A2-Research Plan Overview

Creswell, J. W., & Poth, C. N. (2025). Qualita ve inquiry & research design: Choosing among five approaches (5th ed.). Sage Publica ons.

3 DESIGNING A QUALITATIVE STUDY

We think metaphorically of qualita ve research as an intricate fabric comprising minute threads, many colors, different textures, and various blends of material. This fabric is not explained easily or simply. Like the loom on which fabric is woven, general assump ons and interpre ve frameworks hold qualita ve research together. To describe these frameworks, qualita ve researchers use these terms—construc vist, interpre vist, feminist, postmodernist, and so forth. Within these assump ons and through these frameworks are approaches (or designs) to qualita ve inquiry, such as narra ve research, phenomenology, grounded theory, ethnography, and case studies. This field has many different individuals with different perspec ves who are on their own looms crea ng the fabric of qualita ve research. Aside from these differences, the crea ve ar sts have the common task of making a fabric. In other words, there are characteris cs common to all forms of qualita ve research, and the different characteris cs will receive different emphases depending on the qualita ve project. Not all characteris cs are present in all qualita ve projects, but many are. The intent of this chapter is to provide an overview of, and introduc on to, the process of designing a qualita ve study so that we can see commonali es before we explore the differences across the five approaches (e.g., narra ve, phenomenology, and others). We begin with a discussion of the types of research problems and issues best suited for a qualita ve study. We emphasize the requirements needed to conduct this rigorous, me-consuming research as well as criteria for assessing its quality. Given that you have the essen als (the problem, the me, the criteria) to engage in this inquiry, we then sketch out the overall process involved in designing and planning a study. This process entails preliminary considera ons,

phases in the process, and overall elements to consider throughout the process. Within these aspects, qualita ve researchers need to an cipate and plan for poten al ethical issues because these issues arise during many phases of the research process. We end by sugges ng design structures including considera ons for engaging readers and an outline that you might use to guide the overall structure for planning or proposing a qualita ve research study. The chapters to follow will then address the different types of inquiry approaches. The general design features, outlined here, will be refined for the five approaches discussed in the remainder of the book. WHEN TO USE QUALITATIVE RESEARCH When is it appropriate to use qualita ve research? We conduct qualita ve research because a problem or issue needs to be explored. This explora on is needed, in turn, because of a need to study a group or a popula on, iden fy variables that cannot be easily measured, or hear silenced voices These are all good reasons to explore a problem rather than to use predetermined informa on from the literature or rely on results from other research studies. We also conduct qualita ve research because we need a complex, detailed understanding of the issue being explored. The focus of the explora on can be on understanding the self or the rela onships of others in groups or cultures—wherever they are happening, including virtual contexts. The necessary detail can only be established by talking directly with people, going to their homes or places of work or recrea on, and allowing them to tell their stories unencumbered by what we expect to find or what we have read in the literature. It is the responsibility of the researcher to create environments where par cipants feel comfortable and empowered to share their stories and their experiences of things that happen in their lives. Qualita ve researchers are limited by what par cipants can and are willing to share with us. We conduct qualita ve research when we want to empower individuals to share their stories, hear their voices, and minimize the power rela onships that o en exist between a researcher and the par cipants in a study. To further deemphasize a power rela onship, we may collaborate directly with par cipants by having them review our research ques ons, or by having them collaborate with us during the data analysis and interpreta on phases of research. We conduct qualita ve research when we want to write in a literary, flexible style that conveys stories, theatrical plays, or poems, without the restric ons of formal academic structures of wri ng. We conduct qualita ve research because we want to understand the contexts or se ngs in which par cipants in a study address a problem or issue. We cannot always separate what people say from the place where they say it—whether this context is their home, family, or work. We use qualita ve research to follow up quan ta ve research and help explain the mechanisms or linkages in causal theories or models. These theories provide a general picture of trends, associa ons, and rela onships, but they do not tell us about the processes that people experience, why they responded as they did, the context in which they responded, and their deeper thoughts and behaviors that governed their responses. We use qualita ve research to develop theories when par al or inadequate theories exist for certain popula ons and samples, or exis ng theories do not adequately capture the complexity of the problem we are examining. We also use qualita ve research because quan ta ve

measures and sta s cal analyses simply do not fit the problem. Interac ons among people, for example, are difficult to capture with exis ng measures, and these measures may not be sensi ve to issues such as gender differences, race, economic status, and individual differences. To level all individuals to a sta s cal mean overlooks the uniqueness of individuals in our studies. Examine Figure 3.1 for a summary descrip on of when qualita ve approaches are simply a be er fit for our research problem.

WHAT A QUALITATIVE STUDY REQUIRES FROM US What does it take to engage in this form of research? To undertake qualita ve research requires a strong commitment to study a problem and to its demands of me and resources. Qualita ve research keeps good company with the most rigorous quan ta ve approaches, and it should not be viewed as an easy subs tute for a “sta s cal” or quan ta ve study. Qualita ve inquiry is for the researcher who is willing to do the following:

Commit to extensive me in the natural se ng of individuals and communi es (e.g., homes, schools, workplaces). The inves gator collects extensive data and labors over site issues of trying to gain access and establish rapport. Collabora ng with par cipants takes me yet is important for developing an “insider” perspec ve.

Engage in the complex, me-consuming process of data analysis. The inves gator undertakes the ambi ous task of data management, including sor ng through large amounts of data and making sense of the data. For a mul disciplinary team of qualita ve researchers, this task can be shared; for most researchers, it requires an intensive me commitment.

Write lengthy and descrip ve passages. The inves gator presents the evidence in a way that the claims are substan ated and reflec ve of mul ple perspec ves. The incorpora on of quotes to provide par cipants’ perspec ves also lengthens the study.

Embrace dynamic and emergent procedures. The inves gator par cipates in a form of social and human science research that does not follow specific procedures and is constantly changing. This might complicate telling others about study plans and how others judge the study when completed.

A end to an cipated and developing ethical issues. The inves gator considers what ethical issues might surface during the study and plans how these issues need to be addressed. Addi onally, new issues might emerge, which require a en on and engaging in ethical reasoning, while undertaking the study. Ethical reasoning involves making decisions based on a careful assessment of different op ons in light of the facts, circumstances, and ethical issues. THE FEATURES OF A “GOOD” QUALITATIVE STUDY In the end, individuals such as readers, par cipants, graduate commi ees, editorial board members for journals, and reviewers of proposals for funding will apply some criteria to assess the quality of a study. Standards for assessing the quality of qualita ve research are available (Howe & Eisenhardt, 1990; Lincoln, 1995; Marshall et al., 2021; Tracy, 2010, 2017). Here and in Figure 3.2 is our short list describing the features of a “good” qualita ve study. You will see an emphasis on rigorous methods present in this list. The researcher frames the study within the assump ons and characteris cs of the qualita ve approach to research. This includes fundamental characteris cs, such as an evolving design, the presenta on of mul ple reali es, the researcher as an instrument of data collec on, and a focus on par cipants’ views—in short, all of the dis nguishing characteris cs for qualita ve research men oned in Table 1.1. The researcher conducts an ethical study. This involves more than simply the researcher seeking an ethical review and obtaining the permission of ins tu onal review commi ees or boards. It means that the researcher considers and addresses all an cipated and emergent ethical issues in the study. The researcher uses a recognizable approach to qualita ve inquiry. Use of a recognized approach to research, such as one of the five approaches (or others) addressed in this book, enhances the rigor and sophis ca on of the research design. It also provides some means to evaluate the qualita ve study. Use of an approach means that the researcher iden fies and defines the approach, cites studies that employ it, and follows the procedures outlined in the approach. Certainly, the approach taken in the study may not exhaus vely cover all of the elements of the approach. However, for the beginning student of qualita ve research, we recommend staying within one approach, learning it, becoming comfortable with it, and keeping a study concise and straigh orward. Later, especially in long and complex studies, features from several approaches may be useful. The researcher begins with a single focus or concept being explored. Although examples of qualita ve research show a comparison of groups or factors or themes, as in case study projects or in ethnographies, we like to begin a qualita ve study focused on understanding a single concept or idea (e.g., What does it mean to be a professional? A teacher? A painter? A single

mother? A homeless person?). As the study progresses, it can begin incorpora ng the comparison (e.g., How does the case of a professional teacher differ from that of a professional administrator?) or related factors (e.g., What explains why a pain ng evokes feelings?). All too o en qualita ve researchers advance to the comparison or the rela onship analysis without first understanding their core concept or idea. The researcher employs rigorous data collec on procedures. This means that the researcher collects mul ple forms of data, creates a summary—perhaps in table form—of the forms of data and details about them, and spends adequate me in the field. It is not unusual for qualita ve studies to include informa on about the specific amount of me in the field (e.g., 25 hours observing). We especially like to see unusual forms of qualita ve data collec on, such as using photographs, sounds, or digital text messages to elicit par cipant responses. The researcher includes detailed methods describing a rigorous approach to data collec on, data analysis, and report wri ng. Rigor is seen, for example, when extensive data collec on in the field occurs or when the researcher conducts mul ple levels of data analysis from the narrow codes or themes to broader interrelated themes to more abstract dimensions. Rigor means, too, that the researcher validates the accuracy of the account using one or more of the procedures for valida on, such as member checking, triangula ng sources of data, or using a peer or external auditor of the account. The researcher analyzes data using mul ple levels of abstrac on. We like to see the ac ve work of researchers as they move from par culars to general levels of abstrac on. O en, writers present their studies in stages (e.g., mul ple themes that can be combined into larger themes or perspec ves) or layer their analysis from the par cular to the general. The codes and themes derived from the data might show mundane, expected, and surprising ideas. O en the best qualita ve studies present themes analyzed in terms of exploring the shadow side or unusual angles. In one class project, the student examined how students in a distance learning class reacted to viewing their classmates. Rather than looking at the students’ reac on when the camera was on them, the researcher sought to understand what happened when the camera was off them. This approach led to the author taking an unusual angle—one not expected by the readers. The researcher writes persuasively so that the reader experiences “being there.” The concept of verisimilitude, a literary term, captures our thinking (Richardson, 1994, p. 521). The wri ng is clear, engaging, and full of unexpected ideas. The story and findings become believable and realis c, accurately reflec ng all the complexi es that exist in real life and engaging the reader. The researcher situates themselves within the study to reflect their history, culture, and personal experiences. This is more than simply an autobiography, with the writer or the researcher talking about their background. It focuses on how individuals’ culture, gender, history, and experiences shape all aspects of the qualita ve project, from their choice of a ques on to address, how they collect data, how they make an interpreta on of the situa on, to what they expect to obtain from conduc ng the research. In some way—such as discussing their role, interweaving themselves into the text, or reflec ng on the ques ons they have about the study—individuals posi on themselves in the qualita ve study.

THE PROCESS OF DESIGNING A QUALITATIVE STUDY There is no agreed upon structure for how to design a qualita ve study. Although books on qualita ve research vary in their sugges ons for design, the process is very much shaped by the par cular approach adopted by the researcher. You may recall from Chapter 1 that research

design means the plan for conduc ng the study. Some authors believe that by reading a study, discussing the procedures, and poin ng out issues that emerge, the aspiring qualita ve researcher will have a sense of how to conduct this form of inquiry (see Weis & Fine, 2000). That may be true for some individuals. For others, understanding the broader issues may suffice to help design a study (see Richards & Morse, 2013) or to seek guidance from a how-to book (see Hatch, 2002). Rather than offering a how-to perspec ve, we consider our approach as more in line with crea ng op ons for qualita ve researchers (hence, the five approaches), weighing the op ons given our experiences, and then le ng readers make informed choices for themselves. We can share, however, how we think about designing a qualita ve study that is logically consistent across its research elements. It can be conveyed in three components: preliminary considera ons that we think through prior to beginning a study, the steps we engage in during the conduct of the study, and the elements that flow through all phases of the process of research. Preliminary Considera ons There are certain design principles that we work from when designing qualita ve research studies. We find that qualita ve research generally falls within the process of the scien fic method, with common phases whether one is wri ng qualita vely or quan ta vely. The scien fic method can be described as including the problem, the hypotheses (or ques ons), the data collec on, the results, and the discussion. All researchers seem to start with an issue or problem, examine the literature in some way related to the problem, pose ques ons, gather data and then analyze them, and write up their reports. Qualita ve research fits within this structure, and we have accordingly organized the chapters in this book to reflect this process. Qualita ve research is itera ve and much less stepwise than it may appear in plans and reports. As an example, the reality of how researchers iden fy their issue or problem is quite varied, and, unlike our descrip on above, reading the literature can o en spark an idea for a problem or issue to be explored and help researchers refine and focus their study. In other cases, study ideas come from a variety of sources including previous experiences or from those around you. Bloomberg (2022) aptly describes the con nuum of emo ons from frustra on to excitement that researchers can experience as they search for a topic for qualita ve study. She also offers the following advice: “Finding a research topic that is interes ng, relevant, and worthy of your

me may take substan al effort, so you should be prepared to invest your me accordingly” (Bloomberg, 2022, p. 32). We could not agree more! We like the concept of methodological congruence advanced by Morse and Richards (2002) and revisited in Richards and Morse (2013)—that the purposes, ques ons, and methods of research are all interconnected and interrelated so that the study appears as a cohesive whole rather than as fragmented, isolated parts. With a similar goal of crea ng coherent and workable rela onships among the key components of a research design, Maxwell (2013) advances an interac ve approach to research design. When engaging in the process of designing a

qualita ve study, we believe that the inquirer must be mindful of the interconnectedness of the parts and the interac ve design processes. Several aspects of a qualita ve project vary from study to study, and from ini al discussions, we make preliminary decisions about what will be emphasized. For example, stances on the use of the literature vary widely, as does the emphasis on using an a priori theory. The literature may be fully reviewed and used to inform the ques ons actually asked, reviewed late in the process of research, or used solely to help document the importance of the research problem. Other op ons may also exist, but these possibili es point to the varied uses of literature in qualita ve research. Similarly, the use of theory varies in qualita ve research (Collins & Stockton, 2018). For example, cultural theories form the basic building blocks of a good qualita ve ethnography (LeCompte & Schensul, 1999), whereas in grounded theory, the theories are developed or generated during the process of research (Strauss & Corbin, 1990). In health science research, we find the use of a priori theories common prac ce and a key element to be included in rigorous qualita ve inves ga ons (Barbour, 2000). Another considera on in qualita ve research is the wri ng or repor ng format for the qualita ve project. It varies considerably from scien fic-oriented approaches, to literary storytelling, and on to performances, such as theatrical plays or poems. There is no one standard or accepted structure as one typically finds in quan ta ve research. Finally, we also consider background and interests and what each of us brings to research. Researchers have a personal history that situates them as inquirers. They also have an orienta on to research and a sense of personal ethics and poli cal stances that inform their research. An important star ng point for inquiry is recognizing that the researchers’ “posi on” (including their philosophical assump ons or worldviews as well as their experiences and backgrounds; see Chapter 2) influences their studies. Phases in the Research Process With these preliminary considera ons in place, we engage in an eight-phase research process summarized in Figure 3.3 and map the chapters in this book. We begin by acknowledging the broad assump ons that bring us to qualita ve inquiry, and the interpre ve lens that we will use (see Chapter 2). In addi on, we bring a topic or a substan ve area of inves ga on, and have reviewed the literature about the topic and can confidently say that a problem or issue exists that needs to be studied (Chapter 6). This problem may be one in the real world, or it may be a deficiency or gap in the literature or past inves ga ons on a topic, or both. Problems in qualita ve research span the topics in the social, human, and health sciences, and a hallmark of qualita ve research today is the deep involvement in issues of gender, culture, and marginalized groups. The topics about which we write are emo on-laden, close to people, and prac cal. No ce for Figure 3.3 that the phases tend to build upon each other, and yet, the phases can result in revisions to a previous phase.

Figure 3.3 Phases in the Qualita ve Research Process To study these topics, we will ask open-ended research ques ons, listen to the par cipants we are studying, and shape the ques ons a er we “explore” by talking with a few individuals. We refrain from assuming the role of the expert researcher with the “best” ques ons. Our ques ons will change and become more refined during the process of research to reflect an increased understanding of the problem. Furthermore, we will collect a variety of sources of data a er gaining access to our site and par cipants. We use ethical prac ces to collect data, including informa on in the form of “words” or “images” (Chapter 7). We tend to think in terms of four basic sources of qualita ve informa on: interviews (i.e., data generated through direct interac ons), observa ons (i.e., data generated through passive interac ons), documents (i.e., data generated from exis ng materials), and ar facts (i.e., data generated from audio and visual methods). Certainly, new and emergent sources (e.g., social media) have challenged this tradi onal categoriza on. Unques onably, the backbone of qualita ve research is extensive collec on of data, typically from mul ple sources of informa on. Further, we collect data using these sources based on open-ended ques ons without much structure and by observing and collec ng documents (and ar facts) without an agenda of what we hope to find. A er organizing and storing data, we analyze them by carefully masking the names of respondents, and engage in the perplexing exercise of trying to make sense of the data (Chapter 8). To engage in meaning-making of the data, we analyze the qualita ve data working induc vely from par culars to more general perspec ves, whether these perspec ves are called codes, categories, themes, or dimensions. We then work deduc vely to gather evidence to support the themes and the interpreta ons. One helpful way to see this process is to recognize it as working through mul ple levels of abstrac on, star ng with the raw data and forming broader and broader categories. Recognizing the highly interrelated set of ac vi es of data collec on,

analysis, and report wri ng, we intermingle these stages and find ourselves collec ng data, analyzing another set of data, and beginning to write the qualita ve report. For example, during a case study, we find ourselves engaging in the interconnectedness processes involved in interviewing, analyzing, and wri ng the case study—not dis nct phases in the process (Chapter 9). Also, as we write, we experiment with many forms of narra ve, such as making metaphors and analogies, developing matrices and tables, and using visuals to convey simultaneously breaking down the data and reconfiguring them into new forms. Next, we might layer the analysis into increasing levels of abstrac ons from codes, to themes, to the interrela onship of themes, to larger conceptual models. We will (re)present these data, partly based on par cipants’ perspec ves and partly based on our own interpreta on, never clearly escaping a personal stamp on a study. In the end, we discuss by comparing our findings with our personal views, with extant literature, and with emerging models that seem to adequately convey the essence of the findings. At some point we ask ourselves, “Did we (I) get the story ‘right’?” (Stake, 1995), knowing that there are no right stories, only mul ple stories. Perhaps qualita ve studies have no endings, only ques ons (Wolco , 1994). We also seek to have the account resonate with the par cipants, to be an accurate reflec on of what they said. So we engage in valida on strategies, o en mul ple strategies, which include confirming or triangula ng data from several sources, having our studies reviewed and corrected by the par cipants, and employing other researchers to review our procedures (Chapter 9). Elements in All Phases of the Research Throughout the slow process of collec ng data and analyzing them, the narra ve is being shaped—a narra ve that assumes different forms from project to project. We tell a story that unfolds over me and, in some cases, presents the study following the tradi onal approach to scien fic research (i.e., problem, ques on, method, findings). Throughout the different forms, we find it important to talk about our background and experiences and how they have shaped our interpreta on of the findings. This might be best described by le ng the voices of par cipants speak and carry the story through dialogue, perhaps dialogue presented in Spanish with English sub tles. The resul ng qualita ve research process of inquiry is considered as shi ing and itera ve because of engaging o en in data collec on, data analysis, and repor ng wri ng (Levi et al., 2018). Changes to procedures and even research ques ons are to be expected. It is also expected that qualita ve researchers will be as transparent as possible in their descrip ons of what has occurred and why. Qualita ve researchers find it helpful to engage in prac ces that help them recognize and convey their influences on the research process—reflexivity. Recall that this is also a key dis nguishing characteris c of qualita ve research described in Chapter 1. If you ever wondered why qualita ve researchers engage in reflexivity, you need only to consider the wise descrip on of May and Perry (2017): Reflexivity is a guard against . . . the assump on that there is an unproblema c rela onship between us and the world, including social scien fic prac ces and its products, which results in

a valid and reliable representa on of the world. Reflexivity also guards against the opposite view . . . that reflects a fluid world in which choices and interpre ve flexibility are as numerous as the number of people on the planet. (p. 2) It is important to note that reflexivity is not restricted to individual researchers, because groups (such as members of a research team or of an organiza on) together can engage in what Poth et al. (2023) called collec ve reflexivity. The advantage of collec ve reflexivity is the engagement of a research group that is co-construc ng knowledge from and during a group research process. Throughout all phases of the research process, we strive to be sensi ve to ethical considera ons. We ask our research par cipants to give considerable me to our projects. As researchers, it is our responsibility to assess and mi gate risks to protect par cipants, researchers, and society. It is also important that researchers think about giving back to par cipants for their me and efforts in our projects—reciprocity. Most o en, our research is done within the context of a college or university se ng where we need to provide evidence to ins tu onal review boards or commi ees that our study design follows their guidelines for conduc ng ethical research. We have guiding standards for qualita ve research ethics and different ethical considera ons are especially important at different mes during the research process. Thus, learning about and then engaging in thinking and wri ng about poten al ethical issues specific to the study is an important component of the design process (Iphofen & Tolich, 2018; Poth, 2019, 2021). To reflect a necessary emphasis on research ethics, we devote the following sec on to introducing and providing guidance for qualita ve research ethics. PRACTICAL GUIDANCE FOR QUALITATIVE RESEARCH ETHICS The approval processes of many ethics review boards (e.g., ins tu onal, organiza onal, and community) are guided by policies requiring evidence of awareness of relevant ethical situa ons for the study and plans for addressing ethical issues related to three principles: respect for persons, concern for welfare, and jus ce. Respect for persons encompasses the treatment of persons and their data during the research process, providing evidence of measures for respec ng the privacy of par cipants and ensuring the clear communica on of the consent process. This consent includes the right of par cipants to withdraw from the study. Concern for welfare involves researchers ensuring adequate protec on of par cipants, providing evidence the par cipants are not placed at risk. Concern for jus ce refers to the need to treat people fairly and equitably. This means we must carefully consider recruitment and jus fica ons for sampling strategies, data collec on methods, site selec on, analysis strategies, and how and to whom we provide access to study findings. Comple on of the review by ins tu onal review boards or commi ees is required prior to accessing the study site and par cipants and, in some cases, for access to funding. Equally important is to examine standards for ethical conduct of research available from professional organiza ons in a researcher’s disciplinary field, such as the American Historical Associa on, the American Sociological Associa on, the Interna onal Communica on Associa on, the American Evalua on Associa on, the Canadian Evalua on Society, the Australasian Evalua on Society, and the American Educa onal Research Associa on (Lincoln, 2009).

It is not enough to simply seek and gain approval for your study from ethical review boards. During the process of planning and designing a qualita ve study, researchers need to consider what ethical situa ons (meaning the various phases in a study) might surface during the study and to plan for how to handle the arising ethical issues. A common misconcep on is that these issues only surface during data collec on. They arise, however, during several phases of the research process. They also are ever-expanding in scope as inquirers become more sensi ve to the needs of par cipants, sites, stakeholders, and publishers of research. To help researchers in making decisions about how to respond to arising issues, they can engage in a careful and thorough assessment of different op ons related to the facts, circumstances, and ethical issues—ethical reasoning. It is also important that researchers take the me to learn from their experiences and apply their understandings to future studies. Creswell and Báez (2021), for example, provide important access to the insights they derived from the ethical situa ons they faced as qualita ve researchers. Examine Figure 3.4 for this helpful an cipate-mi gate-respond- learn (AMRL) cycle for ethical qualita ve research. This model, extended from worked presented in Poth (2021), makes explicit to researchers their responsibili es throughout the qualita ve study. First, when study planning, researchers need to an cipate ethical situa ons. When conduc ng the study, researchers need to use procedures (e.g., consent) to mi gate ethical issues. As ethical issues arise, researchers need to respond appropriately (e.g., adapt their procedures). Finally, as the study proceeds and when the study concludes, researchers should take the me to learn from their experiences and apply their new understandings to their future studies.

Figure 3.4 Ethical Qualita ve Research Involves an An cipate, Mi gate, Respond, and Learn (AMRL) Cycle

Source: Adapted from Poth (2021). Ethical Situa ons Across the Research Process One way to examine ethical situa ons across the research process is to consider the catalogue of possibili es such as provided by Weis and Fine (2000). They ask us to Consider ethical considera ons involving our roles as insiders/outsiders to the par cipants; Assess issues that we may be fearful of disclosing; Establish suppor ve, respec ul rela onships without stereotyping and using labels that par cipants do not embrace; Acknowledge whose voices will be represented in our final study; and Write ourselves into the study by reflec ng on who we are and who are the people we study.

Prior to conduc ng a study, it is necessary to make decisions about the focus of the study so that you can consider the benefits and risks to those involved. Who will be involved is needed because we need to be sensi ve to vulnerable popula ons, imbalanced power rela ons, and placing par cipants at risk (Hatch, 2002). It is also important to begin thinking about where your study will take place because this has implica ons for what approvals you might need before you can begin. It is necessary to gather college or university approval from the ins tu onal review board for the study, but it may also be required that you gather approval from community or organiza onal ethical review boards as well. Local permissions to gather data from individuals and sites also need to be obtained at an early stage in the research and interested par es and gatekeepers can assist in this endeavor. Sites should not be chosen that have a vested interest in the outcomes of the study. Also, at this early stage, researchers should consider any permissions they might need for data collec on such as for instruments or protocols. Importantly, who is recognized as a study author ma ers. Authorship should be nego ated among researchers involved in the qualita ve study, if more than one individual undertakes the research. The American Psychological Associa on (APA, 2020) has useful guidelines for nego a ng authorship and how it might be accomplished.

Beginning the study involves ini al contact with the site and with individuals. It is important to protect par cipants and treat them fairly. A key aspect is ensuring par cipants’ free and informed consent to be involved in the research by first disclosing the purpose of the study to the par cipants and expecta ons of their par cipa on. This is o en stated on an informed consent form prepared in advance of the college or university ins tu onal ethical review board submission for approval. This form should indicate that par cipa ng in the study is voluntary and that it would not place the par cipants at undue risk. Special provisions are needed (e.g., child and parent consent forms) for vulnerable popula ons (Mertens, 2021). Further, at this stage, the researcher needs to an cipate and respect cultural, religious, gender, or other differences in the par cipants and the sites. Qualita ve wri ngs have made us aware of this respect, especially for Indigenous popula ons (LaFrance & Crazy Bull, 2009; Lovern & Locust, 2013). For example, as American Indian tribes take over the delivery of services to their members, they have reclaimed their right to determine what research will be done and how it will be reported in a way sensi ve to tribal cultures and charters. We have also become more sensi ve to poten al issues that may arise in collec ng data and accessing exis ng data. Researchers need to seek permission to conduct research on-site and convey to gatekeepers or individuals in authority how their research will provide the least disrup on to the ac vi es at the site. The par cipants should not be deceived about the nature of the research and, in the process of providing data (e.g., through interviews, documents, and so forth), should be informed of any changes to the inquiry. We need to minimize poten al bias in our studies and employ equitable procedures. This will help researchers to remove as many poten al par cipa on barriers as possible with the aim of offering equal opportuni es to par cipate. Technology con nues to influence data collec on in new and important ways. For example, discussions surrounding publicly accessible online data have implica ons for how consent is navigated by researchers. Researchers need to a end to how data collec on processes could cause harm to par cipants through power, sensi ve topics, and privacy. Interviews can create a power imbalance through a hierarchical rela onship between the researcher and the par cipant. This poten al power imbalance needs to be acknowledged and ac ons taken to address it such as building trust and avoiding leading ques ons. Also, the simple act of collec ng data may contribute to harming par cipants and the study site for the personal gain of the researcher. Strategies such as providing mental health supports when researching sensi ve topics can contribute to the protec on and well-being of par cipants. Who has access to the data and the measures taken

to ensure data security and storage are important considera ons for researchers. Be sure to become familiar with relevant professional guidelines and local privacy laws. In analyzing the data, certain ethical issues also surface. Because qualita ve inquirers o en spend considerable me at research sites, they may lose track of the need to present mul ple perspec ves and a complex picture of the central phenomenon. They may side with the par cipants on issues, and only disclose posi ve results that create a biased, and in this case, an overly op mis c portrait of the issues. Repor ng mul ple perspec ves needs to be kept in mind for the final report. Also, the research results may unwi ngly present a harmful picture of the par cipants or the site, and qualita ve researchers need to be mindful of protec ng the par cipants’ privacy through masking iden es and, in some situa ons, developing composite profiles or cases. The principles outlined in the recent APA (2020) ethical, legal, and professional standards offer helpful guidance across a wide variety of situa ons researchers may encounter; key among those are discussions about authorship and the proper disclosure of informa on. For example, honesty—and how authors should not falsify authorship, the evidence provided in a report, the actual data, the findings, and the conclusions of a study—is stressed. Reports should also not disclose informa on that will poten ally harm par cipants in the present or in the future. The form of report wri ng should communicate in clear, appropriate language for the intended audiences of the report. Finally, plagiarism should be avoided by knowing about the types of permissions needed to cite the works by others in a study. Another area of emerging interest in the APA (2017) standards on ethics resides in the publica on of a study. It is important to share informa on from a research study with par cipants and stakeholders. This may include sharing prac cal informa on, pos ng informa on on websites, and publishing in languages that can be understood by a wide audience. To address the concern about mul ple publica ons from the same research sources, researchers are well served by a publica on or knowledge mobiliza on plan that makes clear what data is reported in what publica on for what purpose and audience. It can help researchers to be though ul in their publica ons and avoid overlapping or piecemeal division of studies into publica ons. Finally, publishers o en ask authors to sign le ers of compliance with ethical prac ces, disclose sources of funding, and state that they do not have a conflict of interest in the results and publica on of the studies. THE DESIGN STRUCTURES OF A QUALITATIVE RESEARCH PLAN OR PROPOSAL Researchers are tasked with the responsibility of clearly outlining their research in a plan or a proposal. The audiences for these plans and proposals vary from supervisory commi ee members to funding review panels. A review of final wri en products for qualita ve research points to great diversity. No set format exists, yet there are some design elements for engaging your reader, and several writers suggest general topics to be included in a wri en plan or proposal for a qualita ve study. In the following sec on, we describe six design elements that might make the study plan or proposal a rac ve to a reader.

Design Considera ons Useful for Engaging Readers In many cases, it is advantageous for research to be dis nc ve. In our experience, benefits from such types of research have ranged from securing funding to publishing opportuni es. We think qualita ve research should be interes ng to read as well as rigorous in its approach. The following list provides some ideas for study elements to consider when thinking crea vely about your study design and these are further expanded by Creswell and Báez (2021). Study a unique or understudied sample. Is there a sample or popula on that has not yet been studied? By studying an unusual group of people, researchers may gain new insights into well- established research areas and understudied popula ons. Assume an unconven onal perspec ve. Are there angles or perspec ves that may not be expected in your area of study? It might well be the reverse side (the shadow side) of what is expected or simply a perspec ve that is unconven onal to study. Observe an uncommon research site. Is there an unusual group of people or an unusual loca on that could be accessed? It may be that access is now available in cases where it was not previously or that the research site has recently emerged in society. Collect atypical forms of data. Are there atypical data sources available for the research (e.g., collect sounds, have par cipants take pictures)? It may also be that the combina on of data forms has not been used previously. Present findings in an unusual way. Are there ways of presen ng findings that are influenced by the data collected? Diverse op ons exist such as through the crea on of analogies (see Wolco , 2010) or maps or other types of figures and tables. Visuals (or hyperlinks to digital representa ons of photos and videos) are becoming more common in digitally accessed reports. Focus on a mely topic. Is there a topic warran ng research that is drawing a lot of a en on? When many individuals are discussing topics, o en these topics are also being covered by the news media (e.g., climate change, infec ous diseases, aging brains). In some cases, funding priori es may also shi toward those topics. Explore some of the design ideas as they appear in published qualita ve studies in Example 3.1.

General Wri ng Structures Comparing the differing formats for wri ng qualita ve studies (e.g., Creswell & Gue erman, 2019; Marshall et al., 2021; Ravitch & Carl, 2020), we see common structures for guiding the process of wri ng a proposal. Next, we first describe each of the six common parts of a proposal followed by three parts we see as important. In our descrip ons we highlight the topics where there might be varia on due to the inherent nature of the different perspec ves adopted in qualita ve studies. For each sec on, we provide examples that list the arguments to be advanced in a qualita ve proposal (adapted from Creswell, 2014; Maxwell, 2013). These structures and resources, in addi on to the guidance in Comple ng Your Qualita ve Disserta on (Bloomberg, 2022), are especially helpful for the student who has never wri en a thesis or disserta on project. Greater details for composing common parts of the proposal are addressed in subsequent chapters in this book.

1. Introduce the problem to be studied. The introduc on generally includes three sec ons: statement of the problem, purpose of the study, and research ques ons. The sec ons within the study introduc on may vary across studies adop ng different perspec ves; for example, whereas a separate sec on reviewing literature may be op onal in a study adop ng a construc vist/interpre vist perspec ve, the iden fica on of specific transforma ve issues being explored is expected in studies adop ng a transforma ve perspec ve. Researchers may find the following ques ons useful for guiding their introductory arguments: What do you propose to study? What do readers need to know about your topic? What do readers need to be er understand your topic? We further discuss how to introduce and focus a qualita ve study in Chapter 6.

2. Describe your researcher posi oning. Embedded in the proposal should be details about what you bring to the study. As already discussed in Chapter 2, whether we are aware of it or not, we always bring certain beliefs and philosophical assump ons to our research. These, in turn, affect how we go about planning and designing our studies. Engaging in reflexive prac ces and working on making our assump ons explicit can help us and others become aware of our researcher posi onality.

3. Discuss the theore cal and interpre ve frameworks for your study. Various theore cal and interpre ve frameworks can inform qualita ve studies. In Chapter 2, we explored a few examples and offered guidance in how these can be wri en into proposals. These descrip ons may appear throughout a proposal.

4. Describe the procedures guiding the study. The descrip on of the study procedures generally includes eight sec ons: philosophical assump ons or worldview, qualita ve

research approach used, role of the researcher, data collec on procedures, data analysis procedures, strategies for valida ng findings, proposed narra ve structure of the study, and an cipated ethical issues. Varia on in how the procedures are described may occur across studies adop ng different perspec ves; for example, a collabora ve form in data collec on is emphasized in studies adop ng a transforma ve perspec ve and trustworthiness is emphasized in place of what we have been calling valida on. Researchers may find the following ques ons useful for guiding their procedural arguments: What is the se ng, and who are the people you will study? What methods do you plan to use to collect data? How will you analyze the data? How will you validate your findings? What ethical issues will your study present? In Chapters 7 and 8, we further discuss what informa on to include in your descrip on of data procedures.

5. Outline the an cipated study implica ons. This sec on generally involves specifying the significance of the study. The descrip ons of an cipated outcomes are expected to vary across studies adop ng different perspec ves; for example, whereas a study adop ng a construc vist or interpre vist perspec ve may describe expected impacts, a study adop ng a transforma ve perspec ve men ons or advocates for the an cipated changes that the research study will likely bring. Researchers may find the following ques ons useful for guiding their implica ons arguments: What significance does the study intend to have? Who are the audiences that are likely to be interested in the study outcomes?

Other important aspects of a proposal include the following:

6. Report the preliminary study findings (if available). The report of preliminary study findings may be available if the researcher completed a pilot study (or this sec on may be omi ed completely). Researchers may find the following ques on useful for guiding their findings arguments: What do preliminary results (if available) indicate about the prac cability and value of the proposed study?

7. List the references cited in the study. This sec on involves lis ng the references cited in the proposal. It is important that only references that have been cited within the text are included in this list and not those references that were simply consulted during the wri ng process. A helpful guide in crea ng reference lists and guiding in-text cita ons is APA (2020).

8. Include essen al documents as appendices. The focus and quan ty of the appendices will differ by study and audience for the proposal. Most common are the inclusion of entry le ers, methods protocols (e.g., interview ques ons, observa on forms), and proposed melines. Less common are the inclusion of informa onal documents such as a proposed budget and a summary of the proposed content of each chapter in the final study.

Together these parts, in our experience, if adequately addressed and used as an organizing structure, create a well-wri en qualita ve study proposal. It is important to note that these structures speak only to designing a plan or proposal for a qualita ve study. In addi on to these topics in the proposal, the complete study will include addi onal data findings, interpreta ons, a discussion of the overall results, limita ons of the study, and future research needs.

SUMMARY In this chapter, we provided an overview of when to use qualita ve research and what is required. A qualita ve approach is appropriate for exploring a research problem when a complex, detailed understanding is needed; when the researcher wants to write in a literary, flexible style; and when the researcher seeks to understand the context or se ngs of par cipants. Qualita ve research takes me and exper se as it involves ambi ous data collec on and analysis and extensive repor ng of results. Although qualita ve research does not have firm guidelines, consensus exists as to the criteria for a good study: rigorous data collec on and analysis; the use of a qualita ve approach (e.g., narra ve, phenomenology, grounded theory, ethnography, case study); a single focus; a persuasive account; a reflec on on the researcher’s own history, culture, personal experiences, and poli cs; and ethical prac ces. The design of a qualita ve study emerges during inquiry, but it generally follows the pa ern of scien fic research. It starts with broad assump ons central to qualita ve inquiry, an interpre ve or theore cal lens, and a topic of inquiry. A er sta ng a research problem or topic, the inquirer asks several open-ended research ques ons, gathers mul ple forms of data to answer these ques ons, and makes sense of the data by grouping informa on into codes, themes or categories, and larger dimensions. The final narra ve the researcher composes will have diverse formats—from a scien fic type of study to narra ve stories.

Ethical situa ons need to be an cipated and planned for in designing a qualita ve study. Ethical issues arise in many phases of the research process. They develop prior to conduc ng the study when researchers seek approval for the inquiry. They arise at the beginning of the study when the researchers first contact the par cipants; gain consent to par cipate in the study; and acknowledge the customs, culture, and charters of the research site. Ethical issues can arise unexpectedly during data collec on in respect to the site and the par cipants and in gathering data in ways that encourage reciprocity and mi gate power imbalances. They also come during the data analysis phase when researchers do not side with par cipants, shape findings in a par cular direc on, and fail to respect the privacy of individuals as their informa on is reported. In the repor ng phase of research, inquirers need to be honest, and not plagiarize the work of others; refrain from presen ng informa on that poten ally harms par cipants; and communicate in a useful, clear way to stakeholders. In publishing research studies, inquirers need to openly share data with others, avoid duplica ng their studies, and comply with procedures asked by publishers. Finally, the structure of a plan or proposal for a qualita ve study will vary, and considering ways to engage readers is useful. We describe common elements that researchers need to include in proposals. FURTHER READINGS The following resources are offered as founda onal references for designing a qualita ve study. The list should not be considered exhaus ve, and readers are encouraged to seek out addi onal readings in the end-of-book reference list. American Psychological Associa on. (2020). Publica on manual of the American Psychological Associa on (7th ed.). Author. A must-have resource for guiding effec ve communica on with words and data, each new edi on reflects the latest guidelines—for example, referencing electronic and online sources in the seventh edi on. Bloomberg, L. D. (2022). Comple ng your qualita ve disserta on (5th ed.). Sage. Linda D. Bloomberg provide a useful guide for naviga ng the challenges when proposing, wri ng, and defending doctoral research. In par cular, we found the updated chapters on ethical considera ons and data collec on helpful. Creswell, J. W., & Creswell, J. D. (2023). Research design: Qualita ve, quan ta ve, and mixed methods approaches (6th ed.). Sage. John W. Creswell and J. David Creswell present an excellent updated resource across three approaches to research. Using the research process as the organizing structure allows the reader to see how each approach is opera onalized in a study. Hatch, J. A. (2002). Doing qualita ve research in educa on se ngs. State University of New York Press. J. Amos Hatch adopts a step-by-step approach to study development emphasizing learning the cra of doing qualita ve research. He uses data from real studies to elucidate analyses processes, which is useful for any researcher.

Iphofen, R., & Tolich, M. (Eds.). (2018). The SAGE handbook of qualita ve research ethics. Sage. Handbooks provide a founda on, and editors Ron Iphofen and Mar n Tolich deliver a useful star ng point for research ethics. Of par cular note are the chapters about specific approaches such as Chapter 7 about ethnography and Chapter 32 about grounded theory. Maxwell, J. A. (2013). Qualita ve research design: An interac ve approach (3rd ed.). Sage. Joe Maxwell describes a stepwise approach to planning qualita ve research emphasizing how the research design components interact with one another. A noteworthy aspect of this book is the embedded commentary within two examples of qualita ve disserta on proposals. May, T., & Perry, B. (2017). Reflexivity: The essen al guide. Sage. As the tle alludes, Tim May and Beth Perry provide an essen al guide and introduce the why, what, and how of reflexivity. Of par cular note for qualita ve researchers is their excellent Chapter 7 on reflexive prac ce. Poth, C. (2021). Li le quick fix: Research ethics. Sage. Cheryl Poth helps the reader to iden fy the ethical considera ons of their research, protect the privacy of their subjects, develop an ethical research design, and respond to ethical issues as they arise. Richards, L., & Morse, J. M. (2013). README FIRST for a user’s guide to qualita ve methods (3rd ed.). Sage. Lyn Richards and Janice M. Morse provide easy-to-follow guidance for beginning a qualita ve study. We find Chapter 7 on abstrac ng to be noteworthy in their clear explana ons of this feature of a “good” qualita ve study. Tracy, S. J., & Hinrichs, M. M. (2017). Big tent criteria for qualita ve quality. In The interna onal encyclopedia of communica on research methods (pp. 1–10). Wiley. h ps://doi.org/10.1002/9781118901731.iecrm0016 Sarah J. Tracy and Margaret M. Hinrichs present the “eight big-tent criteria” for qualita ve research quality in a concise and accessible manner. Descrip ons of Images and Figures Back to Figure In the center lies, “Qualita ve research is conducted because a problem or issue needs to be explored and . . .” Surrounded by the center lies the other text boxes in a clockwise direc on that reads, “. . . a desire to empower individuals exists,” “. . . a descrip ve and flexible repor ng style is appropriate,” “. . . an understanding of the contexts in which par cipants in a study address a problem is warranted,” “. . . a follow-up explana on of the mechanisms about quan ta ve findings is sought,” “. . . a theory to address gaps in understandings is developed,” “. . . a lack of fit between quan ta ve measures and the problem exists” and “. . . a complex, detailed understanding of the issue is needed.” Back to Figure The “Research Quality Assessment Checklist” includes: The researcher . . .

Frames the study within the assump ons and characteris cs of the qualita ve approach to research. Conducts an ethical study. Uses a recognizable approach to qualita ve inquiry. Begins with a single focus or concept being explored. Employs rigorous data collec on procedures. Includes detailed methods describing a rigorous approach to data collec on, data analysis, and report wri ng. Analyzes data using mul ple levels of abstrac on. Writes persuasively so that the reader experiences “being there.” Situates themselves within the study to reflect their history, culture, and personal experiences. All the checklist includes a rectangular box that connects the following points. Back to Figure At the center of the process are the “Phases in the Qualita ve Research Process,” surrounded by a circular sequence that includes, “Acknowledge broad assump ons and iden fy the interpre ve lens to be used,” “Use a literature search to determine what research problem or topic needs to be addressed,” “Dra open-ended research ques ons,” “Collect a variety of data sources,” “Analyze data integra ng induc ve and deduc ve strategies,” “Represent results based on researcher interpreta ons of par cipants’ perspec ves,” “U lize valida on strategies to generate suppor ng evidence for your findings” and “Discuss findings in light of exis ng knowledge.” Back to Figure At the center of the cycle is the “Ethical Qualita ve Research Involves an An cipate, Mi gate, Respond, and Learn (AMRL) Cycle” surrounded by “An cipate ethical issues with thorough study planning,” “Mi gate ethical issues using a en ve study procedures,” “Respond appropriately with ethical reasoning to arising ethical issues” and “Learn from experience and apply ethical reasoning to future studies” in a circular sequence.