Research Paradigms: An Overview

Masters Program in Renewable EnergyMasters Program in Renewable EnergyDepartment of Mechanical Engineering, Department of Mechanical Engineering,

Institute of EngineeringInstitute of Engineering

August 7, 2009August 7, 2009

PRAMOD BAHADUR SHRESTHA

PROFESSOR (RETIRED), DEPARTMENT OF MECHANICAL

ENGINEERING, INSTITUTE OF ENGINEERING, NEPAL

Presentation Outline Presentation Outline

What is Research? What is Paradigm? Definition,

Concept, the Paradigm Shift Main Components of a Paradigm:

Ontology, Epistemology & Methodology

Research Paradigms: Three Main Paradigms

Paradigm Positions on Selected Practical Research Issues

Presentation Outline Presentation Outline

Logic of Inquiry: Research Strategies

Quantitative/Qualitative Research: Salient Features; Mixed Methods?

Research Process

“Every discipline depends on Research Activities Every discipline depends on Research Activities to expand its knowledge base.”to expand its knowledge base.”

There are many ways of knowing and therefore many ways of approaching

research. •“ A studious inquiry or examination, especially a critical investigation or experimentation having for its aim the discovery of new facts and their correct interpretation, the revision of accepted conclusions, theories, or laws in the light

of new discovered facts or the practical application of such conclusions, theories or laws.”• “Diligent and systematic inquiry or

investigation into a subject in order to discover facts or principles.”

What is research?

Typologies of Research Designs used in Social Typologies of Research Designs used in Social Science ResearchScience Research

Research Design = Architectural Blueprint. A plan for assembling, Research Design = Architectural Blueprint. A plan for assembling, organizing, and integrating information (data), and its results organizing, and integrating information (data), and its results in a specific end product (research findings)in a specific end product (research findings)

McGrath (1970) Five ModelsMcGrath (1970) Five Models1.1. Controlled ExperimentControlled Experiment2.2. StudyStudy3.3. SurveySurvey4.4. InvestigationInvestigation5.5. Action ResearchAction Research

Selltiz (1962) Three Broad CategoriesSelltiz (1962) Three Broad Categories1.1. Formative or Exploratory Formative or Exploratory 2.2. DescriptiveDescriptive3.3. Causal Hypotheses TestingCausal Hypotheses Testing

Isaac’s Nine Categories (1978)Isaac’s Nine Categories (1978)1.1. HistoricalHistorical2.2. DescriptiveDescriptive3.3. DevelopmentalDevelopmental4.4. Co-rrelationalCo-rrelational5.5. Case or Field StudyCase or Field Study6.6. Casual-ComparativeCasual-Comparative7.7. True ExperimentalTrue Experimental8.8. Quasi-ExperimentalQuasi-Experimental9.9. ActionAction

What is a paradigm?What is a paradigm?

A broad framework of perception, understanding, belief within which theories and practices operate.

… a network of coherent ideas about the nature of the world and the functions of researchers which, adhered to by a group of researchers, conditions their thinking and underpins their research actions [Bassey, 1990: para 8.1]

A basis for comprehension, for interpreting social reality [Cohen, Manion & Morrison, 2000: 9]

What is a paradigm? What is a paradigm? (Continued)(Continued)

It pre-structures perceptions, conceptualisation & understanding

Shifts in scientific theory require new paradigms [Science is] …a series of peaceful interludes punctuated by intellectually violent revolutions … in which one conceptual world view is replaced by another. [Cohen, Manion & Morrison, 2000: 396]

Researchers from different disciplines [traditions?] may have different paradigms

There are competing paradigms in research

What is a PARADIGM ?

a mental model a way of seeing a filter for one's perceptions a frame of reference a framework of thought or beliefs through

which one's world or reality is interpreted an example used to define a phenomenon a commonly held belief among a group of

people, such as scientists of a given discipline

Paradigm Shift In 1962, Thomas Kuhn wrote The Structure of

Scientific Revolution, and fathered, defined and popularized the concept of "paradigm shift" (p.10). Kuhn argues that scientific advancement is not evolutionary, but rather is a "series of peaceful interludes punctuated by intellectually violent revolutions", and in those revolutions "one conceptual world view is replaced by another".

Think of a Paradigm Shift as a change from one way of thinking to another. It's a revolution, a transformation, a sort of metamorphosis. It just does not happen, but rather it is driven by agents of change.

Main ComponentsMain Componentsof a Paradigm:of a Paradigm:

OntologyOntologyEpistemologyEpistemology MethodologyMethodology

Main Components of Paradigm

Ontology – ‘concerned with being’- - How do you look at reality?How do you look at reality?

‘Epistemology – ‘The branch of philosophy concerned with the origin, nature, methods & limits of knowledge.’

Ontology Ontology is the starting point of all

research, after which one’s epistemological and methodological positions logically follow. A dictionary definition of the term may describe it as the image of social reality upon which a theory is based

Ontology Norman Blaikie offers a fuller definition,

suggesting that ontological claims are ‘claims and assumptions that are made about the nature of social reality, claims about what exists, what it looks like, what units make it up and how these units interact with each other.

In short, ontological assumptions are concerned with what we believe constitutes social reality’ (Blaikie, 2000, p. 8)

Epistemology

Epistemology, one of the core branches of philosophy, is concerned with the theory of knowledge, especially in regard to its methods, validation and ‘the possible ways of gaining knowledge of social reality, whatever it is understood to be.

Epistemology Derived from the Greek words episteme

(knowledge) and logos (reason), epistemology focuses on the knowledge-gathering process and is concerned with developing new models or theories that are better than competing models and theories.

Knowledge, and the ways of discovering it, is not static, but forever changing. When reflecting on theories, and concepts in general, researchers need to reflect on the assumptions on which they are based and where they originate from in the first place.

Ways of Knowing about theWorld: Inquiry Strategies

Authority (parents, state, boss, etc)

Religion (faith, belief, standard, morals, etc)

Tradition (we have always done that way, folkways, cultural patterns, we know how to behave in certain situation)

Intuition

Creativity

Science and scientific research

Research Methods and Methodology

Methodology refers to general principles which underline how we investigate the social world and how we demonstrate that the knowledge generated is valid.

Research methods refers to the more practical issues of choosing an appropriate research design – perhaps an experiment or a survey – to answer a research question, and then designing instruments to generate data.

Logic of Inquiry: Logic of Inquiry: Research StrategiesResearch Strategies

Deductive and Inductive ThinkingDeductive and Inductive Thinking

Deductive Thinking = "top-down" approach. Narrow in nature and is

concerned with testing or confirming hypotheses.

Deductive Thinking

Inductive Thinking = "bottom up" approach. Open ended and

exploratory.Inductive Thinking

The Research WheelThe Research Wheel

Survey = Survey = DeductiveDeductive, variables are , variables are selected for investigation from a selected for investigation from a theory or conceptual model before the theory or conceptual model before the study. Results are generally presented study. Results are generally presented quantitatively.quantitatively.

Case study = Case study = InductiveInductive, impossible to , impossible to identify all the important variables identify all the important variables ahead of time. Results are presented ahead of time. Results are presented qualitatively, using words and qualitatively, using words and pictures rather than numberspictures rather than numbers

Positivism, Critical Theory et. al, Positivism, Critical Theory et. al, Interpretivism/Constructivism: A Interpretivism/Constructivism: A Comparison Among ParadigmsComparison Among Paradigms

PositivismPositivismQuantitative purists (Positivists):

Believe that social observations should be treated as entities in much the same way that physical scientists treat physical phenomena.

Contend that the observer is separate from the entities that are subject to observation.

Maintain that social inquiry should be objective.

That time- and context-free generalizations (Nagel, 1986) are desirable and possible, and

Real causes of social scientific outcomes can be determined reliably and validly.

Interpretivism/ConstructivismInterpretivism/Constructivism

Qualitative purists (also called constructivists and interpretivists) reject positivism.

Argue for the superiority of constructivism, idealism, relativism, humanism, hermeneutics, and, sometimes, postmodernism.

Contend that multiple-constructed realities abound,

That time- and context-free generalizations are neither desirable nor possible,

Interpretivism/Constructivism Interpretivism/Constructivism (Cont’d)(Cont’d)

That research is value-bound,

That it is impossible to differentiate fully causes and effects,

That logic flows from specific to general (e.g., explanations are generated inductively from the data), and

That knower and known cannot be separated because the subjective knower is the only source of reality.

Quantitative Versus Qualitative Quantitative Versus Qualitative Research: Research:

Salient Features; Mixed Methods?Salient Features; Mixed Methods?

Quantitative Quantitative researchresearch

Its purpose is to explain social life

Is nomothetic – interested in establishing law-like statements, causes, consequences, etc

Aims at theory testing

Employs an objective approach

Qualitative Qualitative researchresearch

Its purpose is to understand social life

Is ideographic – describes reality as it is

Aims at theory building

Employs a subjective approach

Quantitative Quantitative researchresearch

Is etiological – interested in explanations over space and time

Is a closed approach – is strictly planned

Research process is predetermined

Uses a rigid and static approach

Qualitative Qualitative researchresearch

Is historical – interested in real cases

Is open and flexible in all aspects

Research process is influenced by the respondent

Uses a dynamic approach

Employs an inflexible process

Is particularistic, studies elements, variables

Employs random sampling

Employs a flexible process

Is holistic – studies whole units

Employs theoretical sampling

Quantitative researchQuantitative research Qualitative researchQualitative research

Places priority on studying differences

Employs a reductive data analysis

Employs high levels of measurement

Employs a deductive approach

Places priority on studying similarities

Employs an explicative data analysis

Employs low levels of measurement

Employs an inductive approach

Quantitative researchQuantitative research Qualitative researchQualitative research

FeatureFeature Quantitative Quantitative MethodologyMethodology

Qualitative Qualitative MethodologyMethodology

Nature of realityNature of reality Objective; simple; single; tangible sense impressions

Subjective; problematic; holistic; a social construct

Causes and Causes and effectseffects

Nomological thinking; cause – effect linkages

Non-deterministic; mutual shaping; no cause – effect linkages

The role of valuesThe role of values Value neutral; value-free inquiry

Normativism; value-bound inquiry

FeatureFeature Quantitative MethodologyQuantitative Methodology Qualitative MethodologyQualitative Methodology

Natural and social Natural and social sciencessciences

Deductive; model of natural sciences; nomothetic; bases on strict rules

Inductive; rejection of the natural sciences model; ideographic; no strict rules; interpretations

MethodsMethods Quantitative, mathematical; extensive use of statistics

Qualitative, with less emphasis on statistics; verbal and qualitative analysis

Researcher’s roleResearcher’s role Rather passive; is the ‘knower’; is separate from subject – the known: dualism

Active; ‘knower’ and ‘known’ are interactive and inseparable

GeneralizationsGeneralizations Inductive generalizations; nomothetic statements

Analytical or conceptual generalizations; time-and-context specific

Criteria: Quantitative Research --- Criteria: Qualitative ResearchCriteria: Quantitative Research --- Criteria: Qualitative Research

Internal validityInternal validity CredibilityCredibility

External validityExternal validity TransferabilityTransferability

ReliabilityReliability DependabilityDependability

ObjectivityObjectivity ConfirmabilityConfirmability

The Qualitative-Quantitative DebateThe Qualitative-Quantitative Debate

The debate is between the general The debate is between the general assumptionsassumptions involved in undertaking a research project involved in undertaking a research project (qualitative, quantitative or mixed). At the level of (qualitative, quantitative or mixed). At the level of the assumptions that are made, the differences can the assumptions that are made, the differences can be profound and irreconcilable (which is why be profound and irreconcilable (which is why there's so much fighting that goes on). There are there's so much fighting that goes on). There are some fundamental differences, but that they lie some fundamental differences, but that they lie primarily at the level of assumptions about primarily at the level of assumptions about research (epistemological and ontological research (epistemological and ontological assumptions).assumptions).

The quantitative-qualitative debate is The quantitative-qualitative debate is philosophical. Many qualitative researchers philosophical. Many qualitative researchers operate under different epistemological (source of operate under different epistemological (source of knowledge) and ontological (how we look at reality) knowledge) and ontological (how we look at reality) assumptions from quantitative researchers.assumptions from quantitative researchers.

Some questions???Some questions???1.1. So, if the difference between So, if the difference between

qualitativequalitative and and quantitativequantitative is not is not along the along the exploratoryexploratory--confirmatoryconfirmatory or or inductiveinductive--deductivedeductive dimensions, dimensions, then where is it?then where is it?

2.2. Is it true that now-a-days, we find Is it true that now-a-days, we find researchers who are interested in researchers who are interested in blending the two traditions, blending the two traditions, attempting to get the advantages of attempting to get the advantages of each? each?

Three Main Types of Research Three Main Types of Research QuestionsQuestions

1.1. DescriptiveDescriptiveWhen a study is designed primarily to When a study is designed primarily to describe what is going on or what exists. describe what is going on or what exists. Public opinion polls that seek only to describe Public opinion polls that seek only to describe the proportion of people who hold various the proportion of people who hold various opinions are primarily descriptive in nature. opinions are primarily descriptive in nature. For instance, if we want to know what percent For instance, if we want to know what percent of the population would vote for a Democratic of the population would vote for a Democratic or a Republican in the next presidential or a Republican in the next presidential election, we are simply interested in election, we are simply interested in describing something. describing something.

Relational Relational When a study is designed to look at When a study is designed to look at the relationships between two or more the relationships between two or more variables. A public opinion poll that variables. A public opinion poll that compares what proportion of males compares what proportion of males and females say they would vote for a and females say they would vote for a Democratic or a Republican candidate Democratic or a Republican candidate in the next presidential election is in the next presidential election is essentially studying the relationship essentially studying the relationship between gender and voting preference. between gender and voting preference.

3.3. CausalCausal When a study is designed to determine When a study is designed to determine whether one or more variables (e.g., a whether one or more variables (e.g., a program or treatment variable) causes or program or treatment variable) causes or affects one or more outcome variables. If affects one or more outcome variables. If we did a public opinion poll to try to we did a public opinion poll to try to determine whether a recent political determine whether a recent political advertising campaign changed voter advertising campaign changed voter preferences, we would essentially be preferences, we would essentially be studying whether the campaign (cause) studying whether the campaign (cause) changed the proportion of voters who changed the proportion of voters who would vote Democratic or Republican would vote Democratic or Republican (effect). (effect).

Introduction to ValidityIntroduction to Validity

Validity = The best available approximation to the truth of a given proposition, inference, or conclusion.

External validity

Introduction to Validity: Four Introduction to Validity: Four types of validitytypes of validity

Four Types of ValidityFour Types of Validity The four validity types are: Internal The four validity types are: Internal

validity, External Validity, Construct validity, External Validity, Construct Validity and Conclusion Validity. They Validity and Conclusion Validity. They build on one another, with two of them build on one another, with two of them ((conclusion and and internal) referring to the ) referring to the land of observation on the bottom of land of observation on the bottom of the figure, one of them (the figure, one of them (construct) ) emphasizing the linkages between the emphasizing the linkages between the bottom and the top, and the last (bottom and the top, and the last (external) being primarily concerned ) being primarily concerned about the range of our theory on the about the range of our theory on the top.top.

Internal Validity deals with the question of Internal Validity deals with the question of how one’s findings match reality. Do the how one’s findings match reality. Do the findings capture what is really there? Are findings capture what is really there? Are investigators observing or measuring what investigators observing or measuring what they think they are measuring?they think they are measuring?

One of the assumptions underlying One of the assumptions underlying qualitative research is that reality is holistic, qualitative research is that reality is holistic, multi-dimensional, and ever-changing; it is multi-dimensional, and ever-changing; it is not a single, fixed, objective phenomenon not a single, fixed, objective phenomenon waiting to be discovered, observed, and waiting to be discovered, observed, and measured. Then how do we assess the measured. Then how do we assess the validity of what validity of what isis being observed or being observed or measured?measured?

External validity is related to generalizing. External validity is related to generalizing. That's the major thing you need to keep in That's the major thing you need to keep in mind. Recall that validity refers to the mind. Recall that validity refers to the approximate truth of propositions, approximate truth of propositions, inferences, or conclusions. So, inferences, or conclusions. So, externalexternal validity refers to the approximate truth of validity refers to the approximate truth of conclusions the involve conclusions the involve generalizationsgeneralizations. . Put in more simple terms, external validity Put in more simple terms, external validity is the degree to which the conclusions in is the degree to which the conclusions in your study would hold for other persons in your study would hold for other persons in other places and at other times.other places and at other times.

Threats to external validityThreats to external validity There are three major threats to external validity because There are three major threats to external validity because

there are three ways you could be wrong -- there are three ways you could be wrong -- people, places or people, places or timestimes. Your critics could come along, for example, and argue . Your critics could come along, for example, and argue that the results of your study are due to the unusual type of that the results of your study are due to the unusual type of people who were in the study. Or, they could argue that it people who were in the study. Or, they could argue that it might only work because of the unusual place you did the might only work because of the unusual place you did the study in (perhaps you did your educational study in a college study in (perhaps you did your educational study in a college town with lots of high-achieving educationally-oriented kids). town with lots of high-achieving educationally-oriented kids). Or, they might suggest that you did your study in a peculiar Or, they might suggest that you did your study in a peculiar time. For instance, if you did your smoking cessation study time. For instance, if you did your smoking cessation study the week after the Surgeon General issues the well-publicized the week after the Surgeon General issues the well-publicized results of the latest smoking and cancer studies, you might results of the latest smoking and cancer studies, you might get different results than if you had done it the week before.get different results than if you had done it the week before.

Perhaps the best approach to criticisms of generalizations is Perhaps the best approach to criticisms of generalizations is simply to show them that they're wrong -- do your study in a simply to show them that they're wrong -- do your study in a variety of places, with different people and at different times. variety of places, with different people and at different times. That is, your external validity (ability to generalize) will be That is, your external validity (ability to generalize) will be stronger the more you replicate your study. stronger the more you replicate your study.

Criteria: Quantitative Research --- Criteria: Qualitative ResearchCriteria: Quantitative Research --- Criteria: Qualitative Research

Internal validityInternal validity CredibilityCredibility

External validityExternal validity TransferabilityTransferability

ReliabilityReliability DependabilityDependability

ObjectivityObjectivity ConfirmabilityConfirmability

Dealing with the issue of Dealing with the issue of validity and reliabilityvalidity and reliability

All researchers is concerned with All researchers is concerned with producing producing validvalid and and reliable reliable knowledge in an knowledge in an ethical ethical manner. manner.

Basic question:Basic question: TO WHAT EXTENT CAN TO WHAT EXTENT CAN THE RESEARCHER TRUST THE FINDINGS THE RESEARCHER TRUST THE FINDINGS OF A SURVEY STUDY???OF A SURVEY STUDY???

The first thing we have to ask is: "validity of The first thing we have to ask is: "validity of whatwhat?" When we think about validity in ?" When we think about validity in research, most of us think about research research, most of us think about research components. We might say that a measure components. We might say that a measure is a valid one, or that a valid sample was is a valid one, or that a valid sample was drawn, or that the design had strong drawn, or that the design had strong validity. But all of those statements are validity. But all of those statements are technically incorrect. Measures, samples technically incorrect. Measures, samples and designs don't 'have' validity -- only and designs don't 'have' validity -- only propositions can be said to be valid. propositions can be said to be valid. Technically, we should say that a measure Technically, we should say that a measure leads to valid conclusions or that a sample leads to valid conclusions or that a sample enables valid inferences, and so on. It is a enables valid inferences, and so on. It is a proposition, inference or conclusion that proposition, inference or conclusion that can 'have' validity.can 'have' validity.

Internal ValidityInternal Validity = It deals with the question of how = It deals with the question of how one’s findings match reality. Do the findings one’s findings match reality. Do the findings capture what is really there? Are investigators capture what is really there? Are investigators observing or measuring what they think they are observing or measuring what they think they are measuring? measuring?

External ValidityExternal Validity = Ability to generalize. The extent = Ability to generalize. The extent to which the findings of one study can be applied to which the findings of one study can be applied to other situations.to other situations.

Construct ValidityConstruct Validity = How well you have translated a = How well you have translated a concept or construct into a functioning and concept or construct into a functioning and operating reality (the operationalization).operating reality (the operationalization).

ReliabilityReliability = The extent to which there is = The extent to which there is consistency in one’s findings. This is enhanced by consistency in one’s findings. This is enhanced by the investigator explaining the assumptions and the investigator explaining the assumptions and the theory underlying the study, by triangulating the theory underlying the study, by triangulating data, and by leaving a audit trail, that is, by data, and by leaving a audit trail, that is, by describing in detail how the study was conducted describing in detail how the study was conducted and how the findings were derived from the data.and how the findings were derived from the data.

ConclusionConclusion

“I keep six honest serving men, (they taught me all I knew), their names are what, and why, and when, and how, and where and who.”

--Rudyard Kipling

ConclusionConclusion

““The formulation of the problem The formulation of the problem is often more essential than its is often more essential than its solution”solution”

Albert EinsteinAlbert Einstein

Suggested ReadingsSuggested Readings Norman W. H. Blaikie, Norman W. H. Blaikie, Approaches to Social InquiryApproaches to Social Inquiry, ,

Polity Press, UK,1993. Polity Press, UK,1993. Norman W. H. Blaikie, Norman W. H. Blaikie, Designing Social ResearchDesigning Social Research

Polity Press, UK, 2000.Polity Press, UK, 2000. Norman K, Denzin and Yvonna S. Lincoln, Norman K, Denzin and Yvonna S. Lincoln,

Handbook of Qualitative ResearchHandbook of Qualitative Research, SAGE , SAGE Publications, USA,1993.Publications, USA,1993.