Table Of Content

-- To the faculty and learners of The ynion Institute, Cincinnati, Ohio, for their friendship and scholarship, and their commitments to methodological eclecticism, interdhplinary inqw, integration of theory and practice, valuing both A1 eflection and action, scholarship that is socially relevant and meaningful, individualized professional and personal development, lifelong learning, social justice and equity, human diversity and global comflunity; a scholarly community governed by principles and processes rather than rules and regulations, and innovations in daI rning-centered, nontraditional doctoral education, including faculty meetings that are interesting and important, an indication of knovation of the highest order I International Educational and Professional Publisher Thousand Oaks 1 London New Delhi I Copyright O 2002 by Sage Publications, Inc. I ~ lriglht s reserved. NOp art of this book hayb e reproduced or utilized in any form or by I any means, electronic or mechanical, includingphotocopying,r ecording, or by any infor- 1 mation storage and retrieval system,w i4out permissionin writing from the pblisher. Sage Publications, Inc. Bvief Contents 2455 Teller Road Thousand Oaks, California 91320 > E-mail: [email protected] Sage Publications Ltd. I 6 Bonhill Street London EC2A 4PU United Kingdom Sage Publications India Pvt. Ltd. M-32 Market Preface Greater Kailash I I New Delhi 110 048 India I I I PART ?. Conceptual Issues in Qualitative Inquiry Printed in the United States of America I I Library of Congress cataloging-in-~ublic1n iioDn atn 1I 1. The Nature of Qualitative Inquiry 2. Strategic Themes in Qualitative Inquiry Patton, Michael Quinn. Qualitative research and evaluation methods / by Michael Quinn 3. Variety in Qualitative Inquiry: Theoretical Orientations Patton.- 3rd ed. p. an. 4. Particularly Appropriate Qualitative Applications Rev. ed. of: Qualitative evaluation and research methods. 2nd ed. 1990. Includes bibliographical references and index. ISBN 0-7619-1971-6 PART 2. Qualitative Designs and Data Collection 1. Social sciences-Methodology. 2v. Eval.uation research (Social action programs). I. Patton, Michael Qualitative evaluation and 5. Designing Qualitative Studies research methods. U. Title. I 6. Fieldwork Strategies and Observation Methods 7. Qualitative Interviewing PART 3. Analysis, Interpretation, and Reporting 8. Qualitative Analysis and Interpretation 9. Enhancing the Quality and Credibility of Qualitative Analysis Acquiring Editor: C. Deborah ~au~htonl References Editorial Assistant: Veronica Novak Prodtiction Editoc Diana E. Axelsen I 1: ;? ,,: ,, . .'. - - . ,.2.-.,.--.-.~- ,-, ..:L~: Author Index Editorial Assistant: K a WJ omy , Lb Copy Editw: Kate Peterson ...........,. ... ......... .-. . .,. ...[n-. .. +'~'.-~--'''-.-~ Subject Index Typesetter/Designer: Janelle LeMaster ! Cover Designer: Michelle Lee Cirov);k6d: 4'/?lq'Ifi~L'~4-' About the Author I I Detailed 1 I I I I Preface / , . I Conceptual Issues in Qualitative Inquiry I The Nature of Qualitative Inquiry The Fruit of Qualitative Methods Three Kinds of Qualitative Data Recognizing Qualitative Data Qualitative Findings: Themes, Patterns, Concepts, Insights, Understandings Women's Ways of Knowing: An Example of Qualitative Findings Coming-of-Age Paradigms Different Purposes of and Audiences for Qualitative Studies: Research, Evaluation, Dissertations, and Personal Inquiry Making Methods Decisions Methods Choices: Contrasting Qualitative and Quantitative Emphases Some Guiding Questions and Options for Methods Decisions Comparing Two Kinds of Data: An Example The Power of Qualitative Data Face Validity and Credibility The Purpose of Open-Ended Responses 3. Variety in Qualitative Inquiry: ~heordticaOl rientations 75 Special Gifts 75 Inquiry by Observation The Raw Data of Qualitative Inquiry From Core Strategies to Rich Diversity 76 People-Oriented Inquiry Which Approach Is dght? The Fmit of Qualitative Methods Revisited Alternative Ways of Distinguishing hualitative Traditions 79 Internet E-mail Discussion Groups (listservs) Foundational ~uestions 80 on Qualitative Methods 29 Theoretical Traditions and Orientations 81 I Ethnography 81 Between-Chapters Interlude: Top Ten Pieces of Advice to a Graduate Student Culture, Culture Everywhere: Sample of Media Headlines 83 I Considering a Qualitative Dissertation 31 Autoethnography and Evocative F o ~ofs In quiry 84 I 2. Strategic Themes in Qualitative Inquiry 37 Varieties of Autoethnography: A Partial Lexicology 85 Truth and Reality-Oriented Correspc/ndence Theory: General Principles 37 The Purpose of a Strategic Framework 38 Positivist, Realist, and Analytic Induction Approaches 91 Design Strategies for Qualitative Inquiry 39 Social Construction and ~onstructiv&m 91 Naturalistic Inquiry 39 Constructivism ~ersdCso nstructionism I Phenomenology Heuristic Inquiry Emergent Design Flexibility 43 Qualitative Heuristics: A German Alternative Tradition Purposeful Sampling 45 Data Collection and Fieldwork: Strategies for Qualitative Inquiry 47 Ethnomethodology Symbolic Interaction Qualitative Data 47 Hermeneutics Direct Personal Experience and Engagement: Going Into the Field 47 Narratology or Narrative Analysis Empathic Neutrality 49 Ecological Psychology I Empathy and Insight 51 A Systems Perspective and Systems Theory A Dynamic, Developmental Perspective 54 ord din ear Analysis Strategies for Qualitative Inquiry 55 Chaos and Complexity Theory: Dynamics Grounded Theory Unique Case Orientation 55 1 Inductive Analysis and Creative Synthesis 55 Complexity (Chaos) T1 heory Precepts and Qualitative Holistic Perspective 58 ~nquiryIm plications 126 Context Sensitivity 61 Orientational Qualitative Inquiry: ~e~iniInsqtu iry, Critical Theory, Voice and Perspective: Reflexivity 63 and Queer Theory as Examples 129 Variety in Qualitative Inquiry: Different Answers to Core Questions 131 Reflexive Questions: Triangulated Inquiry Variety in Qualitativd l n q wT heoretical Traditions From Strategic Ideals to Practical Choices 66 1 Pragmatism 135 Beyond Competing lnquiry Paradigms 68 I Pragmatism 71 Sample Internet E-mail Discussion Groups (listservs) and Ideal Conditions for Research: A Cautionary Tale 72 Sites Relevant to Qualitative Inquiry and Theory 136 The Apple of Your Eye APPENDIX 3.1. Example of Autoet$nographic Writing l a Particularly Appropriate Qualitative Applijations 143 Principles of Fully Participatory and Genuinely Apprenticeship in Pragmatism 143 Collaborative Inquiry Practical Purposes and Concrete Questions Supporting Democratic Dialogue and Deliberation A Focus on Quality Supporting Democracy Through Process Use: Helping the i Quality Assurance and Program ~valuatidn Citizenry Weigh Evidence and Think Evaluatively Special Applicatiogs Comparing Program Evaldation andQu I The Need for Unobhusive Measures Evaluation Applications State-of-the-Art Considerations: Lack of Proven Quantitative Outcomes Evaluation I Instrumentation ! Confirmatory and Elucidating Research: Adding Depth, Behind the Numbers of an Employment Pro I and Meaning to Quantitative Analyses I Rapid Reconnaissance I I Process Studies I Capturing and Collununicating Stories Implementation Evaluation 161 I Example of a "Most Sighcant Change" Story 197 Logic Models and Theories of Action 162 Evaluability Assessments 163 I diting and Monitoring - 198 Futuring Applications: Anticipatory Research and Prospective 163 Policy Analysis 200 Types of Teacher Centers 166 Breaking the Routine: Generating New Insights 202 166 S ion of the Utility of Qualitative Methods 202 Documenting Development Over Time AdI nvestigating Qualitative Inquiry Applications: Summary Checklist System Changes II 167 of Particularly Appropriate Uses of Qualitative Methods 204 From Evaluation Issues to Evaluation ~dI dels Sample Internet E-mail Discussion Groups (listservs) Evaluation Models and Sites Relevant to Qualitative Applications and Practice 205 Goal-Free Evaluation I Transaction Models: Responsive and Illurhnative Evaluation 171 I Connoisseurship Studies ! 172 I PART 2. Qualitativle Designs and Data Collection 207 Utilization-Focused Evaluation I 173 II 5. Designing Qualitative Studies Interactive and Participatory Applications 11 1 The First Evaluation Personalizing and Humanizing Evaluation 117755 A Meta-Evaluation I Harmonizing Program and Evaluation ~kues Clarity About Purpose: A Typology 176 Developmental Applications: Action ~eslarchA, ction Learning, Basic Research Reflective Practice, and Learning Org-zations 177 I Common Principles ~nddr~irdinQgua litative hquiry I Fundamental Disciplinary Questions and Humanistic Values II I Matching Program ~hiloso~anhd ~E valuation Approach: Sample Interdisciplinary Applied Research Questions ! An Illustration ch: Summative and Formative Appreciative Inquiry II Action-Oriented, Problem-Solving Research Participatory Research and Evaluation: yluing and Facilitating The Purpose of Purpose Distinctions Collaboration I I I I I I I I Examples of Types of Research Questions: A Family Research Example 223 I Variations in Duration of Observat!ons i Critical Trade-offs in Design 223 Variations in Observational Focus Dimensions Along Which Fieldwork Varies: An Overview A Typology of Research Purposes 224 What to Observe: A Sensitizing ~ramLwork Family Research Example: Research Questions 1 Dimensions Show& Fieldwork Variations Matched to Research Category 225 I Sources of Data Breadth Versus Depth 227 Units of Analysis 228 Examples of Sensithirig Concepts Purposeful Sampling 230 Examples of Units of Analysis for Case Studies and Example of cornb&ng Description and Metaphor Comparisons 231 to Provide a Sense o1f Place Information-Rich Cases 242 The Human, Social Environment 242 Historical Perspectives Sample Size Sampling Strategies 243 Planned Program Implementation AI ctivities and Formal Interactions 246 I Informal Interactions and Unplanned Activities Emergent Designs and Protection of Human Subjects The Native Language of ihe~ro~rdm 247 Methodological Mixes Triangulation 247 Nonverbal Communication Mixing Data, Design, and Analysis Approaches 248 Unobtrusive Observations Documents The Case of Operation Reach-Out: Variations in Program Evaluation Design 249 Observing What Does Not ~ a ~ ~ e n e and Mixed Strategies 251 Nested and Layered Case Studies during Fieldwork eself Measurement, Design, and Analysis: Pure and Mixed Combinations 252 Nested, Layered, d dO verlapping Mini-Case Studies 253 During Fieldwork: Example From the Wilderness Education Program1 Evaluation Design Issues and Options 254 Sources of Data Reviewed Choices 257 Creativity in Fieldwork I 1 Doing Fieldwork: The Data-Gatherink Process 6. Fieldwork Strategies and Obsemation Methods 1 Field Notes To Understand the World 1 Folk Wisdom About Human Observation Fieldnotes Cornpartsons I The Value of Direct Observations Procedurally Speaking Observation-Based Evaluation and Applied Research in a Observations, Interviews, and ~ocudentationB: ringing Together Political World Multiple Perspectives Variations in Observational Methods The Technology of Fieldwork and Observation I Variations in Observer Involvement: Participant or Onlooker or Both? Stages of Fieldwork I Insider and Outsider Perspectives: Emic Versus Etic Approaches Entry Into the Field Who Conducts the Inquiry? Solo and Team Versus Participatory What You Say and What You Do and Collaborative Approaches Routinization of Fieldwork: The Dynamics of the Second Stage I Overt Versus Covert Observations I Key Informants 321 Sequencing Questions Bringing Fieldwork to a Close 322 Wording Questions I I Evaluation Feedback I 324 Asking Truly Open-Ended Questions The Observer and What Is Observed: Unity F dS eparation 326 The Horns of a Dichotomy The Personal Experience of Fieldwork I 329 I Asking SinguIar Questions A part of and Apart From the World ~bseked 329 Clarity of Questions 1 lines for Fieldwork 330 Why to Take Care Asking "Why?" I Rapport and Neutrality Summary Guidelines for deldwork 330 I Neutral Questions I Between-ChaptersI nterlude: I Using Illustrative Examples in Ques Outside to 1n;ide, Inside to Outside: Perspectives 333 Role-Playing and Simulation Questio Preface I 335 Presupposition Questions I "Nothing About Us, Without Us" i 335 Alternative Question Formats Bnrbnrn Lee Prefatory Statements and Announcement I Probes and Follow-up Questions 7. Qualitative Interviewing II 339 Process Feedback During the Interview 374 I Beyond Silent Observation 339 Support and Recognition Responses 375 Rigorous and Skillful hterviewing 340 Maintaining Control and Enhancing the Quality of Responses 375 I Inner Perspectives 340 The One-Shot Question 378 Variations in Qualitative Interviewing 341 The Final or Closing Question 379 1 The Informal Conversational Interview 342 Beyond Technique 379 1 The Interview Guide 1 343 I Mechanics of Gathering Interview Data 380 I ed Open-Ended Interview1 344 Data 380 I Evaluation Interview Guide for Participants in an Tips for Tape-Recording Interviews: How to Keep Employment Training ~robam 345 Transcribers Sane 382 Combining Approaches 1I Taking Notes During Interviews Summary of Interviewing Strategies 1 After the Interview Question Options I Special Applications and Issues Experience and Behavior Questions II Think-Aloud Protocol Interviewing Focus Group Interviews Variations in Interview Inftrumentation Group Interviews Opinion and Values Questions Cross-CulturalI nterviewing Feeling Questions Language Differences KnowIedge Questions Differing Norms and Values Sensory Questions ~II I eyond Standard Interviewing: Creative Qualitative Modes of Inquiry Background/Demographic Questions Participant Interview Chain Distinguishing Question Types I Data Collection by Program Staff The Time Frame of Questions I Training Nonresearchers as Focus Group Interviewers: A Matrix of Question options Women Leaving Prostitution I Interactive Group Interviewing and Dialogues 400 Pattern, Theme, and Content Analysis 452 Creativity and Data Quality: Qualitative Bricolage 400 Inductive and Deductive ~ualitati?eA nalyses 453 I Specialized and Targeted Interview Approaches 402 Indigenous Concepts and Practices 454 I Ethical Challenges in Qualitative Interviewing 405 Sensitizing Concepts 456 1 Informed Consent and Confidentiality 407 Indigenous Typologies 457 Analyst-Constructed Typologies 458 Ethical Issues Checklist 408 New Directions in Informed Consent: Confidentiality Qualitative Analysis of Ancestry at the U.S. Census 461 1 Versus People Owning Their Own Stories 411 The Intellectual and Mechanical Work of Analysis 462 ade el in^ Reciprocity: Should Interviewees Be Compensated? If So, How? 412 Coding Data, Finding Patterns, Themes, and Developing How Hard Should Interviewers Push for Sensitive Information? 415 Category Systems 462 Be Careful. It's Dangerous Out There. 415 First-Cut Coding ~Jam~leSsam: ple Codes From the Personal Reflections on Interviewing 416 Field Note Margins 464 An Interview With the King of the Monkeys 417 Convergence and Divergence in Coding and Classwg 465 Halcolm on Interviewing 418 Determhing Substantive significdce 467 APPENDIX 7.1. Sample of a Detailed Intemiew Guide 419 Logical Analysis 468 APPENDIX 7.2. Examples of Standardized Open-Ended Interviews 422 An Empirical Typo/pology of Teacher Roles in Dealing With High School ~ro~obts 469 I A Process/Outcomes Matrix 471 PART 3. Analysis, Interpretation, and Reporting 429 Mapping Stakehol+sf Stakes 472 8. Qualitative Analysis and Interpretation Conceptual Guide for Data Collection and Analysis: The Complete Analysis Isn't Utilization of Pl-g, Evaluation, and Reporting 473 The Challenge I Matrix of Linkages Between Program Processes and Impacts 474 Purpose as Context When Does Analysis Begin? An Analysis Example: Recognizind Processes, Outcomes, and / Linkages in Qualitative Data 474 Thick Description Interpreting Findings 1I Options for Organizing and Reporting Qualitative Data 1 Interpreting for Meaning I Organizing the Data Comparisons, Causes, conrequenJes, and Relationships Protecting Data Theory-Based Analysis Approaches Computer-Assisted Qualitative Data Management and Analysis Phenomenological Analysis Examples of Software Programs for Qualitative Analysis Grounded Theory i Qualitative Comparative Analysis Internet Resources and E-mail Discussion Groups (listservs) I Analytic Induction on Qualitative Analysis 445 Special Analytical Issues and ~ramedorks Case Studies 447 I Reflexivity and Voice Case Study: Layers of Possible Analysis 448 Collaborative and Participatory dalyses From Data to Case Study 449 The Hermeneutic Circle and InteJreation The Process of Constructing Case Studies 450 Analyzing Institutional ~ocurnenti I I I Dramaturgical Analysis I 499 Clouds and Cotton: Mixing and Changing Perspectives 551 I Finding Nothing i 500 Credibility 55 Synthesizing Qualitative Studies 500 Rigor: Strategies for Enhancing the Quality of Analysis 55 I Reporting Findings 502 Integrity in Analysis: Generating and Asses usions 55 . Balance Between Description and Interpr4tation 503 Negative Cases 55 Communicating With Metaphors and Analogies Triangulation . 555 1 Drawing Conclusions A Story of Triangulation: Testing Conclusions Special Issues in Evaluation Reporting and Example More Fieldwork 59 Feedback and Analysis I Design Checks: Keeping Methods and Data in Context Evaluative Feedback Using Indigenous Typologies High-Quality Lessons Learned Distinguishing observations From Pe High-Quality Lessons Learned To Write a Report or Not to Write a Repor;~ t? The Credibility of the Researcher Focus Considering Investigator Effects: Varieties of Reactivity 567 The Executive Summary and Research ~dstract Intellectual Rigor 570 Utilization-Focused ~val~ LationR eporting The Paradigms Debate and Credibility 570 Beyond the Numbers Game 572 Carpe Diem Briefings The Creativity of Qualitative Inquiry I Beyond Objectivity and Subjectivity: New Concepts, New Language 574 Reflections on Truth and Utility as Criteria of Quality 577 The Past and the Future: Deciding in ~hilchD irection to Look From Generalizations to Extrapolations and Transferability 581 APPENDIX 8.1. Excerpts From a ~odebo$fco r Use by Multiple Coders e Credibility Issue in Retrospect: Increased Legitimacy for APPENDIX 8.2. Mike: An Illustrative ~a$Setu dy Qualitative Methods 584 APPENDIX 8.3. Excerpts From an Illustritive Interview Analysis: d the Qualitative-Quantitative Debate 584 Reflections on outcome4 From Participants in a ing Claims and Criteria 587 Wilderness Education P?ogram I APPENDIX 9.1. Case Study: A Documenter's Perspective 589 Between-Chapters Interlude: I Riddles of Qualitative Inquiry: Who Am I? I Gnnj D.S hnnk I References R1 I 9. Enhancing the Quality and Credibility of Qualitative Analysis I Author Index Interpreting Truth II~ Alternative Criteria for Judging Quality 542 Subject Index Alternative Sets of criteria for Judging the Quality and Credibility of ~ualitakveIn quiry 544 About the Author Traditional Scientific Research Criteria 1 Social Construction and Constructivist ~kteria Artistic and Evocative Criteria Critical Change Criteria I Evaluation Standards and Principles I he story is told that at the conclusion of a rigorous course in philoso- phy, one of the students lamented: "Professor, you have knocked a hole in everything I've ever believkd in, but you have given me nothing to take its place." To which the philosopher replikd: "You will recall that among the labors of Hercules he was required to cle& out the Augean stables. He was not, let me point out, required to fill them!" I Wh ile part of the task of this reyi- In doing this revision, I reviewed over a sion has been to clean out the thousand new books on qualitative meth- fihe qualitative Augean stables, ods, program evaluation, case studies, truly Herculean task has been deciding monographs, and related works published what to add. Unlike the professor who dan in the last decade, as well as h~mdredosf ar- be content with getting the stables cleanid, ticles scattered through scores of journals the author of a revision bears responsibility covering the full range of disciplines and for restocking the stables with fresh nuhi- professions. Two important new qualita- ents and feed, a task made especially cdal- tive journals- Qunlitntive bzquiy and Field lenging because of the unprecedented Methods-began publication, as did spe- blossoming of qualitative inquiry in reck~ nt cialized qualitative journals in a number of years. professions (e.g., health, nursing, social L3 xxi