about as a response to participation in a study. These risks may be more immediate (e.g. risk of identifying information about a participant being shared, or a participant being upset or triggered by a particular question), or long-term (e.g. some aspect about the person could be shared that could lead to long-term stigmatization). As researchers, we need to think about risk that might be experienced by the individual, but also risks that might be directed towards the community or population(s) the individual may represent. For instance, if our study is specifically focused on surveying single parents, we need to consider how the sharing of our findings might impact this group and how they are perceived. It is a very rare study in which there is no risk to participants. However, a well-designed and ethically sound study will seek to minimize these risks, provide resources to anticipate and address them, and maximize the benefits that are gained through the study.
Justice
The final ethical principle we need to cover is justice. While you likely have some idea what justice is, for the purposes of research, justice is the idea that the benefits and the burdens of research are distributed fairly across populations and groups. To help illustrate the concept of justice in research, research in the area of mental health and psychology has historically been critiqued as failing to adequately represent women and people of diverse racial and ethnic groups in their samples (Cundiff, 2012).[115] This has created a body of knowledge that is overly representative of the white male experience, further reinforcing systems of power and privilege. In addition, consider the influence of language as it relates to research justice. If we create studies that only recruit participants fluent in English, which many studies do, we are often failing to satisfy the ethical principle of justice as it applies to people who don't speak English. It is unrealistic to think that we can represent all people in all studies. However, we do need to thoughtfully acknowledge voices that might not be reflected in our samples and attempt to recruit diverse and representative samples whenever possible.
These three principles provide the foundation for the oversight work that is carried out by Institutional Review Boards, our next topic.
Institutional review boards
Institutional review boards, or IRBs, are tasked with ensuring that the rights and welfare of human research subjects will be protected at all institutions, including universities, hospitals, nonprofit research institutions, and other organizations, that receive federal support for research. IRBs typically consist of members from a variety of disciplines, such as sociology, economics, education, social work, and communications (to name a few). Most IRBs also include representatives from the community in which they reside. For example, representatives from nearby prisons, hospitals, or treatment centers might sit on the IRBs of university campuses near them. The diversity of membership helps to ensure that the many and complex ethical issues that may arise from human subjects research will be considered fully and by a knowledgeable and experienced panel. Investigators conducting research on human subjects are required to submit proposals outlining their research plans to IRBs for review and approval prior to beginning their research. Even students who conduct research on human subjects must have their proposed work reviewed and approved by the IRB before beginning any research (though, on some campuses, exceptions are made for student projects that will not be shared outside of the classroom).
The IRB has three levels of review, defined in statute by the USDHHS.
Exempt
Exempt review is the lowest level of review. Studies that are considered exempt expose participants to the least potential for harm and often involve little participation by human subjects. In social work, exempt studies often examine data that is publicly available or secondary data from another researcher that has been de-identified by the person who collected it.
Expedited
Expedited review is the middle level of review. Studies considered under expedited review do not have to go before the full IRB board because they expose participants to minimal risk. However, the studies must be thoroughly reviewed by a member of the IRB committee. While there are many types of studies that qualify for expedited review, the most relevant to social workers include the use of existing medical records, recordings (such as interviews) gathered for research purposes, and research on individual group characteristics or behavior.
Full board
Finally, the highest level of review is called a full board review. A full board review will involve multiple members of the IRB evaluating your proposal. When researchers submit a proposal under full board review, the full IRB board will meet, discuss any questions or concerns with the study, invite the researcher to answer questions and defend their proposal, and vote to approve the study or send it back for revision. Full board proposals pose greater than minimal risk to participants. They may also involve the participation of vulnerable populations, or people who need additional protection from the IRB. Vulnerable populations include prisoners, children, people with cognitive impairments, people with physical disabilities, employees, and students. While some of these populations can fall under expedited review in some cases, they will often require the full IRB to approve their study.
It may surprise you to hear that IRBs are not always popular or appreciated by researchers. Who wouldn’t want to conduct ethical research, you ask? In some cases, the concern is that IRBs are most well-versed in reviewing biomedical and experimental research, neither of which is particularly common within social work. Much social work research, especially qualitative research, is open-ended in nature, a fact that can be problematic for IRBs. The members of IRBs often want to know in advance exactly who will be observed, where, when, and for how long, whether and how they will be approached, exactly what questions they will be asked, and what predictions the researcher has for their findings. Providing this level of detail for a year-long participant observation within an activist group of 200-plus members, for example, would be extraordinarily frustrating for the researcher in the best case and most likely would prove to be impossible. Of course, IRBs do not intend to have researchers avoid studying controversial topics or avoid using certain methodologically sound data collection techniques, but unfortunately, that is sometimes the result. The solution is not to eradicate review boards, which serve a necessary and important function, but instead to help educate IRB members about the variety of social scientific research methods and topics covered by social workers and other social scientists.
What we have provided here is only a short summary of federal regulations and international agreements that provide the boundaries between ethical and unethical research.
Here are a few more detailed guides for continued learning about research ethics and human research protections.
- University of California, San Francisco: Levels of IRB Review
- United States Department of Health and Human Services: The Belmont Report
- NIH, National Institute of Environmental Health Sciences: What is Ethics in Research & Why is it important
- NIH: Guiding Principles for Ethical Research
- Council on Social Work Education: National Statement on Research Integrity in Social Work
- Butler, I. (2002). A code of ethics for social work and social care research. British Journal of Social Work, 32(2), 239-248
Key Takeaways
- Research on human subjects presents a unique set of challenges and opportunities when it comes to conducting ethical research.
- Research on human subjects has not always been regulated to the extent that it is today.
- All institutions receiving federal support for research must have an IRB. Organizations that do not receive federal support but where research is conducted also often include IRBs as part of their organizational structure.
- Researchers submit studies for IRB review at one of three different levels, depending on the level of harm the study may cause.
Exercises
- Recall whether your project will gather data from human subjects and sketch out what the data collection process might look like.
- Identify which level of IRB review is most appropriate for your project.
- For many students, your professors may have existing agreements with your university's IRB that allow students to conduct research projects outside the supervision of the IRB. Make sure that your project falls squarely within those parameters. If you feel you may be outside of such an agreement, consult with your professor to see if you will need to submit your study for IRB review before starting your project.
6.2 Specific ethical issues to consider
Learning Objectives
Learners will be able to...
- Define informed consent, and describe how it works
- Identify the unique concerns related to the study of vulnerable populations
- Differentiate between anonymity and confidentiality
- Explain the ethical responsibilities of social workers conducting research
As should be clear by now, conducting research on humans presents a number of unique ethical considerations. Human research subjects must be given the opportunity to consent to their participation in research, and be fully informed of the study’s risks, benefits, and purpose. Further, subjects’ identities and the information they share should be protected by researchers. Of course, how consent and identity protection are defined may vary by individual researcher, institution, or academic discipline. In this section, we’ll take a look at a few specific topics that individual researchers must consider before embarking on research with human subjects.
Informed consent
An expectation of voluntary participation is presumed in all social work research projects. In other words, we cannot force anyone to participate in our research without that person’s knowledge or consent. Researchers must therefore design procedures to obtain subjects’ informed consent to participate in their research. This specifically relates back to the ethical principle of respect for persons outlined in The Belmont Report. Informed consent is defined as a subject’s voluntary agreement to participate in research based on a full understanding of the research and of the possible risks and benefits involved. Although it sounds simple, ensuring that one has actually obtained informed consent is a much more complex process than you might initially presume.
The first requirement is that, in giving their informed consent, subjects may neither waive nor even appear to waive any of their legal rights. Subjects also cannot release a researcher, her sponsor, or institution from any legal liability should something go wrong during the course of their participation in the research (USDHHS,2009).[116] Because social work research does not typically involve asking subjects to place themselves at risk of physical harm by, for example, taking untested drugs or consenting to new medical procedures, social work researchers do not often worry about potential liability associated with their research projects. However, their research may involve other types of risks.
For example, what if a social work researcher fails to sufficiently conceal the identity of a subject who admits to participating in a local swinger’s club? In this case, a violation of confidentiality may negatively affect the participant’s social standing, marriage, custody rights, or employment. Social work research may also involve asking about intimately personal topics that may be difficult for participants to discuss, such as trauma or suicide. Participants may re-experience traumatic events and symptoms when they participate in your study. Even if you are careful to fully inform your participants of all risks before they consent to the research process, I’m sure you can empathize with thinking you could bear talking about a difficult topic and then finding it too overwhelming once you start. In cases like these, it is important for a social work researcher to have a plan to provide supports. This may mean providing referrals to counseling supports in the community or even calling the police if the participant is an imminent danger to himself or others.
It is vital that social work researchers explain their mandatory reporting duties in the consent form and ensure participants understand them before they participate. Researchers should also emphasize to participants that they can stop the research process at any time or decide to withdraw from the research study for any reason. Importantly, it is not the job of the social work researcher to act as a clinician to the participant. While a supportive role is certainly appropriate for someone experiencing a mental health crisis, social workers must ethically avoid dual roles. Referring a participant in crisis to other mental health professionals who may be better able to help them is the expectation.
Beyond the legal issues, most IRBs require researchers to share some details about the purpose of the research, possible benefits of participation, and, most importantly, possible risks associated with participating in that research with their subjects. In addition, researchers must describe how they will protect subjects’ identities, how, where, and for how long any data collected will be stored, how findings may be shared, and whom to contact for additional information about the study or about subjects’ rights. All this information is typically shared in an informed consent form that researchers provide to subjects. In some cases, subjects are asked to sign the consent form indicating that they have read it and fully understand its contents. In other cases, subjects are simply provided a copy of the consent form and researchers are responsible for making sure that subjects have read and understand the form before proceeding with any kind of data collection. Your IRB will often provide guidance or even templates for what they expect to see included in an informed consent form. This is a document that they will inspect very closely. Table 6.1 outlines elements to include in your informed consent. While these offer a guideline for you, you should always visit your schools, IRB website to see what guidance they offer. They often provide a template that they prefer researchers to use. Using these templates ensures that you are using the language that the IRB reviewers expect to see and this can also save you time.
Elements | Brief description |
Welcome | A greeting for your participants, a few words about who you/your team are, the aim of your study |
Procedures | What your participants are being asked to do throughout the entire research process |
Risks | Any potential risks associated with your study (this is very rarely none!); also, make sure to provide resources that address or mitigate the risks (e.g. counseling services, hotlines, EAP) |
Benefits | Any potential benefits, either direct to participant or more broadly (indirect) to community or group; include any compensation here, as well |
Privacy | Brief explanation of steps taken to protect privacy.; address confidentiality or anonymity (whichever applies); also address how the results of the study may be used/disseminated |
Voluntary Nature | It is important to emphasize that participation is voluntary and can be stopped at any time |
Contact Information | You will provide your contact information as the researcher and often the contact of the IRB that is providing approval for the study |
Signatures | We will usually seek the signature and date of participant and researcher on these forms (unless otherwise specified and approved in your IRB application) |
One last point to consider when preparing to obtain informed consent is that not all potential research subjects are considered equally competent or legally allowed to consent to participate in research. Subjects from vulnerable populations may be at risk of experiencing undue influence or coercion (USDHHS, 2009).[117] The rules for consent are more stringent for vulnerable populations. For example, minors must have the consent of a legal guardian in order to participate in research. In some cases, the minors themselves are also asked to participate in the consent process by signing special, age-appropriate assent forms designed specifically for them. Prisoners and parolees also qualify as vulnerable populations. Concern about the vulnerability of these subjects comes from the very real possibility that prisoners and parolees could perceive that they will receive some highly desired reward, such as early release, if they participate in research or that there could be punitive consequences if they choose not to participate. When a participant faces undue or excess pressure to participate by either favorable or unfavorable means, this is known as coercion and must be avoided by researchers.
Another potential concern regarding vulnerable populations is that they may be underrepresented or left out of research opportunities, specifically because of concerns about their ability to consent. So, on the one hand, researchers must take extra care to ensure that their procedures for obtaining consent from vulnerable populations are not coercive. The procedures for receiving approval to conduct research with these groups may be more rigorous than that for non-vulnerable populations. On the other hand, researchers must work to avoid excluding members of vulnerable populations from participation simply on the grounds that they are vulnerable or that obtaining their consent may be more complex. While there is no easy solution to this ethical research dilemma, an awareness of the potential concerns associated with research on vulnerable populations is important for identifying whatever solution is most appropriate for a specific case.
Protection of identities
As mentioned earlier, the informed consent process includes the requirement that researchers outline how they will protect the identities of subjects. This aspect of the research process, however, is one of the most commonly misunderstood. Furthermore, failing to protect identities is one of the greatest risks to participants in social work research studies.
In protecting subjects’ identities, researchers typically promise to maintain either the anonymity or confidentiality of their research subjects. These are two distinctly different terms and they are NOT interchangeable. Anonymity is the more stringent of the two and is very hard to guarantee in most research studies. When a researcher promises anonymity to participants, not even the researcher is able to link participants’ data with their identities. Anonymity may be impossible for some social work researchers to promise due to the modes of data collection many social workers employ. Face-to-face interviewing means that subjects will be visible to researchers and will hold a conversation, making anonymity impossible. In other cases, the researcher may have a signed consent form or obtain personal information on a survey and will therefore know the identities of their research participants. In these cases, a researcher should be able to at least promise confidentiality to participants.
Offering confidentiality means that some identifying information is known at some time by the research team, but only the research team has access to this identifying information and this information will not be linked with their data in any publicly accessible way. Confidentiality in research is quite similar to confidentiality in clinical practice. You know who your clients are, but others do not. You agree to keep their information and identity private. As you can see under the “Risks” section of the consent form in Figure 5.1, sometimes it is not even possible to promise that a subject’s confidentiality will be maintained. This is the case if data are collected in public or in the presence of other research participants in the course of a focus group, for example. Participants who social work researchers deem to be of imminent danger to self or others or those that disclose abuse of children and other vulnerable populations fall under a social worker’s duty to report. Researchers must then violate confidentiality to fulfill their legal obligations.
There are a number of steps that researchers can take to protect the identities of research participants. These include, but are not limited to:
- Collecting data in private spaces
- Not requesting information that will uniquely identify or "out" that person as a participant
- Assigning study identification codes or pseudonyms
- Keeping signed informed consent forms separate from other data provided by the participant
- Making sure that physical data is kept in a locked and secured location, and the virtual data is encrypted or password-protected
- Reporting data in aggregate (only discussing the data collectively, not by individual responses)
Protecting research participants’ identities is not always a simple prospect, especially for those conducting research on stigmatized groups or illegal behaviors. Sociologist Scott DeMuth learned that all too well when conducting his dissertation research on a group of animal rights activists. As a participant observer, DeMuth knew the identities of his research subjects. So when some of his research subjects vandalized facilities and removed animals from several research labs at the University of Iowa, a grand jury called on Mr. DeMuth to reveal the identities of the participants in the raid. When DeMuth refused to do so, he was jailed briefly and then charged with conspiracy to commit animal enterprise terrorism and cause damage to the animal enterprise (Jaschik, 2009).[118]
Publicly, DeMuth’s case raised many of the same questions as Laud Humphreys’ work 40 years earlier. What do social scientists owe the public? Is DeMuth, by protecting his research subjects, harming those whose labs were vandalized? Is he harming the taxpayers who funded those labs? Or is it more important that DeMuth emphasize what he owes his research subjects, who were told their identities would be protected? DeMuth’s case also sparked controversy among academics, some of whom thought that as an academic himself, DeMuth should have been more sympathetic to the plight of the faculty and students who lost years of research as a result of the attack on their labs. Many others stood by DeMuth, arguing that the personal and academic freedom of scholars must be protected whether we support their research topics and subjects or not. DeMuth’s academic adviser even created a new group, Scholars for Academic Justice, to support DeMuth and other academics who face persecution or prosecution as a result of the research they conduct. What do you think? Should DeMuth have revealed the identities of his research subjects? Why or why not?
Discipline-specific considerations
Often times, specific disciplines will provide their own set of guidelines for protecting research subjects and, more generally, for conducting ethical research. For social workers, the National Association of Social Workers (NASW) Code of Ethics section 5.02 describes the responsibilities of social workers in conducting research. Summarized below, these responsibilities are framed as part of a social worker’s responsibility to the profession. As representative of the social work profession, it is your responsibility to conduct and use research in an ethical manner.
A social worker should:
- Monitor and evaluate policies, programs, and practice interventions
- Contribute to the development of knowledge through research
- Keep current with the best available research evidence to inform practice
- Ensure voluntary and fully informed consent of all participants
- Not engage in any deception in the research process
- Allow participants to withdraw from the study at any time
- Provide access to appropriate supportive services for participants
- Protect research participants from harm
- Maintain confidentiality
- Report findings accurately
- Disclose any conflicts of interest
Key Takeaways
- Researchers must obtain the informed consent of research participants.
- Social workers must take steps to minimize the harms that could arise during the research process.
- If anonymity is promised, individual participants cannot be linked with their data.
- If confidentiality is promised, the identities of research participants cannot be revealed, even if individual participants can be linked with their data.
- The NASW Code of Ethics includes specific responsibilities for social work researchers.
Exercises
- Talk with your professor to see if an informed consent form is required for your research project. If documentation is required, customize the template provided by your professor or the IRB at your school, using the details of your study. If documentation on consent is not required, for example if consent is given verbally, use the templates as guides to create a guide for what you will say to participants regarding informed consent.
- Identify whether your data will be confidential or anonymous. Describe the measures you will take to protect the identities of individuals in your study. How will you store the data? How will you ensure that no one can identify participants based on what you report in papers and presentations? Be sure to think carefully. People can be identified by characteristics such as age, gender, disability status, location, etc.
6.3 Benefits and harms of research across the ecosystem
Learning Objectives
Learners will be able to...
- Identify and distinguish between micro-, mezzo-, and macro-level considerations with respect to the ethical conduct of social scientific research
This chapter began with a long list of harmful acts that researchers engaged in while conducting studies on human subjects. Indeed, even the last section on informed consent and protection of confidential information can be seen in light of minimizing harm and maximizing benefits. The benefits of your study should be greater than the harms. But who benefits from your research study, and who might be harmed? The first person who benefits is, most clearly, you as the researcher. You need a project to complete, be it for a grade, a grant, an academic responsibility, etc. However you need to make sure that your benefit does not come at the expense of harming others. Furthermore, research requires resources, including resources from the communities we work with. Part of being good stewards of these resources as social work researchers means that we need to engage in research that benefits the people we serve in meaningful and relevant ways. We need to consider how others are impacted by our research.
Micro-, mezzo-, and macro-level concerns
One useful way to think about the breadth of ethical questions that might arise out of any research project is to think about potential issues from the perspective of different analytical levels that are familiar to us as social workers. In Chapter 1, you learned about the micro-, mezzo-, and macro-levels of inquiry and how a researcher’s specific point of focus might vary depending on her level of inquiry. Here we’ll apply this ecological framework to a discussion of research ethics. Within most research projects, there are specific questions that arise for researchers at each of these three levels.
At the micro-level, researchers must consider their own conduct and the impact on individual research participants. For example, did Stanley Milgram behave ethically when he allowed research participants to think that they were administering electric shocks to fellow participants? Did Laud Humphreys behave ethically when he deceived his research subjects about his own identity? Were the rights of individuals in these studies protected? How did these participants benefit themselves from the research that was conducted? While not social workers by trade, would the actions of these two researchers hold up against our professional NASW Code of Ethics? The questions posed here are the sort that you will want to ask yourself as a researcher when considering ethics at the micro-level.
At the mezzo-level, researchers should think about their duty to the community. How will the results of your study impact your target population? Ideally, your results will benefit your target population by identifying important areas for social workers to intervene and to better understand the experiences of the communities they serve. However, it is possible that your study may perpetuate negative stereotypes about your target population or damage its reputation. Indigenous people in particular have highlighted how historically social science has furthered marginalization of indigenous peoples (Smith, 2013).[119] Mezzo-level concerns should also address other groups or organizations that are connected to your target population. This may include the human service agencies with whom you've partnered for your study as well as the communities and peoples they serve. If your study reflected negatively on a particular housing project in your area, for example, will community members seek to remove it from their community? Or might it draw increased law enforcement presence that is unwanted by participants or community members? Research is a powerful tool and can be used for many purposes, not all of them altruistic. In addition, research findings can have many implications, intended and unintended. As responsible researchers, we need to do our best to thoughtfully anticipate these consequences.
Finally, at the macro-level, a researcher should consider duty to, and the expectations of, society. Perhaps the most high-profile case involving macro-level questions of research ethics comes from debates over whether to use data gathered by, or cite published studies based on data gathered from, the Nazis in the course of their unethical and horrendous experiments on humans during World War II (Moe, 1984).[120] Some argue that because the data were gathered in such an unquestionably unethical manner, they should never be used. The data, say these people, are neither valid nor reliable and should therefore not be used in any current scientific investigation (Berger, 1990).[121]
On the other hand, some people argue that data themselves are neutral; that “information gathered is independent of the ethics of the methods and that the two are not linked together” (Pozos, 1992, p. 104).[122] Others point out that not using the data could inadvertently strengthen the claims of those who deny that the Holocaust ever happened. In his striking statement in support of publishing the data, medical ethics professor Velvl Greene (1992) says,
Instead of banning the Nazi data or assigning it to some archivist or custodial committee, I maintain that it be exhumed, printed, and disseminated to every medical school in the world along with the details of methodology and the names of the doctors who did it, whether or not they were indicted, acquitted, or hanged.…Let the students and the residents and the young doctors know that this was not ancient history or an episode from a horror movie where the actors get up after filming and prepare for another role. It was real. It happened yesterday (p. 169–170).[123]
While debates about the use of data collected by the Nazis are typically centered on medical scientists’ use of them, there are conceivable circumstances under which these data might be used by social scientists. Perhaps, for example, a social scientist might wish to examine contemporary reactions to the experiments. Or perhaps the data could be used in a study of the sociology of science. What do you think? Should data gathered by the Nazis be used or cited today? What arguments can you make in support of your position, and how would you respond to those who disagree?
Additionally at the macro-level, you must also consider your responsibilities to the profession of social work. When you engage in social work research, you stand on the reputation the profession has built for over a century. Since research is public-facing, meaning that research findings are intended to be shared publicly, you are an ambassador for the profession. How you conduct yourself as a social work researcher has potential implications for how the public perceives both social work and research. As a social worker, you have a responsibility to work towards greater social, environmental, and economic justice and human rights. Your research should reflect this responsibility. Attending to research ethics helps to fulfill your responsibilities to the profession, in addition to your target population.
Table 6.2 summarizes the key questions that researchers might ask themselves about the ethics of their research at each level of inquiry.
Level of inquiry | Focus | Key ethics questions for researchers to ask themselves |
Micro-level | Individual | Does my research interfere with the individual’s right to privacy? |
Could my research offend subjects in any way, either the collection of data or the sharing of findings? | ||
Could my research cause emotional distress to any of my subjects?
In what ways does my research benefit me? In what ways does my research benefit participants? |
||
Has my own conduct been ethical throughout the research process? | ||
Mezzo-level | Group | How does my research portray my target population? |
Could my research positively or negatively impact various communities and the systems they are connected to?
How do community members perceive my research? |
||
Have I met my duty to those who funded my research?
What are potential ripple effects for my target population by conducting this research? |
||
Macro-level | Society | Does my research meet the societal expectations of social research?
What is the historical, political, social context of my research topic? |
Have I met my social responsibilities as a researcher and as a social worker?
Does my research follow the ethical guidelines of my profession and discipline? How does my research advance social, environmental or economic justice and/or human rights? How does my research reinforce or challenge systems of power, control and structural oppression? |
Key Takeaways
- At the micro-level, researchers should consider their own conduct and the rights of individual research participants.
- At the mezzo-level, researchers should consider the expectations of their profession, any organizations that may have funded their research, and the communities affected by their research.
- At the macro-level, researchers should consider their duty to and the expectations of society with respect to social science research.
Exercises
- Summarize the benefits and harms at the micro-, mezzo-, and macro-level of inquiry. At which level of inquiry is your research project?
- In a few sentences, identify whether the benefits of your study outweigh the potential harms.
6.4 Being an ethical researcher
Learning Objectives
Learners will be able to...
- Identify why researchers must provide a detailed description of methodology
- Describe what it means to use science in an ethical way
Research ethics has to do with both how research is conducted and how findings from that research are used. In this section, we’ll consider research ethics from both angles.
Doing science the ethical way
As you should now be aware, researchers must consider their own personal ethical principles in addition to following those of their institution, their discipline, and their community. We’ve already considered many of the ways that social workers strive to ensure the ethical practice of research, such as informing and protecting subjects. But the practice of ethical research doesn’t end once subjects have been identified and data have been collected. Social workers must also fully disclose their research procedures and findings. This means being honest about how research subjects were identified and recruited, how exactly data were collected and analyzed, and ultimately, what findings were reached.
If researchers fully disclose how they conducted their research, then those who use their work to build research projects, create social policies, or make treatment decisions can have greater confidence in the work. By sharing how research was conducted, a researcher helps assure readers they have conducted legitimate research and didn’t simply come to whatever conclusions they wanted to find. A description or presentation of research findings that is not accompanied by information about research methodology is missing relevant information. Sometimes methodological details are left out because there isn’t time or space to share them. This is often the case with news reports of research findings. Other times, there may be a more insidious reason that important information is missing. This may be the case if sharing methodological details would call the legitimacy of a study into question. As researchers, it is our ethical responsibility to fully disclose our research procedures. As consumers of research, it is our ethical responsibility to pay attention to such details. We’ll discuss this more in the next section.
There’s a New Yorker cartoon that depicts a set of filing cabinets that aptly demonstrates what we don’t want to see happen with research. Each filing cabinet drawer in the cartoon is labeled differently. The labels include such headings as, “Our Facts,” “Their Facts,” “Neutral Facts,” “Disputable Facts,” “Absolute Facts,” “Bare Facts,” “Unsubstantiated Facts,” and “Indisputable Facts.” The implication of this cartoon is that one might just choose to open the file drawer of her choice and pick whichever facts one likes best. While this may occur if we use some of the unscientific ways of knowing described in Chapter 1, it is fortunately not how the discovery of knowledge in social work, or in any other science for that matter, takes place. There actually is a method to this madness we call research. At its best, research reflects a systematic, transparent, informative process.
Honesty in research is facilitated by the scientific principle of replication. Ideally, this means that one scientist could repeat another’s study with relative ease. By replicating a study, we may become more (or less) confident in the original study’s findings. Replication is far more difficult (perhaps impossible) to achieve in the case of many qualitative studies, as our purpose is often a deep understanding of very specific circumstances, rather than the broad, generalizable knowledge we traditionally seek in quantitative studies. Nevertheless, transparency in the research process is an important standard for all social scientific researchers—that we provide as much detail as possible about the processes by which we reach our conclusions. This allows the quality of our research to be evaluated. Along with replication, peer review is another important principle of the scientific process. Peer review involves other knowledgeable researchers in our field of study to evaluate our research and to determine if it is of sufficient quality to share with the public. There are valid critiques of the peer review process: that it is biased towards studies with positive findings, that it may reinforce systemic barriers to oppressed groups accessing and leveraging knowledge, that it is far more subjective and/or unreliable than it claims to be. Despite these critiques, peer review remains a foundational concept for how scientific knowledge is generated.
Full disclosure also includes the need to be honest about a study’s strengths and weaknesses, both with oneself and with others. Being aware of the strengths and weaknesses of your own work can help a researcher make reasonable recommendations about the next steps other researchers might consider taking in their inquiries. Awareness and disclosure of a study’s strengths and weaknesses can also help highlight the theoretical or policy implications of one’s work. In addition, openness about strengths and weaknesses helps those reading the research better evaluate the work and decide for themselves how or whether to rely on its findings. Finally, openness about a study’s sponsors is crucial. How can we effectively evaluate research without knowing who paid the bills? This allows us to assess for potential conflicts of interest that may compromise the integrity of the research.
The standard of replicability, the peer-review process, and openness about a study’s strengths, weaknesses, and funding sources enables those who read the research to evaluate it fairly and completely. Knowledge of funding sources is often raised as an issue in medical research. Understandably, independent studies of new drugs may be more compelling to the Food and Drug Administration (FDA) than studies touting the virtues of a new drug that happen to have been funded by the company who created that drug. But medical researchers aren’t the only ones who need to be honest about their funding. If we know, for example, that a political think tank with ties to a particular party has funded some research, we can take that knowledge into consideration when reviewing the study’s findings and stated policy implications. Lastly, and related to this point, we must consider how, by whom, and for what purpose research may be used.
Using science the ethical way
Science has many uses. By “use” I mean the ways that science is understood and applied (as opposed to the way it is conducted). Some use science to create laws and social policies; others use it to understand themselves and those around them. Some people rely on science to improve their life conditions or those of other people, while still others use it to improve their businesses or other undertakings. In each case, the most ethical way for us to use science is to educate ourselves about the design and purpose of any studies we may wish to use. This helps us to more adequately critique the value of this research, to recognize its strengths and limitations.
As part of my research course, students are asked to critique a research article. I often find in this assignment that students often have very lofty expectations for everything that 'should' be included in the journal article they are reviewing. While I appreciate the high standards, I often give them feedback that it is perhaps unrealistic (even unattainable) for a research study to be perfectly designed and described for public consumption. All research has limitations; this may be a consequence of limited resources, issues related to feasibility, and unanticipated roadblocks or problems as we are carrying out our research. Furthermore, the ways we disseminate or share our research often has restrictions on what and how we can share our findings. This doesn't mean that a study with limitations has no value—every study has limitations! However, as we are reviewing research, we should look for an open discussion about methodology, strengths, and weaknesses of the study that helps us to interpret what took place and in what ways it may be important.
For instance, this can be especially important to think about in terms of a study's sample. It can be challenging to recruit a diverse and representative sample for your study (however, that doesn't mean we shouldn't try!). The next time you are reading research studies that were used to help establish an evidence based practice (EBP), make sure to look at the description of the sample. We cannot assume that what works for one group of people will uniformly work with all groups of people with very different life experiences; however, historically much of our intervention repertoire has been both created by and evaluated on white men. If research studies don't obtain a diverse sample, for whatever reason, we would expect that the authors would identify this as a limitation and an area requiring further study. We need to challenge our profession to provide practices, strategies, models, interventions, and policies that have been evaluated and tested for their efficacy with the diverse range of people that we work with as social workers.
Social scientists who conduct research on behalf of organizations and agencies may face additional ethical questions about the use of their research, particularly when the organization for which a study is conducted controls the final report and the publicity it receives. There is a potential conflict of interest for evaluation researchers who are employees of the agency being evaluated. A similar conflict of interest might exist between independent researchers whose work is being funded by some government agency or private foundation.
So who decides what constitutes ethical conduct or use of research? Perhaps we all do. What qualifies as ethical research may shift over time and across cultures as individual researchers, disciplinary organizations, members of society, and regulatory entities, such as institutional review boards, courts, and lawmakers, all work to define the boundaries between ethical and unethical research.
Key Takeaways
- Conducting research ethically requires that researchers be ethical not only in their data collection procedures but also in reporting their methods and findings.
- The ethical use of research requires an effort to understand research, an awareness of your own limitations in terms of knowledge and understanding, and the honest application of research findings.
Exercises
- Think about your research hypothesis at this point. What would happen if your results revealed information that could harm the population you are studying? What are your ethical responsibilities as far as reporting about your research?
- Ultimately, we cannot control how others will use the results of our research. What are the implications of this for how you report on your research?
Chapter Outline
- Ethical responsibility and cultural respect (5 minute read)
- Critical considerations (3 minute read)
- Preparations for the data gathering process (6 minute read)
- Interviews (20 minute read)
- Focus groups (15 minute read)
- Observations (6 minute read)
- Documents and other artifacts (13 minute read)
Content warning: examples in this chapter contain references to multiple demands on students’ time, loss of employment, sexual assault, trauma-informed care, inpatient psychiatric services, immigration, and the Holocaust.
In this chapter we will explore information to help you plan for and organize your strategy to gather your qualitative data. You will face a number of decisions as you plan this section of your proposal. Gathering qualitative data comes with important ethical and cultural responsibilities. Furthermore, qualitative research can be a powerful tool, but we need to be thoughtful as to how it will be used, as it can as easily become a tool of oppression as one of empowerment. Below are some considerations to help you reflect on some of these dynamics as you plan your study. The first sections apply to every type of qualitative research. Then, we discuss specific strategies to choose from as you plan your qualitative study.
18.1 Ethical responsibility and cultural respect
Learning Objectives
Learners will be able to...
- Explain the special considerations researchers should keep in mind as they design qualitative studies and collect qualitative data
- Determine steps that can be taken to protect participants and exhibit cultural respect during qualitative data collection
Because qualitative data collection so often involves direct contact with human participants and requesting them to share detailed and potentially personally sensitive information with us as researchers, we need to be especially sensitive to ethical considerations. It is a process that requires forethought, planning, and mindful attention throughout. Below are some ethical considerations to help guide you in this activity.
Special limitations to anonymity, confidentiality and ability to remove or withdraw data
Because with qualitative research we are often meeting with people in person to gather data, either from interviews, focus groups, or observations, we clearly can’t guarantee them anonymity. This makes it all the more important to consider what you will do to protect the confidentiality of your participants. This may involve using steps like:
- Using pseudonyms or assigned study identification codes rather than names on study materials
- Stripping all potentially identifying information from transcripts
- Keeping signed informed consent forms separate from other data so the two can’t be linked
- Ensuring that when data is not being used it is appropriately stored and locked so that others outside the research team don’t have access to it
- Ensuring that when data is being used it is not in a space (in person or virtual) where people outside the research team can view it
- Making sure that all members of your research team have been approved by your IRB
- Being very clear in your informed consent who will have access to data and for what purposes
Additionally, at times we will write into our informed consent that participants may withdraw from a study at any time. When a person expresses a desire to withdraw, we remove their data from the study. However, let’s say we conducted interviews and identified a theme that was present in their interview, but was also in a number of other interviews. Their ideas would still be represented in our findings, but we would make sure not to use any quotes or unique contributions from that individual. Also, if a person participates in a focus group, they are part of an interactive dialogue and the discussion is often connected to ideas shared by others as the conversation evolves, making it very hard to completely remove their data. Again, we would respect their wishes by not using any of their direct words, but their presence and contributions shaped the discussion in ways that we won’t be able to excise. It is best to be upfront about this as you are seeking informed consent.
Exercises
- What steps will you be taking to protect the qualitative data that is shared with you?
Prepare with competence, enter with humility
When we ask people to share their thoughts, feelings, and experiences with us, we need to do so in a way that demonstrates respect and authenticity. This means that we approach participants in a professional manner that reflects both competence as a researcher and that illustrates we have done some preparation to learn about the population ahead of time (that we are not “coming in cold”). Activities that can help to demonstrate this are:
- Speaking with knowledgeable community members regarding the topic, our research design, and important aspects of the community (contemporary and historical) before beginning our data collection)
- Examining previous research and other sources of information regarding the group/community we are interested in work with, or if not available, groups/communities that may be similar
- Using data from the first two bullet points, we design our data collection in a way that is culturally sensitive (e.g. where we ask people to provide data, what tools we use, our wording)
- Preparing research materials (e.g. informed consent forms, recruitment materials, informational sheets) that are accessible and understandable for participants
- Providing information and education about research in general and our research topic specifically
This needs to be tempered with humility. Participants grant us the privilege of allowing us to witness some piece of their life. We need to have humility in knowing that we can never fully understand their experiences because we are not them. In a real sense, we are the learners and they are the teachers. Despite us doing the pre-work discussed above to become more competent in our approach, humility means we will ask the participant directly what is acceptable in respect to our data collection. I believe that when taking a culturally humble approach that we should take at least a little bit of time to understand what research means to the participant and what this particular topic means to the them, again, by asking them directly.
Key Takeaways
- Qualitative data collection involves special considerations to help ensure the privacy, confidentiality, or anonymity of participants because of the the often intimate and detailed information that we are collecting as qualitative researchers.
- Preparing for qualitative data collection requires that we educate ourselves as researchers in advance about the population we will be working with to guide and develop our data collection plan. Furthermore, from the standpoint of cultural humility, we don't assume that these preparations are adequate. We need to verify with participants what is culturally acceptable to them as individuals.
Exercises
- As you prepare for data collection planning, what actions do you plan to take to demonstrate preparations for cultural sensitivity and cultural humility?
18.2 Critical considerations
Learning Objectives
Learners will be able to...
- Assess factors that may impact community members' perceptions of researchers and their intentions
- Identify opportunities to support greater reciprocity in researcher-participant relationships (especially as it relates to your proposal)
What/whose interests are represented?
Data is a resource that participants own that they choose to share with us. Think about it: When a smartphone app or computer program wants your personal data, you're usually asked to read a privacy statement and agree to certain terms. Companies are legally required to notify you about their intentions to use the data you may share. And many companies certainly recognize that your data is a valuable resource and seek it out. As researchers, we have similar responsibilities, but with higher ethical standards.
If we are going to ask participants to share this resource, we need to consider why we need it. Clearly, we are invested in this research for some reason, otherwise we wouldn’t be spending our time doing it. Being upfront and genuine with our participants about why this topic is important to us and what we hope comes out of this research is a good first step. We also need to describe to other stakeholders (such as funders or sponsors) who might be involved why we are interested in it. In addition, it is helpful to consider what this research might represent to our participants.
- They may be unsure what to think about the research—This especially may be true if they have had limited exposure to research and/or academia.
- They might be nervous or apprehensive that it could have consequences, either for them individually or for their community
- They might be excited to share their story and may feel as though they are contributing to something larger or some beneficial change
Considering these factors can help us to be more sensitive as we prepare to enter the field for data collection.
Exercises
Think about your study. Put yourself in the role of research participant.
What information would you want to know?
- About research in general
- About the researcher
- About the research topic
How reciprocal is the arrangement?
Building off the preceding discussion about what research might mean to participants, it is also important to consider the reciprocity in the researcher – participant relationship. We know that we are benefiting from the exchange – we are getting data, research findings, research products and any other advantages or opportunities that might be attached to these. However, the benefits are not always as clear on the participant side of this relationship. Sometimes we are able to provide incentives to honor a participant’s time and contribution to a project, but these are often relatively limited. Participants may also intrinsically value making a contribution to a research project that can eventually help to change or build awareness around something that is important to them, but these are often distant and intangible benefits. While we may not be able to change the fact that we may benefit more from this exchange than our participants, it is important for us to acknowledge this and to consider how this can affect the power differential. We may be asking for a lot, with relatively little to offer in return. This is in contrast to participatory research approaches (which have been discussed elsewhere), in which there is much more of an intentional effort to more equally distribute the benefits of these relationships.
Key Takeaways
- As a means of developing empathy as a researcher, it is worth considering what the significance or meaning of research is to the populations we are interested in working with. What do we (as researchers) and our projects represent to community members?
- As critical researchers, we need to be considered with the power differences that often exist as we conduct research, especially in the act of asking for data from participants. The request is often lop-sided, with us benefiting considerably more than the participant.
18.3 Preparations for the data gathering process
Learning Objectives
Learners will be able to...
- Explain important influences to account for in qualitative data gathering
- Organize and document preparatory steps to plan data gathering activities for your qualitative proposal
As you may have guessed from our discussion regarding qualitative research planning and sampling, you have a number of options available for qualitative data gathering, and consequently, a number of choices to make. Your decisions should be driven by your research question and research design, including the resources that are at your disposal for conducting your study. Remember, qualitative research is a labor-intensive venture. While it may not require lots of fancy equipment, it requires a significant investment of people’s time and potentially other resources (e.g. space, incentives for participants, transportation). Each source of data (interviews, focus groups, observations, other artifacts), will require separate planning as you approach data gathering.
Our impact on the data gathering process
In the last chapter, you were introduced to the tool of reflexive journaling as a means of encouraging you to reflect on and document your role in the research process. Since qualitative researchers generally play a very active and involved role in the data gathering process (e.g. conducting interviews, facilitating focus groups, selecting artifacts), we need to consider ways to capture our influence on this part of the qualitative process. Let's say you are conducting interviews. As you head into the interview, you might be bringing in thoughts about a previous interview, a conversation you just had with your research professor, or worries about finishing all your assignments by the end of the semester! During the interview, you are likely to be surprised by some things that are said or some parts may evoke strong emotions. These responses may lead you to consider pursuing a slightly different line of questioning, and potentially highlighting or de-emphasizing certain aspects. Understanding and being aware of your personal reactions during the data collection process is very important. As part of your design and planning, you may specify that you will reflexively journal before and after each interview in an attempt to capture pre- and post-interview thoughts and feelings. This can help us to consider how we influence and are influenced by the research process. Towards the end of this chapter, after we have had a chance to talk about some of these data gathering strategies, there is a reflexive journal prompt to help you consider how to begin to reflect on the way you as a researcher might impact your work and how you work might impact you.
Exercises
Decision Point
How will you account for your role in the research process?
- What strategies will you employ to demonstrate transparency in your research process?
- This may be your reflexive journal or you may have other thoughts about how you can account for this.
- Whatever you choose, how will you develop a routine/habit around this to ensure that you are regularly implementing this?
Exercises
Reflexive Journal Entry Prompt
This is going to be a bit meta, but for this prompt, I want you reflect on the reflecting you are doing for your reflexive journaling.
- What are your thoughts about reflexive journaling?
- Do you see this as a potentially helpful tool for tracking your influence and reactions? What appeals to you? What puts you off?
- Are you used to thinking reflexively like this—stepping back and thinking about what you are doing and why? Does this come easily/naturally to you?
- If so, how did you develop this mindset?
- If not, how can you strengthen this skill?
When are we done
Finally, as you plan for your data collection you need to consider when to stop. As suggested previously in our discussion on sampling, the concept of saturation is important here. As a reminder, saturation is the point at which no new ideas or concepts are being presented as you continue to collect new pieces of data. Again, as qualitative researchers, we are often collecting and analyzing our data simultaneously. This is what enables us to continue screening for the point of saturation. Of course, not all studies utilize the point of saturation as their determining factor for the amount of data they will collect. This may be predetermined by other factors, such as restricted access or other limitations to the scope of the investigation. While there is no hard and fast rule for the quantity of data you gather, the quality is important; you want to be comprehensive, consistent, and systematic in your approach.
Next, we will discuss some of the different approaches to gathering qualitative data. I'm going to start out with Table 18.1 that allows us to compare these different approaches, providing you with a general framework that will allow us to dive a bit deeper into each one. After you finish reading this chapter, it might be helpful to come back to this table as you continue with your proposal planning.
Data Gathering Strategy | Strengths | Challenges |
Interviews | Strengths
|
Challenges
|
Focus Groups | Strengths
|
Challenges
|
Observations | Strengths
|
Challenges
|
Documents & Other Artifacts | Strengths
|
Challenges
|
Key Takeaways
- As you are preparing to initiate data collection, make sure that you have a plan for how you will capture and document your influence on the process. Reflexive journaling can be a useful tool to accomplish this.
- Be sure to take some time to think about when you will end your data collection. Make this an intentional, justified decisions, rather than a haphazard one.
18.4 Interviews
Learning Objectives
Learners will be able to...
- Identify key considerations when planning to use interviewing as a strategy for qualitative data gathering, including preparations, tools, and skills to support it
- Assess whether interviewing is an effective approach to gather data for your qualitative research proposal
A common form of qualitative data gathering involves conducting interviews. Interviews offer researchers a way to gather data directly from participants by asking them to share their thoughts on a range of questions related to a research topic. Interviews are generally conducted individually, although occasionally couples (or other dyads, which consist of a combination of two people) may be interviewed. Interviews are a particularly good strategy for capturing unique perspectives and exploring experiences in detail. People may have a host of responses to the request to be interviewed, ranging from flat out rejection to excitement at the opportunity to share their story. As you plan to conduct your interviews you will need to decide on your delivery method, how you will capture the data, you will construct your interview guide, and hone your research interviewing skills.
Delivery method
As technology has advanced, so too have our options for conducting interviews. While in-person interviews are generally still the mainstay of the qualitative researcher, phone or video-based interviews have expanded the reach of many studies, allowing us to gain access to participants across vast distances with relatively few resources. Interviewing in-person allows you to capture important non-verbal and contextual information that will likely be limited if you choose to conduct your interview via phone or video. For instance, if we conduct an interview by phone, we miss the opportunity to see how our participant interacts with their surroundings and we can't see if their arms are crossed or their foot is fidgety. This may indicate that a certain topic might make them particularly uncomfortable. Alternatively, we may pose a question that makes a smile come across their face. If we are interviewing in person, we can ask a follow-up question noting the smile as a change in their expression, however, it's hard to hear a smile over the phone! Additionally, there is something to be said for the ability to make a personal connection with your interviewee that may help them to engage more easily in the interview process. This personal connection can be challenging over the phone or mediated by technology. As an example, I often offer to my students that we can meet for "virtual" office hours using Zoom if it is hard for them to get to campus. However, they will often prefer to come to campus, despite the inconvenience because they would prefer to avoid the technology.
Regardless of which method you select, make sure you are well prepared. If you are meeting in person, know where you are going and allow plenty of time to get there. Remember, you are asking someone to give up their time to speak with you, and time is precious! When determining where you will meet for your interview, you may choose to meet at your office, their home, or a neutral setting in the community. If meeting somewhere in the community, do consider that you want to choose a place where you can reasonably assure the participant's privacy and confidentiality as they are speaking with you. In most instances, I try to ask participants where they would feel most comfortable meeting. If you are speaking over phone or video, make sure to test your equipment ahead of time so that you are comfortable using it, and make sure that both you and the participant have access to a private space as you are speaking. If participants have minor children, plan ahead for whether the children should stay in the same space as the interview. If not, you may need to arrange child care or at least discuss child care with participants in advance. We also want to be mindful of how we are situated during an interview, ideally minimizing any power imbalances. This may be especially important when meeting in an office, making sure to sit across from our participants rather than behind a desk.
Capturing the data
You will also need to consider how you plan to physically capture your data. Some researchers record their interviews, using either a smartphone or a digital recording device. Recording the exchange allows you to have a verbatim record, which can allow the researcher to more fully participate in the interview, instead of worrying about capturing everything in writing. However, if there is a problem with recording – either the quality of the recording or some other equipment malfunction, the researcher can be up the proverbial creek without a paddle. Additionally, using a recording device may be perceived as a barrier between the researcher and the participant, as the participant may not feel comfortable being recorded. If you do plan to record, you should always ask permission first and announce clearly when you are starting and stopping the recording. If you will use recording equipment, be sure to test it carefully in advance, and bring backup batteries/phone charger with you.
The alternative to recording is taking field notes. Field notes consist of a written record of the interview, completed during the interview. You may elect to take field notes even if you are recording the interview, and most people do. This allows us to capture main ideas that stand out to us as researchers, nonverbal information that won’t show up in a recording, and some of our own reactions as the interview is being conducted. These field notes become invaluable if you have a problem with your recording. Even if you don’t, they provide helpful information as you interpret the data you do have in your transcript (the typed version of your recording).
If you are not recording and are relying completely on your notes, it is important to know that you are not going to capture every word and that you shouldn’t try. You want to plan in advance how you will structure your notes so that they make sense to you and are easy to follow. Try to capture all main ideas, important quotes that stand out, and whenever possible, use the participant's own words. We need to recognize that when we paraphrase what the person is stating, we are introducing our ‘spin’ on it – their ideas go through our filter. We likely can’t avoid some of this, but we do want to minimize it as much as possible. Part of how we do this when we are relying on field notes is to take our interview notes and create expanded field notes, ideally within 24 hours of the interview. The longer you wait to expand your field notes, the less reliable they become, as our memory fades quickly! Much like they sound, expanded field notes take our jottings from the interview and expand them, providing more detail regarding the context or meaning of the statements that were captured. Expanded field notes may also contain questions, comments, or reactions that we, as the researcher, may have had to the data, which are usually kept in the margins, rather than in the body of the notes.
Field Notes | Expanded Field Notes |
Q 4
[Long pause] [Soft] "I was scared" (wow—fear 1st emotion) -provider -no purpose -feel lost/empty -losing house -losing family |
After asking question #4 about the participant's reaction after he lost his job, there was a long pause in our conversation.
When he started speaking again his tone change dramatically. He was joking around a lot before this, but afterward, he became more subdued and spoke softly, breaking direct eye contact with me to stare at the floor during this part fo the conversation. He stated, "I was scared". (I was really surprised that this was the first thing he mentioned. Previously when we had touched on job loss, he mostly expressed anger or laughed it off, but this felt very different. I'm glad this question was a bit later in the interview.) When I followed up by asking what he was scared of, he mentioned a number of things, including that he would not be able to provide for his family, that he wouldn't have a sense of purpose and that his work was an important part of who he is. He also described feeling lost and "empty". Additionally, he feared if this went on that he might lose his house and even his family. He feared this would change how his family saw him. |
Below are a few resources to learn more about taking quality field notes. Along with the reading, practice, practice, practice!
Resources to learn more about capturing your Field Notes:
Deggs, D., & Hernandez, F. (2018). Enhancing the value of qualitative field notes through purposeful reflection.
Robert Wood Johnson Foundation (2008). Qualitative guidelines project: Fieldnotes.
University of Southern California Libraries. (2019). Research guides: Organizing your social sciences research paper, writing field notes.
Wolfinger, N. (2002). On writing fieldnotes: Collection strategies and background expectancies.
Interview guide
The questions that you ask during your interview will be outlined in a tool called an interview guide. Along with your interview questions, your interview guide will also often contain a brief introduction reminding the participant of the topics that will be covered in the interview and any other instructions you want to provide them (note: much of this will simply serve as a reminder of what you already went over in your informed consent, but it is good practice to remind them right before you get started as well). In addition, the guide often ends with a debriefing statement that thanks the participant for their contribution, inquires whether they have any questions or concerns, and provides contact and resource information as appropriate. Below is a brief interview guide for a study that I was involved with, in which we were interviewing alumni regarding their perceptions of advanced educational needs in the field of social work and specifically their thoughts about practice doctorate of social work (DSW) degrees/programs.
Introduction Thank you for taking the time to speak with me today. As a reminder, we are conducting a study to examine your thoughts and perceptions about advanced educational needs in our field and specifically about social work practice doctorate degrees (DSW). We can stop at any time and your participation is completely voluntary. If you need anything explained more clearly as we are going through the questions, please don’t hesitate to ask. Before we get started, I will ask you to complete a brief demographic survey. [pause while participant completes demographic survey] Do you have any questions before we get started?
Interview Guide Questions
Debriefing We are so grateful that you shared your thoughts with us. We will analyze what you shared with us, along with other participants to look for themes and commonalities to help us better understand advanced educational needs in our field and also to help us as we consider developing our own DSW degree at this institution As a reminder, if you have any questions, concerns or you would like to receive copy of the results of our findings, you can contact us at XXX. |
Some interviews are prescribed or structured, with a rigid set of questions that are asked consistently each time, with little to no deviation. This is called a structured interview. More often however, we are dealing with semi-structured interviews, which provide a general framework for the questions that will be asked, but- contain more flexibility to pursue related topics that are brought up by participants. This often leads to researchers asking unplanned follow-up questions to help explore new ideas that are introduced by participants. Sometimes we also use unstructured interviews. These interview guides usually just contain a very open-ended talking prompt that we want participants to respond to. If we are using a highly structured interview guide, this suggests we are leaning toward deductive reasoning apporach—we have a pretty good idea based on existing evidence what we are looking for and what questions we want to ask to help us test our existing understanding. If we are using an unstructured guide, this suggests we are leaning toward an inductive reasoning approach—we start by trying to get people to elaborate extensively on open-ended questions to provide us with data that we will use to develop our understanding of this topic.
An important concept related to the contents of your interview guide is the idea of emergent design. With qualitative research we often treat our interview guide as dynamic, meaning that as new ideas are brought up, we may integrate these new questions into our interview guide for future interviews. This reflects emergent design, as our interview guide shifts to accommodate our emerging understanding of the research topic as we are gathering data. If you do plan to use an emergent design approach in your interviews, it is important to acknowledge this in your IRB application. When you submit your application, you will need to provide the IRB with your interview guide so that they have an idea of the questions you will be discussing with participants. While using an emergent approach to some of your questions is generally acceptable (and even expected), these questions still should be clearly relevant and related to what was presented in your IRB application. If you find that you begin diverging into new areas that are substantively different from this, you should consider submitting an IRB addendum that reflects the changes, and it may be a good idea to consult with your IRB to see if this is necessary.
Designing interview questions and probes
Making up questions, it sounds easy right? Little kids are running around asking questions all the time! However, what you quickly find when conducting research is that it takes skills, ingenuity and practice to craft good interview questions. If you are conducting an unstructured interview, you will generally have fewer questions and they will be quite broad. Depending on your topic, you might ask questions like:
- Tell me about a time…
- What was it like to…
- What should people understand about…
- What does it mean to…
If your interview is more structured, your questions will be a bit more focused, but with qualitative interviewing, we are still generally trying to get people to open up about their experiences with something, so you will want to design questions that will help them to do this. Probes can be important tools to help us accomplish this. You can think of probes as brief follow-ups that are attached to a particular question that will help you explore a topic a bit further. We usually develop probes either through existing literature or knowledge on a topic, or we might add probes to our interview guide as we begin data collection based on what previous participants tell us. As an example, I’m very interested in research on the concept of wellness. I know that the Substance Abuse and Mental Health Services Administration (SAMHSA) has adopted a heuristic tool, The Wheel of Wellness, that outlines eight dimensions of wellness based on research by Swarbrick (2006).[125] When interviewing participants with the broad, unstructured question “What does wellness mean in your life?”, I might use these eight dimensions that are spokes of this wheel (i.e. emotional, spiritual, intellectual, physical, environmental, financial, occupational, and social) as probes to explore if/how these dimensions might be relevant in the lives of these participants. Probes suggest that we are anticipating that certain areas may be relevant to our question.
Here are a few general guidelines to consider when crafting your interview questions.
Make them approachable
We are usually relatively unfamiliar with our participants, at least on a personal level. This can make sitting down for an interview where we might be asking some deep questions a bit awkward and uncomfortable, at least at first. Because of this, we want to craft our questions in such a way that they are not off-putting, inadvertently accusatory or judgmental, or culturally insensitive. To accomplish this, we want to make sure we phrase questions in a neutral tone (e.g. “Tell me what that was like”, as opposed to, “That sounds horrible, what was that like”). To accomplish this, we can shift perspectives and think about what it would be like for us to be asked these questions (especially by a stranger). Pilot testing is especially important here. You should plan in time for this, both conducting pilot testing and incorporating feedback on questions. Pilot testing involves you taking your questions on a dry-run with a few people outside of your sample. You might consider testing these out with peers, colleagues, or friends to get their perspective. You might want to get feedback on:
- Did the question make sense to them?
- Did they know what information you were looking for and how to respond?
- What was it like to be asked that question?
- What suggestions do they have for rephrasing the question (if it wasn't clear)?
Also, if we are conducting interviews on topics that may be particularly hard for people to talk about, we will likely want to start out with some questions that are easier to address prior to getting into the heavier topics.
Make them relatable
Unlike surveys, where researchers may not be able to explain the meaning of a question, with interviews, we are present to help clarify questions if needed. However, ideally, our questions are as clear as possible from the beginning. This means that we avoid jargon or technical terms, we anticipate areas that might be hard to explain and try to provide some examples or a metaphor that might help get the point across, and we do our homework to relay our questions in an appropriate cultural context. Like the discussion above, pilot testing our questions can be very helpful for ensuring the relatability of our questions, especially with community representatives. When pilot testing, do your best to test questions with a person/people from the same culture and educational level as the future participants. What sounds good in our heads might make little sense to our intended audience.
Make them individually distinct, but collectively comprehensive
Just like when we are developing survey questions, you don’t want to ask more than one question at the same time. This is confusing and hard to respond to for the participant, so make sure you are only asking about one idea in each question. However, when you are thinking about your list of questions, or about your interview guide collectively, ensure that you have comprehensively included all the ideas related to your topic. It’s extremely disheartening for a qualitative researcher that has concluded their interviews to realize there was a really important area that was not included in the guide. To avoid this, make sure to know the literature in your area well and talk to other people who study this area to get their perspective on what topics need to be included. Additional topics may come up when you pilot test your interview questions.
Interview skills
As social workers, we receive much training regarding interviewing and related interpersonal skills. Many of these skills certainly transfer to interviewing for research purposes, such as attending to both verbal and non-verbal communication, active listening, and clarification. However, it is also important to understand how a practice-related interview differs from a research interview.
The most important difference has to do with providing clarity around the purpose of the interview. For a practice-related interview, we are gathering information to help understand our client’s situation and better meet their needs. The interview is a means to provide quality services to our clients, and the emphasis is on the client and resources flowing to them. However, the research interview is ideologically much different. The interview is the means and the end. The purpose of the interview is to help answer the research question, but most often, there is little or limited direct benefit to the participant. The researcher is largely the beneficiary of the exchange, as the participant provides us with data. If the participant does become upset or is negatively affected by their participation, we may help facilitate their connection with appropriate support services to address this, such as counseling or crisis numbers (and indeed, this is our ethical obligation as a competent researcher). However, counseling and treatment is not our responsibility when conducting research interviews and we should be very careful not to confuse it as such. If we do act in this way, it creates the potential for a dual relationship with the interviewee (participant and client) and puts them in a vulnerable situation. Make sure you are clear what your role is in this encounter.
Along with recognizing the focus of your role, here is a checklist of general tips for qualitative interviewing skills:
- Approach the interview in a relaxed, but professional manner
- Be observant of verbal, nonverbal, and contextual information
- Exhibit a non-judgmental stance
- Explain information clearly and check for comprehension
- Demonstrate respect for your participants and be polite
- Utilize much more listening and much less talking
- Check for understanding when you are unclear, rather than making assumptions
- Know your materials and technology (e.g. informed consent, interview guide, recording equipment)
- Be concise, clear and organized as you are taking notes
- Have a structured approach for what you need to cover and redirect if the conversation is losing focus
- Be flexible enough so that the interview does not become impersonal and disengaging due to rigidity of your agenda
Key Takeaways
- Data collection through interviewing requires careful planning for both how we will conduct our interviews (e.g. in person, over the phone, online) and the nature of the interview questions themselves. An interview guide is an important document to develop in planning this.
- Qualitative interviewing uses similar skills to clinical interviewing, but is markedly different. This difference is due in large part to the very different purpose of these two activities.
Exercises
Let's get some practice!
Thinking about your topic, if you were to use interviewing as an approach for data collection, identify 4 interview questions that you would consider asking about your topic. Make sure these are open-ended questions so that your participants can elaborate on them.
- Interview question 1:
- Interview question 2:
- Interview question 3:
- Interview question 4:
Now pilot these. Ask a peer to read these questions and think about trying to answer them. You aren't interested in their actual answers, you want feedback about how these questions were.
- Were they understandable and clear?
- Were they potentially culturally insensitive or offensive in any way?
- Are they something that it seems reasonable that someone could answer (especially with a researcher they likely don't know previously)?
- Are they asked in a way that are likely to get people to elaborate (rather than just give a one-word answer)?
- What suggestions do they have to address all/any of these areas?
Based on your peer feedback, re-write your four questions incorporating their suggestions.
- Revised interview question 1:
- Revised interview question 2:
- Revised interview question 3:
- Revised interview question 4:
Resources for learning more about conducting Qualitative Interviews.
Baker, S. E., & Edwards, R. (2012) National Centre for Research Methods review paper: How many qualitative interviews is enough?
Clifford, S. Duke University Initiative on Survey Methodology at the Social Science Research Institute (n.d.). Tipsheet: Qualitative interviews.
Harvard University Sociology Dept. (n.d.). Strategies for qualitative interviews.
McGrath et al., (2018). Twelve tips for conducting qualitative research interviews.
Oltmann, S. M. (2016). Qualitative interviews: A methodological discussion of the interviewer and respondent contexts.
A few exemplars of studies employing Interview Data:
Ewart‐Boyle, S., Manktelow, R., & McColgan, M. (2015). Social work and the shadow father: Lessons for engaging fathers in Northern Ireland.
Flashman, S. H. (2015). Exploration into pre-clinicians' views of the use of role-play games in group therapy with adolescents.
Irvin, K. (2016). Maintaining community roots: understanding gentrification through the eyes of long-standing African American residents in West Oakland.
18.5 Focus groups
Learning Objectives
Learners will be able to...
- Identify key considerations when planning to use focus groups as a strategy for qualitative data gathering, including preparations, tools, and skills to support it
- Assess whether focus groups are an effective approach to gather data for your qualitative research proposal
Focus groups offer the opportunity to gather data from multiple participants at once. As you have likely learned in some of your practice coursework, groups can help facilitate an environment where people feel (more) comfortable sharing common experiences which can often allow them to delve deeper into topics than they may have individually. As people relate to what others in the group say, they often go on to share their responses to these new ideas – offering a collaborative synergy. Of course, similar to the research vs. clinical interview described above, the purpose of the focus group is much different than that of the therapeutic, psychoeducational, or support group. While other elements (e.g. information sharing, encouragement) may take place, the aim of the focus group must remain anchored in the collection of data and that should be made explicitly clear so participants have accurate expectations. As a cautionary note, the advantages discussed above should be the reason you choose to use a focus group to collect data. You should not choose to conduct a focus group solely out of convenience. Focus groups require a considerable amount of planning and skill to execute well, so it is not reasonable to think that just because a focus group allows you to collect data from multiple participants at once that it is an easier option for data gathering.
Group assembly
Assembling your focus group is an important part of your planning process. Generally speaking, focus groups shouldn't exceed 10-12 participants. When thinking about size, there are a couple things to consider. On the lower end, you do want enough participants so that they don’t feel pressure to be constantly speaking. If you only have a couple of focus group members, it loses most of the collective benefit of the focus group approach, as there are few people to generate and share ideas. On the higher end, you want to avoid having so many participants that not everyone gets to be heard and the group conversation becomes unwieldy and hard to manage.
As you are forming your group, you want to strike up a balance between heterogeneity (difference) and homogeneity (sameness) between your group members. If the group is too heterogeneous, then opinions may be so polarized that it is hard to have a productive conversation about the topic. People may not feel comfortable sharing their opinion or it may be difficult to gain a common understanding across the data. If the group is too homogeneous, then it may be hard to get much depth from the data. People may see the topic so similarly that we don’t gain much information about how differing perspectives think about the issue. You generally want your group composition to be different enough to be interesting and produce good conversation, but similar enough that members can relate to each other and have a cohesive conversation. Along these lines, you also need to consider whether or not your participants know each other. Do they have existing relationships? If they do know each other, we need to anticipate that there may be existing group dynamics. This may influence how people engage in discussion with us. On one hand, they may find it easy to share more freely. However, these dynamics may inhibit them from speaking their mind, as they might be concerned about repercussions for sharing within their social network.
As a final note on group composition, sometimes we make decisions on group members' characteristics based on our topic. For instance, if we are asking questions about help-seeking and common experiences after (heterosexual) sexual assault, it may be challenging to host a mixed-gender group, where participants may feel triggered or guarded having members of the opposite gender present and therefore potentially less open to sharing. It is important to consider the population you are working with and the types of questions you are asking, as this can help you to be sensitive to their perceptions and facilitate the creation of a safe space. Other issues, such as race, age, levels of education, may require consideration as you think about your group composition.
Related to feelings of safety, the setting you select for your focus group is an important decision. Much like with interviews, we want participants to feel as comfortable and at-ease as possible, however, it is perhaps less common to use someone’s home for the purpose of a focus group because we are often bringing together people who may not know one another. As such, try to select a place that feels neutral (e.g. some people may not feel comfortable in a church or a courthouse), accessible, convenient, and that offers privacy for participants. If you are working with a particular group or community, there may be a space that is especially relevant or familiar for people that may work well for this purpose. A community gatekeeper or other knowledgeable community member can be an excellent resource in helping to identify where a good space might be. Seating in a circle will help participants to share more easily. Focus group organizers often provide refreshments as an incentive and to make participants feel more comfortable. If you decide to provide refreshments, be sensitive to issues like common dietary restrictions and cultural preferences.
Roles of the researcher(s)
Ideally, you are conducting your focus group with a co-researcher. This is important because it allows you to divide up the tasks and makes the process more manageable. Most often, one of you will take on the main facilitator role, with responsibilities for providing information and instructions, introducing topics, asking follow-up questions and generally structuring the encounter. The other person takes on a note-taking/processing role. While not necessarily silent, they likely say very little during the focus group. Instead, they are focused on capturing the context of the encounter. This may include taking notes about what is said, how people respond or react, other details about the space and the overall exchange as a whole. They will also often be especially attentive to group dynamics and capturing these whenever possible. Along with this, if they see that certain group members are dominating or being left out of the conversation, they may help the facilitator to address or shift these dynamics so that the sharing is more equitable. Finally, if something arises where a participant becomes upset or there is an emergency where they need to leave the room, having a co-researcher allows one of you to remain with the group, while the other can attend to the person in distress. For consistency sake, you may want to maintain roles throughout data collection. If you do decide to alternate roles as you conduct multiple focus groups, it is important that you both conduct the respective roles as similarly as possible. Remember, research is about the systematic collection of data, so you want your data collection to follow a consistent process. Below is a chart that offers some tips for each of these roles.
Main Facilitator | Observer |
|
|
Focus group guide and preparations
As in your preparation for an interview, you will want to spend considerable time developing your focus group guide and the questions it contains. Be sure the language you use in your questions is appropriate for the educational level of your participants; you will need to use vocabulary that is clear and not “jargon”. At the same time, you also want to avoid talking down to your participants. You will probably want to start with some easier, non-threatening questions to help break the ice for the group and help get folks comfortable talking and sharing their input. Be prepared to ask questions in a different way or follow up with probes to help prod the conversation along if a question falls flat or fails to elicit a dialogue. In addition, you will want to plan introductions, both to the study and to one another. Usually we stick to first names, and occasionally during introductions, participants will share how they are connected to the topic of the research. Just like in many practice-related groups, facilitators usually take time to review group norms and expectations before getting started with questions. Some common norms to discuss are:
- Not talking over other participants
- Being respectful of other participants’ contributions
- All people are expected to participate in the conversation
- Not pressuring people to respond to a question if they are uncomfortable
- Using respectful language and avoiding derogatory, discriminatory or accusatory language or tone
- Not using electronic devices and silencing cell-phones during the focus group
- Allowing others ample time to contribute to the conversation and not dominating the discussion
Another expectation to address that is especially important to include is confidentiality. It is important to make clear to participants that what is shared in the group should be kept confidential and not discussed outside the context of the focus group. Additionally, it is important to let participants know that while the researchers ask all participants to protect the confidentiality of what is shared, they can’t guarantee that will be honored. Below figure 18.4 offers an example of a focus group guide template to help you think about how to structure this type of document.
Welcome & Housekeeping
Guidelines
Focus Group Questions I will introduce each of these questions and allow people to respond with their thoughts, viewpoints, and perspectives. Please allow a person to finish their thought before stating your own. I may invite people directly to contribute to the conversation if we have not heard from you; if you would prefer not to share at that time, feel free to say “pass”. I may ask you clarifying questions or request that you explain an idea further for me and I may ask the larger group their response to something that has been shared. Let’s get started. Question 1 Probe 1A Probe 1B Question 2 Probe 2A Probe 2B Probe 2C Probe 2D Debriefing Thank you so much for joining us today and sharing your thoughts about ___________. If you would like to learn more about our project as it progresses or if you have any questions about the results of today’s discussion, we would love to hear from you! Here is a card with my contact information so you can reach me. Email is the fast way to get through to me. If anything we talked about was upsetting and you feel like you need to speak with someone, as a reminder, you can reach out to _______________. Again, it has been our pleasure to meet with you today. |
Capturing your data
Finally, as with interviews, you will need to plan how you will capture the data from your focus group(s). Again, you may choose to record the focus groups, take field notes, or use a combination of both. There are some special considerations that apply to these choices when using a focus group, however. First, if recording, anticipate that it may be especially challenging when transcribing the recording to determine who said what. In addition, the quality of the recording can become a challenge. Despite requests for individuals to speak one at a time, inevitably there will be spots where there are multiple people talking at once, especially with an animated group. Additionally, do test the recording devices, ideally in the space you will be using them. You want to make sure that it can pick up everyone’s voice, even if they are soft-spoken and seated a distance from the device. If you are relying solely on a recording and there is a problem with it, it can be difficult to surmount the barriers this can pose. If this occurs with an interview, while not ideal, you can re-interview a person to replace the information, but re-creating a focus group can be a logistical nightmare. When taking field notes, it is a good practice to make a quick seating chart at the beginning so you can make quick references for yourself of who is saying what (see Figure 18.5). Regardless of what system you use to stay organized in taking these notes, make sure to have one that works for you. The conversations will likely happen more rapidly and will include multiple voices, so you will want to be prepared in advance.
Key Takeaways
- Focus groups offer a valuable tool for qualitative data collection when the topic we are exploring might best be understood through a group discussion that helps participants verbally process and consider their experiences, thoughts, and opinions with others.
- Details like focus group composition, roles of co-facilitators, and anticipation of group norms or guidelines require our attention as we prepare to host a focus group.
Exercises
Reflexive journal prompt
How do you feel about conducting a focus group?
- What about it is appealing
- What about it seems challenging
- Would you prefer to be the main facilitator or the observer (and why)?
- What might make using a focus group a good choice for your specific research question?
- What might make using a focus group a poor choice for your specific research question?
Resources to learn more about conducting Focus Groups.
Leung, F. H., & Savithiri, R. (2009). Spotlight on focus groups.
Duke, ModU (2016, October 19). Powerful concepts in social science: Preparing for focus groups, qualitative research methods
Onwuegbuzie et al. (2009). A qualitative framework for collecting and analyzing data in focus group research.
Nyumba et al. (2018). The use of focus group discussion methodology: Insights from two decades of application in conservation.
Robert Wood Johnson Foundation (2008). Qualitative Guidelines Project: Focus groups.
A few exemplars of studies employing Focus Groups:
Foote, W. L. (2015). Social work field educators' views on student specific learning needs.
Hoover, S. M., & Morrow, S. L. (2016). A qualitative study of feminist multicultural trainees’ social justice development.
Kortes-Miller, K., Wilson, K., & Stinchcombe, A. (2019). Care and LGBT aging in Canada: A focus group study on the educational gaps among care workers.
18.6 Observations
Learning Objectives
Learners will be able to...
- Identify key considerations when planning to use observations as a strategy for qualitative data gathering, including preparations, tools, and skills to support it
- Assess whether observations are an effective approach to gather data for your qualitative research proposal
Observational data can also be very important to the qualitative researcher. As discussed in Chapter 17, observations can provide important information about context, reactions, behaviors, exchanges, and expressions. The focus of observations may be individuals, interactions between people or within groups, environments or settings, or events like artistic expressions (e.g. plays, poetry readings, art shows), public forums (e.g. town hall meetings, community festivals), private forums (e.g. board meetings, family reunions), and finally, your reactions or responses as the researcher to any and all of these. We will be discussing a variety of different types of qualitative designs in Chapter 22, including ethnography. Observational data is especially important for ethnographic research designs.
Researcher engagement
Observational data gathering is a more indirect form of data collection when compared with previous methods we have discussed. With both interviews and focus groups, you are gathering data directly from participants. When making observations, we are relying on our interpretation of what is going on. Even though we are often not directly interacting with people, we generally have an ethical responsibility to disclose that we are gathering data by making observations and gain consent to do so. That being said, there are some instances where we are making observations in public spaces, and in these instances disclosure may not be necessary because we are not gathering any identifiable information about specific people. These instances are rare, but if you are in doubt, consult with your IRB.
Even though I just suggested that making observations is often a more indirect form of data gathering, it does exist on a continuum. If utilizing observational data, you will need to consider where you fall on this continuum. Some research designs situate the researcher as an active participant in the community or group that they are studying, while other designs have the researcher as an independent and detached onlooker. In either case, you need to consider how your presence, either involved or detached, may influence the data you are gathering. This requires us to think of this on a more individual or micro level (how do the individuals we are directly observing perceive us) and a more mezzo or even macro level (how does the community or group of people we are studying collectively feel about our presence and our research)? Are people changing their behavior because of your presence? Are people monitoring or censoring what they say? We can’t always know the answers to these questions, but we can try to reduce these concerns by making repeated observations over time, rather than using a one-time, in-and-out data gathering mission. This means actually spending time within the community that is the focus of your observation. Taking the time to make repeated observations will allow you to develop a reasonable framework of understanding, which in turn will empower you to better interpret what you see and help you determine whether your observations and interpretation are consistent.
Observational skills
When gathering observational data, you are often attending to or taking in many different dimensions. You are potentially observing:
- the context of the environment
- the content of what is being said
- behaviors of people
- affective or emotional aspects of interactions
- sequences of events
- your own reactions to what is being observed
To capture this information, you will need to be keenly aware, focused, and organized. Additionally, you need to make sure you are capturing clear descriptions of what is going on. Remember, notes that seem completely logical and easy to understand at the time you are taking them can become vague and confusing with the passage of time and as you gather more and more data. Part of the clarity of your description often involves taking a non-judgmental approach to documenting your observations. While this may seem easy, judgments or biases frequently slip into our thinking and writing (unbeknownst to us). Along with a non-judgmental stance, researchers making observations also attempt to be as unobtrusive as possible. This means being conscious of your behaviors, your dress and overall appearance. If you show up wearing a suit and tie, and carrying a clipboard while everyone else is wearing jeans and t-shirts, you are likely to stick out like a sore thumb. This is also likely to influence how participants respond and interact with you. Know the environment that you are making your observations in, with a goal of blending in as much as possible.
Capturing your data
Observational data is most often captured using field notes. Using recordings for observational data is infrequently used in social work research. This is especially true because of the potential for violations of privacy and threats to confidentiality that recordings (video or audio) may pose to participants. Mirroring our discussion above, when taking field notes, make sure to be organized and have a plan for how you will structure your notes so they are easy to interpret and make sense to you. Creswell (2013)[126] suggests capturing 'descriptive' and 'reflective' aspects in your observational field notes. Table 18.3 offers some more detailed description of what to include as you capture your data and corresponding examples.
Areas to capture | Aspects to consider in each area | Example |
Demographic Info | What details help to frame the logistics of the interaction
|
Date: 7/17/19
Place: Pride Rock Time: 10:30 AM (start); 1:00 PM (stopped) |
Descriptive Aspects | What you observe externally
|
Simba is sitting across the room from Mufasa
Neither are making eye-contact After two or so minutes, Mufasa shifts in his chair and raises his eyebrow, clearing his throat... |
Reflective Aspects | What you observe internally
|
I'm uncomfortable watching the exchange—it's only been a couple of minutes, but it feels like much longer
It seems extremely hard for these two to discuss their feelings |
For the purposes of qualitative research, our observations are generally unstructured or more naturalistic. However, you may also see mention of more systematic or structured observations. This is more common for quantitative data collection, where we may be attempting to capture or count the frequency with which a specific behavior or event occurs.
Key Takeaways
- Observational data collection can be an effective tool for gathering information about settings, interactions, and general human behavior. However, since this is gathered strictly through the researchers own direct observation, it is not a source of data on people's thoughts, perceptions, values, opinions, beliefs or interpretations.
- There are a range of aspects that we may want to take note of while we are observing (e.g. the setting, interactions, descriptions of people, etc.).
- While we are making our observations, we generally want to do so as inconspicuously and non-judgmentally as possible.
Resources for learning more about conducting Qualitative Observations.
Kawulich, B.B. (2005, May) Participant observation as a data collection method.
Kawulich, B.B. (2012). Collecting data through observation. In C. Wagner, B. Kawulich, & M. Garner (Eds.), Doing social research: A global context (150-160). New York: McGraw Hill.
Robert Wood Johnson Foundation (2008). Qualitative Guidelines Project: Observations.
Sliter, M. (2014, June 30). Observational methods: Research methods.
A few exemplars of studies employing qualitative observations:
Avby et al. (2017). Knowledge use and learning in everyday social work practice: A study in child investigation work.
Wilkins et al. (2018). A golden thread? The relationship between supervision, practice, and family engagement in child and family social work.
Wood et al. (2017). The “gray zone” of police work during mental health encounters: Findings from an observational study in Chicago.
18.7 Documents and other artifacts
Learning Objectives
Learners will be able to...
- Identify key considerations when planning to analyze documents and other artifacts as a strategy for qualitative data gathering, including preparations, tools, and skills to support it
- Assess whether analyzing documents and other artifacts is an effective approach to gather data for your qualitative research proposal
Qualitative researchers may also elect to utilize existing documents (e.g. reports, newspapers, blogs, minutes) or other artifacts (e.g. photos, videos, performances, works of art) as sources of data. Artifact analysis can provide important information on a specific topic, for instance, how same-sex couples are portrayed in the media. They also may provide contextual information regarding the values and popular sentiments of a given time and/or place. When choosing to utilize documents and other artifacts as a source of data for your project, remember that you are approaching these as a researcher, not just as a consumer of media. You need to thoughtfully plan what artifacts you will include, with a clear justification for their selection that is solidly linked to your research question, as well as a plan for systematically approaching these artifacts to identify and obtain relevant information from them.
Obtaining your artifacts
As you begin considering what artifacts you will be using for your research study, there are two points to consider: what will help you to answer your research question and what can you gain access to. In addressing the first of these considerations, you may already have a good idea about what artifacts are needed because you have done a substantial amount of preliminary work and you know this area well. However, if you are unsure, or you need to supplement your existing knowledge, some general sources can include: librarians, historians, community experts, topical experts, organizations or agencies that address the issue or serve the population you will be studying, and other researchers who study this area. In considering access, if the artifacts are public the answer may be a straightforward yes, but if the documents are privately held, you may need to be granted permission – and remember, this is permission to use them for research purposes, not just to view them. When obtaining permission, get something in writing, so that you have this handy to submit with your IRB application. While the types of artifacts you might include are almost endless (given they are relevant to your research question), Table 18.4 offers a list of some ideas for different sources you might consider:
Newspapers | Films | Meeting Minutes |
Organizational Charts | Autobiographies | Blogs |
Web Pages | Text Message Discussions | Pieces of Art |
Objects in a Special Collection of a Museum | Pamphlets | Dance Recitals |
Speeches | Historical Records | Letters |
Artifact analysis skills
Consistent with other areas of research, but perhaps especially salient to the use of artifacts, you will require organizational skills. Depending on what sources you choose to include, you may literally have volumes of data. Furthermore, you might not just be dealing with a large amount of data, but also a variety of types of data. Regardless of whether you are using physical or virtual data, you need to have a way to label and catalog (or file) each artifact so that you can easily track it down. As you collect specific information from each piece, make sure it is tagged with the appropriate label so that you can track it back down, as you very well may need to reference it later. This is also very important for honest and transparency in your work as a qualitative researcher – documenting a way to trace your findings back to the raw data.
In addition to staying organized, you also need to think specifically about what you are looking for in the artifacts. This might seem silly, but depending on the amount of data you are dealing with and how broad your research topic is, it might be hard to ‘separate the wheat from the chaff’ and figure out what is important or relevant information. Sometimes this is more clearly defined and we have a prescribed list of things we are looking for. This prescribed list may come from existing literature on the topic. This prescribed list may be based on peer-reviewed literature that is more conceptual, meaning that it focuses on defining concepts, putting together propositions, formulating early stage theories, and laying out professional wisdom, rather than reporting research findings. Drawing on this literature, we can then examine our data to see if there is evidence of these ideas and what this evidence tells us about these concepts. If this is the case, make sure you document this list somewhere, and on this list define each item and provide a code that you can attach when you see it in each document. This document then becomes your codebook.
However, if you aren’t clear ahead of time what this list might be, you may take an emergent approach, meaning that you have some general ideas of what you are seeking. In this event, you will actively create a codebook as you go, like the one described above, as you encounter these ideas in your artifacts. This helps you to gain a better understanding of what items should be included in your list, rather than coming in with preconceived notions about what they should be. There will be more about tracking this in our next chapter on qualitative analysis. Whether you have a prescribed list or use a more emergent design to develop your codebook, you will likely make modifications or corrections to it along the way as your knowledge evolves. When you make these changes, it is very important to have a way to document what changes you made, when, and why. Again, this helps to keep you honest, organized, and transparent. Just as another reminder, if you are using predetermined codes that you are looking for, this is reflective of a more deductive approach, whereas seeking emergent codes is more inductive.
Finally, when using artifacts, you may also need to bring in some creative, out-of-the-box thinking. You may be bringing together many different pieces of data that look and sound nothing alike, yet you are seeking information from them that will allow you tell a cohesive story. You may need to be fluid or flexible in how you are looking at things, and potentially challenge your preconceived notions.
Capturing the data
As alluded to above, you may have physical artifacts that you are dealing with, digital artifacts or representations of these artifacts (e.g. videos, photos, recordings), or even field notes about artifacts (for instance, if you take notes of a dramatic performance that can’t be recorded). A large part of what may drive your decisions about how to capture your data may be related to your level of access to those artifacts: can you look at it? Can you touch it, can you take it home with you, can you take a picture of it? Depending on what artifacts we are talking about, some of these may be important questions. Regardless of the answers to these questions, you will need to have a clearly articulated and well-documented plan for how you are obtaining the data and how you will reference it in the future. Table 18.4 provides a list of data gathering activities you might consider, both for documents and for other audiovisual materials.
Exercises
What types of artifacts might you have access to that might help to answer your research question(s)?
Tips
- These could be artifacts available at your field placement, publically available media, through school, or through public institutions
- These can be documents or they can be audiovisual materials
- Think outside the box, how can you gather direct or indirect indications of the thing you are studying
Generate a list of at least 3
- _
- _
- _
Again, drawing on Creswell's (2013) suggestion of capturing 'descriptive' and 'reflective' aspects in your field notes, Table 18.5 offers some more detailed description of what to include as your capture your data and corresponding examples when focusing on an artifact.
Areas to capture | Aspects to consider in each area | Example |
Demographic Info | What details help to frame the logistics of the interaction
|
Date: 1/22/19
Artifact: Moved to Tears by Nieves Dominguez, Photo Exhibit Source: NY Arts for Action Studios Source Information: Studio is a non-profit that hosts artistic work and events that are intended to raise consciousness and produce change for groups experiencing inequality and oppression Nieves is a world-renown photographer who specializes in capturing the experience of immigrant journeys and is a vocal advocate for immigrant rights |
Descriptive Aspects | What you observe externally
|
As you begin moving through the exhibit, you first encounter a number of photographs of people in tears. There are pictures of people crying alone, crying in groups, wailing, subdued, appearing joyous, appearing sorrowful...
The room is silent. Despite the hall being quite crowded, you can hear a pin drop. Based on proximity to each other, it generally seems that people are attending in small groups (3-6). A few single people appear to be viewing, as well. |
Reflective Aspects | What you observe internally
|
I want to know more about the focal point of the photographs. While all of these initial photos contain someone in tears, they rarely seem to be the focus of the picture. I don't know if this is meant to convey the often hidden sufferings and joys of these subjects or perhaps the many and varied forces that influence their lives. |
Resources to learn more about qualitative research with artifacts.
Bowen, G. A. (2009). Document analysis as a qualitative research method.
Rowsell, J. (2011). Carrying my family with me: Artifacts as emic perspectives.
Hammond, J., & McDermott, I. (n.d.). Policy document analysis.
Wang et al. (2017). Arts-based methods in socially engaged research practice: A classification framework.
A few exemplars of studies utilizing documents and other artifacts.
Casey, R. C. (2018). Hard time: A content analysis of incarcerated women’s personal accounts.
Green, K. R. (2018). Exploring the implications of shifting HIV prevention practice Ideologies on the Work of Community-Based Organizations: A Resource dependence perspective.
Sousa, P., & Almeida, J. L. (2016). Culturally sensitive social work: promoting cultural competence.
Secondary data analysis
I wanted to briefly provide some special attention to secondary data analysis at the end of this chapter. In the past two chapters we have focused our sights most often on what we would call raw data sources. However, you can of course conduct qualitative research with secondary data, which is data that was collected previously for another research project or other purpose; data is not originating from your research process. If you are fortunate enough to have access and permission to use qualitative data that had already been collected, you can pose a new research question that may be answered by analyzing this data. This saves you the time and energy from having to collect the data yourself!
You might procure this data because you know the researcher that collected the original data. For instance, as a student, perhaps there is a faculty member that allows you access to data they had previously collected for another project. Alternatively, maybe you locate a source of qualitative data that is publicly available. Examples of this might include interviews previously conducted with Holocaust survivors. Finally, you might register and join a research data repository. These are sites where contributing researchers can house data that other researchers can view and request permission to use. Syracuse University hosts a repository that is explicitly dedicated to qualitative data. While there are more of these emerging, it may be a challenge to find the specific data you are looking for in a repository. You should also anticipate that data from repositories will have all identifiable information removed. Sharing data you have collected with a repository is a good way to extend the potential usefulness and impact of data, but it also should be anticipated before you collect your data so that you can build it into any informed consent so participants are made aware of the possibility.
Computer Assisted Qualitative Data Analysis Software (CAQDAS)
Some qualitative researchers use software packages known as Computer Assisted Qualitative Data Analysis Software (CAQDAS) in their work. These are tools that can aid researchers in managing, organizing and manipulating/analyzing their data. Some of the more common tools include NVivo, Atlas.ti, and MAXQDA, which have licensing fees attached to them (although many have discounted student rates). However, there are also some free options available if you do some hunting. Taguette Project is the only free and open source CAQDAS project that is currently receiving updates, as previous projects like RQDA which built from the R library are not in active development. Taguette is a young project, and unlike the free alternatives for quantitative data analysis, it lacks the sophisticated analytical tools of commercial CAQDAS programs.
It is unlikely that you will be using a CAQDAS for a student project, mostly because of the additional time investment it will take to become familiar with the software and associated costs (if applicable). In fact the best way to avoid spending money on qualitative data analysis software is to do your analysis by hand or using word processing or spreadsheet software. If you continue on with other qualitative research projects, it may be worth some additional study to learn more about CAQDAS tools. If you do choose to use one of these products, it won’t magically do the analysis for you. You need to be clear about what you are using the software for and how it supports your analysis plan, which will be the focus of our next chapter.
Resources to learn more about CAQDAS.
Maher et al. (2018). Ensuring rigor in qualitative data analysis: A design research approach to coding combining NVivo with traditional material methods.
Woods et al. (2016). Advancing qualitative research using qualitative data analysis software (QDAS)? Reviewing potential versus practice in published studies using ATLAS. ti and NVivo, 1994–2013.
Zamawe, F. C. (2015). The implication of using NVivo software in qualitative data analysis: Evidence-based reflections.
As you continue to plan your research proposal, make sure to give practical thought to how you will go about collecting your qualitative data. Hopefully this chapter helped you to consider which methods are appropriate and what skills might be required to apply that particular method well. Revisit the table in section 18.3 that summarizes each of these approaches and some of the strengths and challenges associated with each of them. Collecting qualitative data can be a labor-intensive process, to be sure. However, I personally find it very rewarding. In its very forms, we are bearing witness to people's stories and experiences.
Key Takeaways
- Artifact analysis can be particularly useful for qualitative research as a means of studying existing data; meaning we aren't having to collect the data ourselves, but we do have to gather it. As a limitation, we don't have any control over how the data was created, since we weren't involved in it.
- There are many sources of existing data that we can consider for artifact analysis. Think of all the things around us that can help to tell some story! Artifact analysis may be especially appealing as a potential time saver for student researchers if you can gain permission to use existing artifacts or use artifacts that are publicly available.
- Artifact analysis still requires a systematic and premeditated approach to how you will go about extract information from your artifacts.
Exercises
Reflexive Journal Entry Prompt
Here are a few questions to get you thinking about the role that you play as you gather qualitative data.
- What are your initial thoughts about qualitative data collection?
- Which of these data collection strategies are you drawn to?
- Why might that be?
- What excites you about this process?
- What worries you about this process?
- What aspects of yourself will strengthen or enhance this process?
- What aspects of yourself may hinder or challenge this process?
Exercises
Decision Point: How will you go about qualitative data collection?
- What approach(es) will you use to collect your qualitative data?
- Justify your choice(s) here in relation to your research question and availability of resources at your disposal
- What steps will you need to put in place to ensure a high quality, systematic process for data collection?
- who will be collecting data
- what will be involved
- how will it be safely stored and organized
- how are you protecting human participants
- if you have a team, how is communication being established so everyone is "on the same page"
- how will you know you are done
- What additional information do you need to know to use this approach?
Chapter Outline
- Case study (12 minute read)
- Constructivist (9 minute read)
- Oral history (10 minute read)
- Ethnography (8 minute read)
- Phenomenology (9 minute read)
- Narrative (9 minute read)
Content warning: Examples in this chapter contain references to research as a bullying, housing insecurity, suicide, environmental oppression, race and access to leadership, older adult residential care, LGBTQ+ rights, immigration experiences, the lived experience of being a Person of Color in the United States, case management, discrimination, having a chronic disease or condition, HIV, religion, and sex work.
Qualitative inquiry reflects a rich diversity of approaches with which we can explore the world. These approaches originate from philosophical and theoretical traditions that offer different strategies for us to systematically examine social issues. The placement of this chapter presented challenges for us. In many respects, your choice of design type is central to your research study, and might very well be one of the first choices you make. Based on this, we had considered leading off our qualitative section with this chapter, thereby exposing you to a range of different types of designs. Obviously, we had second thoughts. We ended up putting it at the end because we realized that if we opened up with this part of the discussion, you really wouldn't have the background information to help you make sense of some of the differences between the various designs. Throughout our exploration of qualitative design thus far, we have discussed a number of decision points for you to consider as you design your study. Each of these decisions ties into your research question and ultimately will also be informed by, and help to inform, your research design choice. Your design choice truly reflects how these design elements are being brought together to respond to your research question and tell the story of your findings.
As we discussed in Chapter 19, qualitative research tends to flow in an iterative vein, suggesting that we are often engaged in a cyclical process. This is true in the design phase of your study as well. You may revisit preliminary plans and decide that you now want to make changes to more effectively address the way in which you understand your research question or to improve the quality of your overall design. Don't beat yourself up for this, this is part of the creative process of research! There is no perfect design and you are much better served by being a dynamic and critical thinker during the design process, rather than rigidly adhering to the first idea that comes along. We will now explore six different qualitative designs. Each will just be a brief introduction to that particular type of research, including what the main purpose of that design is and some basic information about conducting research in that vein. If you are interested in creating a proposal using a particular design, a number of resources and example studies are provided for each category.
Exercises
Below is a brief checklist and justification questions to help you think about consistency across your qualitative design. When you have finished this chapter, come back to this exercise and see if you can complete this as it applies to your proposal.
- Is my research question a good fit for a qualitative approach?
- If yes, explain why this is:
- If no, consider a quantitative approach, or revising your research question so it is a better fit.
- Is my research question a good fit for the specific qualitative research design I have chosen?
- If yes, explain why this is:
- If no, explain why not, and what approach you might consider as an alternative:
- If you're not yet sure about which design you might choose, review the ones discussed in this chapter and consider what the value/purpose of each of them is. Which one seems like the best match for your question? (if you still aren't sure, it might be good to consult with your professor)
22.1 Case study
Learning Objectives
Learners will be able to...
- Begin to distinguish key features that are associated with case study design
- Determine when a case study design may be a good fit for a qualitative research study
What is the purpose of case study research?
We've already covered that qualitative research is often about developing a deep understanding of a topic from a relatively small sample, rather than a broader understanding from the many. This is especially true for case study research. Case studies are essentially a 'deep dive' into a very focused topic. Skeptics of qualitative research often discount the value in studying the experiences and understandings of individuals and small groups, arguing that this type of research produces little value because it doesn't necessarily apply to a large number of people (i.e. produce generalizable findings). Hopefully you recognize the positivist argument here. These folks are likely to be unimpressed with the narrow focus that a case study adopts, suggesting that the restricted purview of a case study has little value to the scientific community. However, interpretativist qualitative researchers would counter that by thoroughly studying people, interactions, events, and the context in which they occur, researchers uncover key information about human beings, social interactions, and the nature of society itself. Remember, from this interpretative philosophical orientation we are not looking for what is "true" for the many, but we are seeking to recognize and better understand the complexity of life and human experiences; the multiple truths of a few. Case studies can be excellent for this!
Part of the allure of case studies stem from their diversity. You might choose to study:
- Individuals, such as a client with a unique need or a social worker with a unique position
- Small Groups, such as a newly formed anti-bullying student task force at a school
- Population (usually relatively small), such as the residents of a subsidized housing community that are losing their homes in a gentrifying area
- Events, such as a member of a senior center dying by suicide
- Process, such as a community organizing entity targeting a local ordinance allowing waste storage in a community with few socioeconomic resources
If we choose to utilize a case study design for our research, the use of theory can be incredibly helpful to guide and support our purpose throughout the research process. The Writing Center at Colorado State University offers a very helpful web resource for all aspects of case study development, and one page is specifically dedicated to theoretical application for case study development. They outline three general categories of theory: individual theories, organizational theories, and social theories, all of which case study researchers might draw from. These are especially helpful for us as social work researchers,who may focus on research across micro, mezzo, and macro environments (as evidenced in the aforementioned case study examples). For instance, if you are the researcher in the last example, looking at community members challenging a local ordinance, you might draw on Community Organizing Theory and Capabilities Perspective to structure your study. As an alternative, if you are studying the experience of the first Black woman board president of a national organization, you might borrow from Minority Stress and Strengths Perspective as models as you develop your inquiry. Whatever your focus, theory can be an important tool to aid in orienting and directing your work.
What is involved with case study research?
Due to the diversity of topics studied and types of case study design, no two case studies look alike (just like snowflakes). For this reason, I'm going to focus this section on some common hallmarks of case studies that will hopefully help you as you think about designing and consuming case study research.
As the name implies, our emphasis with case study research is to provide an understanding of a specific case. The range of what qualifies as a case is extensive, but regardless, we are primarily aiming to explore and describe what is going on in the given case we are studying. As case study researchers, this means we need to work hard to gather rich details. We aren't satisfied with surface, generic overviews or summaries, as these won't provide the multidimensional understanding we are hoping for. Thinking back to our chapter on qualitative rigor, a case study researcher might aim to produce a thick description with the details they gather as a sign of rigor in their work. To gather these details, we need to be open to subtleties and nuances about our topic. If we are expending the energy to study a case in this level of detail, the research assumptions are that the case could provide valuable information and that we currently know relatively little about this case. As such, we don't want to assume that we know what we are looking for. This means that we need to build in ways to capture unanticipated data and check our own assumptions as we design and conduct our study. We might use tools like reflexive journaling and peer debriefing to support rigor in this area.
Another good way to demonstrate both rigor and cultural humility when using this approach is engage stakeholders actively throughout the research process who are intimately involved with the case. This demonstrates good research practice in at least two ways. It potentially helps you to gather relevant and more meaningful data about the case, as a person who is connected to the case will likely know what to look for and where. Secondly, and more importantly, it reflects transparency and respect for the subjects of the case you are studying.
Another key feature of most case studies is that they don't rely on one source of data. Again, returning to our exploration of qualitative rigor, triangulation is a very important concept for case study research. Because our target is relatively narrow in case study design, we often try to approach understanding it from many different angles. As a metaphor, you might think of developing a 360° view of your case. What level of dimensionality can you introduce by looking at different types of data or different perspectives on the issue you are studying? While other types of qualitative research may rely solely on data collected from one method, such as interviews, case studies traditionally require multiple. So, in the example above where you are studying the residents of a subsidized housing community that are losing their homes in a gentrifying area, you might decide to gather data by:
- Conducting interviews with residents
- Making observations in the community
- Attending community meetings
- Conducting key informant interviews with clergy, educators, human service providers, librarians, historians, and local politicians who serve the area
- Examining correspondence that community members share with you about the impending changes
- Examining media coverage about the impending changes
Furthermore, if you are invested in engaging stakeholders as discussed above, you could form a resident advisory group that would help to oversee the research process in its entirety. Ideally this group would have input into how results are shared and what they would hope to gain as a result of the study (i.e. what kind of change would they like to see come from this).
Case studies can often draw out the creativity in us as we consider the range of sources we may want to tap for data on our case. Of course, this creativity comes at a price, in that we invite the challenge of designing research protocols for all these different methods of data collection and address them thoroughly in our IRB applications! Finally, with the level of detail and variety of data sources we have already discussed, case studies endeavor to pay attention to and provide a good accounting of context. If we are working to provide a rich, thick description of our case, we need to offer our audience information about the context in which our case exists. This can mean that we collect data on a range of things that might include:
- the socio-polticial environment surrounding our case
- the background or historical information that preceded our case
- the demographic information that helps to describe the local community that our case exists in
As you consider what contextual information you plan to gather and share, stay fluid. Again, it is likely that we won't know in advance the many contextual features that are reflected in our case. If you are doing a good job listening to your participants and engaging stakeholder in your process, they will tell you what is important to note. As social workers, we draw on a person-in-environment approach to help us conceptualize the ways in which our clients interact with the world around them and the challenges they encounter. Similarly, as researchers, we want to conceptualize case study-in-environment as we are developing our case study projects.
Key Takeaways
- Case studies offer an effective qualitative design when seeking to describe or understand a very specific phenomenon in great detail. The focus of a "case" can cover a range of different topics, including a person, a group, an event or a process.
- The design of a case study usually involves capturing multiple sources of data to help generate a rich understanding of both the content and the context of the case.
Exercises
Based on your social work passions and interests:
- What is a specific topic you feel might be well-suited for a case study?
- What potential sources of data would you use for your case study?
- What sorts of contextual information would you want to make sure to search for to get a really comprehensive understanding of your case?
Resources
To learn more about case study research
Baxter, P., & Jack, S. (2008). Qualitative case study methodology: Study design and implementation for novice researchers.
Gibbs, G.R. (2012, October, 24). Types of case studies: Part 1 of 3 on case studies.
Gibbs, G.R. (2012, October, 24). Planning a case study: Part 2 of 3 on case studies.
Gibbs, G.R. (2012, October, 24). Replication or single cases: Part 3 of 3 on case studies.
Harrison et al. (2017). Case study research: Foundations and methodological orientations.
Hyett et al. (2014). Methodology or method? A critical review of qualitative case study reports.
Lock, I., & Seele, P. (2018). Gauging the rigor of qualitative case studies in comparative lobbying research. A framework and guideline for research and analysis.
Stake, R. E. (1995). The art of case study research. Thousand Oaks, CA: Sage publications.
Starman, A. B. (2013). The case study as a type of qualitative research.
Writing@CSU, the Writing Studio: Colorado State University (n.d.). Case studies.
Yin, R. K. (2014). Case study research and applications: Design and methods. Thousand Oaks, CA: Sage publications.
For examples of case study research
Chan, C., & Holosko, M. J. (2017). The utilization of social media for youth outreach engagement: A case study.
Gabriel, M. G. (2019). Christian faith in the immigration and acculturation experiences of Filipino American youth.
Paddock et al. (2018). Care home life and identity: A qualitative case study.
22.2 Constructivist
Learning Objectives
Learners will be able to...
- Begin to distinguish key features that are associated with constructivist design
- Determine when a constructivist design may be a good fit for a qualitative research study
What is the purpose of constructivist research?
Constructivist research seeks to develop a deep understanding of the meaning that people attach to events, experiences, or phenomena. It draws heavily from the idea that our realities are constructed through shared social interaction, within which each person holds a unique perspective that is anchored in their own position (where they are situated in the world) and their evolving life experiences to date. Constructivist research then seeks to bring together unique individual perspectives around a common topic or idea (the basis of the research question), to determine what a shared understanding for this particular group of participants might be. By developing a common or shared understanding, we are better able to appreciate the multiple sides or facets of any given topic, helping us to better appreciate the richness of the world around us. You can think about constructivist research as being akin to cultural humility. When we approach practice with a sense of cultural humility, we assume that people who participate in a shared culture experience it from their own unique perspective. As we work with them, we try our best to understand and respect their personal understanding of that culture. Similarly, in constructivist research, we attempt to bring together (and honor) these unique individual perspectives on a given topic and construct a shared understanding, attempting to take what might be one-dimensional and making it multidimensional.
Constructivist research, as a method of inquiry, originated out of the work of Lincoln and Guba (1985),[128] although it was initially termed "naturalism". In stark contrast to more positivist research traditions that make the assumption that the broad aim of research as an approach to knowledge building is to produce generalizable findings, constructivist research assumes that any knowledge produced through the research process is context-dependent. This means that constructivist findings are specific to those who contributed to that knowledge building and the situation in which it took place. That isn't to say that these results might not have broader value or application, but the aim of the constructivist researcher is not to make that claim. The aim of the constructivist design is to provide a rich, full, detailed account of both the research process and the research findings. This inlcudes a detailed description of the context in which the research is taking place. In this way, the research consumer can determine the value and application of the research findings. The video by Robertson (2007)[129] in the resources box offers a good overview of this methodology and many of the assumptions that underlie this approach.
If you are a researcher considering a constructivist design, Rodwell (1998)[130] suggests that you should consider the focus, fit, and feasibility of your study for this particular methodology. While she provides a very helpful discussion across all three areas, her attention to 'fit' for constructivist inquiry is perhaps most relevant for our abbreviated overview of this methodology. In her discussion of 'fit', Rodwell argues that research questions well-suited for constructivist research are:
- Multi-dimensional: meaning that multiple constructions or understandings of the "reality" of the topic are being sought
- Investigator interactive: meaning that the topic is susceptible to researcher influence by virtue of the researcher having to be very involved in data collection and therefore accountable for considering their role in the knowledge production process
- Context-dependent: meaning that the circumstances surrounding the participants and the research process must be taken into account
- Complex: meaning we should assume there are multiple causes that contribute to the problem under investigation (and that the research is seeking to explore, rather than collapse that complexity)
- Value-laden: meaning that the topic we are studying is best understood in a way that accounts for the diverse values and opinions people attach to it.
What is involved with constructivist research?
As you may have surmised from the discussion above, the cornerstone of constructivist research is the researcher engaging in immersive exchanges with participants in an effort to 'construct' the meaning that they attach to the topic being studied.
Again, drawing on Rodwell's (1998) [131] description of this methodology, a constructivist researcher needs to recruit a [pb_glossaryid="918"]purposive[/pb_glossary] sample that has unique and diverse first-hand knowledge of the topic being studied. They will gather data from this sample regarding their respective realities or understandings of the topic. They will attempt to account for the context in which the study is taking place (including the researcher's own influence as a human instrument). Throughout the analysis process they will work towards producing negotiated outcomes, taking time to clarify and verify that findings accurately capture the sentiment of participants; treating participants as experts in their own reality. Finally, they will bring this knowledge together in a way that attempts to reflect the complex and multidimensional understandings of the topic being studied.
Constructivist research findings are well-suited for being presented as a case report. This allows for many realities or understandings of a given topic to be constructed. When you think about the value of constructivist research for social work, review some of the research articles listed below as examples. Envision using the findings from Allen's (2011)[132] study about women's resistance to abuse to help us improve shelter-based intervention and public health prevention efforts. Also, as a manager in an older adult care facility, you could use Cook and Brown-Wilson's (2011)[133] work focused on nursing home residents and their social relationships with staff to help inform ongoing staff training efforts that are more centered in nurturing social connections.
Key Takeaways
- Constructivist studies are well suited to develop a rich, multidimensional understanding of a topic through the extensive study of the experience of that topic across multiple observers. The individual realities experienced by participants are brought together to developed a shared, constructed understanding.
- The end result of a constructivist research project should help the consumer to see the phenomenon being studied from many different perspectives and with an appreciation of its complexity and nuance.
Resources
To learn more about constructivist research
Drisko, J. W. (2013). Constructivist research in social work. In A. E. Fortune, W. J. Reid, & R. L. Miller, Jr. (Eds.), Qualitative research in social work (2nd ed.), (pp. 81-106). New York : Columbia University Press.
Lincoln, Y. S., & Guba, E. G. (2013). The constructivist credo. Walnut Creek, CA: Left Coast Press, Inc.
Mojtahed et al. (2014). Equipping the constructivist researcher: The combined use of semi-structured interviews and decision-making maps.
Robertson, I. (2007, May 13). Naturalistic or constructivist inquiry.
Rodwell, M. K. (1998). Social work constructivist research. New York: Routledge
Stewart, D. L. (2010). Researcher as instrument: Understanding" shifting" findings in constructivist research.
For examples of constructivist research
Allen, M. (2011). Violence and voice: Using a feminist constructivist grounded theory to explore women’s resistance to abuse.
Coleman et al. (2012). A constructivist study of trust in the news.
Cook, G., & Brown-Wilson, C. (2010). Care home residents’ experiences of social relationships with staff.
Leichtentritt et al. (2011). Construction of court petitions in cases of alternative placement of children at risk: Meaning‐making strategies that social workers use to shape court decisions.
O’Callaghan et al. (2012). Music’s relevance for adolescents and young adults with cancer: A constructivist research approach.
22.3 Oral history
Learning Objectives
Learners will be able to...
- Begin to distinguish key features that are associated with oral history design
- Determine when an oral history design may be a good fit for a qualitative research study
What is the purpose of oral history research?
As outlined by the Oral History Association (OHA, 2009), "Oral history interviews seek an in-depth account of personal experience and reflections, with sufficient time allowed for the narrators (interviewees) to give their story the fullness they desire. The content of oral history interviews is grounded in reflections on the past as opposed to commentary on purely contemporary events".[134] Much like case studies with their intentionally narrow focus, oral histories are dedicated to developing a deep understanding with a relatively limited scope. This may include a single oral history provided by one interviewee, or a series of oral histories that are offered around a unifying topic, event, experience or shared characteristic.
Now, what makes this a form of research and not just a venue for sharing stories (valuable in-and-of-itself), is that these stories are connected systematically and there is a central question or series of questions that we as researchers are attempting to answer. For instance, the Columbia Center for Oral History Research at Incite hosts the Human Rights Campaign Oral History Project. This project seeks to understand: "What can a single organization tell us about a social movement and social change? How do historic moments shape organizations and vice versa? How do institutions with diverse constituencies reconcile competing needs and agendas for a forward-thinking movement, all while effectively responding to consistent external attacks?"[135] By interviewing people connected with this organization and its work, this oral history project is simultaneously hoping to gain a rich understanding of the Human Rights Campaign (HRC), but also an appreciation of how social change may occur more broadly, with HRC as an instructive example.
Particularity relevant for social work research, oral histories are often used for the purpose of studying and promoting social change, as in the HRC example. For instance, Groundswell is a network of "oral historians, activists, cultural workers, community organizers, and documentary artists" dedicated to the use of oral history as a tool for social change.[136] The central idea here is that by sharing our stories, we can learn from each other. Much like in narrative therapy traditions, our stories contain valuable and transformative information. In the case of narrative therapy, the narrative is transformative for the individual, but in the case of oral histories, the hope is that these shared narratives are transformative for the audience by offering new perspectives on the world, what it needs, and what it offers. Ideally this transformation leads to action and broader social change.
What is involved in oral history research?
While the core of oral history research involves interviewing people to capture their historical accounts to help explore a broader question or set of questions, the research process is a bit more involved than this. Moyer (1999)[137] offers an overview of the steps involved in conducting oral history research.
- Formulate a central question, set of questions, or issue
- Plan the project. Consider such things as end products, budget, publicity, evaluation, personnel, equipment, and time frames.
- Conduct background research
- Interview
- Process interviews
- Evaluate research and interviews and cycle back to step 1 if the central question is not sufficiently answered, or go on to step 7 if it is
- Organize and present results
- Store materials archivally
Of course, these are generic steps and only a beginning introduction to oral history design. Each of these steps has its own learning curve and nuance. For instance, interviewing for oral histories can vary in both preparation and application when compared to interviewing for other forms of qualitative research. Resources for further learning on oral history research are offered at the end of this section to help you become more knowledgeable and proficient. In addition to this overview of the design process, there are a number of unique principles associated with conducting oral histories. Let's discuss a few of these.
Oral history as a relationship between the interviewer and interviewee
Just as with other forms of interviewing, the expectation is the participation is voluntary and only proceeds after informed consent is provided. While this is very important for all research, it is perhaps especially important for oral histories because of some of the aspects discussed below (e.g. public access, frequent disclosure of identifying information) that differentiate oral histories.[138][139] Thoroughly explaining what oral histories are, how they are conducted, and the nature of the research final products is especially important. In addition, interviewees for oral histories often have a greater degree of control in their storytelling, with less direction from the interviewer (compared with other forms of qualitative interviewing).[140][141] This potentially challenges some of the power dynamics in more traditional research traditions. While the interviewer does provide the initial prompt or question and hopes to obtain an in-depth account, the interviewee is largely in control of how the story is told.
Oral history as a research product
Consistent with our NASW code of ethics and the expectations of all qualitative researchers, interviewees should be treated with dignity and respect. For the purposes of oral history research, this is in part demonstrated through crafting significant historical questions and engaging in prior research and preparation to inform the study (generally) and the interview (specifically).[142][143]. This will lay the foundation for a well-informed oral history project. The oral history is a detailed historical recounting by one person or a small group of people. It is meant to be a 'window in time' through the lens of the interviewee.[144] Because an oral history involves the detailed telling of personal stories and experiences it is often expected that the finished products of oral histories will often provide identifying information; it is often unavoidable in recounting the history. In fact, the interviewee is typically identified by name due to the extensive detail and contextually identifying information that is gathered.[145][146] Again, this should be made abundantly clear during the recruitment process and spelled out in the informed consent.
Oral history as an ongoing commitment
Traditional research is often shared with the public through journal articles or conference proceedings, and these often do not provide access to the data. While oral history research may be shared in these venues, the expectation is generally that oral history interviews that are collected will also be made accessible to future researchers and the public.[147] To accommodate this, researchers need to be planful in how they will provide this access in a sustainable way. This also means they need to have access to and operating knowledge of technology that will allow for quality audio capture and maintenance of these oral histories.[148][149] Furthermore, this obligation needs to be very clear to participants before they share their hisitories. Also, because of the level of access that is often afforded to oral history interviews, researchers can't guarantee how others may use or portray these interviews in the future and should be mindful not to overpromise such guarantees to participants.
Cultural considerations with storytelling
I think it is also important for us to consider the cultural implications of storytelling and the connection this holds for oral history research. Many cultural groups have and continue to depend on storytelling as a means of transmitting culture through time and space. Lately, I have been thinking about this as a response to the racial conflict we have been experiencing in the United States. It can be particularly powerful to hear the stories of others and to allow ourselves to be changed by them. The author Ta-Nehisi Coates book Between the World and Me is a profound nonfiction work that is written as a letter to his teenage son about what it means to be a Black man in America, drawing on his own memories, experiences and observations. In addition, Takunda Muzondiwa, offers a beautifully articulated performance of spoken word poetry about her history as a young woman immigrating from Zimbabwe to New Zealand. I believe these stories can be powerful antidotes to the fear and ignorance that fuels so much of the structural oppression and racial division in this country. Gathering oral histories can help contribute to elevating these voices and hopefully promoting understanding. However, I think we also have to be very aware of the danger in this practice of cultural appropriation. It requires us to be extremely vigilant in how these stories are obtained and presented, and who has ownership of them.
Key Takeaways
- Oral histories offer a unique qualitative research design that support an individual or group of participants reflecting on a unique experience, event, series of events, or even a lifetime. While they explicitly explore the past, they often do so to learn about how change occurs and what lessons can be applied to our present.
- While many aspects of oral histories are consistent with other forms of qualitative research (e.g. the use of interviews to collect data, analyzing narrative data for themes), oral histories have some defining features that differentiate it from other designs, such as a common expectation for public access to collected data.
Exercises
Reflexive Journal Entry Prompt
For me, oral history has a bit of a different feel when compared to other qualitative designs because it really highlights intimate details of one person's (or a small group) life. in a way that makes confidentiality a real challenge in many cases (or even impossible). That being said, I'm also really drawn to the potential of this approach for allowing people to share wisdom and for us to learn from each other.
Based on what you have read here and maybe after checking out some of the resources below, what are your thoughts about using oral histories?
- What do you see as strengths?
- What are barriers or challenges that you foresee?
- What oral history data might help to strengthen or develop your practice knowledge? (whose wisdom and historical perspective might you learn from)
Resources
To learn more about oral histories and oral history archives
Columbia University, Interdisciplinary Center for Innovative Theory and Empirics (n.d.) Columbia Center for Oral History Research at INCITE.
Groundswell. (2014). Groundswell: Oral history for social change.
Institute for Museum and Library Services. (n.d.). Oral history in the digital age.
International Oral History Association. (n.d.). International Oral History Association, homepage.
Moyer, J. (1999). Step-by-step guide to oral history.
Oral History Association (2009, October). Principles and best practices.
UCLA (2015). UCLA Center for Oral History Research.
For examples of oral history research
Gardella, L. G. (2018). Social work and hospitality: An oral history of Edith Stolzenberg.
Jenkins, S. B. (2017). "We were all kind of learning together" The emergence of LGBTQ+ affirmative psychotherapy & social services, 1960-1987: oral history study.
Johnston et al. (2018). The rise, fall and re-establishment of Trinity Health Services: Oral history of a student-run clinic based at an inner-city Catholic Church.
La Rose, T. (2019). Rediscovering social work leaders through YouTube as archive: The CASW oral history project 1983/1984.
22.4 Ethnography
Learning Objectives
Learners will be able to...
- Distinguish between key features associated with ethnographic design
- Determine when an ethnographic design may be a good fit for a qualitative research study
What is the purpose of ethnography research?
Ethnography is a qualitative research design that is used when we are attempting to learn about a culture by observing people in their natural environment. While many immediately associate culture with ethnicity, remember that cultures are all around us, and we exist in many simultaneously. For example, you might have a culture within your family, at your school, at work, as part of other organizations or groups that you belong to. Culture exists where we have a social grouping that creates shared understanding, meaning, customs, artifacts, rituals, and processes.
Cultural groups can exist in-person and in virtual spaces. Culture challenges us to consider how people understand and dynamically interact with their environment. Creswell (2013) outlines the role of the ethnographer as, "describing and interpreting the shared and learned patterns of values, behaviors, beliefs and languages of culture-sharing groups" (p.90).[150] Below is a brief list of areas where we may find "culture-sharing groups".
- Work
- School
- Home
- Peer Groups
- Support Groups
- Cause-Related Groups
- Organizations
- Interest-Related Groups
Exercises
Respond to the following questions.
- What cultures do you participate in?
- What cultures might the clients you work with in your field placements participate in?
- What cultures might the participants you are interested in studying participate in?
Reflecting on this question can help us to see ourselves and our clients or our research participants as multidimensional people and to develop solid research proposals.
Now that we have discussed what culture is, why is it important that we research it? More specifically, why is it important that we have ethnography, a type of qualitative research dedicated to studying culture? As social work practitioners and educators, we talk extensively about concepts like cultural competence and cultural humility. As a profession, we have taken the position that understanding culture is vital to what we do. Ideologically, Social Work recognizes that people have very different experiences throughout their lives. Some of these experiences are shared and can come to shape the perspective of groups of people, and in turn, how these groups interact with the world around them and with each other. By studying these shared perspectives, ethnographers hope to learn both how groups of people are shaped by and come to shape their environment (this is the definition of a fancy term, reciprocal determinism). Ethnographic research can be one source of information that helps support culturally informed social work practice. Note that I specifically said one source. As an ethnographer, we are typically an "outsider" observing and learning about a culture. As practitioners, we should also be educated about culture directly from our clients because they have "insider" knowledge. Both are valuable and can be helpful for the work we do, but I would argue that we give priority to our client's perspective, as they are an authority on their experience of culture.
As you think about the value of ethnographic research, it can also be helpful to think about what types of things we might learn from it. Let's take a specific example. What if we wanted to study the culture around a student study group. What are some of the things we might hope to learn by examining the culture of this group?
- What motivates them to participate in the group?
- What are their expectations about the group?
- What do they hope to get out of the group?
- What are the group norms?
- What are the formal and informal roles of the group?
- What functions does the group serve?
- What types of group dynamics are evident?
- What influence external to the group impact the group, and how?
What is involved with ethnography research?
As a process of uncovering and making sense of a culture, ethnographic research involves the researcher immersing themselves in the culture to gain direct and indirect information through keen observation, discussion with culture-sharing members, and review of cultural artifacts. To accomplish this successfully, the ethnographer will need to spend extensive time in the field, both to gather enough data to comprehensively describe the culture, and to gain a reasonable understanding of the context in which the culture takes place so that they can interpret the data as accurately as possible. Hammersley (1990)[151] outlines some general guidelines for conducting ethnographic research.
- Data is drawn from a range of sources
- While data gathering is systematic, it is emergent and begins with a loose structure
- Parameters are usually placed on the setting(s) from which data is gathered
- Observing behavior in everyday life
- Analysis involves the interpretation of human behavior and making sense out of the actions of the culture group
Below I provide some additional details around each of these principles to help contextualize how these might compare and contrast with other qualitative designs we have been discussing.
Data is drawn from a range of sources
Since our objective is to understand a culture as comprehensively as possible, ethnographies require multiple sources of data. If someone wanted to study the culture within your social work program, what sorts of data might they utilize? They might include discussions with students, staff, and faculty; observations of classes, functions, and meetings; review of documents like mission statements, annual reports, and course evaluations. These are only a small sampling of data sources that you might include to gain the most holistic understanding of the program.
While data gathering is systematic, it is emergent and begins with a loose structure
While some qualitative studies begin with an extensive and detailed plan for data gathering, ethnographies begin with a considerable amount of flexibility. This is because we often don't know in advance what will be important in developing an understanding of a culture and where that information might come from. As such, we would need to spend time in the culture, being attentive and open to learning from the context.
Parameters are usually placed on the setting(s) from which data is gathered
Culture can extend across space and time, making it overwhelming as we initially consider how to focus our efforts while still allowing for the emergent design discussed above. Because of this, ethnographies are often confined to one particular setting or group. I don't know if any of you are fans of the TV series The Office (either the British or American versions), but it actually offers us a good example here. The series is based on following the antics that take place in office environment with a group of co-workers through a mockumentary . The series is about understanding the culture of that office. The majority of filming takes place in a small office and with a relatively small group of people. These parameters help to define the storyline, or for our purposes, the scope of our data gathering.
Observing behavior in everyday life
Compared to other qualitative approaches where data gathering may take place through a more formal process (e.g. scheduled interviews, routine observations of specified exchange), ethnographies usually involve collecting data in everyday life. To capture an authentic representation of culture, we need to see it in action. Thus, we need to be prepared to gather data about culture as it is being produced and experienced.
Analysis involves the interpretation of human behavior and making sense out of the actions of the culture group
Related to the last point about observing behavior in everyday life, culture is created and transmitted through social interactions. As ethnographers, the main thrust of our work is to observe and interpret how people engage with each other, and what these interactions mean.
Cultural considerations with storytelling
As I mentioned in the oral history section, I think we also need to be really attentive to the possibility of cultural appropriation and exploitation when conducting ethnographies. This is really true for all types of research, but it deserves special attention here because of the duration of time ethnography requires immersing yourself in the culture you are studying. It makes me think of my time as a case manager. As a case manager, I think we need to be acutely aware of demonstrating great respect and humility when we are working with people in their homes. We are entering into a very personal space with them to conduct our work and I believe that it requires special care and attention. Ethnography work is much like this. As an ethnographer, you are attempting to enter into the very personal space of that cultural group. Before doing so, as researchers, I think we need to very carefully consider what benefits does this study offer. If the only answer is that we benefit professionally or academically, then is it really worth it for us to be so intrusive? Of course, actively including community members in the research process and allowing them to help determine the benefits they hope to recognize from such a study can be a good way to overcome this.
Key Takeaways
- Ethnographic studies allow researchers to experience and describe a culture by immersing themselves within a culture-sharing group.
- Ethnographic research requires that researchers be attentive observers and curious explorers as they spend extensive time in the field viewing cultural rituals and artifacts, speaking with cultural group members, and participating in cultural practices. This requires spending extensive time with this group to understand the nuances and intricacies of cultural phenomenon.
Resources
To learn more about ethnography research
Genzuk, M. (2003). A synthesis of ethnographic research.
Isaacs, E., TEDxBroadway. (2013, January, 28). "Ethnography"—Ellen Isaacs.
Wall, S. (2015, January). Focused ethnography: A methodological adaptation for social research in emerging contexts.
Reeves et al. (2013). Ethnography in qualitative educational research: AMEE Guide No. 80.
Sangasubana, N. (2011). How to conduct ethnographic research.
For examples of ethnography research
Avby et al. (2017). Knowledge use and learning in everyday social work practice: A study in child investigation work.
Hicks, S., & Lewis, C. (2018). Investigating everyday life in a modernist public housing scheme: The implications of residents’ understandings of well-being and welfare for social work.
Lumsden, K., & Black, A. (2017). Austerity policing, emotional labour and the boundaries of police work: an ethnography of a police force control room in England.
22.5 Phenomenology
Learning Objectives
Learners will be able to...
- Begin to distinguish key features that are associated with phenomenological design
- Determine when a phenomenological study design may be a good fit for a qualitative research study
What is the purpose of phenomenology research?
Phenomenology is concerned with capturing and describing the lived experience of some event or "phenomenon" for a group of people. One of the major assumptions in this vein of research is that we all experience and interpret our encounters with the world around us. Furthermore, we interpret these experiences from our own unique worldview, shaped by our beliefs, values and previous encounters. We then go on to attach our own meaning to them. By studying the meaning that people attach to their experiences, phenomenologists hope to understand these experiences in much richer detail. Ideally, this allows them to translate a unidimensional idea that they are studying into a multidimensional understanding that reflects the complex and dynamic ways we experience and interpret our world.
As an example, perhaps we want to study the experience of being a student in a social work research class, something you might have some first-hand knowledge with. Putting yourself into the role of a participant in this study, each of you has a unique perspective coming into the class. Maybe some of you are excited by school and find classes enjoyable; others may find classes boring. Some may find learning challenging, especially with traditional instructional methods; while others find it easy to digest materials and understand new ideas. You may have heard from your friends, who took this class last year, that research is hard and the professor is evil; while the student sitting next to you has a mother who is a researcher and they are looking forward to developing a better understanding of what she does. The lens through which you interpret your experiences in the class will likely shape the meaning you attach to it, and no two students will have the exact same experience, even though you all share in the phenomenon—the class itself. As a phenomenologist, I would want to try to capture how various students experienced the class. I might explore topics like: what did you think about the class, what feelings were associated with the class as a whole or different aspects of the class, what aspects of the class impacted you and how, etc. I would likely find similarities and differences across your accounts and I would seek to bring these together as themes to help more fully understand the phenomenon of being a student in a social work research class. From a more professionally practical standpoint, I would challenge you to think about your current or future clients. Which of their experiences might it be helpful for you to better understand as you are delivering services? Here are some general examples of phenomenological questions that might apply to your work:
- What does it mean to be part of an organization or a movement?
- What is it like to ask for help or seek services?
- What is it like to live with a chronic disease or condition?
- What do people go through when they experience discrimination based on some characteristic or ascribed status?
Just to recap, phenomenology assumes that...
- Each person has a unique worldview, shaped by their life experiences
- This worldview is the lens through which that person interprets and makes meaning of new phenomena or experiences
- By researching the meaning that people attach to a phenomenon and bringing individual perspectives together, we can potentially arrive at a shared understanding of that phenomenon that has more depth, detail and nuance than any one of us could possess individually.
This figure provides a visual interpretation of these assumptions.
What is involved in phenomenology research?
Again, phenomenological studies are best suited for research questions that center around understanding a number of different peoples' experiences of particular event or condition, and the understanding that they attach to it. As such, the process of phenomenological research involves gathering, comparing, and synthesizing these subjective experiences into one more comprehensive description of the phenomenon. After reading the results of a phenomenological study, a person should walk away with a broader, more nuanced understanding of what the lived experience of the phenomenon is.
While it isn't a hard and fast rule, you are most likely to use purposive[/pb_glossary] sampling to recruit your sample for a phenomenological project. The logic behind this sampling method is pretty straightforward since you want to recruit people that have had a specific experience or been exposed to a particular phenomenon, you will intentionally or purposefully be reaching out to people that you know have had this experience. Furthermore, you may want to capture the perspectives of people with different worldviews on your topic to support developing the richest understanding of the phenomenon. Your goal is to target a range of people in your recruitment because of their unique perspectives.
For instance, let's say that you are interested in studying the subjective experience of having a diagnosis of Human Immunodeficiency Virus (HIV). We might imagine that this experience would be quite different across time periods (e.g. the 1980's vs. the 2010's), geographic locations (e.g. New York City vs. the Kingdom of Eswatini in southern Africa), and social group (e.g. Conservative Christian church leaders in the southern US vs. sex workers in Brazil). By using purposive sampling, we are attempting to intentionally generate a varied and diverse group of participants who all have a lived experience of the same phenomenon. Of course, a purposive recruitment approach assumes that we have a working knowledge of who has encountered the phenomenon we are studying. If we don't have this knowledge, we may need to use other non-probability approaches, like [pb_glossary id="1100"]convenience or snowball sampling. Depending on the topic you are studying and the diversity you are attempting to capture, Creswell (2013) suggests that a reasonable sample size may range from 3 -25 participants for a phenomenological study. Regardless of which sample size you choose, you will want a clear rationale that supports why you chose it.
Most often, phenomenological studies rely on interviewing. Again, the logic here is pretty clear—if we are attempting to gather people's understanding of a certain experience, the most direct way is to ask them. We may start with relatively unstructured questions: "can you tell me about your experience with.....", "what was it it like to....", "what does it mean to...". However, as our interview progresses, we are likely to develop probes and additional questions, leading to a semi-structured feel, as we seek to better understand the emerging dimensions of the topic that we are studying. Phenomenology embodies the iterative process that has been discussed; as we begin to analyze the data and detect new concept or ideas, we will integrate that into our continuing efforts at collecting new data. So let's say that we have conducted a couple of interviews and begin coding our data. Based on these codes, we decide to add new probes to our interview guide because we want to see if future interviewees also incorporate these ideas into how they understand the phenomenon. Also, let's say that in our tenth interview a new idea is shared by the participant. As part of this iterative process, we may go back to previous interviewees to get their thoughts about this new idea. It is not uncommon in phenomenological studies to interview participants more than once. Of course, other types of data (e.g. observations, focus groups, artifacts) are not precluded from phenomenological research, but interviewing tends to be the mainstay.
In a general sense, phenomenological data analysis is about bringing together the individual accounts of the phenomenon (most often interview transcripts) and searching for themes across these accounts to capture the essence or description of the phenomenon. This description should be one that reflects a shared understanding as well as the context in which that understanding exists. This essence will be the end result of your analysis.
To arrive at this essence, different phenomenological traditions have emerged to guide data analysis, including approaches advanced by van Manen (2016)[152], Moustakas (1994)[153], Polikinghorne (1989)[154] and Giorgi (2009)[155]. One of the main differences between these models is how the researcher accounts for and utilizes their influence during the research process. Just like participants, it is expected in phenomenological traditions that the researcher also possesses their own worldview. The researcher's worldview influences all aspects of the research process and phenomenology generally encourages the researcher to account for this influence. This may be done through activities like reflexive journaling (discussed in Chapter 20 on qualitative rigor) or through bracketing[/pb_glossary] (discussed in Chapter 19 on qualitative analysis), both tools helping researchers capture their own thoughts and reactions towards the data and its emerging meaning. Some of these phenomenological approaches suggest that we work to integrate the researcher's perspective into the analysis process, like van Manen; while others suggest that we need to identify our influence so that we can set it aside as best as possible, like Moustakas (Creswell, 2013).[footnote]Creswell, J. W. (2013). Qualitative inquiry & research design: Choosing among five approaches (3rd ed.). Los Angeles Sage.[/footnote] For a more detailed understanding of these approaches, please refer to the resources listed for these authors in the box below.
Key Takeaways
- Phenomenology is a qualitative research tradition that seeks to capture the lived experience of some social phenomenon across some group of participants who have direct, first-hand experience with it.
- As a phenomenological researcher, you will need to bring together individual experiences with the topic being studied, including your own, and weave them together into a shared understanding that captures the "essence" of the phenomenon for all participants.
Exercises
Reflexive Journal Entry Prompt
- As you think about the areas of social work that you are interested in, what life experiences do you need to learn more about to help develop your empathy and humility as a social work practitioner in this field of practice?
Resources
To learn more about phenomenological research
Errasti‐Ibarrondo et al. (2018). Conducting phenomenological research: Rationalizing the methods and rigour of the phenomenology of practice.
Giorgi, A. (2009). The descriptive phenomenological method in psychology: A modified Husserlian approach. Pittsburgh, PA: Duquesne University Press.
Koopman, O. (2015). Phenomenology as a potential methodology for subjective knowing in science education research.
Moustakas, C. (1994). Phenomenological research methods. Thousand Oaks, CA: Sage.
Newberry, A. M. (2012). Social work and hermeneutic phenomenology.
Polkinghorne, D. E. (1989). Phenomenological research methods. In R. S. Valle & S. Halling (Eds.). Existential-phenomenological perspectives in psychology (pp. 41-60). Boston, MA: Springer.
Seymour, T. (2019, January, 30). Phenomenological qualitative research design.
Van Manen, M. (2016). Phenomenology of practice: Meaning-giving methods in phenomenological research and writing. New York: Routledge.
For examples of phenomenological research
Curran et al. (2017). Practicing maternal virtues prematurely: The phenomenology of maternal identity in medically high-risk pregnancy.
Kang, S. K., & Kim, E. H. (2014). A phenomenological study of the lived experiences of Koreans with mental illness.
Pascal, J. (2010). Phenomenology as a research method for social work contexts: Understanding the lived experience of cancer survival.
22.6 Narrative
Learning Objectives
Learners will be able to...
- Begin to distinguish key features associated with narrative design
- Determine when a narrative design may be a good fit for a qualitative research study
What is the purpose of narrative research?
As you savvy learners have likely surmised, narrative research, often referred to as narrative inquiry, is all about the narrative. For our purposes, [pb_glossary id="777"]narratives will be defined as those stories that we compose that allow us to make meaning of the world. Therefore, narrative inquiry is attempting to develop a rich understanding of what those narratives are, and weave them into a grander narrative that attempts to capture the unique and shared meanings we attach to our individual narratives. In other words, as narrative researchers, we want to understand how we make sense of what happens to us and around us.
As social workers, our profession is well-acquainted with the power of narratives. Michael White and David Epston are social workers you may know of that harnessed this power of narratives in the therapeutic relationship by helping clients to tell and then transform their many-storied lives through narrative therapy. Just as narrative therapy encourages clients to explore the stories in their own lives and the significance they attach to them, narrative inquiry prompts research participants to share the stories they have regarding the topic we are studying. Just as we discussed in our chapter on qualitative data gathering, our aim in narrative inquiry is to elicit and understand stories, whereas narrative therapy is concerned with fostering a therapeutic relationship. Our hope is that narrative studies do, however, help the audience that consumes our research (whether that is providers, other researchers, politicians, community members) to better understand or appreciate the worldview of the population we are studying.
Fraser (2004)[156] suggests that narrative approaches are particularly well-suited for helping social workers to:
- make sense of language(s) that are used by individuals and groups
- examine multiple perspectives
- better understand human interactions
- develop an appreciation for context
- reduce our role as an expert (we are most called here to be skillful listeners)
- elevate the stories and perspectives of people who may be otherwise be disenfranchised or silenced
Narrative inquiry may be a good fit for your research proposal if you are looking to study some person/groups' understanding of an event, situation, role, period of time, or occurrence. Again, think about it like a story; what would you form your story plot around. The answer to that gets at the core of your research question for narrative inquiry. You want to understand some aspect of life more clearly through your participant's eyes. After all, that is what a good story does, transports us into someone else's world. As a student, you may not be able to access clients directly as research participants, but there are many people around you in your placement, at school, or in the community who may have valuable insights/perspectives on the topic you are interested in studying. In addition, you may be able to access publicly available sources that give you narrative information about a topic: autobiographies, memoirs, oral histories, blogs, journals, editorials, etc. These sources give you indirect information about how the author sees the world —just what you're looking for! These can become sources of data for you.
What is involved in narrative research?
At the risk of oversimplifying the process of narrative research, it is a journey with stories: finding stories, eliciting stories, hearing and capturing stories, understanding stories, integrating stories, and presenting stories. That being said, each leg of this journey is marked with its own challenges (and rewards!). We won't be diving deeply into each of these, but we will take time to think through a couple of brief considerations at each of these phases. As you read through these phases, be aware that they reflect the iterative nature of qualitative work that we have discussed previously. This means you won't necessarily complete one and move on to the next. For instance, you make be in the process of analyzing some of the data you have gathered (phase: understanding stories) and realize that a participant has just blown your mind with a new revelation that you feel like you need to learn more about to adequately complete your research. To do so, you may need to go back to other participants to see if they had similar experiences (phase: eliciting stories) or even go out and do some more recruitment of people who might share in this storyline (phase: finding new stories).
Finding stories
It can feel a bit daunting at first to consider where you would look to find narrative data. We have to determine who possesses the stories we want to hear that will help us to best answer our research question. However, don't dismay! Stories are all around us. As suggested earlier, as humans, we are constantly evolving stories that help us to make sense of our world, whether we are aware of it or not. Narrative data is not usually just drawn from one source, so this often means thoughtfully seeking out a variety of stories about the topic we are studying. This can include interviews, observations, and a range of other artifacts. As you are thinking about your sample, consult back to Chapter 17 on qualitative sampling to aid you in developing your sampling strategy.
Eliciting stories
So, now you know where you want to get your narrative data, but how will you draw these stories out? As decent and ethical researchers, our objective is to have people share their stories with us, being fully informed about the research process and why we are asking them to share their stories. But this just gets our proverbial foot in the door. Next, we have to get people to talk, to open up and share. Just like in practice settings, this involves the thoughtful use of well-planned open-ended questions. Narrative studies often involve relatively unstructured interviews, where we provide a few broad questions in the hopes of getting people to expound on their perspective. However, we anticipate that we might need to have some strategic probes to help prompt the storytelling process. We also might be looking to extract narrative data from artifacts, in which case the data is there, we just need to locate and make sense of it.
Hearing and capturing stories
We need to listen! While we are trained in the art of listening as social workers, we need to make sure that we are clear what we are listening for. In narrative research we are listening for important narrative detail. Fraser (2004)[157] identifies that it is important to listen for emotions that the story conveys, the evolution or unfolding of the story, and last but not least, our own reactions. Additionally, we need to consider how we will capture the story—will we record it or will we take field notes? Again, we may be drawing narrative data from artifacts. If this is the case, we are "listening" with our eyes and through our careful review of materials and detailed note-taking.
Understanding stories
As we are listening, we are attending to many things as we go through this part of the analysis: word choice and meaning, emotions that are expressed/provoked, context of what is being shared, themes or main points, and changes in tone. We want to pay attention to both what the story is and how is it being told.
Integrating stories
Part of the work (and perhaps the most challenging part) of narrative research is the bringing together of many stories. We aim to look across the stories that are shared with us through the data we have gathered and ultimately converge on a narrative that honors both the diversity and the commonality that is reflected therein, all the while tracking our own personal story and the influence it has on shaping the evolving narrative. No small task! While integrating stories, Fraser (2004)[158] also challenges us to consider how these stories coming together are situated within broader socio-political-structural contexts that need to be acknowledged.
Key Takeaways
- The aim of narrative research is to uncover the stories that humans tell themselves to make sense of the world.
- To turn these stories into research, we need to systematically listen, understand, compare, and eventually combine these into one meta-narrative, providing us with a deeper appreciation of how participants comprehend the issue we are studying.
Exercises
Reflexive Journal Entry Prompt
Know that we have reviewed a number of qualitative designs, reflect on the following questions:
- Which designs suit you well as a social work researcher? What is it about these designs that resonate with you?
- Which designs would really challenge you as a social work researcher? What is it about these designs that make you apprehensive or uneasy?
- What design is best suited for your research question? Is your answer here being swayed by personal preferences?
Resources
To learn more about narrative inquiry
Fraser, H. (2004). Doing narrative research: Analysing personal stories line by line. Qualitative Social Work, 3(2), 179-201. https://journals.sagepub.com/doi/abs/10.1177/1473325004043383
Larsson, S., & Sjöblom, Y. (2010). Perspectives on narrative methods in social work research. International Journal of Social Welfare, 19(3), 272-280.https://insights.ovid.com/international-social-welfare/ijsow/2010/07/000/perspectives-narrative-methods-social-work/3/00125820
Riessman, C. K., & Quinney, L. (2005). Narrative in social work: A critical review. Qualitative Social Work, 4(4), 391-412. https://journals.sagepub.com/doi/abs/10.1177/1473325005058643
Rudman, D.L. (2018, August, 24). Narrative inquiry: What's your story? [Video]. https://www.youtube.com/watch?v=rPyomRrBn_g
Shaw, J. (2017). A renewed call for narrative inquiry as a social work epistemology and methodology. Canadian Social Work Review, 34(2). https://www.erudit.org/en/journals/cswr/2017-v34-n2-cswr03365/1042889ar/
Writing@CSU, the Writing Studio: Colorado State University. (n.d.). Narrative inquiry. [Webpage]. https://writing.colostate.edu/guides/page.cfm?pageid=1346&guideid=63
For examples of narrative studies
Balogh, A. (2016). A narrative inquiry of charter school social work and the “No Excuses” Behavior Model. Columbia Social Work Review, 14(1), 19-25. https://journals.library.columbia.edu/index.php/cswr/article/view/1855
Klausen, R. K., Blix, B. H., Karlsson, M., Haugsgjerd, S., & Lorem, G. F. (2017). Shared decision making from the service users’ perspective: A narrative study from community mental health centers in northern Norway. Social Work in Mental Health, 15(3), 354-371. https://www.tandfonline.com/doi/abs/10.1080/15332985.2016.1222981
Lietz, C. A., & Strength, M. (2011). Stories of successful reunification: A narrative study of family resilience in child welfare. Families in Society, 92(2), 203-210. https://journals.sagepub.com/doi/abs/10.1606/1044-3894.4102
Chapter Outline
- Case study (12 minute read)
- Constructivist (9 minute read)
- Oral history (10 minute read)
- Ethnography (8 minute read)
- Phenomenology (9 minute read)
- Narrative (9 minute read)
Content warning: Examples in this chapter contain references to research as a bullying, housing insecurity, suicide, environmental oppression, race and access to leadership, older adult residential care, LGBTQ+ rights, immigration experiences, the lived experience of being a Person of Color in the United States, case management, discrimination, having a chronic disease or condition, HIV, religion, and sex work.
Qualitative inquiry reflects a rich diversity of approaches with which we can explore the world. These approaches originate from philosophical and theoretical traditions that offer different strategies for us to systematically examine social issues. The placement of this chapter presented challenges for us. In many respects, your choice of design type is central to your research study, and might very well be one of the first choices you make. Based on this, we had considered leading off our qualitative section with this chapter, thereby exposing you to a range of different types of designs. Obviously, we had second thoughts. We ended up putting it at the end because we realized that if we opened up with this part of the discussion, you really wouldn't have the background information to help you make sense of some of the differences between the various designs. Throughout our exploration of qualitative design thus far, we have discussed a number of decision points for you to consider as you design your study. Each of these decisions ties into your research question and ultimately will also be informed by, and help to inform, your research design choice. Your design choice truly reflects how these design elements are being brought together to respond to your research question and tell the story of your findings.
As we discussed in Chapter 19, qualitative research tends to flow in an iterative vein, suggesting that we are often engaged in a cyclical process. This is true in the design phase of your study as well. You may revisit preliminary plans and decide that you now want to make changes to more effectively address the way in which you understand your research question or to improve the quality of your overall design. Don't beat yourself up for this, this is part of the creative process of research! There is no perfect design and you are much better served by being a dynamic and critical thinker during the design process, rather than rigidly adhering to the first idea that comes along. We will now explore six different qualitative designs. Each will just be a brief introduction to that particular type of research, including what the main purpose of that design is and some basic information about conducting research in that vein. If you are interested in creating a proposal using a particular design, a number of resources and example studies are provided for each category.
Exercises
Below is a brief checklist and justification questions to help you think about consistency across your qualitative design. When you have finished this chapter, come back to this exercise and see if you can complete this as it applies to your proposal.
- Is my research question a good fit for a qualitative approach?
- If yes, explain why this is:
- If no, consider a quantitative approach, or revising your research question so it is a better fit.
- Is my research question a good fit for the specific qualitative research design I have chosen?
- If yes, explain why this is:
- If no, explain why not, and what approach you might consider as an alternative:
- If you're not yet sure about which design you might choose, review the ones discussed in this chapter and consider what the value/purpose of each of them is. Which one seems like the best match for your question? (if you still aren't sure, it might be good to consult with your professor)
22.1 Case study
Learning Objectives
Learners will be able to...
- Begin to distinguish key features that are associated with case study design
- Determine when a case study design may be a good fit for a qualitative research study
What is the purpose of case study research?
We've already covered that qualitative research is often about developing a deep understanding of a topic from a relatively small sample, rather than a broader understanding from the many. This is especially true for case study research. Case studies are essentially a 'deep dive' into a very focused topic. Skeptics of qualitative research often discount the value in studying the experiences and understandings of individuals and small groups, arguing that this type of research produces little value because it doesn't necessarily apply to a large number of people (i.e. produce generalizable findings). Hopefully you recognize the positivist argument here. These folks are likely to be unimpressed with the narrow focus that a case study adopts, suggesting that the restricted purview of a case study has little value to the scientific community. However, interpretativist qualitative researchers would counter that by thoroughly studying people, interactions, events, and the context in which they occur, researchers uncover key information about human beings, social interactions, and the nature of society itself. Remember, from this interpretative philosophical orientation we are not looking for what is "true" for the many, but we are seeking to recognize and better understand the complexity of life and human experiences; the multiple truths of a few. Case studies can be excellent for this!
Part of the allure of case studies stem from their diversity. You might choose to study:
- Individuals, such as a client with a unique need or a social worker with a unique position
- Small Groups, such as a newly formed anti-bullying student task force at a school
- Population (usually relatively small), such as the residents of a subsidized housing community that are losing their homes in a gentrifying area
- Events, such as a member of a senior center dying by suicide
- Process, such as a community organizing entity targeting a local ordinance allowing waste storage in a community with few socioeconomic resources
If we choose to utilize a case study design for our research, the use of theory can be incredibly helpful to guide and support our purpose throughout the research process. The Writing Center at Colorado State University offers a very helpful web resource for all aspects of case study development, and one page is specifically dedicated to theoretical application for case study development. They outline three general categories of theory: individual theories, organizational theories, and social theories, all of which case study researchers might draw from. These are especially helpful for us as social work researchers,who may focus on research across micro, mezzo, and macro environments (as evidenced in the aforementioned case study examples). For instance, if you are the researcher in the last example, looking at community members challenging a local ordinance, you might draw on Community Organizing Theory and Capabilities Perspective to structure your study. As an alternative, if you are studying the experience of the first Black woman board president of a national organization, you might borrow from Minority Stress and Strengths Perspective as models as you develop your inquiry. Whatever your focus, theory can be an important tool to aid in orienting and directing your work.
What is involved with case study research?
Due to the diversity of topics studied and types of case study design, no two case studies look alike (just like snowflakes). For this reason, I'm going to focus this section on some common hallmarks of case studies that will hopefully help you as you think about designing and consuming case study research.
As the name implies, our emphasis with case study research is to provide an understanding of a specific case. The range of what qualifies as a case is extensive, but regardless, we are primarily aiming to explore and describe what is going on in the given case we are studying. As case study researchers, this means we need to work hard to gather rich details. We aren't satisfied with surface, generic overviews or summaries, as these won't provide the multidimensional understanding we are hoping for. Thinking back to our chapter on qualitative rigor, a case study researcher might aim to produce a thick description with the details they gather as a sign of rigor in their work. To gather these details, we need to be open to subtleties and nuances about our topic. If we are expending the energy to study a case in this level of detail, the research assumptions are that the case could provide valuable information and that we currently know relatively little about this case. As such, we don't want to assume that we know what we are looking for. This means that we need to build in ways to capture unanticipated data and check our own assumptions as we design and conduct our study. We might use tools like reflexive journaling and peer debriefing to support rigor in this area.
Another good way to demonstrate both rigor and cultural humility when using this approach is engage stakeholders actively throughout the research process who are intimately involved with the case. This demonstrates good research practice in at least two ways. It potentially helps you to gather relevant and more meaningful data about the case, as a person who is connected to the case will likely know what to look for and where. Secondly, and more importantly, it reflects transparency and respect for the subjects of the case you are studying.
Another key feature of most case studies is that they don't rely on one source of data. Again, returning to our exploration of qualitative rigor, triangulation is a very important concept for case study research. Because our target is relatively narrow in case study design, we often try to approach understanding it from many different angles. As a metaphor, you might think of developing a 360° view of your case. What level of dimensionality can you introduce by looking at different types of data or different perspectives on the issue you are studying? While other types of qualitative research may rely solely on data collected from one method, such as interviews, case studies traditionally require multiple. So, in the example above where you are studying the residents of a subsidized housing community that are losing their homes in a gentrifying area, you might decide to gather data by:
- Conducting interviews with residents
- Making observations in the community
- Attending community meetings
- Conducting key informant interviews with clergy, educators, human service providers, librarians, historians, and local politicians who serve the area
- Examining correspondence that community members share with you about the impending changes
- Examining media coverage about the impending changes
Furthermore, if you are invested in engaging stakeholders as discussed above, you could form a resident advisory group that would help to oversee the research process in its entirety. Ideally this group would have input into how results are shared and what they would hope to gain as a result of the study (i.e. what kind of change would they like to see come from this).
Case studies can often draw out the creativity in us as we consider the range of sources we may want to tap for data on our case. Of course, this creativity comes at a price, in that we invite the challenge of designing research protocols for all these different methods of data collection and address them thoroughly in our IRB applications! Finally, with the level of detail and variety of data sources we have already discussed, case studies endeavor to pay attention to and provide a good accounting of context. If we are working to provide a rich, thick description of our case, we need to offer our audience information about the context in which our case exists. This can mean that we collect data on a range of things that might include:
- the socio-polticial environment surrounding our case
- the background or historical information that preceded our case
- the demographic information that helps to describe the local community that our case exists in
As you consider what contextual information you plan to gather and share, stay fluid. Again, it is likely that we won't know in advance the many contextual features that are reflected in our case. If you are doing a good job listening to your participants and engaging stakeholder in your process, they will tell you what is important to note. As social workers, we draw on a person-in-environment approach to help us conceptualize the ways in which our clients interact with the world around them and the challenges they encounter. Similarly, as researchers, we want to conceptualize case study-in-environment as we are developing our case study projects.
Key Takeaways
- Case studies offer an effective qualitative design when seeking to describe or understand a very specific phenomenon in great detail. The focus of a "case" can cover a range of different topics, including a person, a group, an event or a process.
- The design of a case study usually involves capturing multiple sources of data to help generate a rich understanding of both the content and the context of the case.
Exercises
Based on your social work passions and interests:
- What is a specific topic you feel might be well-suited for a case study?
- What potential sources of data would you use for your case study?
- What sorts of contextual information would you want to make sure to search for to get a really comprehensive understanding of your case?
Resources
To learn more about case study research
Baxter, P., & Jack, S. (2008). Qualitative case study methodology: Study design and implementation for novice researchers.
Gibbs, G.R. (2012, October, 24). Types of case studies: Part 1 of 3 on case studies.
Gibbs, G.R. (2012, October, 24). Planning a case study: Part 2 of 3 on case studies.
Gibbs, G.R. (2012, October, 24). Replication or single cases: Part 3 of 3 on case studies.
Harrison et al. (2017). Case study research: Foundations and methodological orientations.
Hyett et al. (2014). Methodology or method? A critical review of qualitative case study reports.
Lock, I., & Seele, P. (2018). Gauging the rigor of qualitative case studies in comparative lobbying research. A framework and guideline for research and analysis.
Stake, R. E. (1995). The art of case study research. Thousand Oaks, CA: Sage publications.
Starman, A. B. (2013). The case study as a type of qualitative research.
Writing@CSU, the Writing Studio: Colorado State University (n.d.). Case studies.
Yin, R. K. (2014). Case study research and applications: Design and methods. Thousand Oaks, CA: Sage publications.
For examples of case study research
Chan, C., & Holosko, M. J. (2017). The utilization of social media for youth outreach engagement: A case study.
Gabriel, M. G. (2019). Christian faith in the immigration and acculturation experiences of Filipino American youth.
Paddock et al. (2018). Care home life and identity: A qualitative case study.
22.2 Constructivist
Learning Objectives
Learners will be able to...
- Begin to distinguish key features that are associated with constructivist design
- Determine when a constructivist design may be a good fit for a qualitative research study
What is the purpose of constructivist research?
Constructivist research seeks to develop a deep understanding of the meaning that people attach to events, experiences, or phenomena. It draws heavily from the idea that our realities are constructed through shared social interaction, within which each person holds a unique perspective that is anchored in their own position (where they are situated in the world) and their evolving life experiences to date. Constructivist research then seeks to bring together unique individual perspectives around a common topic or idea (the basis of the research question), to determine what a shared understanding for this particular group of participants might be. By developing a common or shared understanding, we are better able to appreciate the multiple sides or facets of any given topic, helping us to better appreciate the richness of the world around us. You can think about constructivist research as being akin to cultural humility. When we approach practice with a sense of cultural humility, we assume that people who participate in a shared culture experience it from their own unique perspective. As we work with them, we try our best to understand and respect their personal understanding of that culture. Similarly, in constructivist research, we attempt to bring together (and honor) these unique individual perspectives on a given topic and construct a shared understanding, attempting to take what might be one-dimensional and making it multidimensional.
Constructivist research, as a method of inquiry, originated out of the work of Lincoln and Guba (1985),[159] although it was initially termed "naturalism". In stark contrast to more positivist research traditions that make the assumption that the broad aim of research as an approach to knowledge building is to produce generalizable findings, constructivist research assumes that any knowledge produced through the research process is context-dependent. This means that constructivist findings are specific to those who contributed to that knowledge building and the situation in which it took place. That isn't to say that these results might not have broader value or application, but the aim of the constructivist researcher is not to make that claim. The aim of the constructivist design is to provide a rich, full, detailed account of both the research process and the research findings. This inlcudes a detailed description of the context in which the research is taking place. In this way, the research consumer can determine the value and application of the research findings. The video by Robertson (2007)[160] in the resources box offers a good overview of this methodology and many of the assumptions that underlie this approach.
If you are a researcher considering a constructivist design, Rodwell (1998)[161] suggests that you should consider the focus, fit, and feasibility of your study for this particular methodology. While she provides a very helpful discussion across all three areas, her attention to 'fit' for constructivist inquiry is perhaps most relevant for our abbreviated overview of this methodology. In her discussion of 'fit', Rodwell argues that research questions well-suited for constructivist research are:
- Multi-dimensional: meaning that multiple constructions or understandings of the "reality" of the topic are being sought
- Investigator interactive: meaning that the topic is susceptible to researcher influence by virtue of the researcher having to be very involved in data collection and therefore accountable for considering their role in the knowledge production process
- Context-dependent: meaning that the circumstances surrounding the participants and the research process must be taken into account
- Complex: meaning we should assume there are multiple causes that contribute to the problem under investigation (and that the research is seeking to explore, rather than collapse that complexity)
- Value-laden: meaning that the topic we are studying is best understood in a way that accounts for the diverse values and opinions people attach to it.
What is involved with constructivist research?
As you may have surmised from the discussion above, the cornerstone of constructivist research is the researcher engaging in immersive exchanges with participants in an effort to 'construct' the meaning that they attach to the topic being studied.
Again, drawing on Rodwell's (1998) [162] description of this methodology, a constructivist researcher needs to recruit a [pb_glossaryid="918"]purposive[/pb_glossary] sample that has unique and diverse first-hand knowledge of the topic being studied. They will gather data from this sample regarding their respective realities or understandings of the topic. They will attempt to account for the context in which the study is taking place (including the researcher's own influence as a human instrument). Throughout the analysis process they will work towards producing negotiated outcomes, taking time to clarify and verify that findings accurately capture the sentiment of participants; treating participants as experts in their own reality. Finally, they will bring this knowledge together in a way that attempts to reflect the complex and multidimensional understandings of the topic being studied.
Constructivist research findings are well-suited for being presented as a case report. This allows for many realities or understandings of a given topic to be constructed. When you think about the value of constructivist research for social work, review some of the research articles listed below as examples. Envision using the findings from Allen's (2011)[163] study about women's resistance to abuse to help us improve shelter-based intervention and public health prevention efforts. Also, as a manager in an older adult care facility, you could use Cook and Brown-Wilson's (2011)[164] work focused on nursing home residents and their social relationships with staff to help inform ongoing staff training efforts that are more centered in nurturing social connections.
Key Takeaways
- Constructivist studies are well suited to develop a rich, multidimensional understanding of a topic through the extensive study of the experience of that topic across multiple observers. The individual realities experienced by participants are brought together to developed a shared, constructed understanding.
- The end result of a constructivist research project should help the consumer to see the phenomenon being studied from many different perspectives and with an appreciation of its complexity and nuance.
Resources
To learn more about constructivist research
Drisko, J. W. (2013). Constructivist research in social work. In A. E. Fortune, W. J. Reid, & R. L. Miller, Jr. (Eds.), Qualitative research in social work (2nd ed.), (pp. 81-106). New York : Columbia University Press.
Lincoln, Y. S., & Guba, E. G. (2013). The constructivist credo. Walnut Creek, CA: Left Coast Press, Inc.
Mojtahed et al. (2014). Equipping the constructivist researcher: The combined use of semi-structured interviews and decision-making maps.
Robertson, I. (2007, May 13). Naturalistic or constructivist inquiry.
Rodwell, M. K. (1998). Social work constructivist research. New York: Routledge
Stewart, D. L. (2010). Researcher as instrument: Understanding" shifting" findings in constructivist research.
For examples of constructivist research
Allen, M. (2011). Violence and voice: Using a feminist constructivist grounded theory to explore women’s resistance to abuse.
Coleman et al. (2012). A constructivist study of trust in the news.
Cook, G., & Brown-Wilson, C. (2010). Care home residents’ experiences of social relationships with staff.
Leichtentritt et al. (2011). Construction of court petitions in cases of alternative placement of children at risk: Meaning‐making strategies that social workers use to shape court decisions.
O’Callaghan et al. (2012). Music’s relevance for adolescents and young adults with cancer: A constructivist research approach.
22.3 Oral history
Learning Objectives
Learners will be able to...
- Begin to distinguish key features that are associated with oral history design
- Determine when an oral history design may be a good fit for a qualitative research study
What is the purpose of oral history research?
As outlined by the Oral History Association (OHA, 2009), "Oral history interviews seek an in-depth account of personal experience and reflections, with sufficient time allowed for the narrators (interviewees) to give their story the fullness they desire. The content of oral history interviews is grounded in reflections on the past as opposed to commentary on purely contemporary events".[165] Much like case studies with their intentionally narrow focus, oral histories are dedicated to developing a deep understanding with a relatively limited scope. This may include a single oral history provided by one interviewee, or a series of oral histories that are offered around a unifying topic, event, experience or shared characteristic.
Now, what makes this a form of research and not just a venue for sharing stories (valuable in-and-of-itself), is that these stories are connected systematically and there is a central question or series of questions that we as researchers are attempting to answer. For instance, the Columbia Center for Oral History Research at Incite hosts the Human Rights Campaign Oral History Project. This project seeks to understand: "What can a single organization tell us about a social movement and social change? How do historic moments shape organizations and vice versa? How do institutions with diverse constituencies reconcile competing needs and agendas for a forward-thinking movement, all while effectively responding to consistent external attacks?"[166] By interviewing people connected with this organization and its work, this oral history project is simultaneously hoping to gain a rich understanding of the Human Rights Campaign (HRC), but also an appreciation of how social change may occur more broadly, with HRC as an instructive example.
Particularity relevant for social work research, oral histories are often used for the purpose of studying and promoting social change, as in the HRC example. For instance, Groundswell is a network of "oral historians, activists, cultural workers, community organizers, and documentary artists" dedicated to the use of oral history as a tool for social change.[167] The central idea here is that by sharing our stories, we can learn from each other. Much like in narrative therapy traditions, our stories contain valuable and transformative information. In the case of narrative therapy, the narrative is transformative for the individual, but in the case of oral histories, the hope is that these shared narratives are transformative for the audience by offering new perspectives on the world, what it needs, and what it offers. Ideally this transformation leads to action and broader social change.
What is involved in oral history research?
While the core of oral history research involves interviewing people to capture their historical accounts to help explore a broader question or set of questions, the research process is a bit more involved than this. Moyer (1999)[168] offers an overview of the steps involved in conducting oral history research.
- Formulate a central question, set of questions, or issue
- Plan the project. Consider such things as end products, budget, publicity, evaluation, personnel, equipment, and time frames.
- Conduct background research
- Interview
- Process interviews
- Evaluate research and interviews and cycle back to step 1 if the central question is not sufficiently answered, or go on to step 7 if it is
- Organize and present results
- Store materials archivally
Of course, these are generic steps and only a beginning introduction to oral history design. Each of these steps has its own learning curve and nuance. For instance, interviewing for oral histories can vary in both preparation and application when compared to interviewing for other forms of qualitative research. Resources for further learning on oral history research are offered at the end of this section to help you become more knowledgeable and proficient. In addition to this overview of the design process, there are a number of unique principles associated with conducting oral histories. Let's discuss a few of these.
Oral history as a relationship between the interviewer and interviewee
Just as with other forms of interviewing, the expectation is the participation is voluntary and only proceeds after informed consent is provided. While this is very important for all research, it is perhaps especially important for oral histories because of some of the aspects discussed below (e.g. public access, frequent disclosure of identifying information) that differentiate oral histories.[169][170] Thoroughly explaining what oral histories are, how they are conducted, and the nature of the research final products is especially important. In addition, interviewees for oral histories often have a greater degree of control in their storytelling, with less direction from the interviewer (compared with other forms of qualitative interviewing).[171][172] This potentially challenges some of the power dynamics in more traditional research traditions. While the interviewer does provide the initial prompt or question and hopes to obtain an in-depth account, the interviewee is largely in control of how the story is told.
Oral history as a research product
Consistent with our NASW code of ethics and the expectations of all qualitative researchers, interviewees should be treated with dignity and respect. For the purposes of oral history research, this is in part demonstrated through crafting significant historical questions and engaging in prior research and preparation to inform the study (generally) and the interview (specifically).[173][174]. This will lay the foundation for a well-informed oral history project. The oral history is a detailed historical recounting by one person or a small group of people. It is meant to be a 'window in time' through the lens of the interviewee.[175] Because an oral history involves the detailed telling of personal stories and experiences it is often expected that the finished products of oral histories will often provide identifying information; it is often unavoidable in recounting the history. In fact, the interviewee is typically identified by name due to the extensive detail and contextually identifying information that is gathered.[176][177] Again, this should be made abundantly clear during the recruitment process and spelled out in the informed consent.
Oral history as an ongoing commitment
Traditional research is often shared with the public through journal articles or conference proceedings, and these often do not provide access to the data. While oral history research may be shared in these venues, the expectation is generally that oral history interviews that are collected will also be made accessible to future researchers and the public.[178] To accommodate this, researchers need to be planful in how they will provide this access in a sustainable way. This also means they need to have access to and operating knowledge of technology that will allow for quality audio capture and maintenance of these oral histories.[179][180] Furthermore, this obligation needs to be very clear to participants before they share their hisitories. Also, because of the level of access that is often afforded to oral history interviews, researchers can't guarantee how others may use or portray these interviews in the future and should be mindful not to overpromise such guarantees to participants.
Cultural considerations with storytelling
I think it is also important for us to consider the cultural implications of storytelling and the connection this holds for oral history research. Many cultural groups have and continue to depend on storytelling as a means of transmitting culture through time and space. Lately, I have been thinking about this as a response to the racial conflict we have been experiencing in the United States. It can be particularly powerful to hear the stories of others and to allow ourselves to be changed by them. The author Ta-Nehisi Coates book Between the World and Me is a profound nonfiction work that is written as a letter to his teenage son about what it means to be a Black man in America, drawing on his own memories, experiences and observations. In addition, Takunda Muzondiwa, offers a beautifully articulated performance of spoken word poetry about her history as a young woman immigrating from Zimbabwe to New Zealand. I believe these stories can be powerful antidotes to the fear and ignorance that fuels so much of the structural oppression and racial division in this country. Gathering oral histories can help contribute to elevating these voices and hopefully promoting understanding. However, I think we also have to be very aware of the danger in this practice of cultural appropriation. It requires us to be extremely vigilant in how these stories are obtained and presented, and who has ownership of them.
Key Takeaways
- Oral histories offer a unique qualitative research design that support an individual or group of participants reflecting on a unique experience, event, series of events, or even a lifetime. While they explicitly explore the past, they often do so to learn about how change occurs and what lessons can be applied to our present.
- While many aspects of oral histories are consistent with other forms of qualitative research (e.g. the use of interviews to collect data, analyzing narrative data for themes), oral histories have some defining features that differentiate it from other designs, such as a common expectation for public access to collected data.
Exercises
Reflexive Journal Entry Prompt
For me, oral history has a bit of a different feel when compared to other qualitative designs because it really highlights intimate details of one person's (or a small group) life. in a way that makes confidentiality a real challenge in many cases (or even impossible). That being said, I'm also really drawn to the potential of this approach for allowing people to share wisdom and for us to learn from each other.
Based on what you have read here and maybe after checking out some of the resources below, what are your thoughts about using oral histories?
- What do you see as strengths?
- What are barriers or challenges that you foresee?
- What oral history data might help to strengthen or develop your practice knowledge? (whose wisdom and historical perspective might you learn from)
Resources
To learn more about oral histories and oral history archives
Columbia University, Interdisciplinary Center for Innovative Theory and Empirics (n.d.) Columbia Center for Oral History Research at INCITE.
Groundswell. (2014). Groundswell: Oral history for social change.
Institute for Museum and Library Services. (n.d.). Oral history in the digital age.
International Oral History Association. (n.d.). International Oral History Association, homepage.
Moyer, J. (1999). Step-by-step guide to oral history.
Oral History Association (2009, October). Principles and best practices.
UCLA (2015). UCLA Center for Oral History Research.
For examples of oral history research
Gardella, L. G. (2018). Social work and hospitality: An oral history of Edith Stolzenberg.
Jenkins, S. B. (2017). "We were all kind of learning together" The emergence of LGBTQ+ affirmative psychotherapy & social services, 1960-1987: oral history study.
Johnston et al. (2018). The rise, fall and re-establishment of Trinity Health Services: Oral history of a student-run clinic based at an inner-city Catholic Church.
La Rose, T. (2019). Rediscovering social work leaders through YouTube as archive: The CASW oral history project 1983/1984.
22.4 Ethnography
Learning Objectives
Learners will be able to...
- Distinguish between key features associated with ethnographic design
- Determine when an ethnographic design may be a good fit for a qualitative research study
What is the purpose of ethnography research?
Ethnography is a qualitative research design that is used when we are attempting to learn about a culture by observing people in their natural environment. While many immediately associate culture with ethnicity, remember that cultures are all around us, and we exist in many simultaneously. For example, you might have a culture within your family, at your school, at work, as part of other organizations or groups that you belong to. Culture exists where we have a social grouping that creates shared understanding, meaning, customs, artifacts, rituals, and processes.
Cultural groups can exist in-person and in virtual spaces. Culture challenges us to consider how people understand and dynamically interact with their environment. Creswell (2013) outlines the role of the ethnographer as, "describing and interpreting the shared and learned patterns of values, behaviors, beliefs and languages of culture-sharing groups" (p.90).[181] Below is a brief list of areas where we may find "culture-sharing groups".
- Work
- School
- Home
- Peer Groups
- Support Groups
- Cause-Related Groups
- Organizations
- Interest-Related Groups
Exercises
Respond to the following questions.
- What cultures do you participate in?
- What cultures might the clients you work with in your field placements participate in?
- What cultures might the participants you are interested in studying participate in?
Reflecting on this question can help us to see ourselves and our clients or our research participants as multidimensional people and to develop solid research proposals.
Now that we have discussed what culture is, why is it important that we research it? More specifically, why is it important that we have ethnography, a type of qualitative research dedicated to studying culture? As social work practitioners and educators, we talk extensively about concepts like cultural competence and cultural humility. As a profession, we have taken the position that understanding culture is vital to what we do. Ideologically, Social Work recognizes that people have very different experiences throughout their lives. Some of these experiences are shared and can come to shape the perspective of groups of people, and in turn, how these groups interact with the world around them and with each other. By studying these shared perspectives, ethnographers hope to learn both how groups of people are shaped by and come to shape their environment (this is the definition of a fancy term, reciprocal determinism). Ethnographic research can be one source of information that helps support culturally informed social work practice. Note that I specifically said one source. As an ethnographer, we are typically an "outsider" observing and learning about a culture. As practitioners, we should also be educated about culture directly from our clients because they have "insider" knowledge. Both are valuable and can be helpful for the work we do, but I would argue that we give priority to our client's perspective, as they are an authority on their experience of culture.
As you think about the value of ethnographic research, it can also be helpful to think about what types of things we might learn from it. Let's take a specific example. What if we wanted to study the culture around a student study group. What are some of the things we might hope to learn by examining the culture of this group?
- What motivates them to participate in the group?
- What are their expectations about the group?
- What do they hope to get out of the group?
- What are the group norms?
- What are the formal and informal roles of the group?
- What functions does the group serve?
- What types of group dynamics are evident?
- What influence external to the group impact the group, and how?
What is involved with ethnography research?
As a process of uncovering and making sense of a culture, ethnographic research involves the researcher immersing themselves in the culture to gain direct and indirect information through keen observation, discussion with culture-sharing members, and review of cultural artifacts. To accomplish this successfully, the ethnographer will need to spend extensive time in the field, both to gather enough data to comprehensively describe the culture, and to gain a reasonable understanding of the context in which the culture takes place so that they can interpret the data as accurately as possible. Hammersley (1990)[182] outlines some general guidelines for conducting ethnographic research.
- Data is drawn from a range of sources
- While data gathering is systematic, it is emergent and begins with a loose structure
- Parameters are usually placed on the setting(s) from which data is gathered
- Observing behavior in everyday life
- Analysis involves the interpretation of human behavior and making sense out of the actions of the culture group
Below I provide some additional details around each of these principles to help contextualize how these might compare and contrast with other qualitative designs we have been discussing.
Data is drawn from a range of sources
Since our objective is to understand a culture as comprehensively as possible, ethnographies require multiple sources of data. If someone wanted to study the culture within your social work program, what sorts of data might they utilize? They might include discussions with students, staff, and faculty; observations of classes, functions, and meetings; review of documents like mission statements, annual reports, and course evaluations. These are only a small sampling of data sources that you might include to gain the most holistic understanding of the program.
While data gathering is systematic, it is emergent and begins with a loose structure
While some qualitative studies begin with an extensive and detailed plan for data gathering, ethnographies begin with a considerable amount of flexibility. This is because we often don't know in advance what will be important in developing an understanding of a culture and where that information might come from. As such, we would need to spend time in the culture, being attentive and open to learning from the context.
Parameters are usually placed on the setting(s) from which data is gathered
Culture can extend across space and time, making it overwhelming as we initially consider how to focus our efforts while still allowing for the emergent design discussed above. Because of this, ethnographies are often confined to one particular setting or group. I don't know if any of you are fans of the TV series The Office (either the British or American versions), but it actually offers us a good example here. The series is based on following the antics that take place in office environment with a group of co-workers through a mockumentary . The series is about understanding the culture of that office. The majority of filming takes place in a small office and with a relatively small group of people. These parameters help to define the storyline, or for our purposes, the scope of our data gathering.
Observing behavior in everyday life
Compared to other qualitative approaches where data gathering may take place through a more formal process (e.g. scheduled interviews, routine observations of specified exchange), ethnographies usually involve collecting data in everyday life. To capture an authentic representation of culture, we need to see it in action. Thus, we need to be prepared to gather data about culture as it is being produced and experienced.
Analysis involves the interpretation of human behavior and making sense out of the actions of the culture group
Related to the last point about observing behavior in everyday life, culture is created and transmitted through social interactions. As ethnographers, the main thrust of our work is to observe and interpret how people engage with each other, and what these interactions mean.
Cultural considerations with storytelling
As I mentioned in the oral history section, I think we also need to be really attentive to the possibility of cultural appropriation and exploitation when conducting ethnographies. This is really true for all types of research, but it deserves special attention here because of the duration of time ethnography requires immersing yourself in the culture you are studying. It makes me think of my time as a case manager. As a case manager, I think we need to be acutely aware of demonstrating great respect and humility when we are working with people in their homes. We are entering into a very personal space with them to conduct our work and I believe that it requires special care and attention. Ethnography work is much like this. As an ethnographer, you are attempting to enter into the very personal space of that cultural group. Before doing so, as researchers, I think we need to very carefully consider what benefits does this study offer. If the only answer is that we benefit professionally or academically, then is it really worth it for us to be so intrusive? Of course, actively including community members in the research process and allowing them to help determine the benefits they hope to recognize from such a study can be a good way to overcome this.
Key Takeaways
- Ethnographic studies allow researchers to experience and describe a culture by immersing themselves within a culture-sharing group.
- Ethnographic research requires that researchers be attentive observers and curious explorers as they spend extensive time in the field viewing cultural rituals and artifacts, speaking with cultural group members, and participating in cultural practices. This requires spending extensive time with this group to understand the nuances and intricacies of cultural phenomenon.
Resources
To learn more about ethnography research
Genzuk, M. (2003). A synthesis of ethnographic research.
Isaacs, E., TEDxBroadway. (2013, January, 28). "Ethnography"—Ellen Isaacs.
Wall, S. (2015, January). Focused ethnography: A methodological adaptation for social research in emerging contexts.
Reeves et al. (2013). Ethnography in qualitative educational research: AMEE Guide No. 80.
Sangasubana, N. (2011). How to conduct ethnographic research.
For examples of ethnography research
Avby et al. (2017). Knowledge use and learning in everyday social work practice: A study in child investigation work.
Hicks, S., & Lewis, C. (2018). Investigating everyday life in a modernist public housing scheme: The implications of residents’ understandings of well-being and welfare for social work.
Lumsden, K., & Black, A. (2017). Austerity policing, emotional labour and the boundaries of police work: an ethnography of a police force control room in England.
22.5 Phenomenology
Learning Objectives
Learners will be able to...
- Begin to distinguish key features that are associated with phenomenological design
- Determine when a phenomenological study design may be a good fit for a qualitative research study
What is the purpose of phenomenology research?
Phenomenology is concerned with capturing and describing the lived experience of some event or "phenomenon" for a group of people. One of the major assumptions in this vein of research is that we all experience and interpret our encounters with the world around us. Furthermore, we interpret these experiences from our own unique worldview, shaped by our beliefs, values and previous encounters. We then go on to attach our own meaning to them. By studying the meaning that people attach to their experiences, phenomenologists hope to understand these experiences in much richer detail. Ideally, this allows them to translate a unidimensional idea that they are studying into a multidimensional understanding that reflects the complex and dynamic ways we experience and interpret our world.
As an example, perhaps we want to study the experience of being a student in a social work research class, something you might have some first-hand knowledge with. Putting yourself into the role of a participant in this study, each of you has a unique perspective coming into the class. Maybe some of you are excited by school and find classes enjoyable; others may find classes boring. Some may find learning challenging, especially with traditional instructional methods; while others find it easy to digest materials and understand new ideas. You may have heard from your friends, who took this class last year, that research is hard and the professor is evil; while the student sitting next to you has a mother who is a researcher and they are looking forward to developing a better understanding of what she does. The lens through which you interpret your experiences in the class will likely shape the meaning you attach to it, and no two students will have the exact same experience, even though you all share in the phenomenon—the class itself. As a phenomenologist, I would want to try to capture how various students experienced the class. I might explore topics like: what did you think about the class, what feelings were associated with the class as a whole or different aspects of the class, what aspects of the class impacted you and how, etc. I would likely find similarities and differences across your accounts and I would seek to bring these together as themes to help more fully understand the phenomenon of being a student in a social work research class. From a more professionally practical standpoint, I would challenge you to think about your current or future clients. Which of their experiences might it be helpful for you to better understand as you are delivering services? Here are some general examples of phenomenological questions that might apply to your work:
- What does it mean to be part of an organization or a movement?
- What is it like to ask for help or seek services?
- What is it like to live with a chronic disease or condition?
- What do people go through when they experience discrimination based on some characteristic or ascribed status?
Just to recap, phenomenology assumes that...
- Each person has a unique worldview, shaped by their life experiences
- This worldview is the lens through which that person interprets and makes meaning of new phenomena or experiences
- By researching the meaning that people attach to a phenomenon and bringing individual perspectives together, we can potentially arrive at a shared understanding of that phenomenon that has more depth, detail and nuance than any one of us could possess individually.
This figure provides a visual interpretation of these assumptions.
What is involved in phenomenology research?
Again, phenomenological studies are best suited for research questions that center around understanding a number of different peoples' experiences of particular event or condition, and the understanding that they attach to it. As such, the process of phenomenological research involves gathering, comparing, and synthesizing these subjective experiences into one more comprehensive description of the phenomenon. After reading the results of a phenomenological study, a person should walk away with a broader, more nuanced understanding of what the lived experience of the phenomenon is.
While it isn't a hard and fast rule, you are most likely to use purposive sampling to recruit your sample for a phenomenological project. The logic behind this sampling method is pretty straightforward since you want to recruit people that have had a specific experience or been exposed to a particular phenomenon, you will intentionally or purposefully be reaching out to people that you know have had this experience. Furthermore, you may want to capture the perspectives of people with different worldviews on your topic to support developing the richest understanding of the phenomenon. Your goal is to target a range of people in your recruitment because of their unique perspectives.
For instance, let's say that you are interested in studying the subjective experience of having a diagnosis of Human Immunodeficiency Virus (HIV). We might imagine that this experience would be quite different across time periods (e.g. the 1980's vs. the 2010's), geographic locations (e.g. New York City vs. the Kingdom of Eswatini in southern Africa), and social group (e.g. Conservative Christian church leaders in the southern US vs. sex workers in Brazil). By using purposive sampling, we are attempting to intentionally generate a varied and diverse group of participants who all have a lived experience of the same phenomenon. Of course, a purposive recruitment approach assumes that we have a working knowledge of who has encountered the phenomenon we are studying. If we don't have this knowledge, we may need to use other non-probability approaches, like convenience or snowball sampling. Depending on the topic you are studying and the diversity you are attempting to capture, Creswell (2013) suggests that a reasonable sample size may range from 3 -25 participants for a phenomenological study. Regardless of which sample size you choose, you will want a clear rationale that supports why you chose it.
Most often, phenomenological studies rely on interviewing. Again, the logic here is pretty clear—if we are attempting to gather people's understanding of a certain experience, the most direct way is to ask them. We may start with relatively unstructured questions: "can you tell me about your experience with.....", "what was it it like to....", "what does it mean to...". However, as our interview progresses, we are likely to develop probes and additional questions, leading to a semi-structured feel, as we seek to better understand the emerging dimensions of the topic that we are studying. Phenomenology embodies the iterative process that has been discussed; as we begin to analyze the data and detect new concept or ideas, we will integrate that into our continuing efforts at collecting new data. So let's say that we have conducted a couple of interviews and begin coding our data. Based on these codes, we decide to add new probes to our interview guide because we want to see if future interviewees also incorporate these ideas into how they understand the phenomenon. Also, let's say that in our tenth interview a new idea is shared by the participant. As part of this iterative process, we may go back to previous interviewees to get their thoughts about this new idea. It is not uncommon in phenomenological studies to interview participants more than once. Of course, other types of data (e.g. observations, focus groups, artifacts) are not precluded from phenomenological research, but interviewing tends to be the mainstay.
In a general sense, phenomenological data analysis is about bringing together the individual accounts of the phenomenon (most often interview transcripts) and searching for themes across these accounts to capture the essence or description of the phenomenon. This description should be one that reflects a shared understanding as well as the context in which that understanding exists. This essence will be the end result of your analysis.
To arrive at this essence, different phenomenological traditions have emerged to guide data analysis, including approaches advanced by van Manen (2016)[183], Moustakas (1994)[184], Polikinghorne (1989)[185] and Giorgi (2009)[186]. One of the main differences between these models is how the researcher accounts for and utilizes their influence during the research process. Just like participants, it is expected in phenomenological traditions that the researcher also possesses their own worldview. The researcher's worldview influences all aspects of the research process and phenomenology generally encourages the researcher to account for this influence. This may be done through activities like reflexive journaling (discussed in Chapter 20 on qualitative rigor) or through bracketing (discussed in Chapter 19 on qualitative analysis), both tools helping researchers capture their own thoughts and reactions towards the data and its emerging meaning. Some of these phenomenological approaches suggest that we work to integrate the researcher's perspective into the analysis process, like van Manen; while others suggest that we need to identify our influence so that we can set it aside as best as possible, like Moustakas (Creswell, 2013).[187] For a more detailed understanding of these approaches, please refer to the resources listed for these authors in the box below.
Key Takeaways
- Phenomenology is a qualitative research tradition that seeks to capture the lived experience of some social phenomenon across some group of participants who have direct, first-hand experience with it.
- As a phenomenological researcher, you will need to bring together individual experiences with the topic being studied, including your own, and weave them together into a shared understanding that captures the "essence" of the phenomenon for all participants.
Exercises
Reflexive Journal Entry Prompt
- As you think about the areas of social work that you are interested in, what life experiences do you need to learn more about to help develop your empathy and humility as a social work practitioner in this field of practice?
Resources
To learn more about phenomenological research
Errasti‐Ibarrondo et al. (2018). Conducting phenomenological research: Rationalizing the methods and rigour of the phenomenology of practice.
Giorgi, A. (2009). The descriptive phenomenological method in psychology: A modified Husserlian approach. Pittsburgh, PA: Duquesne University Press.
Koopman, O. (2015). Phenomenology as a potential methodology for subjective knowing in science education research.
Moustakas, C. (1994). Phenomenological research methods. Thousand Oaks, CA: Sage.
Newberry, A. M. (2012). Social work and hermeneutic phenomenology.
Polkinghorne, D. E. (1989). Phenomenological research methods. In R. S. Valle & S. Halling (Eds.). Existential-phenomenological perspectives in psychology (pp. 41-60). Boston, MA: Springer.
Seymour, T. (2019, January, 30). Phenomenological qualitative research design.
Van Manen, M. (2016). Phenomenology of practice: Meaning-giving methods in phenomenological research and writing. New York: Routledge.
For examples of phenomenological research
Curran et al. (2017). Practicing maternal virtues prematurely: The phenomenology of maternal identity in medically high-risk pregnancy.
Kang, S. K., & Kim, E. H. (2014). A phenomenological study of the lived experiences of Koreans with mental illness.
Pascal, J. (2010). Phenomenology as a research method for social work contexts: Understanding the lived experience of cancer survival.
22.6 Narrative
Learning Objectives
Learners will be able to...
- Begin to distinguish key features associated with narrative design
- Determine when a narrative design may be a good fit for a qualitative research study
What is the purpose of narrative research?
As you savvy learners have likely surmised, narrative research, often referred to as narrative inquiry, is all about the narrative. For our purposes, narratives will be defined as those stories that we compose that allow us to make meaning of the world. Therefore, narrative inquiry is attempting to develop a rich understanding of what those narratives are, and weave them into a grander narrative that attempts to capture the unique and shared meanings we attach to our individual narratives. In other words, as narrative researchers, we want to understand how we make sense of what happens to us and around us.
As social workers, our profession is well-acquainted with the power of narratives. Michael White and David Epston are social workers you may know of that harnessed this power of narratives in the therapeutic relationship by helping clients to tell and then transform their many-storied lives through narrative therapy. Just as narrative therapy encourages clients to explore the stories in their own lives and the significance they attach to them, narrative inquiry prompts research participants to share the stories they have regarding the topic we are studying. Just as we discussed in our chapter on qualitative data gathering, our aim in narrative inquiry is to elicit and understand stories, whereas narrative therapy is concerned with fostering a therapeutic relationship. Our hope is that narrative studies do, however, help the audience that consumes our research (whether that is providers, other researchers, politicians, community members) to better understand or appreciate the worldview of the population we are studying.
Fraser (2004)[188] suggests that narrative approaches are particularly well-suited for helping social workers to:
- make sense of language(s) that are used by individuals and groups
- examine multiple perspectives
- better understand human interactions
- develop an appreciation for context
- reduce our role as an expert (we are most called here to be skillful listeners)
- elevate the stories and perspectives of people who may be otherwise be disenfranchised or silenced
Narrative inquiry may be a good fit for your research proposal if you are looking to study some person/groups' understanding of an event, situation, role, period of time, or occurrence. Again, think about it like a story; what would you form your story plot around. The answer to that gets at the core of your research question for narrative inquiry. You want to understand some aspect of life more clearly through your participant's eyes. After all, that is what a good story does, transports us into someone else's world. As a student, you may not be able to access clients directly as research participants, but there are many people around you in your placement, at school, or in the community who may have valuable insights/perspectives on the topic you are interested in studying. In addition, you may be able to access publicly available sources that give you narrative information about a topic: autobiographies, memoirs, oral histories, blogs, journals, editorials, etc. These sources give you indirect information about how the author sees the world —just what you're looking for! These can become sources of data for you.
What is involved in narrative research?
At the risk of oversimplifying the process of narrative research, it is a journey with stories: finding stories, eliciting stories, hearing and capturing stories, understanding stories, integrating stories, and presenting stories. That being said, each leg of this journey is marked with its own challenges (and rewards!). We won't be diving deeply into each of these, but we will take time to think through a couple of brief considerations at each of these phases. As you read through these phases, be aware that they reflect the iterative nature of qualitative work that we have discussed previously. This means you won't necessarily complete one and move on to the next. For instance, you make be in the process of analyzing some of the data you have gathered (phase: understanding stories) and realize that a participant has just blown your mind with a new revelation that you feel like you need to learn more about to adequately complete your research. To do so, you may need to go back to other participants to see if they had similar experiences (phase: eliciting stories) or even go out and do some more recruitment of people who might share in this storyline (phase: finding new stories).
Finding stories
It can feel a bit daunting at first to consider where you would look to find narrative data. We have to determine who possesses the stories we want to hear that will help us to best answer our research question. However, don't dismay! Stories are all around us. As suggested earlier, as humans, we are constantly evolving stories that help us to make sense of our world, whether we are aware of it or not. Narrative data is not usually just drawn from one source, so this often means thoughtfully seeking out a variety of stories about the topic we are studying. This can include interviews, observations, and a range of other artifacts. As you are thinking about your sample, consult back to Chapter 17 on qualitative sampling to aid you in developing your sampling strategy.
Eliciting stories
So, now you know where you want to get your narrative data, but how will you draw these stories out? As decent and ethical researchers, our objective is to have people share their stories with us, being fully informed about the research process and why we are asking them to share their stories. But this just gets our proverbial foot in the door. Next, we have to get people to talk, to open up and share. Just like in practice settings, this involves the thoughtful use of well-planned open-ended questions. Narrative studies often involve relatively unstructured interviews, where we provide a few broad questions in the hopes of getting people to expound on their perspective. However, we anticipate that we might need to have some strategic probes to help prompt the storytelling process. We also might be looking to extract narrative data from artifacts, in which case the data is there, we just need to locate and make sense of it.
Hearing and capturing stories
We need to listen! While we are trained in the art of listening as social workers, we need to make sure that we are clear what we are listening for. In narrative research we are listening for important narrative detail. Fraser (2004)[189] identifies that it is important to listen for emotions that the story conveys, the evolution or unfolding of the story, and last but not least, our own reactions. Additionally, we need to consider how we will capture the story—will we record it or will we take field notes? Again, we may be drawing narrative data from artifacts. If this is the case, we are "listening" with our eyes and through our careful review of materials and detailed note-taking.
Understanding stories
As we are listening, we are attending to many things as we go through this part of the analysis: word choice and meaning, emotions that are expressed/provoked, context of what is being shared, themes or main points, and changes in tone. We want to pay attention to both what the story is and how is it being told.
Integrating stories
Part of the work (and perhaps the most challenging part) of narrative research is the bringing together of many stories. We aim to look across the stories that are shared with us through the data we have gathered and ultimately converge on a narrative that honors both the diversity and the commonality that is reflected therein, all the while tracking our own personal story and the influence it has on shaping the evolving narrative. No small task! While integrating stories, Fraser (2004)[190] also challenges us to consider how these stories coming together are situated within broader socio-political-structural contexts that need to be acknowledged.
Key Takeaways
- The aim of narrative research is to uncover the stories that humans tell themselves to make sense of the world.
- To turn these stories into research, we need to systematically listen, understand, compare, and eventually combine these into one meta-narrative, providing us with a deeper appreciation of how participants comprehend the issue we are studying.
Exercises
Reflexive Journal Entry Prompt
Know that we have reviewed a number of qualitative designs, reflect on the following questions:
- Which designs suit you well as a social work researcher? What is it about these designs that resonate with you?
- Which designs would really challenge you as a social work researcher? What is it about these designs that make you apprehensive or uneasy?
- What design is best suited for your research question? Is your answer here being swayed by personal preferences?
Resources
To learn more about narrative inquiry
Fraser, H. (2004). Doing narrative research: Analysing personal stories line by line. Qualitative Social Work, 3(2), 179-201. https://journals.sagepub.com/doi/abs/10.1177/1473325004043383
Larsson, S., & Sjöblom, Y. (2010). Perspectives on narrative methods in social work research. International Journal of Social Welfare, 19(3), 272-280.https://insights.ovid.com/international-social-welfare/ijsow/2010/07/000/perspectives-narrative-methods-social-work/3/00125820
Riessman, C. K., & Quinney, L. (2005). Narrative in social work: A critical review. Qualitative Social Work, 4(4), 391-412. https://journals.sagepub.com/doi/abs/10.1177/1473325005058643
Rudman, D.L. (2018, August, 24). Narrative inquiry: What's your story? [Video]. https://www.youtube.com/watch?v=rPyomRrBn_g
Shaw, J. (2017). A renewed call for narrative inquiry as a social work epistemology and methodology. Canadian Social Work Review, 34(2). https://www.erudit.org/en/journals/cswr/2017-v34-n2-cswr03365/1042889ar/
Writing@CSU, the Writing Studio: Colorado State University. (n.d.). Narrative inquiry. [Webpage]. https://writing.colostate.edu/guides/page.cfm?pageid=1346&guideid=63
For examples of narrative studies
Balogh, A. (2016). A narrative inquiry of charter school social work and the “No Excuses” Behavior Model. Columbia Social Work Review, 14(1), 19-25. https://journals.library.columbia.edu/index.php/cswr/article/view/1855
Klausen, R. K., Blix, B. H., Karlsson, M., Haugsgjerd, S., & Lorem, G. F. (2017). Shared decision making from the service users’ perspective: A narrative study from community mental health centers in northern Norway. Social Work in Mental Health, 15(3), 354-371. https://www.tandfonline.com/doi/abs/10.1080/15332985.2016.1222981
Lietz, C. A., & Strength, M. (2011). Stories of successful reunification: A narrative study of family resilience in child welfare. Families in Society, 92(2), 203-210. https://journals.sagepub.com/doi/abs/10.1606/1044-3894.4102
Chapter Outline
- Sharing your results (13 minute read)
- Sharing with an academic audience (16 minute read)
- Sharing with professional and lay audiences (8 minute read)
- Consuming research as professional development (16 minute read)
- The future of research is open (6 minute read)
Content warning: examples in this chapter contain references to drug use, overdose, and gun violence.
24.1 Sharing your results
Learning Objectives
Learners will be able to...
- Define dissemination, and apply the process of audience identification, location, and acquisition to your project
- Identify the limits of dissemination for your project, taking into account your ethical obligations and the input of your department and IRB
At this point, we expect that you have completed your project and are ready to share your results. This chapter will guide you through sharing your research with academic, professional, and lay audiences. Additionally, we will cover your future role as a consumer of research as part of evidence-based practice, and share techniques for integrating research into practice after you graduate. We'll also discuss some of the barriers students face in accessing information in the practice world.
Sharing it all: The good, the bad, and the ugly
Because conducting social work research is a scholarly pursuit and because social work researchers generally aim to reach a true understanding of social processes, it is crucial that we share all aspects of our research—the good, the bad, and the ugly. Doing so helps ensure that others will understand, use, and effectively critique our work. It also honors our ethical commitment to our profession and our research participants who shared their data with us. We considered this aspect of the research process in Chapter 6, but it is worth reviewing here as well. In that chapter, we learned about the importance of sharing all aspects of our work for ethical reasons and for the purpose of replication and verification of scientific findings. In preparing to share your work with others, and in order to meet your ethical obligations as a social work researcher, challenge yourself to answer the following questions:
- Why did I conduct this research?
- How did I conduct this research?
- For whom did I conduct this research?
- What conclusions can I reasonably draw from this research?
- Knowing what I know now, what would I do differently?
- What are the limitations of this project?
Understanding why you conducted your research will help you be honest—with yourself and your audience—about your own personal interest, investments, or biases with respect to the work. In Chapter 2, we suggested that starting where you are is an effective way to begin a research project. While this is true, starting where you are requires that, as a researcher, you be honest with yourself and your readers about your thoughts and biases on the issue and why you have chosen to conduct this research. Being able to clearly communicate how you conducted your research is also important. This means being honest and transparent about your data collection methods, sample and sampling strategy, and data analysis.
The third question in the list is designed to help you articulate who the major stakeholders are in your research. Of course, the researcher is a stakeholder. Additional stakeholders might include funders, research participants, or others who share something in common with your research subjects (e.g., members of some community where you conducted research or members of the same social group, such as parents or athletes, upon whom you conducted your research). Stakeholders may want to briefed on the results of your study. Often, researchers will offer access to the results as a benefit of participating in a project. In addition to these more informal venues, think about what formal outlets there are for your research.
The fourth question should help you think about what you found, the often tedious steps you took to make sure you followed the scientific method, and the resulting strengths of your study. Finally, the last two questions are designed to make you think about potential weaknesses in your work and how future research might build from or improve upon your work. Presenting your research honestly requires admitting the limitations of your study but arguing why the results are important anyway. All scientific studies contain limitations and are open to questioning.
Dissemination
Dissemination refers to “a planned process that involves consideration of target audiences and the settings in which research findings are to be received and, where appropriate, communicating and interacting with wider policy and…service audiences in ways that will facilitate research uptake in decision-making processes and practice” (Wilson, Petticrew, Calnan, & Natareth, 2010, p. 91).[191] In other words, dissemination of research findings involves careful planning, thought, consideration of target audiences, and communication with those audiences. Writing up results from your research and having others take notice are two entirely different propositions. In fact, the general rule of thumb is that people will not take notice unless you encourage them to do so.
Disseminating your findings successfully requires determining who your audience is, where your audience is, and how to reach them. When considering who your audience is, think about who is likely to take interest in your work. Your audience might include those who do not express enthusiastic interest but might nevertheless benefit from an awareness of your research. Your research participants and those who share some characteristics in common with your participants are likely to have some interest in what you’ve discovered in the course of your research. Other scholars who study similar topics are another obvious audience for your work. Perhaps there are policymakers who should take note of your work. Organizations that do work in an area related to the topic of your research are another possibility. Finally, any and all inquisitive and engaged members of the public represent a possible audience for your work.
Where your audience is should be fairly obvious once you think about it for a little while. You know where your research participants are because you’ve studied them. You can find interested scholars on your campus (e.g., perhaps you could offer to present your findings at a campus event); at professional conferences; and via publications, such as professional organizations’ newsletters (an often-overlooked source for sharing findings in brief form) and scholarly journals. Policymakers include your state and federal representatives who, at least in theory, should be available to hear a constituent speak on matters of policy interest. Perhaps you’re already aware of organizations that do work in an area related to your research topic, but if not, a simple web search should help you identify possible organizational audiences for your work. Disseminating your findings to the public more generally could take any number of forms: a letter to the editor of the local newspaper, a blog, or even a post or two on your social media channels.
Finally, determining how to reach your audiences will vary according to which audience you wish to reach. Your strategy should be determined by the norms or rules associated with each audience. For example, editors at scholarly journals provide author submission instructions that clearly define requirements for anyone wishing to disseminate their work via a particular journal. The same is true for newspaper editorials—check your newspaper’s website for details about how to format and submit letters to the editor. If you wish to reach out to your political representatives, a call to their offices or a simple web search should tell you how to do so.
Whether you act on any or all of these suggestions is ultimately your decision. But if you’ve conducted high-quality research and you have findings that are likely to be of interest to people besides yourself, I would argue that it is your duty as a scholar and a social worker to share those findings. In sum, disseminating findings involves the following three steps:
- Determine who your audience is
- Identify where your audience is
- Discover how best to reach them
Tailoring your message to your audience
Once you are able to articulate what to share, you must decide with whom to share it. While you would never alter your actual findings for different audiences, understanding who your audience is will help you frame your research in a way that is most meaningful to that audience. Certainly, the most obvious candidates with whom you’ll share your work are other social scientists. If you are conducting research for a class project, your main “audience” will probably be your professor. Perhaps you’ll also share your work with other students in the class or with family and friends.
What is more challenging, and possibly a little scary, is sharing your research with the wider world. Sharing with professional audiences is designed not only to bring your work to the attention of other social scientists and academics, but also other social workers or professionals who practice in areas related to your research. For example, scientists are probably the most interested in a study’s methods, particularly statistical tests or qualitative data analysis frameworks. Sharing your work with this audience will require you to talk about your methods and data in a different way than you would with other audiences.
Many outlets for sharing your research will not let you do so until your results have undergone peer review, which as you’ll remember from Chapter 3, is a formal process in which other esteemed researchers and experts ensure your work meets the standards and expectations of the professional field. Peer review is used for both conference presentations and journal publications, though not all presentations and articles are peer-reviewed. Scientists who evaluate your work will be looking to make sure that your conclusions follow logically from your data, your design minimized error and threats to validity, and your review and analysis of the literature is reasonable and thorough.
In my short career as a social work researcher, I've conducted two major projects. The first was on policies for individuals with intellectual and developmental disabilities (IDD) and the service delivery systems within Medicaid. After we completed the data analysis, we sought publication in academic journals related to our topic, like the Journal of Disability Policy Studies and Journal of Intellectual and Developmental Disability. In this way, our work would be shared more widely among other scholars and academics who study IDD and Medicaid policy.
Helpfully, these journals were also interdisciplinary. Why limit sharing our results to just social workers? Nurses, government administrators, client advocates, and countless others could make use of our data in their work. It is important for social workers to look outside the discipline when they share their results. Look back at your literature review and note the journal articles that commonly publish on your topic. Not only should you consider submitting your results to these journals, but you should consider subscribing to them (in print or electronically) to stay current on the literature in your topic area as part of evidence-based practice.
The second topic I've conducted research on is open educational resources (OER). This textbook is an example of OER, as it is a freely available resource that allows anyone to customize and redistribute the content. Along with some colleagues in the school of social work at Radford University, we set about measuring the impact of open textbooks like this one on student learning and also estimated textbook cost burden for students. Our target audience was social work educators, so we are targeting our dissemination to social work education conferences—covered in detail in the next section—and social work education journals like the Journal of Social Work Education and the Journal of Teaching in Social Work. Hopefully, our presentations and articles will bring closer scrutiny to the issue of textbook costs and OER as an alternative to costly, commercial textbooks, access codes, and other required resources.
Constraints for dissemination of student research products
Social work research accomplishes nothing if it does not affect the communities and populations being studied. This can pose a challenge for student projects, however, if they are not reviewed and approved by their institution's IRB. Without IRB approval, public dissemination of research findings cannot happen. Student projects are often granted certain exceptions from the normal IRB research review process, as the results are confined to the classroom. Just like you can talk about practice situations in a practice class, you can talk about your research in a research class. To disseminate publicly and truly impact the community, you should check with your professor and IRB to make sure that any dissemination you plan to conduct falls within the agreement between the IRB and the social work faculty teaching your class.
One of the key issues in dissemination of student research projects is confidentiality. While you are unlikely to purposefully give away information about who participated in your study, it is important to note the ways in which your audience may be able to identify participants in your research study. If your study examined experiences of men in social work graduate programs, it is likely your audience would assume your participants were from your university, and since social work is a heavily female profession, they could probably identify which handful of men in your program participated in the project. Even if you were to use more general language like, "this study was conducted with MSW students at a mid-sized public university in a rural area," your university affiliation and the characteristics of the community may make your data less confidential and more identifiable.
A similar problem exists with projects completed in collaboration with local agencies. Even if you were to present your study as conducted "at a local hospital" or something similarly vague, your peers and local audience may be able to decipher which hospital you conducted your study at. If your findings did not reflect well on the care or staff of that hospital, your study may unethically harm the community you studied. However, if these results were shared at a national conference, it may be more difficult to locate the exact hospital in which you collected your data. There are few hard-and-fast rules for balancing these issues.
Consult with your professor on the boundaries typical for student research projects at your school. They may also have specific venues at which you will disseminate your research, including student research conferences or symposia. Some schools also host university repositories which store theses. If your school requires you to write a formal thesis, you may be required or encouraged to share your work via the university repository. It's important to note that doing so will not impact your ability to publish your work in a journal, and it will assist with presenting your findings at a conference, as interested audience members can access your full work immediately.
In spite of these constraints, we encourage you to think of ways to bring public awareness to your findings. The next few sections will discuss presentations for academic, professional, and lay audiences. Without dissemination, your research project can seem like a futile and useless endeavor. Make your project count!
Key Takeaways
- Sharing your results starts with being honest with yourself about your project.
- Dissemination is as important as the rest of the project combined, as it is the public representation of each component of your project.
- There are a variety of potential audiences for your research projects, including other scholars, practitioners, clients, and community members. It's important to identify how to reach each of them to maximize the impact of your project.
- Student projects often have limitations that make them difficult to apply in the real world, as they must be conducted in a short time period with little money. Students must check with their department and the IRB before sharing their results with the public.
Exercises
- Identify your key audience(s): Where do they gather? How can you share your research with them? Sketch out a dissemination plan. If you don't share information about your project, how will anyone benefit from it?
- Discover what limitations on dissemination are placed on your project by the faculty and the IRB at your school.
- What limitations are there in your project that might impact how people could use your results in practice? How can you present your work honestly to others while still maximizing its impact?
24.2 Sharing with an academic audience
Learning Objectives
Learners will be able to...
- Identify potential academic outlets for sharing your research, including conferences and journals
- Differentiate between the types of presentations at academic conferences and which match best with student projects
The most immediate audience for your research project is your professor and your research methods class. We are not going to focus on this domain, as it is best handled by the professor at your individual institution. Check the syllabus and the prompt for this assignment, as well as any class notes the professor provided about the project. At my institution, Radford University, we require students to present their research project as part of a poster session to be rated by faculty as well as at a community event. Students are guided through the process of poster creation as part of their integrative seminar, and they are required to contextualize their findings within relevant social work theory, practice models, and social welfare policies. If you haven't gotten clear instructions on what to do with your project once it's done, now is the time to check in with your professor and double-check the course syllabus.
This section will cover presenting your findings to academic audiences outside of your immediate classroom. As previously stated, you must ensure that your IRB and social work department support public dissemination of your research products. Assuming this requirement has been met, let's introduce you to the academic social work research ecosystem. Addressing an academic audience means you will be talking with people who may (a) research the same topic as you (b) teach that topic (c) plan or administer programs that teach that topic. If these aren't important audiences for your project, you should read the following section with the purpose of understanding academic conferences as a consumer of information.
Social work education conferences
One of the many pieces of advice I received in my social work PhD program was to start attending social work research conferences. When you are in a graduate or doctoral program, the social work world can seem quite small—one department, one faculty, one academic building. Academic conferences provide you with the opportunity to see the immense scale of social work research and the innovations that are happening across the country and the world. Your first academic conference will likely be an eye-opening experience as you see the depth of research undertaken by academic researchers and researcher-practitioners in the field of social work. You will likely find a community of scholars who are doing incredible work and are supportive of your work as a researcher.
If you feel like academic conferences are only for senior faculty members with much more experience and expertise than you, I encourage you to reconsider that idea. Impostor syndrome never goes away, even for experienced researchers, so you may as well start dealing with it now by ignoring the voice in your head that tells you that you don't belong in room full of big-wigs. Student posters make faculty members happy, as they demonstrate the hard work of our students and our program. Don't be afraid to share what you accomplished! You may develop connections with researchers and practitioners to collaborate with in the future.
Table 24.1 provides a short overview of each academic social work research conference relevant to the United States context, as that is the authors' context. Information in this chart was correct as of Summer 2020 (pre-pandemic). Due dates often shift from year to year, so be sure to consult the website for each conference for the most current information or join the organization's mailing list. Websites for the international conferences listed below sometimes change from year to year and may be out of date past 2020. Social work faculty have collaboratively created a list of conferences from 2019-2021 that may also be of assistance.
Association & Conference | Website | When is it? | Proposals are due | Who attends? |
CSWE
Council on Social Work Education's Annual Program Meeting (APM) |
https://cswe.org/Events-Meetings | October or November |
February | Professors, students, administrators, academic and other formal researchers.
This is the largest conference in social work. |
SSWR
Society for Social Work and Research Annual Conference |
https://secure.sswr.org/ | January | April | Professors, students, and researchers.
This conference focuses on heavily on research rigor. |
BPD
Association of Baccalaureate Program Directors Annual Conference |
https://www.bpdonline.org/ | March | July | Professors, students, administrators, mostly from BSW programs.
This conference focuses on teaching and pedagogy. |
International Federation of Social Work (IFSW)
Social Work and Social Development Conference (SWSD) |
https://swsd2020.com/
(held every two years) |
July | November | Professors & researchers from international social work schools.
This conference and SWESD used to be the same. |
The International Association of Schools of Social Work (IASSW)
Social Work Education and Social Development Conference (SWESD) |
http://www.swesd2020.org/
(held every two years) |
July | December | Professors & researchers from international social work schools.
This conference and SWSD used to be the same. |
Our Lady of the Lake University Worden School of Social Service
Social Work Distance Education Conference (SWDE) |
http://www.ollusa.edu/swde/ | April | April | Professors & administrators from distance education (online) social work programs.
This conference is one of many sponsored by specific schools of social work. |
Influencing Social Policy (ISP)
MACRO Conference |
https://influencingsocialpolicy.org/ | May | February | Professors & policy practitioners.
This conference focuses on policy studies, research, and pedagogy. |
Types of conference presentations
Academic conferences use a few different presentation types to direct the interaction of participants and speakers. Some are more formal, like oral presentations. Others are more interactive, like workshops and roundtable presentations. Generally, most MSW students will choose to present a poster, though I have seen engaging and impactful student presentations of all types.
An oral presentation is probably what you think of when you think of a conference presentation. A person at the front of a room with some slides, talking about the results of a study. It is very similar to the presentations you would give inside of a classroom. Your university or social work department likely has a PowerPoint template they would like you to use when presenting at a conference. Doing so allows others to see where your work is from and allows your department and university to brand the research presented at conferences.
When preparing an oral presentation, it is very important to get details well in advance about the expected length of your presentation, and whether any visual aids such as video or slideshows are expected by your audience. At conferences, the typical oral presentation is usually expected to last between 20 to 40 minutes, though it will vary by conference. While this may sound like a tortuously lengthy amount of time, you’ll be amazed by how easily time can fly the first time you present formally. Researchers, myself included, can get so caught up explaining minute details that we don’t have enough time to thoroughly address the key conclusions of the study. To avoid this all-too-common occurrence, it is crucial that you repeatedly practice your presentation in advance—and time yourself.
One stumbling block in oral presentations of research work is spending too much time on the literature review. Keep in mind that with limited time, audience members will be more interested in hearing about your original work than a long list of previous studies to introduce your own research. While in scholarly written reports you must discuss the studies that have come before yours, in a presentation of your work, the key is to use what precious time you have to highlight your findings. Whatever you do in your oral presentation, do not read your paper verbatim. Nothing will bore an audience more quickly. Highlight only the key points of your study. These generally include your research question, your methodological approach, your major findings, and a few final takeaway messages.
This advice is also true for workshops. Workshops are interactive, hands-on presentations which teach the audience members new skills, so spending too much time in the literature and not on practical tools would be inappropriate. Often, workshops are structured to allow audience members to role-play with a new resource or to conduct group discussions or projects, modeling what would happen in a practice situation. Workshops are a good idea for student projects whose implications can be put into practice by educators or students. They also require careful planning insofar as selecting activities with which to engage your audience.
In less formal roundtable presentations of your work, the aim is usually to help stimulate a conversation about a topic. You’ll be expected to structure the conversation by providing discussion questions, background information, or practice examples. Roundtables are unlikely to use slideshows, but handouts are often used by presenters. Roundtables can be especially useful when your research is in an early stage of development. Perhaps you’ve conducted a pilot study and you’d like to talk through some of your findings and get some ideas about where to take the study next. A roundtable is an excellent place to get suggestions and to also get a preview of the objections reviewers may raise with respect to your conclusions or your approach. Roundtables are also suitable places to network and meet other scholars who share a common interest with you.
Panel presentations are also discussion-based but are more formal than roundtables. Panels are usually composed of experts on an issue. Each will give a brief statement of their expertise and opinion about a topic and participate in a conversation based on statements or prepared discussion questions. Panels often leave more time for audience engagement. Panelists often create an outline of key talking points to use and engage with the work of their fellow panelists, who often come from different perspectives or participate in projects related to the same topic.
Finally, in a poster presentation, you visually present your work. Just as you wouldn’t read a paper verbatim in a formal presentation, avoid at all costs printing and pasting your paper onto a poster board. Instead, think about how to tell the “story” of your work in graphs, charts, tables, and other images. Bulleted points are also fine, as long as the poster isn’t so wordy that it would be difficult for someone walking by very slowly to grasp your major argument and findings. Your university of social work department likely has a template they wish for you to use for poster presentations, so consult with your professor. Most poster presentations are e-posters, and you will stand in front of a television screen with up to three very large powerpoint slides you can cycle back and forth between. Poster presentations are often scheduled simultaneously, and people will spend time moving from poster to poster during each session. Some conferences still use paper posters. If this is the case at the conference you plan to attend, consult with your university's printing office or a local printing shop for assistance with printing large-format color posters. Posters are generally between three and five feet in width and height.
Posters, like roundtables, can be quite helpful at the early stages of a research project because they are designed to encourage the audience to engage you in conversation about your research. Don’t feel that you must share every detail of your work in a poster; the point is to share highlights and then converse with your audience to get their feedback, hear their questions, and provide additional details about your research.
Submitting a proposal
Depending on the conference, there may be a specific call for proposals (CFP) for students or only one CFP for both students and non-student researchers . If your research project was completed in collaboration with other researchers, be sure to reach out to them before you submit. It is best to have as many research team members present for a presentation as possible, but it may not be practical for all team members to join. Conference proposals and presentations should be included in the planned workflow of any project, and submissions should be approved by all relevant team members.
Conferences also vary in their requirements for submission, with some requiring only a few hundred words while others requiring a few pages of text. Usually, a research proposal can be easily adapted into a conference proposal with some minor tweaks. Be sure to follow the guidelines set out in the call for proposals, as reviewers will penalize you for straying outside of them. Proposal submissions are usually handled through an online submission system, and it is a good idea to write your proposal drafts in an external document and copy and paste them into the submission system. This way, you can use the spelling and grammar checking in your Word processor and the commenting and track changes feature in collaboration with any other research team members.
Submitting to a conference usually requires the author to indicate that they are planning to attend the conference. Presenters will have to pay a registration fee and often a membership fee to the association sponsoring the conference in order to present their work. Conferences often offer discounted student rates, and many further discount registration and membership fees for students who volunteer at the conference. Registration fees are cost barriers for students and faculty, though the money from conferences provides funding for important professional organizations.
To cover these expenses, ask your professor about grant opportunities within the university, community, or with professional organizations that support graduate student research dissemination. Unfortunately, with grant funds comes the complicated process of travel and reimbursement policies from universities. Many universities have contracts with travel agencies or restrictions on lodging, transportation, and other costs commonly incurred during conference travel. These requirements can be a pain and may require you to pay up front for various costs and get reimbursed by the institution, which is not possible for many students who are already economically strained from tuition and fees. These further perpetuate a cycle in which conferences privilege the knowledge of the well-off and well-positioned. I encourage you to pursue these supports for your research regardless, as there are ways to minimize the impact of these inequitable barriers. But it is important to be up front about them.
Writing a journal article
Presentations at academic conferences are a good outlet for student projects. Not only are you exposed to a wide range of other research from students, faculty, and researchers in the field, but presentations are relatively easy to get accepted in comparison to journal articles. Journals are more restrictive about what they will publish, as they have limited space for articles in the issues they publish each year. However, that should not stop you from submitting! One of the best experiences I had in my MSW program was submitting my thesis work as a journal article, which was a requirement to graduate. Even though my submission was ultimately given a "revise and resubmit" response from the reviewers, preparing a journal article felt different than preparing a paper for class. Everything felt more "real," like the paper would be read by more than just my professors.
If writing a journal article sounds like a lot of work, you would be correct. I do have some good news, though. As part of your research methods course, you have completed about 40% of your article already! Empirical journal articles, as we discussed in Chapter 3, have five sections—Introduction, Methods, Results, Discussion, Conclusion. Your research proposal covers the first two sections, the introduction and methods. While you will need to change the tense of your methods section from what you will do in your study to what you did do in your study, the majority of the content in your proposal can stay the same. Using the advice in Chapter 16 and Chapter 21, you should be able to write a coherent results section, though you may need to consult additional sources to cover more advanced data analysis techniques. All that is left is to contextualize your findings in the literature for your discussion section and discuss the key conclusions and implications of your study.
It is beyond the scope of this textbook to provide you a detailed guide to writing an academic journal article. There are number of books and guides available for help, though I haven't found any that I would recommend over others. Wendy Belcher, author of Writing Your Journal Article in Twelve Weeks: A Guide to Academic Publishing Success, offers her worksheets for writing a journal article for free on her website.
Instead of reviewing the steps of writing a journal article, let's focus on identifying the right journal to submit to. The first decision you will need to make is whether to submit to a journal that is specifically dedicated to students, such as the Columbia Social Work Review, or for special calls in journals for student research. Submitting an article to one of these venues means you will be competing against other students, and unfortunately, some researchers may be reluctant to cite work found in a student-authored journal.
If, on the other hand, you want to submit your article as any other researcher would, look at journals that often publish on your topic. Perhaps you want to publish in a journal that is cited often in your references. Your article will be in competition with articles from seasoned researchers. We suggest working with a faculty mentor who can help you fine-tune your article for publication. You may also want to reach out to other scholars who publish in your topic area and ask for assistance. They may suggest additional literature you did not find or offer edits to your content to better meet the expectations of journal reviewers. Once you submit a journal article, you will either receive a rejection or a "revise and resubmit". With the latter, the journal may accept your article if you make the suggested revisions.
As with conference presentations, if you have research collaborators, writing a journal article should be a collaborative endeavor. While you will need to find a journal that publishes in your area, note as well that journals are reluctant to publish highly similar articles. Your study should add something new to the journal's output as well as the literature more broadly. Each journal will have specific instructions on format, citation style, length, and other considerations. Be sure to attend to each and every detail. Incorrectly constructed and submitted articles are easy to reject.
While writing a journal article may seem impractical or unnecessary, I would encourage you to reconsider that. A publication in an academic journal is an excellent highlight on your resume, particularly if you are planning to continue into doctoral study or work as a social work researcher or policy/program analyst after graduation. If you made your project something important to you, your community, and the literature on your topic, it should be worthy of publication.
Do not let impostor syndrome stand in the way of your growth as a scholar.
Key Takeaways
- Student projects make for strong poster presentations, roundtables, and other forms of conference presentations.
- Impostor syndrome can get in the way of preparing your work for public consumption at a conference or in a journal.
- Both journals and conferences have specific rules for authors who want to submit and long timelines between submission and an acceptance or rejection.
Exercises
- Create a short list of potential conferences in social work as well as your area of interest in which you could present your research. Find the date and time for their next meeting as well as this year's or last year's call for proposals. Identify for which type of presentation you would submit a proposal.
- Create a short list of potential journals you could publish your results in. Consult with a faculty member on what steps might be needed to turn your research report into a publishable manuscript in one of these journals.
24.3 Sharing with professional and lay audiences
Learning Objectives
Learners will be able to...
- Identify audiences for your project beyond academia
- Discover opportunities for engaging the public about your research findings
Researchers should not limit themselves to sharing with academic audiences alone. Social work research exists to inform practice, and so sharing the results of your project with practitioners, clients, and other stakeholders is a necessary part of the research workflow. At minimum, engaging non-academic audiences means eliminating barriers to accessing your research products. Sharing conference presentations and papers in open access repositories democratizes access to knowledge. Your average clients and agency workers do not have money to pay for a journal article or registration fee for a conference. More than likely, to reach a practitioner or client group, you will need to share your work in multiple ways.
Practice-focused conferences
If your project is relevant to direct social work practice, consider sharing it at the National Association of Social Workers (NASW) conference in your state or at their annual national conference. Additionally, societies for clinical social work within states may provide opportunities to share your research, if it has clinical applications. If your work is more relevant to social workers leading human service agencies, consider sharing it at the annual Social Work Management conference. Even emerging areas within social work will have conferences, such as the Alliance for Social Workers in Sports.
You may also want to identify conferences that are in other disciplines or are transdisciplinary in orientation. For example, I presented the results of my research project on Medicaid waiver programs for people with disabilities at the Association of University Centers on Disabilities conference, which is attended by a diverse audience including interdisciplinary disabilities scholars, people with disabilities, advocates, and public administrators. Seek out information on national, state-wide, or regional conferences on your topic area.
In addition to presentations, you may consider sharing your results in a trade publications such as the New Social Worker magazine or the NASW News newsletter. As less formal outlets, they are more approachable for your lay practitioner and can link to more thorough documentation of your project. Other outlets for reaching a professional audience include creating continuing education classes around your topic and submitting them for approval with local and national licensing boards, or creating in-service trainings to be administered at local agencies or government offices.
Presentations to stakeholders
While it is important to let professionals know about the results of your research, it is important to identify stakeholders who would also benefit from knowing the study results. Stakeholders, as you'll remember from previous chapters, are individuals or groups who have an interest in the outcome of the study you conduct. Instead of the formal presentations or journal articles you may use to engage academics or fellow researchers, stakeholders will expect a presentation that is engaging, understandable, and immediately relevant to their lives and practice. Informal presentations are no less rigorous than formal presentations, but they do not follow a strict format.
For example, in my project on policy for people with intellectual and developmental disabilities, our team partnered with the National Resource Center on Participant-Directed Services (NRCPDS) to deliver a webinar summarizing our project findings. NRCPDS gathered a diverse audience of administrators, advocates, and service providers, and our results reached those who needed to hear about our study. Because these individuals were practitioners, their foremost concern was how to apply the results of our study in practice. They were also immensely knowledgeable about our topic, so representing conclusions with the humility required of a social scientist is prudent.
Hypothetically, I could have also addressed people with disabilities through the National Disability Rights Network. In this research project, people with IDD are my target population—the people for whom I want my study to have an impact. Providing these individuals with access to information about the programs designed to support them will support their self-advocacy for better and more responsive programs. Individuals in a state with relatively few benefits can point to programs from other states that have more robust programs as models for policymakers.
I stated earlier that scientists and academics may be the most interested in your study’s methods. That is only partially true. Advocates from your target population experience the issues you study every day. Because of that, they are immensely knowledgeable and will closely scrutinize your methods and results to make sure they accurately represent what happens in the real world. Indeed, this local and lived knowledge is why community-engaged research incorporates client and community perspectives in the creation of research projects. This stage of dissemination will look quite different for community-engaged projects, as stakeholders can better guide your dissemination to community members.
In addition to practitioners and clients, grant funders are an important stakeholder in research dissemination. Specifically, your grant funder will want you to discuss how your results fit with the goals of the grant program. They may also emphasize cost-benefit or cost-efficacy models, in which you demonstrate how money was spent and how the program creates a net positive effect from the funder's investment. It is important to use your program evaluation skills to properly meet the expectations for methodological rigor of a grant funder, though these should be distilled into a succinct executive summary or elevator pitch describing your project's impact.
In addition to funders, policymakers are often a key audience for social work research. Almost all social work research projects have policy implications, and outreach to policymakers should be integrated into the dissemination plan for research. Common policy practice skills apply, including targeting your efforts at different levels of government, key bureaus, or committee members and chairs to maximize impact. Messages to policymakers should be relevant and particularized to their jurisdiction and should make a concise and trustworthy case for policy change.
Presentations to the general public
While there are a seemingly infinite number of informal audiences, there is one more that is worth mentioning—the general public. I often say to my students that social work involves working in the areas of the social world that others do not want to see. Part of our job as social workers is to shine a light towards areas of social injustice and raise the consciousness of the public as a whole.
Researchers commonly share their results with popular media outlets to reach a broader audience with their study’s conclusions. University relations offices can sometimes make these connections for researchers, while on smaller campuses, professors may reach out to local journalists directly to talk about their work. Researchers may also consider publishing their results in a blog post or via social media. These require a public presence for authors, and it is a good idea for student and faculty researchers to build a personal website through which people can engage with your work.
Engaging with the public differs from engaging with academic or professional audiences. As noted elsewhere, knowing your audience is crucial when preparing a research report. What are they likely to want to hear about? What portions of the research do you feel are crucial to share, regardless of the audience? What level of knowledge do they have about your topic? Answering these questions will help you determine how to shape any written reports you plan to produce. In fact, some outlets answer these questions for you, as in the case of newspaper editorials where rules of style, presentation, and length will dictate the shape of your written report.
Whoever your audience, don’t forget what it is that you are reporting: social scientific evidence. Take seriously your role as a social scientist and your place among peers in your discipline. Present your findings as clearly and as honestly as you possibly can; cite appropriately the scholars whose work your project builds on, even while you raise questions about their work; and aim to engage your readers in a discussion about your work and about avenues for further inquiry. Even if you won’t ever meet your readers face-to-face, imagine what they might ask you upon reading your report, sketch out your response, and provide some of those details in your written report.
Public social work scholarship
In this chapter so far, we reviewed how you might share the results of your project outside of the classroom. A recent section in the Journal of the Society for Social Work Research was dedicated to "public interest scholarship," and reading through it might give you some innovative ideas for how to disseminate your work to the public. You'll also encounter the ethical arguments for why public engagement is a necessary part of being a social work scholar. We encourage students to pursue public scholarship, outside of the grades in a classroom, because social work is a necessarily public and applied research discipline. Social work research exists to inform action to address social issues, and disseminating findings is a key component of ensuring competent practice and fostering social change. As you think about dissemination for your project, consider the following questions:
- What academic and research conferences are relevant to your topic?
- Which journals publish in your topic area? Which journals appeared often in your literature review?
- What interdisciplinary conferences and meetings are relevant to your topic?
- What stakeholders would find your research conclusions relevant?
- Who is your target population? What media do they consume?
- What popular media would find your research relevant or interesting? Can you trust them to report your results responsibly?
- How can I make my scholarship openly accessible to all audiences, regardless of ability to pay or professional status?
Key Takeaways
- Social workers should make their research findings applicable to audiences beyond academia and tailor their message to what each audience would most want to know.
- Public interest scholarship involves moving beyond papers and presentations to find new ways of engaging audiences.
Exercises
- Identify three potential community sites that could make use of the findings in your research project. How might you get their attention and in what format might you disseminate your research findings to them? Remember, not everyone is going to take an hour out of their day to listen to an oral presentation.
- Create a dissemination plan that incorporates your classroom, program, community, as well as broader academic and client audiences.
24.4 Consuming research as professional development
Learning Objectives
Learners will be able to...
- Construct a model of professional development and lifelong learning that draws from both informal and formal learning opportunities
- Identify and engage with knowledge streams that are relevant to your area of practice
At the beginning of the semester, I usually ask my students to raise their hand if they plan to become a social work researcher or a social work practitioner. You can guess how that goes. Most of you will not become social work researchers. But you will use what you've learned in the class during your practice. Returning to the concepts from Chapter 1 on evidence-based practice, you will need research skills to conduct research on the impact of policies and interventions on clients and communities. You'll also need to consume research in order to stay up to date on the latest innovations and developments in your area of practice, regardless of whether you are a clinician, a manager, or a policy practitioner.
Remember, research is a tool for social justice. It uses the scientific method to dismantle stereotypes and identify strengths and needs for groups. Interpretive and critical research has the added benefit of giving a voice to marginalized or oppressed groups. Consuming research may involve staying attuned to the local, state, and national news items on policies and events that may impact vulnerable communities, and engaging in public scholarship, agency-based services, community organizing, or political social work to address them. Evaluating your own programs, as well as the programs and policies that govern your communities and social welfare services, can give voice to the least powerful at those organizations. Indeed, social work research can establish that there is a need for services in a given area or demonstrate how services can be better targeted or funded.
Let's talk a little more personally about research and education post-graduation. Maybe you came into school with the expectation that you would learn everything you need to know in order to practice social work. Now that you're in your program, you've probably realized that while your graduate education will provide a foundation of social work knowledge, you will have to engage in a lifelong process of learning about the communities and issues you address in practice. For clinicians, you are probably looking for more applied trainings in therapeutic interventions. For managers and policy practitioners, perhaps you are looking for training in administration, supervision, and program planning.
Ask your supervisors how they stay up to date on research evidence for their practice. Chances are, they have a number of networks and platforms they use to stay in touch with the scientific advancements in their specialty area . Research engagement for practitioners falls under the broader umbrella of professional development, or the "uptake of formal and informal learning opportunities that deepen and extend...professional competence, including knowledge, beliefs, motivation, and self-regulatory skills" (Richter, Kunter, Klusmann, Lüdtke, & Baumert, 2014).[192] This informal/formal distinction will structure the rest of this section.
Informal professional development
Evidence-based practice, in a deeper sense, is a commitment to lifelong education. That doesn't mean you will need to be in a classroom forever, or even that you will attend formal academic or professional conferences. It means you nurture your desire to grow intellectually and learn more about your practice and the issues that impact the communities you work with. For social workers, this means setting up knowledge streams through which you receive and consume information about the world. Think about how you currently receive information about your community, practice area, and the broader world. Perhaps you watch television news shows or follow a news organization on social media.
Informal professional development is built around two things: the drive for lifelong learning and knowledge streams that provide trustworthy information. Once you identify which sources you can trust and which provide consistently relevant information, you can spend an evening on the couch reading through what you find to be interesting. No one keeps track of informal development, and you certainly don't get paid for it. The reward is internal, feeding the part of you that wants to learn more and knowing that your clients and community will benefit by you committing to lifelong learning.
You are a part of a community of practitioners working in your practice domain, so dipping into the professional news stream allows you to benefit from what others create, collect, and share. Probably the easiest stream to dip into is email. Wait, keep reading! No one likes more junk mail, but dedicating part of your inbox to professional development can be helpful (especially if you assign it a special folder so it doesn't clog up your normal inbox). Once every few days, you can take a peek at your professional development email folder and scan news items to see areas of urgent concern or file away longer readings for a rainy day. For many, getting useful emails begins by subscribing to the email list for the local chapter of NASW. If you are in an area of specialization—clinical social work, political social work, domestic and sexual violence—there are likely advocacy or professional organizations on the national and state level that also send regular email newsletters. These may also list announcements for jobs, grants, conferences, policy changes, or research articles of interest, so signing up can benefit you in other ways, as well.
We've already talked about conference travel. To the extent conference travel is not sponsored by your employer and does not count towards formal professional development requirements (e.g., clinical licensure), learning at conferences falls under informal professional development. We also spoke about journal articles. Based on the skills you learned back in Chapter 3, you should be adept at finding literature relevant to a given practice situation. Unfortunately, you will likely lose access to the academic databases like EBSCOhost, JSTOR, and others once you graduate. The reality is that over half of your university library's budget goes towards subscriptions to academic databases and journals (Enis, 2018).[193] You should consider subscribing to journals in the area of your specialty. However, it is not feasible to subscribe to all of the journals that cover your topic and the communities with whom you work.
Instead of subscribing to the print edition of a lot of journals, join email lists for each journal relevant to your area of practice so you can browse the titles and abstracts of new publications in your areas of interest. You can also use Google Scholar to set up alerts for topics of interest to you and get an email each week or each month with a collection of potentially relevant articles to browse. If you find an article that you would benefit from reading, there are a few options to get access to it for free. The first is to search for the full-text on Google Scholar. The best-case scenario is that the article is open access, so you can read it for free. Unfortunately, most articles cost at least $25 to access, sometimes much more. If the author has embraced open sharing practices but published in a traditional journal, they may have deposited their article in an institutional repository at their university, in a disciplinary database, or on their personal website. We will cover these practices in greater detail in section 24.5, and it is important to note that journal article paywalls replicate and exacerbate existing inequities in the social work practice world. Assuming the article is not open access, we reviewed strategies for getting around paywalls in Chapter 4. Once you graduate, you will want to augment those strategies by including:
- Do a traditional web search and see if there is a PDF copy available via a university, professional, or for-profit repository (more information on for-profit platforms below).
- Email the author using their contact information on the university website and ask for a free copy of the article. Or use one of the services we mentioned in Chapter 4 (like the OA button) to identify and ask for open access versions of the article.
- Ask a student or professor affiliated with a university library to share a copy with you. If you are able, visit the university library in person. You should be able to use a public computer to browse their databases. You may also want to check with your local public library to see if they can get you what you need via inter-library loan
As you look around for articles on the internet for articles, you likely have come across services for-profit repositories like Academia.edu, ResearchGate, and the Social Science Research Network (SSRN). Authors often share their work via these platforms. When you do a normal Google search for articles on your topic, links to the full-text on these may appear. Often, these services require you to create an account before accessing articles, though access is usually free after signing up. Much like social media platforms that are free to use, these platforms stay in business by monetizing information about their users. That may sound scary, but there is a tradeoff for using free services run by for-profit entities. If you are not paying with money, you are paying with information about yourself. Don't share anything with free platforms that you don't want included in an advertising and marketing profile about yourself, and consider using privacy extensions like uBlock and Privacy Badger to minimize how companies track your browsing and personal information.
If you find an author who publishes a lot on your topic and has shared their work on a given platform, considering following that author on Researchgate or Academia.edu (whichever platform they use) so you can receive updates when they publish new work. You can also browse older editions of their work and see who they follow, tapping you into their community of practice. Social media platforms provide a great opportunity to follow scholars that are important to you. I suggest using a separate professional account on each platform, creating a clear boundary between what you share with friends and family and what you share with professional networks. Aside from the ethical considerations, it is nice to have a compartmentalized social media feed that is dedicated to professional development. Specifically, Twitter has been a consistent source of outstanding professional development opportunities for me as a social work educator. Twitter's flat nature means you can interact directly with people interested in the same topics through commenting and retweeting. See this amazing social work pedagogy book which was written using networks developed on Twitter. You can also branch out from the few authors you know and build a feed of social media news by looking at people you follow and following similar people and organizations as they do. Many authors also have personal websites you can visit and may offer email updates when they have news to share.
Building a professional development social media stream goes beyond following individual authors. Odds are that organizations in your service area have social media accounts that provide news and updates. Additionally, national and state advocacy groups make excellent additions to your social media stream. They will direct you to new research. My favorite example is @myharmreduction, Dr. Sheila Vakharia, on Twitter. She is the Deputy Director of the Department of Research and Academic Engagement at the Drug Policy Alliance, so her job is to be a public intellectual—sharing new research, conversing with other scholars and the general public. I follow that organization on Twitter, as well, and followed practitioners and administrators at harm reduction agencies in the new city I moved to. Find the organizations that work on issues you care about, whether they are client advocacy groups, policy think-tanks, etc. Following your local newspaper and television news organizations on Twitter can also keep you up to date on community events that might impact your practice. Beyond this, you can set up Google News alerts for news topics relevant to your area of practice. My wife has recently started a job serving survivors of gun violence. She has a news alert for gun violence within her service area, so she can know which schools to engage in case they do not have existing relationships with the administration and would not have otherwise heard about the violent incident.
There are many ways to consume information while in practice. This section reviewed a few of them, and you should spend some time over the break between semesters exploring how to set up effective streams of information for informal professional development. Think about what you feel like you want to spend your life learning more about or what you might want to learn more about for next year's field placement.
At its most basic, informal professional development involves engaging with the following streams:
- Email lists
- For-profit research article sharing platforms
- Social media platforms
And following these sources of information:
- Faculty and practitioners who publish research
- Public scholars and intellectuals
- Academic journals
- Social work organizations
- Advocacy organizations
- Community organizations
- Local news
Formal professional development
While informal professional development follows your interests wherever they take you, formal professional development is much more structured. For those of you who are planning to seek social work licensure, you will have to accrue a minimum amount of continuing education units (CEUs) to keep your license active. CEUs are available from a number of different sources. You can find them online from for-profit vendors, and you may be able to find ones that overlap with your area of interest. Your local university's social work program likely offers some CEUs for social workers in practice. CEUs are also usually available for professionals who attend academic or professional conferences. Mandatory CEUs are usually dedicated towards less interesting topics like policy compliance and liability, and may not encourage authentic engagement with lifelong learning, as in informal professional development. Some states offer licenses with specifications, for example, in substance abuse practice. If you plan to specialize your practice and seek additional licensure or certification, consult with your state board of licensing on the CEUs required for that level of practice.
Unfortunately, formal professional development is often structured by ability to pay. In-person trainings require practitioners to take off of work, pay an admissions fee, and find childcare in order to learn more about their practice area. Social work agencies, to some degree, build in the cost of training their employees into their operating budgets and will sponsor some of their employee's development costs. Of course, the variation in employer contributions reflects and reifies the existing inequities between resource-poor organizations and those that are better funded. Social work students on the job market should consider whether the organizations they apply for will pay for things like clinical supervision towards licensure, specialized training in therapeutic modalities, conference attendance, and professional membership dues. While it is unlikely that all of these costs will be absorbed by your employer, covering some of them is a signal that your agency values the growth of their employees and are dedicated to the improvement of their programs.
Another source of formal training associated with employers are in-service trainings. Rather than seeking out external venues for research engagement, your agency or other agencies in the community may bring in trainers to educate you on new research or train you in a specific therapeutic technique. For example, my home state of Virginia regularly hosts naloxone trainings to reverse overdoses. Anyone who attends the training is given naloxone and educated on how to revive someone who has overdose on opiates. This is a relatively short training, like a CPR certification. Practitioners can become a naloxone trainer by attending a "train the trainer" training, allowing them to train community members.
Your agency may also require you to be trained or certified in a specific modality through a formal organization. For example, if your agency is planning to start a program related to counseling of child survivors of trauma, they may send you to a trauma-focused cognitive behavioral therapy training to be certified in that modality. Certification courses are often offered online or in hybrid format to allow practitioners to fit them in around their schedule. Certifications and trainings are also structured by what government and private funders require as part of their grants. In the best case, your grant may require that your agency invest in training in an evidence-based treatment modality and build those costs into the grant's budget. In the worst case, a government or private sponsor may declare that only specific evidence-based treatments will be allowed and not provide enough money for agencies to train employees, an unfunded mandate.
Your MSW education will provide you with the basic knowledge you need to engage in formal professional development. Using what you know about the basics of theory and practice, for example, you can engage in more specific training on clinical interventions and evidence-based practices relevant to your area of practice. While we have focused mostly on clinical social work in this section, the same ideas apply for formal professional development in macro and management social work positions. There are training organizations that can provide certifications in risk management or advocacy related to a specific topic, and your agency or funder may require you to undergo specific training courses as part of your agency's accreditation or the management of grant funds.
In summary, formal professional development is comprised of the things you would put on a resume. They are formal courses, certifications, and trainings approved by universities, licensing boards, or other organizations that indicate you have achieved a level of competence and mastery of a skill or domain of practice. Using the networks you cultivate in your informal professional development and those from your agency, you will be able to build your resume and acquire the training you need to excel in your current position and beyond.
Key Takeaways
- Professional development is the education that practitioners receive after graduation. It is an important part of evidence-based practice and the spread of innovation in social work.
- Informal professional development involves engaging with trustworthy and reliable sources of knowledge across platforms, usually email, article repositories, and social media.
- Formal professional development is required for clinical social workers and many other practice specialties. Consider the development opportunities and supports of any potential social work employer.
Exercises
- Think about what you still want to learn more about after you graduate. Research formal professional development opportunities and certifications that will teach you what you want.
- Create a professional social media account and start building a social media stream for professional development. Research email lists relevant to your area of practice by browsing the web and asking existing practitioners. Create a folder in your email account (or a separate professional email account) for these subscriptions.
24.5 The future of research is open
Learning Objectives
Learners will be able to...
- Define open access and open science and describe how they impact social justice
- Reflect on the ways in which lack of access to scientific data and methods impacts social work practice and research
This textbook is free and openly licensed for a reason. As a writing team, our project models the vision for knowledge sharing and production we want to see in the world. The future of social work research should be as open as possible—enabling access and transformational engagement with knowledge needed to fulfill the mission of our profession. In this concluding section, we will discuss open access and open science as the building blocks of a more equitable and inclusive social work research arena.
Open access & open science
Embracing open practices can facilitate the creation of practitioner-researchers. Open access brings the promise of immediate, free access to research evidence contained in journal articles. Open access is about more than evidence and results but the advances in theory, methodology, and others that result from increasing access to knowledge. Practically speaking, all but the most recent research can be archived in a repository like Socarxiv or a university repository under publisher's open access policy (Pendell, 2019).[194] Self-archiving, as a practice, would provide immediate public access to print-ready copies of journal articles. Open access is an ethical mandate, and social work's near-total rejection of it renders most social work scholarship invisible to graduates, practitioners, and anyone unaffiliated with a well-funded university library. The ethical mandate to share research and resources free of cost can be almost entirely fulfilled with minimal effort by researchers today under existing open access policies of traditional journals as well as open access journals. All researchers would need to do is deposit a manuscript for each article they have published or plan to publish in the future.
Under the Open Science Framework (OSF), papers in SocArXiv can point directly to a project site created by the researchers to house data, instruments, and methods. Ideally, this project page would house auditable research data, instruments, and procedures. This is the promise of open science—replication, verifiability, and collaboration. OSF projects are designed to house all but the most sensitive class of data and resources in a cloud storage that can be privately shared among collaborators or publicly available. Researchers choose which components of their project, if any, should be publicly available as the project transitions towards dissemination.
Integrating openness into the practice of social work research requires a revision of the timeline for publication. The general rule is "as open as possible, as closed as necessary." Openness is certainly not of greater value than confidentiality, anonymity, and the protection of research participants and clients. However, working within existing ethical boundaries, there are many possibilities for open sharing.
Corker (2021)[195] provides a detailed open science workflow—from project planning through sharing your results—for graduate students and early career researchers. This may sound advanced, but the instructions and background she provides is exception in its depth and ease of understanding.
- Pre-registering hypotheses and publishing registered reports of the study's methods and measures.
- This helps make sure researchers do not change their hypotheses or procedures to match their data or selectively report the results that support their hypotheses.
- Creating project documents and using storage practices that protect confidential information and clearly differentiate between content that is appropriate for public view and that which must remain with the research team. This includes providing clear documentation of how data were collected, cleaned, and analyzed, including a codebook and the computer code for quantitative analyses.
- Researchers share their data so other researchers can ensure it was analyzed correctly, propose new questions and conduct new analyses, and incorporate the data with similar studies and conduct a meta-analysis.
- Using open copyright licenses (e.g., Creative Commons licenses) in sharing the data, study information, and journal articles by publishing open access.
- Facilitating a community discussion using social media, collaborative annotation, and other open platforms through public interest scholarship.
- Archiving conference presentations, reports, and other products that translate research for different audiences.
It is worth considering how open science practices may be used to integrate science and social work in a more meaningful way. First and foremost, it would eliminate the paywalls that render most research relevant to social workers inaccessible. At the same time, agency-based data is also inaccessible to both researchers and other practitioners. It is shared with grant funders, board members, and administrators, but not in a way that invites secondary analysis. Given that most schools of social work continue to use expensive statistical software such as SPSS and SAS, rather than free, open source software like R, the production of social work research knowledge remains structured by ability to pay. Using open practices, social work agency-based practitioners can create and share information about outcomes and processes, engage in immediate dialogue with the research literature, and collaborate on joint implementation projects.
In this way, open practices also have the potential to further bridge the gap between academic and practice realms. As another example, the core team behind this textbook are social work researchers, both in academia and in non-profit or government research institutions. This authorship structure is intentional. It introduces the role of researcher to students as a visible arena of social work practice, and it helps our materials be relevant outside the classroom to real social work research practitioners. Sharing resources and data openly facilitates this collaboration across academia and practice realms. Open licenses are an invitation to collaborate, to build off the work of colleagues.
Collaboration and cooperation are not guaranteed, though. Open licenses are not a silver bullet and they require participation and stewardship by community members. Even if open practices were perfectly adopted overnight—granting access to the knowledge in textbooks, journal articles, trainings on evidence-based interventions, and research data to anyone, regardless of ability to pay—the culture that drives people to share their work emerges from the actions of practitioners. Social workers, as public intellectuals and scholars, must reach beyond traditional boundaries to make social work research more accessible and participatory.
We hope that our work in this textbook has laid a foundation for the integration of research roles into your current or future social work practice. We aimed to demystify research, alleviate research anxiety, and engage students in an authentic research project relevant to their lives and future practice. We hope that your project has provided you the opportunity to build research skills that you will integrate into your life. Finally, we hope you can accept the role of lifelong scholar, dedicated to creating and engaging with knowledge relevant to your practice and life. You have the power to create knowledge and use it to transform the world. Understanding social work research means you can help people understand the lives of your clients and communities and how best to help them, fighting the many stigmas and oppressions our clients face every day.
Key Takeaways
- Open research practices have the potential to ensure access to all scientific research for anyone, regardless of ability to pay.
- Researchers should build open practices into existing research workflows, allowing their work to be accessed, replicated, audited, and transformed by other scholars.
Exercises
- Look at your data and methods. Determine which elements can be ethically shared with the public and which have to remain confidential. Apply the maxim: "as open as possible, as closed as necessary." Familiarize yourself with the rules for sharing of research data created by your IRB as well as any applicable laws like FERPA and HIPAA.
a type of experimental design in which participants are randomly assigned to control and experimental groups, one group receives an intervention, and both groups receive pre- and post-test assessments
An experimental design in which one or more independent variables are manipulated by the researcher (as treatments), subjects are randomly assigned to different treatment levels (random assignment), and the results of the treatments on outcomes (dependent variables) are observed
Chapter Outline
- Case study (12 minute read)
- Constructivist (9 minute read)
- Oral history (10 minute read)
- Ethnography (8 minute read)
- Phenomenology (9 minute read)
- Narrative (9 minute read)
Content warning: Examples in this chapter contain references to research as a bullying, housing insecurity, suicide, environmental oppression, race and access to leadership, older adult residential care, LGBTQ+ rights, immigration experiences, the lived experience of being a Person of Color in the United States, case management, discrimination, having a chronic disease or condition, HIV, religion, and sex work.
Qualitative inquiry reflects a rich diversity of approaches with which we can explore the world. These approaches originate from philosophical and theoretical traditions that offer different strategies for us to systematically examine social issues. The placement of this chapter presented challenges for us. In many respects, your choice of design type is central to your research study, and might very well be one of the first choices you make. Based on this, we had considered leading off our qualitative section with this chapter, thereby exposing you to a range of different types of designs. Obviously, we had second thoughts. We ended up putting it at the end because we realized that if we opened up with this part of the discussion, you really wouldn't have the background information to help you make sense of some of the differences between the various designs. Throughout our exploration of qualitative design thus far, we have discussed a number of decision points for you to consider as you design your study. Each of these decisions ties into your research question and ultimately will also be informed by, and help to inform, your research design choice. Your design choice truly reflects how these design elements are being brought together to respond to your research question and tell the story of your findings.
As we discussed in Chapter 19, qualitative research tends to flow in an iterative vein, suggesting that we are often engaged in a cyclical process. This is true in the design phase of your study as well. You may revisit preliminary plans and decide that you now want to make changes to more effectively address the way in which you understand your research question or to improve the quality of your overall design. Don't beat yourself up for this, this is part of the creative process of research! There is no perfect design and you are much better served by being a dynamic and critical thinker during the design process, rather than rigidly adhering to the first idea that comes along. We will now explore six different qualitative designs. Each will just be a brief introduction to that particular type of research, including what the main purpose of that design is and some basic information about conducting research in that vein. If you are interested in creating a proposal using a particular design, a number of resources and example studies are provided for each category.
Exercises
Below is a brief checklist and justification questions to help you think about consistency across your qualitative design. When you have finished this chapter, come back to this exercise and see if you can complete this as it applies to your proposal.
- Is my research question a good fit for a qualitative approach?
- If yes, explain why this is:
- If no, consider a quantitative approach, or revising your research question so it is a better fit.
- Is my research question a good fit for the specific qualitative research design I have chosen?
- If yes, explain why this is:
- If no, explain why not, and what approach you might consider as an alternative:
- If you're not yet sure about which design you might choose, review the ones discussed in this chapter and consider what the value/purpose of each of them is. Which one seems like the best match for your question? (if you still aren't sure, it might be good to consult with your professor)
22.1 Case study
Learning Objectives
Learners will be able to...
- Begin to distinguish key features that are associated with case study design
- Determine when a case study design may be a good fit for a qualitative research study
What is the purpose of case study research?
We've already covered that qualitative research is often about developing a deep understanding of a topic from a relatively small sample, rather than a broader understanding from the many. This is especially true for case study research. Case studies are essentially a 'deep dive' into a very focused topic. Skeptics of qualitative research often discount the value in studying the experiences and understandings of individuals and small groups, arguing that this type of research produces little value because it doesn't necessarily apply to a large number of people (i.e. produce generalizable findings). Hopefully you recognize the positivist argument here. These folks are likely to be unimpressed with the narrow focus that a case study adopts, suggesting that the restricted purview of a case study has little value to the scientific community. However, interpretativist qualitative researchers would counter that by thoroughly studying people, interactions, events, and the context in which they occur, researchers uncover key information about human beings, social interactions, and the nature of society itself. Remember, from this interpretative philosophical orientation we are not looking for what is "true" for the many, but we are seeking to recognize and better understand the complexity of life and human experiences; the multiple truths of a few. Case studies can be excellent for this!
Part of the allure of case studies stem from their diversity. You might choose to study:
- Individuals, such as a client with a unique need or a social worker with a unique position
- Small Groups, such as a newly formed anti-bullying student task force at a school
- Population (usually relatively small), such as the residents of a subsidized housing community that are losing their homes in a gentrifying area
- Events, such as a member of a senior center dying by suicide
- Process, such as a community organizing entity targeting a local ordinance allowing waste storage in a community with few socioeconomic resources
If we choose to utilize a case study design for our research, the use of theory can be incredibly helpful to guide and support our purpose throughout the research process. The Writing Center at Colorado State University offers a very helpful web resource for all aspects of case study development, and one page is specifically dedicated to theoretical application for case study development. They outline three general categories of theory: individual theories, organizational theories, and social theories, all of which case study researchers might draw from. These are especially helpful for us as social work researchers,who may focus on research across micro, mezzo, and macro environments (as evidenced in the aforementioned case study examples). For instance, if you are the researcher in the last example, looking at community members challenging a local ordinance, you might draw on Community Organizing Theory and Capabilities Perspective to structure your study. As an alternative, if you are studying the experience of the first Black woman board president of a national organization, you might borrow from Minority Stress and Strengths Perspective as models as you develop your inquiry. Whatever your focus, theory can be an important tool to aid in orienting and directing your work.
What is involved with case study research?
Due to the diversity of topics studied and types of case study design, no two case studies look alike (just like snowflakes). For this reason, I'm going to focus this section on some common hallmarks of case studies that will hopefully help you as you think about designing and consuming case study research.
As the name implies, our emphasis with case study research is to provide an understanding of a specific case. The range of what qualifies as a case is extensive, but regardless, we are primarily aiming to explore and describe what is going on in the given case we are studying. As case study researchers, this means we need to work hard to gather rich details. We aren't satisfied with surface, generic overviews or summaries, as these won't provide the multidimensional understanding we are hoping for. Thinking back to our chapter on qualitative rigor, a case study researcher might aim to produce a thick description with the details they gather as a sign of rigor in their work. To gather these details, we need to be open to subtleties and nuances about our topic. If we are expending the energy to study a case in this level of detail, the research assumptions are that the case could provide valuable information and that we currently know relatively little about this case. As such, we don't want to assume that we know what we are looking for. This means that we need to build in ways to capture unanticipated data and check our own assumptions as we design and conduct our study. We might use tools like reflexive journaling and peer debriefing to support rigor in this area.
Another good way to demonstrate both rigor and cultural humility when using this approach is engage stakeholders actively throughout the research process who are intimately involved with the case. This demonstrates good research practice in at least two ways. It potentially helps you to gather relevant and more meaningful data about the case, as a person who is connected to the case will likely know what to look for and where. Secondly, and more importantly, it reflects transparency and respect for the subjects of the case you are studying.
Another key feature of most case studies is that they don't rely on one source of data. Again, returning to our exploration of qualitative rigor, triangulation is a very important concept for case study research. Because our target is relatively narrow in case study design, we often try to approach understanding it from many different angles. As a metaphor, you might think of developing a 360° view of your case. What level of dimensionality can you introduce by looking at different types of data or different perspectives on the issue you are studying? While other types of qualitative research may rely solely on data collected from one method, such as interviews, case studies traditionally require multiple. So, in the example above where you are studying the residents of a subsidized housing community that are losing their homes in a gentrifying area, you might decide to gather data by:
- Conducting interviews with residents
- Making observations in the community
- Attending community meetings
- Conducting key informant interviews with clergy, educators, human service providers, librarians, historians, and local politicians who serve the area
- Examining correspondence that community members share with you about the impending changes
- Examining media coverage about the impending changes
Furthermore, if you are invested in engaging stakeholders as discussed above, you could form a resident advisory group that would help to oversee the research process in its entirety. Ideally this group would have input into how results are shared and what they would hope to gain as a result of the study (i.e. what kind of change would they like to see come from this).
Case studies can often draw out the creativity in us as we consider the range of sources we may want to tap for data on our case. Of course, this creativity comes at a price, in that we invite the challenge of designing research protocols for all these different methods of data collection and address them thoroughly in our IRB applications! Finally, with the level of detail and variety of data sources we have already discussed, case studies endeavor to pay attention to and provide a good accounting of context. If we are working to provide a rich, thick description of our case, we need to offer our audience information about the context in which our case exists. This can mean that we collect data on a range of things that might include:
- the socio-polticial environment surrounding our case
- the background or historical information that preceded our case
- the demographic information that helps to describe the local community that our case exists in
As you consider what contextual information you plan to gather and share, stay fluid. Again, it is likely that we won't know in advance the many contextual features that are reflected in our case. If you are doing a good job listening to your participants and engaging stakeholder in your process, they will tell you what is important to note. As social workers, we draw on a person-in-environment approach to help us conceptualize the ways in which our clients interact with the world around them and the challenges they encounter. Similarly, as researchers, we want to conceptualize case study-in-environment as we are developing our case study projects.
Key Takeaways
- Case studies offer an effective qualitative design when seeking to describe or understand a very specific phenomenon in great detail. The focus of a "case" can cover a range of different topics, including a person, a group, an event or a process.
- The design of a case study usually involves capturing multiple sources of data to help generate a rich understanding of both the content and the context of the case.
Exercises
Based on your social work passions and interests:
- What is a specific topic you feel might be well-suited for a case study?
- What potential sources of data would you use for your case study?
- What sorts of contextual information would you want to make sure to search for to get a really comprehensive understanding of your case?
Resources
To learn more about case study research
Baxter, P., & Jack, S. (2008). Qualitative case study methodology: Study design and implementation for novice researchers.
Gibbs, G.R. (2012, October, 24). Types of case studies: Part 1 of 3 on case studies.
Gibbs, G.R. (2012, October, 24). Planning a case study: Part 2 of 3 on case studies.
Gibbs, G.R. (2012, October, 24). Replication or single cases: Part 3 of 3 on case studies.
Harrison et al. (2017). Case study research: Foundations and methodological orientations.
Hyett et al. (2014). Methodology or method? A critical review of qualitative case study reports.
Lock, I., & Seele, P. (2018). Gauging the rigor of qualitative case studies in comparative lobbying research. A framework and guideline for research and analysis.
Stake, R. E. (1995). The art of case study research. Thousand Oaks, CA: Sage publications.
Starman, A. B. (2013). The case study as a type of qualitative research.
Writing@CSU, the Writing Studio: Colorado State University (n.d.). Case studies.
Yin, R. K. (2014). Case study research and applications: Design and methods. Thousand Oaks, CA: Sage publications.
For examples of case study research
Chan, C., & Holosko, M. J. (2017). The utilization of social media for youth outreach engagement: A case study.
Gabriel, M. G. (2019). Christian faith in the immigration and acculturation experiences of Filipino American youth.
Paddock et al. (2018). Care home life and identity: A qualitative case study.
22.2 Constructivist
Learning Objectives
Learners will be able to...
- Begin to distinguish key features that are associated with constructivist design
- Determine when a constructivist design may be a good fit for a qualitative research study
What is the purpose of constructivist research?
Constructivist research seeks to develop a deep understanding of the meaning that people attach to events, experiences, or phenomena. It draws heavily from the idea that our realities are constructed through shared social interaction, within which each person holds a unique perspective that is anchored in their own position (where they are situated in the world) and their evolving life experiences to date. Constructivist research then seeks to bring together unique individual perspectives around a common topic or idea (the basis of the research question), to determine what a shared understanding for this particular group of participants might be. By developing a common or shared understanding, we are better able to appreciate the multiple sides or facets of any given topic, helping us to better appreciate the richness of the world around us. You can think about constructivist research as being akin to cultural humility. When we approach practice with a sense of cultural humility, we assume that people who participate in a shared culture experience it from their own unique perspective. As we work with them, we try our best to understand and respect their personal understanding of that culture. Similarly, in constructivist research, we attempt to bring together (and honor) these unique individual perspectives on a given topic and construct a shared understanding, attempting to take what might be one-dimensional and making it multidimensional.
Constructivist research, as a method of inquiry, originated out of the work of Lincoln and Guba (1985),[196] although it was initially termed "naturalism". In stark contrast to more positivist research traditions that make the assumption that the broad aim of research as an approach to knowledge building is to produce generalizable findings, constructivist research assumes that any knowledge produced through the research process is context-dependent. This means that constructivist findings are specific to those who contributed to that knowledge building and the situation in which it took place. That isn't to say that these results might not have broader value or application, but the aim of the constructivist researcher is not to make that claim. The aim of the constructivist design is to provide a rich, full, detailed account of both the research process and the research findings. This inlcudes a detailed description of the context in which the research is taking place. In this way, the research consumer can determine the value and application of the research findings. The video by Robertson (2007)[197] in the resources box offers a good overview of this methodology and many of the assumptions that underlie this approach.
If you are a researcher considering a constructivist design, Rodwell (1998)[198] suggests that you should consider the focus, fit, and feasibility of your study for this particular methodology. While she provides a very helpful discussion across all three areas, her attention to 'fit' for constructivist inquiry is perhaps most relevant for our abbreviated overview of this methodology. In her discussion of 'fit', Rodwell argues that research questions well-suited for constructivist research are:
- Multi-dimensional: meaning that multiple constructions or understandings of the "reality" of the topic are being sought
- Investigator interactive: meaning that the topic is susceptible to researcher influence by virtue of the researcher having to be very involved in data collection and therefore accountable for considering their role in the knowledge production process
- Context-dependent: meaning that the circumstances surrounding the participants and the research process must be taken into account
- Complex: meaning we should assume there are multiple causes that contribute to the problem under investigation (and that the research is seeking to explore, rather than collapse that complexity)
- Value-laden: meaning that the topic we are studying is best understood in a way that accounts for the diverse values and opinions people attach to it.
What is involved with constructivist research?
As you may have surmised from the discussion above, the cornerstone of constructivist research is the researcher engaging in immersive exchanges with participants in an effort to 'construct' the meaning that they attach to the topic being studied.
Again, drawing on Rodwell's (1998) [199] description of this methodology, a constructivist researcher needs to recruit a [pb_glossaryid="918"]purposive[/pb_glossary] sample that has unique and diverse first-hand knowledge of the topic being studied. They will gather data from this sample regarding their respective realities or understandings of the topic. They will attempt to account for the context in which the study is taking place (including the researcher's own influence as a human instrument). Throughout the analysis process they will work towards producing negotiated outcomes, taking time to clarify and verify that findings accurately capture the sentiment of participants; treating participants as experts in their own reality. Finally, they will bring this knowledge together in a way that attempts to reflect the complex and multidimensional understandings of the topic being studied.
Constructivist research findings are well-suited for being presented as a case report. This allows for many realities or understandings of a given topic to be constructed. When you think about the value of constructivist research for social work, review some of the research articles listed below as examples. Envision using the findings from Allen's (2011)[200] study about women's resistance to abuse to help us improve shelter-based intervention and public health prevention efforts. Also, as a manager in an older adult care facility, you could use Cook and Brown-Wilson's (2011)[201] work focused on nursing home residents and their social relationships with staff to help inform ongoing staff training efforts that are more centered in nurturing social connections.
Key Takeaways
- Constructivist studies are well suited to develop a rich, multidimensional understanding of a topic through the extensive study of the experience of that topic across multiple observers. The individual realities experienced by participants are brought together to developed a shared, constructed understanding.
- The end result of a constructivist research project should help the consumer to see the phenomenon being studied from many different perspectives and with an appreciation of its complexity and nuance.
Resources
To learn more about constructivist research
Drisko, J. W. (2013). Constructivist research in social work. In A. E. Fortune, W. J. Reid, & R. L. Miller, Jr. (Eds.), Qualitative research in social work (2nd ed.), (pp. 81-106). New York : Columbia University Press.
Lincoln, Y. S., & Guba, E. G. (2013). The constructivist credo. Walnut Creek, CA: Left Coast Press, Inc.
Mojtahed et al. (2014). Equipping the constructivist researcher: The combined use of semi-structured interviews and decision-making maps.
Robertson, I. (2007, May 13). Naturalistic or constructivist inquiry.
Rodwell, M. K. (1998). Social work constructivist research. New York: Routledge
Stewart, D. L. (2010). Researcher as instrument: Understanding" shifting" findings in constructivist research.
For examples of constructivist research
Allen, M. (2011). Violence and voice: Using a feminist constructivist grounded theory to explore women’s resistance to abuse.
Coleman et al. (2012). A constructivist study of trust in the news.
Cook, G., & Brown-Wilson, C. (2010). Care home residents’ experiences of social relationships with staff.
Leichtentritt et al. (2011). Construction of court petitions in cases of alternative placement of children at risk: Meaning‐making strategies that social workers use to shape court decisions.
O’Callaghan et al. (2012). Music’s relevance for adolescents and young adults with cancer: A constructivist research approach.
22.3 Oral history
Learning Objectives
Learners will be able to...
- Begin to distinguish key features that are associated with oral history design
- Determine when an oral history design may be a good fit for a qualitative research study
What is the purpose of oral history research?
As outlined by the Oral History Association (OHA, 2009), "Oral history interviews seek an in-depth account of personal experience and reflections, with sufficient time allowed for the narrators (interviewees) to give their story the fullness they desire. The content of oral history interviews is grounded in reflections on the past as opposed to commentary on purely contemporary events".[202] Much like case studies with their intentionally narrow focus, oral histories are dedicated to developing a deep understanding with a relatively limited scope. This may include a single oral history provided by one interviewee, or a series of oral histories that are offered around a unifying topic, event, experience or shared characteristic.
Now, what makes this a form of research and not just a venue for sharing stories (valuable in-and-of-itself), is that these stories are connected systematically and there is a central question or series of questions that we as researchers are attempting to answer. For instance, the Columbia Center for Oral History Research at Incite hosts the Human Rights Campaign Oral History Project. This project seeks to understand: "What can a single organization tell us about a social movement and social change? How do historic moments shape organizations and vice versa? How do institutions with diverse constituencies reconcile competing needs and agendas for a forward-thinking movement, all while effectively responding to consistent external attacks?"[203] By interviewing people connected with this organization and its work, this oral history project is simultaneously hoping to gain a rich understanding of the Human Rights Campaign (HRC), but also an appreciation of how social change may occur more broadly, with HRC as an instructive example.
Particularity relevant for social work research, oral histories are often used for the purpose of studying and promoting social change, as in the HRC example. For instance, Groundswell is a network of "oral historians, activists, cultural workers, community organizers, and documentary artists" dedicated to the use of oral history as a tool for social change.[204] The central idea here is that by sharing our stories, we can learn from each other. Much like in narrative therapy traditions, our stories contain valuable and transformative information. In the case of narrative therapy, the narrative is transformative for the individual, but in the case of oral histories, the hope is that these shared narratives are transformative for the audience by offering new perspectives on the world, what it needs, and what it offers. Ideally this transformation leads to action and broader social change.
What is involved in oral history research?
While the core of oral history research involves interviewing people to capture their historical accounts to help explore a broader question or set of questions, the research process is a bit more involved than this. Moyer (1999)[205] offers an overview of the steps involved in conducting oral history research.
- Formulate a central question, set of questions, or issue
- Plan the project. Consider such things as end products, budget, publicity, evaluation, personnel, equipment, and time frames.
- Conduct background research
- Interview
- Process interviews
- Evaluate research and interviews and cycle back to step 1 if the central question is not sufficiently answered, or go on to step 7 if it is
- Organize and present results
- Store materials archivally
Of course, these are generic steps and only a beginning introduction to oral history design. Each of these steps has its own learning curve and nuance. For instance, interviewing for oral histories can vary in both preparation and application when compared to interviewing for other forms of qualitative research. Resources for further learning on oral history research are offered at the end of this section to help you become more knowledgeable and proficient. In addition to this overview of the design process, there are a number of unique principles associated with conducting oral histories. Let's discuss a few of these.
Oral history as a relationship between the interviewer and interviewee
Just as with other forms of interviewing, the expectation is the participation is voluntary and only proceeds after informed consent is provided. While this is very important for all research, it is perhaps especially important for oral histories because of some of the aspects discussed below (e.g. public access, frequent disclosure of identifying information) that differentiate oral histories.[206][207] Thoroughly explaining what oral histories are, how they are conducted, and the nature of the research final products is especially important. In addition, interviewees for oral histories often have a greater degree of control in their storytelling, with less direction from the interviewer (compared with other forms of qualitative interviewing).[208][209] This potentially challenges some of the power dynamics in more traditional research traditions. While the interviewer does provide the initial prompt or question and hopes to obtain an in-depth account, the interviewee is largely in control of how the story is told.
Oral history as a research product
Consistent with our NASW code of ethics and the expectations of all qualitative researchers, interviewees should be treated with dignity and respect. For the purposes of oral history research, this is in part demonstrated through crafting significant historical questions and engaging in prior research and preparation to inform the study (generally) and the interview (specifically).[210][211]. This will lay the foundation for a well-informed oral history project. The oral history is a detailed historical recounting by one person or a small group of people. It is meant to be a 'window in time' through the lens of the interviewee.[212] Because an oral history involves the detailed telling of personal stories and experiences it is often expected that the finished products of oral histories will often provide identifying information; it is often unavoidable in recounting the history. In fact, the interviewee is typically identified by name due to the extensive detail and contextually identifying information that is gathered.[213][214] Again, this should be made abundantly clear during the recruitment process and spelled out in the informed consent.
Oral history as an ongoing commitment
Traditional research is often shared with the public through journal articles or conference proceedings, and these often do not provide access to the data. While oral history research may be shared in these venues, the expectation is generally that oral history interviews that are collected will also be made accessible to future researchers and the public.[215] To accommodate this, researchers need to be planful in how they will provide this access in a sustainable way. This also means they need to have access to and operating knowledge of technology that will allow for quality audio capture and maintenance of these oral histories.[216][217] Furthermore, this obligation needs to be very clear to participants before they share their hisitories. Also, because of the level of access that is often afforded to oral history interviews, researchers can't guarantee how others may use or portray these interviews in the future and should be mindful not to overpromise such guarantees to participants.
Cultural considerations with storytelling
I think it is also important for us to consider the cultural implications of storytelling and the connection this holds for oral history research. Many cultural groups have and continue to depend on storytelling as a means of transmitting culture through time and space. Lately, I have been thinking about this as a response to the racial conflict we have been experiencing in the United States. It can be particularly powerful to hear the stories of others and to allow ourselves to be changed by them. The author Ta-Nehisi Coates book Between the World and Me is a profound nonfiction work that is written as a letter to his teenage son about what it means to be a Black man in America, drawing on his own memories, experiences and observations. In addition, Takunda Muzondiwa, offers a beautifully articulated performance of spoken word poetry about her history as a young woman immigrating from Zimbabwe to New Zealand. I believe these stories can be powerful antidotes to the fear and ignorance that fuels so much of the structural oppression and racial division in this country. Gathering oral histories can help contribute to elevating these voices and hopefully promoting understanding. However, I think we also have to be very aware of the danger in this practice of cultural appropriation. It requires us to be extremely vigilant in how these stories are obtained and presented, and who has ownership of them.
Key Takeaways
- Oral histories offer a unique qualitative research design that support an individual or group of participants reflecting on a unique experience, event, series of events, or even a lifetime. While they explicitly explore the past, they often do so to learn about how change occurs and what lessons can be applied to our present.
- While many aspects of oral histories are consistent with other forms of qualitative research (e.g. the use of interviews to collect data, analyzing narrative data for themes), oral histories have some defining features that differentiate it from other designs, such as a common expectation for public access to collected data.
Exercises
Reflexive Journal Entry Prompt
For me, oral history has a bit of a different feel when compared to other qualitative designs because it really highlights intimate details of one person's (or a small group) life. in a way that makes confidentiality a real challenge in many cases (or even impossible). That being said, I'm also really drawn to the potential of this approach for allowing people to share wisdom and for us to learn from each other.
Based on what you have read here and maybe after checking out some of the resources below, what are your thoughts about using oral histories?
- What do you see as strengths?
- What are barriers or challenges that you foresee?
- What oral history data might help to strengthen or develop your practice knowledge? (whose wisdom and historical perspective might you learn from)
Resources
To learn more about oral histories and oral history archives
Columbia University, Interdisciplinary Center for Innovative Theory and Empirics (n.d.) Columbia Center for Oral History Research at INCITE.
Groundswell. (2014). Groundswell: Oral history for social change.
Institute for Museum and Library Services. (n.d.). Oral history in the digital age.
International Oral History Association. (n.d.). International Oral History Association, homepage.
Moyer, J. (1999). Step-by-step guide to oral history.
Oral History Association (2009, October). Principles and best practices.
UCLA (2015). UCLA Center for Oral History Research.
For examples of oral history research
Gardella, L. G. (2018). Social work and hospitality: An oral history of Edith Stolzenberg.
Jenkins, S. B. (2017). "We were all kind of learning together" The emergence of LGBTQ+ affirmative psychotherapy & social services, 1960-1987: oral history study.
Johnston et al. (2018). The rise, fall and re-establishment of Trinity Health Services: Oral history of a student-run clinic based at an inner-city Catholic Church.
La Rose, T. (2019). Rediscovering social work leaders through YouTube as archive: The CASW oral history project 1983/1984.
22.4 Ethnography
Learning Objectives
Learners will be able to...
- Distinguish between key features associated with ethnographic design
- Determine when an ethnographic design may be a good fit for a qualitative research study
What is the purpose of ethnography research?
Ethnography is a qualitative research design that is used when we are attempting to learn about a culture by observing people in their natural environment. While many immediately associate culture with ethnicity, remember that cultures are all around us, and we exist in many simultaneously. For example, you might have a culture within your family, at your school, at work, as part of other organizations or groups that you belong to. Culture exists where we have a social grouping that creates shared understanding, meaning, customs, artifacts, rituals, and processes.
Cultural groups can exist in-person and in virtual spaces. Culture challenges us to consider how people understand and dynamically interact with their environment. Creswell (2013) outlines the role of the ethnographer as, "describing and interpreting the shared and learned patterns of values, behaviors, beliefs and languages of culture-sharing groups" (p.90).[218] Below is a brief list of areas where we may find "culture-sharing groups".
- Work
- School
- Home
- Peer Groups
- Support Groups
- Cause-Related Groups
- Organizations
- Interest-Related Groups
Exercises
Respond to the following questions.
- What cultures do you participate in?
- What cultures might the clients you work with in your field placements participate in?
- What cultures might the participants you are interested in studying participate in?
Reflecting on this question can help us to see ourselves and our clients or our research participants as multidimensional people and to develop solid research proposals.
Now that we have discussed what culture is, why is it important that we research it? More specifically, why is it important that we have ethnography, a type of qualitative research dedicated to studying culture? As social work practitioners and educators, we talk extensively about concepts like cultural competence and cultural humility. As a profession, we have taken the position that understanding culture is vital to what we do. Ideologically, Social Work recognizes that people have very different experiences throughout their lives. Some of these experiences are shared and can come to shape the perspective of groups of people, and in turn, how these groups interact with the world around them and with each other. By studying these shared perspectives, ethnographers hope to learn both how groups of people are shaped by and come to shape their environment (this is the definition of a fancy term, reciprocal determinism). Ethnographic research can be one source of information that helps support culturally informed social work practice. Note that I specifically said one source. As an ethnographer, we are typically an "outsider" observing and learning about a culture. As practitioners, we should also be educated about culture directly from our clients because they have "insider" knowledge. Both are valuable and can be helpful for the work we do, but I would argue that we give priority to our client's perspective, as they are an authority on their experience of culture.
As you think about the value of ethnographic research, it can also be helpful to think about what types of things we might learn from it. Let's take a specific example. What if we wanted to study the culture around a student study group. What are some of the things we might hope to learn by examining the culture of this group?
- What motivates them to participate in the group?
- What are their expectations about the group?
- What do they hope to get out of the group?
- What are the group norms?
- What are the formal and informal roles of the group?
- What functions does the group serve?
- What types of group dynamics are evident?
- What influence external to the group impact the group, and how?
What is involved with ethnography research?
As a process of uncovering and making sense of a culture, ethnographic research involves the researcher immersing themselves in the culture to gain direct and indirect information through keen observation, discussion with culture-sharing members, and review of cultural artifacts. To accomplish this successfully, the ethnographer will need to spend extensive time in the field, both to gather enough data to comprehensively describe the culture, and to gain a reasonable understanding of the context in which the culture takes place so that they can interpret the data as accurately as possible. Hammersley (1990)[219] outlines some general guidelines for conducting ethnographic research.
- Data is drawn from a range of sources
- While data gathering is systematic, it is emergent and begins with a loose structure
- Parameters are usually placed on the setting(s) from which data is gathered
- Observing behavior in everyday life
- Analysis involves the interpretation of human behavior and making sense out of the actions of the culture group
Below I provide some additional details around each of these principles to help contextualize how these might compare and contrast with other qualitative designs we have been discussing.
Data is drawn from a range of sources
Since our objective is to understand a culture as comprehensively as possible, ethnographies require multiple sources of data. If someone wanted to study the culture within your social work program, what sorts of data might they utilize? They might include discussions with students, staff, and faculty; observations of classes, functions, and meetings; review of documents like mission statements, annual reports, and course evaluations. These are only a small sampling of data sources that you might include to gain the most holistic understanding of the program.
While data gathering is systematic, it is emergent and begins with a loose structure
While some qualitative studies begin with an extensive and detailed plan for data gathering, ethnographies begin with a considerable amount of flexibility. This is because we often don't know in advance what will be important in developing an understanding of a culture and where that information might come from. As such, we would need to spend time in the culture, being attentive and open to learning from the context.
Parameters are usually placed on the setting(s) from which data is gathered
Culture can extend across space and time, making it overwhelming as we initially consider how to focus our efforts while still allowing for the emergent design discussed above. Because of this, ethnographies are often confined to one particular setting or group. I don't know if any of you are fans of the TV series The Office (either the British or American versions), but it actually offers us a good example here. The series is based on following the antics that take place in office environment with a group of co-workers through a mockumentary . The series is about understanding the culture of that office. The majority of filming takes place in a small office and with a relatively small group of people. These parameters help to define the storyline, or for our purposes, the scope of our data gathering.
Observing behavior in everyday life
Compared to other qualitative approaches where data gathering may take place through a more formal process (e.g. scheduled interviews, routine observations of specified exchange), ethnographies usually involve collecting data in everyday life. To capture an authentic representation of culture, we need to see it in action. Thus, we need to be prepared to gather data about culture as it is being produced and experienced.
Analysis involves the interpretation of human behavior and making sense out of the actions of the culture group
Related to the last point about observing behavior in everyday life, culture is created and transmitted through social interactions. As ethnographers, the main thrust of our work is to observe and interpret how people engage with each other, and what these interactions mean.
Cultural considerations with storytelling
As I mentioned in the oral history section, I think we also need to be really attentive to the possibility of cultural appropriation and exploitation when conducting ethnographies. This is really true for all types of research, but it deserves special attention here because of the duration of time ethnography requires immersing yourself in the culture you are studying. It makes me think of my time as a case manager. As a case manager, I think we need to be acutely aware of demonstrating great respect and humility when we are working with people in their homes. We are entering into a very personal space with them to conduct our work and I believe that it requires special care and attention. Ethnography work is much like this. As an ethnographer, you are attempting to enter into the very personal space of that cultural group. Before doing so, as researchers, I think we need to very carefully consider what benefits does this study offer. If the only answer is that we benefit professionally or academically, then is it really worth it for us to be so intrusive? Of course, actively including community members in the research process and allowing them to help determine the benefits they hope to recognize from such a study can be a good way to overcome this.
Key Takeaways
- Ethnographic studies allow researchers to experience and describe a culture by immersing themselves within a culture-sharing group.
- Ethnographic research requires that researchers be attentive observers and curious explorers as they spend extensive time in the field viewing cultural rituals and artifacts, speaking with cultural group members, and participating in cultural practices. This requires spending extensive time with this group to understand the nuances and intricacies of cultural phenomenon.
Resources
To learn more about ethnography research
Genzuk, M. (2003). A synthesis of ethnographic research.
Isaacs, E., TEDxBroadway. (2013, January, 28). "Ethnography"—Ellen Isaacs.
Wall, S. (2015, January). Focused ethnography: A methodological adaptation for social research in emerging contexts.
Reeves et al. (2013). Ethnography in qualitative educational research: AMEE Guide No. 80.
Sangasubana, N. (2011). How to conduct ethnographic research.
For examples of ethnography research
Avby et al. (2017). Knowledge use and learning in everyday social work practice: A study in child investigation work.
Hicks, S., & Lewis, C. (2018). Investigating everyday life in a modernist public housing scheme: The implications of residents’ understandings of well-being and welfare for social work.
Lumsden, K., & Black, A. (2017). Austerity policing, emotional labour and the boundaries of police work: an ethnography of a police force control room in England.
22.5 Phenomenology
Learning Objectives
Learners will be able to...
- Begin to distinguish key features that are associated with phenomenological design
- Determine when a phenomenological study design may be a good fit for a qualitative research study
What is the purpose of phenomenology research?
Phenomenology is concerned with capturing and describing the lived experience of some event or "phenomenon" for a group of people. One of the major assumptions in this vein of research is that we all experience and interpret our encounters with the world around us. Furthermore, we interpret these experiences from our own unique worldview, shaped by our beliefs, values and previous encounters. We then go on to attach our own meaning to them. By studying the meaning that people attach to their experiences, phenomenologists hope to understand these experiences in much richer detail. Ideally, this allows them to translate a unidimensional idea that they are studying into a multidimensional understanding that reflects the complex and dynamic ways we experience and interpret our world.
As an example, perhaps we want to study the experience of being a student in a social work research class, something you might have some first-hand knowledge with. Putting yourself into the role of a participant in this study, each of you has a unique perspective coming into the class. Maybe some of you are excited by school and find classes enjoyable; others may find classes boring. Some may find learning challenging, especially with traditional instructional methods; while others find it easy to digest materials and understand new ideas. You may have heard from your friends, who took this class last year, that research is hard and the professor is evil; while the student sitting next to you has a mother who is a researcher and they are looking forward to developing a better understanding of what she does. The lens through which you interpret your experiences in the class will likely shape the meaning you attach to it, and no two students will have the exact same experience, even though you all share in the phenomenon—the class itself. As a phenomenologist, I would want to try to capture how various students experienced the class. I might explore topics like: what did you think about the class, what feelings were associated with the class as a whole or different aspects of the class, what aspects of the class impacted you and how, etc. I would likely find similarities and differences across your accounts and I would seek to bring these together as themes to help more fully understand the phenomenon of being a student in a social work research class. From a more professionally practical standpoint, I would challenge you to think about your current or future clients. Which of their experiences might it be helpful for you to better understand as you are delivering services? Here are some general examples of phenomenological questions that might apply to your work:
- What does it mean to be part of an organization or a movement?
- What is it like to ask for help or seek services?
- What is it like to live with a chronic disease or condition?
- What do people go through when they experience discrimination based on some characteristic or ascribed status?
Just to recap, phenomenology assumes that...
- Each person has a unique worldview, shaped by their life experiences
- This worldview is the lens through which that person interprets and makes meaning of new phenomena or experiences
- By researching the meaning that people attach to a phenomenon and bringing individual perspectives together, we can potentially arrive at a shared understanding of that phenomenon that has more depth, detail and nuance than any one of us could possess individually.
This figure provides a visual interpretation of these assumptions.
What is involved in phenomenology research?
Again, phenomenological studies are best suited for research questions that center around understanding a number of different peoples' experiences of particular event or condition, and the understanding that they attach to it. As such, the process of phenomenological research involves gathering, comparing, and synthesizing these subjective experiences into one more comprehensive description of the phenomenon. After reading the results of a phenomenological study, a person should walk away with a broader, more nuanced understanding of what the lived experience of the phenomenon is.
While it isn't a hard and fast rule, you are most likely to use purposive sampling to recruit your sample for a phenomenological project. The logic behind this sampling method is pretty straightforward since you want to recruit people that have had a specific experience or been exposed to a particular phenomenon, you will intentionally or purposefully be reaching out to people that you know have had this experience. Furthermore, you may want to capture the perspectives of people with different worldviews on your topic to support developing the richest understanding of the phenomenon. Your goal is to target a range of people in your recruitment because of their unique perspectives.
For instance, let's say that you are interested in studying the subjective experience of having a diagnosis of Human Immunodeficiency Virus (HIV). We might imagine that this experience would be quite different across time periods (e.g. the 1980's vs. the 2010's), geographic locations (e.g. New York City vs. the Kingdom of Eswatini in southern Africa), and social group (e.g. Conservative Christian church leaders in the southern US vs. sex workers in Brazil). By using purposive sampling, we are attempting to intentionally generate a varied and diverse group of participants who all have a lived experience of the same phenomenon. Of course, a purposive recruitment approach assumes that we have a working knowledge of who has encountered the phenomenon we are studying. If we don't have this knowledge, we may need to use other non-probability approaches, like convenience or snowball sampling. Depending on the topic you are studying and the diversity you are attempting to capture, Creswell (2013) suggests that a reasonable sample size may range from 3 -25 participants for a phenomenological study. Regardless of which sample size you choose, you will want a clear rationale that supports why you chose it.
Most often, phenomenological studies rely on interviewing. Again, the logic here is pretty clear—if we are attempting to gather people's understanding of a certain experience, the most direct way is to ask them. We may start with relatively unstructured questions: "can you tell me about your experience with.....", "what was it it like to....", "what does it mean to...". However, as our interview progresses, we are likely to develop probes and additional questions, leading to a semi-structured feel, as we seek to better understand the emerging dimensions of the topic that we are studying. Phenomenology embodies the iterative process that has been discussed; as we begin to analyze the data and detect new concept or ideas, we will integrate that into our continuing efforts at collecting new data. So let's say that we have conducted a couple of interviews and begin coding our data. Based on these codes, we decide to add new probes to our interview guide because we want to see if future interviewees also incorporate these ideas into how they understand the phenomenon. Also, let's say that in our tenth interview a new idea is shared by the participant. As part of this iterative process, we may go back to previous interviewees to get their thoughts about this new idea. It is not uncommon in phenomenological studies to interview participants more than once. Of course, other types of data (e.g. observations, focus groups, artifacts) are not precluded from phenomenological research, but interviewing tends to be the mainstay.
In a general sense, phenomenological data analysis is about bringing together the individual accounts of the phenomenon (most often interview transcripts) and searching for themes across these accounts to capture the essence or description of the phenomenon. This description should be one that reflects a shared understanding as well as the context in which that understanding exists. This essence will be the end result of your analysis.
To arrive at this essence, different phenomenological traditions have emerged to guide data analysis, including approaches advanced by van Manen (2016)[220], Moustakas (1994)[221], Polikinghorne (1989)[222] and Giorgi (2009)[223]. One of the main differences between these models is how the researcher accounts for and utilizes their influence during the research process. Just like participants, it is expected in phenomenological traditions that the researcher also possesses their own worldview. The researcher's worldview influences all aspects of the research process and phenomenology generally encourages the researcher to account for this influence. This may be done through activities like reflexive journaling (discussed in Chapter 20 on qualitative rigor) or through bracketing (discussed in Chapter 19 on qualitative analysis), both tools helping researchers capture their own thoughts and reactions towards the data and its emerging meaning. Some of these phenomenological approaches suggest that we work to integrate the researcher's perspective into the analysis process, like van Manen; while others suggest that we need to identify our influence so that we can set it aside as best as possible, like Moustakas (Creswell, 2013).[224] For a more detailed understanding of these approaches, please refer to the resources listed for these authors in the box below.
Key Takeaways
- Phenomenology is a qualitative research tradition that seeks to capture the lived experience of some social phenomenon across some group of participants who have direct, first-hand experience with it.
- As a phenomenological researcher, you will need to bring together individual experiences with the topic being studied, including your own, and weave them together into a shared understanding that captures the "essence" of the phenomenon for all participants.
Exercises
Reflexive Journal Entry Prompt
- As you think about the areas of social work that you are interested in, what life experiences do you need to learn more about to help develop your empathy and humility as a social work practitioner in this field of practice?
Resources
To learn more about phenomenological research
Errasti‐Ibarrondo et al. (2018). Conducting phenomenological research: Rationalizing the methods and rigour of the phenomenology of practice.
Giorgi, A. (2009). The descriptive phenomenological method in psychology: A modified Husserlian approach. Pittsburgh, PA: Duquesne University Press.
Koopman, O. (2015). Phenomenology as a potential methodology for subjective knowing in science education research.
Moustakas, C. (1994). Phenomenological research methods. Thousand Oaks, CA: Sage.
Newberry, A. M. (2012). Social work and hermeneutic phenomenology.
Polkinghorne, D. E. (1989). Phenomenological research methods. In R. S. Valle & S. Halling (Eds.). Existential-phenomenological perspectives in psychology (pp. 41-60). Boston, MA: Springer.
Seymour, T. (2019, January, 30). Phenomenological qualitative research design.
Van Manen, M. (2016). Phenomenology of practice: Meaning-giving methods in phenomenological research and writing. New York: Routledge.
For examples of phenomenological research
Curran et al. (2017). Practicing maternal virtues prematurely: The phenomenology of maternal identity in medically high-risk pregnancy.
Kang, S. K., & Kim, E. H. (2014). A phenomenological study of the lived experiences of Koreans with mental illness.
Pascal, J. (2010). Phenomenology as a research method for social work contexts: Understanding the lived experience of cancer survival.
22.6 Narrative
Learning Objectives
Learners will be able to...
- Begin to distinguish key features associated with narrative design
- Determine when a narrative design may be a good fit for a qualitative research study
What is the purpose of narrative research?
As you savvy learners have likely surmised, narrative research, often referred to as narrative inquiry, is all about the narrative. For our purposes, narratives will be defined as those stories that we compose that allow us to make meaning of the world. Therefore, narrative inquiry is attempting to develop a rich understanding of what those narratives are, and weave them into a grander narrative that attempts to capture the unique and shared meanings we attach to our individual narratives. In other words, as narrative researchers, we want to understand how we make sense of what happens to us and around us.
As social workers, our profession is well-acquainted with the power of narratives. Michael White and David Epston are social workers you may know of that harnessed this power of narratives in the therapeutic relationship by helping clients to tell and then transform their many-storied lives through narrative therapy. Just as narrative therapy encourages clients to explore the stories in their own lives and the significance they attach to them, narrative inquiry prompts research participants to share the stories they have regarding the topic we are studying. Just as we discussed in our chapter on qualitative data gathering, our aim in narrative inquiry is to elicit and understand stories, whereas narrative therapy is concerned with fostering a therapeutic relationship. Our hope is that narrative studies do, however, help the audience that consumes our research (whether that is providers, other researchers, politicians, community members) to better understand or appreciate the worldview of the population we are studying.
Fraser (2004)[225] suggests that narrative approaches are particularly well-suited for helping social workers to:
- make sense of language(s) that are used by individuals and groups
- examine multiple perspectives
- better understand human interactions
- develop an appreciation for context
- reduce our role as an expert (we are most called here to be skillful listeners)
- elevate the stories and perspectives of people who may be otherwise be disenfranchised or silenced
Narrative inquiry may be a good fit for your research proposal if you are looking to study some person/groups' understanding of an event, situation, role, period of time, or occurrence. Again, think about it like a story; what would you form your story plot around. The answer to that gets at the core of your research question for narrative inquiry. You want to understand some aspect of life more clearly through your participant's eyes. After all, that is what a good story does, transports us into someone else's world. As a student, you may not be able to access clients directly as research participants, but there are many people around you in your placement, at school, or in the community who may have valuable insights/perspectives on the topic you are interested in studying. In addition, you may be able to access publicly available sources that give you narrative information about a topic: autobiographies, memoirs, oral histories, blogs, journals, editorials, etc. These sources give you indirect information about how the author sees the world —just what you're looking for! These can become sources of data for you.
What is involved in narrative research?
At the risk of oversimplifying the process of narrative research, it is a journey with stories: finding stories, eliciting stories, hearing and capturing stories, understanding stories, integrating stories, and presenting stories. That being said, each leg of this journey is marked with its own challenges (and rewards!). We won't be diving deeply into each of these, but we will take time to think through a couple of brief considerations at each of these phases. As you read through these phases, be aware that they reflect the iterative nature of qualitative work that we have discussed previously. This means you won't necessarily complete one and move on to the next. For instance, you make be in the process of analyzing some of the data you have gathered (phase: understanding stories) and realize that a participant has just blown your mind with a new revelation that you feel like you need to learn more about to adequately complete your research. To do so, you may need to go back to other participants to see if they had similar experiences (phase: eliciting stories) or even go out and do some more recruitment of people who might share in this storyline (phase: finding new stories).
Finding stories
It can feel a bit daunting at first to consider where you would look to find narrative data. We have to determine who possesses the stories we want to hear that will help us to best answer our research question. However, don't dismay! Stories are all around us. As suggested earlier, as humans, we are constantly evolving stories that help us to make sense of our world, whether we are aware of it or not. Narrative data is not usually just drawn from one source, so this often means thoughtfully seeking out a variety of stories about the topic we are studying. This can include interviews, observations, and a range of other artifacts. As you are thinking about your sample, consult back to Chapter 17 on qualitative sampling to aid you in developing your sampling strategy.
Eliciting stories
So, now you know where you want to get your narrative data, but how will you draw these stories out? As decent and ethical researchers, our objective is to have people share their stories with us, being fully informed about the research process and why we are asking them to share their stories. But this just gets our proverbial foot in the door. Next, we have to get people to talk, to open up and share. Just like in practice settings, this involves the thoughtful use of well-planned open-ended questions. Narrative studies often involve relatively unstructured interviews, where we provide a few broad questions in the hopes of getting people to expound on their perspective. However, we anticipate that we might need to have some strategic probes to help prompt the storytelling process. We also might be looking to extract narrative data from artifacts, in which case the data is there, we just need to locate and make sense of it.
Hearing and capturing stories
We need to listen! While we are trained in the art of listening as social workers, we need to make sure that we are clear what we are listening for. In narrative research we are listening for important narrative detail. Fraser (2004)[226] identifies that it is important to listen for emotions that the story conveys, the evolution or unfolding of the story, and last but not least, our own reactions. Additionally, we need to consider how we will capture the story—will we record it or will we take field notes? Again, we may be drawing narrative data from artifacts. If this is the case, we are "listening" with our eyes and through our careful review of materials and detailed note-taking.
Understanding stories
As we are listening, we are attending to many things as we go through this part of the analysis: word choice and meaning, emotions that are expressed/provoked, context of what is being shared, themes or main points, and changes in tone. We want to pay attention to both what the story is and how is it being told.
Integrating stories
Part of the work (and perhaps the most challenging part) of narrative research is the bringing together of many stories. We aim to look across the stories that are shared with us through the data we have gathered and ultimately converge on a narrative that honors both the diversity and the commonality that is reflected therein, all the while tracking our own personal story and the influence it has on shaping the evolving narrative. No small task! While integrating stories, Fraser (2004)[227] also challenges us to consider how these stories coming together are situated within broader socio-political-structural contexts that need to be acknowledged.
Key Takeaways
- The aim of narrative research is to uncover the stories that humans tell themselves to make sense of the world.
- To turn these stories into research, we need to systematically listen, understand, compare, and eventually combine these into one meta-narrative, providing us with a deeper appreciation of how participants comprehend the issue we are studying.
Exercises
Reflexive Journal Entry Prompt
Know that we have reviewed a number of qualitative designs, reflect on the following questions:
- Which designs suit you well as a social work researcher? What is it about these designs that resonate with you?
- Which designs would really challenge you as a social work researcher? What is it about these designs that make you apprehensive or uneasy?
- What design is best suited for your research question? Is your answer here being swayed by personal preferences?
Resources
To learn more about narrative inquiry
Fraser, H. (2004). Doing narrative research: Analysing personal stories line by line. Qualitative Social Work, 3(2), 179-201. https://journals.sagepub.com/doi/abs/10.1177/1473325004043383
Larsson, S., & Sjöblom, Y. (2010). Perspectives on narrative methods in social work research. International Journal of Social Welfare, 19(3), 272-280.https://insights.ovid.com/international-social-welfare/ijsow/2010/07/000/perspectives-narrative-methods-social-work/3/00125820
Riessman, C. K., & Quinney, L. (2005). Narrative in social work: A critical review. Qualitative Social Work, 4(4), 391-412. https://journals.sagepub.com/doi/abs/10.1177/1473325005058643
Rudman, D.L. (2018, August, 24). Narrative inquiry: What's your story? [Video]. https://www.youtube.com/watch?v=rPyomRrBn_g
Shaw, J. (2017). A renewed call for narrative inquiry as a social work epistemology and methodology. Canadian Social Work Review, 34(2). https://www.erudit.org/en/journals/cswr/2017-v34-n2-cswr03365/1042889ar/
Writing@CSU, the Writing Studio: Colorado State University. (n.d.). Narrative inquiry. [Webpage]. https://writing.colostate.edu/guides/page.cfm?pageid=1346&guideid=63
For examples of narrative studies
Balogh, A. (2016). A narrative inquiry of charter school social work and the “No Excuses” Behavior Model. Columbia Social Work Review, 14(1), 19-25. https://journals.library.columbia.edu/index.php/cswr/article/view/1855
Klausen, R. K., Blix, B. H., Karlsson, M., Haugsgjerd, S., & Lorem, G. F. (2017). Shared decision making from the service users’ perspective: A narrative study from community mental health centers in northern Norway. Social Work in Mental Health, 15(3), 354-371. https://www.tandfonline.com/doi/abs/10.1080/15332985.2016.1222981
Lietz, C. A., & Strength, M. (2011). Stories of successful reunification: A narrative study of family resilience in child welfare. Families in Society, 92(2), 203-210. https://journals.sagepub.com/doi/abs/10.1606/1044-3894.4102
Chapter Outline
- What is a survey, and when should you use one? (14 minute read)
- Collecting data using surveys (29 minute read)
- Bias and cultural considerations (22 minute read)
Content warning: examples in this chapter contain references to drug use, racism in politics, COVD-19, undocumented immigration, basic needs insecurity in higher education, school discipline, drunk driving, poverty, child sexual abuse, colonization and Global North/West hegemony, and ethnocentrism in science.
12.1 What is a survey, and when should you use one?
Learning Objectives
Learners will be able to...
- Distinguish between survey as a research design and questionnaires used to measure concepts
- Identify the strengths and weaknesses of surveys
- Evaluate whether survey design fits with their research question
Students in my research methods classes often feel that surveys are self-explanatory. This feeling is understandable. Surveys are part of our everyday lives. Every time you call customer service, purchase a meal, or participate in a program, someone is handing you a survey to complete. Survey results are often discussed in the news, and perhaps you've even carried our a survey yourself. What could be so hard? Ask people a few quick questions about your research question and you're done, right?
Students quickly learn that there is more to constructing a good survey than meets the eye. Survey design takes a great deal of thoughtful planning and often many rounds of revision, but it is worth the effort. As we’ll learn in this section, there are many benefits to choosing survey research as your data collection method particularly for student projects. We’ll discuss what a survey is, its potential benefits and drawbacks, and what research projects are the best fit for survey design.
Is survey research right for your project?
To answer this question, the first thing we need to do is distinguish between a survey and a questionnaire. They might seem like they are the same thing, and in normal non-research contexts, they are used interchangeably. In this textbook, we define a survey as a research design in which a researcher poses a set of predetermined questions to an entire group, or sample, of individuals. That set of questions is the questionnaire, a research instrument consisting of a set of questions (items) intended to capture responses from participants in a standardized manner. Basically, researchers use questionnaires as part of survey research. Questionnaires are the tool. Surveys are one research design for using that tool.
Let's contrast how survey research uses questionnaires with the other quantitative design we will discuss in this book—experimental design. Questionnaires in experiments are called pretests and posttests and they measure how participants change over time as a result of an intervention (e.g., a group therapy session) or a stimulus (e.g., watching a video of a political speech) introduced by the researcher. We will discuss experiments in greater detail in Chapter 13, but if testing an intervention or measuring how people react to something you do sounds like what you want to do with your project, experiments might be the best fit for you.
Surveys, on the other hand, do not measure the impact of an intervention or stimulus introduced by the researcher. Instead, surveys look for patterns that already exist in the world based on how people self-report on a questionnaire. Self-report simply means that the participants in your research study are answering questions about themselves, regardless of whether they are presented on paper, electronically, or read aloud by the researcher. Questionnaires structure self-report data into a standardized format—with everyone receiving the exact same questions and answer choices in the same order[228]—which makes comparing data across participants much easier. Researchers using surveys try to influence their participants as little as possible because they want honest answers.
Questionnaires are completed by individual people, so the unit of observation is almost always individuals, rather than groups or organizations. Generally speaking, individuals provide the most informed data about their own lives and experiences, so surveys often also use individuals as the unit of analysis. Surveys are also helpful in analyzing dyads, families, groups, organizations, and communities, but regardless of the unit of analysis, the unit of observation for surveys is usually individuals. Keep this in mind as you think about sampling for your project.
In some cases, getting the most-informed person to complete your questionnaire may not be feasible. As we discussed in Chapter 2 and Chapter 6, ethical duties to protect clients and vulnerable community members mean student research projects often study practitioners and other less-vulnerable populations rather than clients and community members. The ethical supervision needed via the IRB to complete projects that pose significant risks to participants takes time and effort, and as a result, student projects often rely on key informants like clinicians, teachers, and administrators who are less likely to be harmed by the survey. Key informants are people who are especially knowledgeable about your topic. If your study is about nursing, you should probably survey nurses. These considerations are more thoroughly addressed in Chapter 10. Sometimes, participants complete surveys on behalf of people in your target population who are infeasible to survey for some reason. Some examples of key informants include a head of household completing a survey about family finances or an administrator completing a survey about staff morale on behalf of their employees. In this case, the survey respondent is a proxy, providing their best informed guess about the responses other people might have chosen if they were able to complete the survey independently. You are relying on an individual unit of observation (one person filling out a self-report questionnaire) and group or organization unit of analysis (the family or organization the researcher wants to make conclusions about). Proxies are commonly used when the target population is not capable of providing consent or appropriate answers, as in young children and people with disabilities.
Proxies are relying on their best judgment of another person's experiences, and while that is valuable information, it may introduce bias and error into the research process. Student research projects, due to time and resource constraints, often include sampling people with second-hand knowledge, and this is simply one of many common limitations of their findings. Remember, every project has limitations. Social work researchers look for the most favorable choices in design and methodology, as there are no perfect projects. If you are planning to conduct a survey of people with second-hand knowledge of your topic, consider reworking your research question to be about something they have more direct knowledge about and can answer easily. One common missed opportunity I see is student researchers who want to understand client outcomes (unit of analysis) by surveying practitioners (unit of observation). If a practitioner has a caseload of 30 clients, it's not really possible to answer a question like "how much progress have your clients made?" on a survey. Would they just average all 30 clients together? Instead, design a survey that asks them about their education, professional experience, and other things they know about first-hand. By making your unit of analysis and unit of observation the same, you can ensure the people completing your survey are able to provide informed answers.
Researchers may introduce measurement error if the person completing the questionnaire does not have adequate knowledge or has a biased opinion about the phenomenon of interest. For instance, many schools of social work market themselves based on the rankings of social work programs published by US News and World Report. Last updated in 2019, the methodology for these rankings is simply to send out a survey to deans, directors, and administrators at schools of social work. No graduation rates, teacher evaluations, licensure pass rates, accreditation data, or other considerations are a part of these rankings. It's literally a popularity contest in which each school is asked to rank the others on a scale of 1-5, and ranked by highest average score. What if an informant is unfamiliar with a school or has a personal bias against a school?[229] This could significantly skew results. One might also question the validity of such a questionnaire in assessing something as important and economically impactful as the quality of social work education. We might envision how students might demand and create more authentic measures of school quality.
In summary, survey design best fits with research projects that have the following attributes:
- Researchers plan to collect their own raw data, rather than secondary analysis of existing data.
- Researchers have access to the most knowledgeable people (that you can feasibly and ethically sample) to complete the questionnaire.
- Research question is best answered with quantitative methods.
- Individuals are the unit of observation, and in many cases, the unit of analysis.
- Researchers will try to observe things objectively and try not to influence participants to respond differently.
- Research questions asks about indirect observables—things participants can self-report on a questionnaire.
- There are valid, reliable, and commonly used scales (or other self-report measures) for the variables in the research question.
Strengths of survey methods
Researchers employing survey research as a research design enjoy a number of benefits. First, surveys are an excellent way to gather lots of information from many people. In a study by Blackstone (2013)[230] on older people’s experiences in the workplace, researchers were able to mail a written questionnaire to around 500 people who lived throughout the state of Maine at a cost of just over $1,000. This cost included printing copies of a seven-page survey, printing a cover letter, addressing and stuffing envelopes, mailing the survey, and buying return postage for the survey. We realize that $1,000 is nothing to sneeze at, but just imagine what it might have cost to visit each of those people individually to interview them in person. You would have to dedicate a few weeks of your life at least, drive around the state, and pay for meals and lodging to interview each person individually. Researchers can double, triple, or even quadruple their costs pretty quickly by opting for an in-person method of data collection over a mailed survey. Thus, surveys are relatively cost-effective.
Related to the benefit of cost-effectiveness is a survey’s potential for generalizability. Because surveys allow researchers to collect data from very large samples for a relatively low cost, survey methods lend themselves to probability sampling techniques, which we discussed in Chapter 10. When used with probability sampling approaches, survey research is the best method to use when one hopes to gain a representative picture of the attitudes and characteristics of a large group. Unfortunately, student projects are quite often not able to take advantage of the generalizability of surveys because they use availability sampling rather than the more costly and time-intensive random sampling approaches that are more likely to elicit a representative sample. While the conclusions drawn from availability samples have far less generalizability, surveys are still a great choice for student projects and they provide data that can be followed up on by well-funded researchers to generate generalizable research.
Survey research is particularly adept at investigating indirect observables. Indirect observables are things we have to ask someone to self-report because we cannot observe them directly, such as people’s preferences (e.g., political orientation), traits (e.g., self-esteem), attitudes (e.g., toward immigrants), beliefs (e.g., about a new law), behaviors (e.g., smoking or drinking), or factual information (e.g., income). Unlike qualitative studies in which these beliefs and attitudes would be detailed in unstructured conversations, surveys seek to systematize answers so researchers can make apples-to-apples comparisons across participants. Surveys are so flexible because you can ask about anything, and the variety of questions allows you to expand social science knowledge beyond what is naturally observable.
Survey research also tends to be a reliable method of inquiry. This is because surveys are standardized in that the same questions, phrased in exactly the same way, as they are posed to participants. Other methods, such as qualitative interviewing, which we’ll learn about in Chapter 18, do not offer the same consistency that a quantitative survey offers. This is not to say that all surveys are always reliable. A poorly phrased question can cause respondents to interpret its meaning differently, which can reduce that question’s reliability. Assuming well-constructed questions and survey design, one strength of this methodology is its potential to produce reliable results.
The versatility of survey research is also an asset. Surveys are used by all kinds of people in all kinds of professions. They can measure anything that people can self-report. Surveys are also appropriate for exploratory, descriptive, and explanatory research questions (though exploratory projects may benefit more from qualitative methods). Moreover, they can be delivered in a number of flexible ways, including via email, mail, text, and phone. We will describe the many ways to implement a survey later on in this chapter.
In sum, the following are benefits of survey research:
- Cost-effectiveness
- Generalizability
- Variety
- Reliability
- Versatility
Weaknesses of survey methods
As with all methods of data collection, survey research also comes with a few drawbacks. First, while one might argue that surveys are flexible in the sense that you can ask any kind of question about any topic we want, once the survey is given to the first participant, there is nothing you can do to change the survey without biasing your results. Because surveys want to minimize the amount of influence that a researcher has on the participants, everyone gets the same questionnaire. Let’s say you mail a questionnaire out to 1,000 people and then discover, as responses start coming in, that your phrasing on a particular question seems to be confusing a number of respondents. At this stage, it’s too late for a do-over or to change the question for the respondents who haven’t yet returned their questionnaires. When conducting qualitative interviews or focus groups, on the other hand, a researcher can provide respondents further explanation if they’re confused by a question and can tweak their questions as they learn more about how respondents seem to understand them. Survey researchers often ask colleagues, students, and others to pilot test their questionnaire and catch any errors prior to sending it to participants; however, once researchers distribute the survey to participants, there is little they can do to change anything.
Depth can also be a problem with surveys. Survey questions are standardized; thus, it can be difficult to ask anything other than very general questions that a broad range of people will understand. Because of this, survey results may not provide as detailed of an understanding as results obtained using methods of data collection that allow a researcher to more comprehensively examine whatever topic is being studied. Let’s say, for example, that you want to learn something about voters’ willingness to elect an African American president. General Social Survey respondents were asked, “If your party nominated an African American for president, would you vote for him if he were qualified for the job?” (Smith, 2009).[231] Respondents were then asked to respond either yes or no to the question. But what if someone’s opinion was more complex than could be answered with a simple yes or no? What if, for example, a person was willing to vote for an African American man, but only if that person was a conservative, moderate, anti-abortion, antiwar, etc. Then we would miss out on that additional detail when the participant responded "yes," to our question. Of course, you could add a question to your survey about moderate vs. radical candidates, but could you do that for all of the relevant attributes of candidates for all people? Moreover, how do you know that moderate or antiwar means the same thing to everyone who participates in your survey? Without having a conversation with someone and asking them follow up questions, survey research can lack enough detail to understand how people truly think.
In sum, potential drawbacks to survey research include the following:
- Inflexibility
- Lack of depth
- Problems specific to cross-sectional surveys, which we will address in the next section.
Secondary analysis of survey data
This chapter is designed to help you conduct your own survey, but that is not the only option for social work researchers. Look back to Chapter 2 and recall our discussion of secondary data analysis. As we talked about previously, using data collected by another researcher can have a number of benefits. Well-funded researchers have the resources to recruit a large representative sample and ensure their measures are valid and reliable prior to sending them to participants. Before you get too far into designing your own data collection, make sure there are no existing data sets out there that you can use to answer your question. We refer you to Chapter 2 for all full discussion of the strengths and challenges of using secondary analysis of survey data.
Key Takeaways
- Strengths of survey research include its cost effectiveness, generalizability, variety, reliability, and versatility.
- Weaknesses of survey research include inflexibility and lack of potential depth. There are also weaknesses specific to cross-sectional surveys, the most common type of survey.
Exercises
If you are using quantitative methods in a student project, it is very likely that you are going to use survey design to collect your data.
- Check to make sure that your research question and study fit best with survey design using the criteria in this section
- Remind yourself of any limitations to generalizability based on your sampling frame.
- Refresh your memory on the operational definitions you will use for your dependent and independent variables.
12.2 Collecting data using surveys
Learning Objectives
Learners will be able to...
- Distinguish between cross-sectional and longitudinal surveys
- Identify the strengths and limitations of each approach to collecting survey data, including the timing of data collection and how the questionnaire is delivered to participants
As we discussed in the previous chapter, surveys are versatile and can be shaped and suited to most topics of inquiry. While that makes surveys a great research tool, it also means there are many options to consider when designing your survey. The two main considerations for designing surveys is how many times researchers will collect data from participants and how researchers contact participants and record responses to the questionnaire.
Cross-sectional surveys: A snapshot in time
Think back to the last survey you took. Did you respond to the questionnaire once or did you respond to it multiple times over a long period? Cross-sectional surveys are administered only one time. Chances are the last survey you took was a cross-sectional survey—a one-shot measure of a sample using a questionnaire. And chances are if you are conducting a survey to collect data for your project, it will be cross-sectional simply because it is more feasible to collect data once than multiple times.
Let's take a very recent example, the COVID-19 pandemic. Enriquez and colleagues (2021)[232] wanted to understand the impact of the pandemic on undocumented college students' academic performance, attention to academics, financial stability, mental and physical health, and other factors. In cooperation with offices of undocumented student support at eighteen campuses in California, the researchers emailed undocumented students a few times from March through June of 2020 and asked them to participate in their survey via an online questionnaire. Their survey presents an compelling look at how COVID-19 worsened existing economic inequities in this population.
Strengths and weaknesses of cross-sectional surveys
Cross-sectional surveys are great. They take advantage of many of the strengths of survey design. They are easy to administer since you only need to measure your participants once, which makes them highly suitable for student projects. Keeping track of participants for multiple measures takes time and energy, two resources always under constraint in student projects. Conducting a cross-sectional survey simply requires collecting a sample of people and getting them to fill out your questionnaire—nothing more.
That convenience comes with a tradeoff. When you only measure people at one point in time, you can miss a lot. The events, opinions, behaviors, and other phenomena that such surveys are designed to assess don’t generally remain the same over time. Because nomothetic causal explanations seek a general, universal truth, surveys conducted a decade ago do not represent what people think and feel today or twenty years ago. In student research projects, this weakness is often compounded by the use of availability sampling, which further limits the generalizability of the results in student research projects to other places and times beyond the sample collected by the researcher. Imagine generalizing results on the use of telehealth in social work prior to the COVID-19 pandemic or managers' willingness to allow employees to telecommute. Both as a result of shocks to the system—like COVID-19—and the linear progression of cultural, economic and social change—like human rights movements—cross-sectional surveys can never truly give us a timeless causal explanation. In our example about undocumented students during COVID-19, you can say something about the way things were in the moment that you administered your survey, but it is difficult to know whether things remained that way for long after you administered your survey or describe patterns that go back far in time.
Of course, just as society changes over time, so do people. Because cross-sectional surveys only measure people at one point in time, they have difficulty establishing cause-and-effect relationships for individuals because they cannot clearly establish whether the cause came before the effect. If your research question were about how school discipline (our independent variable) impacts substance use (our dependent variable), you would want to make that any changes in our dependent variable, substance use, came after changes in school discipline. That is, if your hypothesis is that says school discipline causes increases in substance use, you must establish that school discipline came first and increases in substance use came afterwards. However, it is perhaps just as likely that increased substance use might cause increases in school discipline. If you sent a cross-sectional survey to students asking them about their substance use and disciplinary record, you would get back something like "tried drugs or alcohol 6 times" and "has been suspended 5 times." You could see whether similar patterns existed in other students, but you wouldn't be able to tell which was the cause or the effect.
Because of these limitations, cross-sectional surveys are limited in how well they can establish whether a nomothetic causal relationship is true or not. Surveys are still a key part of establishing causality. But they need additional help and support to make causal arguments. That might come from combining data across surveys in meta-analyses and systematic reviews, integrating survey findings with theories that explain causal relationships among variables in the study, as well as corroboration from research using other designs, theories, and paradigms. Scientists can establish causal explanations, in part, based on survey research. However, in keeping with the assumptions of postpositivism, the picture of reality that emerges from survey research is only our best approximation of what is objectively true about human beings in the social world. Science requires a multi-disciplinary conversation among scholars to continually improve our understanding.
Longitudinal surveys: Measuring change over time
One way to overcome this sometimes-problematic aspect of cross-sectional surveys is to administer a longitudinal survey. Longitudinal surveys enable a researcher to make observations over some extended period of time. There are several types of longitudinal surveys, including trend, panel, and cohort surveys. We’ll discuss all three types here, along with retrospective surveys, which fall somewhere in between cross-sectional and longitudinal surveys.
The first type of longitudinal survey is called a trend survey. The main focus of a trend survey is, perhaps not surprisingly, trends. Researchers conducting trend surveys are interested in how people in a specific group change over time. Each time researchers gather data, they survey different people from the identified group because they are interested in the trends of the whole group, rather than changes in specific individuals. Let’s look at an example.
The Monitoring the Future Study is a trend study that described the substance use of high school children in the United States. It’s conducted annually by the National Institute on Drug Abuse (NIDA). Each year, the NIDA distributes surveys to children in high schools around the country to understand how substance use and abuse in that population changes over time. Perhaps surprisingly, fewer high school children reported using alcohol in the past month than at any point over the last 20 years—a fact that often surprises people because it cuts against the stereotype of adolescents engaging in ever-riskier behaviors. Nevertheless, recent data also reflected an increased use of e-cigarettes and the popularity of e-cigarettes with no nicotine over those with nicotine. By tracking these data points over time, we can better target substance abuse prevention programs towards the current issues facing the high school population.
Unlike trend surveys, panel surveys require the same people participate in the survey each time it is administered. As you might imagine, panel studies can be difficult and costly. Imagine trying to administer a survey to the same 100 people every year, for 5 years in a row. Keeping track of where respondents live, when they move, and when they change phone numbers takes resources that researchers often don’t have. However, when the researchers do have the resources to carry out a panel survey, the results can be quite powerful. The Youth Development Study (YDS), administered from the University of Minnesota, offers an excellent example of a panel study.
Since 1988, YDS researchers have administered an annual survey to the same 1,000 people. Study participants were in ninth grade when the study began, and they are now in their thirties. Several hundred papers, articles, and books have been written using data from the YDS. One of the major lessons learned from this panel study is that work has a largely positive impact on young people (Mortimer, 2003).[233] Contrary to popular beliefs about the impact of work on adolescents’ school performance and transition to adulthood, work increases confidence, enhances academic success, and prepares students for success in their future careers. Without this panel study, we may not be aware of the positive impact that working can have on young people.
Another type of longitudinal survey is a cohort survey. In a cohort survey, the participants have a defining characteristic that the researcher is interested in studying. The same people don’t necessarily participate from year to year, but all participants must meet whatever categorical criteria fulfill the researcher’s primary interest. Common cohorts that researchers study include people of particular generations or people born around the same time period, graduating classes, people who began work in a given industry at the same time, or perhaps people who have some specific historical experience in common. An example of this sort of research can be seen in Lindert and colleagues (2020)[234] work on healthy aging in men. Their article is a secondary analysis of longitudinal data collected as part of the Veterans Affairs Normative Aging Study conducted in 1985, 1988, and 1991.
Strengths and weaknesses of longitudinal surveys
All three types of longitudinal surveys share the strength that they permit a researcher to make observations over time. Whether a major world event takes place or participants mature, researchers can effectively capture the subsequent potential changes in the phenomenon or behavior of interest. This is the key strength of longitudinal surveys—their ability to establish temporality needed for nomothetic causal explanations. Whether your project investigates changes in society, communities, or individuals, longitudinal designs improve on cross-sectional designs by providing data at multiple points in time that better establish causality.
Of course, all of that extra data comes at a high cost. If a panel survey takes place over ten years, the research team must keep track of every individual in the study for those ten years, ensuring they have current contact information for their sample the whole time. Consider this study which followed people convicted of driving under the influence of drugs or alcohol (Kleschinsky et al., 2009).[235] It took an average of 8.6 contacts for participants to complete follow-up surveys, and while this was a difficult-to-reach population, researchers engaging in longitudinal research must prepare for considerable time and expense in tracking participants. Keeping in touch with a participant for a prolonged period of time likely requires building participant motivation to stay in the study, maintaining contact at regular intervals, and providing monetary compensation. Panel studies are not the only costly longitudinal design. Trend studies need to recruit a new sample every time they collect a new wave of data at additional cost and time.
In my years as a research methods instructor, I have never seen a longitudinal survey design used in a student research project because students do not have enough time to complete them. Cross-sectional surveys are simply the most convenient and feasible option. Nevertheless, social work researchers with more time to complete their studies use longitudinal surveys to understand causal relationships that they cannot manipulate themselves. A researcher could not ethically experiment on participants by assigning a jail sentence or relapse, but longitudinal surveys allow us to systematically investigate such sensitive phenomena ethically. Indeed, because longitudinal surveys observe people in everyday life, outside of the artificial environment of the laboratory (as in experiments), the generalizability of longitudinal survey results to real-world situations may make them superior to experiments, in some cases.
Table 12.1 summarizes these three types of longitudinal surveys.
Sample type | Description |
Trend | Researcher examines changes in trends over time; the same people do not necessarily participate in the survey more than once. |
Panel | Researcher surveys the exact same sample several times over a period of time. |
Cohort | Researcher identifies a defining characteristic and then regularly surveys people who have that characteristic. |
Retrospective surveys: Good, but not the best of both worlds
Retrospective surveys try to strike a middle ground between the two types of surveys. They are similar to other longitudinal studies in that they deal with changes over time, but like a cross-sectional study, data are collected only once. In a retrospective survey, participants are asked to report events from the past. By having respondents report past behaviors, beliefs, or experiences, researchers are able to gather longitudinal-like data without actually incurring the time or expense of a longitudinal survey. Of course, this benefit must be weighed against the possibility that people’s recollections of their pasts may be faulty. Imagine that you are participating in a survey that asks you to respond to questions about your feelings on Valentine’s Day. As last Valentine’s Day can’t be more than 12 months ago, there is a good chance that you are able to provide a pretty accurate response of how you felt. Now let’s imagine that the researcher wants to know how last Valentine’s Day compares to previous Valentine’s Days, so the survey asks you to report on the preceding six Valentine’s Days. How likely is it that you will remember how you felt at each one? Will your responses be as accurate as they might have been if your data were collected via survey once a year rather reporting the past few years today? The main limitation with retrospective surveys are that they are not as reliable as cross-section or longitudinal surveys. That said, retrospective surveys are a feasible way to collect longitudinal data when the researcher only has access to the population once, and for this reason, they may be worth the drawback of greater risk of bias and error in the measurement process.
Because quantitative research seeks to build nomothetic causal explanations, it is important to determine the order in which things happen. When using survey design to investigate causal relationships between variables in a research question, longitudinal surveys are certainly preferable because they can track changes over time and therefore provide stronger evidence for cause-and-effect relationships. As we discussed, the time and cost required to administer a longitudinal survey can be prohibitive, and most survey research in the scholarly literature is cross-sectional because it is more feasible to collect data once. Well designed cross-sectional surveys provide can provide important evidence for a causal relationship, even if it is imperfect. Once you decide how many times you will collect data from your participants, the next step is to figure out how to get your questionnaire in front of participants.
Self-administered questionnaires
If you are planning to conduct a survey for your research project, chances are you have thought about how you might deliver your survey to participants. If you don't have a clear picture yet, look back at your work from Chapter 11 on the sampling approach for your project. How are you planning to recruit participants from your sampling frame? If you are considering contacting potential participants via phone or email, perhaps you want to collect your data using a phone or email survey attached to your recruitment materials. If you are planning to collect data from students, colleagues, or other people you most commonly interact with in-person, maybe you want to consider a pen-and-paper survey to collect your data conveniently. As you review the different approaches to administering surveys below, consider how each one matches with your sampling approach and the contact information you have for study participants. Ensure that your sampling approach is feasible conduct before building your survey design from it. For example, if you are planning to administer an online survey, make sure you have email addresses to send your questionnaire or permission to post your survey to an online forum.
Surveys are a versatile research approach. Survey designs vary not only in terms of when they are administered but also in terms of how they are administered. One common way to collect data is in the form of self-administered questionnaires. Self-administered means that the research participant completes the questions independently, usually in writing. Paper questionnaires can be delivered to participants via mail or in person whenever you see your participants. Generally, student projects use in-person collection of paper questionnaires, as mail surveys require physical addresses, spending money, and waiting for the mail. It is common for academic researchers to administer surveys in large social science classes, so perhaps you have taken a survey that was given to you in-person during undergraduate classes. These professors were taking advantage of the same convenience sampling approach that student projects often do. If everyone in your sampling frame is in one room, going into that room and giving them a quick paper survey to fill out is a feasible and convenient way to collect data. Availability sampling may involve asking your sampling frame to complete your study during when they naturally meet—colleagues at a staff meeting, students in the student lounge, professors in a faculty meeting—and self-administered questionnaires are one way to take advantage of this natural grouping of your target population. Try to pick a time and situation when people have the downtime needed to complete your questionnaire, and you can maximize the likelihood that people will participate in your in-person survey. Of course, this convenience may come at the cost of privacy and confidentiality. If your survey addresses sensitive topics, participants may alter their responses because they are in close proximity to other participants while they complete the survey. Regardless of whether participants feel self-conscious or talk about their answers with one another, by potentially altering the participants' honest response you may have introduced bias or error into your measurement of the variables in your research question.
Because student research projects often rely on availability sampling, collecting data using paper surveys from whoever in your sampling frame is convenient makes sense because the results will be of limited generalizability. But for researchers who aim to generalize (and students who want to publish their study!), self-administered surveys may be better distributed via the mail or electronically. While is very unusual for a student project to send a questionnaire via the mail, this method is used quite often in the scholarly literature and for good reason. Survey researchers who deliver their surveys via postal mail often provide some advance notice to respondents about the survey to get people thinking and preparing to complete it. They may also follow up with their sample a few weeks after their survey has been sent out. This can be done not only to remind those who have not yet completed the survey to please do so but also to thank those who have already returned the survey. Most survey researchers agree that this sort of follow-up is essential for improving mailed surveys’ return rates (Babbie, 2010). [6] Other helpful tools to increase response rate are to create an attractive and professional survey, offer monetary incentives, and provide a pre-addressed, stamped return envelope. These are also effective for other types of surveys.
While snail mail may not be feasible for student project, it is increasingly common for student projects and social science projects to use email and other modes of online delivery like social media to collect responses to a questionnaire. Researchers like online delivery for many reasons. It's quicker than knocking on doors in a neighborhood for an in-person survey or waiting for mailed surveys to be returned. It's cheap, too. There are many free tools like Google Forms and Survey Monkey (which includes a premium option). While you are affiliated with a university, you may have access to commercial research software like Redcap or Qualtrics which provide much more advanced tools for collecting survey data than free options. Online surveys can take advantage of the advantages of computer-mediated data collection by playing a video before asking a question, tracking how long participants take to answer each question, and making sure participants don't fill out the survey more than once (to name a few examples. Moreover, survey data collected via online forms can be exported for analysis in spreadsheet software like Google Sheets or Microsoft Excel or statistics software like SPSS or JASP, a free and open-source alternative to SPSS. While the exported data still need to be checked before analysis, online distribution saves you the trouble of manually inputting every response a participant writes down on a paper survey into a computer to analyze.
The process of collecting data online depends on your sampling frame and approach to recruitment. If your project plans to reach out to people via email to ask them to participate in your study, you should attach your survey to your recruitment email. You already have their attention, and you may not get it again (even if you remind them). Think pragmatically. You will need access to the email addresses of people in your sampling frame. You may be able to piece together a list of email addresses based on public information (e.g., faculty email addresses are on their university webpage, practitioner emails are in marketing materials). In other cases, you may know of a pre-existing list of email addresses to which your target population subscribes (e.g., all undergraduate students in a social work program, all therapists at an agency), and you will need to gain the permission of the list's administrator recruit using the email platform. Other projects will identify an online forum in which their target population congregates and recruit participants there. For example, your project might identify a Facebook group used by students in your social work program or practitioners in your local area to distribute your survey. Of course, you can post a survey to your personal social media account (or one you create for the survey), but depending on your question, you will need a detailed plan on how to reach participants with enough relevant knowledge about your topic to provide informed answers to your questionnaire.
Many of the suggestions that were provided earlier to improve the response rate of hard copy questionnaires also apply to online questionnaires, including the development of an attractive survey and sending reminder emails. One challenge not present in mail surveys is the spam filter or junk mail box. While people will at least glance at recruitment materials send via mail, email programs may automatically filter out recruitment emails so participants never see them at all. While the financial incentives that can be provided online differ from those that can be given in person or by mail, online survey researchers can still offer completion incentives to their respondents. Over the years, I’ve taken numerous online surveys. Often, they did not come with any incentive other than the joy of knowing that I’d helped a fellow social scientist do their job. However, some surveys have their perks. One survey offered a coupon code to use for $30 off any order at a major online retailer and another allowed the opportunity to be entered into a lottery with other study participants to win a larger gift, such as a $50 gift card or a tablet computer. Student projects should not pay participants unless they have grant funding to cover that cost, and there should be no expectations of any out-of-pocket costs for students to complete their research project.
One area in which online surveys are less suitable than mail or in-person surveys is when your target population includes individuals with limited, unreliable, or no access to the internet or individuals with limited computer skills. For these groups, an online survey is inaccessible. At the same time, online surveys offer the most feasible way to collect data anonymously. By posting recruitment materials to a Facebook group or list of practitioners at an agency, you can avoid collecting identifying information from people who participated in your study. For studies that address sensitive topics, online surveys also offer the opportunity to complete the survey privately (again, assuming participants have access to a phone or personal computer). If you have the person's email address, physical address, or met them in-person, your participants are not anonymous, but if you need to collect data anonymously, online tools offer a feasible way to do so.
The best way to collect data using self-administered questionnaires depends on numerous factors. The strengths and weaknesses of in-person, mail, and electronic self-administered surveys are reviewed in Table 12.2. Ultimately, you must make the best decision based on its congruence with your sampling approach and what you can feasibly do. Decisions about survey design should be done with a deep appreciation for your study's target population and how your design choices may impact their responses to your survey.
In-person | Electronic | ||
Cost | Depends: it's easy if your participants congregate in an accessible location; but costly to go door-to-door to collect surveys | Depends: it's too expensive for unfunded projects but a cost-effective option for funded projects | Strength: it's free and easy to use online survey tools |
Time | Depends: it's easy if your participants congregate in an accessible location; but time-consuming to go door-to-door to collect surveys | Weakness: it can take a while for mail to travel | Strength: delivery is instantaneous |
Response rate | Strength: it can be harder to ignore someone in person | Weakness: it is easy to ignore junk mail, solicitations | Weakness: it's easy to ignore junk mail; spam filter may block you |
Privacy | Weakness: it is very difficult to provide anonymity and people may have to respond in a public place, rather than privately in a safe place | Depends: it cannot provide true anonymity as other household members may see participants' mail, but people can likely respond privately in a safe place | Strength: can collect data anonymously and respond privately in a safe place |
Reaching difficult populations | Strength: by going where your participants already gather, you increase your likelihood of getting responses | Depends: it reaches those without internet, but misses those who change addresses often (e.g., college students) | Depends: it misses those who change phone or emails often or don’t use the internet; but reaches online communities |
Interactivity | Weakness: paper questionnaires are not interactive | Weakness: paper questionnaires are not interactive | Strength: electronic questionnaires can include multimedia elements, interactive questions and response options |
Data input | Weakness: researcher inputs data manually | Weakness: researcher inputs data manually | Strength: survey software inputs data automatically |
Quantitative interviews: Researcher-administered questionnaires
There are some cases in which it is not feasible to provide a written questionnaire to participants, either on paper or digitally. In this case, the questionnaire can be administered verbally by the researcher to respondents. Rather than the participant reading questions independently on paper or digital screen, the researcher reads questions and answer choices aloud to participants and records their responses for analysis. Another word for this kind of questionnaire is an interview schedule. It's called a schedule because each question and answer is posed in the exact same way each time.
Consistency is key in quantitative interviews. By presenting each question and answer option in exactly the same manner to each interviewee, the researcher minimizes the potential for the interviewer effect, which encompasses any possible changes in interviewee responses based on how or when the researcher presents question-and-answer options. Additionally, in-person surveys may be video recorded and you can typically take notes without distracting the interviewee due to the closed-ended nature of survey questions, making them helpful for identifying how participants respond to the survey or which questions might be confusing.
Quantitative interviews can take place over the phone or in-person. Phone surveys are often conducted by political polling firms to understand how the electorate feels about certain candidates or policies. In both cases, researchers verbally pose questions to participants. For many years, live-caller polls (a live human being calling participants in a phone survey) were the gold-standard in political polling. Indeed, phone surveys were excellent for drawing representative samples prior to mobile phones. Unlike landlines, cell phone numbers are portable across carriers, associated with individuals as opposed to households, and do not change their first three numbers when people move to a new geographical area. For this reason, many political pollsters have moved away from random-digit phone dialing and toward a mix of data collection strategies like texting-based surveys or online panels to recruit a representative sample and generalizable results for the target population (Silver, 2021).[236]
I guess I should admit that I often decline to participate in phone studies when I am called. In my defense, it's usually just a customer service survey! My point is that it is easy and even socially acceptable to abruptly hang up on an unwanted caller asking you to participate in a survey, and given the high incidence of spam calls, many people do not pick up the phone for numbers they do not know. We will discuss response rates in greater detail at the end of the chapter. One of the benefits of phone surveys is that a person can complete them in their home or a safe place. At the same time, a distracted participant who is cooking dinner, tending to children, or driving may not provide accurate answers to your questions. Phone surveys make it difficult to control the environment in which a person answers your survey. When administering a phone survey, the researcher can record responses on a paper questionnaire or directly into a computer program. For large projects in which many interviews must be conducted by research staff, computer-assisted telephone interviewing (CATI) ensures that each question and answer option are presented the same way and input into the computer for analysis. For student projects, you can read from a digital or paper copy of your questionnaire and record participants responses into a spreadsheet program like Excel or Google Sheets.
Interview schedules must be administered in such a way that the researcher asks the same question the same way each time. While questions on self-administered questionnaires may create an impression based on the way they are presented, having a researcher pose the questions verbally introduces additional variables that might influence a respondent. Controlling one's wording, tone of voice, and pacing can be difficult over the phone, but it is even more challenging in-person because the researcher must also control their non-verbal expressions and behaviors that may bias survey respondents. Even a slight shift in emphasis or wording may bias the respondent to answer differently. As we've mentioned earlier, consistency is key with quantitative data collection—and human beings are not necessarily known for their consistency. But what happens if a participant asks a question of the researcher? Unlike self-administered questionnaires, quantitative interviews allow the participant to speak directly with the researcher if they need more information about a question. While this can help participants respond accurately, it can also introduce inconsistencies between how the survey administered to each participant. Ideally, the researcher should draft sample responses researchers might provide to participants if they are confused on certain survey items. The strengths and weaknesses of phone and in-person quantitative interviews are summarized in Table 12.3 below.
In-person | Phone | |
Cost | Depends: it's easy if your participants congregate in an accessible location; but costly to go door-to-door to collect surveys | Strength: phone calls are free or low-cost |
Time | Weakness: quantitative interviews take a long time because each question must be read aloud to each participant | Weakness: quantitative interviews take a long time because each question must be read aloud to each participant |
Response rate | Strength: it can be harder to ignore someone in person | Weakness: it is easy to ignore unwanted or unexpected calls |
Privacy | Weakness: it is very difficult to provide anonymity and people will have to respond in a public place, rather than privately in a safe place | Depends: it is difficult for the researcher to control the context in which the participant responds, which might be private or public, safe or unsafe |
Reaching difficult populations | Strength: by going where your participants already gather, you increase your likelihood of getting responses | Weakness: it is easy to ignore unwanted or unexpected calls |
Interactivity | Weakness: interview schedules are kept simple because questions are read aloud | Weakness: interview schedules are kept simple because questions are read aloud |
Data input | Weakness: researcher inputs data manually | Weakness: researcher inputs data manually |
Students using survey design should settle on a delivery method that presents the most favorable tradeoff between strengths and challenges for their unique context. One key consideration is your sampling approach. If you already have the participant on the phone and they agree to be a part of your sample...you may as well ask them your survey questions right then if the participant can do so. These feasibility concerns make in-person quantitative interviews a poor fit for student projects. It is far easier and quicker to distribute paper surveys to a group of people it is to administer the survey verbally to each participant individually. Ultimately, you are the one who has to carry out your research design. Make sure you can actually follow your plan!
Key Takeaways
- Time is a factor in determining what type of survey a researcher administers; cross-sectional surveys are administered at one time, and longitudinal surveys are at multiple points in time.
- Retrospective surveys offer some of the benefits of longitudinal research while only collecting data once but may be less reliable.
- Self-administered questionnaires may be delivered in-person, online, or via mail.
- Interview schedules are used with in-person or phone surveys (a.k.a. quantitative interviews).
- Each way to administer surveys comes with benefits and drawbacks.
Exercises
In this section, we assume that you are using a cross-sectional survey design. But how will you deliver your survey? Recall your sampling approach you developed in Chapter 10. Consider the following questions when evaluating delivery methods for surveys.
- Can you attach your survey to your recruitment emails, calls, or other contacts with potential participants?
- What contact information (e.g., phone number, email address) do you need to deliver your survey?
- Do you need to maintain participant anonymity?
- Is there anything unique about your target population or sampling frame that may impact survey research?
Imagine you are a participant in your survey.
- Beginning with the first contact for recruitment into your study and ending with a completed survey, describe each step of the data collection process from the perspective of a person responding to your survey. You should be able to provide a pretty clear timeline of how your survey will proceed at this point, even if some of the details eventually change.
12.3 Bias and cultural considerations
Learning Objectives
Learners will be able to...
- Identify the logic behind survey design as it relates to nomothetic causal explanations and quantitative methods.
- Discuss sources of bias and error in surveys.
- Apply criticisms of survey design to ensure more equitable research.
The logic of survey design
As you may have noticed with survey designs, everything about them is intentional—from the delivery method, to question wording, to what response options are offered. It's helpful to spell out the underlying logic behind survey design and how well it meets the criteria for nomothetic causal explanations. Because we are trying to isolate the causal relationship between our dependent and independent variable, we must try to control for as many possible confounding factors as possible. Researchers using survey design do this in multiple ways:
- Using well-established, valid, and reliable measures of key variables, including triangulating variables using multiple measures
- Measuring control variables and including them in their statistical analysis
- Avoiding biased wording, presentation, or procedures that might influence the sample to respond differently
- Pilot testing questionnaires, preferably with people similar to the sample
In other words, survey researchers go through a lot of trouble to make sure they are not the ones causing the changes they observe in their study. Of course, every study falls a little short of this ideal bias-free design, and some studies fall far short of it. This section is all about how bias and error can inhibit the ability of survey results to meaningfully tell us about causal relationships in the real world.
Bias in questionnaires, questions, and response options
The use of surveys is based on methodological assumptions common to research in the postpositivist paradigm. Figure 12.5 presents a model the methodological assumptions behind survey design—what researchers assume is the cognitive processes that people engage in when responding to a survey item (Sudman, Bradburn, & Schwarz, 1996).[237] Respondents must interpret the question, retrieve relevant information from memory, form a tentative judgment, convert the tentative judgment into one of the response options provided (e.g., a rating on a 1-to-7 scale), and finally edit their response as necessary.
Consider, for example, the following questionnaire item:
- How many alcoholic drinks do you consume in a typical day?
-
- a lot more than average
- somewhat more than average
- average
- somewhat fewer than average
- a lot fewer than average
Although this item at first seems straightforward, it poses several difficulties for respondents. First, they must interpret the question. For example, they must decide whether “alcoholic drinks” include beer and wine (as opposed to just hard liquor) and whether a “typical day” is a typical weekday, typical weekend day, or both. Even though Chang and Krosnick (2003)[238] found that asking about “typical” behavior has been shown to be more valid than asking about “past” behavior, their study compared “typical week” to “past week” and may be different when considering typical weekdays or weekend days).
Once respondents have interpreted the question, they must retrieve relevant information from memory to answer it. But what information should they retrieve, and how should they go about retrieving it? They might think vaguely about some recent occasions on which they drank alcohol, they might carefully try to recall and count the number of alcoholic drinks they consumed last week, or they might retrieve some existing beliefs that they have about themselves (e.g., “I am not much of a drinker”). Then they must use this information to arrive at a tentative judgment about how many alcoholic drinks they consume in a typical day. For example, this mental calculation might mean dividing the number of alcoholic drinks they consumed last week by seven to come up with an average number per day. Then they must format this tentative answer in terms of the response options actually provided. In this case, the options pose additional problems of interpretation. For example, what does “average” mean, and what would count as “somewhat more” than average? Finally, they must decide whether they want to report the response they have come up with or whether they want to edit it in some way. For example, if they believe that they drink a lot more than average, they might not want to report that for fear of looking bad in the eyes of the researcher, so instead, they may opt to select the “somewhat more than average” response option.
At first glance, this question is clearly worded and includes a set of mutually exclusive, exhaustive, and balanced response options. However, it is difficult to follow the logic of what is truly being asked. Again, this complexity can lead to unintended influences on respondents’ answers. Confounds like this are often referred to as context effects because they are not related to the content of the item but to the context in which the item appears (Schwarz & Strack, 1990).[239] For example, there is an item-order effect when the order in which the items are presented affects people’s responses. One item can change how participants interpret a later item or change the information that they retrieve to respond to later items. For example, researcher Fritz Strack and his colleagues asked college students about both their general life satisfaction and their dating frequency (Strack, Martin, & Schwarz, 1988).[240] When the life satisfaction item came first, the correlation between the two was only −.12, suggesting that the two variables are only weakly related. But when the dating frequency item came first, the correlation between the two was +.66, suggesting that those who date more have a strong tendency to be more satisfied with their lives. Reporting the dating frequency first made that information more accessible in memory so that they were more likely to base their life satisfaction rating on it.
The response options provided can also have unintended effects on people’s responses (Schwarz, 1999).[241] For example, when people are asked how often they are “really irritated” and given response options ranging from “less than once a year” to “more than once a month,” they tend to think of major irritations and report being irritated infrequently. But when they are given response options ranging from “less than once a day” to “several times a month,” they tend to think of minor irritations and report being irritated frequently. People also tend to assume that middle response options represent what is normal or typical. So if they think of themselves as normal or typical, they tend to choose middle response options (i.e., fence-sitting). For example, people are likely to report watching more television when the response options are centered on a middle option of 4 hours than when centered on a middle option of 2 hours. To mitigate against order effects, rotate questions and response items when there is no natural order. Counterbalancing or randomizing the order of presentation of the questions in online surveys are good practices for survey questions and can reduce response order effects that show that among undecided voters, the first candidate listed in a ballot receives a 2.5% boost simply by virtue of being listed first![242]
Other context effects that can confound the causal relationship under examination in a survey include social desirability bias, recall bias, and common method bias. As we discussed in Chapter 11, social desirability bias occurs when we create questions that lead respondents to answer in ways that don't reflect their genuine thoughts or feelings to avoid being perceived negatively. With negative questions such as, "do you think that your project team is dysfunctional?", "is there a lot of office politics in your workplace?", or "have you ever illegally downloaded music files from the Internet?", the researcher may not get truthful responses. This tendency among respondents to “spin the truth” in order to portray themselves in a socially desirable manner is called social desirability bias, which hurts the validity of responses obtained from survey research. There is practically no way of overcoming social desirability bias in a questionnaire survey outside of wording questions using nonjudgmental language. However, in a quantitative interview, a researcher may be able to spot inconsistent answers and ask probing questions or use personal observations to supplement respondents’ comments.
As you can see, participants' responses to survey questions often depend on their motivation, memory, and ability to respond. Particularly when dealing with events that happened in the distant past, respondents may not adequately remember their own motivations or behaviors, or perhaps their memory of such events may have evolved with time and are no longer retrievable. This phenomenon is know as recall bias. For instance, if a respondent is asked to describe their utilization of computer technology one year ago, their response may not be accurate due to difficulties with recall. One possible way of overcoming the recall bias is by anchoring the respondent’s memory in specific events as they happened, rather than asking them to recall their perceptions and motivations from memory.
Cross-sectional and retrospective surveys are particularly vulnerable to recall bias as well as common method bias. Common method bias can occur when measuring both independent and dependent variables at the same time (like a cross-section survey) and using the same instrument (like a questionnaire). In such cases, the phenomenon under investigation may not be adequately separated from measurement artifacts. Standard statistical tests are available to test for common method bias, such as Harmon’s single-factor test (Podsakoff et al. 2003),[243], Lindell and Whitney’s (2001)[244] market variable technique, and so forth. This bias can be potentially avoided if the independent and dependent variables are measured at different points in time, using a longitudinal survey design, or if these variables are measured using different data sources, such as medical or student records rather than self-report questionnaires.
Bias in recruitment and response to surveys
So far, we have discussed errors that researchers make when they design questionnaires that accidentally influence participants to respond one way or another. However, even well designed questionnaires can produce biased results when administered to survey respondents because of the biases in who actually responds to your survey.
Survey research is notorious for its low response rates. A response rate of 15-20% is typical in a mail survey, even after two or three reminders. If the majority of the targeted respondents fail to respond to a survey, then a legitimate concern is whether non-respondents are not responding due to a systematic reason, which may raise questions about the validity and generalizability of the study’s results, especially as this relates to the representativeness of the sample. This is known as non-response bias. For instance, dissatisfied customers tend to be more vocal about their experience than satisfied customers, and are therefore more likely to respond to satisfaction questionnaires. Hence, any respondent sample is likely to have a higher proportion of dissatisfied customers than the underlying population from which it is drawn.[245] In this instance, the results would not be generalizable beyond this one biased sample. Here are several strategies for addressing non-response bias:
- Advance notification: A short letter sent in advance to the targeted respondents soliciting their participation in an upcoming survey can prepare them and improve likelihood of response. The letter should state the purpose and importance of the study, mode of data collection (e.g., via a phone call, a survey form in the mail, etc.), and appreciation for their cooperation. A variation of this technique may request the respondent to return a postage-paid postcard indicating whether or not they are willing to participate in the study.
- Ensuring that content is relevant: If a survey examines issues of relevance or importance to respondents, then they are more likely to respond.
- Creating a respondent-friendly questionnaire: Shorter survey questionnaires tend to elicit higher response rates than longer questionnaires. Furthermore, questions that are clear, inoffensive, and easy to respond to tend to get higher response rates.
- Having the project endorsed: For organizational surveys, it helps to gain endorsement from a senior executive attesting to the importance of the study to the organization. Such endorsements can be in the form of a cover letter or a letter of introduction, which can improve the researcher’s credibility in the eyes of the respondents.
- Providing follow-up requests: Multiple follow-up requests may coax some non-respondents to respond, even if their responses are late.
- Ensuring that interviewers are properly trained: Response rates for interviews can be improved with skilled interviewers trained on how to request interviews, use computerized dialing techniques to identify potential respondents, and schedule callbacks for respondents who could not be reached.
- Providing incentives: Response rates, at least with certain populations, may increase with the use of incentives in the form of cash or gift cards, giveaways such as pens or stress balls, entry into a lottery, draw or contest, discount coupons, the promise of contribution to charity, and so forth.
- Providing non-monetary incentives: Organizations in particular are more prone to respond to non-monetary incentives than financial incentives. An example of such a non-monetary incentive sharing trainings and other resources based on the results of a project with a key stakeholder.
- Making participants fully aware of confidentiality and privacy: Finally, assurances that respondents’ private data or responses will not fall into the hands of any third party may help improve response rates.
Nonresponse bias impairs the ability of the researcher to generalize from the total number of respondents in the sample to the overall sampling frame. Of course, this assumes that the sampling frame is itself representative and generalizable to the larger target population. Sampling bias is present when the people in our sampling frame or the approach we use to sample them results in a sample that does not represent our population in some way. Telephone surveys conducted by calling a random sample of publicly available telephone numbers will systematically exclude people with unlisted telephone numbers, mobile phone numbers, and will include a disproportionate number of respondents who have land-line telephone service and stay home during much of the day, such as people who are unemployed, disabled, or of advanced age. Likewise, online surveys tend to include a disproportionate number of students and younger people who are more digitally connected, and systematically exclude people with limited or no access to computers or the Internet, such as the poor and the elderly. A different kind of sampling bias relates to generalizing from key informants to a target population, such as asking teachers (or parents) about the academic learning of their students (or children) or asking CEOs about operational details in their company. These sampling frames may provide a clearer picture of what key informants think and feel, rather than the target population.
Cultural bias
The acknowledgement that most research in social work and other adjacent fields is overwhelmingly based on so-called WEIRD (Western, educated, industrialized, rich and democratic) populations—a topic we discussed in Chapter 10—has given way to intensified research funding, publication, and visibility of collaborative cross-cultural studies across the social sciences that expand the geographical range of study populations. Many of the so-called non-WEIRD communities who increasingly participate in research are Indigenous, from low- and middle-income countries in the global South, live in post-colonial contexts, and/or are marginalized within their political systems, revealing and reproducing power differentials between researchers and researched (Whiteford & Trotter, 2008).[246] Cross-cultural research has historically been rooted in racist, capitalist ideas and motivations (Gordon, 1991).[247] Scholars have long debated whether research aiming to standardize cross-cultural measurements and analysis is tacitly engaged and/or continues to be rooted in colonial and imperialist practices (Kline et al., 2018; Stearman, 1984).[248] Given this history, it is critical that scientists reflect upon these issues and be accountable to their participants and colleagues for their research practices. We argue that cross-cultural research be grounded in the recognition of the historical, political, sociological and cultural forces acting on the communities and individuals of focus. These perspectives are often contrasted with ‘science’; here we argue that they are necessary as a foundation for the study of human behavior.
We stress that our goal is not to review the literature on colonial or neo-colonial research practices, to provide a comprehensive primer on decolonizing approaches to field research, nor to identify or admonish past harms in these respects—harms to which many of the authors of this piece would readily admit. Furthermore, we acknowledge that we ourselves are writing from a place of privilege as researchers educated and trained in disciplines with colonial pasts. Our goal is simply to help students understand the broader issues in cross-cultural studies for appropriate consideration of diverse communities and culturally appropriate methodologies for student research projects.
Equivalence of measures across cultures
Data collection methods largely stemming from WEIRD intellectual traditions are being exported to a range of cultural contexts. This is often done with insufficient consideration of the translatability (e.g. equivalence or applicability) or implementation of such concepts and methods in different contexts, as already well documented (e.g., Hruschka et al., 2018).[249] For example, in a developmental psychology study conducted by Broesch and colleagues (2011),[250] the research team exported a task to examine the development and variability of self-recognition in children across cultures. Typically, this milestone is measured by surreptitiously placing a mark on a child's forehead and allowing them to discover their reflective image and the mark in a mirror. While self-recognition in WEIRD contexts typically manifests in children by 18 months of age, the authors tested found that only 2 out of 82 children (aged 1–6 years) ‘passed’ the test by removing the mark using the reflected image. The authors' interpretation of these results was that the test produced false negatives and instead measured implicit compliance to the local authority figure who placed the mark on the child. This raises the possibility that the mirror test may lack construct validity in cross-cultural contexts—in other words, that it may not measure the theoretical construct it was designed to measure.
As we discussed previously, survey researchers want to make sure everyone receives the same questionnaire, but how can we be sure everyone understands the questionnaire in the same way? Cultural equivalence means that a measure produces comparable data when employed in different cultural populations (Van de Vijver & Poortinga, 1992).[251] If concepts differ in meaning across cultures, cultural bias may better explain what is going on with your key variables better than your hypotheses. Cultural bias may result because of poor item translation, inappropriate content of items, and unstandardized procedures (Waltz et al., 2010).[252] Of particular importance is construct bias, or "when the construct measured is not identical across cultures or when behaviors that characterize the construct are not identical across cultures" (Meiring et al., 2005, p. 2)[253] Construct bias emerges when there is: a) disagreement about the appropriateness of content, b) inadequate sampling, c) underrepresentation of the construct, and d) incomplete overlap of the construct across cultures (Van de Vijver & Poortinga, 1992).[254]
Addressing cultural bias
To address these issues, we propose that careful scrutiny of (a) study site selection, (b) community involvement and (c) culturally appropriate research methods. Particularly for those initiating collaborative cross-cultural projects, we focus here on pragmatic and implementable steps. For student researchers, it is important to be aware of these issues and assess for them in the strengths and limitations of your own study, though the degree to which you can feasibly implement some of these measures will be impaired by a lack of resources.
Study site selection
Researchers are increasingly interested in cross-cultural research applicable outside of WEIRD contexts., but this has sometimes led to an uncritical and haphazard inclusion of ‘non-WEIRD’ populations in cross-cultural research without further regard for why specific populations should be included (Barrett, 2020).[255] One particularly egregious example is the grouping of all non-Western populations as a comparative sample to the cultural West (i.e. the ‘West versus rest’ approach) is often unwittingly adopted by researchers performing cross-cultural research (Henrich, 2010).[256] Other researcher errors include the exoticization of particular cultures or viewing non-Western cultures as a window into the past rather than cultures that have co-evolved over time.
Thus, some of the cultural biases in survey research emerge when researchers fail to identify a clear theoretical justification for inclusion of any subpopulation—WEIRD or not—based on knowledge of the relevant cultural and/or environmental context (see Tucker, 2017[257] for a good example). For example, a researcher asking about satisfaction with daycare must acquire the relevant cultural and environmental knowledge about a daycare that caters exclusively to Orthodox Jewish families. Simply including this study site without doing appropriate background research and identifying a specific aspect of this cultural group that is of theoretical interest in your study (e.g., spirituality and parenthood) indicates a lack of rigor in research. It undercuts the validity and generalizability of your findings by introducing sources of cultural bias that are unexamined in your study.
Sampling decisions are also important as they involve unique ethical and social challenges. For example, foreign researchers (as sources of power, information and resources) represent both opportunities for and threats to community members. These relationships are often complicated by power differentials due to unequal access to wealth, education and historical legacies of colonization. As such, it is important that investigators are alert to the possible bias among individuals who initially interact with researchers, to the potential negative consequences for those excluded, and to the (often unspoken) power dynamics between the researcher and their study participants (as well as among and between study participants).
We suggest that a necessary first step is to carefully consult existing resources outlining best practices for ethical principles of research before engaging in cross-cultural research. Many of these resources have been developed over years of dialogue in various academic and professional societies (e.g. American Anthropological Association, International Association for Cross Cultural Psychology, International Union of Psychological Science). Furthermore, communities themselves are developing and launching research-based codes of ethics and providing carefully curated open-access materials such as those from the Indigenous Peoples' Health Research Centre, often written in consultation with ethicists in low- to middle-income countries (see Schroeder et al., 2019).[258]
Community involvement
Too often researchers engage in ‘extractive’ research, whereby a researcher selects a study community and collects the necessary data to exclusively further their own scientific and/or professional goals without benefiting the community. This reflects a long history of colonialism in social science. Extractive methods lead to methodological flaws and alienate participants from the scientific process, poisoning the well of scientific knowledge on a macro level. Many researchers are associated with institutions tainted with colonial, racist and sexist histories, sentiments and in some instances perpetuating into the present. Much cross-cultural research is carried out in former or contemporary colonies, and in the colonial language. Explicit and implicit power differentials create ethical challenges that can be acknowledged by researchers and in the design of their study (see Schuller, 2010[259] for an example in which the power and politics of various roles played by researchers).
An understanding of cultural norms may ensure that data collection and questionnaire design are culturally and linguistically relevant. This can be achieved by implementing several complementary strategies. A first step may be to collaborate with members of the study community to check the relevance of the instruments being used. Incorporating perspectives from the study community from the outset can reduce the likelihood of making scientific errors in measurement and inference (First Nations Information Governance Centre, 2014).[260]
An additional approach is to use mixed methods in data collection, such that each method ‘checks’ the data collected using the other methods. A recent paper by Fisher and Poortinga (2018)[261] provides suggestions for a rigorous methodological approach to conducting cross-cultural comparative psychology, underscoring the importance of using multiple methods with an eye towards a convergence of evidence. A mixed-method approach can incorporate a variety of qualitative methods over and on top of a quantitative survey including open-ended questions, focus groups, and interviews.
Research design and methods
It is critical that researchers translate the language, technological references and stimuli as well as examine the underlying cultural context of the original method for assumptions that rely upon WEIRD epistemologies (Hrushcka, 2020).[262] This extends to non-complex visual aids, attempting to ensure that even scales measure what the researcher is intending (see Purzycki and Lang, 2019[263] for discussion on the use of a popular economic experiment in small-scale societies).
For more information on assessing cultural equivalence, consult this free training from RTI International, a well-regarded non-profit research firm, entitled “The essential role of language in survey design” and this free training from the Center for Capacity Building in Survey Methods and Statistics entitled “Questionnaire design: For surveys in 3MC (multinational, multiregional, and multi cultural) contexts. These trainings guide researchers using survey design through the details of evaluating and writing survey questions using culturally sensitive language. Moreover, if you are planning to conduct cross-cultural research, you should consult this guide for assessing measurement equivalency and bias across cultures, as well.
Key Takeaways
- Bias can come from both how questionnaire items are presented to participants as well as how participants are recruited and respond to surveys.
- Cultural bias emerges from the differences in how people think and behave across cultures.
- Cross-cultural research requires a theoretically-informed sampling approach, evaluating measurement equivalency across cultures, and generalizing findings with caution.
Exercises
Review your questionnaire and assess it for potential sources of bias.
- Include the results of pilot testing from the previous exercise.
- Make any changes to your questionnaire (or sampling approach) you think would reduce the potential for bias in your study.
Create a first draft of your limitations section by identifying sources of bias in your survey.
- Write a bulleted list or paragraph or the potential sources of bias in your study.
- Remember that all studies, especially student-led studies, have limitations. To the extent you can address these limitations now and feasibly make changes, do so. But keep in mind that your goal should be more to correctly describe the bias in your study than to collect bias-free results. Ultimately, your study needs to get done!
any findings that follow from constructivist studies are not inherently applicable to other people or situations, as their realities may be quite different
Climate Camp UK 2007
Peer-Review press conference.
The Climate Camp is a camp set up to highlight protests against a proposed third runway at Heathrow, destroying nearby villages and to put the spotlight on climate change issues.
Chapter Outline
- Developing your theoretical framework
- Conceptual definitions
- Inductive & deductive reasoning
- Nomothetic causal explanations
Content warning: examples in this chapter include references to sexual harassment, domestic violence, gender-based violence, the child welfare system, substance use disorders, neonatal abstinence syndrome, child abuse, racism, and sexism.
11.1 Developing your theoretical framework
Learning Objectives
Learners will be able to...
- Differentiate between theories that explain specific parts of the social world versus those that are more broad and sweeping in their conclusions
- Identify the theoretical perspectives that are relevant to your project and inform your thinking about it
- Define key concepts in your working question and develop a theoretical framework for how you understand your topic.
Theories provide a way of looking at the world and of understanding human interaction. Paradigms are grounded in big assumptions about the world—what is real, how do we create knowledge—whereas theories describe more specific phenomena. Well, we are still oversimplifying a bit. Some theories try to explain the whole world, while others only try to explain a small part. Some theories can be grouped together based on common ideas but retain their own individual and unique features. Our goal is to help you find a theoretical framework that helps you understand your topic more deeply and answer your working question.
Theories: Big and small
In your human behavior and the social environment (HBSE) class, you were introduced to the major theoretical perspectives that are commonly used in social work. These are what we like to call big-T 'T'heories. When you read about systems theory, you are actually reading a synthesis of decades of distinct, overlapping, and conflicting theories that can be broadly classified within systems theory. For example, within systems theory, some approaches focus more on family systems while others focus on environmental systems, though the core concepts remain similar.
Different theorists define concepts in their own way, and as a result, their theories may explore different relationships with those concepts. For example, Deci and Ryan's (1985)[264] self-determination theory discusses motivation and establishes that it is contingent on meeting one's needs for autonomy, competency, and relatedness. By contrast, ecological self-determination theory, as written by Abery & Stancliffe (1996),[265] argues that self-determination is the amount of control exercised by an individual over aspects of their lives they deem important across the micro, meso, and macro levels. If self-determination were an important concept in your study, you would need to figure out which of the many theories related to self-determination helps you address your working question.
Theories can provide a broad perspective on the key concepts and relationships in the world or more specific and applied concepts and perspectives. Table 7.2 summarizes two commonly used lists of big-T Theoretical perspectives in social work. See if you can locate some of the theories that might inform your project.
Payne's (2014)[266] practice theories | Hutchison's (2014)[267] theoretical perspectives |
Psychodynamic | Systems |
Crisis and task-centered | Conflict |
Cognitive-behavioral | Exchange and choice |
Systems/ecological | Social constructionist |
Macro practice/social development/social pedagogy | Psychodynamic |
Strengths/solution/narrative | Developmental |
Humanistic/existential/spiritual | Social behavioral |
Critical | Humanistic |
Feminist | |
Anti-discriminatory/multi-cultural sensitivity |
Competing theoretical explanations
Within each area of specialization in social work, there are many other theories that aim to explain more specific types of interactions. For example, within the study of sexual harassment, different theories posit different explanations for why harassment occurs.
One theory, first developed by criminologists, is called routine activities theory. It posits that sexual harassment is most likely to occur when a workplace lacks unified groups and when potentially vulnerable targets and motivated offenders are both present (DeCoster, Estes, & Mueller, 1999).[268]
Other theories of sexual harassment, called relational theories, suggest that one's existing relationships are the key to understanding why and how workplace sexual harassment occurs and how people will respond when it does occur (Morgan, 1999).[269] Relational theories focus on the power that different social relationships provide (e.g., married people who have supportive partners at home might be more likely than those who lack support at home to report sexual harassment when it occurs).
Finally, feminist theories of sexual harassment take a different stance. These theories posit that the organization of our current gender system, wherein those who are the most masculine have the most power, best explains the occurrence of workplace sexual harassment (MacKinnon, 1979).[270] As you might imagine, which theory a researcher uses to examine the topic of sexual harassment will shape the questions asked about harassment. It will also shape the explanations the researcher provides for why harassment occurs.
For a graduate student beginning their study of a new topic, it may be intimidating to learn that there are so many theories beyond what you’ve learned in your theory classes. What’s worse is that there is no central database of theories on your topic. However, as you review the literature in your area, you will learn more about the theories scientists have created to explain how your topic works in the real world. There are other good sources for theories, in addition to journal articles. Books often contain works of theoretical and philosophical importance that are beyond the scope of an academic journal. Do a search in your university library for books on your topic, and you are likely to find theorists talking about how to make sense of your topic. You don't necessarily have to agree with the prevailing theories about your topic, but you do need to be aware of them so you can apply theoretical ideas to your project.
Applying big-T theories to your topic
The key to applying theories to your topic is learning the key concepts associated with that theory and the relationships between those concepts, or propositions. Again, your HBSE class should have prepared you with some of the most important concepts from the theoretical perspectives listed in Table 7.2. For example, the conflict perspective sees the world as divided into dominant and oppressed groups who engage in conflict over resources. If you were applying these theoretical ideas to your project, you would need to identify which groups in your project are considered dominant or oppressed groups, and which resources they were struggling over. This is a very general example. Challenge yourself to find small-t theories about your topic that will help you understand it in much greater detail and specificity. If you have chosen a topic that is relevant to your life and future practice, you will be doing valuable work shaping your ideas towards social work practice.
Integrating theory into your project can be easy, or it can take a bit more effort. Some people have a strong and explicit theoretical perspective that they carry with them at all times. For me, you'll probably see my work drawing from exchange and choice, social constructionist, and critical theory. Maybe you have theoretical perspectives you naturally employ, like Afrocentric theory or person-centered practice. If so, that's a great place to start since you might already be using that theory (even subconsciously) to inform your understanding of your topic. But if you aren't aware of whether you are using a theoretical perspective when you think about your topic, try writing a paragraph off the top of your head or talking with a friend explaining what you think about that topic. Try matching it with some of the ideas from the broad theoretical perspectives from Table 7.2. This can ground you as you search for more specific theories. Some studies are designed to test whether theories apply the real world while others are designed to create new theories or variations on existing theories. Consider which feels more appropriate for your project and what you want to know.
Another way to easily identify the theories associated with your topic is to look at the concepts in your working question. Are these concepts commonly found in any of the theoretical perspectives in Table 7.2? Take a look at the Payne and Hutchison texts and see if any of those look like the concepts and relationships in your working question or if any of them match with how you think about your topic. Even if they don't possess the exact same wording, similar theories can help serve as a starting point to finding other theories that can inform your project. Remember, HBSE textbooks will give you not only the broad statements of theories but also sources from specific theorists and sub-theories that might be more applicable to your topic. Skim the references and suggestions for further reading once you find something that applies well.
Exercises
Choose a theoretical perspective from Hutchison, Payne, or another theory textbook that is relevant to your project. Using their textbooks or other reputable sources, identify :
- At least five important concepts from the theory
- What relationships the theory establishes between these important concepts (e.g., as x increases, the y decreases)
- How you can use this theory to better understand the concepts and variables in your project?
Developing your own theoretical framework
Hutchison's and Payne's frameworks are helpful for surveying the whole body of literature relevant to social work, which is why they are so widely used. They are one framework, or way of thinking, about all of the theories social workers will encounter that are relevant to practice. Social work researchers should delve further and develop a theoretical or conceptual framework of their own based on their reading of the literature. In Chapter 8, we will develop your theoretical framework further, identifying the cause-and-effect relationships that answer your working question. Developing a theoretical framework is also instructive for revising and clarifying your working question and identifying concepts that serve as keywords for additional literature searching. The greater clarity you have with your theoretical perspective, the easier each subsequent step in the research process will be.
Getting acquainted with the important theoretical concepts in a new area can be challenging. While social work education provides a broad overview of social theory, you will find much greater fulfillment out of reading about the theories related to your topic area. We discussed some strategies for finding theoretical information in Chapter 3 as part of literature searching. To extend that conversation a bit, some strategies for searching for theories in the literature include:
- Using keywords like "theory," "conceptual," or "framework" in queries to better target the search at sources that talk about theory.
- Consider searching for these keywords in the title or abstract, specifically
- Looking at the references and cited by links within theoretical articles and textbooks
- Looking at books, edited volumes, and textbooks that discuss theory
- Talking with a scholar on your topic, or asking a professor if they can help connect you to someone
- Looking at how researchers use theory in their research projects
- Nice authors are clear about how they use theory to inform their research project, usually in the introduction and discussion section.
- Starting with a Big-T Theory and looking for sub-theories or specific theorists that directly address your topic area
- For example, from the broad umbrella of systems theory, you might pick out family systems theory if you want to understand the effectiveness of a family counseling program.
It's important to remember that knowledge arises within disciplines, and that disciplines have different theoretical frameworks for explaining the same topic. While it is certainly important for the social work perspective to be a part of your analysis, social workers benefit from searching across disciplines to come to a more comprehensive understanding of the topic. Reaching across disciplines can provide uncommon insights during conceptualization, and once the study is completed, a multidisciplinary researcher will be able to share results in a way that speaks to a variety of audiences. A study by An and colleagues (2015)[271] uses game theory from the discipline of economics to understand problems in the Temporary Assistance for Needy Families (TANF) program. In order to receive TANF benefits, mothers must cooperate with paternity and child support requirements unless they have "good cause," as in cases of domestic violence, in which providing that information would put the mother at greater risk of violence. Game theory can help us understand how TANF recipients and caseworkers respond to the incentives in their environment, and highlight why the design of the "good cause" waiver program may not achieve its intended outcome of increasing access to benefits for survivors of family abuse.
Of course, there are natural limits on the depth with which student researchers can and should engage in a search for theory about their topic. At minimum, you should be able to draw connections across studies and be able to assess the relative importance of each theory within the literature. Just because you found one article applying your theory (like game theory, in our example above) does not mean it is important or often used in the domestic violence literature. Indeed, it would be much more common in the family violence literature to find psychological theories of trauma, feminist theories of power and control, and similar theoretical perspectives used to inform research projects rather than game theory, which is equally applicable to survivors of family violence as workers and bosses at a corporation. Consider using the Cited By feature to identify articles, books, and other sources of theoretical information that are seminal or well-cited in the literature. Similarly, by using the name of a theory in the keywords of a search query (along with keywords related to your topic), you can get a sense of how often the theory is used in your topic area. You should have a sense of what theories are commonly used to analyze your topic, even if you end up choosing a different one to inform your project.
Theories that are not cited or used as often are still immensely valuable. As we saw before with TANF and "good cause" waivers, using theories from other disciplines can produce uncommon insights and help you make a new contribution to the social work literature. Given the privileged position that the social work curriculum places on theories developed by white men, students may want to explore Afrocentricity as a social work practice theory (Pellebon, 2007)[272] or abolitionist social work (Jacobs et al., 2021)[273] when deciding on a theoretical framework for their research project that addresses concepts of racial justice. Start with your working question, and explain how each theory helps you answer your question. Some explanations are going to feel right, and some concepts will feel more salient to you than others. Keep in mind that this is an iterative process. Your theoretical framework will likely change as you continue to conceptualize your research project, revise your research question, and design your study.
By trying on many different theoretical explanations for your topic area, you can better clarify your own theoretical framework. Some of you may be fortunate enough to find theories that match perfectly with how you think about your topic, are used often in the literature, and are therefore relatively straightforward to apply. However, many of you may find that a combination of theoretical perspectives is most helpful for you to investigate your project. For example, maybe the group counseling program for which you are evaluating client outcomes draws from both motivational interviewing and cognitive behavioral therapy. In order to understand the change happening in the client population, you would need to know each theory separately as well as how they work in tandem with one another. Because theoretical explanations and even the definitions of concepts are debated by scientists, it may be helpful to find a specific social scientist or group of scientists whose perspective on the topic you find matches with your understanding of the topic. Of course, it is also perfectly acceptable to develop your own theoretical framework, though you should be able to articulate how your framework fills a gap within the literature.
If you are adapting theoretical perspectives in your study, it is important to clarify the original authors' definitions of each concept. Jabareen (2009)[274] offers that conceptual frameworks are not merely collections of concepts but, rather, constructs in which each concept plays an integral role.[275] A conceptual framework is a network of linked concepts that together provide a comprehensive understanding of a phenomenon. Each concept in a conceptual framework plays an ontological or epistemological role in the framework, and it is important to assess whether the concepts and relationships in your framework make sense together. As your framework takes shape, you will find yourself integrating and grouping together concepts, thinking about the most important or least important concepts, and how each concept is causally related to others.
Much like paradigm, theory plays a supporting role for the conceptualization of your research project. Recall the ice float from Figure 7.1. Theoretical explanations support the design and methods you use to answer your research question. In student projects that lack a theoretical framework, I often see the biases and errors in reasoning that we discussed in Chapter 1 that get in the way of good social science. That's because theories mark which concepts are important, provide a framework for understanding them, and measure their interrelationships. If you are missing this foundation, you will operate on informal observation, messages from authority, and other forms of unsystematic and unscientific thinking we reviewed in Chapter 1.
Theory-informed inquiry is incredibly helpful for identifying key concepts and how to measure them in your research project, but there is a risk in aligning research too closely with theory. The theory-ladenness of facts and observations produced by social science research means that we may be making our ideas real through research. This is a potential source of confirmation bias in social science. Moreover, as Tan (2016)[276] demonstrates, social science often proceeds by adopting as true the perspective of Western and Global North countries, and cross-cultural research is often when ethnocentric and biased ideas are most visible. In her example, a researcher from the West studying teacher-centric classrooms in China that rely partially on rote memorization may view them as less advanced than student-centered classrooms developed in a Western country simply because of Western philosophical assumptions about the importance of individualism and self-determination. Developing a clear theoretical framework is a way to guard against biased research, and it will establish a firm foundation on which you will develop the design and methods for your study.
Key Takeaways
- Just as empirical evidence is important for conceptualizing a research project, so too are the key concepts and relationships identified by social work theory.
- Using theory your theory textbook will provide you with a sense of the broad theoretical perspectives in social work that might be relevant to your project.
- Try to find small-t theories that are more specific to your topic area and relevant to your working question.
Exercises
- In Chapter 2, you developed a concept map for your proposal. Take a moment to revisit your concept map now as your theoretical framework is taking shape. Make any updates to the key concepts and relationships in your concept map.
. If you need a refresher, we have embedded a short how-to video from the University of Guelph Library (CC-BY-NC-SA 4.0) that we also used in Chapter 2.
11.2 Conceptual definitions
Learning Objectives
Learners will be able to...
- Define measurement and conceptualization
- Apply Kaplan’s three categories to determine the complexity of measuring a given variable
- Identify the role previous research and theory play in defining concepts
- Distinguish between unidimensional and multidimensional concepts
- Critically apply reification to how you conceptualize the key variables in your research project
In social science, when we use the term measurement, we mean the process by which we describe and ascribe meaning to the key facts, concepts, or other phenomena that we are investigating. At its core, measurement is about defining one’s terms in as clear and precise a way as possible. Of course, measurement in social science isn’t quite as simple as using a measuring cup or spoon, but there are some basic tenets on which most social scientists agree when it comes to measurement. We’ll explore those, as well as some of the ways that measurement might vary depending on your unique approach to the study of your topic.
An important point here is that measurement does not require any particular instruments or procedures. What it does require is a systematic procedure for assigning scores, meanings, and descriptions to individuals or objects so that those scores represent the characteristic of interest. You can measure phenomena in many different ways, but you must be sure that how you choose to measure gives you information and data that lets you answer your research question. If you're looking for information about a person's income, but your main points of measurement have to do with the money they have in the bank, you're not really going to find the information you're looking for!
The question of what social scientists measure can be answered by asking yourself what social scientists study. Think about the topics you’ve learned about in other social work classes you’ve taken or the topics you’ve considered investigating yourself. Let’s consider Melissa Milkie and Catharine Warner’s study (2011)[277] of first graders’ mental health. In order to conduct that study, Milkie and Warner needed to have some idea about how they were going to measure mental health. What does mental health mean, exactly? And how do we know when we’re observing someone whose mental health is good and when we see someone whose mental health is compromised? Understanding how measurement works in research methods helps us answer these sorts of questions.
As you might have guessed, social scientists will measure just about anything that they have an interest in investigating. For example, those who are interested in learning something about the correlation between social class and levels of happiness must develop some way to measure both social class and happiness. Those who wish to understand how well immigrants cope in their new locations must measure immigrant status and coping. Those who wish to understand how a person’s gender shapes their workplace experiences must measure gender and workplace experiences (and get more specific about which experiences are under examination). You get the idea. Social scientists can and do measure just about anything you can imagine observing or wanting to study. Of course, some things are easier to observe or measure than others.
Observing your variables
In 1964, philosopher Abraham Kaplan (1964)[278] wrote The Conduct of Inquiry, which has since become a classic work in research methodology (Babbie, 2010).[279] In his text, Kaplan describes different categories of things that behavioral scientists observe. One of those categories, which Kaplan called “observational terms,” is probably the simplest to measure in social science. Observational terms are the sorts of things that we can see with the naked eye simply by looking at them. Kaplan roughly defines them as conditions that are easy to identify and verify through direct observation. If, for example, we wanted to know how the conditions of playgrounds differ across different neighborhoods, we could directly observe the variety, amount, and condition of equipment at various playgrounds.
Indirect observables, on the other hand, are less straightforward to assess. In Kaplan's framework, they are conditions that are subtle and complex that we must use existing knowledge and intuition to define. If we conducted a study for which we wished to know a person’s income, we’d probably have to ask them their income, perhaps in an interview or a survey. Thus, we have observed income, even if it has only been observed indirectly. Birthplace might be another indirect observable. We can ask study participants where they were born, but chances are good we won’t have directly observed any of those people being born in the locations they report.
Sometimes the measures that we are interested in are more complex and more abstract than observational terms or indirect observables. Think about some of the concepts you’ve learned about in other social work classes—for example, ethnocentrism. What is ethnocentrism? Well, from completing an introduction to social work class you might know that it has something to do with the way a person judges another’s culture. But how would you measure it? Here’s another construct: bureaucracy. We know this term has something to do with organizations and how they operate but measuring such a construct is trickier than measuring something like a person’s income. The theoretical concepts of ethnocentrism and bureaucracy represent ideas whose meanings we have come to agree on. Though we may not be able to observe these abstractions directly, we can observe their components.
Kaplan referred to these more abstract things that behavioral scientists measure as constructs. Constructs are “not observational either directly or indirectly” (Kaplan, 1964, p. 55),[280] but they can be defined based on observables. For example, the construct of bureaucracy could be measured by counting the number of supervisors that need to approve routine spending by public administrators. The greater the number of administrators that must sign off on routine matters, the greater the degree of bureaucracy. Similarly, we might be able to ask a person the degree to which they trust people from different cultures around the world and then assess the ethnocentrism inherent in their answers. We can measure constructs like bureaucracy and ethnocentrism by defining them in terms of what we can observe.[281]
The idea of coming up with your own measurement tool might sound pretty intimidating at this point. The good news is that if you find something in the literature that works for you, you can use it (with proper attribution, of course). If there are only pieces of it that you like, you can reuse those pieces (with proper attribution and describing/justifying any changes). You don't always have to start from scratch!
Exercises
Look at the variables in your research question.
- Classify them as direct observables, indirect observables, or constructs.
- Do you think measuring them will be easy or hard?
- What are your first thoughts about how to measure each variable? No wrong answers here, just write down a thought about each variable.
Measurement starts with conceptualization
In order to measure the concepts in your research question, we first have to understand what we think about them. As an aside, the word concept has come up quite a bit, and it is important to be sure we have a shared understanding of that term. A concept is the notion or image that we conjure up when we think of some cluster of related observations or ideas. For example, masculinity is a concept. What do you think of when you hear that word? Presumably, you imagine some set of behaviors and perhaps even a particular style of self-presentation. Of course, we can’t necessarily assume that everyone conjures up the same set of ideas or images when they hear the word masculinity. While there are many possible ways to define the term and some may be more common or have more support than others, there is no universal definition of masculinity. What counts as masculine may shift over time, from culture to culture, and even from individual to individual (Kimmel, 2008). This is why defining our concepts is so important.\
Not all researchers clearly explain their theoretical or conceptual framework for their study, but they should! Without understanding how a researcher has defined their key concepts, it would be nearly impossible to understand the meaning of that researcher’s findings and conclusions. Back in Chapter 7, you developed a theoretical framework for your study based on a survey of the theoretical literature in your topic area. If you haven't done that yet, consider flipping back to that section to familiarize yourself with some of the techniques for finding and using theories relevant to your research question. Continuing with our example on masculinity, we would need to survey the literature on theories of masculinity. After a few queries on masculinity, I found a wonderful article by Wong (2010)[282] that analyzed eight years of the journal Psychology of Men & Masculinity and analyzed how often different theories of masculinity were used. Not only can I get a sense of which theories are more accepted and which are more marginal in the social science on masculinity, I am able to identify a range of options from which I can find the theory or theories that will inform my project.
Exercises
Identify a specific theory (or more than one theory) and how it helps you understand...
- Your independent variable(s).
- Your dependent variable(s).
- The relationship between your independent and dependent variables.
Rather than completing this exercise from scratch, build from your theoretical or conceptual framework developed in previous chapters.
In quantitative methods, conceptualization involves writing out clear, concise definitions for our key concepts. These are the kind of definitions you are used to, like the ones in a dictionary. A conceptual definition involves defining a concept in terms of other concepts, usually by making reference to how other social scientists and theorists have defined those concepts in the past. Of course, new conceptual definitions are created all the time because our conceptual understanding of the world is always evolving.
Conceptualization is deceptively challenging—spelling out exactly what the concepts in your research question mean to you. Following along with our example, think about what comes to mind when you read the term masculinity. How do you know masculinity when you see it? Does it have something to do with men or with social norms? If so, perhaps we could define masculinity as the social norms that men are expected to follow. That seems like a reasonable start, and at this early stage of conceptualization, brainstorming about the images conjured up by concepts and playing around with possible definitions is appropriate. However, this is just the first step. At this point, you should be beyond brainstorming for your key variables because you have read a good amount of research about them
In addition, we should consult previous research and theory to understand the definitions that other scholars have already given for the concepts we are interested in. This doesn’t mean we must use their definitions, but understanding how concepts have been defined in the past will help us to compare our conceptualizations with how other scholars define and relate concepts. Understanding prior definitions of our key concepts will also help us decide whether we plan to challenge those conceptualizations or rely on them for our own work. Finally, working on conceptualization is likely to help in the process of refining your research question to one that is specific and clear in what it asks. Conceptualization and operationalization (next section) are where "the rubber meets the road," so to speak, and you have to specify what you mean by the question you are asking. As your conceptualization deepens, you will often find that your research question becomes more specific and clear.
If we turn to the literature on masculinity, we will surely come across work by Michael Kimmel, one of the preeminent masculinity scholars in the United States. After consulting Kimmel’s prior work (2000; 2008),[283] we might tweak our initial definition of masculinity. Rather than defining masculinity as “the social norms that men are expected to follow,” perhaps instead we’ll define it as “the social roles, behaviors, and meanings prescribed for men in any given society at any one time” (Kimmel & Aronson, 2004, p. 503).[284] Our revised definition is more precise and complex because it goes beyond addressing one aspect of men’s lives (norms), and addresses three aspects: roles, behaviors, and meanings. It also implies that roles, behaviors, and meanings may vary across societies and over time. Using definitions developed by theorists and scholars is a good idea, though you may find that you want to define things your own way.
As you can see, conceptualization isn’t as simple as applying any random definition that we come up with to a term. Defining our terms may involve some brainstorming at the very beginning. But conceptualization must go beyond that, to engage with or critique existing definitions and conceptualizations in the literature. Once we’ve brainstormed about the images associated with a particular word, we should also consult prior work to understand how others define the term in question. After we’ve identified a clear definition that we’re happy with, we should make sure that every term used in our definition will make sense to others. Are there terms used within our definition that also need to be defined? If so, our conceptualization is not yet complete. Our definition includes the concept of "social roles," so we should have a definition for what those mean and become familiar with role theory to help us with our conceptualization. If we don't know what roles are, how can we study them?
Let's say we do all of that. We have a clear definition of the term masculinity with reference to previous literature and we also have a good understanding of the terms in our conceptual definition...then we're done, right? Not so fast. You’ve likely met more than one man in your life, and you’ve probably noticed that they are not the same, even if they live in the same society during the same historical time period. This could mean there are dimensions of masculinity. In terms of social scientific measurement, concepts can be said to have multiple dimensions when there are multiple elements that make up a single concept. With respect to the term masculinity, dimensions could based on gender identity, gender performance, sexual orientation, etc.. In any of these cases, the concept of masculinity would be considered to have multiple dimensions.
While you do not need to spell out every possible dimension of the concepts you wish to measure, it is important to identify whether your concepts are unidimensional (and therefore relatively easy to define and measure) or multidimensional (and therefore require multi-part definitions and measures). In this way, how you conceptualize your variables determines how you will measure them in your study. Unidimensional concepts are those that are expected to have a single underlying dimension. These concepts can be measured using a single measure or test. Examples include simple concepts such as a person’s weight, time spent sleeping, and so forth.
One frustrating this is that there is no clear demarcation between concepts that are inherently unidimensional or multidimensional. Even something as simple as age could be broken down into multiple dimensions including mental age and chronological age, so where does conceptualization stop? How far down the dimensional rabbit hole do we have to go? Researchers should consider two things. First, how important is this variable in your study? If age is not important in your study (maybe it is a control variable), it seems like a waste of time to do a lot of work drawing from developmental theory to conceptualize this variable. A unidimensional measure from zero to dead is all the detail we need. On the other hand, if we were measuring the impact of age on masculinity, conceptualizing our independent variable (age) as multidimensional may provide a richer understanding of its impact on masculinity. Finally, your conceptualization will lead directly to your operationalization of the variable, and once your operationalization is complete, make sure someone reading your study could follow how your conceptual definitions informed the measures you chose for your variables.
Exercises
Write a conceptual definition for your independent and dependent variables.
- Cite and attribute definitions to other scholars, if you use their words.
- Describe how your definitions are informed by your theoretical framework.
- Place your definition in conversation with other theories and conceptual definitions commonly used in the literature.
- Are there multiple dimensions of your variables?
- Are any of these dimensions important for you to measure?
Do researchers actually know what we're talking about?
Conceptualization proceeds differently in qualitative research compared to quantitative research. Since qualitative researchers are interested in the understandings and experiences of their participants, it is less important for them to find one fixed definition for a concept before starting to interview or interact with participants. The researcher’s job is to accurately and completely represent how their participants understand a concept, not to test their own definition of that concept.
If you were conducting qualitative research on masculinity, you would likely consult previous literature like Kimmel’s work mentioned above. From your literature review, you may come up with a working definition for the terms you plan to use in your study, which can change over the course of the investigation. However, the definition that matters is the definition that your participants share during data collection. A working definition is merely a place to start, and researchers should take care not to think it is the only or best definition out there.
In qualitative inquiry, your participants are the experts (sound familiar, social workers?) on the concepts that arise during the research study. Your job as the researcher is to accurately and reliably collect and interpret their understanding of the concepts they describe while answering your questions. Conceptualization of concepts is likely to change over the course of qualitative inquiry, as you learn more information from your participants. Indeed, getting participants to comment on, extend, or challenge the definitions and understandings of other participants is a hallmark of qualitative research. This is the opposite of quantitative research, in which definitions must be completely set in stone before the inquiry can begin.
The contrast between qualitative and quantitative conceptualization is instructive for understanding how quantitative methods (and positivist research in general) privilege the knowledge of the researcher over the knowledge of study participants and community members. Positivism holds that the researcher is the "expert," and can define concepts based on their expert knowledge of the scientific literature. This knowledge is in contrast to the lived experience that participants possess from experiencing the topic under examination day-in, day-out. For this reason, it would be wise to remind ourselves not to take our definitions too seriously and be critical about the limitations of our knowledge.
Conceptualization must be open to revisions, even radical revisions, as scientific knowledge progresses. While I’ve suggested consulting prior scholarly definitions of our concepts, you should not assume that prior, scholarly definitions are more real than the definitions we create. Likewise, we should not think that our own made-up definitions are any more real than any other definition. It would also be wrong to assume that just because definitions exist for some concept that the concept itself exists beyond some abstract idea in our heads. Building on the paradigmatic ideas behind interpretivism and the critical paradigm, researchers call the assumption that our abstract concepts exist in some concrete, tangible way is known as reification. It explores the power dynamics behind how we can create reality by how we define it.
Returning again to our example of masculinity. Think about our how our notions of masculinity have developed over the past few decades, and how different and yet so similar they are to patriarchal definitions throughout history. Conceptual definitions become more or less popular based on the power arrangements inside of social science the broader world. Western knowledge systems are privileged, while others are viewed as unscientific and marginal. The historical domination of social science by white men from WEIRD countries meant that definitions of masculinity were imbued their cultural biases and were designed explicitly and implicitly to preserve their power. This has inspired movements for cognitive justice as we seek to use social science to achieve global development.
Key Takeaways
- Measurement is the process by which we describe and ascribe meaning to the key facts, concepts, or other phenomena that we are investigating.
- Kaplan identified three categories of things that social scientists measure including observational terms, indirect observables, and constructs.
- Some concepts have multiple elements or dimensions.
- Researchers often use measures previously developed and studied by other researchers.
- Conceptualization is a process that involves coming up with clear, concise definitions.
- Conceptual definitions are based on the theoretical framework you are using for your study (and the paradigmatic assumptions underlying those theories).
- Whether your conceptual definitions come from your own ideas or the literature, you should be able to situate them in terms of other commonly used conceptual definitions.
- Researchers should acknowledge the limited explanatory power of their definitions for concepts and how oppression can shape what explanations are considered true or scientific.
Exercises
Think historically about the variables in your research question.
- How has our conceptual definition of your topic changed over time?
- What scholars or social forces were responsible for this change?
Take a critical look at your conceptual definitions.
- How participants might define terms for themselves differently, in terms of their daily experience?
- On what cultural assumptions are your conceptual definitions based?
- Are your conceptual definitions applicable across all cultures that will be represented in your sample?
11.3 Inductive and deductive reasoning
Learning Objectives
Learners will be able to...
- Describe inductive and deductive reasoning and provide examples of each
- Identify how inductive and deductive reasoning are complementary
Congratulations! You survived the chapter on theories and paradigms. My experience has been that many students have a difficult time thinking about theories and paradigms because they perceive them as "intangible" and thereby hard to connect to social work research. I even had one student who said she got frustrated just reading the word "philosophy."
Rest assured, you do not need to become a theorist or philosopher to be an effective social worker or researcher. However, you should have a good sense of what theory or theories will be relevant to your project, as well as how this theory, along with your working question, fit within the three broad research paradigms we reviewed. If you don't have a good idea about those at this point, it may be a good opportunity to pause and read more about the theories related to your topic area.
Theories structure and inform social work research. The converse is also true: research can structure and inform theory. The reciprocal relationship between theory and research often becomes evident to students when they consider the relationships between theory and research in inductive and deductive approaches to research. In both cases, theory is crucial. But the relationship between theory and research differs for each approach.
While inductive and deductive approaches to research are quite different, they can also be complementary. Let’s start by looking at each one and how they differ from one another. Then we’ll move on to thinking about how they complement one another.
Inductive reasoning
A researcher using inductive reasoning begins by collecting data that is relevant to their topic of interest. Once a substantial amount of data have been collected, the researcher will then step back from data collection to get a bird’s eye view of their data. At this stage, the researcher looks for patterns in the data, working to develop a theory that could explain those patterns. Thus, when researchers take an inductive approach, they start with a particular set of observations and move to a more general set of propositions about those experiences. In other words, they move from data to theory, or from the specific to the general. Figure 8.1 outlines the steps involved with an inductive approach to research.
There are many good examples of inductive research, but we’ll look at just a few here. One fascinating study in which the researchers took an inductive approach is Katherine Allen, Christine Kaestle, and Abbie Goldberg’s (2011)[285] study of how boys and young men learn about menstruation. To understand this process, Allen and her colleagues analyzed the written narratives of 23 young cisgender men in which the men described how they learned about menstruation, what they thought of it when they first learned about it, and what they think of it now. By looking for patterns across all 23 cisgender men’s narratives, the researchers were able to develop a general theory of how boys and young men learn about this aspect of girls’ and women’s biology. They conclude that sisters play an important role in boys’ early understanding of menstruation, that menstruation makes boys feel somewhat separated from girls, and that as they enter young adulthood and form romantic relationships, young men develop more mature attitudes about menstruation. Note how this study began with the data—men’s narratives of learning about menstruation—and worked to develop a theory.
In another inductive study, Kristin Ferguson and colleagues (Ferguson, Kim, & McCoy, 2011)[286] analyzed empirical data to better understand how to meet the needs of young people who are homeless. The authors analyzed focus group data from 20 youth at a homeless shelter. From these data they developed a set of recommendations for those interested in applied interventions that serve homeless youth. The researchers also developed hypotheses for others who might wish to conduct further investigation of the topic. Though Ferguson and her colleagues did not test their hypotheses, their study ends where most deductive investigations begin: with a theory and a hypothesis derived from that theory. Section 8.4 discusses the use of mixed methods research as a way for researchers to test hypotheses created in a previous component of the same research project.
You will notice from both of these examples that inductive reasoning is most commonly found in studies using qualitative methods, such as focus groups and interviews. Because inductive reasoning involves the creation of a new theory, researchers need very nuanced data on how the key concepts in their working question operate in the real world. Qualitative data is often drawn from lengthy interactions and observations with the individuals and phenomena under examination. For this reason, inductive reasoning is most often associated with qualitative methods, though it is used in both quantitative and qualitative research.
Deductive reasoning
If inductive reasoning is about creating theories from raw data, deductive reasoning is about testing theories using data. Researchers using deductive reasoning take the steps described earlier for inductive research and reverse their order. They start with a compelling social theory, create a hypothesis about how the world should work, collect raw data, and analyze whether their hypothesis was confirmed or not. That is, deductive approaches move from a more general level (theory) to a more specific (data); whereas inductive approaches move from the specific (data) to general (theory).
A deductive approach to research is the one that people typically associate with scientific investigation. Students in English-dominant countries that may be confused by inductive vs. deductive research can rest part of the blame on Sir Arthur Conan Doyle, creator of the Sherlock Holmes character. As Craig Vasey points out in his breezy introduction to logic book chapter, Sherlock Holmes more often used inductive rather than deductive reasoning (despite claiming to use the powers of deduction to solve crimes). By noticing subtle details in how people act, behave, and dress, Holmes finds patterns that others miss. Using those patterns, he creates a theory of how the crime occurred, dramatically revealed to the authorities just in time to arrest the suspect. Indeed, it is these flashes of insight into the patterns of data that make Holmes such a keen inductive reasoner. In social work practice, rather than detective work, inductive reasoning is supported by the intuitions and practice wisdom of social workers, just as Holmes' reasoning is sharpened by his experience as a detective.
So, if deductive reasoning isn't Sherlock Holmes' observation and pattern-finding, how does it work? It starts with what you have already done in Chapters 3 and 4, reading and evaluating what others have done to study your topic. It continued with Chapter 5, discovering what theories already try to explain how the concepts in your working question operate in the real world. Tapping into this foundation of knowledge on their topic, the researcher studies what others have done, reads existing theories of whatever phenomenon they are studying, and then tests hypotheses that emerge from those theories. Figure 8.2 outlines the steps involved with a deductive approach to research.
While not all researchers follow a deductive approach, many do. We’ll now take a look at a couple excellentrecent examples of deductive research.
In a study of US law enforcement responses to hate crimes, Ryan King and colleagues (King, Messner, & Baller, 2009)[287] hypothesized that law enforcement’s response would be less vigorous in areas of the country that had a stronger history of racial violence. The authors developed their hypothesis from prior research and theories on the topic. They tested the hypothesis by analyzing data on states’ lynching histories and hate crime responses. Overall, the authors found support for their hypothesis and illustrated an important application of critical race theory.
In another recent deductive study, Melissa Milkie and Catharine Warner (2011)[288] studied the effects of different classroom environments on first graders’ mental health. Based on prior research and theory, Milkie and Warner hypothesized that negative classroom features, such as a lack of basic supplies and heat, would be associated with emotional and behavioral problems in children. One might associate this research with Maslow's hierarchy of needs or systems theory. The researchers found support for their hypothesis, demonstrating that policymakers should be paying more attention to the mental health outcomes of children’s school experiences, just as they track academic outcomes (American Sociological Association, 2011).[289]
Complementary approaches
While inductive and deductive approaches to research seem quite different, they can actually be rather complementary. In some cases, researchers will plan for their study to include multiple components, one inductive and the other deductive. In other cases, a researcher might begin a study with the plan to conduct either inductive or deductive research, but then discovers along the way that the other approach is needed to help illuminate findings. Here is an example of each such case.
Dr. Amy Blackstone (n.d.), author of Principles of sociological inquiry: Qualitative and quantitative methods, relates a story about her mixed methods research on sexual harassment.
We began the study knowing that we would like to take both a deductive and an inductive approach in our work. We therefore administered a quantitative survey, the responses to which we could analyze in order to test hypotheses, and also conducted qualitative interviews with a number of the survey participants. The survey data were well suited to a deductive approach; we could analyze those data to test hypotheses that were generated based on theories of harassment. The interview data were well suited to an inductive approach; we looked for patterns across the interviews and then tried to make sense of those patterns by theorizing about them.
For one paper (Uggen & Blackstone, 2004)[290], we began with a prominent feminist theory of the sexual harassment of adult women and developed a set of hypotheses outlining how we expected the theory to apply in the case of younger women’s and men’s harassment experiences. We then tested our hypotheses by analyzing the survey data. In general, we found support for the theory that posited that the current gender system, in which heteronormative men wield the most power in the workplace, explained workplace sexual harassment—not just of adult women but of younger women and men as well. In a more recent paper (Blackstone, Houle, & Uggen, 2006),[291] we did not hypothesize about what we might find but instead inductively analyzed interview data, looking for patterns that might tell us something about how or whether workers’ perceptions of harassment change as they age and gain workplace experience. From this analysis, we determined that workers’ perceptions of harassment did indeed shift as they gained experience and that their later definitions of harassment were more stringent than those they held during adolescence. Overall, our desire to understand young workers’ harassment experiences fully—in terms of their objective workplace experiences, their perceptions of those experiences, and their stories of their experiences—led us to adopt both deductive and inductive approaches in the work. (Blackstone, n.d., p. 21)[292]
Researchers may not always set out to employ both approaches in their work but sometimes find that their use of one approach leads them to the other. One such example is described eloquently in Russell Schutt’s Investigating the Social World (2006).[293] As Schutt describes, researchers Sherman and Berk (1984)[294] conducted an experiment to test two competing theories of the effects of punishment on deterring deviance (in this case, domestic violence).Specifically, Sherman and Berk hypothesized that deterrence theory (see Williams, 2005[295] for more information on that theory) would provide a better explanation of the effects of arresting accused batterers than labeling theory. Deterrence theory predicts that arresting an accused spouse batterer will reduce future incidents of violence. Conversely, labeling theory predicts that arresting accused spouse batterers will increase future incidents (see Policastro & Payne, 2013[296] for more information on that theory). Figure 8.3 summarizes the two competing theories and the hypotheses Sherman and Berk set out to test.
What the original Sherman and Berk study, along with the follow-up studies, show us is that we might start with a deductive approach to research, but then, if confronted by new data we must make sense of, we may move to an inductive approach. We will expand on these possibilities in section 8.4 when we discuss mixed methods research.
Ethical and critical considerations
Deductive and inductive reasoning, just like other components of the research process comes with ethical and cultural considerations for researchers. Specifically, deductive research is limited by existing theory. Because scientific inquiry has been shaped by oppressive forces such as sexism, racism, and colonialism, what is considered theory is largely based in Western, white-male-dominant culture. Thus, researchers doing deductive research may artificially limit themselves to ideas that were derived from this context. Non-Western researchers, international social workers, and practitioners working with non-dominant groups may find deductive reasoning of limited help if theories do not adequately describe other cultures.
While these flaws in deductive research may make inductive reasoning seem more appealing, on closer inspection you'll find similar issues apply. A researcher using inductive reasoning applies their intuition and lived experience when analyzing participant data. They will take note of particular themes, conceptualize their definition, and frame the project using their unique psychology. Since everyone's internal world is shaped by their cultural and environmental context, inductive reasoning conducted by Western researchers may unintentionally reinforcing lines of inquiry that derive from cultural oppression.
Inductive reasoning is also shaped by those invited to provide the data to be analyzed. For example, I recently worked with a student who wanted to understand the impact of child welfare supervision on children born dependent on opiates and methamphetamine. Due to the potential harm that could come from interviewing families and children who are in foster care or under child welfare supervision, the researcher decided to use inductive reasoning and to only interview child welfare workers.
Talking to practitioners is a good idea for feasibility, as they are less vulnerable than clients. However, any theory that emerges out of these observations will be substantially limited, as it would be devoid of the perspectives of parents, children, and other community members who could provide a more comprehensive picture of the impact of child welfare involvement on children. Notice that each of these groups has less power than child welfare workers in the service relationship. Attending to which groups were used to inform the creation of a theory and the power of those groups is an important critical consideration for social work researchers.
As you can see, when researchers apply theory to research they must wrestle with the history and hierarchy around knowledge creation in that area. In deductive studies, the researcher is positioned as the expert, similar to the positivist paradigm presented in Chapter 5. We've discussed a few of the limitations on the knowledge of researchers in this subsection, but the position of the "researcher as expert" is inherently problematic. However, it should also not be taken to an extreme. A researcher who approaches inductive inquiry as a naïve learner is also inherently problematic. Just as competence in social work practice requires a baseline of knowledge prior to entering practice, so does competence in social work research. Because a truly naïve intellectual position is impossible—we all have preexisting ways we view the world and are not fully aware of how they may impact our thoughts—researchers should be well-read in the topic area of their research study but humble enough to know that there is always much more to learn.
Key Takeaways
- Inductive reasoning begins with a set of empirical observations, seeking patterns in those observations, and then theorizing about those patterns.
- Deductive reasoning begins with a theory, developing hypotheses from that theory, and then collecting and analyzing data to test the truth of those hypotheses.
- Inductive and deductive reasoning can be employed together for a more complete understanding of the research topic.
- Though researchers don’t always set out to use both inductive and deductive reasoning in their work, they sometimes find that new questions arise in the course of an investigation that can best be answered by employing both approaches.
Exercises
- Identify one theory and how it helps you understand your topic and working question.
I encourage you to find a specific theory from your topic area, rather than relying only on the broad theoretical perspectives like systems theory or the strengths perspective. Those broad theoretical perspectives are okay...but I promise that searching for theories about your topic will help you conceptualize and design your research project.
- Using the theory you identified, describe what you expect the answer to be to your working question.
11.4
Learning Objectives
Learners will be able to...
- Define and provide an example of idiographic causal relationships
- Describe the role of causality in quantitative research as compared to qualitative research
- Identify, define, and describe each of the main criteria for nomothetic causal relationships
- Describe the difference between and provide examples of independent, dependent, and control variables
- Define hypothesis, state a clear hypothesis, and discuss the respective roles of quantitative and qualitative research when it comes to hypotheses
Causality refers to the idea that one event, behavior, or belief will result in the occurrence of another, subsequent event, behavior, or belief. In other words, it is about cause and effect. It seems simple, but you may be surprised to learn there is more than one way to explain how one thing causes another. How can that be? How could there be many ways to understand causality?
Think back to our discussion in Section 5.3 on paradigms [insert chapter link plus link to section 1.2]. You’ll remember the positivist paradigm as the one that believes in objectivity. Positivists look for causal explanations that are universally true for everyone, everywhere because they seek objective truth. Interpretivists, on the other hand, look for causal explanations that are true for individuals or groups in a specific time and place because they seek subjective truths. Remember that for interpretivists, there is not one singular truth that is true for everyone, but many truths created and shared by others.
"Are you trying to generalize or nah?"
One of my favorite classroom moments occurred in the early days of my teaching career. Students were providing peer feedback on their working questions. I overheard one group who was helping someone rephrase their research question. A student asked, “Are you trying to generalize or nah?” Teaching is full of fun moments like that one. Answering that one question can help you understand how to conceptualize and design your research project.
Nomothetic causal explanations are incredibly powerful. They allow scientists to make predictions about what will happen in the future, with a certain margin of error. Moreover, they allow scientists to generalize—that is, make claims about a large population based on a smaller sample of people or items. Generalizing is important. We clearly do not have time to ask everyone their opinion on a topic or test a new intervention on every person. We need a type of causal explanation that helps us predict and estimate truth in all situations.
Generally, nomothetic causal relationships work best for explanatory research projects [INSERT SECTION LINK]. They also tend to use quantitative research: by boiling things down to numbers, one can use the universal language of mathematics to use statistics to explore those relationships. On the other hand, descriptive and exploratory projects often fit better with idiographic causality. These projects do not usually try to generalize, but instead investigate what is true for individuals, small groups, or communities at a specific point in time. You will learn about this type of causality in the next section. Here, we will assume you have an explanatory working question. For example, you may want to know about the risk and protective factors for a specific diagnosis or how a specific therapy impacts client outcomes.
What do nomothetic causal explanations look like?
Nomothetic causal explanations express relationships between variables. The term variable has a scientific definition. This one from Gillespie & Wagner (2018) "a logical grouping of attributes that can be observed and measured and is expected to vary from person to person in a population" (p. 9).[299] More practically, variables are the key concepts in your working question. You know, the things you plan to observe when you actually do your research project, conduct your surveys, complete your interviews, etc. These things have two key properties. First, they vary, as in they do not remain constant. "Age" varies by number. "Gender" varies by category. But they both vary. Second, they have attributes. So the variable "health professions" has attributes or categories, such as social worker, nurse, counselor, etc.
It's also worth reviewing what is not a variable. Well, things that don't change (or vary) aren't variables. If you planned to do a study on how gender impacts earnings but your study only contained women, that concept would not vary. Instead, it would be a constant. Another common mistake I see in students' explanatory questions is mistaking an attribute for a variable. "Men" is not a variable. "Gender" is a variable. "Virginia" is not a variable. The variable is the "state or territory" in which someone or something is physically located.
When one variable causes another, we have what researchers call independent and dependent variables. For example, in a study investigating the impact of spanking on aggressive behavior, spanking would be the independent variable and aggressive behavior would be the dependent variable. An independent variable is the cause, and a dependent variable is the effect. Why are they called that? Dependent variables depend on independent variables. If all of that gets confusing, just remember the graphical relationship in Figure 8.5.
Exercises
Write out your working question, as it exists now. As we said previously in the subsection, we assume you have an explanatory research question for learning this section.
- Write out a diagram similar to Figure 8.5.
- Put your independent variable on the left and the dependent variable on the right.
Check:
- Can your variables vary?
- Do they have different attributes or categories that vary from person to person?
- How does the theory you identified in section 8.1 help you understand this causal relationship?
If the theory you've identified isn't much help to you or seems unrelated, it's a good indication that you need to read more literature about the theories related to your topic.
For some students, your working question may not be specific enough to list an independent or dependent variable clearly. You may have "risk factors" in place of an independent variable, for example. Or "effects" as a dependent variable. If that applies to your research question, get specific for a minute even if you have to revise this later. Think about which specific risk factors or effects you are interested in. Consider a few options for your independent and dependent variable and create diagrams similar to Figure 8.5.
Finally, you are likely to revisit your working question so you may have to come back to this exercise to clarify the causal relationship you want to investigate.
For a ten-cent word like "nomothetic," these causal relationships should look pretty basic to you. They should look like "x causes y." Indeed, you may be looking at your causal explanation and thinking, "wow, there are so many other things I'm missing in here." In fact, maybe my dependent variable sometimes causes changes in my independent variable! For example, a working question asking about poverty and education might ask how poverty makes it more difficult to graduate college or how high college debt impacts income inequality after graduation. Nomothetic causal relationships are slices of reality. They boil things down to two (or often more) key variables and assert a one-way causal explanation between them. This is by design, as they are trying to generalize across all people to all situations. The more complicated, circular, and often contradictory causal explanations are idiographic, which we will cover in the next section of this chapter.
Developing a hypothesis
A hypothesis is a statement describing a researcher’s expectation regarding what they anticipate finding. Hypotheses in quantitative research are a nomothetic causal relationship that the researcher expects to determine is true or false. A hypothesis is written to describe the expected relationship between the independent and dependent variables. In other words, write the answer to your working question using your variables. That's your hypothesis! Make sure you haven't introduced new variables into your hypothesis that are not in your research question. If you have, write out your hypothesis as in Figure 8.5.
A good hypothesis should be testable using social science research methods. That is, you can use a social science research project (like a survey or experiment) to test whether it is true or not. A good hypothesis is also specific about the relationship it explores. For example, a student project that hypothesizes, "families involved with child welfare agencies will benefit from Early Intervention programs," is not specific about what benefits it plans to investigate. For this student, I advised her to take a look at the empirical literature and theory about Early Intervention and see what outcomes are associated with these programs. This way, she could more clearly state the dependent variable in her hypothesis, perhaps looking at reunification, attachment, or developmental milestone achievement in children and families under child welfare supervision.
Your hypothesis should be an informed prediction based on a theory or model of the social world. For example, you may hypothesize that treating mental health clients with warmth and positive regard is likely to help them achieve their therapeutic goals. That hypothesis would be based on the humanistic practice models of Carl Rogers. Using previous theories to generate hypotheses is an example of deductive research. If Rogers’ theory of unconditional positive regard is accurate, a study comparing clinicians who used it versus those who did not would show more favorable treatment outcomes for clients receiving unconditional positive regard.
Let’s consider a couple of examples. In research on sexual harassment (Uggen & Blackstone, 2004),[300] one might hypothesize, based on feminist theories of sexual harassment, that more females than males will experience specific sexually harassing behaviors. What is the causal relationship being predicted here? Which is the independent and which is the dependent variable? In this case, researchers hypothesized that a person’s sex (independent variable) would predict their likelihood to experience sexual harassment (dependent variable).
Sometimes researchers will hypothesize that a relationship will take a specific direction. As a result, an increase or decrease in one area might be said to cause an increase or decrease in another. For example, you might choose to study the relationship between age and support for legalization of marijuana. Perhaps you’ve taken a sociology class and, based on the theories you’ve read, you hypothesize that age is negatively related to support for marijuana legalization.[301] What have you just hypothesized?
You have hypothesized that as people get older, the likelihood of their supporting marijuana legalization decreases. Thus, as age (your independent variable) moves in one direction (up), support for marijuana legalization (your dependent variable) moves in another direction (down). So, a direct relationship (or positive correlation) involve two variables going in the same direction and an inverse relationship (or negative correlation) involve two variables going in opposite directions. If writing hypotheses feels tricky, it is sometimes helpful to draw them out and depict each of the two hypotheses we have just discussed.
It’s important to note that once a study starts, it is unethical to change your hypothesis to match the data you find. For example, what happens if you conduct a study to test the hypothesis from Figure 8.7 on support for marijuana legalization, but you find no relationship between age and support for legalization? It means that your hypothesis was incorrect, but that’s still valuable information. It would challenge what the existing literature says on your topic, demonstrating that more research needs to be done to figure out the factors that impact support for marijuana legalization. Don’t be embarrassed by negative results, and definitely don’t change your hypothesis to make it appear correct all along!
Criteria for establishing a nomothetic causal relationship
Let’s say you conduct your study and you find evidence that supports your hypothesis, as age increases, support for marijuana legalization decreases. Success! Causal explanation complete, right? Not quite.
You’ve only established one of the criteria for causality. The criteria for causality must include all of the following: covariation, plausibility, temporality, and nonspuriousness. In our example from Figure 8.7, we have established only one criteria—covariation. When variables covary, they vary together. Both age and support for marijuana legalization vary in our study. Our sample contains people of varying ages and varying levels of support for marijuana legalization. If, for example, we only included 16-year-olds in our study, age would be a constant, not a variable.
Just because there might be some correlation between two variables does not mean that a causal relationship between the two is really plausible. Plausibility means that in order to make the claim that one event, behavior, or belief causes another, the claim has to make sense. It makes sense that people from previous generations would have different attitudes towards marijuana than younger generations. People who grew up in the time of Reefer Madness or the hippies may hold different views than those raised in an era of legalized medicinal and recreational use of marijuana. Plausibility is of course helped by basing your causal explanation in existing theoretical and empirical findings.
Once we’ve established that there is a plausible relationship between the two variables, we also need to establish whether the cause occurred before the effect, the criterion of temporality. A person’s age is a quality that appears long before any opinions on drug policy, so temporally the cause comes before the effect. It wouldn’t make any sense to say that support for marijuana legalization makes a person’s age increase. Even if you could predict someone’s age based on their support for marijuana legalization, you couldn’t say someone’s age was caused by their support for legalization of marijuana.
Finally, scientists must establish nonspuriousness. A spurious relationship is one in which an association between two variables appears to be causal but can in fact be explained by some third variable. This third variable is often called a confound or confounding variable because it clouds and confuses the relationship between your independent and dependent variable, making it difficult to discern the true causal relationship is.
Continuing with our example, we could point to the fact that older adults are less likely to have used marijuana recreationally. Maybe it is actually recreational use of marijuana that leads people to be more open to legalization, not their age. In this case, our confounding variable would be recreational marijuana use. Perhaps the relationship between age and attitudes towards legalization is a spurious relationship that is accounted for by previous use. This is also referred to as the third variable problem, where a seemingly true causal relationship is actually caused by a third variable not in the hypothesis. In this example, the relationship between age and support for legalization could be more about having tried marijuana than the age of the person.
Quantitative researchers are sensitive to the effects of potentially spurious relationships. As a result, they will often measure these third variables in their study, so they can control for their effects in their statistical analysis. These are called control variables, and they refer to potentially confounding variables whose effects are controlled for mathematically in the data analysis process. Control variables can be a bit confusing, and we will discuss them more in Chapter 10, but think about it as an argument between you, the researcher, and a critic.
Researcher: “The older a person is, the less likely they are to support marijuana legalization.”
Critic: “Actually, it’s more about whether a person has used marijuana before. That is what truly determines whether someone supports marijuana legalization.”
Researcher: “Well, I measured previous marijuana use in my study and mathematically controlled for its effects in my analysis. Age explains most of the variation in attitudes towards marijuana legalization.”
Let’s consider a few additional, real-world examples of spuriousness. Did you know, for example, that high rates of ice cream sales have been shown to cause drowning? Of course, that’s not really true, but there is a positive relationship between the two. In this case, the third variable that causes both high ice cream sales and increased deaths by drowning is time of year, as the summer season sees increases in both (Babbie, 2010).[302]
Here’s another good one: it is true that as the salaries of Presbyterian ministers in Massachusetts rise, so too does the price of rum in Havana, Cuba. Well, duh, you might be saying to yourself. Everyone knows how much ministers in Massachusetts love their rum, right? Not so fast. Both salaries and rum prices have increased, true, but so has the price of just about everything else (Huff & Geis, 1993).[303]
Finally, research shows that the more firefighters present at a fire, the more damage is done at the scene. What this statement leaves out, of course, is that as the size of a fire increases so too does the amount of damage caused as does the number of firefighters called on to help (Frankfort-Nachmias & Leon-Guerrero, 2011).[304] In each of these examples, it is the presence of a confounding variable that explains the apparent relationship between the two original variables.
In sum, the following criteria must be met for a nomothetic causal relationship:
- The two variables must vary together.
- The relationship must be plausible.
- The cause must precede the effect in time.
- The relationship must be nonspurious (not due to a confounding variable).
The hypothetico-dedutive method
The primary way that researchers in the positivist paradigm use theories is sometimes called the hypothetico-deductive method (although this term is much more likely to be used by philosophers of science than by scientists themselves). Researchers choose an existing theory. Then, they make a prediction about some new phenomenon that should be observed if the theory is correct. Again, this prediction is called a hypothesis. The researchers then conduct an empirical study to test the hypothesis. Finally, they reevaluate the theory in light of the new results and revise it if necessary.
This process is usually conceptualized as a cycle because the researchers can then derive a new hypothesis from the revised theory, conduct a new empirical study to test the hypothesis, and so on. As Figure 8.8 shows, this approach meshes nicely with the process of conducting a research project—creating a more detailed model of “theoretically motivated” or “theory-driven” research. Together, they form a model of theoretically motivated research.
Keep in mind the hypothetico-deductive method is only one way of using social theory to inform social science research. It starts with describing one or more existing theories, deriving a hypothesis from one of those theories, testing your hypothesis in a new study, and finally reevaluating the theory based on the results data analyses. This format works well when there is an existing theory that addresses the research question—especially if the resulting hypothesis is surprising or conflicts with a hypothesis derived from a different theory.
But what if your research question is more interpretive? What if it is less about theory-testing and more about theory-building? This is what our next chapters will cover: the process of inductively deriving theory from people's stories and experiences. This process looks different than that depicted in Figure 8.8. It still starts with your research question and answering that question by conducting a research study. But instead of testing a hypothesis you created based on a theory, you will create a theory of your own that explain the data you collected. This format works well for qualitative research questions and for research questions that existing theories do not address.
Key Takeaways
- In positivist and quantitative studies, the goal is often to understand the more general causes of some phenomenon rather than the idiosyncrasies of one particular instance, as in an idiographic causal relationship.
- Nomothetic causal explanations focus on objectivity, prediction, and generalization.
- Criteria for nomothetic causal relationships require the relationship be plausible and nonspurious; and that the cause must precede the effect in time.
- In a nomothetic causal relationship, the independent variable causes changes in the dependent variable.
- Hypotheses are statements, drawn from theory, which describe a researcher’s expectation about a relationship between two or more variables.
Exercises
- Write out your working question and hypothesis.
- Defend your hypothesis in a short paragraph, using arguments based on the theory you identified in section 8.1.
- Review the criteria for a nomothetic causal relationship. Critique your short paragraph about your hypothesis using these criteria.
- Are there potentially confounding variables, issues with time order, or other problems you can identify in your reasoning?
Inductive & deductive (deductive focus)
Nomothetic causal explanations
Positivism
To my Dad, Tino DeCarlo, who inspired my work in publishing, and my mom, Mindy DeCarlo, who inspired my work in human services. In so many ways, this book would not have been possible without both of you and the love you give every day. -Matt
To my parents, Kim and Bob, who have always set a remarkable example of service to others and endless love and support of their family. - Cory
To my friends, far too many to name, who have supported me through this and every other part of my life. I wouldn't be here without you all.—Kate
a subtype of experimental design that is similar to a true experiment, but does not have randomly assigned control and treatment groups
an explanation of why you chose the specific design of your study; why do your chosen methods fit with the aim of your research
The people and organizations that have some interest in or will be effected by our program.
Chapter Outline
- Developing your theoretical framework
- Conceptual definitions
- Inductive & deductive reasoning
- Nomothetic causal explanations
Content warning: examples in this chapter include references to sexual harassment, domestic violence, gender-based violence, the child welfare system, substance use disorders, neonatal abstinence syndrome, child abuse, racism, and sexism.
11.1 Developing your theoretical framework
Learning Objectives
Learners will be able to...
- Differentiate between theories that explain specific parts of the social world versus those that are more broad and sweeping in their conclusions
- Identify the theoretical perspectives that are relevant to your project and inform your thinking about it
- Define key concepts in your working question and develop a theoretical framework for how you understand your topic.
Theories provide a way of looking at the world and of understanding human interaction. Paradigms are grounded in big assumptions about the world—what is real, how do we create knowledge—whereas theories describe more specific phenomena. Well, we are still oversimplifying a bit. Some theories try to explain the whole world, while others only try to explain a small part. Some theories can be grouped together based on common ideas but retain their own individual and unique features. Our goal is to help you find a theoretical framework that helps you understand your topic more deeply and answer your working question.
Theories: Big and small
In your human behavior and the social environment (HBSE) class, you were introduced to the major theoretical perspectives that are commonly used in social work. These are what we like to call big-T 'T'heories. When you read about systems theory, you are actually reading a synthesis of decades of distinct, overlapping, and conflicting theories that can be broadly classified within systems theory. For example, within systems theory, some approaches focus more on family systems while others focus on environmental systems, though the core concepts remain similar.
Different theorists define concepts in their own way, and as a result, their theories may explore different relationships with those concepts. For example, Deci and Ryan's (1985)[305] self-determination theory discusses motivation and establishes that it is contingent on meeting one's needs for autonomy, competency, and relatedness. By contrast, ecological self-determination theory, as written by Abery & Stancliffe (1996),[306] argues that self-determination is the amount of control exercised by an individual over aspects of their lives they deem important across the micro, meso, and macro levels. If self-determination were an important concept in your study, you would need to figure out which of the many theories related to self-determination helps you address your working question.
Theories can provide a broad perspective on the key concepts and relationships in the world or more specific and applied concepts and perspectives. Table 7.2 summarizes two commonly used lists of big-T Theoretical perspectives in social work. See if you can locate some of the theories that might inform your project.
Payne's (2014)[307] practice theories | Hutchison's (2014)[308] theoretical perspectives |
Psychodynamic | Systems |
Crisis and task-centered | Conflict |
Cognitive-behavioral | Exchange and choice |
Systems/ecological | Social constructionist |
Macro practice/social development/social pedagogy | Psychodynamic |
Strengths/solution/narrative | Developmental |
Humanistic/existential/spiritual | Social behavioral |
Critical | Humanistic |
Feminist | |
Anti-discriminatory/multi-cultural sensitivity |
Competing theoretical explanations
Within each area of specialization in social work, there are many other theories that aim to explain more specific types of interactions. For example, within the study of sexual harassment, different theories posit different explanations for why harassment occurs.
One theory, first developed by criminologists, is called routine activities theory. It posits that sexual harassment is most likely to occur when a workplace lacks unified groups and when potentially vulnerable targets and motivated offenders are both present (DeCoster, Estes, & Mueller, 1999).[309]
Other theories of sexual harassment, called relational theories, suggest that one's existing relationships are the key to understanding why and how workplace sexual harassment occurs and how people will respond when it does occur (Morgan, 1999).[310] Relational theories focus on the power that different social relationships provide (e.g., married people who have supportive partners at home might be more likely than those who lack support at home to report sexual harassment when it occurs).
Finally, feminist theories of sexual harassment take a different stance. These theories posit that the organization of our current gender system, wherein those who are the most masculine have the most power, best explains the occurrence of workplace sexual harassment (MacKinnon, 1979).[311] As you might imagine, which theory a researcher uses to examine the topic of sexual harassment will shape the questions asked about harassment. It will also shape the explanations the researcher provides for why harassment occurs.
For a graduate student beginning their study of a new topic, it may be intimidating to learn that there are so many theories beyond what you’ve learned in your theory classes. What’s worse is that there is no central database of theories on your topic. However, as you review the literature in your area, you will learn more about the theories scientists have created to explain how your topic works in the real world. There are other good sources for theories, in addition to journal articles. Books often contain works of theoretical and philosophical importance that are beyond the scope of an academic journal. Do a search in your university library for books on your topic, and you are likely to find theorists talking about how to make sense of your topic. You don't necessarily have to agree with the prevailing theories about your topic, but you do need to be aware of them so you can apply theoretical ideas to your project.
Applying big-T theories to your topic
The key to applying theories to your topic is learning the key concepts associated with that theory and the relationships between those concepts, or propositions. Again, your HBSE class should have prepared you with some of the most important concepts from the theoretical perspectives listed in Table 7.2. For example, the conflict perspective sees the world as divided into dominant and oppressed groups who engage in conflict over resources. If you were applying these theoretical ideas to your project, you would need to identify which groups in your project are considered dominant or oppressed groups, and which resources they were struggling over. This is a very general example. Challenge yourself to find small-t theories about your topic that will help you understand it in much greater detail and specificity. If you have chosen a topic that is relevant to your life and future practice, you will be doing valuable work shaping your ideas towards social work practice.
Integrating theory into your project can be easy, or it can take a bit more effort. Some people have a strong and explicit theoretical perspective that they carry with them at all times. For me, you'll probably see my work drawing from exchange and choice, social constructionist, and critical theory. Maybe you have theoretical perspectives you naturally employ, like Afrocentric theory or person-centered practice. If so, that's a great place to start since you might already be using that theory (even subconsciously) to inform your understanding of your topic. But if you aren't aware of whether you are using a theoretical perspective when you think about your topic, try writing a paragraph off the top of your head or talking with a friend explaining what you think about that topic. Try matching it with some of the ideas from the broad theoretical perspectives from Table 7.2. This can ground you as you search for more specific theories. Some studies are designed to test whether theories apply the real world while others are designed to create new theories or variations on existing theories. Consider which feels more appropriate for your project and what you want to know.
Another way to easily identify the theories associated with your topic is to look at the concepts in your working question. Are these concepts commonly found in any of the theoretical perspectives in Table 7.2? Take a look at the Payne and Hutchison texts and see if any of those look like the concepts and relationships in your working question or if any of them match with how you think about your topic. Even if they don't possess the exact same wording, similar theories can help serve as a starting point to finding other theories that can inform your project. Remember, HBSE textbooks will give you not only the broad statements of theories but also sources from specific theorists and sub-theories that might be more applicable to your topic. Skim the references and suggestions for further reading once you find something that applies well.
Exercises
Choose a theoretical perspective from Hutchison, Payne, or another theory textbook that is relevant to your project. Using their textbooks or other reputable sources, identify :
- At least five important concepts from the theory
- What relationships the theory establishes between these important concepts (e.g., as x increases, the y decreases)
- How you can use this theory to better understand the concepts and variables in your project?
Developing your own theoretical framework
Hutchison's and Payne's frameworks are helpful for surveying the whole body of literature relevant to social work, which is why they are so widely used. They are one framework, or way of thinking, about all of the theories social workers will encounter that are relevant to practice. Social work researchers should delve further and develop a theoretical or conceptual framework of their own based on their reading of the literature. In Chapter 8, we will develop your theoretical framework further, identifying the cause-and-effect relationships that answer your working question. Developing a theoretical framework is also instructive for revising and clarifying your working question and identifying concepts that serve as keywords for additional literature searching. The greater clarity you have with your theoretical perspective, the easier each subsequent step in the research process will be.
Getting acquainted with the important theoretical concepts in a new area can be challenging. While social work education provides a broad overview of social theory, you will find much greater fulfillment out of reading about the theories related to your topic area. We discussed some strategies for finding theoretical information in Chapter 3 as part of literature searching. To extend that conversation a bit, some strategies for searching for theories in the literature include:
- Using keywords like "theory," "conceptual," or "framework" in queries to better target the search at sources that talk about theory.
- Consider searching for these keywords in the title or abstract, specifically
- Looking at the references and cited by links within theoretical articles and textbooks
- Looking at books, edited volumes, and textbooks that discuss theory
- Talking with a scholar on your topic, or asking a professor if they can help connect you to someone
- Looking at how researchers use theory in their research projects
- Nice authors are clear about how they use theory to inform their research project, usually in the introduction and discussion section.
- Starting with a Big-T Theory and looking for sub-theories or specific theorists that directly address your topic area
- For example, from the broad umbrella of systems theory, you might pick out family systems theory if you want to understand the effectiveness of a family counseling program.
It's important to remember that knowledge arises within disciplines, and that disciplines have different theoretical frameworks for explaining the same topic. While it is certainly important for the social work perspective to be a part of your analysis, social workers benefit from searching across disciplines to come to a more comprehensive understanding of the topic. Reaching across disciplines can provide uncommon insights during conceptualization, and once the study is completed, a multidisciplinary researcher will be able to share results in a way that speaks to a variety of audiences. A study by An and colleagues (2015)[312] uses game theory from the discipline of economics to understand problems in the Temporary Assistance for Needy Families (TANF) program. In order to receive TANF benefits, mothers must cooperate with paternity and child support requirements unless they have "good cause," as in cases of domestic violence, in which providing that information would put the mother at greater risk of violence. Game theory can help us understand how TANF recipients and caseworkers respond to the incentives in their environment, and highlight why the design of the "good cause" waiver program may not achieve its intended outcome of increasing access to benefits for survivors of family abuse.
Of course, there are natural limits on the depth with which student researchers can and should engage in a search for theory about their topic. At minimum, you should be able to draw connections across studies and be able to assess the relative importance of each theory within the literature. Just because you found one article applying your theory (like game theory, in our example above) does not mean it is important or often used in the domestic violence literature. Indeed, it would be much more common in the family violence literature to find psychological theories of trauma, feminist theories of power and control, and similar theoretical perspectives used to inform research projects rather than game theory, which is equally applicable to survivors of family violence as workers and bosses at a corporation. Consider using the Cited By feature to identify articles, books, and other sources of theoretical information that are seminal or well-cited in the literature. Similarly, by using the name of a theory in the keywords of a search query (along with keywords related to your topic), you can get a sense of how often the theory is used in your topic area. You should have a sense of what theories are commonly used to analyze your topic, even if you end up choosing a different one to inform your project.
Theories that are not cited or used as often are still immensely valuable. As we saw before with TANF and "good cause" waivers, using theories from other disciplines can produce uncommon insights and help you make a new contribution to the social work literature. Given the privileged position that the social work curriculum places on theories developed by white men, students may want to explore Afrocentricity as a social work practice theory (Pellebon, 2007)[313] or abolitionist social work (Jacobs et al., 2021)[314] when deciding on a theoretical framework for their research project that addresses concepts of racial justice. Start with your working question, and explain how each theory helps you answer your question. Some explanations are going to feel right, and some concepts will feel more salient to you than others. Keep in mind that this is an iterative process. Your theoretical framework will likely change as you continue to conceptualize your research project, revise your research question, and design your study.
By trying on many different theoretical explanations for your topic area, you can better clarify your own theoretical framework. Some of you may be fortunate enough to find theories that match perfectly with how you think about your topic, are used often in the literature, and are therefore relatively straightforward to apply. However, many of you may find that a combination of theoretical perspectives is most helpful for you to investigate your project. For example, maybe the group counseling program for which you are evaluating client outcomes draws from both motivational interviewing and cognitive behavioral therapy. In order to understand the change happening in the client population, you would need to know each theory separately as well as how they work in tandem with one another. Because theoretical explanations and even the definitions of concepts are debated by scientists, it may be helpful to find a specific social scientist or group of scientists whose perspective on the topic you find matches with your understanding of the topic. Of course, it is also perfectly acceptable to develop your own theoretical framework, though you should be able to articulate how your framework fills a gap within the literature.
If you are adapting theoretical perspectives in your study, it is important to clarify the original authors' definitions of each concept. Jabareen (2009)[315] offers that conceptual frameworks are not merely collections of concepts but, rather, constructs in which each concept plays an integral role.[316] A conceptual framework is a network of linked concepts that together provide a comprehensive understanding of a phenomenon. Each concept in a conceptual framework plays an ontological or epistemological role in the framework, and it is important to assess whether the concepts and relationships in your framework make sense together. As your framework takes shape, you will find yourself integrating and grouping together concepts, thinking about the most important or least important concepts, and how each concept is causally related to others.
Much like paradigm, theory plays a supporting role for the conceptualization of your research project. Recall the ice float from Figure 7.1. Theoretical explanations support the design and methods you use to answer your research question. In student projects that lack a theoretical framework, I often see the biases and errors in reasoning that we discussed in Chapter 1 that get in the way of good social science. That's because theories mark which concepts are important, provide a framework for understanding them, and measure their interrelationships. If you are missing this foundation, you will operate on informal observation, messages from authority, and other forms of unsystematic and unscientific thinking we reviewed in Chapter 1.
Theory-informed inquiry is incredibly helpful for identifying key concepts and how to measure them in your research project, but there is a risk in aligning research too closely with theory. The theory-ladenness of facts and observations produced by social science research means that we may be making our ideas real through research. This is a potential source of confirmation bias in social science. Moreover, as Tan (2016)[317] demonstrates, social science often proceeds by adopting as true the perspective of Western and Global North countries, and cross-cultural research is often when ethnocentric and biased ideas are most visible. In her example, a researcher from the West studying teacher-centric classrooms in China that rely partially on rote memorization may view them as less advanced than student-centered classrooms developed in a Western country simply because of Western philosophical assumptions about the importance of individualism and self-determination. Developing a clear theoretical framework is a way to guard against biased research, and it will establish a firm foundation on which you will develop the design and methods for your study.
Key Takeaways
- Just as empirical evidence is important for conceptualizing a research project, so too are the key concepts and relationships identified by social work theory.
- Using theory your theory textbook will provide you with a sense of the broad theoretical perspectives in social work that might be relevant to your project.
- Try to find small-t theories that are more specific to your topic area and relevant to your working question.
Exercises
- In Chapter 2, you developed a concept map for your proposal. Take a moment to revisit your concept map now as your theoretical framework is taking shape. Make any updates to the key concepts and relationships in your concept map.
. If you need a refresher, we have embedded a short how-to video from the University of Guelph Library (CC-BY-NC-SA 4.0) that we also used in Chapter 2.
11.2 Conceptual definitions
Learning Objectives
Learners will be able to...
- Define measurement and conceptualization
- Apply Kaplan’s three categories to determine the complexity of measuring a given variable
- Identify the role previous research and theory play in defining concepts
- Distinguish between unidimensional and multidimensional concepts
- Critically apply reification to how you conceptualize the key variables in your research project
In social science, when we use the term measurement, we mean the process by which we describe and ascribe meaning to the key facts, concepts, or other phenomena that we are investigating. At its core, measurement is about defining one’s terms in as clear and precise a way as possible. Of course, measurement in social science isn’t quite as simple as using a measuring cup or spoon, but there are some basic tenets on which most social scientists agree when it comes to measurement. We’ll explore those, as well as some of the ways that measurement might vary depending on your unique approach to the study of your topic.
An important point here is that measurement does not require any particular instruments or procedures. What it does require is a systematic procedure for assigning scores, meanings, and descriptions to individuals or objects so that those scores represent the characteristic of interest. You can measure phenomena in many different ways, but you must be sure that how you choose to measure gives you information and data that lets you answer your research question. If you're looking for information about a person's income, but your main points of measurement have to do with the money they have in the bank, you're not really going to find the information you're looking for!
The question of what social scientists measure can be answered by asking yourself what social scientists study. Think about the topics you’ve learned about in other social work classes you’ve taken or the topics you’ve considered investigating yourself. Let’s consider Melissa Milkie and Catharine Warner’s study (2011)[318] of first graders’ mental health. In order to conduct that study, Milkie and Warner needed to have some idea about how they were going to measure mental health. What does mental health mean, exactly? And how do we know when we’re observing someone whose mental health is good and when we see someone whose mental health is compromised? Understanding how measurement works in research methods helps us answer these sorts of questions.
As you might have guessed, social scientists will measure just about anything that they have an interest in investigating. For example, those who are interested in learning something about the correlation between social class and levels of happiness must develop some way to measure both social class and happiness. Those who wish to understand how well immigrants cope in their new locations must measure immigrant status and coping. Those who wish to understand how a person’s gender shapes their workplace experiences must measure gender and workplace experiences (and get more specific about which experiences are under examination). You get the idea. Social scientists can and do measure just about anything you can imagine observing or wanting to study. Of course, some things are easier to observe or measure than others.
Observing your variables
In 1964, philosopher Abraham Kaplan (1964)[319] wrote The Conduct of Inquiry, which has since become a classic work in research methodology (Babbie, 2010).[320] In his text, Kaplan describes different categories of things that behavioral scientists observe. One of those categories, which Kaplan called “observational terms,” is probably the simplest to measure in social science. Observational terms are the sorts of things that we can see with the naked eye simply by looking at them. Kaplan roughly defines them as conditions that are easy to identify and verify through direct observation. If, for example, we wanted to know how the conditions of playgrounds differ across different neighborhoods, we could directly observe the variety, amount, and condition of equipment at various playgrounds.
Indirect observables, on the other hand, are less straightforward to assess. In Kaplan's framework, they are conditions that are subtle and complex that we must use existing knowledge and intuition to define. If we conducted a study for which we wished to know a person’s income, we’d probably have to ask them their income, perhaps in an interview or a survey. Thus, we have observed income, even if it has only been observed indirectly. Birthplace might be another indirect observable. We can ask study participants where they were born, but chances are good we won’t have directly observed any of those people being born in the locations they report.
Sometimes the measures that we are interested in are more complex and more abstract than observational terms or indirect observables. Think about some of the concepts you’ve learned about in other social work classes—for example, ethnocentrism. What is ethnocentrism? Well, from completing an introduction to social work class you might know that it has something to do with the way a person judges another’s culture. But how would you measure it? Here’s another construct: bureaucracy. We know this term has something to do with organizations and how they operate but measuring such a construct is trickier than measuring something like a person’s income. The theoretical concepts of ethnocentrism and bureaucracy represent ideas whose meanings we have come to agree on. Though we may not be able to observe these abstractions directly, we can observe their components.
Kaplan referred to these more abstract things that behavioral scientists measure as constructs. Constructs are “not observational either directly or indirectly” (Kaplan, 1964, p. 55),[321] but they can be defined based on observables. For example, the construct of bureaucracy could be measured by counting the number of supervisors that need to approve routine spending by public administrators. The greater the number of administrators that must sign off on routine matters, the greater the degree of bureaucracy. Similarly, we might be able to ask a person the degree to which they trust people from different cultures around the world and then assess the ethnocentrism inherent in their answers. We can measure constructs like bureaucracy and ethnocentrism by defining them in terms of what we can observe.[322]
The idea of coming up with your own measurement tool might sound pretty intimidating at this point. The good news is that if you find something in the literature that works for you, you can use it (with proper attribution, of course). If there are only pieces of it that you like, you can reuse those pieces (with proper attribution and describing/justifying any changes). You don't always have to start from scratch!
Exercises
Look at the variables in your research question.
- Classify them as direct observables, indirect observables, or constructs.
- Do you think measuring them will be easy or hard?
- What are your first thoughts about how to measure each variable? No wrong answers here, just write down a thought about each variable.
Measurement starts with conceptualization
In order to measure the concepts in your research question, we first have to understand what we think about them. As an aside, the word concept has come up quite a bit, and it is important to be sure we have a shared understanding of that term. A concept is the notion or image that we conjure up when we think of some cluster of related observations or ideas. For example, masculinity is a concept. What do you think of when you hear that word? Presumably, you imagine some set of behaviors and perhaps even a particular style of self-presentation. Of course, we can’t necessarily assume that everyone conjures up the same set of ideas or images when they hear the word masculinity. While there are many possible ways to define the term and some may be more common or have more support than others, there is no universal definition of masculinity. What counts as masculine may shift over time, from culture to culture, and even from individual to individual (Kimmel, 2008). This is why defining our concepts is so important.\
Not all researchers clearly explain their theoretical or conceptual framework for their study, but they should! Without understanding how a researcher has defined their key concepts, it would be nearly impossible to understand the meaning of that researcher’s findings and conclusions. Back in Chapter 7, you developed a theoretical framework for your study based on a survey of the theoretical literature in your topic area. If you haven't done that yet, consider flipping back to that section to familiarize yourself with some of the techniques for finding and using theories relevant to your research question. Continuing with our example on masculinity, we would need to survey the literature on theories of masculinity. After a few queries on masculinity, I found a wonderful article by Wong (2010)[323] that analyzed eight years of the journal Psychology of Men & Masculinity and analyzed how often different theories of masculinity were used. Not only can I get a sense of which theories are more accepted and which are more marginal in the social science on masculinity, I am able to identify a range of options from which I can find the theory or theories that will inform my project.
Exercises
Identify a specific theory (or more than one theory) and how it helps you understand...
- Your independent variable(s).
- Your dependent variable(s).
- The relationship between your independent and dependent variables.
Rather than completing this exercise from scratch, build from your theoretical or conceptual framework developed in previous chapters.
In quantitative methods, conceptualization involves writing out clear, concise definitions for our key concepts. These are the kind of definitions you are used to, like the ones in a dictionary. A conceptual definition involves defining a concept in terms of other concepts, usually by making reference to how other social scientists and theorists have defined those concepts in the past. Of course, new conceptual definitions are created all the time because our conceptual understanding of the world is always evolving.
Conceptualization is deceptively challenging—spelling out exactly what the concepts in your research question mean to you. Following along with our example, think about what comes to mind when you read the term masculinity. How do you know masculinity when you see it? Does it have something to do with men or with social norms? If so, perhaps we could define masculinity as the social norms that men are expected to follow. That seems like a reasonable start, and at this early stage of conceptualization, brainstorming about the images conjured up by concepts and playing around with possible definitions is appropriate. However, this is just the first step. At this point, you should be beyond brainstorming for your key variables because you have read a good amount of research about them
In addition, we should consult previous research and theory to understand the definitions that other scholars have already given for the concepts we are interested in. This doesn’t mean we must use their definitions, but understanding how concepts have been defined in the past will help us to compare our conceptualizations with how other scholars define and relate concepts. Understanding prior definitions of our key concepts will also help us decide whether we plan to challenge those conceptualizations or rely on them for our own work. Finally, working on conceptualization is likely to help in the process of refining your research question to one that is specific and clear in what it asks. Conceptualization and operationalization (next section) are where "the rubber meets the road," so to speak, and you have to specify what you mean by the question you are asking. As your conceptualization deepens, you will often find that your research question becomes more specific and clear.
If we turn to the literature on masculinity, we will surely come across work by Michael Kimmel, one of the preeminent masculinity scholars in the United States. After consulting Kimmel’s prior work (2000; 2008),[324] we might tweak our initial definition of masculinity. Rather than defining masculinity as “the social norms that men are expected to follow,” perhaps instead we’ll define it as “the social roles, behaviors, and meanings prescribed for men in any given society at any one time” (Kimmel & Aronson, 2004, p. 503).[325] Our revised definition is more precise and complex because it goes beyond addressing one aspect of men’s lives (norms), and addresses three aspects: roles, behaviors, and meanings. It also implies that roles, behaviors, and meanings may vary across societies and over time. Using definitions developed by theorists and scholars is a good idea, though you may find that you want to define things your own way.
As you can see, conceptualization isn’t as simple as applying any random definition that we come up with to a term. Defining our terms may involve some brainstorming at the very beginning. But conceptualization must go beyond that, to engage with or critique existing definitions and conceptualizations in the literature. Once we’ve brainstormed about the images associated with a particular word, we should also consult prior work to understand how others define the term in question. After we’ve identified a clear definition that we’re happy with, we should make sure that every term used in our definition will make sense to others. Are there terms used within our definition that also need to be defined? If so, our conceptualization is not yet complete. Our definition includes the concept of "social roles," so we should have a definition for what those mean and become familiar with role theory to help us with our conceptualization. If we don't know what roles are, how can we study them?
Let's say we do all of that. We have a clear definition of the term masculinity with reference to previous literature and we also have a good understanding of the terms in our conceptual definition...then we're done, right? Not so fast. You’ve likely met more than one man in your life, and you’ve probably noticed that they are not the same, even if they live in the same society during the same historical time period. This could mean there are dimensions of masculinity. In terms of social scientific measurement, concepts can be said to have multiple dimensions when there are multiple elements that make up a single concept. With respect to the term masculinity, dimensions could based on gender identity, gender performance, sexual orientation, etc.. In any of these cases, the concept of masculinity would be considered to have multiple dimensions.
While you do not need to spell out every possible dimension of the concepts you wish to measure, it is important to identify whether your concepts are unidimensional (and therefore relatively easy to define and measure) or multidimensional (and therefore require multi-part definitions and measures). In this way, how you conceptualize your variables determines how you will measure them in your study. Unidimensional concepts are those that are expected to have a single underlying dimension. These concepts can be measured using a single measure or test. Examples include simple concepts such as a person’s weight, time spent sleeping, and so forth.
One frustrating this is that there is no clear demarcation between concepts that are inherently unidimensional or multidimensional. Even something as simple as age could be broken down into multiple dimensions including mental age and chronological age, so where does conceptualization stop? How far down the dimensional rabbit hole do we have to go? Researchers should consider two things. First, how important is this variable in your study? If age is not important in your study (maybe it is a control variable), it seems like a waste of time to do a lot of work drawing from developmental theory to conceptualize this variable. A unidimensional measure from zero to dead is all the detail we need. On the other hand, if we were measuring the impact of age on masculinity, conceptualizing our independent variable (age) as multidimensional may provide a richer understanding of its impact on masculinity. Finally, your conceptualization will lead directly to your operationalization of the variable, and once your operationalization is complete, make sure someone reading your study could follow how your conceptual definitions informed the measures you chose for your variables.
Exercises
Write a conceptual definition for your independent and dependent variables.
- Cite and attribute definitions to other scholars, if you use their words.
- Describe how your definitions are informed by your theoretical framework.
- Place your definition in conversation with other theories and conceptual definitions commonly used in the literature.
- Are there multiple dimensions of your variables?
- Are any of these dimensions important for you to measure?
Do researchers actually know what we're talking about?
Conceptualization proceeds differently in qualitative research compared to quantitative research. Since qualitative researchers are interested in the understandings and experiences of their participants, it is less important for them to find one fixed definition for a concept before starting to interview or interact with participants. The researcher’s job is to accurately and completely represent how their participants understand a concept, not to test their own definition of that concept.
If you were conducting qualitative research on masculinity, you would likely consult previous literature like Kimmel’s work mentioned above. From your literature review, you may come up with a working definition for the terms you plan to use in your study, which can change over the course of the investigation. However, the definition that matters is the definition that your participants share during data collection. A working definition is merely a place to start, and researchers should take care not to think it is the only or best definition out there.
In qualitative inquiry, your participants are the experts (sound familiar, social workers?) on the concepts that arise during the research study. Your job as the researcher is to accurately and reliably collect and interpret their understanding of the concepts they describe while answering your questions. Conceptualization of concepts is likely to change over the course of qualitative inquiry, as you learn more information from your participants. Indeed, getting participants to comment on, extend, or challenge the definitions and understandings of other participants is a hallmark of qualitative research. This is the opposite of quantitative research, in which definitions must be completely set in stone before the inquiry can begin.
The contrast between qualitative and quantitative conceptualization is instructive for understanding how quantitative methods (and positivist research in general) privilege the knowledge of the researcher over the knowledge of study participants and community members. Positivism holds that the researcher is the "expert," and can define concepts based on their expert knowledge of the scientific literature. This knowledge is in contrast to the lived experience that participants possess from experiencing the topic under examination day-in, day-out. For this reason, it would be wise to remind ourselves not to take our definitions too seriously and be critical about the limitations of our knowledge.
Conceptualization must be open to revisions, even radical revisions, as scientific knowledge progresses. While I’ve suggested consulting prior scholarly definitions of our concepts, you should not assume that prior, scholarly definitions are more real than the definitions we create. Likewise, we should not think that our own made-up definitions are any more real than any other definition. It would also be wrong to assume that just because definitions exist for some concept that the concept itself exists beyond some abstract idea in our heads. Building on the paradigmatic ideas behind interpretivism and the critical paradigm, researchers call the assumption that our abstract concepts exist in some concrete, tangible way is known as reification. It explores the power dynamics behind how we can create reality by how we define it.
Returning again to our example of masculinity. Think about our how our notions of masculinity have developed over the past few decades, and how different and yet so similar they are to patriarchal definitions throughout history. Conceptual definitions become more or less popular based on the power arrangements inside of social science the broader world. Western knowledge systems are privileged, while others are viewed as unscientific and marginal. The historical domination of social science by white men from WEIRD countries meant that definitions of masculinity were imbued their cultural biases and were designed explicitly and implicitly to preserve their power. This has inspired movements for cognitive justice as we seek to use social science to achieve global development.
Key Takeaways
- Measurement is the process by which we describe and ascribe meaning to the key facts, concepts, or other phenomena that we are investigating.
- Kaplan identified three categories of things that social scientists measure including observational terms, indirect observables, and constructs.
- Some concepts have multiple elements or dimensions.
- Researchers often use measures previously developed and studied by other researchers.
- Conceptualization is a process that involves coming up with clear, concise definitions.
- Conceptual definitions are based on the theoretical framework you are using for your study (and the paradigmatic assumptions underlying those theories).
- Whether your conceptual definitions come from your own ideas or the literature, you should be able to situate them in terms of other commonly used conceptual definitions.
- Researchers should acknowledge the limited explanatory power of their definitions for concepts and how oppression can shape what explanations are considered true or scientific.
Exercises
Think historically about the variables in your research question.
- How has our conceptual definition of your topic changed over time?
- What scholars or social forces were responsible for this change?
Take a critical look at your conceptual definitions.
- How participants might define terms for themselves differently, in terms of their daily experience?
- On what cultural assumptions are your conceptual definitions based?
- Are your conceptual definitions applicable across all cultures that will be represented in your sample?
11.3 Inductive and deductive reasoning
Learning Objectives
Learners will be able to...
- Describe inductive and deductive reasoning and provide examples of each
- Identify how inductive and deductive reasoning are complementary
Congratulations! You survived the chapter on theories and paradigms. My experience has been that many students have a difficult time thinking about theories and paradigms because they perceive them as "intangible" and thereby hard to connect to social work research. I even had one student who said she got frustrated just reading the word "philosophy."
Rest assured, you do not need to become a theorist or philosopher to be an effective social worker or researcher. However, you should have a good sense of what theory or theories will be relevant to your project, as well as how this theory, along with your working question, fit within the three broad research paradigms we reviewed. If you don't have a good idea about those at this point, it may be a good opportunity to pause and read more about the theories related to your topic area.
Theories structure and inform social work research. The converse is also true: research can structure and inform theory. The reciprocal relationship between theory and research often becomes evident to students when they consider the relationships between theory and research in inductive and deductive approaches to research. In both cases, theory is crucial. But the relationship between theory and research differs for each approach.
While inductive and deductive approaches to research are quite different, they can also be complementary. Let’s start by looking at each one and how they differ from one another. Then we’ll move on to thinking about how they complement one another.
Inductive reasoning
A researcher using inductive reasoning begins by collecting data that is relevant to their topic of interest. Once a substantial amount of data have been collected, the researcher will then step back from data collection to get a bird’s eye view of their data. At this stage, the researcher looks for patterns in the data, working to develop a theory that could explain those patterns. Thus, when researchers take an inductive approach, they start with a particular set of observations and move to a more general set of propositions about those experiences. In other words, they move from data to theory, or from the specific to the general. Figure 8.1 outlines the steps involved with an inductive approach to research.
There are many good examples of inductive research, but we’ll look at just a few here. One fascinating study in which the researchers took an inductive approach is Katherine Allen, Christine Kaestle, and Abbie Goldberg’s (2011)[326] study of how boys and young men learn about menstruation. To understand this process, Allen and her colleagues analyzed the written narratives of 23 young cisgender men in which the men described how they learned about menstruation, what they thought of it when they first learned about it, and what they think of it now. By looking for patterns across all 23 cisgender men’s narratives, the researchers were able to develop a general theory of how boys and young men learn about this aspect of girls’ and women’s biology. They conclude that sisters play an important role in boys’ early understanding of menstruation, that menstruation makes boys feel somewhat separated from girls, and that as they enter young adulthood and form romantic relationships, young men develop more mature attitudes about menstruation. Note how this study began with the data—men’s narratives of learning about menstruation—and worked to develop a theory.
In another inductive study, Kristin Ferguson and colleagues (Ferguson, Kim, & McCoy, 2011)[327] analyzed empirical data to better understand how to meet the needs of young people who are homeless. The authors analyzed focus group data from 20 youth at a homeless shelter. From these data they developed a set of recommendations for those interested in applied interventions that serve homeless youth. The researchers also developed hypotheses for others who might wish to conduct further investigation of the topic. Though Ferguson and her colleagues did not test their hypotheses, their study ends where most deductive investigations begin: with a theory and a hypothesis derived from that theory. Section 8.4 discusses the use of mixed methods research as a way for researchers to test hypotheses created in a previous component of the same research project.
You will notice from both of these examples that inductive reasoning is most commonly found in studies using qualitative methods, such as focus groups and interviews. Because inductive reasoning involves the creation of a new theory, researchers need very nuanced data on how the key concepts in their working question operate in the real world. Qualitative data is often drawn from lengthy interactions and observations with the individuals and phenomena under examination. For this reason, inductive reasoning is most often associated with qualitative methods, though it is used in both quantitative and qualitative research.
Deductive reasoning
If inductive reasoning is about creating theories from raw data, deductive reasoning is about testing theories using data. Researchers using deductive reasoning take the steps described earlier for inductive research and reverse their order. They start with a compelling social theory, create a hypothesis about how the world should work, collect raw data, and analyze whether their hypothesis was confirmed or not. That is, deductive approaches move from a more general level (theory) to a more specific (data); whereas inductive approaches move from the specific (data) to general (theory).
A deductive approach to research is the one that people typically associate with scientific investigation. Students in English-dominant countries that may be confused by inductive vs. deductive research can rest part of the blame on Sir Arthur Conan Doyle, creator of the Sherlock Holmes character. As Craig Vasey points out in his breezy introduction to logic book chapter, Sherlock Holmes more often used inductive rather than deductive reasoning (despite claiming to use the powers of deduction to solve crimes). By noticing subtle details in how people act, behave, and dress, Holmes finds patterns that others miss. Using those patterns, he creates a theory of how the crime occurred, dramatically revealed to the authorities just in time to arrest the suspect. Indeed, it is these flashes of insight into the patterns of data that make Holmes such a keen inductive reasoner. In social work practice, rather than detective work, inductive reasoning is supported by the intuitions and practice wisdom of social workers, just as Holmes' reasoning is sharpened by his experience as a detective.
So, if deductive reasoning isn't Sherlock Holmes' observation and pattern-finding, how does it work? It starts with what you have already done in Chapters 3 and 4, reading and evaluating what others have done to study your topic. It continued with Chapter 5, discovering what theories already try to explain how the concepts in your working question operate in the real world. Tapping into this foundation of knowledge on their topic, the researcher studies what others have done, reads existing theories of whatever phenomenon they are studying, and then tests hypotheses that emerge from those theories. Figure 8.2 outlines the steps involved with a deductive approach to research.
While not all researchers follow a deductive approach, many do. We’ll now take a look at a couple excellentrecent examples of deductive research.
In a study of US law enforcement responses to hate crimes, Ryan King and colleagues (King, Messner, & Baller, 2009)[328] hypothesized that law enforcement’s response would be less vigorous in areas of the country that had a stronger history of racial violence. The authors developed their hypothesis from prior research and theories on the topic. They tested the hypothesis by analyzing data on states’ lynching histories and hate crime responses. Overall, the authors found support for their hypothesis and illustrated an important application of critical race theory.
In another recent deductive study, Melissa Milkie and Catharine Warner (2011)[329] studied the effects of different classroom environments on first graders’ mental health. Based on prior research and theory, Milkie and Warner hypothesized that negative classroom features, such as a lack of basic supplies and heat, would be associated with emotional and behavioral problems in children. One might associate this research with Maslow's hierarchy of needs or systems theory. The researchers found support for their hypothesis, demonstrating that policymakers should be paying more attention to the mental health outcomes of children’s school experiences, just as they track academic outcomes (American Sociological Association, 2011).[330]
Complementary approaches
While inductive and deductive approaches to research seem quite different, they can actually be rather complementary. In some cases, researchers will plan for their study to include multiple components, one inductive and the other deductive. In other cases, a researcher might begin a study with the plan to conduct either inductive or deductive research, but then discovers along the way that the other approach is needed to help illuminate findings. Here is an example of each such case.
Dr. Amy Blackstone (n.d.), author of Principles of sociological inquiry: Qualitative and quantitative methods, relates a story about her mixed methods research on sexual harassment.
We began the study knowing that we would like to take both a deductive and an inductive approach in our work. We therefore administered a quantitative survey, the responses to which we could analyze in order to test hypotheses, and also conducted qualitative interviews with a number of the survey participants. The survey data were well suited to a deductive approach; we could analyze those data to test hypotheses that were generated based on theories of harassment. The interview data were well suited to an inductive approach; we looked for patterns across the interviews and then tried to make sense of those patterns by theorizing about them.
For one paper (Uggen & Blackstone, 2004)[331], we began with a prominent feminist theory of the sexual harassment of adult women and developed a set of hypotheses outlining how we expected the theory to apply in the case of younger women’s and men’s harassment experiences. We then tested our hypotheses by analyzing the survey data. In general, we found support for the theory that posited that the current gender system, in which heteronormative men wield the most power in the workplace, explained workplace sexual harassment—not just of adult women but of younger women and men as well. In a more recent paper (Blackstone, Houle, & Uggen, 2006),[332] we did not hypothesize about what we might find but instead inductively analyzed interview data, looking for patterns that might tell us something about how or whether workers’ perceptions of harassment change as they age and gain workplace experience. From this analysis, we determined that workers’ perceptions of harassment did indeed shift as they gained experience and that their later definitions of harassment were more stringent than those they held during adolescence. Overall, our desire to understand young workers’ harassment experiences fully—in terms of their objective workplace experiences, their perceptions of those experiences, and their stories of their experiences—led us to adopt both deductive and inductive approaches in the work. (Blackstone, n.d., p. 21)[333]
Researchers may not always set out to employ both approaches in their work but sometimes find that their use of one approach leads them to the other. One such example is described eloquently in Russell Schutt’s Investigating the Social World (2006).[334] As Schutt describes, researchers Sherman and Berk (1984)[335] conducted an experiment to test two competing theories of the effects of punishment on deterring deviance (in this case, domestic violence).Specifically, Sherman and Berk hypothesized that deterrence theory (see Williams, 2005[336] for more information on that theory) would provide a better explanation of the effects of arresting accused batterers than labeling theory. Deterrence theory predicts that arresting an accused spouse batterer will reduce future incidents of violence. Conversely, labeling theory predicts that arresting accused spouse batterers will increase future incidents (see Policastro & Payne, 2013[337] for more information on that theory). Figure 8.3 summarizes the two competing theories and the hypotheses Sherman and Berk set out to test.
Research from these follow-up studies were mixed. In some cases, arrest deterred future incidents of violence. In other cases, it did not. This left the researchers with new data that they needed to explain. The researchers therefore took an inductive approach in an effort to make sense of their latest empirical observations. The new studies revealed that arrest seemed to have a deterrent effect for those who were married and employed, but that it led to increased offenses for those who were unmarried and unemployed. Researchers thus turned to control theory, which posits that having some stake in conformity through the social ties provided by marriage and employment, as the better explanation (see Davis et al., 2000[339] for more information on this theory).
What the original Sherman and Berk study, along with the follow-up studies, show us is that we might start with a deductive approach to research, but then, if confronted by new data we must make sense of, we may move to an inductive approach. We will expand on these possibilities in section 8.4 when we discuss mixed methods research.
Ethical and critical considerations
Deductive and inductive reasoning, just like other components of the research process comes with ethical and cultural considerations for researchers. Specifically, deductive research is limited by existing theory. Because scientific inquiry has been shaped by oppressive forces such as sexism, racism, and colonialism, what is considered theory is largely based in Western, white-male-dominant culture. Thus, researchers doing deductive research may artificially limit themselves to ideas that were derived from this context. Non-Western researchers, international social workers, and practitioners working with non-dominant groups may find deductive reasoning of limited help if theories do not adequately describe other cultures.
While these flaws in deductive research may make inductive reasoning seem more appealing, on closer inspection you'll find similar issues apply. A researcher using inductive reasoning applies their intuition and lived experience when analyzing participant data. They will take note of particular themes, conceptualize their definition, and frame the project using their unique psychology. Since everyone's internal world is shaped by their cultural and environmental context, inductive reasoning conducted by Western researchers may unintentionally reinforcing lines of inquiry that derive from cultural oppression.
Inductive reasoning is also shaped by those invited to provide the data to be analyzed. For example, I recently worked with a student who wanted to understand the impact of child welfare supervision on children born dependent on opiates and methamphetamine. Due to the potential harm that could come from interviewing families and children who are in foster care or under child welfare supervision, the researcher decided to use inductive reasoning and to only interview child welfare workers.
Talking to practitioners is a good idea for feasibility, as they are less vulnerable than clients. However, any theory that emerges out of these observations will be substantially limited, as it would be devoid of the perspectives of parents, children, and other community members who could provide a more comprehensive picture of the impact of child welfare involvement on children. Notice that each of these groups has less power than child welfare workers in the service relationship. Attending to which groups were used to inform the creation of a theory and the power of those groups is an important critical consideration for social work researchers.
As you can see, when researchers apply theory to research they must wrestle with the history and hierarchy around knowledge creation in that area. In deductive studies, the researcher is positioned as the expert, similar to the positivist paradigm presented in Chapter 5. We've discussed a few of the limitations on the knowledge of researchers in this subsection, but the position of the "researcher as expert" is inherently problematic. However, it should also not be taken to an extreme. A researcher who approaches inductive inquiry as a naïve learner is also inherently problematic. Just as competence in social work practice requires a baseline of knowledge prior to entering practice, so does competence in social work research. Because a truly naïve intellectual position is impossible—we all have preexisting ways we view the world and are not fully aware of how they may impact our thoughts—researchers should be well-read in the topic area of their research study but humble enough to know that there is always much more to learn.
Key Takeaways
- Inductive reasoning begins with a set of empirical observations, seeking patterns in those observations, and then theorizing about those patterns.
- Deductive reasoning begins with a theory, developing hypotheses from that theory, and then collecting and analyzing data to test the truth of those hypotheses.
- Inductive and deductive reasoning can be employed together for a more complete understanding of the research topic.
- Though researchers don’t always set out to use both inductive and deductive reasoning in their work, they sometimes find that new questions arise in the course of an investigation that can best be answered by employing both approaches.
Exercises
- Identify one theory and how it helps you understand your topic and working question.
I encourage you to find a specific theory from your topic area, rather than relying only on the broad theoretical perspectives like systems theory or the strengths perspective. Those broad theoretical perspectives are okay...but I promise that searching for theories about your topic will help you conceptualize and design your research project.
- Using the theory you identified, describe what you expect the answer to be to your working question.
11.4
Learning Objectives
Learners will be able to...
- Define and provide an example of idiographic causal relationships
- Describe the role of causality in quantitative research as compared to qualitative research
- Identify, define, and describe each of the main criteria for nomothetic causal relationships
- Describe the difference between and provide examples of independent, dependent, and control variables
- Define hypothesis, state a clear hypothesis, and discuss the respective roles of quantitative and qualitative research when it comes to hypotheses
Causality refers to the idea that one event, behavior, or belief will result in the occurrence of another, subsequent event, behavior, or belief. In other words, it is about cause and effect. It seems simple, but you may be surprised to learn there is more than one way to explain how one thing causes another. How can that be? How could there be many ways to understand causality?
Think back to our discussion in Section 5.3 on paradigms [insert chapter link plus link to section 1.2]. You’ll remember the positivist paradigm as the one that believes in objectivity. Positivists look for causal explanations that are universally true for everyone, everywhere because they seek objective truth. Interpretivists, on the other hand, look for causal explanations that are true for individuals or groups in a specific time and place because they seek subjective truths. Remember that for interpretivists, there is not one singular truth that is true for everyone, but many truths created and shared by others.
"Are you trying to generalize or nah?"
One of my favorite classroom moments occurred in the early days of my teaching career. Students were providing peer feedback on their working questions. I overheard one group who was helping someone rephrase their research question. A student asked, “Are you trying to generalize or nah?” Teaching is full of fun moments like that one. Answering that one question can help you understand how to conceptualize and design your research project.
Nomothetic causal explanations are incredibly powerful. They allow scientists to make predictions about what will happen in the future, with a certain margin of error. Moreover, they allow scientists to generalize—that is, make claims about a large population based on a smaller sample of people or items. Generalizing is important. We clearly do not have time to ask everyone their opinion on a topic or test a new intervention on every person. We need a type of causal explanation that helps us predict and estimate truth in all situations.
Generally, nomothetic causal relationships work best for explanatory research projects [INSERT SECTION LINK]. They also tend to use quantitative research: by boiling things down to numbers, one can use the universal language of mathematics to use statistics to explore those relationships. On the other hand, descriptive and exploratory projects often fit better with idiographic causality. These projects do not usually try to generalize, but instead investigate what is true for individuals, small groups, or communities at a specific point in time. You will learn about this type of causality in the next section. Here, we will assume you have an explanatory working question. For example, you may want to know about the risk and protective factors for a specific diagnosis or how a specific therapy impacts client outcomes.
What do nomothetic causal explanations look like?
Nomothetic causal explanations express relationships between variables. The term variable has a scientific definition. This one from Gillespie & Wagner (2018) "a logical grouping of attributes that can be observed and measured and is expected to vary from person to person in a population" (p. 9).[340] More practically, variables are the key concepts in your working question. You know, the things you plan to observe when you actually do your research project, conduct your surveys, complete your interviews, etc. These things have two key properties. First, they vary, as in they do not remain constant. "Age" varies by number. "Gender" varies by category. But they both vary. Second, they have attributes. So the variable "health professions" has attributes or categories, such as social worker, nurse, counselor, etc.
It's also worth reviewing what is not a variable. Well, things that don't change (or vary) aren't variables. If you planned to do a study on how gender impacts earnings but your study only contained women, that concept would not vary. Instead, it would be a constant. Another common mistake I see in students' explanatory questions is mistaking an attribute for a variable. "Men" is not a variable. "Gender" is a variable. "Virginia" is not a variable. The variable is the "state or territory" in which someone or something is physically located.
When one variable causes another, we have what researchers call independent and dependent variables. For example, in a study investigating the impact of spanking on aggressive behavior, spanking would be the independent variable and aggressive behavior would be the dependent variable. An independent variable is the cause, and a dependent variable is the effect. Why are they called that? Dependent variables depend on independent variables. If all of that gets confusing, just remember the graphical relationship in Figure 8.5.
Exercises
Write out your working question, as it exists now. As we said previously in the subsection, we assume you have an explanatory research question for learning this section.
- Write out a diagram similar to Figure 8.5.
- Put your independent variable on the left and the dependent variable on the right.
Check:
- Can your variables vary?
- Do they have different attributes or categories that vary from person to person?
- How does the theory you identified in section 8.1 help you understand this causal relationship?
If the theory you've identified isn't much help to you or seems unrelated, it's a good indication that you need to read more literature about the theories related to your topic.
For some students, your working question may not be specific enough to list an independent or dependent variable clearly. You may have "risk factors" in place of an independent variable, for example. Or "effects" as a dependent variable. If that applies to your research question, get specific for a minute even if you have to revise this later. Think about which specific risk factors or effects you are interested in. Consider a few options for your independent and dependent variable and create diagrams similar to Figure 8.5.
Finally, you are likely to revisit your working question so you may have to come back to this exercise to clarify the causal relationship you want to investigate.
For a ten-cent word like "nomothetic," these causal relationships should look pretty basic to you. They should look like "x causes y." Indeed, you may be looking at your causal explanation and thinking, "wow, there are so many other things I'm missing in here." In fact, maybe my dependent variable sometimes causes changes in my independent variable! For example, a working question asking about poverty and education might ask how poverty makes it more difficult to graduate college or how high college debt impacts income inequality after graduation. Nomothetic causal relationships are slices of reality. They boil things down to two (or often more) key variables and assert a one-way causal explanation between them. This is by design, as they are trying to generalize across all people to all situations. The more complicated, circular, and often contradictory causal explanations are idiographic, which we will cover in the next section of this chapter.
Developing a hypothesis
A hypothesis is a statement describing a researcher’s expectation regarding what they anticipate finding. Hypotheses in quantitative research are a nomothetic causal relationship that the researcher expects to determine is true or false. A hypothesis is written to describe the expected relationship between the independent and dependent variables. In other words, write the answer to your working question using your variables. That's your hypothesis! Make sure you haven't introduced new variables into your hypothesis that are not in your research question. If you have, write out your hypothesis as in Figure 8.5.
A good hypothesis should be testable using social science research methods. That is, you can use a social science research project (like a survey or experiment) to test whether it is true or not. A good hypothesis is also specific about the relationship it explores. For example, a student project that hypothesizes, "families involved with child welfare agencies will benefit from Early Intervention programs," is not specific about what benefits it plans to investigate. For this student, I advised her to take a look at the empirical literature and theory about Early Intervention and see what outcomes are associated with these programs. This way, she could more clearly state the dependent variable in her hypothesis, perhaps looking at reunification, attachment, or developmental milestone achievement in children and families under child welfare supervision.
Your hypothesis should be an informed prediction based on a theory or model of the social world. For example, you may hypothesize that treating mental health clients with warmth and positive regard is likely to help them achieve their therapeutic goals. That hypothesis would be based on the humanistic practice models of Carl Rogers. Using previous theories to generate hypotheses is an example of deductive research. If Rogers’ theory of unconditional positive regard is accurate, a study comparing clinicians who used it versus those who did not would show more favorable treatment outcomes for clients receiving unconditional positive regard.
Let’s consider a couple of examples. In research on sexual harassment (Uggen & Blackstone, 2004),[341] one might hypothesize, based on feminist theories of sexual harassment, that more females than males will experience specific sexually harassing behaviors. What is the causal relationship being predicted here? Which is the independent and which is the dependent variable? In this case, researchers hypothesized that a person’s sex (independent variable) would predict their likelihood to experience sexual harassment (dependent variable).
Sometimes researchers will hypothesize that a relationship will take a specific direction. As a result, an increase or decrease in one area might be said to cause an increase or decrease in another. For example, you might choose to study the relationship between age and support for legalization of marijuana. Perhaps you’ve taken a sociology class and, based on the theories you’ve read, you hypothesize that age is negatively related to support for marijuana legalization.[342] What have you just hypothesized?
You have hypothesized that as people get older, the likelihood of their supporting marijuana legalization decreases. Thus, as age (your independent variable) moves in one direction (up), support for marijuana legalization (your dependent variable) moves in another direction (down). So, a direct relationship (or positive correlation) involve two variables going in the same direction and an inverse relationship (or negative correlation) involve two variables going in opposite directions. If writing hypotheses feels tricky, it is sometimes helpful to draw them out and depict each of the two hypotheses we have just discussed.
It’s important to note that once a study starts, it is unethical to change your hypothesis to match the data you find. For example, what happens if you conduct a study to test the hypothesis from Figure 8.7 on support for marijuana legalization, but you find no relationship between age and support for legalization? It means that your hypothesis was incorrect, but that’s still valuable information. It would challenge what the existing literature says on your topic, demonstrating that more research needs to be done to figure out the factors that impact support for marijuana legalization. Don’t be embarrassed by negative results, and definitely don’t change your hypothesis to make it appear correct all along!
Criteria for establishing a nomothetic causal relationship
Let’s say you conduct your study and you find evidence that supports your hypothesis, as age increases, support for marijuana legalization decreases. Success! Causal explanation complete, right? Not quite.
You’ve only established one of the criteria for causality. The criteria for causality must include all of the following: covariation, plausibility, temporality, and nonspuriousness. In our example from Figure 8.7, we have established only one criteria—covariation. When variables covary, they vary together. Both age and support for marijuana legalization vary in our study. Our sample contains people of varying ages and varying levels of support for marijuana legalization. If, for example, we only included 16-year-olds in our study, age would be a constant, not a variable.
Just because there might be some correlation between two variables does not mean that a causal relationship between the two is really plausible. Plausibility means that in order to make the claim that one event, behavior, or belief causes another, the claim has to make sense. It makes sense that people from previous generations would have different attitudes towards marijuana than younger generations. People who grew up in the time of Reefer Madness or the hippies may hold different views than those raised in an era of legalized medicinal and recreational use of marijuana. Plausibility is of course helped by basing your causal explanation in existing theoretical and empirical findings.
Once we’ve established that there is a plausible relationship between the two variables, we also need to establish whether the cause occurred before the effect, the criterion of temporality. A person’s age is a quality that appears long before any opinions on drug policy, so temporally the cause comes before the effect. It wouldn’t make any sense to say that support for marijuana legalization makes a person’s age increase. Even if you could predict someone’s age based on their support for marijuana legalization, you couldn’t say someone’s age was caused by their support for legalization of marijuana.
Finally, scientists must establish nonspuriousness. A spurious relationship is one in which an association between two variables appears to be causal but can in fact be explained by some third variable. This third variable is often called a confound or confounding variable because it clouds and confuses the relationship between your independent and dependent variable, making it difficult to discern the true causal relationship is.
Continuing with our example, we could point to the fact that older adults are less likely to have used marijuana recreationally. Maybe it is actually recreational use of marijuana that leads people to be more open to legalization, not their age. In this case, our confounding variable would be recreational marijuana use. Perhaps the relationship between age and attitudes towards legalization is a spurious relationship that is accounted for by previous use. This is also referred to as the third variable problem, where a seemingly true causal relationship is actually caused by a third variable not in the hypothesis. In this example, the relationship between age and support for legalization could be more about having tried marijuana than the age of the person.
Quantitative researchers are sensitive to the effects of potentially spurious relationships. As a result, they will often measure these third variables in their study, so they can control for their effects in their statistical analysis. These are called control variables, and they refer to potentially confounding variables whose effects are controlled for mathematically in the data analysis process. Control variables can be a bit confusing, and we will discuss them more in Chapter 10, but think about it as an argument between you, the researcher, and a critic.
Researcher: “The older a person is, the less likely they are to support marijuana legalization.”
Critic: “Actually, it’s more about whether a person has used marijuana before. That is what truly determines whether someone supports marijuana legalization.”
Researcher: “Well, I measured previous marijuana use in my study and mathematically controlled for its effects in my analysis. Age explains most of the variation in attitudes towards marijuana legalization.”
Let’s consider a few additional, real-world examples of spuriousness. Did you know, for example, that high rates of ice cream sales have been shown to cause drowning? Of course, that’s not really true, but there is a positive relationship between the two. In this case, the third variable that causes both high ice cream sales and increased deaths by drowning is time of year, as the summer season sees increases in both (Babbie, 2010).[343]
Here’s another good one: it is true that as the salaries of Presbyterian ministers in Massachusetts rise, so too does the price of rum in Havana, Cuba. Well, duh, you might be saying to yourself. Everyone knows how much ministers in Massachusetts love their rum, right? Not so fast. Both salaries and rum prices have increased, true, but so has the price of just about everything else (Huff & Geis, 1993).[344]
Finally, research shows that the more firefighters present at a fire, the more damage is done at the scene. What this statement leaves out, of course, is that as the size of a fire increases so too does the amount of damage caused as does the number of firefighters called on to help (Frankfort-Nachmias & Leon-Guerrero, 2011).[345] In each of these examples, it is the presence of a confounding variable that explains the apparent relationship between the two original variables.
In sum, the following criteria must be met for a nomothetic causal relationship:
- The two variables must vary together.
- The relationship must be plausible.
- The cause must precede the effect in time.
- The relationship must be nonspurious (not due to a confounding variable).
The hypothetico-dedutive method
The primary way that researchers in the positivist paradigm use theories is sometimes called the hypothetico-deductive method (although this term is much more likely to be used by philosophers of science than by scientists themselves). Researchers choose an existing theory. Then, they make a prediction about some new phenomenon that should be observed if the theory is correct. Again, this prediction is called a hypothesis. The researchers then conduct an empirical study to test the hypothesis. Finally, they reevaluate the theory in light of the new results and revise it if necessary.
This process is usually conceptualized as a cycle because the researchers can then derive a new hypothesis from the revised theory, conduct a new empirical study to test the hypothesis, and so on. As Figure 8.8 shows, this approach meshes nicely with the process of conducting a research project—creating a more detailed model of “theoretically motivated” or “theory-driven” research. Together, they form a model of theoretically motivated research.
Keep in mind the hypothetico-deductive method is only one way of using social theory to inform social science research. It starts with describing one or more existing theories, deriving a hypothesis from one of those theories, testing your hypothesis in a new study, and finally reevaluating the theory based on the results data analyses. This format works well when there is an existing theory that addresses the research question—especially if the resulting hypothesis is surprising or conflicts with a hypothesis derived from a different theory.
But what if your research question is more interpretive? What if it is less about theory-testing and more about theory-building? This is what our next chapters will cover: the process of inductively deriving theory from people's stories and experiences. This process looks different than that depicted in Figure 8.8. It still starts with your research question and answering that question by conducting a research study. But instead of testing a hypothesis you created based on a theory, you will create a theory of your own that explain the data you collected. This format works well for qualitative research questions and for research questions that existing theories do not address.
Key Takeaways
- In positivist and quantitative studies, the goal is often to understand the more general causes of some phenomenon rather than the idiosyncrasies of one particular instance, as in an idiographic causal relationship.
- Nomothetic causal explanations focus on objectivity, prediction, and generalization.
- Criteria for nomothetic causal relationships require the relationship be plausible and nonspurious; and that the cause must precede the effect in time.
- In a nomothetic causal relationship, the independent variable causes changes in the dependent variable.
- Hypotheses are statements, drawn from theory, which describe a researcher’s expectation about a relationship between two or more variables.
Exercises
- Write out your working question and hypothesis.
- Defend your hypothesis in a short paragraph, using arguments based on the theory you identified in section 8.1.
- Review the criteria for a nomothetic causal relationship. Critique your short paragraph about your hypothesis using these criteria.
- Are there potentially confounding variables, issues with time order, or other problems you can identify in your reasoning?
Inductive & deductive (deductive focus)
Nomothetic causal explanations
Positivism
In a measure, when people say yes to whatever the researcher asks, even when doing so contradicts previous answers.
A convenience sample is formed by collecting data from those people or other relevant elements to which we have the most convenient access. Essentially, we take who we can get.
When a participant's answer to a question is altered due to the way in which a question is written. In essence, the question leads the participant to answer in a specific way.
Chapter Outline
- Human subjects research (19 minute read)
- Specific ethical issues to consider (12 minute read)
- Benefits and harms of research across the ecosystem (7 minute read)
- Being an ethical researcher (8 minute read)
Content warning: examples in this chapter contain references to numerous incidents of unethical medical experimentation (e.g. intentionally injecting diseases into unknowing participants, withholding proven treatments), social experimentation under extreme conditions (e.g. being directed to deliver electric shocks to test obedience), violations of privacy, gender and racial inequality, research with people who are incarcerated or on parole, experimentation on animals, abuse of people with Autism, community interactions with law enforcement, WWII, the Holocaust, and Nazi activities (especially related to research on humans).
With your literature review underway, you are ready to begin thinking in more concrete terms about your research topic. Recall our discussion in Chapter 2 on practical and ethical considerations that emerge as part of the research process. In this chapter, we will expand on the ethical boundaries that social scientists must abide by when conducting human subjects research. As a result of reading this chapter, you should have a better sense of what is possible and ethical for the research project you create.
6.1 Human subjects research
Learning Objectives
Learners will be able to...
- Understand what we mean by ethical research and why it is important
- Understand some of the egregious ethical violations that have occurred throughout history
While all research comes with its own set of ethical concerns, those associated with research conducted on human subjects vary dramatically from those of research conducted on nonliving entities. The US Department of Health and Human Services (USDHHS) defines a human subject as “a living individual about whom an investigator (whether professional or student) conducting research obtains (1) data through intervention or interaction with the individual, or (2) identifiable private information” (USDHHS, 1993, para. 1).[346] Some researchers prefer the term "participants" to "subjects'" as it acknowledges the agency of people who participate in the study. For our purposes, we will use the two terms interchangeably.
In some states, human subjects also include deceased individuals and human fetal materials. Nonhuman research subjects, on the other hand, are objects or entities that investigators manipulate or analyze in the process of conducting research. Nonhuman research subjects typically include sources such as newspapers, historical documents, pieces of clothing, television shows, buildings, and even garbage (to name just a few), that are analyzed for unobtrusive research projects. Unsurprisingly, research on human subjects is regulated much more heavily than research on nonhuman subjects. This is why many student research projects use data that is publicly available, rather than recruiting their own study participants. However, there are ethical considerations that all researchers must take into account, regardless of their research subject. We’ll discuss those considerations in addition to concerns that are unique to human subject research.
Why do research participants need protection?
First and foremost, we are professionally bound to engage in the ethical practice of research. This chapter discusses ethical research and will show you how to engage in research that is consistent with the NASW Code of Ethics as well as national and international ethical standards all researchers are accountable to. Before we begin, we need to understand the historical occurrences that were the catalyst for the formation of the current ethical standards. This chapter will enable you to view ethics from a micro, mezzo, and macro perspective.
The research process has led to many life-changing discoveries; these have improved life expectancy, improved living conditions, and helped us understand what contributes to certain social problems. That said, not all research has been conducted in respectful, responsible, or humane ways. Unfortunately, some research projects have dramatically marginalized, oppressed, and harmed participants and whole communities.
Would you believe that the following actions have been carried out in the name of research? I realize there was a content warning at the beginning of the chapter, but it is worth mentioning that the list below of research atrocities may be particularly upsetting or triggering.
- intentionally froze healthy body parts of prisoners to see if they could develop a treatment for freezing[347]
- scaled the body parts of prisoners to how best to treat soldiers who had injuries from being exposed to high temperatures[348]
- intentionally infected healthy individuals to see if they could design effective methods of treatment for infections[349]
- gave healthy people TB to see if they could treat it[350]
- attempted to transplant limbs, bones, and muscles to another person to see if this was possible[351]
- castrated and irradiated genitals to see if they could develop a faster method of sterilization[352]
- starved people and only allowed them to drink seawater to see if they could make saline water drinkable[353]
- artificially inseminated women with animal sperm to see what would happen[354]
- gassed living people to document how they would die[355]
- conducted cruel experiments on people and if they did not die, would kill them so they could undergo an autopsy[356]
- refused to treat syphilis in African American men (when treatment was available) because they wanted to track the progression of the illness[357]
- vivisected humans without anesthesia to see how illnesses that researches gave prisoners impacted their bodies[358]
- intentionally tried to infect prisoners with the Bubonic Plague[359]
- intentionally infected prisoners, prostitutes, soldiers, and children with syphilis to study the disease's progression[360]
- performed gynecological experiments on female slaves without anesthesia to investigate new surgical methods[361]
The sad fact is that not only did all of these occur, in many instances, these travesties continued for years until exposed and halted. Additionally, these examples have contributed to the formation of a legacy of distrust toward research. Specifically, many underrepresented groups have a deep distrust of agencies that implement research and are often skeptical of research findings. This has made it difficult for groups to support and have confidence in medical treatments, advances in social service programs, and evidence-informed policy changes. While the aforementioned unethical examples may have ended, this deep and painful wound on the public's trust remains. Consequently, we must be vigilant in our commitment to ethical research.
Many of the situations described may seem like extreme historical cases of misuse of power as researchers. However, ethical problems in research don't just happen in these extreme occurrences. None of us are immune to making unethical choices and the ethical practice of research requires conscientious mindful attention to what we are asking of our research participants. A few examples of less noticeable ethical issues might include: failing to fully explain to someone in advance what their participation might involve because you are in a rush to recruit a large enough sample; or only presenting findings that support your ideas to help secure a grant that is relevant to your research area. Remember, any time research is conducted with human beings, there is the chance that ethical violations may occur that pose social, emotional, and even physical risks for groups, and this is especially true when vulnerable or oppressed groups are involved.
A brief history of unethical social science research
Research on humans hasn’t always been regulated in the way it is today. The earliest documented cases of research using human subjects are of medical vaccination trials (Rothman, 1987).[362] One such case took place in the late 1700s, when scientist Edward Jenner exposed an 8-year-old boy to smallpox in order to identify a vaccine for the devastating disease. Medical research on human subjects continued without much law or policy intervention until the mid-1900s when, at the end of World War II, a number of Nazi doctors and scientists were put on trial for conducting human experimentation during the course of which they tortured and murdered many concentration camp inmates (Faden & Beauchamp, 1986).[363] The trials, conducted in Nuremberg, Germany, resulted in the creation of the Nuremberg Code, a 10-point set of research principles designed to guide doctors and scientists who conduct research on human subjects. Today, the Nuremberg Code guides medical and other research conducted on human subjects, including social scientific research.
Medical scientists are not the only researchers who have conducted questionable research on humans. In the 1960s, psychologist Stanley Milgram (1974)[364] conducted a series of experiments designed to understand obedience to authority in which he tricked subjects into believing they were administering an electric shock to other subjects. In fact, the shocks weren’t real at all, but some, though not many, of Milgram’s research participants experienced extreme emotional distress after the experiment (Ogden, 2008).[365] A reaction of emotional distress is understandable. The realization that one is willing to administer painful shocks to another human being just because someone who looks authoritative has told you to do so might indeed be traumatizing—even if you later learn that the shocks weren’t real.
Around the same time that Milgram conducted his experiments, sociology graduate student Laud Humphreys (1970)[366] was collecting data for his dissertation on the tearoom trade, which was the practice of men engaging in anonymous sexual encounters in public restrooms. Humphreys wished to understand who these men were and why they participated in the trade. To conduct his research, Humphreys offered to serve as a “watch queen,” in a local park restroom where the tearoom trade was known to occur. His role would be to keep an eye out for police while also getting the benefit of being able to watch the sexual encounters. What Humphreys did not do was identify himself as a researcher to his research subjects. Instead, he watched his subjects for several months, getting to know several of them, learning more about the tearoom trade practice and, without the knowledge of his research subjects, jotting down their license plate numbers as they pulled into or out of the parking lot near the restroom.
Sometime after participating as a watch queen, with the help of several insiders who had access to motor vehicle registration information, Humphreys used those license plate numbers to obtain the names and home addresses of his research subjects. Then, disguised as a public health researcher, Humphreys visited his subjects in their homes and interviewed them about their lives and their health. Humphreys’ research dispelled a good number of myths and stereotypes about the tearoom trade and its participants. He learned, for example, that over half of his subjects were married to women and many of them did not identify as gay or bisexual.[367]
Once Humphreys’ work became public, there was some major controversy at his home university (e.g., the chancellor tried to have his degree revoked), among scientists in general, and among members of the public, as it raised public concerns about the purpose and conduct of social science research. In addition, the Washington Post journalist Nicholas von Hoffman wrote the following warning about “sociological snoopers”:
We’re so preoccupied with defending our privacy against insurance investigators, dope sleuths, counterespionage men, divorce detectives and credit checkers, that we overlook the social scientists behind the hunting blinds who’re also peeping into what we thought were our most private and secret lives. But they are there, studying us, taking notes, getting to know us, as indifferent as everybody else to the feeling that to be a complete human involves having an aspect of ourselves that’s unknown (von Hoffman, 1970).[368]
In the original version of his report, Humphreys defended the ethics of his actions. In 2008[369], years after Humphreys’ death, his book was reprinted with the addition of a retrospect on the ethical implications of his work. In his written reflections on his research and the fallout from it, Humphreys maintained that his tearoom observations constituted ethical research on the grounds that those interactions occurred in public places. But Humphreys added that he would conduct the second part of his research differently. Rather than trace license numbers and interview unwitting tearoom participants in their homes under the guise of public health research, Humphreys instead would spend more time in the field and work to cultivate a pool of informants. Those informants would know that he was a researcher and would be able to fully consent to being interviewed. In the end, Humphreys concluded “there is no reason to believe that any research subjects have suffered because of my efforts, or that the resultant demystification of impersonal sex has harmed society” (Humphreys, 2008, p. 231).[370]
Today, given increasing regulation of social scientific research, chances are slim that a researcher would be allowed to conduct a project similar to Humphreys’. Some argue that Humphreys’ research was deceptive, put his subjects at risk of losing their families and their positions in society, and was therefore unethical (Warwick, 1973; Warwick, 1982).[371] Others suggest that Humphreys’ research “did not violate any premise of either beneficence or the sociological interest in social justice” and that the benefits of Humphreys’ research, namely the dissolution of myths about the tearoom trade specifically and human sexual practice more generally, outweigh the potential risks associated with the work (Lenza, 2004, p. 23).[372] What do you think, and why?
These and other studies (Reverby, 2009)[373] led to increasing public awareness of and concern about research on human subjects. In 1974, the US Congress enacted the National Research Act, which created the National Commission for the Protection of Human Subjects in Biomedical and Behavioral Research. The commission produced The Belmont Report, a document outlining basic ethical principles for research on human subjects (National Commission for the Protection of Human Subjects in Biomedical and Behavioral Research, 1979).[374] The National Research Act (1974)[375] also required that all institutions receiving federal support establish institutional review boards (IRBs) to protect the rights of human research subjects. Since that time, many organizations that do not receive federal support but where research is conducted have also established review boards to evaluate the ethics of the research that they conduct. IRBs are overseen by the federal Office of Human Research Protections.
The Belmont Report
As mentioned above, The Belmont Report is a federal document that outlines the foundational principles that guide the ethical practice of research in the United States. These ethical principles include: respect for persons, beneficence, and justice. Each of these terms has specific implications as they are applied to the practice of research. These three principles arose as a response to many of the mistreatment and abuses that have been previously discussed and provide important guidance as researchers consider how they will construct and conduct their research studies. As you are crafting your research proposal, makes sure you are mindful of these important ethical guidelines.
Respect for Persons
As social workers, our professional code of ethics requires that we recognize and respect the "inherent dignity and worth of the person."[376] This is very similar to the ethical research principle of respect for persons. According to this principle, as researchers, we need to treat all research participants with respect, dignity and inherent autonomy. This is reflected by ensuring that participants have self-determination to make informed decisions about their participation in research, that they have a clear understanding of what they will be asked to do and any risks involved, and that their participation is voluntary and can be stopped at any time. Furthermore, for those persons who may have diminished autonomy (e.g. children, people who are incarcerated), extra protections must be built in to these research studies to ensure that respect for persons continues to be demonstrated towards these groups, as they may be especially vulnerable to exploitation and coercion through the research process. A critical tool in establishing respect for persons in your research is the informed consent process, which will be discussed in more detail below.
Beneficence
You may not be familiar with this word yet, but the concept is pretty straightforward. The main idea with beneficence is that the intent of research is to do good. As researchers, to accomplish this, we seek to maximize benefits and minimize risks. Benefits may be something good or advantageous directly received by the research participant, or they may represent a broader good to a wider group of people or the scientific community at large (such as increasing knowledge about the topic or social problem that you are studying). Risks are potential physical, social, or emotional harm that may come about as a response to participation in a study. These risks may be more immediate (e.g. risk of identifying information about a participant being shared, or a participant being upset or triggered by a particular question), or long-term (e.g. some aspect about the person could be shared that could lead to long-term stigmatization). As researchers, we need to think about risk that might be experienced by the individual, but also risks that might be directed towards the community or population(s) the individual may represent. For instance, if our study is specifically focused on surveying single parents, we need to consider how the sharing of our findings might impact this group and how they are perceived. It is a very rare study in which there is no risk to participants. However, a well-designed and ethically sound study will seek to minimize these risks, provide resources to anticipate and address them, and maximize the benefits that are gained through the study.
Justice
The final ethical principle we need to cover is justice. While you likely have some idea what justice is, for the purposes of research, justice is the idea that the benefits and the burdens of research are distributed fairly across populations and groups. To help illustrate the concept of justice in research, research in the area of mental health and psychology has historically been critiqued as failing to adequately represent women and people of diverse racial and ethnic groups in their samples (Cundiff, 2012).[377] This has created a body of knowledge that is overly representative of the white male experience, further reinforcing systems of power and privilege. In addition, consider the influence of language as it relates to research justice. If we create studies that only recruit participants fluent in English, which many studies do, we are often failing to satisfy the ethical principle of justice as it applies to people who don't speak English. It is unrealistic to think that we can represent all people in all studies. However, we do need to thoughtfully acknowledge voices that might not be reflected in our samples and attempt to recruit diverse and representative samples whenever possible.
These three principles provide the foundation for the oversight work that is carried out by Institutional Review Boards, our next topic.
Institutional review boards
Institutional review boards, or IRBs, are tasked with ensuring that the rights and welfare of human research subjects will be protected at all institutions, including universities, hospitals, nonprofit research institutions, and other organizations, that receive federal support for research. IRBs typically consist of members from a variety of disciplines, such as sociology, economics, education, social work, and communications (to name a few). Most IRBs also include representatives from the community in which they reside. For example, representatives from nearby prisons, hospitals, or treatment centers might sit on the IRBs of university campuses near them. The diversity of membership helps to ensure that the many and complex ethical issues that may arise from human subjects research will be considered fully and by a knowledgeable and experienced panel. Investigators conducting research on human subjects are required to submit proposals outlining their research plans to IRBs for review and approval prior to beginning their research. Even students who conduct research on human subjects must have their proposed work reviewed and approved by the IRB before beginning any research (though, on some campuses, exceptions are made for student projects that will not be shared outside of the classroom).
The IRB has three levels of review, defined in statute by the USDHHS.
Exempt
Exempt review is the lowest level of review. Studies that are considered exempt expose participants to the least potential for harm and often involve little participation by human subjects. In social work, exempt studies often examine data that is publicly available or secondary data from another researcher that has been de-identified by the person who collected it.
Expedited
Expedited review is the middle level of review. Studies considered under expedited review do not have to go before the full IRB board because they expose participants to minimal risk. However, the studies must be thoroughly reviewed by a member of the IRB committee. While there are many types of studies that qualify for expedited review, the most relevant to social workers include the use of existing medical records, recordings (such as interviews) gathered for research purposes, and research on individual group characteristics or behavior.
Full board
Finally, the highest level of review is called a full board review. A full board review will involve multiple members of the IRB evaluating your proposal. When researchers submit a proposal under full board review, the full IRB board will meet, discuss any questions or concerns with the study, invite the researcher to answer questions and defend their proposal, and vote to approve the study or send it back for revision. Full board proposals pose greater than minimal risk to participants. They may also involve the participation of vulnerable populations, or people who need additional protection from the IRB. Vulnerable populations include prisoners, children, people with cognitive impairments, people with physical disabilities, employees, and students. While some of these populations can fall under expedited review in some cases, they will often require the full IRB to approve their study.
It may surprise you to hear that IRBs are not always popular or appreciated by researchers. Who wouldn’t want to conduct ethical research, you ask? In some cases, the concern is that IRBs are most well-versed in reviewing biomedical and experimental research, neither of which is particularly common within social work. Much social work research, especially qualitative research, is open-ended in nature, a fact that can be problematic for IRBs. The members of IRBs often want to know in advance exactly who will be observed, where, when, and for how long, whether and how they will be approached, exactly what questions they will be asked, and what predictions the researcher has for their findings. Providing this level of detail for a year-long participant observation within an activist group of 200-plus members, for example, would be extraordinarily frustrating for the researcher in the best case and most likely would prove to be impossible. Of course, IRBs do not intend to have researchers avoid studying controversial topics or avoid using certain methodologically sound data collection techniques, but unfortunately, that is sometimes the result. The solution is not to eradicate review boards, which serve a necessary and important function, but instead to help educate IRB members about the variety of social scientific research methods and topics covered by social workers and other social scientists.
What we have provided here is only a short summary of federal regulations and international agreements that provide the boundaries between ethical and unethical research.
Here are a few more detailed guides for continued learning about research ethics and human research protections.
- University of California, San Francisco: Levels of IRB Review
- United States Department of Health and Human Services: The Belmont Report
- NIH, National Institute of Environmental Health Sciences: What is Ethics in Research & Why is it important
- NIH: Guiding Principles for Ethical Research
- Council on Social Work Education: National Statement on Research Integrity in Social Work
- Butler, I. (2002). A code of ethics for social work and social care research. British Journal of Social Work, 32(2), 239-248
Key Takeaways
- Research on human subjects presents a unique set of challenges and opportunities when it comes to conducting ethical research.
- Research on human subjects has not always been regulated to the extent that it is today.
- All institutions receiving federal support for research must have an IRB. Organizations that do not receive federal support but where research is conducted also often include IRBs as part of their organizational structure.
- Researchers submit studies for IRB review at one of three different levels, depending on the level of harm the study may cause.
Exercises
- Recall whether your project will gather data from human subjects and sketch out what the data collection process might look like.
- Identify which level of IRB review is most appropriate for your project.
- For many students, your professors may have existing agreements with your university's IRB that allow students to conduct research projects outside the supervision of the IRB. Make sure that your project falls squarely within those parameters. If you feel you may be outside of such an agreement, consult with your professor to see if you will need to submit your study for IRB review before starting your project.
6.2 Specific ethical issues to consider
Learning Objectives
Learners will be able to...
- Define informed consent, and describe how it works
- Identify the unique concerns related to the study of vulnerable populations
- Differentiate between anonymity and confidentiality
- Explain the ethical responsibilities of social workers conducting research
As should be clear by now, conducting research on humans presents a number of unique ethical considerations. Human research subjects must be given the opportunity to consent to their participation in research, and be fully informed of the study’s risks, benefits, and purpose. Further, subjects’ identities and the information they share should be protected by researchers. Of course, how consent and identity protection are defined may vary by individual researcher, institution, or academic discipline. In this section, we’ll take a look at a few specific topics that individual researchers must consider before embarking on research with human subjects.
Informed consent
An expectation of voluntary participation is presumed in all social work research projects. In other words, we cannot force anyone to participate in our research without that person’s knowledge or consent. Researchers must therefore design procedures to obtain subjects’ informed consent to participate in their research. This specifically relates back to the ethical principle of respect for persons outlined in The Belmont Report. Informed consent is defined as a subject’s voluntary agreement to participate in research based on a full understanding of the research and of the possible risks and benefits involved. Although it sounds simple, ensuring that one has actually obtained informed consent is a much more complex process than you might initially presume.
The first requirement is that, in giving their informed consent, subjects may neither waive nor even appear to waive any of their legal rights. Subjects also cannot release a researcher, her sponsor, or institution from any legal liability should something go wrong during the course of their participation in the research (USDHHS,2009).[378] Because social work research does not typically involve asking subjects to place themselves at risk of physical harm by, for example, taking untested drugs or consenting to new medical procedures, social work researchers do not often worry about potential liability associated with their research projects. However, their research may involve other types of risks.
For example, what if a social work researcher fails to sufficiently conceal the identity of a subject who admits to participating in a local swinger’s club? In this case, a violation of confidentiality may negatively affect the participant’s social standing, marriage, custody rights, or employment. Social work research may also involve asking about intimately personal topics that may be difficult for participants to discuss, such as trauma or suicide. Participants may re-experience traumatic events and symptoms when they participate in your study. Even if you are careful to fully inform your participants of all risks before they consent to the research process, I’m sure you can empathize with thinking you could bear talking about a difficult topic and then finding it too overwhelming once you start. In cases like these, it is important for a social work researcher to have a plan to provide supports. This may mean providing referrals to counseling supports in the community or even calling the police if the participant is an imminent danger to himself or others.
It is vital that social work researchers explain their mandatory reporting duties in the consent form and ensure participants understand them before they participate. Researchers should also emphasize to participants that they can stop the research process at any time or decide to withdraw from the research study for any reason. Importantly, it is not the job of the social work researcher to act as a clinician to the participant. While a supportive role is certainly appropriate for someone experiencing a mental health crisis, social workers must ethically avoid dual roles. Referring a participant in crisis to other mental health professionals who may be better able to help them is the expectation.
Beyond the legal issues, most IRBs require researchers to share some details about the purpose of the research, possible benefits of participation, and, most importantly, possible risks associated with participating in that research with their subjects. In addition, researchers must describe how they will protect subjects’ identities, how, where, and for how long any data collected will be stored, how findings may be shared, and whom to contact for additional information about the study or about subjects’ rights. All this information is typically shared in an informed consent form that researchers provide to subjects. In some cases, subjects are asked to sign the consent form indicating that they have read it and fully understand its contents. In other cases, subjects are simply provided a copy of the consent form and researchers are responsible for making sure that subjects have read and understand the form before proceeding with any kind of data collection. Your IRB will often provide guidance or even templates for what they expect to see included in an informed consent form. This is a document that they will inspect very closely. Table 6.1 outlines elements to include in your informed consent. While these offer a guideline for you, you should always visit your schools, IRB website to see what guidance they offer. They often provide a template that they prefer researchers to use. Using these templates ensures that you are using the language that the IRB reviewers expect to see and this can also save you time.
Elements | Brief description |
Welcome | A greeting for your participants, a few words about who you/your team are, the aim of your study |
Procedures | What your participants are being asked to do throughout the entire research process |
Risks | Any potential risks associated with your study (this is very rarely none!); also, make sure to provide resources that address or mitigate the risks (e.g. counseling services, hotlines, EAP) |
Benefits | Any potential benefits, either direct to participant or more broadly (indirect) to community or group; include any compensation here, as well |
Privacy | Brief explanation of steps taken to protect privacy.; address confidentiality or anonymity (whichever applies); also address how the results of the study may be used/disseminated |
Voluntary Nature | It is important to emphasize that participation is voluntary and can be stopped at any time |
Contact Information | You will provide your contact information as the researcher and often the contact of the IRB that is providing approval for the study |
Signatures | We will usually seek the signature and date of participant and researcher on these forms (unless otherwise specified and approved in your IRB application) |
One last point to consider when preparing to obtain informed consent is that not all potential research subjects are considered equally competent or legally allowed to consent to participate in research. Subjects from vulnerable populations may be at risk of experiencing undue influence or coercion (USDHHS, 2009).[379] The rules for consent are more stringent for vulnerable populations. For example, minors must have the consent of a legal guardian in order to participate in research. In some cases, the minors themselves are also asked to participate in the consent process by signing special, age-appropriate assent forms designed specifically for them. Prisoners and parolees also qualify as vulnerable populations. Concern about the vulnerability of these subjects comes from the very real possibility that prisoners and parolees could perceive that they will receive some highly desired reward, such as early release, if they participate in research or that there could be punitive consequences if they choose not to participate. When a participant faces undue or excess pressure to participate by either favorable or unfavorable means, this is known as coercion and must be avoided by researchers.
Another potential concern regarding vulnerable populations is that they may be underrepresented or left out of research opportunities, specifically because of concerns about their ability to consent. So, on the one hand, researchers must take extra care to ensure that their procedures for obtaining consent from vulnerable populations are not coercive. The procedures for receiving approval to conduct research with these groups may be more rigorous than that for non-vulnerable populations. On the other hand, researchers must work to avoid excluding members of vulnerable populations from participation simply on the grounds that they are vulnerable or that obtaining their consent may be more complex. While there is no easy solution to this ethical research dilemma, an awareness of the potential concerns associated with research on vulnerable populations is important for identifying whatever solution is most appropriate for a specific case.
Protection of identities
As mentioned earlier, the informed consent process includes the requirement that researchers outline how they will protect the identities of subjects. This aspect of the research process, however, is one of the most commonly misunderstood. Furthermore, failing to protect identities is one of the greatest risks to participants in social work research studies.
In protecting subjects’ identities, researchers typically promise to maintain either the anonymity or confidentiality of their research subjects. These are two distinctly different terms and they are NOT interchangeable. Anonymity is the more stringent of the two and is very hard to guarantee in most research studies. When a researcher promises anonymity to participants, not even the researcher is able to link participants’ data with their identities. Anonymity may be impossible for some social work researchers to promise due to the modes of data collection many social workers employ. Face-to-face interviewing means that subjects will be visible to researchers and will hold a conversation, making anonymity impossible. In other cases, the researcher may have a signed consent form or obtain personal information on a survey and will therefore know the identities of their research participants. In these cases, a researcher should be able to at least promise confidentiality to participants.
Offering confidentiality means that some identifying information is known at some time by the research team, but only the research team has access to this identifying information and this information will not be linked with their data in any publicly accessible way. Confidentiality in research is quite similar to confidentiality in clinical practice. You know who your clients are, but others do not. You agree to keep their information and identity private. As you can see under the “Risks” section of the consent form in Figure 5.1, sometimes it is not even possible to promise that a subject’s confidentiality will be maintained. This is the case if data are collected in public or in the presence of other research participants in the course of a focus group, for example. Participants who social work researchers deem to be of imminent danger to self or others or those that disclose abuse of children and other vulnerable populations fall under a social worker’s duty to report. Researchers must then violate confidentiality to fulfill their legal obligations.
There are a number of steps that researchers can take to protect the identities of research participants. These include, but are not limited to:
- Collecting data in private spaces
- Not requesting information that will uniquely identify or "out" that person as a participant
- Assigning study identification codes or pseudonyms
- Keeping signed informed consent forms separate from other data provided by the participant
- Making sure that physical data is kept in a locked and secured location, and the virtual data is encrypted or password-protected
- Reporting data in aggregate (only discussing the data collectively, not by individual responses)
Protecting research participants’ identities is not always a simple prospect, especially for those conducting research on stigmatized groups or illegal behaviors. Sociologist Scott DeMuth learned that all too well when conducting his dissertation research on a group of animal rights activists. As a participant observer, DeMuth knew the identities of his research subjects. So when some of his research subjects vandalized facilities and removed animals from several research labs at the University of Iowa, a grand jury called on Mr. DeMuth to reveal the identities of the participants in the raid. When DeMuth refused to do so, he was jailed briefly and then charged with conspiracy to commit animal enterprise terrorism and cause damage to the animal enterprise (Jaschik, 2009).[380]
Publicly, DeMuth’s case raised many of the same questions as Laud Humphreys’ work 40 years earlier. What do social scientists owe the public? Is DeMuth, by protecting his research subjects, harming those whose labs were vandalized? Is he harming the taxpayers who funded those labs? Or is it more important that DeMuth emphasize what he owes his research subjects, who were told their identities would be protected? DeMuth’s case also sparked controversy among academics, some of whom thought that as an academic himself, DeMuth should have been more sympathetic to the plight of the faculty and students who lost years of research as a result of the attack on their labs. Many others stood by DeMuth, arguing that the personal and academic freedom of scholars must be protected whether we support their research topics and subjects or not. DeMuth’s academic adviser even created a new group, Scholars for Academic Justice, to support DeMuth and other academics who face persecution or prosecution as a result of the research they conduct. What do you think? Should DeMuth have revealed the identities of his research subjects? Why or why not?
Discipline-specific considerations
Often times, specific disciplines will provide their own set of guidelines for protecting research subjects and, more generally, for conducting ethical research. For social workers, the National Association of Social Workers (NASW) Code of Ethics section 5.02 describes the responsibilities of social workers in conducting research. Summarized below, these responsibilities are framed as part of a social worker’s responsibility to the profession. As representative of the social work profession, it is your responsibility to conduct and use research in an ethical manner.
A social worker should:
- Monitor and evaluate policies, programs, and practice interventions
- Contribute to the development of knowledge through research
- Keep current with the best available research evidence to inform practice
- Ensure voluntary and fully informed consent of all participants
- Not engage in any deception in the research process
- Allow participants to withdraw from the study at any time
- Provide access to appropriate supportive services for participants
- Protect research participants from harm
- Maintain confidentiality
- Report findings accurately
- Disclose any conflicts of interest
Key Takeaways
- Researchers must obtain the informed consent of research participants.
- Social workers must take steps to minimize the harms that could arise during the research process.
- If anonymity is promised, individual participants cannot be linked with their data.
- If confidentiality is promised, the identities of research participants cannot be revealed, even if individual participants can be linked with their data.
- The NASW Code of Ethics includes specific responsibilities for social work researchers.
Exercises
- Talk with your professor to see if an informed consent form is required for your research project. If documentation is required, customize the template provided by your professor or the IRB at your school, using the details of your study. If documentation on consent is not required, for example if consent is given verbally, use the templates as guides to create a guide for what you will say to participants regarding informed consent.
- Identify whether your data will be confidential or anonymous. Describe the measures you will take to protect the identities of individuals in your study. How will you store the data? How will you ensure that no one can identify participants based on what you report in papers and presentations? Be sure to think carefully. People can be identified by characteristics such as age, gender, disability status, location, etc.
6.3 Benefits and harms of research across the ecosystem
Learning Objectives
Learners will be able to...
- Identify and distinguish between micro-, mezzo-, and macro-level considerations with respect to the ethical conduct of social scientific research
This chapter began with a long list of harmful acts that researchers engaged in while conducting studies on human subjects. Indeed, even the last section on informed consent and protection of confidential information can be seen in light of minimizing harm and maximizing benefits. The benefits of your study should be greater than the harms. But who benefits from your research study, and who might be harmed? The first person who benefits is, most clearly, you as the researcher. You need a project to complete, be it for a grade, a grant, an academic responsibility, etc. However you need to make sure that your benefit does not come at the expense of harming others. Furthermore, research requires resources, including resources from the communities we work with. Part of being good stewards of these resources as social work researchers means that we need to engage in research that benefits the people we serve in meaningful and relevant ways. We need to consider how others are impacted by our research.
Micro-, mezzo-, and macro-level concerns
One useful way to think about the breadth of ethical questions that might arise out of any research project is to think about potential issues from the perspective of different analytical levels that are familiar to us as social workers. In Chapter 1, you learned about the micro-, mezzo-, and macro-levels of inquiry and how a researcher’s specific point of focus might vary depending on her level of inquiry. Here we’ll apply this ecological framework to a discussion of research ethics. Within most research projects, there are specific questions that arise for researchers at each of these three levels.
At the micro-level, researchers must consider their own conduct and the impact on individual research participants. For example, did Stanley Milgram behave ethically when he allowed research participants to think that they were administering electric shocks to fellow participants? Did Laud Humphreys behave ethically when he deceived his research subjects about his own identity? Were the rights of individuals in these studies protected? How did these participants benefit themselves from the research that was conducted? While not social workers by trade, would the actions of these two researchers hold up against our professional NASW Code of Ethics? The questions posed here are the sort that you will want to ask yourself as a researcher when considering ethics at the micro-level.
At the mezzo-level, researchers should think about their duty to the community. How will the results of your study impact your target population? Ideally, your results will benefit your target population by identifying important areas for social workers to intervene and to better understand the experiences of the communities they serve. However, it is possible that your study may perpetuate negative stereotypes about your target population or damage its reputation. Indigenous people in particular have highlighted how historically social science has furthered marginalization of indigenous peoples (Smith, 2013).[381] Mezzo-level concerns should also address other groups or organizations that are connected to your target population. This may include the human service agencies with whom you've partnered for your study as well as the communities and peoples they serve. If your study reflected negatively on a particular housing project in your area, for example, will community members seek to remove it from their community? Or might it draw increased law enforcement presence that is unwanted by participants or community members? Research is a powerful tool and can be used for many purposes, not all of them altruistic. In addition, research findings can have many implications, intended and unintended. As responsible researchers, we need to do our best to thoughtfully anticipate these consequences.
Finally, at the macro-level, a researcher should consider duty to, and the expectations of, society. Perhaps the most high-profile case involving macro-level questions of research ethics comes from debates over whether to use data gathered by, or cite published studies based on data gathered from, the Nazis in the course of their unethical and horrendous experiments on humans during World War II (Moe, 1984).[382] Some argue that because the data were gathered in such an unquestionably unethical manner, they should never be used. The data, say these people, are neither valid nor reliable and should therefore not be used in any current scientific investigation (Berger, 1990).[383]
On the other hand, some people argue that data themselves are neutral; that “information gathered is independent of the ethics of the methods and that the two are not linked together” (Pozos, 1992, p. 104).[384] Others point out that not using the data could inadvertently strengthen the claims of those who deny that the Holocaust ever happened. In his striking statement in support of publishing the data, medical ethics professor Velvl Greene (1992) says,
Instead of banning the Nazi data or assigning it to some archivist or custodial committee, I maintain that it be exhumed, printed, and disseminated to every medical school in the world along with the details of methodology and the names of the doctors who did it, whether or not they were indicted, acquitted, or hanged.…Let the students and the residents and the young doctors know that this was not ancient history or an episode from a horror movie where the actors get up after filming and prepare for another role. It was real. It happened yesterday (p. 169–170).[385]
While debates about the use of data collected by the Nazis are typically centered on medical scientists’ use of them, there are conceivable circumstances under which these data might be used by social scientists. Perhaps, for example, a social scientist might wish to examine contemporary reactions to the experiments. Or perhaps the data could be used in a study of the sociology of science. What do you think? Should data gathered by the Nazis be used or cited today? What arguments can you make in support of your position, and how would you respond to those who disagree?
Additionally at the macro-level, you must also consider your responsibilities to the profession of social work. When you engage in social work research, you stand on the reputation the profession has built for over a century. Since research is public-facing, meaning that research findings are intended to be shared publicly, you are an ambassador for the profession. How you conduct yourself as a social work researcher has potential implications for how the public perceives both social work and research. As a social worker, you have a responsibility to work towards greater social, environmental, and economic justice and human rights. Your research should reflect this responsibility. Attending to research ethics helps to fulfill your responsibilities to the profession, in addition to your target population.
Table 6.2 summarizes the key questions that researchers might ask themselves about the ethics of their research at each level of inquiry.
Level of inquiry | Focus | Key ethics questions for researchers to ask themselves |
Micro-level | Individual | Does my research interfere with the individual’s right to privacy? |
Could my research offend subjects in any way, either the collection of data or the sharing of findings? | ||
Could my research cause emotional distress to any of my subjects?
In what ways does my research benefit me? In what ways does my research benefit participants? |
||
Has my own conduct been ethical throughout the research process? | ||
Mezzo-level | Group | How does my research portray my target population? |
Could my research positively or negatively impact various communities and the systems they are connected to?
How do community members perceive my research? |
||
Have I met my duty to those who funded my research?
What are potential ripple effects for my target population by conducting this research? |
||
Macro-level | Society | Does my research meet the societal expectations of social research?
What is the historical, political, social context of my research topic? |
Have I met my social responsibilities as a researcher and as a social worker?
Does my research follow the ethical guidelines of my profession and discipline? How does my research advance social, environmental or economic justice and/or human rights? How does my research reinforce or challenge systems of power, control and structural oppression? |
Key Takeaways
- At the micro-level, researchers should consider their own conduct and the rights of individual research participants.
- At the mezzo-level, researchers should consider the expectations of their profession, any organizations that may have funded their research, and the communities affected by their research.
- At the macro-level, researchers should consider their duty to and the expectations of society with respect to social science research.
Exercises
- Summarize the benefits and harms at the micro-, mezzo-, and macro-level of inquiry. At which level of inquiry is your research project?
- In a few sentences, identify whether the benefits of your study outweigh the potential harms.
6.4 Being an ethical researcher
Learning Objectives
Learners will be able to...
- Identify why researchers must provide a detailed description of methodology
- Describe what it means to use science in an ethical way
Research ethics has to do with both how research is conducted and how findings from that research are used. In this section, we’ll consider research ethics from both angles.
Doing science the ethical way
As you should now be aware, researchers must consider their own personal ethical principles in addition to following those of their institution, their discipline, and their community. We’ve already considered many of the ways that social workers strive to ensure the ethical practice of research, such as informing and protecting subjects. But the practice of ethical research doesn’t end once subjects have been identified and data have been collected. Social workers must also fully disclose their research procedures and findings. This means being honest about how research subjects were identified and recruited, how exactly data were collected and analyzed, and ultimately, what findings were reached.
If researchers fully disclose how they conducted their research, then those who use their work to build research projects, create social policies, or make treatment decisions can have greater confidence in the work. By sharing how research was conducted, a researcher helps assure readers they have conducted legitimate research and didn’t simply come to whatever conclusions they wanted to find. A description or presentation of research findings that is not accompanied by information about research methodology is missing relevant information. Sometimes methodological details are left out because there isn’t time or space to share them. This is often the case with news reports of research findings. Other times, there may be a more insidious reason that important information is missing. This may be the case if sharing methodological details would call the legitimacy of a study into question. As researchers, it is our ethical responsibility to fully disclose our research procedures. As consumers of research, it is our ethical responsibility to pay attention to such details. We’ll discuss this more in the next section.
There’s a New Yorker cartoon that depicts a set of filing cabinets that aptly demonstrates what we don’t want to see happen with research. Each filing cabinet drawer in the cartoon is labeled differently. The labels include such headings as, “Our Facts,” “Their Facts,” “Neutral Facts,” “Disputable Facts,” “Absolute Facts,” “Bare Facts,” “Unsubstantiated Facts,” and “Indisputable Facts.” The implication of this cartoon is that one might just choose to open the file drawer of her choice and pick whichever facts one likes best. While this may occur if we use some of the unscientific ways of knowing described in Chapter 1, it is fortunately not how the discovery of knowledge in social work, or in any other science for that matter, takes place. There actually is a method to this madness we call research. At its best, research reflects a systematic, transparent, informative process.
Honesty in research is facilitated by the scientific principle of replication. Ideally, this means that one scientist could repeat another’s study with relative ease. By replicating a study, we may become more (or less) confident in the original study’s findings. Replication is far more difficult (perhaps impossible) to achieve in the case of many qualitative studies, as our purpose is often a deep understanding of very specific circumstances, rather than the broad, generalizable knowledge we traditionally seek in quantitative studies. Nevertheless, transparency in the research process is an important standard for all social scientific researchers—that we provide as much detail as possible about the processes by which we reach our conclusions. This allows the quality of our research to be evaluated. Along with replication, peer review is another important principle of the scientific process. Peer review involves other knowledgeable researchers in our field of study to evaluate our research and to determine if it is of sufficient quality to share with the public. There are valid critiques of the peer review process: that it is biased towards studies with positive findings, that it may reinforce systemic barriers to oppressed groups accessing and leveraging knowledge, that it is far more subjective and/or unreliable than it claims to be. Despite these critiques, peer review remains a foundational concept for how scientific knowledge is generated.
Full disclosure also includes the need to be honest about a study’s strengths and weaknesses, both with oneself and with others. Being aware of the strengths and weaknesses of your own work can help a researcher make reasonable recommendations about the next steps other researchers might consider taking in their inquiries. Awareness and disclosure of a study’s strengths and weaknesses can also help highlight the theoretical or policy implications of one’s work. In addition, openness about strengths and weaknesses helps those reading the research better evaluate the work and decide for themselves how or whether to rely on its findings. Finally, openness about a study’s sponsors is crucial. How can we effectively evaluate research without knowing who paid the bills? This allows us to assess for potential conflicts of interest that may compromise the integrity of the research.
The standard of replicability, the peer-review process, and openness about a study’s strengths, weaknesses, and funding sources enables those who read the research to evaluate it fairly and completely. Knowledge of funding sources is often raised as an issue in medical research. Understandably, independent studies of new drugs may be more compelling to the Food and Drug Administration (FDA) than studies touting the virtues of a new drug that happen to have been funded by the company who created that drug. But medical researchers aren’t the only ones who need to be honest about their funding. If we know, for example, that a political think tank with ties to a particular party has funded some research, we can take that knowledge into consideration when reviewing the study’s findings and stated policy implications. Lastly, and related to this point, we must consider how, by whom, and for what purpose research may be used.
Using science the ethical way
Science has many uses. By “use” I mean the ways that science is understood and applied (as opposed to the way it is conducted). Some use science to create laws and social policies; others use it to understand themselves and those around them. Some people rely on science to improve their life conditions or those of other people, while still others use it to improve their businesses or other undertakings. In each case, the most ethical way for us to use science is to educate ourselves about the design and purpose of any studies we may wish to use. This helps us to more adequately critique the value of this research, to recognize its strengths and limitations.
As part of my research course, students are asked to critique a research article. I often find in this assignment that students often have very lofty expectations for everything that 'should' be included in the journal article they are reviewing. While I appreciate the high standards, I often give them feedback that it is perhaps unrealistic (even unattainable) for a research study to be perfectly designed and described for public consumption. All research has limitations; this may be a consequence of limited resources, issues related to feasibility, and unanticipated roadblocks or problems as we are carrying out our research. Furthermore, the ways we disseminate or share our research often has restrictions on what and how we can share our findings. This doesn't mean that a study with limitations has no value—every study has limitations! However, as we are reviewing research, we should look for an open discussion about methodology, strengths, and weaknesses of the study that helps us to interpret what took place and in what ways it may be important.
For instance, this can be especially important to think about in terms of a study's sample. It can be challenging to recruit a diverse and representative sample for your study (however, that doesn't mean we shouldn't try!). The next time you are reading research studies that were used to help establish an evidence based practice (EBP), make sure to look at the description of the sample. We cannot assume that what works for one group of people will uniformly work with all groups of people with very different life experiences; however, historically much of our intervention repertoire has been both created by and evaluated on white men. If research studies don't obtain a diverse sample, for whatever reason, we would expect that the authors would identify this as a limitation and an area requiring further study. We need to challenge our profession to provide practices, strategies, models, interventions, and policies that have been evaluated and tested for their efficacy with the diverse range of people that we work with as social workers.
Social scientists who conduct research on behalf of organizations and agencies may face additional ethical questions about the use of their research, particularly when the organization for which a study is conducted controls the final report and the publicity it receives. There is a potential conflict of interest for evaluation researchers who are employees of the agency being evaluated. A similar conflict of interest might exist between independent researchers whose work is being funded by some government agency or private foundation.
So who decides what constitutes ethical conduct or use of research? Perhaps we all do. What qualifies as ethical research may shift over time and across cultures as individual researchers, disciplinary organizations, members of society, and regulatory entities, such as institutional review boards, courts, and lawmakers, all work to define the boundaries between ethical and unethical research.
Key Takeaways
- Conducting research ethically requires that researchers be ethical not only in their data collection procedures but also in reporting their methods and findings.
- The ethical use of research requires an effort to understand research, an awareness of your own limitations in terms of knowledge and understanding, and the honest application of research findings.
Exercises
- Think about your research hypothesis at this point. What would happen if your results revealed information that could harm the population you are studying? What are your ethical responsibilities as far as reporting about your research?
- Ultimately, we cannot control how others will use the results of our research. What are the implications of this for how you report on your research?
A type of longitudinal design where participants are selected because of a defining characteristic that the researcher is interested in studying. The same people don’t necessarily participate from year to year, but all participants must meet whatever categorical criteria fulfill the researcher’s primary interest.