Elizabeth Garnsey Doctoral research: Navigating the Possibilities

1. Elizabeth Garnsey Doctoral research: Navigating the Possibilities Centre for Technology Management Department of Engineering

2. Aims of Talk • To clarify differences between • The PhD in principle • The experience of doing research in practice • Types of approach • Creative thinking and breakthrough Centre for Technology Management Department of Engineering

3. The Doctoral Dissertation – an example of structure Abstract 1. Introduction 2. Literature Review 3. Research Methods 4. Data Presentation 5. Data Analysis 6. Discussion and Conclusions Centre for Technology Management Department of Engineering

4. Introduction Sets out questions, problems, to be addressed Explains why these are significant Summarises content/ structure Defines key terms/concepts Write final version of introduction last of all Centre for Technology Management Department of Engineering

5. Literature review • Summarises prior knowledge • Identifies relevant schools of thought • Locates gaps • Helps identify issues to address in the research • Describes and categorises past research Centre for Technology Management Department of Engineering

6. Research Methodology Explains the methodology used Demonstrates appropriateness and rigour of the evidence and analysis Demonstrates research skills Centre for Technology Management Department of Engineering

7. Data presentation and analysis • Summarises findings • Analyses findings in the light of appropriate theory Centre for Technology Management Department of Engineering

8. Conclusion Summarises and integrates findings Reaches conclusions Applies findings to practice Makes recommendations Acknowledges limitations and further work Centre for Technology Management Department of Engineering

9. References Complete list of all citations Appendices Present relevant datasets Relevant but more marginal issues Describe details of calculations, methods Those citations Centre for Technology Management Department of Engineering

10. Examination and DefenceWelcome Dr. X! Centre for Technology Management Department of Engineering

11. Questionnaire I have a well designed research projectResearch tasks required are clear & manageableI am confident that I will complete on time Agree Disagree b a c d e f Centre for Technology Management Department of Engineering

12. Centre for Technology Management Department of Engineering

13. Genius and the rest of us Not knowing what we don’t know Centre for Technology Management Department of Engineering

14. Research Questions Conceptual Approach Research Methods Observations ORIENTATION Centre for Technology Management Department of Engineering

15. Research Questions Set Your Direction Framing the research questions - your topic • Old topic or new? • Mainstream or “marginal”? • Viable? • Marketable? Centre for Technology Management Department of Engineering

16. Problems Identified by Research Questions • Why interesting? • Problem, puzzle, paradox? • Who else has addressed them? • How? Centre for Technology Management Department of Engineering

17. Who has dealt with these issues? Visited similar terrain? Centre for Technology Management Department of Engineering

18. Maze of Literature: Review is not a catalogue of abstracts Centre for Technology Management Department of Engineering

19. Prior work Avoid random walk through the literature. Summarise relevant schools of thought. Justify your selection among these. Refer to leading examples of literature from relevant schools of thought. Cite examples of key articles, books; Explain briefly why you selected these. Centre for Technology Management Department of Engineering

20. Lit review provides empirical and conceptual grounding Your research questions can be informed by propositions put forward in the literature Propositions - two views: generalizations based on research findings - or logical inference from conceptual model. Propositions drawn from the literature sum up state of knowledge. Build on these, but question them. Centre for Technology Management Department of Engineering

21. Research Methodology Chapter explains and justifies the methodology used. Manage readers’ expectations Centre for Technology Management Department of Engineering

22. Mountains of what you don’t know US Secretary of Defense Donald Rumsfeld 12 Feb 2002 Department of Defense News Briefing: ‘As we know, there are known knowns: there are things we know we know. We also know there are known unknowns. That is to say, we know there are some things we do not know. But there are also unknown unknowns, the ones we don’t know we don’t know.’ Ignorance is no defense Centre for Technology Management Department of Engineering

23. Data presentation “Describes and summarises the evidence researched.” Data presentation and data analysis are closely connected. The way we view and collect data is shaped by our assumptions and concepts. Centre for Technology Management Department of Engineering

24. Data Analysis Examines the data in the light of theory Conceptual scheme or explanatory framework Makes sense of your observations. Evidence and explanation, back and forth. . Centre for Technology Management Department of Engineering

25. Data presentation and analysis not fully separable Theories of knowledge are viewing lenses Two main kinds Knowledge: information whose validity has been established by tests of proof. Knowledge as information rendered meaningful by understanding Centre for Technology Management Department of Engineering

26. Data analysis Scientific Method External and objective world Independent observer Value-free science Focus on facts Reduce to simple elements Hypothesise and test Operationalise concepts Measure variables Large samples if possible Centre for Technology Management Department of Engineering

27. Interpretive perspective Human reality is filtered by cognition. Subjectivity and interests are inevitable. The observer is a participant. Aim to understand meanings: make sense of experiences Use multiple methods Smaller samples, investigate over time Centre for Technology Management Department of Engineering

28. There is overlap between scientific and interpretive approaches in building and testing theory Many scientists now accept: Intrusion of the observer Path dependence (history matters) Limits to prediction Understanding as a goal of science Centre for Technology Management Department of Engineering

29. Interpretive methods • Logic of inquiry - not dissimilar from scientific method. • Compare expected & observed situations; revise expectations • Compare change in state of research subject between observations • Identify differences. Infer influences. • Construct propositions about evidence and inferences • Apply these to other cases for support or challenge. • There are positivist approaches to qualitative evidence Eisenhardt K. 1989, ‘Building Theories from Case Study Research’, Academy Management Review, 14 (4), 532-550 Centre for Technology Management Department of Engineering

30. Positivist approach: Strength: precision, prediction Weakness: may be mechanistic, formulaic, narrow… Interpretive approach: Strength: gain insight, understanding Weakness: how to define and delimit the inquiry? How to operationalize and replicate? How to compare and generalize? Positivist vs Interpretive approaches Centre for Technology Management Department of Engineering

31. Work with database or survey to establish parameters of the issue at an aggregate level (e.g. size and other attribute distributions or growth rates) Establish quantitative associations. Drill down to more detailed level and conduct qualitative inquiry into causes Combining qualitative & quantitative methods Centre for Technology Management Department of Engineering

32. When progress is slow this may be in the nature of the terrain • Mountains of Ignorance to View Point • Marsh to Jungle and Back • Futile Findings to Scrap and Recycle • Terrain is re-trodden before Pass comes in view • Impasse and creative breakthrough Centre for Technology Management Department of Engineering

33. Carefully planned research programme may have to change Task 1st Year 2nd Year 3rd Year • Summary • Phase 1 • Literature Review • Practice Review • Research question formulation • Case Studies (Exploratory) • Preliminary framework • Phase 2 • Case Studies (Building content) • Framework refinement • Phase 3 • Literature review • Case Studies (Validate Framework) • Finalise framework • Phase 4 • Literature Review • Thesis writing Preliminary Framework Framework/ Theory Building Framework/ Theory Assessment Thesis writing Centre for Technology Management Department of Engineering

34. Creative Thinking(Koestler 1964) • We rely on ways of thinking (rules, habits, associative contexts, matrices of thought) that have proved useful. • Formal schools of thought develop along these lines. • Like physical reflexes & skills, mind sets develop & are applied unconsciously. • Mental and physical reflexes are efficient. • But they limit flexibility. • Creativity overcomes inertia and the habitual A. Koestler “The Act of Creation Hutchinson, London 1964 Centre for Technology Management Department of Engineering

35. Breakthrough in thinking • Pasteur discovers inoculation Micro-organism research (yeasts, parasites, bacilli) Vaccination for smallpox (Jenner’s folk cure) • Darwin: detects operation of natural selection Artificial selection by breeders Malthus on overpopulation • Combining two matrices of thought Centre for Technology Management Department of Engineering

36. Collision of thought paths in two different matrices: breakthrough planes of thought Graphic adapted from Koestler, 1964 Centre for Technology Management Department of Engineering

37. Humour as intellectual creativity Do two streams of thought collide in a joke? Incongruities, anomalies - source of problems in science. Centre for Technology Management Department of Engineering

38. Example of shift in explanatory variables and literature base Diffusion of innovation: photovoltaic technology Demand side explanations were dominant: in development lit: adoption of innovations, cultural response, price Damian Miller PhD: study in Indian and Indonesian villages Key differences in diffusion of photovoltaics: entrepreneurs’ role. Called for change of focus and policy recommendations Centre for Technology Management Department of Engineering

39. Shift in research questions and field Japanese versus British Cultures of Innovation? Study before and after acquisition of UK high tech firms for impact of Japanese culture Findings were unexpected. Required shift of Research Questions and in field from organizational behaviour to strategy Centre for Technology Management Department of Engineering

40. Example of rethinking the research questions From literature What are the attributes of new ventures that succeed? What are the factors creating obstacles to their growth? But 70 -80% of variance between growth performance left unexplained. New RQs: How do entrepreneurs turn obstacles to advantage? Why is early success often followed by crises? What makes entrepreneurs innovative? Centre for Technology Management Department of Engineering

41. Inexperience no bar to breakthrough “The student’s matrices of thought are still fluid … Inexperience can be an asset: it entices the novice into asking questions which nobody has asked before, into seeing a problem where nobody saw one before.” Koestler, The Act of Creation, p. 604 Centre for Technology Management Department of Engineering

42. Research as a Community Activity Share your ideas Join an intellectual community Create a support group Enjoy your journey! Centre for Technology Management Department of Engineering

43. If time - more material- what are propositions? Centre for Technology Management Department of Engineering

44. Propositions can be (1) deduced from theory or (2) inferred from evidence Gioia and Pitre, 1990 - identified by Caren Weinberg (1) ”Individuals seek actively to regulate their own behaviour.” (derived from agency theory) (2) “Employing a cross-functional implementation team is a key factor for success. “ (Derived from an inquiry - to be further tested) Centre for Technology Management Department of Engineering