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related e sales and feedback Research Design Fifth Edition I dedicate this book to all of my mentees and former students over the years who have engaged in this fascinating process of research and who have welcomed my suggestions for improving their scholarly works. I also welcome my son, J. David Creswell, a noted psychologist and researcher at Carnegie Mellon University, as my coauthor. Research Design Qualitative, Quantitative, and Mixed Methods Approaches Fifth Edition John W. Creswell Department of Family Medicine University of Michigan J. David Creswell Department of Psychology Carnegie Mellon University FOR INFORMATION: SAGE Publications, Inc. 2455 Teller Road Thousand Oaks, California 91320 E-mail: [email protected] SAGE Publications Ltd. 1 Oliver’s Yard 55 City Road London EC1Y 1SP United Kingdom SAGE Publications India Pvt. Ltd. B 1/I 1 Mohan Cooperative Industrial Area Mathura Road, New Delhi 110 044 India SAGE Publications Asia-Pacific Pte. Ltd. 3 Church Street #10-04 Samsung Hub Singapore 049483 Copyright © 2018 by SAGE Publications, Inc. All rights reserved. No part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording, or by any information storage and retrieval system, without permission in writing from the publisher. Printed in the United States of America Library of Congress Cataloging-in-Publication Data Names: Creswell, John W., author. | Creswell, J. David, author. Title: Research design : qualitative, quantitative, and mixed methods approaches / John W. Creswell, PhD, Department of Family Medicine, University of Michigan, and J. David Creswell, PhD, Department of Psychology, Carnegie Mellon University. Description: Fifth edition. | Los Angeles : SAGE, [2018] | Includes bibliographical references and index. Identifiers: LCCN 2017044644 | ISBN 978-1-5063-8670-6 (pbk. : alk. paper) Subjects: LCSH: Social sciences—Research—Methodology. | Social sciences—Statistical methods. Classification: LCC H62 .C6963 2018 | DDC 300.72/1—dc23 LC record available at https://lccn.loc.gov/2017044644 Acquisitions Editor: Helen Salmon Content Development Editor: Chelsea Neve Editorial Assistant: Megan O’Heffernan Production Editor: David C. Felts Copy Editor: Amy Marks Typesetter: C&M Digitals (P) Ltd. Proofreader: Eleni-Maria Georgiou Indexer: Stepping Stones Indexing Services Cover Designer: Janet Kiesel Marketing Manager: Shari Countryman https://lccn.loc.gov/2017044644     Brief Contents 1. Analytic Contents of Research Techniques 2. Preface 3. Companion Website 4. Acknowledgments 5. About the Authors 6. Part I Preliminary Considerations 1. Chapter 1 The Selection of a Research Approach 2. Chapter 2 Review of the Literature 3. Chapter 3 The Use of Theory 4. Chapter 4 Writing Strategies and Ethical Considerations 7. Part II Designing Research 1. Chapter 5 The Introduction 2. Chapter 6 The Purpose Statement 3. Chapter 7 Research Questions and Hypotheses 4. Chapter 8 Quantitative Methods 5. Chapter 9 Qualitative Methods 6. Chapter 10 Mixed Methods Procedures 8. Glossary 9. References 10. Author Index 11. Subject Index             Detailed Contents 1. Analytic Contents of Research Techniques 2. Preface 1. Purpose 2. Audience 3. Format 4. Outline of Chapters 3. Companion Website 4. Acknowledgments 5. About the Authors 6. Part I Preliminary Considerations 1. Chapter 1 The Selection of a Research Approach 1. The Three Approaches to Research 2. Three Components Involved in an Approach 1. Philosophical Worldviews 1. The Postpositivist Worldview 2. The Constructivist Worldview 3. The Transformative Worldview 4. The Pragmatic Worldview 2. Research Designs 1. Quantitative Designs 2. Qualitative Designs 3. Mixed Methods Designs 3. Research Methods 3. Research Approaches as Worldviews, Designs, and Methods 4. Criteria for Selecting a Research Approach 1. The Research Problem and Questions 2. Personal Experiences 3. Audience 5. Summary 1. ▶Writing Exercises 6. Additional Readings 2. Chapter 2 Review of the Literature 1. The Research Topic 2. The Literature Review 1. The Use of the Literature 2. Design Techniques 1. Steps in Conducting a Literature Review 2. Searching Computerized Databases 3. A Priority for Selecting Literature Material 4. A Literature Map of the Research 5. Abstracting Studies 3. ▶ Example 2.1. Literature Review Abstract in a Quantitative Study 4. ▶ Example 2.2. Literature Review Abstract in a Study Advancing a Typology 1. Style Manuals 5. The Definition of Terms 6. ▶Example 2.3. Terms Defined in an Independent Variables Section 7. ▶Example 2.4. Terms Defined in a Mixed Methods Dissertation 8. A Quantitative or Mixed Methods Literature Review 3. Summary 1. ▶Writing Exercises 4. Additional Readings 3. Chapter 3 The Use of Theory 1. Quantitative Theory Use 1. Testing Causal Claims in Quantitative Research 2. Variables in Quantitative Research 3. Definition of a Theory in Quantitative Research 4. Forms of Theories in Quantitative Research 5. Placement of Quantitative Theories 6. Writing a Quantitative Theoretical Perspective 7. ▶Example 3.1. A Quantitative Theory Section 2. Qualitative Theory Use 1. Variation in Theory Use in Qualitative Research 2. Locating the Theory in Qualitative Research 3. ▶ Example 3.2. A Theory Early in a Qualitative Study 3. Mixed Methods Theory Use 1. ▶ Example 3.3. A Theory at the End of a Qualitative Study 2. Social Science Theory Use 3. Participatory–Social Justice Theory Use 4. Box 3.1. Transformative-Emancipatory Questions for Mixed Methods Researchers Throughout the Research Process 5. ▶ Example 3.4. Theory in a Feminist Mixed Methods Study 4. Summary 1. ▶Writing Exercises 5. Additional Readings 4. Chapter 4 Writing Strategies and Ethical Considerations 1. Writing the Proposal 1. Arguments Presented in a Proposal 2. Format for a Qualitative Proposal 3. ▶ Example 4.1. A Qualitative Constructivist/Interpretivist Format 4. ▶ Example 4.2. A Qualitative Participatory–Social Justice Format 5. Format for a Quantitative Proposal 6. ▶Example 4.3. A Quantitative Format 7. Format for a Mixed Methods Proposal 8. ▶Example 4.4. A Mixed Methods Format 9. Designing the Sections of a Proposal 2. Writing Ideas 1. Writing as Thinking 2. The Habit of Writing 3. Readability of the Manuscript 4. ▶ Example 4.5. An Illustration of the Hook-and- Eye Technique 5. Voice, Tense, and “Fat” 3. Ethical Issues to Anticipate 1. Prior to Beginning the Study 2. Beginning the Study 3. Collecting the Data 4. Analyzing the Data 5. Reporting, Sharing, and Storing Data 4. Summary 1. ▶Writing Exercises 5. Additional Readings 7. Part II Designing Research 1. Chapter 5 The Introduction 1. The Importance of Introductions 2. An Abstract for a Study 3. Qualitative, Quantitative, and Mixed Methods Introductions 4. A Model for an Introduction 1. An Illustration 2. The Research Problem 3. Studies Addressing the Problem 4. Deficiencies in Past Literature 5. ▶ Example 5.1. Deficiencies in the Literature— Needed Studies 6. ▶ Example 5.2. Deficiencies in the Literature— Few Studies 7. Significance of a Study for Audiences 8. ▶ Example 5.3. Significance of the Study Stated in an Introduction to a Quantitative Study 5. Summary 1. ▶Writing Exercises 6. Additional Readings 2. Chapter 6 The Purpose Statement 1. Significance and Meaning of a Purpose Statement 1. A Qualitative Purpose Statement 2. ▶ Example 6.1. A Purpose Statement in a Qualitative Phenomenology Study 3. ▶ Example 6.2. A Purpose Statement in a Case Study 4. ▶ Example 6.3. A Purpose Statement in an Ethnography 5. ▶ Example 6.4. A Purpose Statement in a Grounded Theory Study 6. A Quantitative Purpose Statement 7. ▶ Example 6.5. A Purpose Statement in a Published Survey Study 8. ▶ Example 6.6. A Purpose Statement in a Dissertation Survey Study 9. ▶ Example 6.7. A Purpose Statement in an Experimental Study 10. A Mixed Methods Purpose Statement 11. ▶ Example 6.8. A Convergent Mixed Methods Purpose Statement 12. ▶Example 6.9. An Explanatory Sequential Mixed Methods Purpose Statement 13. ▶Example 6.10. An Exploratory Sequential Mixed Methods Purpose Statement 2. Summary 1. ▶Writing Exercises 3. Additional Readings 3. Chapter 7 Research Questions and Hypotheses 1. Qualitative Research Questions 1. ▶ Example 7.1. A Qualitative Central Question From an Ethnography 2. ▶ Example 7.2. Qualitative Central Questions From a Case Study 2. Quantitative Research Questions and Hypotheses 1. ▶Example 7.3. A Null Hypothesis 2. ▶Example 7.4. Directional Hypotheses 3. ▶ Example 7.5. Nondirectional and Directional Hypotheses 4. ▶ Example 7.6. Standard Use of Language in Hypotheses 5. A Model for Descriptive Questions and Hypotheses 6. ▶ Example 7.7. Descriptive and Inferential Questions 3. Mixed Methods Research Questions and Hypotheses 1. ▶ Example 7.8. Hypotheses and Research Questions in a Mixed Methods Study 2. ▶ Example 7.9. A Mixed Methods Question Written Using Methods and Content Language 4. Summary 1. ▶Writing Exercises 5. Additional Readings 4. Chapter 8 Quantitative Methods 1. Defining Surveys and Experiments 2. Components of a Survey Study Method Plan 1. The Survey Design 2. The Population and Sample 3. Instrumentation 4. Variables in the Study 5. Data Analysis 6. Interpreting Results and Writing a Discussion Section 7. ▶Example 8.1. A Survey Method Plan 3. Components of an Experimental Study Method Plan 1. Participants 2. Variables 3. Instrumentation and Materials 4. Experimental Procedures 5. ▶Example 8.2. Pre-experimental Designs 6. ▶Example 8.3. Quasi-experimental Designs 7. ▶Example 8.4. True Experimental Designs 8. ▶Example 8.5. Single-Subject Designs 9. Threats to Validity 10. The Procedure 11. Data Analysis 12. Interpreting Results and Writing a Discussion Section 13. ▶Example 8.6. An Experimental Method Plan 4. Summary 1. ▶Writing Exercises 5. Additional Readings 5. Chapter 9 Qualitative Methods 1. The Characteristics of Qualitative Research 2. Qualitative Designs 3. The Researcher’s Role and Reflexivity 4. Data Collection Procedures 5. Data Recording Procedures 6. Data Analysis Procedures 7. Interpretation 8. Validity and Reliability 9. Writing the Qualitative Report 1. ▶Example 9.1. Qualitative Procedures 10. Summary 1. ▶Writing Exercises 11. Additional Readings 6. Chapter 10 Mixed Methods Procedures 1. Components of Mixed Methods Procedures 1. Describe Mixed Methods Research 2. Types of Mixed Methods Designs 1. Convergent Mixed Methods Design 2. Explanatory Sequential Mixed Methods Design 3. Exploratory Sequential Mixed Methods Design 4. Several Complex Mixed Methods Designs 3. A Procedure for Embedding Core Designs Into Complex Designs 4. Factors Important in Choosing a Mixed Methods Design 5. Examples of Mixed Methods Procedures 1. ▶ Example 10.1. A Convergent Parallel Mixed Methods Design 2. ▶Example 10.2. An Explanatory Sequential Mixed Methods Design 3. ▶Example 10.3. An Exploratory Sequential Mixed Methods Design 4. ▶Example 10.4. A Social Justice Design 6. Summary 1. ▶Writing Exercises 7. Additional Readings 8. Glossary 9. References 10. Author Index 11. Subject Index Analytic Contents of Research Techniques Chapter 1. The Selection of a Research Approach Determining your research approach Identifying a worldview with which you are most comfortable Defining the three types of research approaches Using quantitative, qualitative, and mixed methods designs and methods Chapter 2. Review of the Literature Assessing whether your topic is researchable Using steps in conducting a literature review Using computerized databases available for reviewing the literature Developing a priority for types of literature to review Designing a literature map Writing a good abstract of a research study Using important elements of a style manual Defining terms Employing a model for writing a literature review Chapter 3. The Use of Theory Testing causal claims in quantitative research Identifying variables in a quantitative study Defining the nature of a quantitative theory Using a script to write a theoretical perspective into a quantitative study Considering the types of theories used in qualitative research Placing theories in a qualitative study Placing a theoretical lens into a mixed methods study Chapter 4. Writing Strategies and Ethical Considerations Assessing the structure of a proposal for qualitative, quantitative, and mixed methods studies Using writing strategies for drafting a proposal Developing a habit of writing Constructing umbrella thoughts, big thoughts, little thoughts, and attention thoughts in writing Developing writing consistency through the hook-and-eye technique Using principles of writing good prose Anticipating ethical issues in many phases of the research process Chapter 5. The Introduction Writing an abstract for a study Exploring differences among quantitative, qualitative, and mixed methods introductions Using the deficiency model for writing an introduction Designing a good narrative hook Writing about the research problem Summarizing the literature about a research problem Pointing out deficiencies in past literature Considering audiences that may profit from your study Chapter 6. The Purpose Statement Using a script for writing a qualitative purpose statement Considering how the script would change depending on your qualitative design Using a script for writing a quantitative purpose statement Considering how the script would change depending on your quantitative design Using a script for writing a mixed methods purpose statement Considering how the script would change depending on your mixed methods design Chapter 7. Research Questions and Hypotheses Writing a script for a qualitative central question Considering how this script would change depending on the qualitative design Writing a script for quantitative research questions and hypotheses Considering how this script would change depending on the quantitative design and the different types of hypotheses Using a model for descriptive and inferential quantitative questions and hypotheses Writing scripts for different forms of research questions for a mixed methods study Chapter 8. Quantitative Methods Using a checklist for survey research to form topic sections of a survey procedure Employing steps in analyzing data for a survey procedure Writing a complete survey methods discussion Using a checklist for experimental research to form sections for an experimental procedure Identifying the type of experimental procedure that best fits your proposed study Drawing a diagram of experimental procedures Identifying the potential internal validity and external validity threats to your proposed study   Chapter 9. Qualitative Methods Using a checklist for qualitative research to form topic sections of a procedure Stating the basic characteristics of qualitative research Determining how reflexivity will be included in a proposed study Weighing the different types of data collected in qualitative research Employing steps in the qualitative data analysis process Establishing validity in qualitative research Chapter 10. Mixed Methods Procedures Stating a definition and the characteristics of mixed methods research Using a convergent mixed methods design Using an explanatory sequential mixed methods design Employing an exploratory sequential mixed methods design Using one of the complex mixed methods designs Choosing which design is best for a mixed methods study Preface Purpose This book advances a framework, a process, and compositional approaches for designing a proposal or research project for qualitative, quantitative, and mixed methods research in the human, health, and social sciences. The ascendency of qualitative research, the emergence of mixed methods approaches, and the growth of quantitative designs have created a need for this book’s unique comparison of the three approaches to inquiry. This comparison begins with preliminary consideration of philosophical assumptions for all three approaches, a review of the literature, an assessment of the use of theory and conceptual frameworks in research approaches, and reflections about the importance of writing and ethics in scholarly inquiry. The book then addresses the key elements in the process of designing and conducting a research project: writing an introduction; stating a purpose or research aims for the study; identifying research questions and hypotheses; and advancing methods and procedures for data collection, analysis, and interpretation. At each step in this process, the reader is taken through qualitative, quantitative, and mixed methods approaches. Audience This book is intended for students and faculty who seek assistance in preparing a plan, proposal, or research project for a scholarly journal article, a dissertation, a thesis, or an application for funding. At a broader level, the book may be useful as both a reference book and a textbook for courses in research methods. To best take advantage of the design features in this book, the reader needs a basic familiarity with qualitative and quantitative research; however, terms will be explained and defined and recommended strategies advanced for those needing introductory assistance in the design process. Highlighted terms in the text and a glossary of the terms at the back of the book provide a working language for understanding research. This book also is intended for a broad audience in the human, health, and social sciences. Readers’ comments from the past four editions suggest that individuals using the book come from many disciplines and fields. We hope that researchers in fields such as marketing, management, criminal justice, communication studies, psychology, sociology, K–12 education, higher and postsecondary education, nursing, family medicine, health services research, global health, behavioral health, urban studies, family research, and other fields of study will find this fifth edition useful.   Format In each chapter, we share examples drawn from varied disciplines. These examples are drawn from books, journal articles, dissertation proposals, and dissertations. Though our primary specialization is in educational psychology, the health sciences, and in psychology, the illustrations are intended to be inclusive of many fields. They reflect issues in social justice and examples of studies with marginalized individuals in our society as well as the traditional samples and populations studied by researchers. Inclusiveness also extends to methodological pluralism in research today, and the discussion incorporates alternative philosophical ideas, diverse modes of inquiry, and numerous procedures. This book is not a detailed method text; instead, we highlight the essential features of research design. We have attempted to reduce research to its essential core ideas so that researchers can plan a thorough and thoughtful study. The coverage of research designs is limited to frequently used forms: surveys and experiments in quantitative research; narrative research, phenomenology, grounded theory, ethnography, and case studies in qualitative research; and convergent, explanatory sequential, and exploratory sequential designs in mixed methods research. Although students preparing a dissertation proposal should find this book helpful, topics related to the politics of presenting and negotiating a study with review committees are addressed thoroughly in other texts. Consistent with accepted conventions of scholarly writing, we have tried to eliminate any words or examples that convey a discriminatory (e.g., sexist or ethnic) orientation. Examples were selected to provide a full range of gender and cultural orientations. Throughout the text we do not favor either qualitative or quantitative research. Indeed, we have intentionally altered the order of qualitative and quantitative examples throughout the book. Readers should also note that in the longer examples cited in this book, many references are made to other writings. Only the reference to the work we use in the illustration will be cited, not the entire list of references embedded within any particular example. As with earlier editions, we have maintained features to enhance the readability and understandability of the material: bullets to emphasize key points, numbered points to stress key steps in a process, and longer examples of complete passages with annotations to highlight key research ideas that are being conveyed by the authors. In this fifth edition of the book, new features have been added in response to developments in research and reader feedback: In this edition, we shape the discussion not only around designing a proposal for a research project but also around the steps in designing a research study. Thus, the emphasis on designing a research study (as opposed to focusing only on a proposal) is slightly larger for this edition than in past editions. We have added more information about the epistemological and ontological assumptions as they relate to research questions and methods. In the worldview section, we now include more on the transformative worldview. In the methods discussion, we have added more on specific approaches such as case studies, participatory action research, and visual methods in qualitative research. Also in the qualitative methods, we have added information about social media and online qualitative methods. Also, we have added more information on memoing and on reflexivity. In the mixed methods, we now incorporate information about action research (participatory research) and program evaluation. In the respective methods chapters, we have included more on qualitative and quantitative data analysis software. In the theory section, we have added information about causality, and then incorporated its relationship to statistics in the quantitative methods. For our quantitative, qualitative, and mixed methods sections, we have incorporated sections on writing discussion sections into each of these methodologies. We have incorporated new information into all of our methods chapters—quantitative, qualitative, and mixed methods. Our mixed methods chapter now reflects the latest advances in the field. Throughout the book, we have cited updated editions of research methods books that have emerged since the last edition and added current references and additional readings. Outline of Chapters This book is divided into two parts. Part I consist of steps that researchers need to consider before they develop their proposals or plans for research. Part II discusses the various sections used to develop a scholarly research proposal for a thesis, dissertation, or a research report. Part I. Preliminary Considerations This part of the book discusses preparing for the design of a scholarly study. It contains Chapters 1 through 4.   Chapter 1. The Selection of a Research Approach In this chapter, we begin by defining quantitative, qualitative, and mixed methods approaches. We then discuss how philosophy, designs, and methods intersect when one uses one of these approaches. We review different philosophical stances; advanced types of qualitative, quantitative, and mixed methods designs; and then discuss the methods associated with each design. We also consider the factors that go into the choice of an approach to research. Thus, this chapter should help proposal developers decide whether a qualitative, quantitative, or mixed methods approach is suitable for their proposed research project. Chapter 2. Review of the Literature It is important to extensively review the literature on your topic before you design your proposal. Thus, you need to begin with a researchable topic and then explore the literature using the steps advanced in this chapter. This calls for setting a priority for selecting material from the literature, drawing a visual map of studies that relate to your topic, writing good abstracts, employing skills learned from using style manuals, and defining key terms. This chapter should help researchers thoughtfully consider relevant literature on their topics and start compiling and writing literature reviews. Chapter 3. The Use of Theory Theories serve different purposes in the three approaches inquiry. In quantitative research, they provide a proposed explanation for the relationship among variables being tested by the investigator. In qualitative research, they may often serve as a lens for the inquiry or they may be generated during the study. In mixed methods studies, researchers employ them in many ways, including those associated with quantitative and qualitative approaches. This chapter helps researchers consider and plan how theory might be incorporated into their studies. Chapter 4. Writing Strategies and Ethical Considerations It is helpful to have an overall outline of the topics to be included in a proposal or research study before you begin writing. Thus, this chapter begins with different outlines for writing proposals. The outlines can be used as models depending on whether your proposed study is qualitative, quantitative, or mixed methods. Then we convey several ideas about the actual writing of the proposal, such as developing a habit of writing, and grammar ideas that have been helpful to us in improving our scholarly writing. Finally, we turn to ethical issues and discuss these not as abstract ideas, but as considerations that need to be anticipated in multiple phases of the research process.   Part II. Designing Research In Part II, we turn to the components of designing the research proposal. Chapters 5 through 10 address steps in this process. Chapter 5. The Introduction It is important to properly introduce a research study. We provide a model for writing a good scholarly introduction to your proposal. The chapter begins with designing an abstract for a study. This is followed by developing an introduction to include identifying the research problem or issue, framing this problem within the existing literature, pointing out deficiencies in the literature, and targeting the study for an audience. This chapter provides a systematic method for designing a scholarly introduction to a proposal or study. Chapter 6. The Purpose Statement At the beginning of research proposals or projects, authors mention the central purpose or intent of the study. This passage is the most important statement in the entire research process, and an entire chapter is devoted to this topic. In this chapter, you learn how to write this statement for quantitative, qualitative, and mixed methods studies, and you will be provided with scripts that help you design and write these statements. Chapter 7. Research Questions and Hypotheses The questions and hypotheses addressed by the researcher serve to narrow and focus the purpose of the study. As a major signpost in a project, the set of research questions and hypotheses needs to be written carefully. In this chapter, you will learn how to write both qualitative and quantitative research questions and hypotheses, as well as how to employ both forms in writing mixed methods questions and hypotheses. Numerous examples serve as scripts to illustrate these processes. Chapter 8. Quantitative Methods Quantitative methods involve the processes of collecting, analyzing, interpreting, and writing the results of a study. Specific methods exist in both survey and experimental research that relate to identifying a sample and population, specifying the type of design, collecting and analyzing data, presenting the results, making an interpretation, and writing the research in a manner consistent with a survey or experimental study. In this chapter, the reader learns the specific procedures for designing survey or experimental methods that need to go into a research proposal. Checklists provided in the chapter help to ensure that all steps are included.   Chapter 9. Qualitative Methods Qualitative approaches to data collection, analysis, interpretation, and report writing differ from the traditional, quantitative approaches. Purposeful sampling, collection of open-ended data, analysis of text or images (e.g., pictures), representation of information in figures and tables, and personal interpretation of the findings all inform qualitative methods. This chapter advances steps in designing qualitative procedures into a research proposal, and it also includes a checklist for making sure that you cover important procedures. Ample illustrations provide examples from narrative studies, phenomenology, grounded theory, ethnography, and case studies. Chapter 10. Mixed …