Table Of ContentIntroduction
to Research
Understanding and
Applying Multiple
Strategies
Fifth Edition
Elizabeth DePoy, PhD, MSW, OTR
Professor, Interdisciplinary Disability Studies and Social Work
Cooperating Professor, Mechanical Engineering, Cooperating Faculty
School of Policy and International Affairs
University of Maine, Orono, Maine
Senior Research Fellow, Ono Academic College
Research Institute for Health and Medical Professions
Laura N. Gitlin, PhD
Professor, School of Nursing and School of Medicine
Director, Center for Innovative Care in Aging
Johns Hopkins University
Baltimore, Maryland
3251 Riverport Lane
St. Louis, Missouri 63043
INTRODUCTION TO RESEARCH: UNDERSTANDING AND APPLYING ISBN: 978-0-323261715
MULTIPLE STRATEGIES, 5TH EDITION
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Notices
Knowledge and best practice in this field are constantly changing. As new research and experience broaden our
understanding, changes in research methods, professional practices, or medical treatment may become necessary.
Practitioners and researchers must always rely on their own experience and knowledge in evaluating and using any
information, methods, compounds, or experiments described herein. In using such information or methods they should be
mindful of their own safety and the safety of others, including parties for whom they have a professional responsibility.
With respect to any drug or pharmaceutical products identified, readers are advised to check the most current
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responsibility of practitioners, relying on their own experience and knowledge of their patients, to make diagnoses, to
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Library of Congress Cataloging-in-Publication Data-
DePoy, Elizabeth, author.
Introduction to research : understanding and applying multiple strategies / Elizabeth DePoy, Laura N. Gitlin.—Fifth edition.
p. ; cm.
Includes bibliographical references and index.
ISBN 978-0-323-26171-5 (pbk. : alk. paper)
I. Gitlin, Laura N., 1952– , author. II. Title.
[DNLM: 1. Research Design. 2. Biomedical Research. W 20.5]
RA440.85
362.1072—dc23
2014038272
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Last digit is the print number: 9 8 7 6 5 4 3 2 1
To my husband Stephen, who lovingly challenges and thinks
with me, and to my family
ED
To my husband Eduardo; my children Keith and Eric; my mom,
dad, and brother, all of whom inspire
LNG
And to all of our students, from whom we have learned and
continue to learn
ED and LNG
Foreword to Third Edition
This edition of DePoy and Gitlin provides health and help the researcher get started, as well as a list of
human service students and professionals with sig- references for more in-depth examination. Thus the
nificantly expanded material for understanding the reader gains greater insight into the role of research
philosophical foundations of research, the value of in improving practice and an increased appreciation
systematic inquiry, and the concrete steps for moving of the science and artistry of research.
through the process of generating and sharing Whereas most texts emphasize one research tradi-
knowledge. What continues to distinguish this text tion over another, the philosophical underpinnings of
from other research methodological volumes is that experimental and naturalistic inquiry are both pre-
readers are exposed to what the authors identify sented, with the emphasis on the value and impor-
as the 10 essentials of research, which involve the tance of each approach. Readers learn about how
fundamental thinking and action processes required research questions are framed in each approach and
for the conduct of either naturalistic or quantitative the unique designs and methods appropriate to each
approaches to research. The authors walk readers research tradition. The take-home message is that
through each of the processes involved in framing a both approaches have legitimacy and their own
research problem, developing a knowledge base, standards of excellence. Rigor is expected whether
understanding the role of theory, formulating research the approach is experimental or naturalistic, and
questions, and sequencing research. Readers will studies that include both approaches often provide
also learn action steps involved in determining the unique insights that go beyond what can be learned
scope or “boundaries” of a study, data collection and from a single approach. This perspective represents
measurement, data analysis, and report writing. an important aspect of this text that contributes as
Despite its importance to practice, research well to the broader debate and discussions about the
method courses are often a required upper-division role and value of different research traditions and
or graduate-level course that students in health and design strategies.
human service dread—thinking they will need to This edition contains several new sections and
memorize facts and figures that have little relevance chapters that address topics on the cutting edge of
to their career goals and daily practices. DePoy and the research venture: information on ethics and evi-
Gitlin offer an antidote to such fears, making research dence-based clinical practices, as well as informed
come alive by the generous use of examples through- consent documentation. Ethical considerations are
out the text, chapters specific to using research paramount these days, and each researcher should be
in practice, and a final chapter on “stories from the fully aware of requirements for human subject pro-
field.” Such examples and stories bring life to the tections and new federal privacy rules that have
essential thinking and action processes of research, implications for the type of data that can be col-
enable practitioners to envision the value of research, lected. This new edition also includes a chapter on
and zero in on challenges that they may face in their seeking financial support for research ideas and prac-
own research endeavors. Of major significance is tical hints for getting started on writing a research
that the reader will gain a real appreciation of the proposal. This is particularly important as health pro-
research enterprise, be able to read and critique lit- fessionals are increasingly expected to seek resources
erature, and be guided in the conduct of different for their programs and related evaluations.
research approaches to answer practical and clini- Especially notable is the chapter on practice effi-
cally relevant research questions. Of added value, cacy. The processes of reviewing and rating existing
this introductory text provides checklists that will literature and developing consensus around practice
iv
FOREWORD TO THIRD EDITION v
guidelines and best practices are delineated. With on clinical practice informed by individual experi-
tight resources for health and human services, there ence independent of a larger theory- and research-
are increasing demands for accountability to demon- driven knowledge base. This gap limits the ability
strate the worth of different programs and practices. of research to translate into meaningful programs
This chapter provides important information for and practices that can make a real difference in peo-
understanding the pros and cons of the evidence- ple’s lives.
based movement that is gaining popularity among This book provides a critical bridge between
researchers and funding agencies. Although this research and practice by having practitioners under-
approach has strong endorsement in the experimen- stand that their clinical intuition can inform research
tal research field, there are cautions in assuming thinking and action processes and by having research-
that randomized clinical trials are the gold standard ers learn to appreciate the contexts in which system-
for research. Although such studies are important atic thinking and action processes are implemented.
for maximizing internal validity, they can be criti- It reflects a significant paradigm shift in thinking
cized for limited generalizability, are difficult to about and acting on the essential research elements.
implement in community-based settings, and do not Its presentation also represents a fundamental shift
address the full range of questions relevant to clinical in the teaching paradigm from a “talking at” approach
practice. DePoy and Gitlin’s Evaluation Practice to engaging text that emphasizes a “listening to”
conceptualization makes a substantial contribution philosophy.
to the literature, providing an easy-to-follow model A major joy of this text is the stories woven by
that incorporates both thinking and action processes, two esteemed researchers who draw on a lifetime of
including clarification of the problem, reflexive practical experiences that have improved the concep-
intervention, and outcome assessment. These con- tualization, implementation, and evaluation of differ-
cepts are critical to understanding the long-term ent research traditions. The passion of DePoy and
sustainability of a program or service and offer an Gitlin for their research and practice comes through
innovative approach to integrating research into every page of the book and serves to make this book
practice and bridging the research-practice gap. a truly enjoyable reading and learning experience.
As in many disciplines, the health and human
services field is characterized by a research-to- Marcia G. Ory, PhD, MPH
practice gap. Researchers are generally focused on Professor, Social and Behavioral Health
research theories and designs, data collection, and Director, Active for Life National Program Office
statistics, which are typically uninformed by prac- School of Rural Public Health
tice. On the other hand, practitioners typically rely The Texas A & M University System
Preface
Our main purpose in writing this fifth edition is to systematically derived knowledge to drive care deci-
continue to share with the student, health and human sions and program development.
service professional, and beginning researcher our These new directions in health and human
great enthusiasm and passion for conducting research services require the most current and innovative ap-
in health and human service using multiple research proaches to research. The traditional research para-
strategies. Research is an important way of helping digm taught to students of the social sciences and
to make a difference in the provision of health and health professions, referred to as quantitative, em-
human service and the quality of life and well-being piricist, positivist, or rationalist, represents only one
of individuals. We have made some substantive approach to scientific inquiry. Historically, the quan-
changes to this edition that we hope will demystify titative or experimental-type approach to research
the research process and provide a foundation from has been upheld as the most scientific, valid, and
which to critique, understand, and apply multiple precise methodology. Unfortunately, this belief
research strategies to health and human service lingers in the health and human service worlds, is
concerns. In this fifth edition, we have refined and favored in practice models such as evidence-based
expanded our framework from which to examine and practice, and significantly limits the efficacious use
integrate different research traditions in diverse of other research strategies. This, in turn, continues
physical, virtual, and conceptual contexts. In so to restrict knowledge building and use of research
doing, our goal remains to challenge traditional knowledge in practice settings. In light of these limi-
teaching approaches to research processes, to further tations and the expanded contexts in which research
narrow the gap between quantitative and qualitative is being conducted, such as the Internet, other re-
paradigms, and to create a meaningful and useful search traditions—such as discovery-oriented, inter-
bridge between research and practice. pretive, qualitative, naturalistic, participatory, visual
Why do health and human service professionals cultural, and mixed methodologies—are rapidly
need yet another research text and this new edition? gaining importance and recognition as forms of in-
As we stated in the previous editions of this book, quiry with their own rules and systematic approaches
health and human service professions continue to to understanding human behavior in context.
stand at the crossroads of significant megatrends in The viewpoint we present in this fifth edition
the delivery and financing of services to clients and reflects an increasingly accepted school of thought
families, as well as local, global, and virtual com- that recognizes and values multiple research strate-
munities. These trends continue to change at a rapid gies. This contemporary perspective proposes that
pace and include the movement from an acute, naturalistic, experimental-type, and mixed method
medical framework to diverse on-site and virtual research strategies have equal value and contribute
models of care; a focus on health promotion, disease in complementary and distinct ways to the science
self-management, and disease prevention; the devel- of practice. Knowledge of all of these research tradi-
opment of new paradigms for examining the inter- tions presents new opportunities for addressing the
play of behavioral, environmental, economic, complex health and human service research ques-
political, spiritual, and biological interactions and tions that are emerging as a consequence of today’s
their impact on health; an increased emphasis on the diverse health care environments. Students, profes-
design and testing of innovative services for under- sionals, and researchers need a research text that
recognized, underserved, and diverse populations; prepares them for using the full range of research
and recognition of the importance of using traditions to meet the scientific challenges posed by
vi
PREFACE vii
changing service systems. For example, to develop approaches. It offers the researcher and student a
effective health promotion programs for global framework for understanding the research enterprise
communities composed of individuals from diverse overall—one that embraces each of the research tra-
backgrounds requires an understanding of the spe- ditions and methodologies. The reader learns how
cific health beliefs and self-care practices of different to critically evaluate, respect, and implement each
groups. Traditional survey techniques have not research strategy from its own philosophical per-
always been successful in identifying different self- spective, thinking process, language, standards of
care practices, and existing standardized health rigor, and specific actions that engage the researcher.
belief questionnaires do not necessarily represent Writing the fifth edition of Introduction to
the varied values of diverse groups across the Research: Understanding and Applying Multiple
globe. Different methodologies and approaches that Strategies has given us an important opportunity to
uncover and accurately represent personal beliefs reflect on and advance our ongoing conceptualiza-
and practices are required for knowledge building in tion of the three research traditions and their use in
this area. expanded health and social service contexts. In this
Since our previous editions were published, many edition we have refined our thinking and present the
articles and books have discussed and evaluated new 10 essential thinking and action processes of research
methodologies, particularly those from the tradition that appeared in previous editions across all three
of naturalistic inquiry and, more recently, mixed traditions. We show how these highly integrated
methods. However, our approach in this edition con- processes are thought about and solved differently,
tinues to differ significantly from other research depending on the particular research tradition being
texts, including these more recent editions to the pursued. We have seen from our previous editions
literature. Most texts for health and human service that a process approach improves our ability to
professionals still identify quantitative research as describe and capture the essence of a range of
the most valid approach to scientific inquiry. Some research strategies and is easily grasped by readers.
of these research texts include a discussion of other Readers of our previous editions will experience
research traditions but most often in comparison to the fifth edition as an improvement in several ways.
the gold standard of the experiment. Still other texts Not only have we updated our major discussion of
explain naturalistic and mixed methods inquiry by the research traditions and their philosophical foun-
using the framework or lens of the experimental dations, but we have also added new material on
researcher. In doing so, the authors assume that the ethics and on global to local contexts in which
three genres differ only with respect to specific pro- research is initiated, conducted, and disseminated, as
cedures. They do not present an approach to under- well as discussion about the nature of evidence, its
standing each tradition from within its own lens, nor integration within practice settings, and how practice
do they discuss the philosophical roots of each tradi- settings can generate evidence systematically. We
tion and the essential thinking processes that under- have updated all examples and expanded our discus-
lie the activity of each. Thus, the research student sion to include new methodologies such as visual
cannot come to fully understand and accurately culture object analysis. Nevertheless, our underly-
implement different design strategies from all three ing assumptions about the purpose and conduct of
traditions. The student does not obtain a critical research and much of our discussions remain intact.
understanding of the vast array of research possibili- We believe all readers will benefit from the clarity
ties, or learn strategies by which to purposively that a process approach brings to understanding the
select a particular research approach. fundamentals of conducting research in each of the
In contrast, this text provides a comprehensive research traditions.
understanding of how researchers think and act Readers will also have access to a wealth of
within and across the research traditions and in resources on our Evolve site. Our Evolve student
diverse contexts. It provides a basic introduction to learning resources offer the following features:
the essential components of a wide range of research crossword puzzles, sample forms, reference lists
viii PREFACE
linked to PubMed, and math tips to accompany In this text, we do not intend to solve the contro-
Chapter 20. The Evolve instructor teaching resources versy over which tradition (qualitative, quantitative,
offer multiple-choice test bank questions with an- mixed method) or design approach is best, nor do we
swers, teaching tips, and PowerPoint lecture slides. think that is the debate to be undertaken. Rather, we
The fifth edition reflects an organization similar urge health and human service professionals to tran-
to that in previous editions. The book is organized scend this age-old disagreement and go beyond
into five major sections. The first four sections move attempts of the health care and scientific communi-
the reader from an understanding of the meaning, ties to polarize research practices. We propose that
elements, and importance of research (Part I) to an knowing the strengths and weaknesses of the full
examination of the specific thinking processes (Part range of approaches to thinking and conducting
II), design approaches (Part III), and action proc- research provides the basis from which to select,
esses (Part IV) of distinct research traditions. Each combine, and use multiple strategies to answer
chapter in Parts I to IV focuses on one of the 10 research questions.
essentials of the research process, all of which are Who should use this text? This fifth edition, like
discussed using the language of experimental-type, our previous editions, can be used by undergraduate
naturalistic, and mixed method researchers. Part V is and advanced students in the health and human
devoted to using research to improve professional service professions. It can also be used by practition-
practices and outcomes. Throughout the text, many ers and beginning researchers who want to broaden
actual and suggested research examples are provided their understanding of research traditions to which
from diverse bodies of literature and our own they have not been previously exposed. Health
research experiences that are relevant to all health and human service professionals will continue to
and human service providers. As in previous edi- experience increasing pressure to initiate research,
tions, we end with field stories—real-life snapshots participate as members of research teams, and use
of what it is like to participate in different types of research findings to assess and justify their practice
research processes based on our own experiences. and service programs. This text provides a solid
These brief narrative accounts reveal the hidden side and current foundation from which to pursue these
of the research process, how a study unfolds, what it activities. We hope you enjoy and become hooked as
is like to be an investigator, and what really happens we have on the thinking and action processes of
after entering the research context. Research, after research.
all, is a human endeavor. Too few researchers dare
to discuss the personal ups and downs and common Elizabeth DePoy
blunders that inform knowledge construction. Laura N. Gitlin
PART I Introduction
Welcome to the world of research!
Conducting research is one of the most challenging, creative, and intellectually satisfying
professional activities. Research is an important professional responsibility that develops and advances
knowledge from which to base practice. This knowledge is essential if we, as health and human
service professionals, are to provide informed quality services that enhance the health, lives, and
outcomes of our clients, their families, and their communities.
Part I begins with our definition of research. We identify and discuss the 10 elements of the
research process that are essential to the traditions of all research designs.
At this point you may be thinking, “What is research?” “Why is it necessary?” “How does research
differ from other ways of learning about things?” “How does one engage in research?” and “What is
the process?”
These important questions are examined in the chapters of Part I.
1
Chapter 1
Research as an
Important Way
of Knowing
KEY TERMS
A research article describes a progressive approach
Abductive reasoning Inductive reasoning to promoting physical fitness for adults with
Action processes Logical intel lectual impairments. You wonder whether you
Confirmable Naturalistic inquiry should implement these planning procedures in your
Deductive reasoning Nomothetic own practice and whether they will be effective in
Epistemology Thinking processes meeting their goal in diverse geographic locations.
Experimental-type research Understandable You need to initiate a new program to prevent low
Idiographic Useful back injury in migrant farmworkers. Existing pre
vention strategies have not been effective in reducing
CHAPTER OUTLINE the incidence of low back injury in this population.
What Is Research? You wonder why traditional approaches have failed
Research as Multiple Systematic Strategies and how to develop an appropriate knowledge base
Research as Thinking and Action Processes from which to develop an efficacious program.
Research as Four Basic Characteristics You notice in your home care practice that some
What Research Is Not clients need more visits than others to achieve the
Setting the Stage by Example same health outcomes. You wonder what factors
When and Why Is Research Necessary and Useful? influence service need. You wonder how to increase
Summary health literacy and access to health information for
people who cannot see.
You are interested in how the outcomes of Internet
counseling for minor depression compare to onsite
A7 4yearold single AfricanAmerican woman with counseling outcomes.
a fractured hip will be discharged shortly from
rehabilitation to her home. She appears reluctant to What Is Research?
use the selfcare techniques you taught her. You
wonder whether rehabilitation has been effective in Research is not “owned” by any one profession or
meeting its specified goals and what her future discipline. It is a systematic set of ways of thinking
capabilities will be after she returns home. and acting and has distinct vocabularies that can be
You have learned how to use a new tool to assess learned and used by anyone.
the environmental barriers encountered by children Many definitions of research can be found in
with intellectual impairments. You wonder whether texts, ranging from a very broad to a very restrictive
this instrument is more accurate and useful than understanding of the research endeavor. A very broad
previous ones you have tried. definition suggests that research includes any type of
2
