PhD Seminar Series Qualitative Research Methodology

1. PhD Seminar SeriesQualitative Research Methodology Defining and conducting case-based research Analysing case study data Klas Eric Soderquist, DBA, Brunel University ΟΙΚΟΝΟΜΙΚΟ ΠΑΝΕΠΙΣΤΗΜΙΟ ΑΘΗΝΩΝΤΜΗΜΑ ΔΙΟΙΚΗΤΙΚΗΣ ΕΠΙΣΤΗΜΗΣ & ΤΕΧΝΟΛΟΓΙΑΣ

2. 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 MethodologyK.E. Soderquist

3. My Case of Case Study Research Inside the Tier Model: Product Development Organisation and Strategies in Automotive Expert Supplier Firms PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist

4. Definition of the Research Problem PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist

5. Overall Research Questions 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 MethodologyK.E. Soderquist

6. 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 MethodologyK.E. Soderquist

7. MyOverall 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 MethodologyK.E. Soderquist

8. 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 MethodologyK.E. Soderquist

9. 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 MethodologyK.E. Soderquist

10. “Full“ Process Model of Methodological Choice

11. 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 MethodologyK.E. Soderquist

12. 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 MethodologyK.E. Soderquist

13. 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 MethodologyK.E. Soderquist

14. “Full“ Process Model of Methodological Choice

15. Research Strategy Five Basic Strategies: • Experiment • Survey • Archival Analysis • History • Case Study PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist

16. 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 MethodologyK.E. Soderquist

17. 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 MethodologyK.E. Soderquist

18. “Full“ Process Model of Methodological Choice

19. Theory Extension Relation to Theory Theory Development PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist

20. Data collection and data analysis methods, appropriate for the chosen methodology Methodological Choice Methodological choice Qualitative Qualitative Deductive Logic Inductive Logic Quantitative Quantitative Deductive Logic Inductive Logic PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist

21. 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 MethodologyK.E. Soderquist

22. 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 MethodologyK.E. Soderquist

23. Exploratory Data (Real World) Researcher‘s Sub, sub-sub… Research Questions Overall Research Questions Mental Processing Personal Experience (Real World) Data Collection through Interviews From Research Question to Interview Guide (I) The process of generating more detailed questions PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist

24. Data Collectionthrough Interviews 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? • 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 MethodologyK.E. Soderquist

25. 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 MethodologyK.E. Soderquist

26. 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 MethodologyK.E. Soderquist

27. 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 MethodologyK.E. Soderquist

28. 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 MethodologyK.E. Soderquist

29. 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 MethodologyK.E. Soderquist

30. 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 MethodologyK.E. Soderquist

31. PHENOMENON INTERVENING CONDITIONS CAUSAL CONDITIONS CONTEXT 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...). The Paradigm Model PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist

32. Data Analysis / Coding An Iterative Process My Research Process PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist

33. 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 MethodologyK.E. Soderquist

34. 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 PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist

35. Data Analysis / Coding My Axial Coding (II) Causal Conditions: Means of Guidance • Guiding Visions, Performance Measurements Context: Design Support Structures • Specifications, Information transmission support technology, technology scanning, knowledge repositories Intervening Conditions • Learning dynamics, learning model PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist

36. Data Analysis / Coding My Axial Coding (II) Causal Conditions: Means of Guidance • Guiding Visions, Performance Measurements Context: Design Support Structures • Specifications, Information transmission support technology, technology scanning, knowledge repositories Intervening Conditions • Learning dynamics, learning model Consequences • Model of the process of building core capabilities PhD Seminar Series. Qualitative Research MethodologyK.E. Soderquist

37. 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 MethodologyK.E. Soderquist

38. 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?

39. 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 MethodologyK.E. Soderquist

40. 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 MethodologyK.E. Soderquist

41. 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 MethodologyK.E. Soderquist