Introduction to Research: Understanding And Applying

Multiple Strategies

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To my husband Stephen, who lovingly challenges and thinks
with me, and to my family
ED

To my husband Eduardo; my children Keith and Eric; my mom,

dad, and brother, all of whom inspire
LNG

And to all of our students, from whom we have learned and

continue to learn
ED and LNG
Foreword to Third Edition

This edition of DePoy and Gitlin provides health and help the researcher get started, as well as a list of
human service students and professionals with sig- references for more in-depth examination. Thus the
nificantly expanded material for understanding the reader gains greater insight into the role of research
philosophical foundations of research, the value of in improving practice and an increased appreciation
systematic inquiry, and the concrete steps for moving of the science and artistry of research.
through the process of generating and sharing Whereas most texts emphasize one research tradi-
knowledge. What continues to distinguish this text tion over another, the philosophical underpinnings of
from other research methodological volumes is that experimental and naturalistic inquiry are both pre-
readers are exposed to what the authors identify sented, with the emphasis on the value and impor-
as the 10 essentials of research, which involve the tance of each approach. Readers learn about how
fundamental thinking and action processes required research questions are framed in each approach and
for the conduct of either naturalistic or quantitative the unique designs and methods appropriate to each
approaches to research. The authors walk readers research tradition. The take-home message is that
through each of the processes involved in framing a both approaches have legitimacy and their own
research problem, developing a knowledge base, standards of excellence. Rigor is expected whether
understanding the role of theory, formulating research the approach is experimental or naturalistic, and
questions, and sequencing research. Readers will studies that include both approaches often provide
also learn action steps involved in determining the unique insights that go beyond what can be learned
scope or “boundaries” of a study, data collection and from a single approach. This perspective represents
measurement, data analysis, and report writing. an important aspect of this text that contributes as
Despite its importance to practice, research well to the broader debate and discussions about the
method courses are often a required upper-division role and value of different research traditions and
or graduate-level course that students in health and design strategies.
human service dread—thinking they will need to This edition contains several new sections and
memorize facts and figures that have little relevance chapters that address topics on the cutting edge of
to their career goals and daily practices. DePoy and the research venture: information on ethics and evi-
Gitlin offer an antidote to such fears, making research dence-based clinical practices, as well as informed
come alive by the generous use of examples through- consent documentation. Ethical considerations are
out the text, chapters specific to using research paramount these days, and each researcher should be
in practice, and a final chapter on “stories from the fully aware of requirements for human subject pro-
field.” Such examples and stories bring life to the tections and new federal privacy rules that have
essential thinking and action processes of research, implications for the type of data that can be col-
enable practitioners to envision the value of research, lected. This new edition also includes a chapter on
and zero in on challenges that they may face in their seeking financial support for research ideas and prac-
own research endeavors. Of major significance is tical hints for getting started on writing a research
that the reader will gain a real appreciation of the proposal. This is particularly important as health pro-
research enterprise, be able to read and critique lit- fessionals are increasingly expected to seek resources
erature, and be guided in the conduct of different for their programs and related evaluations.
research approaches to answer practical and clini- Especially notable is the chapter on practice effi-
cally relevant research questions. Of added value, cacy. The processes of reviewing and rating existing
this introductory text provides checklists that will literature and developing consensus around practice

iv
 FOREWORD TO THIRD EDITION v

guidelines and best practices are delineated. With on clinical practice informed by individual experi-
tight resources for health and human services, there ence independent of a larger theory- and research-
are increasing demands for accountability to demon- driven knowledge base. This gap limits the ability
strate the worth of different programs and practices. of research to translate into meaningful programs
This chapter provides important information for and practices that can make a real difference in peo-
understanding the pros and cons of the evidence- ple’s lives.
based movement that is gaining popularity among This book provides a critical bridge between
researchers and funding agencies. Although this research and practice by having practitioners under-
approach has strong endorsement in the experimen- stand that their clinical intuition can inform research
tal research field, there are cautions in assuming thinking and action processes and by having research-
that randomized clinical trials are the gold standard ers learn to appreciate the contexts in which system-
for research. Although such studies are important atic thinking and action processes are implemented.
for maximizing internal validity, they can be criti- It reflects a significant paradigm shift in thinking
cized for limited generalizability, are difficult to about and acting on the essential research elements.
implement in community-based settings, and do not Its presentation also represents a fundamental shift
address the full range of questions relevant to clinical in the teaching paradigm from a “talking at” approach
practice. DePoy and Gitlin’s Evaluation Practice to engaging text that emphasizes a “listening to”
conceptualization makes a substantial contribution philosophy.
to the literature, providing an easy-to-follow model A major joy of this text is the stories woven by
that incorporates both thinking and action processes, two esteemed researchers who draw on a lifetime of
including clarification of the problem, reflexive practical experiences that have improved the concep-
intervention, and outcome assessment. These con- tualization, implementation, and evaluation of differ-
cepts are critical to understanding the long-term ent research traditions. The passion of DePoy and
sustainability of a program or service and offer an Gitlin for their research and practice comes through
innovative approach to integrating research into every page of the book and serves to make this book
practice and bridging the research-practice gap. a truly enjoyable reading and learning experience.
As in many disciplines, the health and human
services field is characterized by a research-to- Marcia G. Ory, PhD, MPH
practice gap. Researchers are generally focused on Professor, Social and Behavioral Health
research theories and designs, data collection, and Director, Active for Life National Program Office
statistics, which are typically uninformed by prac- School of Rural Public Health
tice. On the other hand, practitioners typically rely The Texas A & M University System
Preface

Our main purpose in writing this fifth edition is to systematically derived knowledge to drive care deci-
continue to share with the student, health and human sions and program development.
service professional, and beginning researcher our These new directions in health and human
great enthusiasm and passion for conducting research services require the most current and innovative ap-
in health and human service using multiple research proaches to research. The traditional research para-
strategies. Research is an important way of helping digm taught to students of the social sciences and
to make a difference in the provision of health and health professions, referred to as quantitative, em-
human service and the quality of life and well-being piricist, positivist, or rationalist, represents only one
of individuals. We have made some substantive approach to scientific inquiry. Historically, the quan-
changes to this edition that we hope will demystify titative or experimental-type approach to research
the research process and provide a foundation from has been upheld as the most scientific, valid, and
which to critique, understand, and apply multiple precise methodology. Unfortunately, this belief
research strategies to health and human service lingers in the health and human service worlds, is
concerns. In this fifth edition, we have refined and favored in practice models such as evidence-based
expanded our framework from which to examine and practice, and significantly limits the efficacious use
integrate different research traditions in diverse of other research strategies. This, in turn, continues
physical, virtual, and conceptual contexts. In so to restrict knowledge building and use of research
doing, our goal remains to challenge traditional knowledge in practice settings. In light of these limi-
teaching approaches to research processes, to further tations and the expanded contexts in which research
narrow the gap between quantitative and qualitative is being conducted, such as the Internet, other re-
paradigms, and to create a meaningful and useful search traditions—such as discovery-oriented, inter-
bridge between research and practice. pretive, qualitative, naturalistic, participatory, visual
Why do health and human service professionals cultural, and mixed methodologies—are rapidly
need yet another research text and this new edition? gaining importance and recognition as forms of in-
As we stated in the previous editions of this book, quiry with their own rules and systematic approaches
health and human service professions continue to to understanding human behavior in context.
stand at the crossroads of significant megatrends in The viewpoint we present in this fifth edition
the delivery and financing of services to clients and reflects an increasingly accepted school of thought
families, as well as local, global, and virtual com- that recognizes and values multiple research strate-
munities. These trends continue to change at a rapid gies. This contemporary perspective proposes that
pace and include the movement from an acute, naturalistic, experimental-type, and mixed method
medical framework to diverse on-site and virtual research strategies have equal value and contribute
models of care; a focus on health promotion, disease in complementary and distinct ways to the science
self-management, and disease prevention; the devel- of practice. Knowledge of all of these research tradi-
opment of new paradigms for examining the inter- tions presents new opportunities for addressing the
play of behavioral, environmental, economic, complex health and human service research ques-
political, spiritual, and biological interactions and tions that are emerging as a consequence of today’s
their impact on health; an increased emphasis on the diverse health care environments. Students, profes-
design and testing of innovative services for under- sionals, and researchers need a research text that
recognized, underserved, and diverse populations; prepares them for using the full range of research
and recognition of the importance of using traditions to meet the scientific challenges posed by

vi
 PREFACE vii

changing service systems. For example, to develop approaches. It offers the researcher and student a
effective health promotion programs for global framework for understanding the research enterprise
communities composed of individuals from diverse overall—one that embraces each of the research tra-
backgrounds requires an understanding of the spe- ditions and methodologies. The reader learns how
cific health beliefs and self-care practices of different to critically evaluate, respect, and implement each
groups. Traditional survey techniques have not research strategy from its own philosophical per-
always been successful in identifying different self- spective, thinking process, language, standards of
care practices, and existing standardized health rigor, and specific actions that engage the researcher.
belief questionnaires do not necessarily represent Writing the fifth edition of Introduction to
the varied values of diverse groups across the Research: Understanding and Applying Multiple
globe. Different methodologies and approaches that Strategies has given us an important opportunity to
uncover and accurately represent personal beliefs reflect on and advance our ongoing conceptualiza-
and practices are required for knowledge building in tion of the three research traditions and their use in
this area. expanded health and social service contexts. In this
Since our previous editions were published, many edition we have refined our thinking and present the
articles and books have discussed and evaluated new 10 essential thinking and action processes of research
methodologies, particularly those from the tradition that appeared in previous editions across all three
of naturalistic inquiry and, more recently, mixed traditions. We show how these highly integrated
methods. However, our approach in this edition con- processes are thought about and solved differently,
tinues to differ significantly from other research depending on the particular research tradition being
texts, including these more recent editions to the pursued. We have seen from our previous editions
literature. Most texts for health and human service that a process approach improves our ability to
professionals still identify quantitative research as describe and capture the essence of a range of
the most valid approach to scientific inquiry. Some research strategies and is easily grasped by readers.
of these research texts include a discussion of other Readers of our previous editions will experience
research traditions but most often in comparison to the fifth edition as an improvement in several ways.
the gold standard of the experiment. Still other texts Not only have we updated our major discussion of
explain naturalistic and mixed methods inquiry by the research traditions and their philosophical foun-
using the framework or lens of the experimental dations, but we have also added new material on
researcher. In doing so, the authors assume that the ethics and on global to local contexts in which
three genres differ only with respect to specific pro- research is initiated, conducted, and disseminated, as
cedures. They do not present an approach to under- well as discussion about the nature of evidence, its
standing each tradition from within its own lens, nor integration within practice settings, and how practice
do they discuss the philosophical roots of each tradi- settings can generate evidence systematically. We
tion and the essential thinking processes that under- have updated all examples and expanded our discus-
lie the activity of each. Thus, the research student sion to include new methodologies such as visual
cannot come to fully understand and accurately culture object analysis. Nevertheless, our underly­
implement different design strategies from all three ing assumptions about the purpose and conduct of
traditions. The student does not obtain a critical research and much of our discussions remain intact.
understanding of the vast array of research possibili- We believe all readers will benefit from the clarity
ties, or learn strategies by which to purposively that a process approach brings to understanding the
select a particular research approach. fundamentals of conducting research in each of the
In contrast, this text provides a comprehensive research traditions.
understanding of how researchers think and act Readers will also have access to a wealth of
within and across the research traditions and in resources on our Evolve site. Our Evolve student
diverse contexts. It provides a basic introduction to learning resources offer the following features:
the essential components of a wide range of research crossword puzzles, sample forms, reference lists
viii PREFACE

linked to PubMed, and math tips to accompany In this text, we do not intend to solve the contro-
Chapter 20. The Evolve instructor teaching resources versy over which tradition (qualitative, quantitative,
offer multiple-choice test bank questions with an- mixed method) or design approach is best, nor do we
swers, teaching tips, and PowerPoint lecture slides. think that is the debate to be undertaken. Rather, we
The fifth edition reflects an organization similar urge health and human service professionals to tran-
to that in previous editions. The book is organized scend this age-old disagreement and go beyond
into five major sections. The first four sections move attempts of the health care and scientific communi-
the reader from an understanding of the meaning, ties to polarize research practices. We propose that
elements, and importance of research (Part I) to an knowing the strengths and weaknesses of the full
examination of the specific thinking processes (Part range of approaches to thinking and conducting
II), design approaches (Part III), and action proc- research provides the basis from which to select,
esses (Part IV) of distinct research traditions. Each combine, and use multiple strategies to answer
chapter in Parts I to IV focuses on one of the 10 research questions.
essentials of the research process, all of which are Who should use this text? This fifth edition, like
discussed using the language of experimental-type, our previous editions, can be used by undergraduate
naturalistic, and mixed method researchers. Part V is and advanced students in the health and human
devoted to using research to improve professional service professions. It can also be used by practition-
practices and outcomes. Throughout the text, many ers and beginning researchers who want to broaden
actual and suggested research examples are provided their understanding of research traditions to which
from diverse bodies of literature and our own they have not been previously exposed. Health
research experiences that are relevant to all health and human service professionals will continue to
and human service providers. As in previous edi- experience increasing pressure to initiate research,
tions, we end with field stories—real-life snapshots participate as members of research teams, and use
of what it is like to participate in different types of research findings to assess and justify their practice
research processes based on our own experiences. and service programs. This text provides a solid
These brief narrative accounts reveal the hidden side and current foundation from which to pursue these
of the research process, how a study unfolds, what it activities. We hope you enjoy and become hooked as
is like to be an investigator, and what really happens we have on the thinking and action processes of
after entering the research context. Research, after research.
all, is a human endeavor. Too few researchers dare
to discuss the personal ups and downs and common Elizabeth DePoy
blunders that inform knowledge construction. Laura N. Gitlin
 PART I Introduction

W elcome to the world of research!

Conducting research is one of the most challenging, creative, and intellectually satisfying
professional activities. Research is an important professional responsibility that develops and advances
knowledge from which to base practice. This knowledge is essential if we, as health and human
service professionals, are to provide informed quality services that enhance the health, lives, and
outcomes of our clients, their families, and their communities.
Part I begins with our definition of research. We identify and discuss the 10 elements of the
research process that are essential to the traditions of all research designs.
At this point you may be thinking, “What is research?” “Why is it necessary?” “How does research
differ from other ways of learning about things?” “How does one engage in research?” and “What is
the process?”
These important questions are examined in the chapters of Part I.

1
 Chapter 1
Research as an
Important Way
of Knowing

KEY TERMS A research article describes a progressive approach

Abductive reasoning Inductive reasoning to promoting physical fitness for adults with
Action processes Logical intel­lectual impairments. You wonder whether you
Confirmable Naturalistic inquiry should implement these planning procedures in your
Deductive reasoning Nomothetic own practice and whether they will be effective in
Epistemology Thinking processes meeting their goal in diverse geographic locations.
Experimental-type research Understandable You need to initiate a new program to prevent low
Idiographic Useful back injury in migrant farmworkers. Existing pre­
vention strategies have not been effective in reducing
CHAPTER OUTLINE the incidence of low back injury in this population.
What Is Research? You wonder why traditional approaches have failed
Research as Multiple Systematic Strategies and how to develop an appropriate knowledge base
Research as Thinking and Action Processes from which to develop an efficacious program.
Research as Four Basic Characteristics You notice in your home care practice that some
What Research Is Not clients need more visits than others to achieve the
Setting the Stage by Example same health outcomes. You wonder what factors
When and Why Is Research Necessary and Useful? influence service need. You wonder how to increase
Summary health literacy and access to health information for
people who cannot see.
You are interested in how the outcomes of Internet
counseling for minor depression compare to on-site

A 74-year-old single African-American woman with

a fractured hip will be discharged shortly from
rehabilitation to her home. She appears reluctant to
counseling outcomes.

use the self-care techniques you taught her. You

What Is Research?
wonder whether rehabilitation has been effective in Research is not “owned” by any one profession or
meeting its specified goals and what her future discipline. It is a systematic set of ways of thinking
capabilities will be after she returns home. and acting and has distinct vocabularies that can be
You have learned how to use a new tool to assess learned and used by anyone.
the environmental barriers encountered by children Many definitions of research can be found in
with intellectual impairments. You wonder whether texts, ranging from a very broad to a very restrictive
this instrument is more accurate and useful than understanding of the research endeavor. A very broad
previous ones you have tried. definition suggests that research includes any type of

2
 Chapter 1 • Research as an Important Way of Knowing 3

investigation that uncovers knowledge. In contrast, to the definition offered by the restrictive view, we
a formal and more restrictive definition of research recognize the legitimacy and value of many distinct
implies that only one type of strategy, such as a types of investigative strategies. Second, our defini-
quantitative orientation, is valid. Many researchers tion emphasizes that research is composed of think-
use the classic (but we believe restricted) definition ing processes and specific actions (action processes)
offered by Kerlinger, who defined scientific research that must be clearly delineated and articulated. We
as “systematic, controlled, empirical, and critical believe that the beauty and efficacy of the research
investigation of natural phenomena guided by theory process lie in the explication of how and on what
and hypotheses about the presumed relations among basis a knowledge claim is made. Third, we charac-
such phenomena.”1 Whereas a broad definition terize thinking and action processes as logical,
includes any type of activity as research, a restrictive understandable, confirmable, and useful to meet the
definition, such as Kerlinger’s viewpoint, implies criteria of research. That is, in contrast to the broad
that the only legitimate approach to scientific inquiry inclusive definition of research, our approach clearly
is hypothesis testing. distinguishes the boundary between research and
In contrast, we define research to reflect and allow other forms of knowing (e.g., through trial and error)
for a wide range of systematic and logical ways of by establishing these important criteria. Let us
knowing or approaches to knowledge building. As examine the three major components of our defini-
such, our definition of research is as follows: tion in greater detail.

Research is defined as multiple, systematic strategies Research as Multiple Systematic Strategies

to generate knowledge about human behavior, human The first component of our research definition
experience, and human environments in which the emphasizes the value of varied systematic strategies
thinking and action processes of the researcher are to understand the depth and range of research ques-
clearly specified so that they are logical, tions and queries posed by health and human service
understandable, confirmable, and useful.
professionals. These multiple research strategies can
be categorized as representing naturalistic inquiry,
Our definition has three important components experimental-type research, or mixed methods that
(Box 1-1). First, we state that research is more than contain parts of both classical traditions. The two
one type of investigative strategy; that is, research is classical categories of research, experimental-type
not just hypothesis testing, as suggested by Kerlinger, and naturalistic, are based in distinct philosophical
but rather is represented by a broad range of strate- traditions, follow different forms of human reason-
gies that are systematically implemented. In contrast ing, and define and obtain knowledge differently.
Naturalistic inquiry refers to a wide range of research
BOX 1-1 What Is Research? approaches characterized by a focus on understand-
ing and interpreting human experience within the
Multiple Systematic Strategies context in which experience occurs. Experimental-
• Experimental-type design
type research refers to a range of designs character-
• Naturalistic inquiry
ized by a focus on prediction and hypothesis testing.
Thought and Action Processes Naturalistic inquiry tends to be idiographic; that is,
• Inductive it focuses on specific phenomena in a context and
• Abductive
seeks to highlight the complexity of these phenom-
• Deductive
ena. Experimental-type approaches examine and
Four Criteria characterize what is typical about one or more groups;
• Logical this approach is referred to as nomothetic. Mixed
• Understandable
methods are anchored in philosophical pragmatism
• Confirmable
and thus employ strategies from both experimental-
• Useful
type and naturalistic methods to account for the
4 PART I • Introduction

limitations of each classical approach. Chapter 4 Research as Thinking and Action Processes
examines the differences between these three research
The second important component of our definition
traditions, their philosophical roots, and their impli-
of research refers to thinking and action processes.
cations for health and human service research.
Thinking processes and action processes represent
Our viewpoint, however, reflects a school of
the different ways of reasoning and the specific
thought that has been expressed in numerous
series of actions that distinguish naturalistic and
pro­fessional and academic disciplines. This school
experimental-type investigators in the conduct of
of thought proposes that naturalistic inquiry,
their research. Experimental-type research uses
experimental-type research, and mixed methods hold
primarily a deductive form of logical reasoning.
equal importance in establishing a knowledge base
Naturalistic inquiry primarily uses inductive and
of health and human service practice and in ade-
abductive forms of logic. Each leads to different
quately examining the diversity of human experi-
types of research actions and generates different
ences and behaviors. Idiographic and nomothetic
information or knowledge. Table 1-1 summarizes the
understandings each reveal different, valuable, and
major characteristics of these approaches to logical
necessary knowledge.
reasoning.
This viewpoint also firmly asserts that it is not
reasonable to critique naturalistic research using Deductive Reasoning and Actions
experimental language because each approach repre- Experimental-type researchers primarily use deduc-
sents a distinct epistemology, or way of knowing tive logic. This type of reasoning involves moving
and obtaining knowledge.2 As Gareth Morgan, cited from a general principle to understanding a specific
by Patton in one of his classic works, eloquently case. On the basis of a theory and its proposi-
claimed: tions, hypotheses are derived and then formally
It is not possible to judge the validity or contribution tested. Health and human service professionals use
of different research perspectives in terms of the deductive reasoning every day in their practices.4,5
ground assumptions of any one set of perspectives, As an example, a professional proceeding from the
since the process is self-justifying. Hence the attempts theory that clinical depression is a mood state that
in much social science debate to judge the utility of manifests in flat affect, sleep disturbance, change
different research strategies in terms of universal in appetite, and dysphoria would ascertain the
criteria based on the importance of generalizability,
predictability and control, explanation of variance,
meaningful understanding, or whatever are inevitably TABLE 1-1 Major Characteristics of
flawed: These criteria inevitably favor research Inductive/Abductive and
strategies consistent with the assumptions that Deductive Thinking
generate such criteria as meaningful guidelines for
Inductive/Abductive Deductive
the evaluation of research.… Different research
perspectives make different kinds of knowledge No a priori acceptance of truth A priori acceptance of truth
claims, and the criteria as to what counts as exists exists
significant knowledge vary from one to another.2 Alternative conclusions can be One set of conclusions is
drawn from data accepted as true
Another implication of our perspective is that Theory is developed Theory is tested
combining or mixing methods is an important and Relationships are examined among Relationships are tested
purposive approach to the study of many of the unrelated pieces of data among discrete phenomena
complex issues of current concern to health and Concepts are developed based on Concepts are tested based
human service professionals. As Bonilla-Silva asserts repetition of patterns on application to discrete
with regard to the study of contemporary racism, phenomena
“The research strategy that seems more appropriate Perspective is holistic Perspective is atomistic
for our times is mixed research designs because it Multiple realities exist Single, separate reality exists
allows researchers to cross-examine their results.”3
 Chapter 1 • Research as an Important Way of Knowing 5

degree to which a client had these symptoms. If each

For example, assume you need to determine
of these symptoms were found to be sufficiently
the discharge plans for a woman with
present, the provider would deduce, on the basis of dementia. You have concerns about her ability to
the general theory, that the client was clinically live alone, based on your knowledge of dementia as
depressed. The provider would then use theory a progressively deteriorating condition. However, you
deductively to determine how best to treat the depres- do not know anything about the circumstances of this
sion, to define outcomes, and then to test treatment particular woman, her personal goals and those of
efficacy by assessing the theorized outcomes. Thus her family, or her specific living arrangements. By
the theory accepted as accurate is applied as a guide observing her in a clinical context, as well as
for intervention and expected outcomes. Clinical conducting in-depth interviews with the patient and
assessment would examine the achievement of her family members, you discover that an adequate
plan for monitoring and caring for this woman has been
desired outcomes as defined within the theory and
put into place. Thus, you make a discharge decision
clinical context.
based on systematic information you uncovered
A similar process occurs in research. Using a inductively.
deductive type of reasoning, the researcher begins
with the acceptance of a general principle or belief
based on a particular theoretical framework. This
principle is then applied or used to explain a spe-
cific case or phenomenon. This approach involves A similar reasoning process occurs in research.
“drawing out” or verifying what is already accepted Reflecting the inductive logical thinking process, the
as accurate.6 researcher seeks general rules or patterns emerging
from specific observations. In pure inductive think-
For example, a researcher is interested in
ing, there is no “truth” or general principle that is
testing an intervention to improve the health accepted a priori (“from the former”) or before the
of caregivers of people with dementia. In this case, the study begins. Consider the example of caregiving
researcher may begin from a framework of caregiver- previously discussed. To derive an understanding of
burden theory that assumes the characteristics or the nature and scope of caregiver burden, one type
behaviors of the person with dementia negatively affect of inductive research approach could involve exam-
the health and well-being of and therefore place a ining the daily life experiences of caregivers and
burden on caregivers. Accepting this principle as their own perceptions of their activities. Using a
accurate, the deductive researcher will be interested variety of data collection techniques, such as obser-
in testing the effectiveness of interventions that are vation and in-depth interviewing, the researcher
designed to reduce burden by providing education,
might reason inductively by searching for patterns
teaching behavioral skills management, or providing
respite.
across observations of different caregivers. From this
approach, the researcher would be able to develop
an understanding of the specific situations that cause
stress and burden, or perhaps their absence, as well
Inductive Reasoning and Actions as the types of interventions that would be most
Researchers who work within a naturalistic frame- useful in promoting caregiver health. The researcher,
work primarily use inductive reasoning. This type of proceeding inductively, might seek to reveal or
reasoning involves moving from specific cases to a uncover knowledge based on the perceptions of car-
broader generalization about the phenomenon under egivers. Intervention principles would then be devel-
study.9 In some forms of naturalistic inquiry, induc- oped based on the researcher’s interpretations of the
tive reasoning involves fitting data, such as a set of perceptions of caregivers. In this example, the
observations or propositions, into existing theory. researcher might use the principles learned from
Health and human service professionals also use this those who do not experience stress to inform inter-
form of reasoning in everyday practice. vention for those who do.7
6 PART I • Introduction

Abductive Reasoning and Actions research is used to “uncover” or “reveal” theory,

As we just discussed, the two research traditions are rules, and processes.2 A deductive reasoning approach
typically characterized as using deductive and induc- is used to describe, test, or predict the application
tive reasoning processes; experimental-type research of theory and rules to a specific phenomenon. Both
uses deductive reasoning, and naturalistic inquiry approaches can be used to describe, explain, and
uses inductive reasoning. However, according to predict phenomena. The acceptance of mixed
Flick, von Kardorff, and Steinke,10 this representa- methods is becoming increasingly widespread, as
tion is not complete. Some approaches in naturalistic complex phenomena often require a combination
inquiry are best characterized as “abductive.”2,9,10 of logical approaches to both test and revise theory
Abduction is a term introduced by Charles Peirce6 and its application to health and human service
and currently used by researchers and logicians to concerns.
refer to an iterative process in naturalistic inquiry. Let us examine the type of knowledge that is
This process involves the development of new theo- generated by each reasoning approach. The researcher
retical propositions that can best account for a set working deductively will assume a theoretical truth
of observations, which cannot be accounted for or before engaging in the research process and will
explained by a previous proposition or theoretical apply that truth to the investigation. In the caregiver
framework. The new theoretical proposition becomes example, the researcher would assume that all car-
validated and modified as part of the research egivers will experience a form of burden in which
process. In this way, ethnography and some other they experience stress. The researcher therefore
forms of naturalistic inquiry, such as grounded hypothesizes that caregivers will benefit from a
theory,16 are considered to be “theory generating.” In stress-reduction intervention that may take the form
deductive reasoning the data are contained and con- of group psychoeducational counseling sessions and
trolled by the hypotheses. In inductive reasoning, an would be based on existing caregiver burden theory.
attempt is made to fit the data to a theoretical frame- Research that tested this intervention approach
work or to generate a set of identified and well- has found it to be only mildly effective in reducing
defined concepts that emerge form the data. In caregiver stress and only for some caregiver study
abductive reasoning, the data are analyzed for their participants.7 Thus, the question remains as to why
own patterns and concepts, which in some cases may all caregivers do not benefit at the level at which
relate to available theories and in other cases may researchers expect.
not relate. In a study proceeding inductively or abductively,
As we discuss in depth throughout the book and the researcher might be looking for an intervention
in Chapter 12, mixing methods may involve all three approach to emerge from what is learned from those
logical structures or just two of the three. As an who will receive the intervention or those who
example, returning to the caregiver burden inquiry, do not need it. Caregiver research that uses an induc-
the researcher may accept existing theory as accurate tive process may therefore find that caregiver experi-
in some instances but not in others. Thus, a deduc- ence cannot be completely understood or explained
tive process may be used to test the presence of by caregiver burden theory or addressed by stress-
caregiver burden using a survey deductively devel- oriented interventions alone. New interventions
oped from caregiver burden theory and then would be suggested by inductively oriented inquiry,
followed with open-ended interviews to seek new such as a broader array of services, based on the
theoretical insights. specific needs and care issues identified by the study
participants and the strategies used by those who do
not experience stress.
Differences in Knowledge The deductive approach could show that a stress-
Each type of reasoning will result in the generation reduction intervention benefits some caregivers. The
or production of a different form of knowledge. inductive approach could reveal that burden theory
An inductive or abductive reasoning approach in is too limited to describe comprehensively the
 Chapter 1 • Research as an Important Way of Knowing 7

multiple strengths and needs of this group and that Logical

other theories and types of interventions would be
helpful to consider. In research, there is a unique way of thinking and
As you can see, each type of reasoning and acting that distinguishes it from other ways we use
research approach produces important information to know, understand, and make sense of our experi-
from which to advance services to caregivers. It is ences. Charles Peirce,6 one of the founders of the
also possible to use both types of reasoning to scientific research process, identified other ways of
address a research problem. For example, you can “knowing” as the following: (1) authority—being
use an inductive or abductive approach to identify told by a respected or trusted source; (2) hearsay—
specific areas of caregiver needs and then use a secondhand information that is not verified; (3) trial
deductive strategy to test systematically the outcome and error—knowledge gained through incremental
of an intervention that addresses the identified doing, evaluating, and modifying actions to achieve
needs. This inductive-abductive-deductive approach a desired outcome; (4) history—knowing indirectly
has been successfully used to develop and test through collective past experiences (also referred to
community-based health and human service pro- as memory); (5) belief—knowing without verifica-
grams for underserved and culturally diverse popula- tion; (6) spiritual understanding—knowing through
tions. First, investigators used inductive strategies to divine belief; and (7) intuition—explanations of
uncover the health and wellness beliefs and needs of human experience based on previous unique and per-
the target group. On the basis of the findings and sonal organization of one’s own experience. More
theoretical frameworks that were refined, interven- recent theorists of knowledge espouse a range of
tion strategies were developed, implemented, and ways of knowing from skepticism (doubt) to the
systematically evaluated. inability to come to know anything at all suggested
The integration of different forms of reasoning by some postmodernists.14
makes intuitive sense. In our daily lives, we naturally In these other forms, knowledge is gained unsys-
engage in all forms of reasoning. Likewise, health tematically or even doubted as possible, and it is not
and human service professionals combine knowl- necessary to clarify the evidentiary basis or the
edge gained from both deductive and inductive logical thinking and action processes by which the
reasoning to derive appropriate treatment plans. information is obtained and asserted. Think about
For this reason, if possible, mixing methods is desir- how an individual gains knowledge about parenting
able.13 As we discuss throughout, integrating logic or providing care to a person who requires assis­
and the methods based on diverse structures pro- tance. Informal caregivers tend to learn how to
vides the opportunity for both building and testing provide care through trial and error. Information as
knowledge. to what works and what does not work to achieve a
desired goal is gained incrementally, over time, by
trying different techniques and informally evaluating
Research as Four Basic Characteristics their outcome. Many caregivers also use intuition
The third important component of our research defi- and hearsay or information from other caregivers,
nition refers to the criteria we use to characterize family, and friends who may make suggestions
the research activity and differentiate it from other based on their own history and experience. In con-
ways of knowing about a phenomenon. We have trast to this informal set of thinking and action proc-
stated that scientific knowledge may be generated by esses, research must be based on systematic thought
multiple research strategies using inductive or abduc- processes and methodical investigative activities
tive or deductive reasoning. Any research strategy, that include documentation, analysis, and drawing
whether based on inductive or abductive or deduc- conclusions.
tive reasoning, must conform to the four criteria By “logical,” we mean that the thinking and
of being logical, understandable, confirmable, and action processes of a research study are clear, ra-
useful. tional, and conform to accepted norms of deductive,
8 PART I • Introduction

inductive, or abductive reasoning. Logic is a set of practice and client outcome. Each researcher,
reasoning methods that involves defined ways of consumer, or professional judges the utility of a
thinking and methodically relates ideas to develop study on the basis of his or her own needs and pur-
an understanding of phenomena and their relation- poses. Usefulness is a subjective criterion in that it
ships.2 The systematic nature of research requires is based on the judgment about the value of the
that the investigator proceed logically and articulate knowledge produced by a study. However, the value
each thought and action throughout the research of a study and the usefulness of knowledge become
process. more widely accepted as the new knowledge increas-
ingly stimulates further research and promotes the
Understandable testing or verification of new or existing theory and
Using our definition, it is not sufficient for a practice.
researcher to articulate a logical process. This
process, the study outcomes, and conclusions need
to be explicit, make sense, be precise, be intelligible,
What Research Is Not
and be credible to the reader or research consumer. We have just discussed what research is and defined
If you cannot understand the research process, it it as four major criteria. You may have noticed that
cannot be used, confirmed, or replicated and thus we did not say that research is a way to prove a
does not meet the criteria for research specified in theory, to come to a single truth, or to create static
our definition. knowledge.20 Research cannot tell us what is true or
Historically, researchers using naturalistic inquiry correct. Research cannot prove a point of view.2
did not typically identify the specific steps involved Rather, research is a set of logical reasoning pro­
in their investigative process. Currently, however, a cesses in which theory is supported or developed, not
significant body of literature describes and makes proven. Given the essential place of theory within
explicit the thinking and action processes of different the research enterprise, you may now begin to see
forms of naturalistic inquiry.15-17 Investigators who why there may be multiple perspectives, each accu-
work out of the naturalistic tradition are advancing rately supported by research. Consider the example
the standards of quality by which to judge such of depression. Suppose two researchers are seeking
research. How are we to distinguish a casual obser- to evaluate the outcomes of interventions designed
vation from a scholarly interpretation of underlying to alleviate depressive symptoms. The researcher
patterns in that setting? Researchers have actively proceeding from psychoanalytic theory would define
addressed this critical issue.15-18 depression as anger turned inward and thus the inter-
vention would be designed to assist a client to
Confirmable express anger and place it external to the self. In this
By “confirmable,” we mean that the researcher example, the researcher would likely test success by
clearly and logically identifies the evidence and measuring or assessing the extent to which anger
strategies used in the study so that others can reason- is displaced outward, referred to as a catharsis.19
ably follow the path of analysis and arrive at similar However, the researcher proceeding from the theory
outcomes and conclusions. The claims made by the that anger is a chemical imbalance would be likely
researcher should be supported by the evidence and to examine the behavioral and physiological out-
research strategy and should be accurate and credible comes of antidepressant medications.
within the stated boundaries of the study. Which approach is correct or truth? Both and
neither. As you can see, research cannot tell us what
Useful the one truth is. What if a researcher is not satisfied
Research generates, verifies, or tests theory and with any of the theories that currently are published
knowledge for use. In other words, the knowledge to explain depression? This researcher might use
derived from a study should be purposive19 and inductive naturalistic inquiry to develop yet another
should inform and potentially improve professional theory.
 Chapter 1 • Research as an Important Way of Knowing 9

Setting the Stage by Example 3. What changes need to be made to improve Web
use and comprehension?
To illustrate the points discussed earlier and revisited
throughout the book, consider this example. As a To answer these questions, you design a mixed
professional in a public health agency, you are focus- method study relying on the three logic structures.
ing on smoking cessation and prevention. Given the You recruit individuals with diverse visual abilities
increasing use of the Internet for disseminating (full vision to no vision) and with low literacy levels.
health information, you decide to use this venue as After screening them for inclusion into the study and
a major part of your work. However, the literature testing their comprehension of the original site, you
reveals that there are significant disparities in access then ask them to access and read or hear the informa-
to Web-based health information due to literacy and tion on the experimental site. To answer question 1,
visual access barriers. You decide to verify this you compute statistics to determine the differences
theory with research and proceed to test your solu- in comprehension of the original and of the experi-
tions systematically. mental website.
To inform your work, you conduct your first Questions 2 and 3 are answered in a focus group
research project to answer the following questions: (a group interview in which a facilitator poses ques-
tions, and group members respond in an open-ended
1. What is the literacy level of smoking cessation
fashion).
and prevention websites?
Your finding indicates that comprehension and
2. How accessible are these websites to screen
access improved when using the new website. More­
readers?
over, even many subjects who had typical vision
To conduct this initial project, you systematically preferred the oral version of the text. Subjects pro-
measure two variables for smoking on selected web- vided multiple recommendations for improving
sites: literacy level and ability for a text reader to navigation and ease of use, as well as appearance
convert text to oral presentation. To measure these preferences for the websites.
variables, you select instruments that match the defi- From this research agenda, you have learned
nitions of reading level and access and provide important principles and knowledge to guide prac-
numeric ratings of each. Your results reveal that only tice. First, you have verified the magnitude of liter-
one of the 50 randomly selected websites that you acy and visual access barriers to health information
tested could be translated from text to oral presenta- on the Web. Second, you have identified that these
tion by a text reader and that the average website was barriers could be remediated and selected software
written at an 11th-grade literacy level. innovation as the method to do so. Third, you tested
Now that you have verified the accuracy of the the intervention and found that it met your goals
theory, you once again return to the literature. On the of comprehension and accessibility. Finally, you
basis of research demonstrating that few web design- have Web user recommendations to further improve
ers address visual access and literacy level, you the website. You are now ready to expand this
develop an innovation that uses automated software pilot to decrease disparities in Web-based health
to translate existing websites into fourth-grade lit- information.
eracy (the average reading level of the American
public) and to accessible formatting. To test the effi-
cacy of your innovation, you formulate the following When and Why Is Research
research questions: Necessary and Useful?
1. To what extent did users improve in their compre- The preceding discussion has alluded to the “when”
hension when using the translated websites? and “why” of research. Here we explicate its neces-
2. To what extent do diverse web users feel comfort- sity. Health and human service professionals rou-
able in using, navigating, and interacting on the tinely have questions about their daily practice
new websites? and seek guidance from legitimate professional
10 PART I • Introduction

knowledge.21 Many of these questions, such as those First, research is a systematic process to obtain
just listed, are answered best through systematic scientific knowledge about specific problems encoun-
investigation, or the research process. Moreover, tered in daily life and professional practice.5,12,22
professionals should be able to articulate a body of Thus it is an important way of finding answers to
knowledge that guides their decision making and questions about needed interventions, practice out-
activity in all phases of their professional interac- comes, and clinical puzzles. The fundamental goal
tions. It is therefore unfortunate that many practition- of research for health and human services is to
ers do not engage in research both to master the develop and advance a body of knowledge to guide
precision of the thinking and action processes and to professional activity. Research contributes to the
generate knowledge to advance their professions. development of a systematic body of knowledge in
This reluctance may be caused in part by unfamiliar- several ways. It generates relevant theory and knowl-
ity with and misconceptions about the research edge about human appearance, experience, and
process. behavior; it develops and tests theories that form the
Research is challenging, exhilarating, and stimu- basis of specific practices and treatment approaches;
lating. As with other professional activities, research and it examines, validates, or determines the effec-
can also be time-consuming, tedious, and frustrat- tiveness of different practices in attaining their
ing. The challenges and frustrations of conducting intended and sometimes unintended outcomes.12
research occur because it is not a simple activity— The second important reason to understand and
particularly health and human service research, in participate in research is its overall impact on health
which conducting research in service environments definitions and theories, health care policy, and
and understanding human behavior are often complex service delivery. The knowledge obtained through
matters. Implementing a research study in the home, research is often used directly or indirectly to set
community, school, outpatient clinic, or medical standards for population health—to inform legisla-
facility can be much more challenging than conduct- tors and regulatory bodies about issues necessary to
ing research in a laboratory or a setting that the develop the most efficacious health and human
investigator can control. Throughout this book, we service policies and service delivery models. Federal
discuss the specific dilemmas and design implica- regulatory agencies and other fiscal intermediaries
tions posed by research that is implemented in the base many of their decisions and practice guidelines
health and human service practice. on empirical evidence or knowledge generated
There are many important reasons why you through the research process. Evidence from
should understand the research process and partici- research has become increasingly used to identify
pate in research activities (Box 1-2). “best” or evidence-based practices, as described in
Chapter 24. Consider managed care; its very founda-
tion uses systematic cost measures and specific
BOX 1-2 Seven Reasons to Learn About outcome mea­sures to yield data that then form the
the Research Process basis for policy, practice decisions, and implementa-
1. Systematically build knowledge and test treatment tion of treatment guidelines. In addition, research
efficacy provides the tools by which to compare diverse
2. Have an impact on health policy and service health definitions and needs, practices, health out-
delivery comes, and costs across practice settings. Using sys-
3. Participate in research activities tematic, standard approaches allows professionals to
4. Enhance understanding of daily practice make comparisons among different populations and
5. Become a critical consumer of research literature diverse health and human service contexts to deter-
6. Understand the method of clinical trials and apply mine their level of efficiency and effectiveness.
this knowledge to professional practice
The third reason to learn about research is to
7. Apply the precision of research to all professional
enable you to participate in research activities in
thinking and action
your own practice setting. In many health and human
 Chapter 1 • Research as an Important Way of Knowing 11

service settings, practitioners establish or maintain outcomes and their implications for daily practice.5
a database of health information and derive statisti- Most important, the knowledge you gain about
cal reports on client outcomes. In some settings, par- research findings has the potential to improve your
ticularly in an academic health science center or practice and thus improve the health and quality of
teaching hospital, you or other members of your life of the people you serve (patients, clients, fami-
agency will participate in research to advance the lies) and the health of your community.
research goals of the institution. You may have many Sixth, within health and human service research
diverse roles as a member of a research project. You is the method of clinical trials. Clinical trials are
may initially want to participate in the process as a research studies that use human subjects to test and
data collector, chart extractor, interviewer, provider verify the efficacy and safety of new health and
of an experimental intervention, or recruiter of human service interventions. This type of research is
participants into a study. These are all excellent, critical for the development of a sound knowledge
time-limited roles to learn firsthand the art and base to guide practitioner clinical reasoning and
science of the research process. When you feel more outcome expectations.22
comfortable and gain some experience with the Finally, because research is precise, systematic,
process, you may want to serve as a project coordina- and logical, understanding and mastering the think-
tor and become responsible for the coordination of ing and action processes of research will enhance,
the detailed tasks and daily activities of a research focus, and sharpen your thinking and action in all
endeavor, or you may choose the role of the parts of your professional (and personal) life.
co-investigator and assist in the conceptual develop- As you can see, there are many reasons to learn
ment, design, implementation, and analytical com- about the research process. Most important, whether
ponents of a study. If you really become hooked on conducting a formal study or just using systematic
research, you may want to be a principal investigator techniques in your professional activity, the pro­
and assume responsibility for initiating and over­ cedures and methodologies used in research can
seeing the scientific integrity of the entire research improve how you think and act in your daily prac-
effort. tice. They answer two fundamental questions: “How
The fourth reason to know about research is that do you know?” and “So what?” “How do you know”
it provides the tools by which you can learn about is answered by explicating the evidence to support
and be responsive to the experiences and needs of claims and the ways in which the evidence was
the individuals and groups you help in your profes- obtained and interpreted. The ability to articulate a
sional practice. sound rationale for decisions and activity is an obli-
The fifth reason to learn about and participate in gation for all professionals. The “so what” question
research is to become a critical consumer of the refers to use of knowledge. Now that you have the
growing body of research literature that is published knowledge, how can you best and most ethically put
in professional journals and other venues. Research it to use? This text offers a range of methodologies
not only yields a body of knowledge but also and techniques, including case study, analysis of
provides the evidence and reasoning strategies on audio or video recordings, single-case design, obser-
which the investigator bases knowledge claims. vation, and in-depth interviewing. As a health care
Thus, research provides the foundation for informed or human service professional, you can use each to
professional decision making and action. By under- gain better insight into a particularly difficult prac-
standing the research enterprise when you read a tice situation or, in general, to advance all aspects of
research study, you will learn specific findings and your professional practice. For example, if you are
also how the knowledge was generated and whether experiencing difficulty effectively interacting with
it can be applied to various settings, persons, or areas and thus treating a child with a developmental dis-
of practice. Understanding the thinking and action ability, borrowing a technique from research (e.g.,
processes of research will provide you with the nec- recording a session and systematically analyzing
essary skills to determine the adequacy of research verbal and nonverbal interactions frame by frame)
12 PART I • Introduction

may provide important insights to better approach informed by multiple research traditions and design
this particular individual. strategies. Our approach to research is practical; that
is, the purpose and question of an investigator guide
the selection of appropriate methodologies, and in
Consider another example:
turn the questions asked and the knowledge gained
Let us assume you have been asked to assess
must be useful to the clinical, professional, and con-
the functional ability of residents who live in an assisted
living facility in the community to improve self-care skills sumer communities.
and participation in daily activity. You may want to set Research is critical to health and human service
up a single-subject design to monitor your program and professionals to advance the knowledge base by
its effectiveness in attaining its outcome and then share which clinical decisions are made. Research informs
findings with staff and administrators. First, you would knowledge development and daily practice, and pro-
take several baseline assessments of the resident’s fessionals can participate in this activity in many
functioning over several days using a standardized ways.
functional measure. Second, you would introduce your
strategies to improve self-care and participation in
activity. Then you would reassess the residents over EXERCISES
several days using the same functional assessments.
1. Select a research article in a peer-reviewed health
This simple and easy approach allows you to obtain
systematic information about your treatment and its and human service journal. Identify the source
outcome. The point is that many aspects of the research from which the investigator obtained the research
process can be easily incorporated into your daily question. Decide whether the study fits the four
practice to improve your own as well as professional characteristics of research as being logical, con-
knowledge about methods to achieve practice firmable, understandable, and useful, and give the
outcomes. reasons for your opinions.
2. Record three issues that are within the scope
of your profession or that have emerged from
One final point should be made regarding the your daily practice. Determine whether each issue
importance of participating in research. As health reflects a topic that can and should be researched.
and human service professionals engage in the How do you currently address these issues? What
research process, they contribute to the development knowledge is needed that does not exist or that is
of knowledge and theory and help to identify new not complete or compelling? Provide the rationale
practice approaches, validate existing strategies, and for your thinking.
improve practice. Through this research activity,
health and human service professionals are partici-
References
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1. Kerlinger FN: Foundations of behavioral research, ed 3, New
research process itself and its application to profes- York, 1986, Holt, Rinehart, & Winston.
sional issues and service settings. Health and human 2. Patton M: Qualitative evaluation and research methods, ed
service professionals who are involved in research 3, Newbury Park, Calif, 2001, Sage.
today will make significant contributions to the evo- 3. Bonilla-Silva E: Racism without racists: color-blind racism
and the persistence of racial inequality in the United States,
lution of research methodologies.21
New York, 2003, Rowman & Littlefield.
4. Kreuger L, Neuman L: Social work research methods,
Summary Boston, 2006, Allyn & Bacon.
5. Westerfelt A, Deitz TJ: Planning and conducting agency-
Our definition of research represents our conceptual based research, ed 4, Boston, 2009, Allyn & Bacon.
6. Peirce CS: Essays in the philosophy of science, Indianapolis,
framework and guides our subsequent discussions in
1957, Bobbs-Merrill.
this book. It is based on a philosophical position that 7. Gitlin LN, Hauck WW, Dennis MP, et al: Maintenance
the multiple realities that shape health and human of effects of the home environmental skill-building program
services require an approach to research that is for family caregivers and individuals with Alzheimer’s
 Chapter 1 • Research as an Important Way of Knowing 13

disease and related disorders. J Gerontol Med Sci 60A(3): 15. Silverman D: Doing qualitative research: a practical hand-
368–374, 2005. Available at: http://www.rosalynncarter.org/ book, ed 4, Los Angeles, 2013, Sage.
evidence_based_resources. 16. Berg B, Lune H: Qualitative research methods for the social
8. Flick U, Von Kardorff E, Steinke I, editors: A companion to sciences, ed 8, Long Beach, Calif, 2014, Longman.
qualitative research, London, 2004, Sage. 17. Denzin N, Lincoln YS: Sage handbook of qualitative research,
9. Hoover KR: The elements of social scientific thinking, ed 2, Thousand Oaks, Calif, 2011, Sage.
New York, 1980, St Martin’s Press. 18. Swedberg R: Theorizing in social science: the context of
10. Agar M: An ethnography by any other name. 2006. Available discovery, Stanford, Calif, 2014, Stanford University Press.
at: http://www.qualitative-research.net/index.php/fqs/article/ 19. Tashakorri A, Teddlie C: Handbook of mixed methods in
view/177/395. social and behavioral research, ed 2, Thousand Oaks, Calif,
11. Glaser B, Strauss AL: The discovery of grounded theory: 2010, Sage.
strategies for qualitative research, Chicago, 1967, Aldine de 20. Safran J: Psychoanalysis and psychoanalytic therapies,
Gruyter. Washington, DC, 2012, American Psychological Association.
12. Audi R: Epistemology, New York, 2011, Routledge. 21. DePoy E, Gilson SF: Human behavior theory and applica-
13. Creswell J: Qualitative inquiry and research design: choosing tions: a critical thinking approach, Thousand Oaks, Calif,
among five approaches, ed 3, Los Angeles, 2013, Sage. 2012, Sage.
14. Sim S: The Routledge companion to postmodernism, ed 3, 22. Wodarski J, Hopson L: Research methods for evidence-based
Abington, UK, 2011, Routledge. practice, Los Angeles, 2012, Sage.
 Chapter 2
Essentials of
Research

KEY TERMS acted on differs depending on the type of inquiry

10 essentials Query (naturalistic, experimental-type, or mixed) that is
Design Question being pursued.
Ethics Theory This chapter provides an overview of the 10
Philosophical foundation essentials and serves as a summary for the entire
book. Subsequent chapters in this book examine
CHAPTER OUTLINE each of these research essentials from the perspec-
Ten Essentials of Research tives of naturalistic inquiry, experimental-type, and
Identify a Philosophical Foundation mixed methods research. We recommend that you
Frame a Research Problem consider this chapter as a guide to the entire text and
Determine and Evaluate Supporting Knowledge refer to it as you read each chapter as a way to sum-
Identify a Theory Base and Evaluate Its Adequacy marize and reinforce the meaning of these 10 essen-
Develop a Specific Question or Query tials. Also, you can refer to Table 2-1 as a quick
Select a Design Strategy guide as you move through this text as well.
Set Study Boundaries
Obtain Information
Analyze Information and Draw Conclusions
Ten Essentials of Research
Share and Use Research Knowledge The 10 essentials of research should be addressed in
Ethical Considerations any type of research that is conducted. These essen-
Summary tials appear as the critical elements of a research
proposal and also when reporting findings from a
completed inquiry. The first important point to know
about the 10 essentials is that the order in which each
is addressed will depend on the research tradition
What are the essential characteristics of the research and the research design that is chosen. Each essential
enterprise? This chapter addresses this fundamental is highly interrelated with the others, but the essen-
question. You will learn in this chapter that any type tials may not necessarily occur in the order presented
of research endeavor, whether it be naturalistic, in Box 2-1 and this text. Thus, their order of presen-
experimental, or a mixed type of inquiry, confronts tation in this text should not be construed as repre-
similar challenges and requirements. We categorize senting a step-by-step, procedural, or “recipe”-type
these challenges and requirements into what we refer formula for the research process.
to as the 10 essentials of the research process (Box Let’s examine briefly how each research essential
2-1). How these 10 essentials are interpreted and is addressed in each of the research traditions.

14
 Chapter 2 • Essentials of Research 15

Naturalistic Mixed method Experimental-type

BOX 2-1 Ten Essentials of Research
1. Identify philosophical foundation
2. Frame a research problem
3. Determine supporting knowledge
4. Identify a theory base
5. Develop a specific question or query
6. Select a design strategy
7. Set study boundaries
8. Obtain information
9. Analyze information and draw conclusions
10. Share and use research knowledge

TABLE 2-1 Ten Essentials of Research

Essential Explanation Figure 2-1 Sequence of the Essentials in Each Tradition.

Identify a philosophical Reveal underlying assumptions of

foundation ontology and epistemology
Frame a research Identify broad topic or problem area
problem systematic, and stepwise manner. The line in Figure
Determine supporting Review and synthesize existing literature 2-1 depicts this sequential trajectory, and the graphic
knowledge to examine knowledge development in is used throughout this book to describe the enact-
identified problem area ment of the 10 essentials. However, it is important
Identify a theory base Use existing theory to frame research to note that even within experimental-type research,
problem and interpret result, or construct the 10 essentials are not mutually exclusive. As one
theory as part of research process
moves along stepwise, previous steps may be revised
Develop a specific Identify specific focus for research, based
as a consequence of new methodological decisions.
question or query on knowledge development, theoretical
perspective, and research purpose Naturalistic inquiry, in contrast, embodies the 10
Select a design Develop standard procedures or broad
essentials using more diverse and complex pro­
strategy strategic approach to answer research cesses, in which each essential is related to the other
question or query and revisited at different points throughout the
Set study boundaries Establish scope of study and methods for research process. We use a spiral image throughout
accessing research participants this book to depict this type of iterative form of
Obtain information Determine strategies for collecting inquiry (Figure 2-1), which links the 10 essentials in
information that is numerical, visual, different orders, depending on the specific philo-
auditory, or narrative sophical foundation in which the research is based
Analyze information Employ systematic processes to examine and the design that is adopted. The sequences of the
and draw conclusions different types of data and derive
10 essentials will differ for each of the research tradi-
interpretative scheme
tions in naturalistic inquiry. This will become clearer
Share and use Write and disseminate research
research knowledge conclusions
to you as you make your way through this book.
Similarly, a mixed methods approach will
sequence the 10 essentials differently depending on
Experimental-type research is hierarchical in its the way in which the different research traditions
sequence and approach to addressing the 10 essen- and methods are integrated in the particular study.
tials. It tends to follow the 10 essentials in a precise, As in naturalistic inquiry, there are numerous
ordered, and highly structured manner such that each approaches to mixing methods, and hence the 10
essential purposely builds on the other in a linear, essentials will be addressed accordingly (Figure
16 PART I • Introduction

2-1). This point will become clearer as you move living with acquired immunodeficiency syndrome
through this text. (AIDS), renal dysfunction, or spinal cord injury
Let us now examine the meaning of each experience their illness or injuries and construct their
essential. daily lives, or how diverse groups experience their
encounters with health care providers. Researchers
Identify a Philosophical Foundation working in this tradition tend to pursue methodologies
that elicit the telling of a person’s personal story
Identifying a philosophical foundation is an impor- or narrative and draw on sources such as direct
tant essential that occurs first or in the early stages observations of personal interactions, in-depth
of the research process. By philosophical foundation, interviews, diary or social networking reviews, and other
we mean an individual’s particular orientation to relevant materials such as historical documents, blogs,
how a person learns about human behavior, health, photos, or narratives.
and personal abilities and experiences or other phe-
nomena of importance in health and human services.
In Chapter 4, we classify these orientations into three
overarching philosophical categories through which In contrast, experimental-type research is based
knowledge is viewed and built, each of which gives on one unifying philosophical foundation—logical
rise to one of the primary research traditions. Thus, positivism.1 Positivism is a broad term that refers to
the researcher’s particular philosophical orientation the belief that there is one truth independent of the
toward learning about phenomena determines the investigator and that this truth can be discovered by
specific research tradition that is selected and the following strict procedures (see Chapter 4). It is not
nature of the knowledge generated1: experimental- necessary for an experimental-type researcher to
type, naturalistic inquiry, or an integration of the identify the philosophical root of his or her research
two. In naturalistic inquiry, articulating a philosophi- when submitting a research proposal or a published
cal tradition is especially important because of the report, because all experimental-type inquiry is
many distinct philosophical schools of thought that based on a single philosophical base. For example,
inform the various research approaches subsumed a researcher trained in survey techniques will natu-
within this form of inquiry (see Chapter 4). When rally assume a positivist or empiricist approach to
using naturalistic inquiry, it is expected that the describe a particular phenomenon. Therefore, it is
researcher will discuss his or her philosophical per- not necessary for this researcher to state formally the
spective in a research proposal or in writing a report epistemological assumption embedded in the study.
to provide an understanding of the thinking context Although the philosophical foundation is implicit in
in which the research is being conducted. the researcher’s orientation, it is still important to
understand the assumptions about human behavior
on which this form of inquiry is based.
For example, researchers who identify their You might be thinking that both of these
philosophical perspective as symbolic interaction approaches—experimental and naturalistic—would
tend to use highly interpretative forms of naturalistic be informative to use in a study in order to advance
inquiry that focus on the meanings and behaviors of an effective pregnancy prevention program. You
individuals in social interaction.2 Examples of studies are correct! It is possible to pursue a research study
may be examining client-health provider exchanges, that integrates both approaches; this is referred to
family dynamics, or even virtual interactions as they
as a mixed methods approach. As we discuss in
concern defining and responding to serious illness.
Researchers working out of this tradition may pursue
Chapter 4 in more detail, although it may seem that
ethnographic research methodology. In contrast, the philosophical foundations of experimental-type
researchers who identify with the philosophical and naturalistic traditions are mutually exclusive and
foundation of phenomenology will focus on how thus incompatible, the purposive aim of mixing
individuals perceive their own particular personal methods places this third tradition within the philo-
experiences. Examples of studies may be how people sophical home of pragmatism.3 For example, to