1 Chapter 2 Review of the Literature Your Name College of Professional Advancement, Mercer University LEAD 605: Research Methods for Leaders Dr. Lynn W. Clemons April 13, 2025 2 Chapter 2 Review of the Literature Introductory information is placed under the title without the word Introduction. Theoretical Framework Review of Literature – these will be individual topics/themes. Conclusion 3 References Research Topic and Problem Statement The proposed study focuses on organizational change management in the public sector by exploring the effect of involving employees in institutional restructuring decisions. It seeks to examine how inclusive decision-making approaches influence trust in leadership, job satisfaction, and organizational commitment among public sector workers. Many public-sector leaders struggle with employee retention, morale, and engagement during times of organizational change and frequently encounter resistance, inefficiencies, or even organizational decline. Therefore, this study is pertinent because it addresses a critical gap in public sector research— most existing studies emphasize change management in private companies, which operate under different organizational structures and incentives. Public agencies, with their bureaucratic constraints, union influence, and public accountability, present a unique context where participative decision-making is both a challenge and a necessity. The study will provide actionable insights for public-sector leaders seeking to implement inclusive restructuring processes without compromising service delivery or workforce morale. Potential Theoretical Frameworks Leader-Member Exchange (LMX) Theory Overview: Leader-Member Exchange (LMX) theory posits that the relationship between leaders and followers is bidirectional and varies in quality. Leaders develop different types of relationships with individual followers, resulting in high-quality (in-group) and low quality (out-group) exchanges. High-quality relationships are characterized by trust, support, and mutual respect, which often lead to improved job performance, satisfaction, and organization commitment (Van Dam et al., 2021). Connection to Research: Leader-Member Exchange Theory is relevant to this study as it explains how the quality of leader-follower relationships can impact employees’ acceptance or organizational changes. During restructuring, employees who have strong, supportive relationships with leaders are more likely to view changes as fair and necessary. In contrast, those in lower-quality exchanges may resist change, feeling excluded or undervalued. By framing participative decision-making within LMX theory, this study examines how involving employees in decisions fosters trust and perceived fairness-key drivers of employee morale and engagement (Neves & van Dam, 2024). Supporting Source: Van Dam et al. (2021) applied LMX theory to a merger context, demonstrating that middle managers’ relationships with employees significantly influenced support for the change. Neves and van Dam (2024) similarly found that strong LMX bonds improve change acceptance and reduce resistance. Transformational Leadership Theory Overview: Transformational leadership theory emphasizes four key behaviors: idealized influence, inspirational motivation, intellectual stimulation, and individualized consideration. Transformational leaders inspire and motivate employees by creating a compelling vision, fostering and inclusive environment, and encouraging innovation and creativity. This theory promotes empowering employees, articulating a clear vision, and encouraging active involvement, especially during periods of uncertainty or transformation. Connection to Research: This theory aligns with the study’s focus on participative restructuring in the public sector. Transformational leadership highlights behaviors that motivate and engage employees, fostering trust, empowerment, and commitment. By involving employees in decision-making processes, transformational leaders help them feel valued and understood, which is crucial for successful organizational change. In a public-sector setting, often defined by rigid hierarchies, transformational leadership can drive cultural change by empowering frontline employees to participate in shaping reforms. Supporting Sources: Cao and Le (2024) show that transformational leadership enhances change capabilities by fostering employee trust. Potnuru et al. (2023) found that participative leadership styles, including transformational leadership, lead to greater change readiness and commitment. Thematic Areas for Literature Review Theme 1: Employee Participation in Organizational Change This theme explores the role of employee involvement in organizational change processes. It examines different levels of participation and the dynamics that differentiate change processes in public and private organizations. Employee participation is crucial for fostering a sense of ownership, reducing resistance to change, and enhancing perceptions of fairness, trust, and commitment. This is especially critical in public sector settings where employees often have long tenure and strong attachments to existing procedures. Connection to Frameworks: This theme is connected to LMX theory by highlighting the importance of high-quality leaderfollower relationships in facilitating employee involvement in change processes. Supportive leadership enhances employee buy-in during change. It also supports transformational leadership theory by emphasizing the role of inclusive leadership in promoting employee participation and engagement. Inclusion supports employee motivation and psychological ownership of change initiatives. Supporting Source: Albrecht et al. (2023) found that employees' willingness to engage in organizational change is shaped by the psychological conditions created by leadership—specifically meaning, safety, and availability. Theme 2: Leadership Strategies and Employee Outcomes in Restructuring This theme examines how various leadership styles, authoritative, transactional, and transformational, affect employee attitudes and outcomes such as morale, trust, engagement, and innovation during restructuring. It focuses on how different leadership approaches influence employee loyalty, job satisfaction, and trust in leadership. Adaptive leadership is essential for fostering commitment amid uncertainty. Connection to Frameworks: This theme is central to both LMX and transformational leadership theories. LMX theory highlights how the quality of manager-employee relationships can encourage employee involvement and reduce resistance during institutional change. Transformational leadership theory emphasizes how empowering behaviors and quality interactions can lead to desirable employee outcomes, such as increased innovation and commitment, following successful organizational change. Supporting Source: Jun and Lee (2023) found that transformational leadership fosters innovation and commitment during organizational change, particularly when employees feel supported and involved. Reflection and Next Steps Selecting appropriate theoretical frameworks posed an initial challenge due to their origins in private-sector research, raising concerns about applicability to the public sector. However, leader-member exchange theory and transformational leadership theory have gained traction in public administration literature, showing promising results in explaining leadership effectiveness, employee trust, and organizational commitment in bureaucratic settings. Recent studies have adapted these frameworks to the complexities of public-sector environments, where formal structures, political oversight, and job security concerns uniquely shape organizational dynamics. To strengthen the theoretical foundation of this study, emphasis was placed on identifying leadership models that are not only theoretically sound but also practical and actionable within public institutions. Both LMX and transformational leadership theories offer mechanisms, such as trust building, vision sharing, and individualized support, that align with the participative restructuring goals of many public agencies. A key next step involves refining the literature review to account for institutional and environmental pressures including political influences, employee coalitions (i.e., unions), economic constraints, and legislative oversight, that may mediate or moderate the success of participative restructuring efforts. These factors are especially relevant in the public sector, where changes often occur within a broader socio-political context and are subject to greater scrutiny than in private organizations. Additionally, incorporating empirical data from sources such as the U.S. Office of Personnel Management (OPM) can provide valuable insight into national trends in employee satisfaction, engagement, and trust during organizational change. These benchmarks can help contextualize the study’s findings and enhance its relevance to policymakers and practitioners aiming to implement sustainable and inclusive change strategies in public institutions. CHAPTER 1 THE SELECTION OF A RESEARCH APPROACH LEARNING OBJECTIVES 1. Define major research terms used in this book so that you can incorporate them into your projects. 2. Describe the three major methodologies and their differences to select an appropriate methodology for your study. 3. Describe the relationship among the terms, philosophical worldview assumptions, designs, and methods. How would you connect these three components in your study? 4. Appraise which one of the philosophical worldviews fits your experiences, training, and cultural orientation. 5. Identify which one of the types of research designs you will use in your study. 6. Describe the differences between quantitative methods, qualitative methods, and mixed methods research. 7. Identify the reasons for choosing either a quantitative, qualitative, or mixed methods approach to use in your study. INTRODUCING KEY TERMS IN THIS CHAPTER Research has its own language, and it is important to understand key terms to use in a study. The title of this book uses the term, research approaches. Research approaches (or methodologies) are procedures for research that span the steps from broad assumptions to detailed methods of data collection, analysis, and interpretation. This plan involves several decisions, and researchers need not take them in the order in which they are presented here. The overall decision involves which approach should be used to study a topic. Informing this decision should be the philosophical assumptions the researcher brings to the study; procedures of inquiry (called research designs); and specific research methods of data collection, analysis, and interpretation. The selection of a research approach includes the research problem or issue being addressed, the researchers’ personal experiences, and the audiences for the study. Thus, in this book, philosophical assumptions, research approaches, research designs, and research methods are four key terms representing a perspective about research flow from broad constructions of research to the narrow procedures of methods. Table 1.1 explains these key terms in more detail. Key Terms Philosophical Assumptions Research Approach Research Design Research Methods Definitions Before a study begins, a researcher brings a point of view and a set of beliefs to the research process that informs their approach to conducting the study. Philosophical assumptions are these beliefs and values. They emphasize what the researcher holds to be most important in conducting a study. Philosophical assumptions develop from an individual’s training in a specific discipline or field of study (e.g., psychology). They also emerge from prior experiences in research and the cultural environment of an individual. We will use the term research approach synonymously with research methodology. This term represents different types of research to have historically emerged. In this chapter, we will present three broad methodologies: quantitative, qualitative, and mixed methods. We use the term research design to mean the ways of conducting research within a broad methodology. Thus, as seen in this chapter, broad methodologies can be subdivided into different types of designs. Each design has its own procedures used in conducting a study. Within a particular design, the researcher gathers data, analyzes it, and makes an interpretation of its meaning. These are the methods in a study. THREE APPROACHES OR METHODOLOGIES IN RESEARCH In this book, we advance three broad research approaches or methodologies: (a) qualitative, (b) quantitative, and (c) mixed methods. Unquestionably, the three approaches are not as discrete as they first appear. Researchers should not view qualitative and quantitative approaches as rigid, distinct categories, opposites, or dichotomies. Instead, they represent different ends on a continuum (Creswell & Guetterman, 2018; Newman & Benz, 1998). A study tends to be more qualitative than quantitative or vice versa. Mixed methods research resides in the middle of this continuum because it incorporates elements of both qualitative and quantitative approaches. Often the distinction between qualitative research and quantitative research is framed in terms of using words (qualitative) rather than numbers (quantitative) or, better yet, using closed-ended questions and responses (quantitative hypotheses) or open-ended questions and responses (qualitative interview questions). A more complete way to view the gradations of differences between them is found in the basic philosophical assumptions researchers bring to the study, the types of research strategies used in the research (e.g., quantitative experiments or qualitative case studies), and the specific methods employed in conducting these strategies (e.g., collecting data quantitatively on instruments versus collecting qualitative data through observing a setting). Moreover, there is a historical evolution to both approaches—with the quantitative approaches dominating the forms of research in the social sciences from the late 19th century until the mid20th century. During the latter half of the 20th century, interest in qualitative research increased and mixed methods research developed. With this background, it should prove helpful to view definitions of these three key terms as used in this book: Qualitative research is an approach for exploring and understanding the meaning individuals or groups ascribe to a social or human problem. The research process involves emerging questions and procedures, data typically collected in the participant’s setting, data analysis inductively building from particulars to general themes, and the researcher making interpretations of the meaning of the data. The final written report has a flexible structure. Those who engage in this form of inquiry use an inductive style building from data to themes and a focus on individual meaning, and emphasize the importance of reporting the complexity of a situation. Quantitative research is an approach for testing objective theories by examining the relationship among variables or a comparison among groups. These variables, in turn, can be measured, typically on instruments, so that numbered data can be analyzed using statistical procedures. The final written report has a set structure comprising an introduction, methods, results, and discussion. Quantitative researchers test theories deductively, build into a study protections against bias, control for alternative or counterfactual explanations, and seek to generalize and replicate the findings. Mixed methods research is an approach to inquiry involving collecting both quantitative and qualitative data, using a specific procedure or design, combining (or integrating) the two forms of data within the design, and drawing conclusions (metainferences) about the insight to emerge from the combined databases. This description emphasizes a methods perspective focused on understanding mixed methods research from its data collection, data analysis, and interpretation. Also, in mixed methods a researcher brings philosophical assumptions and theories that inform the conduct of the research. THREE MAJOR COMPONENTS OF A RESEARCH APPROACH The broad research approach is the plan or proposal to conduct research, involving the intersection of philosophy, research designs, and specific methods. Figure 1.1 presents a framework that we use to explain the interaction of these three components. In planning a study, researchers need to think through the philosophical worldview assumptions that they bring to the study, the research design that is related to this worldview, and the specific methods or procedures of research that translate the approach into practice. Description Figure 1.1 A Framework for Research—The Interconnection of Worldviews, Design, and Research Methods Philosophical Worldviews Although philosophical ideas remain largely hidden in research (Slife & Williams, 1995), they still influence the practice of research and need to be identified. We suggest that individuals preparing a research proposal or plan make the larger philosophical ideas they espouse explicit. This information will help explain why they chose qualitative, quantitative, or mixed methods approaches for their research. In writing about worldviews, a proposal might include a section that addresses the following: The philosophical worldview being used by the researcher A definition of basic ideas of that worldview An individual’s worldview drawn on research experiences, training, or cultural environment How the worldview shaped their approach to research We have chosen to use the term worldview as meaning “a basic set of beliefs that guide action” (Guba, 1990, p. 17). Others have called them paradigms (Lincoln et al., 2011; Mertens, 2010); epistemologies and ontologies (Crotty, 1998), or broadly conceived research methodologies (Neuman, 2009). We prefer the word “worldview” because it brings a global perspective to research in this era of international interconnections. We see worldviews as a general philosophical orientation about the world and the nature of research that a researcher brings to a study. Individuals develop worldviews based on their discipline orientations and research communities, advisers and mentors, past research experiences, and cultural experiences. Individual researchers’ beliefs based on these factors will often lead to embracing a strong qualitative, quantitative, or mixed methods approach in their research. The philosophical beliefs are important to include in a study because a reader can best interpret the research knowing the biases and the particular stance being taken by the researcher. We recognize that in quantitative research the position of the researcher remains largely hidden and not expressed; still we feel that it needs to be presented in the open for readers to interpret a study. Although there is ongoing debate about what worldviews or beliefs researchers bring to inquiry, we will highlight four widely discussed in the literature: postpositivism, constructivism, transformative, and pragmatism. The major elements of each position are presented in Table 1.2. Postpositivism Determination Reductionism Empirical observation and measurement Theory verification Transformative Political Power and justice oriented Collaborative Change oriented Constructivism Understanding Multiple participant meanings Social and historical construction Theory generation Pragmatism Consequences of actions Problem centered Pluralistic Real-world practice oriented The Postpositivist Worldview Postpositivist worldviews have represented the traditional form of research, and these assumptions hold true more for quantitative research than qualitative research. This worldview is sometimes called the scientific method or doing science research. It is also called positivist/postpositivist research, empirical science, and postpositivism. This last term is called postpositivism because it represents the thinking after positivism, challenging the traditional notion of the absolute truth of knowledge (Phillips & Burbules, 2000) and recognizing that we cannot be certain about our claims of knowledge when studying the behavior and actions of humans. The postpositivist tradition comes from 19th-century writers such as Comte, Mill, Durkheim, Newton, and Locke (Smith, 1983) and more recently from writers such as Phillips and Burbules (2000). Those who hold a postpositivist worldview hold a deterministic philosophy that causes (probably) determine effects or outcomes. Thus, the problems studied by postpositivists reflect the need to identify and assess the causes that influence outcomes, such as those found in experiments. It is also reductionistic in that the intent is to reduce the ideas into a small, discrete set to test, such as the variables that comprise hypotheses and research questions. Careful observation and measurement of the objective reality “out there” in the world represent a postpositivist lens. Thus, developing numeric measures of observations and studying the behavior of individuals become paramount for a postpositivist. Finally, laws or theories govern the world, and these theories need to be tested, verified, and refined so that we can understand the world. Thus, in the scientific method—the accepted approach to research by postpositivists—a researcher begins with a theory, collects data that either supports or refutes the theory, and then makes necessary revisions and conducts additional tests. In reading Phillips and Burbules (2000), you can gain a sense of the key assumptions of this position, such as the following: ▪ ▪ ▪ ▪ ▪ ▪ Knowledge is conjectural (and antifoundational)—absolute truth can never be found. Thus, evidence established in research is always imperfect and fallible. For this reason, researchers state that they do not prove a hypothesis; instead, they indicate a failure to reject the hypothesis. Research is the process of making claims and then refining or abandoning some of them for other claims more strongly warranted. Most quantitative research, for example, starts with the test of a theory. Data, evidence, and rational considerations shape knowledge. In practice, the researcher collects information on instruments based on measures completed by the participants or by observations recorded by the researcher. Research seeks to develop relevant, true statements that explain the situation of concern or that describe the causal relationships of interest. In quantitative studies, researchers advance the relationships among variables and pose these as questions or hypotheses. Being objective is an essential aspect of competent inquiry; researchers must examine methods and conclusions for bias. For example, standards of validity and reliability are important in quantitative research. The Constructivist Worldview Others hold a different worldview. A constructivist or social constructivist worldview (often combined with interpretivism) is a philosophical position used in qualitative research. The ideas came from Mannheim and from works such as Berger and Luckmann’s (1967) The Social Construction of Reality and Lincoln and Guba’s (1985) Naturalistic Inquiry. More recent writers who have summarized this position are Lincoln et al. (2011), Mertens (2010), and Crotty (1998), among others. Those who hold a constructivist worldview believe that individuals seek understanding of the world in which they live and work. Individuals develop subjective meanings of their experiences—meanings directed toward certain objects or things. These meanings are varied and multiple, leading the researcher to look for the complexity of views rather than narrowing meanings into a few categories or ideas. The goal of the research relies as much as possible on the participants’ views of the situation. The questions become broad and general so that the participants can construct the meaning of a situation, typically forged in discussions or interactions with other persons. The more open-ended the questioning, the better because the researcher listens carefully to what people say or do in their life settings. Often these subjective meanings are negotiated socially and historically. They are not simply imprinted on individuals but are formed through interaction with others (hence social constructivism) and through historical and cultural norms that operate in individuals’ lives. Thus, constructivist researchers often address the processes of interaction among individuals. They also focus on the specific contexts in which people live and work to understand the historical and cultural settings of the participants. Researchers recognize that their own backgrounds shape their interpretations, and they position themselves in the research to acknowledge how their interpretations flow from their personal, cultural, and historical experiences. The researcher’s intent is to make sense of (or interpret) the meanings others have about the world. Rather than starting with a theory (as in postpositivism), inquirers generate or inductively develop a theory or pattern of meaning. For example, in discussing constructivism, Crotty (1998) identified several assumptions: ▪ ▪ ▪ Human beings construct meanings as they engage with the world they are interpreting. Qualitative researchers tend to use open-ended questions so that the participants can share their views. Humans engage with their world and make sense of it based on their historical and social perspectives—we are all born into a world of meaning bestowed upon us by our culture. Thus, qualitative researchers seek to understand the context or setting of the participants through visiting this context and gathering information personally. They also interpret what they find, an interpretation shaped by the researcher’s own experiences and background. The basic generation of meaning is always social, arising in and out of interaction with a human community. The process of qualitative research is largely inductive; the inquirer generates meaning from the data collected in the field. The Transformative Worldview Another group of researchers holds to the philosophical assumptions of the transformative approach. This position arose during the 1980s and 1990s from individuals who felt that the postpositivist assumptions imposed structural laws and theories that did not fit marginalized individuals in our society or issues of power and social justice, discrimination, and oppression. There is no uniform body of literature characterizing this worldview, but it includes groups of researchers that are critical theorists, participatory action researchers, community-based participatory researchers, Marxists, feminists, and racial and ethnic minorities. It also includes persons with disabilities, indigenous and postcolonial peoples, and members of the lesbian, gay, bisexual, transsexual, and queer communities. Historically, the transformative writers have drawn on the works of Marx, Adorno, Marcuse, Habermas, and Freire (Neuman, 2009). Fay (1987), Heron and Reason (1997), Kemmis and Wilkinson (1998), Kemmis and McTaggart (2000), and Mertens (2009, 2010) are additional authors writing about this perspective. In the main, these inquirers felt that the constructivist stance did not go far enough in advocating for an action agenda to help marginalized people. A transformative worldview holds that research inquiry needs to be intertwined with politics and a political change agenda to confront social oppression at whatever levels it occurs (Mertens, 2010). Thus, the research contains an action agenda for reform that may change the lives of the participants, the institutions in which individuals work or live, and the researcher’s life. Moreover, researchers need to address specific important social issues of the day, issues such as empowerment, inequality, oppression, domination, suppression, and alienation. The researcher often begins with one of these issues as the focal point of the study. This research also assumes that the inquirer will proceed collaboratively to not further marginalize the participants as a result of the inquiry. In this sense, the participants may help design questions, collect data, analyze information, or reap the rewards of the research. Transformative research provides a voice for these participants, raising their consciousness or advancing an agenda for change to improve their lives. It becomes a united voice for reform and change. This philosophical worldview focuses on the needs of groups and individuals in our society that may be marginalized or disenfranchised. Therefore, theoretical perspectives may be integrated with philosophical assumptions that construct a picture of the issues being examined, the people studied, and the changes needed, such as in feminist perspectives, racialized discourses, critical theory, queer theory, and disability theory. An important development around the world has been the expansion of interest in indigenous methodologies that respect and honor the culture of individuals being studied. For example, in a study in Botswana, Chilisa and Tsheko (2014) discussed the importance of attending to cultural language of participants (e.g., gestures, tones, expressions) and using conversational modes of data collection (e.g., talking circles, storying). Also important is seeking out “knowers” of the language for proverbs, myths, and folktales, including participants as coresearchers, and engaging in respectful principles of accountability toward the participants. Although these are diverse groups and our explanations here are generalizations, it is helpful to view the summary by Mertens (2010) of key features of the transformative worldview or paradigm: ▪ ▪ ▪ It places central importance on the study of lives and experiences of diverse groups that have traditionally been marginalized. For these groups, their lives have been constrained by oppressors, leading to strategies to resist, challenge, and subvert these constraints. In studying these diverse groups, the researcher focuses on inequities based on gender, race, ethnicity, disability, sexual orientation, and socioeconomic class that result in asymmetric power relationships. The research in the transformative worldview links political and social action to these inequities. ▪ Transformative research uses a program theory of beliefs about how a program works and why the problems of oppression, domination, and power relationships exist. The Pragmatic Worldview Another position about worldviews comes from the pragmatists. Pragmatism derives from the work of Peirce, James, Mead, and Dewey (Cherryholmes, 1992). Other writers include Murphy (1990), Patton (1990), and Rorty (1990). There are many forms of a pragmatic worldview, but it arises out of actions, situations, and consequences rather than antecedent conditions (as in postpositivism). There is a concern with applications—what works—and solutions to problems (Patton, 1990). Instead of focusing on methods, researchers emphasize the research problem and question and use all approaches available to understand the problem (see Rossman & Wilson, 1985). As a philosophical underpinning for mixed methods studies, Morgan (2007), Patton (1990), and Tashakkori and Teddlie (2010) convey its importance for focusing attention on the research problem in social science research and then using pluralistic approaches to gather data about the problem. Using Cherryholmes (1992), Morgan (2007), and our own views, pragmatism provides a philosophical basis for research: ▪ ▪ ▪ ▪ ▪ ▪ ▪ ▪ Pragmatism is not committed to any one system of philosophy and reality. This idea applies to mixed methods research in that inquirers draw liberally from both quantitative and qualitative assumptions when they engage in their research. Individual researchers have a freedom of choice. In this way, researchers are free to choose the methods, techniques, and procedures of research that best meet their needs and purposes. Pragmatists do not see the world as an absolute unity. In a similar way, mixed methods researchers look to many approaches for collecting and analyzing data rather than subscribing to only one way (e.g., quantitative or qualitative). Truth is what works at the time. It is not based in a duality between reality independent of the mind or within the mind. Thus, in mixed methods research, investigators use both quantitative and qualitative data because they provide the best understanding of a research problem. The pragmatist researchers look to the what and how to research based on the intended consequences. Mixed methods researchers need to establish a purpose for their mixing, a rationale for reasons why quantitative and qualitative data need to be mixed in the first place. Pragmatists agree that research always occurs in social, historical, political, and other contexts. In this way, mixed methods studies may include a postmodern turn, a theoretical lens that reflects social justice and political aims. Pragmatists believe in an external world independent of the mind as well as that lodged in the mind. But they believe that we need to stop asking questions about reality and the laws of nature (Cherryholmes, 1992). “They would simply like to change the subject” (Rorty, 1990, p. xiv). Thus, for the mixed methods researcher, pragmatism opens the door to multiple methods, different worldviews, assumptions, and forms of data collection and analysis. Research Designs Of the three-part framework—philosophical assumptions, research designs, and research methods—our focus now turns to the second element, the research designs. The researcher not only selects a qualitative, quantitative, or mixed methods study to conduct; the inquirer also decides on a type of study design within these three choices. Research designs are types of inquiry within qualitative, quantitative, and mixed methods approaches that provide specific direction for procedures in a research study. Others have called them strategies of inquiry (Denzin & Lincoln, 2011). The designs available to the researcher have grown over the years as computer technology has advanced our data analysis, our ability to analyze complex models, and our capacity to engage in new procedures for conducting social science research. Select types will be emphasized in the methods discussions of Chapters 8, 9, and 10, types frequently used in the social and health sciences. Here we introduce the designs that will be discussed later and that are cited in examples throughout the book. An overview of these designs is shown in Table 1.3. Quantitative Designs Experimental and quasiexperimental Single-subject Nonexperimental such as surveys Longitudinal Qualitative Designs Descriptive method Narrative research Phenomenology Grounded theory Ethnography Case study Methods Designs Convergent Explanatory sequential Exploratory sequential Complex designs with embedded core designs Quantitative Designs During the late 19th and throughout the 20th century, designs associated with quantitative research invoked the postpositivist worldview and originated mainly in physiology and psychology. These include true experiments and quasi-experiments (see an original, early treatise on this, Campbell & Stanley, 1963). An additional experimental design is applied behavioral analysis or singlesubject experiments. This type of experiment involves a treatment administered over time to a single individual or a small number of individuals (Cooper et al., 2007; Neuman & McCormick, 1995). One type of nonexperimental quantitative research is causal-comparative research. The investigator compares two or more groups in terms of a cause (or independent variable) that has already happened. Another nonexperimental form of research is the correlational design in which investigators use the correlational statistic to describe and measure the degree or association (or relationship) between two or more variables or sets of scores (Creswell & Guetterman, 2018). These designs involve more complex relationships among variables found in techniques of structural equation modeling, hierarchical linear modeling, and logistic regression. More recently, quantitative strategies have involved complex experiments with many variables and treatments (e.g., factorial designs and repeated measure designs). Designs often employ longitudinal data collection over time to examine the development of ideas and trends. Designs have also included elaborate structural equation models that incorporate causal paths and the identification of the collective strength of multiple variables. Rather than discuss these quantitative approaches, we will focus in this book on two primary designs: surveys and experiments. ▪ ▪ Survey research provides a quantitative or numeric description of a population’s trends, attitudes, or opinions by studying a sample of that population. It includes cross-sectional and longitudinal studies using questionnaires or structured interviews for data collection to generalize from a sample to a population (Fowler, 2008). Experimental research seeks to determine if a specific treatment influences an outcome. The researcher assesses this by providing a specific treatment to one group, withholding it from another, and then determining how both groups scored on an outcome. Experiments include true experiments, the random assignment of subjects to treatment conditions, and quasiexperiments that use nonrandomized assignments (Keppel, 1991). Included experiments are single-subject designs in which a single individual or group is observed over a period of time and interventions administered and then withheld (Gast & Ledford, 2014). Qualitative Designs In qualitative research, the numbers and types of approaches have also become more clearly visible during the 1990s and into the 21st century. The historic origin for qualitative research comes from anthropology, sociology, the humanities, and evaluation. Books have summarized the various types, and complete procedures are now available on specific qualitative inquiry approaches (Creswell & Poth, 2018). For example, Clandinin and Connelly (2000) constructed a picture of what narrative researchers do. Moustakas (1994) discussed the philosophical tenets and the procedures of the phenomenological method; Charmaz (2006), Corbin and Strauss (2007, 2015), and Strauss and Corbin (1990, 1998) identified the procedures of grounded theory. Fetterman (2010) and Wolcott (2008) summarized ethnographic procedures and the many faces and research strategies of ethnography, and Stake (1995) and Yin (2009, 2012, 2014) suggested processes involved in case study research. In this book, illustrations are drawn from the following qualitative designs, recognizing that approaches such as participatory action research (Kemmis & McTaggart, 2000), discourse analysis (Cheek, 2004), and others not mentioned are also viable ways to conduct qualitative studies: ▪ ▪ ▪ Descriptive method in qualitative research is an approach to analysis where the researcher stays close to the data, uses limited frameworks and interpretation for explaining the data, and catalogues the information into themes. Narrative research is a design of inquiry from the humanities in which the researcher studies the lives of individuals and asks one or more participants to provide stories about their lives (Riessman, 2008). This information is then often retold or restoried by the researcher into a narrative chronology. Often, in the end, the narrative combines views from the participant’s life with those of the researcher’s life in a collaborative narrative (Clandinin & Connelly, 2000). Phenomenological research is a design of inquiry coming from philosophy and psychology in which the researcher describes the lived experiences of individuals about a phenomenon as described by participants. This description culminates in the essence of several individuals who have all ▪ ▪ ▪ experienced the phenomenon. This design has strong philosophical underpinnings and typically involves conducting interviews (Giorgi, 2009; Moustakas, 1994). Grounded theory is a design of inquiry from sociology in which the researcher derives a general, abstract theory of a process, action, or interaction grounded in the views of participants. This process involves using multiple stages of data collection and the refinement and interrelationship of categories of information to form a theory (Charmaz, 2006; Corbin & Strauss, 2007, 2015). Ethnography is a design of inquiry coming from anthropology and sociology. The researcher studies the shared patterns of behaviors, language, and actions of an intact cultural group in a natural setting over a prolonged period of time. Data collection often involves observations and interviews (Wolcott, 1994). Case studies are a design of inquiry found in many fields, especially evaluation, in which the researcher develops an in-depth analysis of a case, often a program, event, activity, process, or one or more individuals. Cases are bounded by time and place (or setting), and researchers collect detailed information using a variety of data collection procedures over a sustained period of time (Stake, 1995; Yin, 2009, 2012, 2014). Mixed Methods Designs Mixed methods research involves collecting quantitative and qualitative data and combining or integrating the data to yield insights or inferences from the combined data. Qualitative data tends to be open-ended without predetermined responses, whereas quantitative data usually includes closed-ended responses such as those found on questionnaires or psychological instruments. As we know it today, the field of mixed methods research began in the middle to late 1980s. Its origins, however, go back further. In 1959, Campbell and Fisk used multiple methods to study psychological traits—although their methods were only quantitative measures. Their work prompted others to collect multiple forms of data, such as observations and interviews (qualitative data) with traditional surveys (Sieber, 1973). Early thoughts about the value of multiple methods—called mixed methods—resided in the idea that all methods had bias and weaknesses. The collection of both quantitative and qualitative data neutralized the weaknesses of each form of data. Combining data sources—a means for seeking convergence across qualitative and quantitative methods—was born (Jick, 1979). By the early 1990s, mixed methods turned toward the systematic integration of quantitative and qualitative data and the idea of ways to combine the data through different types of research designs. These types of designs were extensively discussed in a major handbook addressing the field in 2003 and reissued in 2010 (Tashakkori & Teddlie, 2010). As the field developed, specific mixed methods designs emerged complete with diagrams to help the reader understand the designs (Creswell & Plano Clark, 2018; Creswell, 2022). Practical issues are being widely discussed today in terms of examples of “good” mixed methods studies and evaluative criteria, the use of teams to conduct this form of inquiry, and the expansion of mixed methods worldwide. Although many designs exist in the mixed methods field, this book will focus on the three primary designs, called core design, and several complex designs that involve the embedding of core designs into processes or frameworks. ▪ ▪ ▪ ▪ A convergent mixed methods design is a core form of mixed methods design. The researcher converges or merges quantitative and qualitative data to provide a comprehensive analysis of the research problem. In this design, the investigator typically collects both forms of data at roughly the same time and then integrates the information in the interpretation of the overall results. Contradictions or incongruent findings are explained or further probed in this design. An explanatory sequential mixed methods design is a core design in which the researcher first conducts quantitative research, analyzes the results, and then builds on the results to explain them in more detail with qualitative research. It is considered explanatory because the initial quantitative data results are explained further with the qualitative data. It has a sequential structure because the initial quantitative phase follows the qualitative phase. This type of design is popular in fields with a strong quantitative orientation (because the project begins with quantitative research), but it presents challenges of identifying the quantitative results and explaining the sample selection process in the study. An exploratory sequential mixed methods design is the reverse sequence from the explanatory sequential design. In the exploratory sequential design the researcher first begins with a qualitative research phase and explores the views of participants. The data are then analyzed and the information used to build into a second, quantitative phase. The qualitative phase may be used in several ways. It can help build an instrument that best fits the sample under study, identify appropriate instruments to use in the follow-up quantitative phase, and develop an intervention for an experiment. The qualitative phase can also help design an app or website or to specify variables that need to go into a followup quantitative study. Challenges to this design reside in focusing in on the appropriate qualitative findings to use in the quantitative design and the sample selection for both phases of research. A complex mixed methods design involves embedding one or more core designs into a framework or a process. For example, the core designs can augment an experiment by collecting qualitative data after the experiment to help explain the quantitative outcome results. The core designs can be used within a case study framework to deductively document cases or to generate cases for further analysis. The core designs can inform a theoretical study drawn from social justice (see Chapter 3) as an overarching perspective within a design that contains both quantitative and qualitative data. The core designs can also be used in the different phases of an evaluation procedure that spans from a needs assessment to a test of a program or experimental intervention. Research Methods The third major element in the philosophy-design-methods framework is the specific research methods that involve the forms of data collection, analysis, and interpretation that researchers propose for their studies. As shown in Table 1.4, it is useful to consider the full range of possibilities of data collection and to organize these methods, for example, by their degree of predetermined nature, their use of closed-ended versus open-ended questioning, and their focus on numeric versus nonnumeric data analysis. These methods will be developed further in Chapters 8 through 10. Researchers collect data on an instrument or test (e.g., a set of questions about attitudes toward self-esteem) or gather information on a behavioral checklist (e.g., observation of a worker engaged in a complex skill). On the other end of the continuum, collecting data might involve visiting a research site and observing the behavior of individuals without predetermined questions or conducting an interview in which the individual talks openly about a topic, largely without the use of specific questions. The choice of methods turns on whether the intent is to specify the type of information to be collected in advance of the study or to allow it to emerge from participants in the project. Also, the type of data analyzed may be numeric information gathered on scales of instruments or text information recording and reporting the voice of the participants. Researchers make interpretations of the statistical results, or they interpret the themes or patterns that emerge from the data. In some forms of research, both quantitative and qualitative data are collected, analyzed, and interpreted. Instrument data may be augmented with open-ended observations, or census data may be followed by in-depth exploratory interviews. In this case of mixing methods, the researcher makes inferences across both the quantitative and qualitative databases. Quantitative Methods Predetermined Instrument-based questions Mixed Methods Both predetermined and emerging methods Qualitative Methods Emerging methods Open-ended questions Both open- and closed-ended questions Multiple forms of data drawing on all possibilities Interview data, observation data, document data, and audiovisual data Statistical analysis Statistical and text analysis Text and image analysis Statistical interpretation Across databases interpretation Themes, patterns, and interpretation Performance data, attitude data, observational data, and census data INTERCONNECTING WORLDVIEWS, DESIGNS, AND METHODS The worldviews, the designs, and the methods all contribute to a research approach that tends to be quantitative, qualitative, or mixed. Table 1.5 creates distinctions that may be useful in choosing an approach. This table also includes practices of all three approaches that we emphasize in the remaining chapters of this book. Typical scenarios of research can illustrate how these three elements combine into a research design. Example 1. Quantitative Approach: Postpositivist Worldview, Experimental Design, and Pretest and Posttest Measures of Attitudes In this scenario, the researcher tests a theory by specifying narrow hypotheses and the collection of data to support or refute the hypotheses. The researcher uses an experimental design to assess attitudes both before and after an experimental treatment. The data are collected on an instrument that measures attitudes, and the information is analyzed using statistical data analysis procedures and hypothesis testing. Tends to or Typically Uses these philosophical assumptions Qualitative Approaches Quantitative Approaches Constructivist/transformative Postpositivist knowledge claims knowledge claims Mixed Methods Approaches Pragmatic knowledge claims Employs these designs Phenomenology, grounded theory, ethnography, case study, and narrative Surveys and experiments (true, quasiexperimental, single-subject) Sequential, convergent, and complex designs Employs these methods Open-ended questions, emerging approaches, text or image data Closed-ended questions, predetermined approaches, numeric data (may include some open-ended questions) Both open- and closed-ended questions, both emerging and predetermined approaches, and both quantitative and qualitative data and analysis Uses these practices of research Positions themselves Collects participant meanings Focuses on a single concept or phenomenon Brings personal values into the study Studies the context or setting of participants Validates the accuracy of findings Makes interpretations of the data Creates an agenda for change or reform Collaborates with the participants Employs text analysis procedures Tests or verifies theories or explanations Collects both quantitative and qualitative data Identifies variables to study Develops a rationale for mixing Relates variables in questions or hypotheses Integrates the data at different stages of inquiry Uses standards of validity and reliability Presents visual pictures of the procedures in the study Observes and measures information numerically Uses unbiased approaches Employs the practices of both qualitative and quantitative research Employs statistical procedures Example 2. Qualitative Approach: Constructivist Worldview, Ethnographic Design, and Observation of Behavior ▪ In this situation, the researcher seeks to establish the meaning of a phenomenon from participants’ views. This means identifying a culture-sharing group and studying how it develops shared patterns of behavior over time (i.e., ethnography). One of the key elements of collecting data in this way is to observe participants’ behaviors during their engagement in activities. Example 3. Qualitative Approach: Transformative Worldview, Narrative Design, and Open-Ended Interviewing ▪ For this study, the inquirer seeks to examine an issue related to oppression of individuals. To study this, the researcher collects stories about individual oppression using a narrative approach. Individuals are interviewed to determine how they have personally experienced oppression. Example 4. Mixed Methods Approach: Pragmatic Worldview, Collection of Both Quantitative and Qualitative Data Sequentially in the Design ▪ The researcher bases the inquiry on the assumption that collecting diverse types of data best provides a more complete understanding of a research problem than quantitative or qualitative data alone. The study begins with a broad survey to generalize results to a population and then, in a second phase, focuses on qualitative, open-ended interviews to collect detailed views from participants to help explain the initial quantitative survey. CRITERIA FOR SELECTING A RESEARCH APPROACH Given the possibility of qualitative, quantitative, or mixed methods approaches, what factors affect a choice of one approach over another for the design of a proposal? To make this choice, we need to add to worldview, design, and methods the research problem, the personal experiences of the researcher, and the audience(s) for the report. The Research Problem and Questions A research problem, more thoroughly discussed in Chapter 5, is an issue or concern that needs to be addressed (e.g., the issue of racial discrimination). The problem comes from voids, conflicts in research results, and topics neglected in the literature. It also can arise from the need to emphasize the voice of marginalized participants and real-life problems found in the workplace, the home, the community. Certain types of social research problems call for specific approaches. For example, if the problem requires for (a) the identification of factors that influence an outcome, (b) the utility of an intervention, or (c) understanding the best predictors of outcomes, then a quantitative approach is best. It is also the best approach to use to test a theory or explanation. On the other hand, if a concept or phenomenon needs to be explored and understood because little research has been done on it or involves an understudied sample, it merits a qualitative approach. Qualitative research is especially useful when the researcher does not know the important research questions or variables to examine. This type of approach may be needed because the topic is new, the subject has never been addressed with a certain sample or group of people, and existing theories do not apply with the sample or group under study (Morse, 1991). A mixed methods design is useful when the quantitative or qualitative approach, each by itself, is inadequate to study a research problem and the strengths of both quantitative and qualitative research (and its data) can provide the best understanding. For example, a researcher may want to generalize the findings to a population and develop a detailed view of the meaning of a phenomenon or concept for individuals. In this research, the inquirer first explores to learn what variables to study and then examines them with a large sample of individuals. Alternatively, researchers may first survey a large number of individuals and then follow up with a few participants to obtain their specific views and their voices about the topic. In these situations, collecting both closed-ended quantitative data and open-ended qualitative data proves advantageous. Personal Experiences Researchers’ personal training and experiences also influence their choice of approach. An individual trained in technical, scientific writing, statistics, and computer statistical programs and familiar with quantitative journals in the library would most likely choose the quantitative design. In contrast, individuals who enjoy writing in a storytelling or literary way, conducting personal interviews, or making up-close observations may gravitate to the qualitative approach. The mixed methods researcher is an individual familiar with both quantitative and qualitative research. This person also has the time and resources to collect and analyze both quantitative and qualitative data. Because quantitative studies are the traditional mode of research, carefully worked out procedures and rules exist for them. Researchers may be more comfortable with the highly structured procedures of quantitative research. Also, it can be uncomfortable for some individuals to challenge accepted approaches among some faculty by using qualitative and transformative approaches to inquiry. In contrast, qualitative approaches allow room to be innovative and to work more within researcher-designed frameworks. They allow more creative, literary-style writing, a form that individuals may like to use. For those researchers undertaking social justice or community involvement studies, a qualitative approach is typically best, although this form of research may also incorporate mixed methods designs. For the mixed methods researcher, the project will take extra time because of the need to collect and analyze both quantitative and qualitative data. It fits a person who enjoys and has the skills in quantitative, qualitative research, and mixed methods research. Audience Finally, researchers write for audiences that will accept their research. These audiences may be journal editors and readers, faculty committees, conference attendees, or colleagues in the field. Students should consider the approaches typically supported and used by their advisers. The experiences of these audiences with quantitative, qualitative, or mixed methods studies can shape the decision made about the choice of design. Summary In designing a research proposal or a research project, start by understanding the definitions for philosophical assumptions, research approach (or methodology), research design, and research method. Understand that this book will address three broad approaches to inquiry: quantitative, qualitative, and mixed methods. Then, a framework is helpful to proceed with a study. This framework involves understanding the philosophical assumptions the researcher brings to a study; the designs or procedures available in quantitative, qualitative, and mixed methods research; and the specific methods to be used. In choosing a specific design for a project, consider these three components. In addition, a choice of approach involves the research problem or issue being studied, the personal experiences of the researcher, and the audience for whom the researcher writes. KEY TERMS Case studies 15 Complex mixed methods design 17 Constructivist worldview 9 Convergent mixed methods design 16 Descriptive method 15 Ethnography 15 Experimental research 14 Explanatory sequential mixed methods design 16 Exploratory sequential mixed methods design 17 Grounded theory 15 Mixed methods research 5 Narrative research 15 Phenomenological research 15 Philosophical assumptions 4 Postpositivist worldview 8 Pragmatic worldview 11 Qualitative research 5 Quantitative research 5 Research approach 4 Research design 4 Research methods 4 Survey research 14 Transformative worldview 10 Worldview 7 WRITING EXERCISES 1. Why are philosophical assumptions necessary as a prerequisite for conducting a research study? What philosophical approach best fits your research project? 2. Discuss your choice of a research approach—quantitative, qualitative, or mixed methods— for your study. Why did you choose it? 3. What are the distinctions among the quantitative research, qualitative research, and mixed methods research approaches? Additional Readings Crotty, M. (1998). The foundations of social research: Meaning and perspective in the research process. SAGE. A hierarchical relationship exists among philosophy, theory, methodology, and methods. Michael Crotty offers a useful framework to see these relationships. He ties together the many epistemological issues, theoretical perspectives, methodology, and methods of social research. He interrelates the four components of the research process and shows a representative sampling of topics of each component. He then goes on to discuss nine different theoretical orientations in social research, such as postmodernism, feminism, critical inquiry, interpretivism, constructionism, and positivism. Lincoln, Y. S., Lynham, S. A., & Guba, E. G. (2011). Paradigmatic controversies, contradictions, and emerging confluences revisited. In N. K. Denzin & Y. S. Lincoln, The SAGE handbook of qualitative research (4th ed., pp. 97–128). SAGE Philosophical assumptions are often confusing to researchers and need to be carefully studied. Yvonna Lincoln, Susan Lynham, and Egon Guba have provided distinctions among the different philosophical positions. They advance the basic beliefs of five alternative inquiry paradigms in social science research: (a) positivism, (b) postpositivism, (c) critical theory, (d) constructivism, and (e) participatory. These extend the earlier analysis provided in the first and second editions of the handbook. Each is presented in terms of ontology (i.e., nature of reality), epistemology (i.e., how we know what we know), and methodology (i.e., the process of research). The participatory paradigm adds another alternative paradigm to those originally advanced in the first edition. After briefly presenting these five approaches, they contrast them in terms of several issues, such as the nature of knowledge, how knowledge accumulates, and goodness or quality criteria. Mertens, D. (2009). Transformative research and evaluation. Guilford. In many countries around the world, a transformative research approach helps establish change in communities and groups. Donna Mertens provides a guide for this transformation. She has devoted an entire text to advancing the transformative paradigm and the process of transformative research. She discusses the basic features of the transformative paradigm as an umbrella term, provides examples of groups affiliated with this paradigm, and links the paradigm to quantitative, qualitative, and mixed methods approaches. In this book, she also discusses the research procedures of sampling, consent, reciprocity, data collection methods and instruments, data analysis and interpretation, and reporting. Phillips, D. C., & Burbules, N. C. (2000). Postpositivism and educational research. Rowman & Littlefield. In research, the philosophy behind quantitative research is typically neither expressed in studies nor well-known. Thus, it is helpful for D. C. Phillips and Nicholas Burbules to summarize the major ideas of postpositivist thinking. Through two chapters, “What Is Postpositivism?” and “Philosophical Commitments of Postpositivist Researchers,” the authors advance major ideas about postpositivism and differentiate it from positivism. Postpositivism suggests that human knowledge is conjectural rather than unchallengeable and that our warrants for knowledge can be withdrawn through further investigations. Shannon-Baker, P. (2016). Making paradigms meaningful in mixed methods research. Journal of Mixed Methods Research. 10(4), 319–334. Understanding the specific elements used to describe different worldviews helps a researcher apply the worldview to their study. Peggy Shannon-Baker provides a useful, current assessment of four paradigms (or worldviews): pragmatism, transformative-emancipation, dialectics, and critical realism. Granted, she does not cover the many possibilities used today, and her assessment of paradigms focuses on applications in mixed methods research. However, her discussion of the elements of the paradigms and how they can be applied in research makes an important contribution to the area of philosophical assumptions in research. Descriptions of Images and Figures Back to Figure Philosophical worldviews, designs, and research methods are interconnected with one another. Research approaches are in the middle. The types under each element are as follows. Philosophical worldviews: ▪ ▪ ▪ ▪ Postpositivist Constructivist Transformative Pragmatic Designs: ▪ ▪ ▪ Quantitative, for example, Experiments Qualitative, for example, Ethnographies Mixed Methods, for example, Explanatory Sequential Research methods: ▪ ▪ ▪ ▪ ▪ Questions Data Collection Data Analysis Interpretation Validation Research approaches: ▪ ▪ ▪ Qualitative Quantitative Mixed Methods CHAPTER 2 REVIEW OF THE LITERATURE LEARNING OBJECTIVES 1. Explain the reasons for a literature review to defend its use in a study. 2. Organize a literature review consistent with a quantitative, qualitative, or mixed methods approach. 3. Describe the steps typically undertaken when conducting a literature review. 4. Explain how to evaluate literature for inclusion in a literature review. 5. Identify the most frequently used style conventions from APA used in a research study. 6. Identify the types of terms needing definition in a scholarly research report. INTRODUCTION Besides selecting a quantitative, qualitative, or mixed methods approach, a first step in conducting research is to identify a topic and review the literature written about it. This chapter continues the discussion about understanding preliminary considerations before launching into a proposal or project. It begins with a discussion about selecting a topic by drafting a title for a study and then determining whether the topic is significant. Then, the chapter addresses the purpose of a literature review and its structural differences for a qualitative, quantitative, or mixed methods study. Next, the chapter addresses criteria for evaluating the quality of the literature. We also present several steps typically undertaken by researchers during the literature review process. Within these steps, the researcher searches databases, prioritizes the importance of literature, writes abstracts (or takes notes), and evaluates the quality of the literature. A literature map can help organize the information. We also recommend following closely the American Psychological Association Publication Manual (American Psychological Association, 2020) for important style guides and defining terms when they first appear in a proposal or study. THE RESEARCH TOPIC Before considering what literature to use in a project, identify a topic to study and reflect on whether it is practical and useful to undertake the study. The topic is the subject or subject matter of a proposed study, such as “faculty teaching,” “organizational creativity,” or “psychological stress.” Describe the topic in a few words or in a short phrase. The topic becomes the central idea to learn about or to explore in a study. A Draft Title There are several ways that researchers gain some insight into their topics when they initially plan their research (we assume that the topic is chosen by the researcher and not by an adviser or committee member). One way is to draft a brief working title to the study. We are surprised how often researchers fail to draft a title early in the development of their projects. In our opinion, the working or draft title becomes a major road sign in research—a tangible idea that the researcher refocuses as the project goes on (see Glesne, 2015; Glesne & Peshkin, 1992). It becomes an orienting device. We find that, in our research, this topic provides a central focus for the study and serves as an identifier for others reading or hearing about the subject. When students provide their research project ideas, we often ask them to supply a working title if they do not already have one completed. How would this working title be written? Try completing this sentence: “My study is about . . .” A response might be, “My study is about at-risk children in the junior high,” or “My study is about helping college faculty become better researchers.” Consider framing a response so that another scholar might easily grasp the meaning of the project. A common shortcoming of beginning researchers is stating their title in complex and erudite language. This perspective often results from reading published articles that present a clean, clear message. However, like all research, they undergo extensive revisions before being set in print. Good, sound research projects begin with straightforward, uncomplicated thoughts that readers can easily understand. Think about a journal article that you have read recently. If it was easy and quick to read, it was likely written in general language understandable to many readers. It was straightforward in overall design and conceptualization. As a project develops, it will become more complicated, but it should not start in a complex way. Wilkinson (1991) provided useful advice for creating a title: Be brief and avoid wasting words. Eliminate unnecessary words, such as “An Approach to . . . ,” “A Study of . . . ,” and so forth. Use a single title or a double title. An example of a double title would be “An Ethnography: Understanding a Child’s Perception of War.” In addition to Wilkinson’s thoughts, consider a title no longer than 10 to 12 words, eliminate most articles and prepositions, and include the focus or topic of the study. In addition to writing a draft title, another strategy for topic development is to pose the topic as a brief question. What question needs to be answered in the proposed study? A researcher might ask, “What treatment is best for depression?” “What does it mean to be Arabic in U.S. society today?” “What brings people to tourist sites in Hawaii?” When drafting questions, focus on the question’s key topic as the major signpost, and consider how to refine the topic to be descriptive of the study (see Chapters 6 and 7 on the purpose statement and research questions and hypotheses). A Significant Topic Actively elevating this topic to a research study calls for reflecting on whether the topic can and should be researched. A topic can be researched if a researcher has participants willing to serve in the study. It also can be researched if the investigator has resources such as collecting data over a sustained time and using available computer programs to help in the analysis of data. The question of should is a more complex matter. Several factors go into this decision. Perhaps the most important is whether the topic adds to the pool of research knowledge in the literature available on the topic. It might also replicate past studies, lift the voices of underrepresented groups or individuals, help address social justice, or transform the ideas and beliefs of researchers. A first step in any project is to spend considerable time in the library examining the research on a topic. This point cannot be overemphasized. Beginning researchers may advance a great study that is complete in every way, such as in the clarity of research questions, the comprehensiveness of data collection, and the sophistication of statistical analysis. But the researcher may garner little support from faculty committees or conference planners because the study does not add anything new to the body of research. Ask, “How does this project contribute to the literature?” Consider how the study might address an unexamined topic, extend the discussion by incorporating new elements, or replicate (or repeat) a study in new situations or with new participants. Contributing to the literature may also mean how the study adds to an understanding of a theory or extends a theory (see Chapter 3). It can also mean providing a new perspective or “angle” to the existing literature. For example, the new angle might be one of these: ▪ ▪ ▪ ▪ ▪ ▪ Studying an unusual location (e.g., rural America) Examining an unusual group of participants (e.g., refugees) Taking an unexpected perspective that reverses an expectation (e.g., why marriages do work rather than do not work) Providing novel means of collecting data (e.g., collect sounds) Presenting results in unusual ways (e.g., graphs that depict geographical locations) Studying a timely topic (e.g., immigration issues) (Creswell & Bàez, 2020) The issue of should the topic be studied also relates to whether anyone outside of the researcher’s own immediate institution or environment would be interested in the topic. Given choosing a topic that might be of limited regional interest or one of national interest, we opt for the latter because it has wide appeal to a broad audience. Journal editors, committee members, conference planners, and funding agencies can appreciate research that reaches a broad audience. Finally, the topic may relate to the researcher’s personal goals. Consider the time it takes to complete a project, revise it, and disseminate the results. All researchers should consider how the study and its heavy commitment of time will pay off. It may pay off in enhancing career goals, conducting more research, obtaining a future position, or advancing toward a degree. Before proceeding with a proposal or a study, one can weigh these factors and ask others for reactions to a topic. Seek reactions from colleagues, noted authorities in the field, academic advisers, and faculty committee members. We find it helpful to ask students to bring to us a one-page sketch of their proposed project. This sketch includes information about the problem or issue, the central research question, the types of data collected, and the overall significance of the study. THE PURPOSE AND ORGANIZATION OF A LITERATURE REVIEW Before searching the literature for a study, consider the intent or purpose of a literature review and plan for its organization. Literature reviews differ for qualitative, quantitative, and mixed methods projects. Purpose of a Literature Review The literature review accomplishes several purposes. It shares with the reader the results of other studies that are closely related to the one being undertaken. It relates a study to the larger, ongoing dialogue in the literature, filling in gaps and extending prior studies (Cooper, 2010; Marshall & Rossman, 2022). It provides a framework for establishing the importance of the study and a benchmark for comparing the results with other findings. All or some of these reasons may be the foundation for writing the scholarly literature into a study (see Boote & Beile, 2005, for a more extensive discussion of purposes for compiling a literature review in research). Studies need to add to the body of literature on a topic. Researchers shape literature sections in proposals from the larger problem to the narrower issue. This narrow issue, in turn, leads directly into the methods for studying the issue. The Organization of the Literature Review General Forms In addition to the purpose of a literature review, consider how to organize it. In graduate proposals, it can assume various forms. In one model, the literature becomes additional information in an introduction to a study. In another model, the literature forms a separate chapter in the project. Researchers can name this chapter a “Literature Review” and write the chapter in 20 to 60 pages. Regardless of the model, our best advice is to seek the opinion of an adviser or faculty mentors as to how they would like to see the literature addressed. We generally recommend to our advisees that the literature review in a proposal or project be brief and provide a summary of the major studies addressing the research problem. It does not need to be fully developed and comprehensive at this point because faculty may ask for major changes in the study at the proposal meeting. The literature review in a journal article is an abbreviated form found in a dissertation or master’s thesis. It is typically contained in a section called “Related Literature” and follows the introduction to a study. This is the pattern for quantitative research articles in journals. For qualitative research articles the literature review may be found in a separate section, included in the introduction, or threaded throughout the study. In general, the literature review can take several forms. Cooper (2010) discussed four types: literature reviews that (a) integrate what others have done and said, (b) criticize previous scholarly works, (c) build bridges between related topics, and (d) identify the central issues in a field. Most dissertation and thesis literature reviews integrate what others have done and said, organize it into a series of related topics (often from general topics to narrower ones), and summarize the literature by pointing out the central issues. Regardless of the form, another consideration is how the literature might be presented depending on a qualitative, quantitative, or mixed methods project. A Qualitative Structure In qualitative research, inquirers use the literature consistent with the assumptions of learning from the participant and not prescribe questions needing answers from the researcher’s standpoint. One of the chief reasons for conducting a qualitative study is that the study is exploratory. This usually means that not much has been written about the topic or the population studied, and the researcher seeks to listen to participants and build an understanding based on what they hear. However, the use of the literature in qualitative research varies considerably. In theoretically oriented studies, such as ethnographies or critical ethnographies, the literature on a cultural concept or a critical theory is introduced early in the report or proposal as an orienting framework. In grounded theory, case studies, and phenomenological studies, literature is less often used to set the stage for the study. With an approach grounded in learning from participants and variation by type, there are several models for incorporating the literature review into a qualitative study. We offer three placement locations for the literature review, and it can be used in any or all locations. As shown in Table 2.1, the researcher might include the literature review in the introduction. In this placement, the literature provides a useful rationale for the problem or issue. This rationale may present a need for the study based on advancing the importance of studying the issue. This framing of the problem is, of course, contingent on available studies. One can find illustrations of this model in many qualitative studies employing different types of inquiry strategy. For a qualitative study the literature review might explore aspects of the central phenomenon being addressed and divide it into topical areas. In a qualitative study, use the literature sparingly in the beginning to convey an inductive design unless the design type requires a substantial literature orientation at the outset. Consider the most appropriate place for the literature in a qualitative study, and base the decision on the audience for the project. Keep in mind the options: placing it at the beginning to frame the problem, placing it in a separate section, and using it at the end to compare with the findings. A Quantitative Structure A second form is to review the literature in a separate section, a model typically used in quantitative research, and often found in journals with a quantitative orientation. Quantitative research includes substantial literature at the beginning of a study to provide direction for the research questions or hypotheses. It is also used to introduce a problem or detail the existing literature in a section titled “Related Literature” or “Review of Literature” or some other similar phrase. Also, the literature review can introduce a theory—an explanation for expected relationships (see Chapter 3)—describe the theory that will be used, and suggest why it is a useful theory to examine. At the end of a study, the researcher then revisits the literature and compares the results with the existing findings in the literature. In this model, the quantitative researcher uses the literature deductively as a framework for the research questions or hypotheses. A model for the quantitative structure relates to the variables studied (more will be developed on variables in Chapter 3). A model is to write a quantitative literature review of the literature that contains sections about the literature related to major independent variables, major dependent variables, and studies that relate the independent and dependent variables. This approach seems appropriate for dissertations and conceptualizing the literature to be introduced in a journal article. Consider this model literature review to comprise five components: (a) an introduction, (b) Topic 1 (about the independent variable), (c) Topic 2 (about the dependent variable), (d) Topic 3, (studies that address both the independent and dependent variables), and (e) a summary. Here is more detail about each section: ▪ ▪ ▪ ▪ ▪ Introduce the review by telling the reader about the sections included in it. This passage provides a statement about the organization of the section. Review Topic 1, addressing the scholarly literature about the independent variable or variables. With several independent variables, consider subsections or focus on the single most important variable for the literature review. Remember to address only the literature about the independent variable; keep the literature about the independent and dependent variables separate in this model. Review Topic 2, incorporating the scholarly literature about the dependent variable or variables. With multiple dependent variables, write subsections about each variable or focus on a single important one. Review Topic 3, including the scholarly literature that relates the independent variable(s) to the dependent variable(s). Here we are at the crux of the proposed quantitative study. Thus, this section should be relatively short and contain studies that are extremely close in topic to the proposed study. Perhaps nothing has been written on the topic. Construct a section as close as possible to the topic or review studies that address the topic at a more general level. Provide a summary that highlights the most important studies, captures major themes, suggests why more research is needed on the topic, and advances how the proposed study will fill this need. This model focuses the literature review, relates it closely to the variables in the research questions and hypotheses, and sufficiently narrows the study. It becomes a logical point of departure for the research questions and the method section. Overall, in a quantitative project, use the literature in a quantitative study deductively—as a basis for advancing research questions or hypotheses. In a quantitative study plan, use the literature to introduce the study, advance a theory, describe related literature in a separate section, and compare findings. A Mixed Methods Structure In a mixed methods study, the researcher uses either a qualitative or a quantitative approach to the literature, depending on the type of strategy used. In a sequential approach, the literature is presented in each phase consistent with the method being used. For example, suppose the study begins with a quantitative phase. In that case the investigator is likely to include a substantial literature review that helps establish a rationale for the research questions or hypotheses. If the study begins with a qualitative phase, then the literature is substantially less, and the researcher may incorporate it more into the end of the study—an inductive approach. If the research advances a mixed methods study with an equal weight and emphasis on qualitative and quantitative data, then the literature may take either qualitative or quantitative forms. The decision as to which form to use is based on the audience for the study and what would be most receptive to the students’ graduate committees and their orientation. To recap, the literature used in a mixed methods project will depend on the strategy and the relative weight given to the qualitative or quantitative research in the study. In a mixed methods study, use the literature that is consistent with the major type of design and the qualitative or quantitative approach most prevalent in the design (see Chapter 10 for more about designs). STEPS IN CONDUCTING A LITERATURE REVIEW A literature review means locating and summarizing the studies about a topic. Often these are research studies, but they may also include conceptual articles or opinion pieces that provide frameworks for thinking about topics. There is no single way to conduct a literature review, but many scholars proceed systematically to capture, evaluate, and summarize the literature. The steps mentioned next provide an overview of the process of searching for the literature. Researchers may not follow the steps precisely as presented here. Often the process of research requires an iterative process of searching and then re-searching the literature until finding appropriate material. Here is the way we recommend: 1. Begin by identifying key words, which are useful in locating materials in an academic library at a college or university. These key words may emerge in identifying a topic or result from preliminary readings. For example, a researcher may start with the broad term, “mental health” and, after searching the literature, narrow the term to “autism spectrum disorder,” and then further specify multiple terms, such as “family factors, support, autism spectrum disorder” that serve to narrow the focus of the search. 2. With the key words in mind, use your home computer to search the databases for holdings (i.e., journals and books). Most major libraries have computerized databases. Search general databases, including ERIC, Google Scholar, Web of Science, EBSCO, ProQuest, and JSTOR. These cover a broad range of disciplines. 3. Initially, try to locate about 50 reports of research in articles or books related to your topic. Set a priority on the search for journal articles and books because they are easy to locate and obtain. Determine whether these articles and books exist in an academic library or whether they need to be obtained from an interlibrary loan or purchased through a bookstore. 4. Skim this initial group of articles or chapters, and collect those central to your topic. Throughout this process, simply try to obtain a sense about whether the article or chapter will make a useful contribution to your understanding of the literature (see the evaluation criteria to follow). 5. As you identify useful literature, begin designing a literature map (to be discussed more fully later). This is a visual picture (or figure) of groupings of the literature on the topic that illustrates how your particular study will add to the existing literature and position your study within the larger body of research. 6. As you put together the literature map, also begin to draft summaries of the most relevant articles. Combine these summaries into the final literature review that you write for your proposal or research study. Include precise references to the literature using an appropriate style guide, such as the Publication Manual (American Psychological Association, 2020) for complete references to use at the end of the proposal or study. 7. After summarizing the literature, assemble the literature review, structuring it thematically or organizing it by important concepts. End the literature review with a summary of the major themes, and suggest how the study further adds to the literature and addresses a gap in the themes. This summary should also point toward the methods (i.e., data collection and data analysis) to be written after the literature review. In this summary, a researcher could also advance a critique of the past literature and point out deficiencies in it and issues in its methods (see Boote & Beile, 2005). SEARCHING THE LITERATURE The literature search requires knowing databases to search, prioritizing the types of literature available, assessing the quality of the literature before including it in a review, developing written notes or abstracts for each source, and organizing the literature through a visual map. Computer Databases To facilitate collecting relevant material, use computerized databases for accessing the literature. Computer databases of the literature are available through the internet, and they provide easy access to thousands of journals, conference papers, and materials on many different topics. Academic libraries at major universities house commercial and public domain databases. We will review only a few of the major databases available, but they represent major sources of information for literature reviews. ▪ ▪ ERIC is a free online digital library of education research and information sponsored by the Institute of Education Sciences (IES) of the U.S. Department of Education. ERIC provides a search of 1.4 million items indexed since 1966. It is found on the internet at http://eric.ed.gov. The collection includes journal articles, books, research syntheses, conference papers, technical reports, policy papers, and other education-related materials. To best use ERIC, identify appropriate descriptors for your topic, as in the terms used by indexers to categorize articles or documents. Researchers can search through the Thesaurus of ERIC Descriptors (Educational Resources Information Center, 1975) or browse the online thesaurus. Another free database to search is Google Scholar. It is located on the internet at scholar.google.com. It provides a way to broadly search for literature across many disciplines and sources, such as peer-reviewed papers, theses, books, abstracts, and articles from academic publishers, professional societies, universities, and other scholarly organizations. The articles identified in a Google Scholar search provide links to abstracts, related articles, ▪ ▪ ▪ ▪ ▪ ▪ electronic versions of articles affiliated with a library specified, web searches for information about this work, and opportunities to purchase the full text of the article. Researchers can obtain abstracts to publications in the health sciences through the freeaccess PubMed (www.ncbi.nlm.nih.gov). It is available at pubmed.gov on the internet. This database is a service of the U.S. National Library of Medicine, and it includes over 17 million citations from MEDLINE and life science journals for biomedical articles going back to the 1950s. PubMed includes links to full-text articles (located in academic libraries) and other related resources. A PubMed User Guide is available at pubmed.ncbi.nlm.nih.gov. This guide provides useful information about steps in searching by citation, author, journal, and date of publication. Also available is ProQuest (proquest.com), which enables a researcher to search many different databases, and it is one of the largest online content repositories in the world. It advertises that it holds the world’s largest collection of dissertations and theses. Another database is EBSCO (ebsco.com). It is a mega-database featuring many specialized databases. Because EBSCO taps into many different databases, it can be one search tool to use before using more specialized databases. It is also an online research service, including full-text databases, subject indexes, point-of-care medical references, historical digital archives, and e-books. The company provides access to more than 350 databases and nearly 300,000 e-books. Scopus is an institutional-subscription database for literature. It advertises as the largest abstract and citation database of peer-reviewed literature, scientific journals, books and conference proceedings. It is available from Elsevier Publications. Consider the Directory of Open Access Journals (DOAJ). This database is a specialized academic database in that all the articles indexed are open access and can be accessed free of charge. Open access means that the copyright holder of a scholarly work grants usage rights to others using an open license. This database contains more than 7 million articles and 17,500 journals. It was a service launched in 2003, and it covers all areas of science, technology, medicine, social sciences, arts and humanities. Other more specialized commercially licensed databases found in many academic libraries include Sociological Abstracts (Cambridge Scientific Abstracts), available under ProQuest in academic libraries, and PsycINFO (www.apa.org). In summary, our research tips for searching computer databases are to do the following: ▪ ▪ ▪ ▪ Use both the free, online literature databases and those available through your institutional academic library. Search several databases, even if you feel that your topic is not strictly education, as found in ERIC, or psychology, as found in PsycINFO. Both ERIC and PsycINFO view education and psychology as broad terms for many topics. Use guides to terms to locate your articles, such as a thesaurus, when available. A process for conducting a search is to locate recent journal articles and documents on a topic. Conduct a preliminary search using descriptors from the online thesaurus and locating a journal article or document on a topic. Then look closely at the descriptors used in this article and document, and run another search using these terms. This procedure will maximize the possibility of obtaining a good list of articles for your literature review. ▪ Use databases that provide access to full-text copies of your articles (through academic libraries, the internet connection to a library, or for a fee) as much as possible to reduce the amount of time searching for copies of your articles. Consider searching the free DOAJ. Types of Literature With so much literature available, we recommend a priority for reviewing the different types of literature to maximize the time spent in search. Also, there is a need to evaluate the quality of the information gathered and to apply a set of criteria for assessing whether the information should be included in the review. Priority of the Literature We use a priority for a search of the literature to save time. What types of literature might be reviewed, and in what priority? If you are examining a topic for the first time and unaware of the research, start with broad syntheses of the literature, such as overviews found in encyclopedias (e.g., Aikin, 1992; Keeves, 1988). You might also look for summaries of the literature on your topic presented in journal articles or abstract series (e.g., Annual Review of Psychology, 1950–). Next, turn to journal articles in respected scientific journals—especially those that report research studies. By research, we mean that the author or authors pose a question or hypothesis, collect data, and answer the question or hypothesis with the data. There are journals widely read in your field, and typically they are publications with a high-quality editorial board comprising leading scientists. Start with the most recent issues of the journals, look for studies about a topic, and then work backward in time. Follow up on references at the end of the articles for more sources to examine. Turn to books related to the topic. Begin with research monographs that summarize the scholarly literature. Then consider entire books on a single topic by an author or group of authors or books that contain chapters written by different authors. Follow this search by looking for recent conference papers. Look for major national conferences and the papers delivered at them. Often conference papers report the latest research developments. Most major conferences either require or request that authors submit their papers for inclusion in computerized indices. Contact authors of pertinent studies. Seek them out at conferences. Write or phone them, asking if they know studies related to an area of interest, and inquire if they have an instrument that might be used or modified for use in a study. The web also provides helpful materials for a literature review. The easy access and ability to capture entire articles enhances the attractiveness of the material. However, evaluate these articles carefully for quality, and be cautious about whether they represent rigorous, thoughtful, and systematic research suitable for use in a literature review. Overall Evaluation Quality Before including the literature in a research proposal or study, evaluate the quality of the material. Only high-quality literature should be included. How would a researcher judge the quality? For journals, find articles from nationally refereed publications. These are journals with an editorial review board. Journal issues list editorial board members typically in the first few pages of an issue. Online journals, in addition, often include articles that have undergone rigorous reviews by editorial boards. Check whether the journal has a refereed editorial board that reviews manuscripts and has published standards for accepting manuscripts in an editorial statement. For books, look at publishers with name recognition and length of service over many years. An online search can provide information about the publishing house. We generally recommend books (and journal articles) published in the last 10 years. Conference papers can provide useful, high-quality information if the paper is included as a paper in a recent conference. If reporting in literature review web studies, look for literature that has been reviewed for quality. Contacting the web source can provide this useful information. Further, advisers or mentors can recommend high-quality literature to include in a proposal or study. Abstracting the Literature When reviewing the literature, it is helpful to develop abstracts of the studies to later include in the review. An abstract is a brief review of the literature (typically a short paragraph) that summarizes major elements to enable a reader to understand the basic features of the article or book. Researchers need to consider what material to extract and summarize when developing an abstract. This is important information when reviewing perhaps dozens, if not hundreds, of studies. Components of an Abstract A model for developing an abstract exists in the abstracts for journal articles. A good summary of a research study reported in a journal for a data-based article might include the following points in an abstract: ▪ ▪ ▪ ▪ ▪ Mention the problem being addressed. State the central purpose or focus of the study. Briefly state information about the sample, population, or subjects. Review key results that relate to the proposed study. If it is a critique or methods review (Cooper, 2010), point out technical and methodological flaws in the study. In addition to examining abstracts, there are other places in a study to look for these parts. In well-crafted journal articles, the problem and purpose statements are clearly stated in the introduction. Information about the sample, population, or subjects is found midway...
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