Qualitative Research Methodology

Defining and conducting case-based research Analysing case study data

PhD Seminar Series

Klas Eric Soderquist, DBA, Brunel University

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Seminar Outline
A Case of Case Study Research Recalling the Process of Defining the Research Problem Defining the Unit of Analysis Research Strategy, Relation to Theory, Methodological Choice Data Collection
Interviews, Direct observation, Participant observation From research question to interview guide

Data analysis (case or other qualitative approaches)

Open coding Axial coding The paradigm model Validity and Reliability

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

My Case of Case Study Research

Inside the Tier Model: Product Development Organisation and Strategies in Automotive Expert Supplier Firms

Carmaker

First tier

Second tier

Third and fourth tier

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Definition of the Research Problem

REAL WORLD CONTEXT

Match / Mismatch Match / Mismatch

Match / Mismatch

PHILOSOPHICAL POSITION

OVERALL RESEARCH QUESTIONS

Match
RESEARCH OBJECTIVE

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

My Real World Context

Background The Lean Production Framework The Tier Model The Partnership Concept Transaction Cost Theory, Strategic Collaboration Theory, Operational Coordination Theory Research Problem Supplier Perspective Operational Perspective
PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Overall Research Questions

Overall Research Questions

They tell you what you want to focus on and what you want to know They set the rough boundaries of the research: you will study some issues in some context with some actors They are oriented towards action and process

The way they are (implicitly) formulated will determine research strategy later on
They set the vision for the research project and helps focusing activities

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

My Overall Research Questions

How does the emergence of new industrial principles take place in expert supplier firms? What is the place and role of expert suppliers in the automotive supply chain? What lean production techniques are used and how are they adopted for satisfying the needs of the organisation? How in practice takes integrated component development place? How are organisations and processes designed to support integration?
PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Research Objective
One can distinguish between mainly three objectives or purposes with a research project:

To explain the causality between different observations or the reasons behind a certain situation concerning the phenomenon

To explore a vague problem or a new area of research

To describe, i.e., observe and visualise the situation of certain phenomena
The research objective does not automatically define a quantitative or qualitative logic
PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Research Objective
The research questions implicitly determine the research objective, and together they indicate quantitative vs. qualitative research:

WHAT questions of descriptive nature in the sense how much or how many call for a quantitative approach
WHAT questions of explanatory or exploratory nature call for a qualitative approach HOW questions and WHY questions call for a qualitative approach
Qualitative research is needed when we want to come to terms with the meaning, not the right or wrong with the phenomena under investigation
PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

DEFINITION OF THE RESEARCH PROBLEM

Full Process Model of Methodological Choice

REAL WORLD CONTEXT Match / Mismatch Match / Mismatch

PHILOSOPHICAL POSITION

Match / Mismatch OVERALL RESEARCH QUESTIONS Match

RESEARCH OBJECTIVE

UNIT OF ANALYSIS

Match / Mismatch

Mismatch

Mismatch

Match

RESEARCH STRATEGY Match / Mismatch Match RELATION TO THEORY Deduction Induction Predefinition and test of Mismatch a theoretical model. THEORY EXTENSION Determination of theory from observations. THEORY DEVELOPMENT Match / Mismatch Match Mismatch Mismatch

Methodological choice Qualitative Deductive Logic Quantitative Deductive Logic Qualitative Inductive Logic Quantitative Inductive Logic

Data collection and data analysis methods, appropriate for the chosen methodology

Unit of Analysis What is the Case?

It is the Research Object or unit in the real world context that you will observe It can be:
An individual, A role A group A process An organisational entity An organisation

Or any other definable and observable unit

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Unit of Analysis Example

Units of analysis in change management research:
Change efforts (e.g., installing new technology, downsizing, a particular restructuring, effort to change corporate culture) Change events (e.g. a crises); The leaders of change (i.e., the individuals that drive through "corporate revolutions" with research focus on their personal traits, leadership styles and leadership levers); Sectors undergoing change (i.e., comparative studies of different business sectors in search of similarities and specificities basically in the content of change)

Employees facing change and acting in change processes.

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

My Unit of Analysis

Could be a component development project

Could be the supplier interface Could be the product development project I did chose the Product Development Process in each studied firm because studying the PDP would enable answering all the questions (at least in theory)

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

DEFINITION OF THE RESEARCH PROBLEM

Full Process Model of Methodological Choice

REAL WORLD CONTEXT Match / Mismatch Match / Mismatch

PHILOSOPHICAL POSITION

Match / Mismatch OVERALL RESEARCH QUESTIONS Match

RESEARCH OBJECTIVE

UNIT OF ANALYSIS

Match / Mismatch

Mismatch

Mismatch

Match

RESEARCH STRATEGY Match / Mismatch Match RELATION TO THEORY Deduction Induction Predefinition and test of Mismatch a theoretical model. THEORY EXTENSION Determination of theory from observations. THEORY DEVELOPMENT Match / Mismatch Match Mismatch Mismatch

Methodological choice Qualitative Deductive Logic Quantitative Deductive Logic Qualitative Inductive Logic Quantitative Inductive Logic

Data collection and data analysis methods, appropriate for the chosen methodology

Research Strategy
Five Basic Strategies:
Experiment Survey Archival Analysis History Case Study

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Case Study Research Strategy

Selecting the Case Study Organization: Criterion Sampling
Purposive rather than random samples Samples can evolve as research moves on Identify theory driven criteria in order to frame the research Inclusive or contradictory samples

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Case Study Research Strategy

My Criterion Sampling
Case Study Organisations should: Have a good record for internally generated innovation. Innovation has a high profile in the organization. Have established links with research laboratories. Have an explicit strategy for R&D and R&D driven organizational development

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

DEFINITION OF THE RESEARCH PROBLEM

Full Process Model of Methodological Choice

REAL WORLD CONTEXT Match / Mismatch Match / Mismatch

PHILOSOPHICAL POSITION

Match / Mismatch OVERALL RESEARCH QUESTIONS Match

RESEARCH OBJECTIVE

UNIT OF ANALYSIS

Match / Mismatch

Mismatch

Mismatch

Match

RESEARCH STRATEGY Match / Mismatch Match RELATION TO THEORY Deduction Induction Predefinition and test of Mismatch a theoretical model. THEORY EXTENSION Determination of theory from observations. THEORY DEVELOPMENT Match / Mismatch Match Mismatch Mismatch

Methodological choice Qualitative Deductive Logic Quantitative Deductive Logic Qualitative Inductive Logic Quantitative Inductive Logic

Data collection and data analysis methods, appropriate for the chosen methodology

Relation to Theory
INDUCTION Construction of theory
Theory

DEDUCTION Application of theory

Theoretical work Empirical work

Empirical Generalizations

Theoretical work
Test Hypotheses

Empirical work

Observations

INDUCTION

DEDUCTION

Theory Development
PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Theory Extension

Methodological Choice

Methodological choice Qualitative Deductive Logic Quantitative Deductive Logic Qualitative Inductive Logic Quantitative Inductive Logic Data collection and data

analysis methods, appropriate

for the chosen methodology

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Data Collection Methods

Case-Based Research

Participant Observation longitudinal presence

The researcher is part of the organisation on a contractual basis and has a contextual professional role and reporting responsibility

Direct Observation (longitudinal) presence

The researcher is present in the organisation as an external observer

Interviews occasional visits (can be longitudinal) Documentary Analysis - background info and event analysis

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Data Collection From Research Question to Interview Guide

The overall research questions starts broadly and are gradually narrowed by asking sub questions and sub-sub questions Research questions should be asked crude to managers and experts in an exploratory phase: Pilot interviews or pilot case

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Data Collection through Interviews

From Research Question to Interview Guide (I) The process of generating more detailed questions

Exploratory Data (Real World)

Researchers Sub, sub-sub Research Questions Mental Processing

Overall Research Questions

Personal Experience (Real World)

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

From Research Question to Interview Guide (II) My Interview Guide (minor extract). Semi-structured, open ended
How are organisations and processes designed to support integration?
What coordination activities exist in the product development process?
When and how is manufacturing staff involved in new development projects? What are the benefits of their involvement? What are the drawbacks? How is coordination with customers organised? How is coordination with suppliers organised?

Data Collection through Interviews

What communication structures exist in the product development process?

Who talks to who in the process? What channels are used? Frequency of communication between different players? How does communication support coordination?
PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Data Collection through Interviews

Basic Interview Techniques
Not too active, not too passive - The guide serves as a tool for navigating the interviews Use of the critical incident technique to start out the interviews or enter into new subjects.
It is efficient when managers have difficulties in articulating answers to specific questions and consists of asking the interviewee to describe specific events that have had a critical impact on the way a specific issue has been managed

Use re-launch questions:

- Could you tell me more about this? - Could you specify further? - What are you thinking about in particular?

It is important in such cases not to give any suggestions to interviewees

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Between Collection and Analysis

Interview (or observation) Transcripts For serious research, tape record interviews! Always keep supportive notes Proceed to immediate transcript

Transcript should reflect the interview at 100 percent

Ask for feed-back on transcripts Fill in uncertainties with a second (phone) interview

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Data Analysis / Coding

Basics If we talk about case research, we will have at least multiple interviews, possibly a mix of interviews and field notes Our analytical problem is that of analysing a mass of text Analysis / Coding represents the operations by which data are:
Broken down Conceptualized, Put back together in new ways

The objective is to build theory from data a Grounded Theory approach

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Data Analysis / Coding

Open Coding (I) Labelling events: Consists of placing conceptual labels on discrete happenings, events and instances in data
Data are broken down and conceptualized by taking apart an observation, a sentence, a paragraph and giving each separate incident, idea or event a name that represents a phenomenon. Incident after incident in the field notes are compared in order to give similar events the same name -conceptual label- and nuance and enrich each concept. The process involves asking questions to the data so as to identify properties and dimensions of the incidents

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Data Analysis / Coding

Open Coding (II) Categorising: Consists of grouping conceptual labels into categories
Concepts that seem to pertain to the same phenomena are then regrouped categorized- and given a name that should be more abstract than that given during labeling. Categories have conceptual power because they are able to pull together around them groups of concepts. Practically, categorising consists of going through all concepts and asking questions such as 'What is this concept about?' or 'Is this concept similar or different from the one before or after?' In this way, categories are discovered when concepts are compared against one another, and concepts become characteristic components of a category - so called subcategories. If a concept seems not to pertain to an already identified category, it is left aside and might become the entry to a new category as data analysis goes on.

Categorising can be bottom-up or top-down

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Data Analysis / Coding

Axial Coding Condensation of data, i.e., regrouping and linking categories to each other
Open coding fractures the data and allows the researcher to identify some categories, their properties and dimensions. Axial coding puts these data back together in new ways by making connections between categories.

The objective is to identify the core category (basically derived from the unit of analysis) and to logically relate other main categories to the core The Paradigm Model structures the axial coding process

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

The Paradigm Model

CAUSAL CONDITIONS

PHENOMENON
CONTEXT

INTERVENING CONDITIONS

CONSEQUENCES

1. Identify the phenomenon to be studied (activity, business process...).

2. Identify the conditions of directive nature, influencing the phenomenon (driving forces, objectives...). 3. Specify the context in which the phenomenon takes place (organization, information....).
4. Identify the conditions of shaping nature that intervene in carrying out and managing the i phenomenon (reactions from stakeholders, cognitive processes, continuous improvement...). 5. Identify the outcomes related to the phenomenon - predictable/intended or not (competences, ressources, knowledge, know-how...).
PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Data Analysis / Coding

An Iterative Process
1993
Initial literature review, development of research proposal and topic guide

1994

My Research Process

Pilot interviews, testing of topic relevance Suppliers 1, 2, 3 and 4

Final version of the topic guide

1995
Formal interviews with general managers Suppliers 3 and 4 Formal interviews with product development managers Suppliers 3 and 4

Data analysis: open coding

First case study Supplier 3

Data analysis: open coding, data reduction and development of case study topic guide

1996
Data analysis: open coding, data reduction and comparishon of concepts with case study one Second series of formal interviews (product development managers) Suppliers 5, 6, 7 and 8

Second case study Supplier 4

Data analysis:Axial coding, comparison of findings with relevant literature

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Data Analysis / Coding

My Open Coding
Sentence extracted from interview: We need performance measurements that enhance the value of inter-functional problem solving
Category: Problem Solving Sub categories: Objectives, Efficiency, Support Structures Properties of Efficiency: Nature of Topic, Nature of Participation Dimensions of Nature of Topic: Problems, Problems & Causes, Problems, Causes & possible le actions Dimensions of Nature of Participation: Participant Driven Management Driven
PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Data Analysis / Coding

My Axial Coding (I)
Core Category: Operational Design
The analysis of the category Problem Solving led to the identification of four distinctive levels of operational design
Systemic work

Project work

Group work Individual work Intrafunctional between design technicians and engineers Interfunctional within the supplier company Involving customers, interface suppliers and lower-tier suppliers

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Data Analysis / Coding

My Axial Coding (II)
Causal Conditions: Means of Guidance Intra-company, inter-functional learning
Guiding Visions, Performance Measurements

Context: Design Support Structures

Process Engineering

Purchasing Sales Specifications, Information transmission support technology, technology scanning, knowledge repositories

Intervening Conditions
Learning dynamics, learning model

Intra-company, intra-functional learning

Design function in customer firms

Design function in interfacing sup. firms

Inter-company, intra-functional learning

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Data Analysis / Coding

My Axial Coding (II)
Causal Conditions: Means of Guidance
S Context: Design Support Structures H
CORE CAPABILITIES

Guiding Visions, Performance Measurements

Adequation with customer needs Differentiation from competitors

A Specifications, Information transmission support technology, R technology scanning, knowledge repositories E D V A L U E S

Intervening Conditions
Learning dynamics, learning model

Management Systems

Strategic Objectives

Technological Development Collective Learning

Consequences
Model of the process of building core capabilities

Means of Guidance

Skills

Basic Resources

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Data Analysis / Coding

Selective Coding and Story The narrative about the core category must identify and define the basic content of the other categories Narrative about each category, crossing the results of axial coding with research questions Theoretical sampling: Strengthen weak relationships between categories inductively and integrate literature relevant for the results emerging Specify action / interaction strategies for how the holistic model or theory operates

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Example: The answer to one of the research questions emerges from the
narratives about the core category, the context category and the intervening conditions category

How are organisations and processes designed to support integration?

SUPPLIER CARMAKER

Component design

Product planning

Product engineering

Process engineering

Running Production / Minor modifications Design technician C1 Design

Problem solving 1*
Design technician S1

Project 1

Problem solving 2*
Design technician S2

Project 2

technician C2

Problem solving 3*

Project 3

Design technician C3

Design technician S3 Transfer of learning through formal and informal group work, organizational routines and support structures

Problem solving 4*

Project 4

Design technician C4 Transfer of learning through formal and informal group work, organizational routines and support structures

* Transfer through supplier - customer problem solving cycles

Shared knowledge base

Transfer of experience

Reliability and Validity (I)

Reliability consists of demonstrating that the operations of a study -such as the data collection procedures- can be repeated, with the same results It is a question of documenting the research procedure Reliability is ensured by keeping data in different forms:
- Directly

taken field notes - from interviews and observations, - Expanded typed notes made as soon as possible after the field work (this includes comments on problems and ideas that arise during each stage of the fieldwork and that will guide further research), - A running record of analysis and interpretation (open coding and axial coding).

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Reliability and Validity (II)

Construct validity means establishing correct operational measures for the concepts being studied. It is ensured through:
- The use of multiple sources of evidence, - The establishment of a chain of evidence, - Letting key informants review draft result reports

External validity means establishing the domain to which a study's findings can be generalized. It is ensured through the use of a replication logic Analytical Generalisation
- Relate case findings to existing or emerging bodies of literature, part of which will have been analysed in the literature section of the thesis

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist

Sources
Easterby-Smith, M., Thorpe, R., Lowe, A., (1991), Management Research, An Introduction, London: Sage Publications. Dey, I. (1993), Qualitative Data Analysis. A User-Friendly Guide for Social Scientists, London: Routledge. Miles, M. B. & Huberman, A. M., (1994), Qualitative Data Analyses, An Expanded Sourcebook, Thousand Oaks, CA: Sage Publications. Pras, B. & Tarondeau, J-C., (1979), "Typologie de la recherche en gestion" (Typology of Management Research, in French), Enseignement et Gestion, Nouveau Serie no. 9, p. 5-11 Silverman, D., (1993), Interpreting Qualitative Data, Methods for Analysing Talk, Text and Interaction, London: Sage Publications. Strauss, A., & Corbin, J., (1990), Basics of Qualitative Research, Grounded Theory Procedures and Techniques, Newbury Park CA: Sage Publications Van Maanen, J., Dabbs, J.M., Faulkner, R.R. (1982), Varieties of Qualitative Research. Beverley Hills, CA: Sage Publications Van Maanen, J., (1983), Qualitative Methodology, Beverley Hills, CA: Sage Publications. Yin, R., K., (2003), Case Study Research, Design and Methods, 3rd edition, Newbury Park, CA: Sage Publications.

PhD Seminar Series. Qualitative Research Methodology K.E. Soderquist