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 BRIEF CONT ENT S

PART ONE Foundations

CHAPTERt Doing Social Research
CHAPTERz Theory and Social Research
CHAPTERs Ethics in Social Research
cHAPTER+ Reviewingthe Scholarly Literature and Planninga Study
CHAPTERS Qualitative and Quantitative Measurement
cHAPTERe Qualitative and Quantitative Sampling

PARTTwo ConductingQuantitativeResearch
CHAPTERZ Survey Research
CHAPTER8 ExperimentalResearch
CHAPTER9 Nonreactive Researchand Secondary Analysis
CHAPTER1 o Analysisof Quantitative Data

PART THREr Conductin g Qualita t iv e Re s e a rc h

cHAPTER
1l Field Rese a rch
cHAPTER
I2 Historical-Comparative
Research
CHAPTER
13 Analysisof QualitativeData

PAR T FO U R Writing a Rese a rchRe p o rt

cHAPTER
14 Writing the ResearchReport
 CONT ENT S

Preface xl Ethicsand the Scientific

Community 59
-- -'"-'- Ethicsand the Sponsorsof
;;-; ;-; Research 61
## Foundations Politicsof Research 63
Value-Freeand Objective
Research 64
CHA P T E R I
Conclusion 6G
Doing SocialResearch l
Introduction 2
Alternativesto SocialResearch C H A P TE R 4
3
How ScienceWorks 7
Reviewingthe ScholarlyLiteratureand
Steps in the Researchprocess Planninga Study 68
9
Dimensionsof Research .l Introduction
O 69
Conc lus ion 21 Literature Review 69
Usingthe Internet for Social
Research 80
C HA P T E R 2
Qualitativeand euantitative Orientations
Theory and SocialResearch 23 toward Research g4
lntroduction 24 QualitativeDesignlssues gg
What ls Theory? 24 QuantitativeDesignlssues 9l
The Parts ofTheory 26 C oncl usi on 106
The AspectsofTheory Zg
The Three Major Approaches to Social
Science 41 C H A P TE R 5
The DynamicDuo 44 Qualitativeand Quantitative
Conc lus ion 45 Measurement 108
Introduction 'l
09
CHA P T E R 3 Why Measure? I 09
Ethicsin SocialResearch 47 Quanti tati veand eual i tati ve
Measurement II0
Introduction 48
Partsof the Measurement
Why Be Ethical? 48 Process 1 'l 't
Power Relations 49 R el i abi l i tyand V al i di ty IIs
EthicallssuesInvolvingResearch
A Guideto Quantitative
Participants S0 Measurement I 2l

vil
VIII CONT ENT S

lndex Construction 126 Resultsof ExperimentalResearch:Making

Sc a l e s 128 C ompari sons 219

Conclusion 138 A Word on Ethics 221

C oncl usi on 222

C H A PT E R 5
Qualitativeand Quantitative C H A P TE R 9
S amp lin g 140 NonreactiveResearchand Secondary
Analysis 224
fntroduction 141
N o n p ro b a b i l i tyS a m p l i ng 141 fntroduction 225

Pro b a b i l i tyS a m p l i n g 145 NonreactiveMeasurement 225

Conclusion 164 Content Analysis 227

ExistingStatistics/Documents
and
SecondaryAnalysis 236

PA R T T W O lssuesof lnference and Theory

Testing 244
l:i:::::
Conducting Quantitative
Conclusion 245
Research

C H A P TE R I O
C H AP T ER 7
Analysisof Quantitative
SurveyResearch 155
Data 247
l n tro d u c ti o n 167
fntroduction 248
The Logicof SurveyResearch ' r5 8
Dealingwith Data 248
Constructingthe Questionnaire 169
R esul tsw i th One V ari abl e 251
Typesof Surveys:Advantagesand
Resultswith Two Variables 257
Disadvantages 1 86
More Than Two Variables 263
lnterviewing 190
lnferentialStatistics 268
The EthicalSurvey 196
C oncl usi on 272
Conclusion 197

PART THREE
C H A PT E R 8
ExperimentalResearch 200 ii? ConductingQualitative
Research
Introduction 201
Random Assignment 2O2
ExperimentalDesignLogic 2O4 C H A P TE R I 1
fnternal and ExternalValidity 212 FieldResearch 275
PracticalConsiderations 219 fntroduction 27 5
 C ON TEN TS rx

The Logicof FieldResearch Z7g

C H A P TE R I 3
c hoos inga s i te a n d' Ga ining
---.....D
Access 280 Analysisof eualitative Data 327
Relationsin the Field 2gS Introduction 329
Observingand CollectingData 287 ComparingMethods of Data
The Field ResearchInterview Analysis 328
296
Leavingthe Field Coding and Concept Formation 32g
2gg
FocusGroups AnalyticStrategiesfor Qualitative
300
Data 335
EthicalDilemmasof Field
Research 301 Other Techniques 339
Conclusion Softwarefor eualitative Data 34O
3OZ
Conclusion 342

CHA P T E R I 2
PART Fo u R
Historical-comparative
Research iti\ Writinga Research Report
3O4
fntroduction 3O4 C H A P TE R 1 4
The Logicof Historical-Comparative \{riting the Research Report 343
Research iO5
Introduction 344
steps in a Historical-comparativeResearch
Project 31 0 The ResearchReport 344
Data and Evidencein Historical Conclusion 359
Context 312
comparative Research Glossary 36'l
317
Equivalencein Historical-Comparative Bibliography 377
Research 322
Ethics Name Index 391
325
Conclusion 325 Subject Index 3g3
 CHAPTER
1

DoingSocialResearch

Introduction
Alternatives to Social Research
Authority
Tradition
C o m m o nSe n se
Me d i aMy th s
P e rs o n aEl x p eri ence
How ScienceWorks
Sc i e n c e
T h e S c i e n ti flCommuni
c ty
The Scientific
Methodand Attitude
JournalArticlesin Science
Steps in the ResearchProcess
Dimensionsof Research
Useof Research
Pu rp o s eo fa Study
T i m eD i me n s i on
i n R esearcn
D a taC o l l e c ti o n
Techni ques
Conclusion
 PART ONE ,/ F OUND A TION S
IN T R OD U C T ION
Socialresearchis all arounclus. Educators,go\,-
ernment officials, businessmanagers,hutntrrt
serviceproviders,and health care professionals
regularlyuse socialresearchmethods anclfind-
ings.Peopleusesocialresearchto raisechildren,
reducecrime, irnprclvepublic health,sellprod-
ucts,clrjust understandone'slil-e.Reportsof re-
searchappearon brclaclcast ne$,sprograms,it.t
popuiar magazines,in nen,spapers, and on the
lnternet.
Researchfindings can aftbct people'sdaily
livesand public policies.For example,I recentll'
heard a debateregrrrclirrg a U.S.lederaigovern-
ment program to off-erteenagerssexualabsti-
n e n c e c o u n s e l i n g .A h i gh-l evel government
official argued for sucl-rcounselingancl stror"rgl,v
opposed offering teensbirth control inforira-
ti o n . A n i n d e p e n c l e n th eal th admi ni strator
noted that there is no scientiflcevidenceshou,-
ing that abstinence-onlycounselingrvorks.Iie
saidthat 80 percentoftcens arc alreadysexually
activebythe ageof 18,thereforeit is essentialto
provide birth control information. Hc prointed
to ma n y re s e a rc hs tu c l i esshorvi ngthi rt bi rth
control instruction for tecnslecluce's prcsnJncv
ratesand the spreadof scrr.rallrtr'.rr.rsnrittcti t1i:-
e a s e sT. h e g o v e rn mc n ta Lrsti ncr.tccor.i l r'.rrl ro-
catereiied on rnoral persurrsionLrcc.rr.rsc hc ir.r11
no researcheviclencc.lcieoloqr,iirith, .urcipoli-
ti c s s h a p ema n \' g o v e rn n rentprogranrsrather
than solid researchcvidcnce,br,rtgood socialrc-
searchcan help all of us make inlbrnred deci-
sions. The evidence also expltrins wh,y m.ury
programs fail to accornplishmr.rchor m;ry do
more harm than gooc1.
This book is about socialresearch.In simple
tenxs, researchis a way of going about finding
answersto questions.Prof-essors, prof-essional
researchers, practitioners,and studentsin many
fields cor-rdr.rct researchto scekansr\rersto ques-
tions about the socialworld. You probably al-
ready have some notion clf whirt social reseal'ch
entails.First,Iet me end sornepossiblemiscor.t-
ceptior.rs.When i askedstudentsin my classes
ufiat they think socialreseirrchentails,they gave
the lbllolr,ir-rgans\\rers:
r It is basedon firctsalone; there is no theory
or prersonal juclgrlrent.
r Onlr.expertsu,ith a Ph.D. degreeor college
professorsread it or do it.
r It meansgoing to the library and finding a
lot of magazinearticlesor bookson a topic.
r It is r,r,hensomeonehangsaround a group
and observes.
r It means conducting ir controlled experi-
nlent.
r Socialresearchis clrawinga sampleof peo-
ple and givingthem questionnaires to corn-
plete.
r It is looking up lots of statistical tables
and intbrn-ratior-r from oftrcial government
reports.
r To do it, onc r.r.rr-Lst
Llsecomputersto create
charts,and graphs.
stati sti cs,
The flrst t\\'o .urs\versare wrong, and the
othe-r's clcscribe of what constitutesso-
or.rl.,.part
cia] r'escarch.It is r-rr.rlviseto confuseone part
rr ith the n.hole.
P eopl e conduct soci al resear cht o lear n
sorr-rething nerv about the social world; or to
carefullydocunrentguesses, hunches,or beliefs
about it; or to refinetheir understandingofhow
the sociaiworld works. A researchercombines
tl-reoriesor ideaslr,ith facts in a careful, system-
atic rvay and usescreativity. He or she learns to
orgirnizeand plan carefully and to selectthe ap-
propriatetechniqr-re to addressa specifickind of
question.A rescarcher alsomust treatthe people
in a studi,in ethicaland moral ways.In addition,
a researchern-rustfirlly ilnd clearlycommunicate
the resultsofa study to others.
Socialreseirrchis ir processin which people
combine a set of principles,outlooks,and ideas
(i.c.,methodology)rvith a collectionof specific
practi ces,techni ques,and strateg ies( i. e. , a
rnethoclof inquiry) to produceknorvledge.It is

an exciting processof discovery,but it requires
persistence,personalintegrity, tolerancefor am-
biguity, interaction with others,and pride in do-
ing qualiry work.
Reading this book cannot transform you
into an expert researcher,but it can teachyou to
be a better consumerof researchresults,help you
to understandhow the researchenterpriseworks,
and prepareyou to conduct small researchpro-
jects.After studying this book, you will be aware
of what researchcan and cannot do, and why
properly conductedresearchis important.
AL T E RNA T I V E S T O S OC IA L
R E S E A RCH
Unlessyou are unusual, most of r,vhatyou know
about the socialworld is not basedon doins so-
cial research.You probably learnedmost of i,hat
you know using an alternativeto socialresearcl-r. equally dependable.Whom should we believeif
It is basedon what your parentsand other people
(e.g.,friends, teachers)have told you. You also
have knowledgebasedon your personalexperi-
ences,the books and magazinesyou have read,
and the movies and televisionyou havewatched.
You may also useplain old "common sense."
More than a collection of technioues,social illegitimatelyto be authority in a totally different
researchis a processfor producing knowledge.It
is a more structured, organized,and systematic
processthan the alternativesthat most of us use
in daily life. Knowledge from the alternativesis
often correct, but knowledge basedon research
is more likely to be true and have fewer errors.
Although researchdoesnot alwaysproduce per-
fect knowledge,compared to the alternativesit is
rnuch lesslikely to be flawed. Let us review the
alternativesbefore examining socialresearch.
Authority
You have acquired knowledge from parents,
teachers,and expertsaswell as from books, tele-
vision, and other media. When you accept
something as being true becausesomeone in a
C H AP TE R 1 ,/ D OIN C SOC IA L R E S TdR C -
position of authority saysit is true or bec.ri:.c..
is in an authoritativepublication, )'ou are relvrn:-
on authority as a basisfor knowledge.Relr'inc
on the wisdom of authoritiesis a quick, sirtrl.]3.
and cheapway to learn something.Authoi-itie.
often spend time and effort to learn son.rething.
and_you can benefit from their experienceand
worK.
There are also limitations to relying on all-
thority. First, it is easyto overestimatethe exper-
tise of other people.You may assumethat thev
are right when they are not. History is full of past
expertswhom we now seeasbeing misinformed.
For example>some "experts" of the past n-rea-
sured intelligenceby counting bumps on the
skull; other "experts" usedbloodletting to try to
cure diseases.Their errors seem obvious norl,,
but can you be certain that today's expertswill
not becometomorrow's fools?Second,authorr-
ties may not agree,and all authoritiesmay not be
authorities disagree?Third, authorities may
speakon fields they know little about or be plaru
wrong. An expert who is very informed about
one area may use his or her authority in an un-
related area. Also, using the halo effect (dis-
cussedlater), expertisein one areamay spill over
area.Have you everseentelevisioncommercials
where a movie star useshis or her fame as au-
thority to convinceyou to buy a car?We r.reecl tcr
ask:Who is or is not an authority?
An additionalissueis the misuseof author-
ity. Sometimes organizations or indii'iduals
give an appearanceof authority so thev ciut colt-
vince others to agree to something that thel'
might not otherwiseagreeto. A relateclsituation
occurswhen a personwith little trairringi.rndex-
pertiseis named as a "seniorfbllon"'or."adiunct
scholar" in a private "think trrnk" r,ith .in inr-
pressivename, such as the Center tbr the Study
of X or the Institute on Y Research. Somethink
tanks are Iegitimateresearchcenters,but rnany
are mere fronts createdby,.rveirlthv special-inter-
estgroupsto engagein advocao.politics.Think
 o a RT O\E \)rl o\5
t.r1rk:a,ii t.r.,ri .it]\r)uai.t"scholar"to facilitare
ti rc :r...' . r' i r..l .,r.i a a c p ti n qthe pcrsonas al t au-
ti t!j t.i i ' .L rtt.:tt l :rL l c .l rt real i ty,the perS onmay
ir(rtir.r,.I .rir, l...rl!'\pertise.lAlso, too much re-
:r.r:ta !)i !' t ,tu th ()fl ti c sc a n b e dangeroustO a de-
i ]]r,.i .rti c .o c re t)' .E x p e rtsmay promote i deas
il.l.rt:trr'nqthentheir own power and position.
\\'ltcrt rrc'.lcCeptthe authority of experts,but do
rr)t kuo\\' l.rolvthey arrived at their knowledge,
rlc Ltrscthe ability to evaluatewhat the experts
savancilosecontrol of our destiny.
T ra d i ti o n
Peoplesometimesrely on tradition fbr knowl-
edge.Tradition is a specialcaseof authority-
the authority of the past. Tradition means you
acceptsomethingasbeing true because"it's the
\\ray things have always been." For example,
my father-in-law saysthat drinking a shot of
u'hiskeycures a cold. When I askedabout hrs
statement,he said that he had learnedit from his
father when he was a child, and it had come
down from past generations.Tradition lvas the
basisof the knowledge for the cure. Here is an
examplefrom the socialworld: Many peoplebe-
lieve that children who are raised at home by
their mothers grow up to be better adjustedand
have fewer personalproblems than those raised
in other settings.People "know" this, but how
did they learn it? Most acceptit becausethey be-
lieve (rightly or wrongly) that it rvastrue in the
past or is the way things have alwaysbeen done.
Sorne traditional social knowledge begins as
simple prejudice.You might rely on tradition
rvithor-rtbeing fully awareof it with a belief such
as "Peoprlefrom that side of the trackswill never
arnoLlntto anvthing" or "You never can trust
that tvpe oi person"or "That's the way men (or
u,omen) are." El,enif traditional knowledgewas
oncetrue, it can becomedistortedas it is passed
on, and soon it is no longer true. Peoplemay
cling to traditional knowledgewithout real un-
derstanding;they assumethat becausesome-
thing may haveworked or been true in the past,
it rvill continueto be true.
C ommon S ense
You knorv a lot about the socialworld from your
everydayreasoningor cornmon sense.You rely
on what everyoneknows and what "just makes
sense."For example,it "just makessense"that
murder rates are higher in nations that do not
have a death penalty, becausepeople are less
likely to kill if they face execution for doing so.
This and other widely held commonsensebe-
liefs, such as that poor youth are more likely to
commit deviantactsthan thosefrom the middle
classor that most Catholics do not use birth
control,are false.
Comrnon senseis valuable in daily living,
but it irilolvslogicalfallaciesto slip into thinking.
For example,the so-calledgambler'sfallacysays:
"If I hai'e a long string of lossesplaying a lottery,
the nert tine I play, my chancesof winning lvill
be better."In terms of probabilityand the facts,
this is Ialse.Also, cclmmon sensecontainscor.r-
tradictory ideastl-ratoften go unnoticed because
people use the ideas irt different times, such as
"opposites attract" and "birds of a feather flock
together."Common sensecan originate in tradi-
tion. It is useful and sometimescorrect,but it
alsocontainserrors,misinformation,contradic-
tion, and prejudice.
Media Myths
Television shows, movies, and newspaper and
magazinearticiesare important sourcesof in-
formation. For example, most people have no
contactwith criminalsbut leam about crime by
watching televisionshows and movies and by
reading newspapers.However, the television
portrayalsof crime, and of many other things,
do not accuratelyreflect socialreality. The writ-
ers who create or "adapt" images from life for
television sholvsand movie scripts distort real-
ity either out of ignorance or becausethey rely
on authority, tradition, and common sense.
Their primary goal is to entertain,llot to repre-
sentreality accurately.Although many journal-
iststry to presenta realisticpicture of the world,

they m us t wr it e s to ri e si n s h o rt ti m e p e ri o d s
rvith limited information and within editorial
eLridelines.
Unfortunately, the media tend to perpetu-
ate the mlths of a culture. For example,the me-
dia show that most people ivho receivewelfare
are Black (actually, most are White), that most
peoplewho are mentally ill are violent and dan-
gerous (only a small percentageactually are),
and that most peoplewho are elderlyare senile
and in nur s ing ho m e s (a ti n y rn i n o ri ty a re ).
AIso, massmedia "hype" can createa f-eelingthat
a major problem existswhen it may not (seeBox
Li). People are n-risledby i.isual imagesmore
easilythan other forms of "lying"; this means
that storiesor stereotypesthat appear on film
and televisioncan havea porverful effecton peo-
ple. For example,television repeatecllvshorvs
low-income,inner-city,AfrictrnAntericanr.outl-r
using illegal drugs. Eventuallr.,nlost peol)lg
"know" that urban Blacksuse illegalclrLres at a
higher rate than other groups in the Lrrritccl
States,even though this notion is false.
Competing interestsuse the rnedia to rvin
public support.2Public relationscampaignstry
to alter what the public thinks about scientific
findings, making it difficult for the public to
judge researchfindings. For exarnple,a large
majority of scientific research supports the
global rvnrrnir-rgthesis (i.e., pollutants from in-
dustrialization and massivedeforestationare
raising the earth's temperatureand lvill cause
drarnaticclimate changeand bring about envi-
ronmental disasters).l'he scientificevidenceis
growing and getsstrongereachyear.l'he media
give equal attention to a few dissenterswho
question global r,r,arming,creating the impres-
si o n in t he public n ti n c l th a t " n o o n e re a l l y
knows" or that scientistsare undecidedabout
the issueof global warming. The rnedia sources
fail to mention that the dissentersrepresentless
th an 2 per c ento1' a l ls c i c rrti s tso ,r th l t rn o s td i s -
sentingstudiesare paid for by heavilypolluting
industries.The industriesalsospendmillions of
dol l ar st o public iz eth e fi n d i n g s b e c a u s eth e i r
goalis to cleflectgrowing criticismand delayen-
C H AP TE R 1 / D OIN C S OC IA L R E S E A R C T
ls Road Rage a Media Myth?
Americanshear a lot about road rage.Newsweekmag-
azine,Timemagazine,and newspapersin most major
c i t i e s h a v e c a r r i e d h e a d l i n e sa b o u t i t . L e a d i n gn a -
tional politicalofficialshave held public hearingson
it, and the federalgovernmentgives millionsof dot-
lars in grants to law enforcementand transportation
departmentsto reduceit. Today, even psychologists
specialize in thisdisorder.
The term road rage first appearedin I 988, and
by 1997, the print mediawere carryingover 4,000
articlesper year on it. Despitemediaattention about
"aggressivedriving" and "anger behind the wheel,"
there is no scientificevidencefor road rage.The term
i s n o t p r e c i s e l yd e f i n e d a n d c a n r e f e r t o a n y t h i n g
from gunshots from cars,use of hand gestures,run-
ning bicyclistsoff the road,tailgating,and evenanger
o v e r a u t o r e p a i rb i l l s !A l l t h e d a t a o n c r a s h e sa n d a c -
c i d e n t s s h o w d e c l i n e sd u r i n g t h e p e r i o d w h e n r o a d
r a g e r e a c h e da n e p i d e m i c .
Perhapsmediareportsfueled perceptionsof road
rage. After hearingor readingabout road rage and
havinga labelfor the behavior,people began to no-
tice rude drivingbehaviorand engagedinselective ob-
servation. We will not know for sure until it is properry
s t u d i e d ,b u t t h e a m o u n to f s u c h b e h a v i o rm a y b e u n -
changed.lt may turn out that the nationalepidemic
of road rage is a widely held myth stimulatedby re-
ports in the massmedia.(For more information,see
Michael Fumento, "Road Rage versus Reality,"
AtlanticMonthly[August 1 998].)
vironrnentalregulations,not to advanceknowr-
edge.
Newspapersoffer l.roroscopes, ar.rdtelevi-
sion programsor nroviesreport on supertratural
powers, E,SP(extrasensoryperception), LIFC)s
(uni denti fi ed fl ,vi ng obj ects), ancl angel s or
ghosts.Althor-rghr.roscientifice".icience existsfor
such,betrveen2-5and -50percer-rt of the U.S.pub-
Iic acceptsthern astrue, anclthe percentage with
 6 pA RToNE ,/ F o u N D A T to N s

such beliefshas beengrowing over time as the

tive to featuresthat confirm what we think, but
entertainment media give the phenomenon
ignorefeaturesthat contradictit. For example,I
more prominence.3
believetall peopleareexcellentsingers.This may
be becauseof stereotypes, what mi mother told
Personal Experience me, or whatever.I observetall peopleand,with_
out awareness, pay particular attention to their
If somethinghappensto you, if you personally
singing.I look at a chorusor top vocalistandno_
seeit or experienceit, you acceptit astrue. per_
ticethosewho aretall. Withoui realizingit, I no_
sonalexperience,or ..seeingis te[eving,,, hasa
tice and rememberpeople and situat[ns that
strong impact and is a powerful sJurce of
reinforcemy preconceivedideas.psychologists
knowledge.Unfortunately,personalexperience
found that peopletend to ..seekout" and dirtort
c.an.l9.1d you astray.Somethingsimilarto an op_ their memoriesto make them more consistent
tical illusion or miragecunoci.rr. What appears
with what they alreadythink.a !
true.may actuallybe due to a slight oi dir_ A third error is prematureclosure.It often
tortion in judgment. The powei of"r.o,immediacy operateswith and reinforcesthe first
and direct personalcontaciis very strong.Even two errors.
Premature closure occurs when you feel you
knowing that, people fall for illusions."Many
havethe answerand do not needio listen,seek
peoplebelievewhat they seeor personallyexpe_
information, or raisequestionsany longer.Un_
riencerather than what very carefullydesiened
fortunately,most of us arealittJelazvor"set a lit_
research hasdiscovered. tle sloppy.We take a few piecesof'evid"ence or
The four errorsofpersonalexperiencerein_
look at eventsfor a short while and then think
forceeachother and canoccurin other areas,
as we haveit figured oul We look for eyidenceto
well. They are a basis for misleading people
confirm or rejectan ideaand stop when a small
through propaganda, cons or fraudl magic,
amount of evidenceis present.In a word, we
stereotyping,and some advertising.The mtst jump to conclusions.For example,I
frequentproblemis overgeneratization;it want to
occurs learnwhetherpeoplein my town support
when someevidencesupportsyour belief, Mary
but Smith or |on Van Horn for mayor.t uit ZOp.o_
you falselyassumethat it appliesto many
other ple; t 6 saytheyfavor Mary,2 areundecided,and
situations,too. Limited generalization be only2 favorlon, soI stopthereandbelieveMary
appropriate;under certainconditions,-uv a small will win.
amount of evidencecan explain a larger situa_
Anothercommonerror is thehalo
tion. The problem is that many peoplJgeneral_ ffict; itis
yhen r1eovergeneralize from what we acceptas
ize far beyond limited evidence.For eiample,
being highly positive or prestigiousand let its
over the years,I haveknown five blind p"opl..
strong reputation or prestige..rub off' onto
All of them werevery friendly. Can t conclude
other areas.Thus,I pick up a report by a person
that all blind people are friendly? Do the five
from a prestigiousuniveisity,sayHan ard or
peoplewith whom I happenedtohave personal
CambridgeUniversity.I assumethat the author
experiencewith representall blind peopie?
is smartand talentedand that the report will be
The seconderror, selective obirvition, oc_ excellent.I do not makethis assumption
curswhenyou takespecialnoticeof somepeople abouta
reportby someonefrom UnknownUniversity.I
or eventsand tendto seekout eviderr.ethut con_
form an opinion and prejudgethe report #d
fir1s whal you alreadybelieveu"a ig"o." .orr_
may-notapproachit by consideringits own mer_
tradlctorFlnformation.peopleoften focuson
or rts alone.How the variousalternativesto social
observeparticularcasesor situations,especially
researchmight addressthe issueof laundry is
when they fit preconceivedideas.W. uri ,*i_
shownin Table1.1.

TABL E I . 1 A lt er n a ti v e s to S o c i a l
Research
Authority Expertssaythat as children,
femalesare taught to make,
select,mend,andcleanclothing
as part of a femalefocuson
physicalappearance andon
caringfor childrenor othersin a
family.Womendo the laundry
basedon theirchildhood
preparation.
Tradition Womenhavedonethe laundrv
for centuries,so it is a
continuation of whathas
happened for a longtime.
CommonSense Menjust arenot as concerned
aboutclothingas muchas
women,so it only makessense
that womendo the laundrv
moreoften.
MediaMyth Televisioncommercials show
womenoften doing laundryand
enjoyingit, so they do laundry
becausethey think it's fun.
Personal My motherand the mothersof
Experience all my friendsdid the laundry.
My femalefriendsdid it for their
boyfriends,but neverthe other
wayaround.lt just feelsnatural
for the womanto do it.
HOW SCIENCEWORKS
Although it builds on someaspectsof the alter-
nativewaysof developingknowledge,scienceis
what separates socialresearch.Socialresearch
involvesthinking scientificallyabout questions
about the socialworld and following scientific
CHA P TE R 1 ,/ D OIN G S OC IA L R ES E A R C H
This suggeststhat we examinethe
processes.
meaningof scienceand how its works.
Science
The term science suggestsanimageof testtubes,
computers,rocketships,and peoplein white lab
coats.Theseoutwardtrappingsarea part ofsci-
ence,especiallynatural science(i.e.,astronomy,
biology, chemistry,geology,and physics,),that
dealswith the physicaland materialworld (e.g.,
plants, chemicals,rocks, stars,and electricity).
The socialsciences,such as anthropology,psy-
chology,politicalscience,and sociology,involve
the study of people-their beliefs,behavior,in-
teraction,institutions,and so forth. Fewerpeo-
ple associatethesedisciplineswith the word
science. Scienceis a socialinstitution and a way
to produceknowledge.Not everyoneis well in-
formed about science.For example,a 2001sur-
vey found that about only one-third of U.S.
adults could correctly explain the basicsof
sclence."
Scientistsgatherdatausingspecialized tech-
niquesand usethe datato supportor rejectthe-
ories. Data are the empirical evidence or
information that one gatherscarefullyaccord-
ing to rules or procedures.The data can be
quantitative(i.e., expressedas numbers) or
qualitative(i.e., expressedas words, visual im-
ages,sounds,or objects).Empiricaleyidence
refersto observationsthat peopleexperience
throughthe senses-touch,sight,hearing,smell,
and taste.This confusespeople,becausere-
searchers cannotusetheir senses to directly ob-
servemany aspectsof the social world about
which they seekanswers(e.g.,intelligence,atti-
tudes,opinions, feelings,emotions,power, au-
thority, etc.).Researchershavemanyspecialized
techniquesto observeand indirectly measure
suchaspectsof the socialworld.
The Scientific Community
Sciencecomesto life through the operation of
the scientificcommunity,which sustainsthe as-
 PART ONE , / FO UNDATI O NS
sumptions,attitudes,and techniouesof science.
Thescientificcommunityisa collectionof people
who practicescienceand a setof norms,6ehav-
iors,and attitudesthat bind them together.It is a
professionalcommunity-a groupof interacting
peoplewho shareethicalprinciples,beliefsand
values,techniquesandtraining,and careerpaths.
For the most part, the scientificcommunity in-
cludesboth thenaturalandsocialsciences.6
Many people outside the core scientific
community usescientificresearchtechniques.A
rangeof practitionersand techniciansapply re-
searchtechniquesthat scientistsdevelopedand
refined.Many usethe researchtechniques(e.g.,
a survey)without possessing a deepknowledge
of scientificresearch.Yet, anyonewho usesthe
techniques or resultsofsciencecando sobetter
if they also understand the principles and
processes of the scientificcommunity.
Theboundariesof the scientificcommunity
and its membershiparedefinedloosely.Thereis
no membershipcard or masterroster.Many
peopletreata Ph.D.degreein a scientificfield as
an informal "entryticket" to membershipin the
scientificcommunity. The ph.D., which stands
for doctorate of philosophy, is an advanced
graduatedegreebeyond the master'sthat pre-
pares one to conduct independentresearch.
Someresearchers do not haveph.D.sand not all
thosewho receivePh.D.senter occupationsin
which they conduct research.They enter many
occupationsand may haveother responsibilities
(e.g.,teaching,administration,consulting,clin-
ical practice,advising,etc.).In fact, about one-
half of the peoplewho receivescientificph.D.s
do not follow careersasactiveresearchers.
At the coreof the scientificcommunity are
researchers who conduct studieson a firll-time
or part-time basis,usuallywith the help of assis-
tants.Many researchassistants aregraduatestu-
dents,and someare undergraduates.
Working
asa researchassistantis the waythat most scien-
tistsgain a real graspon the detailsof doing re-
search.Collegesand universitiesemploy most
membersof the scientificcommunity's core.
Somescientistswork for the governmentor pri-
:' _- --:
vate industry in organizationssuch as the Na-
tional Opinion ResearchCenter and the Rand
Corporation.Most, however,work at the ap-
proximately200 researchuniversitiesand insti-
tuteslocatedin a dozenadvancedindustrialized
countries. Thus, the scientific community is
scatteredgeographically, but its memberstend
to work togetherin smallclusters.
Howbigis the scientificcommunity?This is
not an easyquestionto answer.Usingthe broad-
estdefinition (including all scientistsand those
in science-related professions,such as engi-
neers),it includesabout 15percentof the labor'+,
force in advancedindustrialized countries. A
betterway to look at the scientificcommunity is
to examinethe basicunit of the largercommu-
nity: the discipline(e.g.,sociology,biology,psy-
chology,etc.).Scientistsaremost familiar with a ."
particular disciplinebecauseknowledgeis spe-
cialized.Compared to other fields with ad-
vancedtraining,the numbersarevery small.For
example,eachyear,about 500 peoplereceive
Ph.D.sin sociology,16,000receivemedicalde-
grees,and 38,000receivelaw degrees.
A disciplinesuch as sociologymay have
about 8,000activeresearchers worldwide.Most
researchers completeonly two or three studies
in their careers,whereasa small number of
highly activeresearchers conductmany dozens
ofstudies.In a specialtyor topic area(e.g.,study
of the death penalty, social movements,di-
vorce), only about 100 researchers are very ac-
tive and conduct most research studies.
Aithough researchresultsrepresentwhat hu-
manity knows and it hasa major impact on the
lives of many millions of people,only a small
number of peopleare actuallyproducing most
new scientificknowledge.
The Scientific Method and Attitude
You have probably heard of the scientific
method,and you may be wonderinghow it fits
into all this. The scientificmethodis not one sin-
glething; it refersto the ideas,rules,techniques,
and approaches that the scientificcommunity
 .I
C H A P T E R , / D O I N C S O C I A LR E S E A R C H

uses.The method arisesfrom a looseconsensus regularly reject half of the submissions.Thus,

within the community of scientists.It includesa severalexperiencedresearchers screena journal
way of looking at the world that placesa high articlebasedon its meritsalone,and publication
valueon professionalism, craftsmanship,ethical represents the study'stentativeacceptance by the
integrity,creativity,rigorousstandards,and dili- scientificcommunity as a valid contribution to
gence.It alsoincludesstrongprofessional norms knowledge.Unlike the authorsof articlesfor the
such as honestyand uprightnessin doing re- popular magazinesfound at newsstands, scien-
search,great candor and opennessabout how tistsarenot paid for publishingin scholarlyjour-
one conducteda study,and a focuson the mer- nals.In fact, they may haveto pay a small feeto
its ofthe research itselfandnot on any charac- help defraycostsjust to havetheir papersconsid-
teristicsof individualswho conductedthe study. ered. Researchers are huppy to make their re-
search available to their peers (i.e., other
scientistsand researchers)through scholarly
fournal Articles in Science
journals.The articlecommunicatesthe resultsof
. Considerwhat happensonce a researcherfin- a study that a researchermight have devoted
ishesa study.First,he or shewritesa detailedde- yearsof his or her life to, and it is the way re-
scription of the study and the results as a searchers gain respectand visibility amongtheir
researchreport or a paperusinga specialformat. professionalpeers.Likewise,the reviewersare
Often,he or shealsogivesan oralpresentationof not paid for reviewingpapers,but considerit an
the paper beforeother researchers at a confer- honor to be askedto conductthe reviewsand to
enceor a meetingof a professionalassociation carryrout one of the responsibilitiesof being in
and seekscommentsand suggestions. Next, the the scientificcommunity.Thescientificcommu-
researcher sendsseveralcopiesto the editor ofa nity imparts great respectto researcherswho
scholarlyjournal. Eacheditor, a respectedre- publish many articlesin the foremostscholarly
searcherchosenby otherscientiststo overseethe journals becausetheseresearchersare directly
journal, removesthe title page,which is the only advancingthe scientific community's primary
. place the author's name appears, and sends the goal-the accumulationof carefullydeveloped
articleto severalreviewers.The reviewersarere- knowledge. A researchergains prestige and
spectedscientistswho haveconductedstudiesin honor and a reputationas an accomplishedre-
the samespecialtyareaor topic. The reviewers searcherthrough suchpublications.
do not know who did the studn and the author You may neverpublishan articlein a schol-
of the paper doesnot know who the reviewers arly journal, but you will probably read many
' are. This reinforcesthe scientificprinciple of sucharticles.It is important to seehow they are
judging a study on its merits alone.Reviewers a vital componentin the systemof scientificre-
evaluatethe researchbasedon its clarity, origi- search.Researchers activelyreadwhat appearsin
nality, standardsof good researchmethods,and thejoumalsto learnaboutnewresearchfindings
advancingknowledge.Theyreturn their evalua- and the methodsusedto conducta study.Even-
tions to the editor,who decidesto rejectthe pa- tually, the new knowledgeis disseminatedin
per, askthe author to reviseand resubmitit, or textbooks,new reports,or public talks.
acceptit for publication.It is a very careful,cau-
tious methodto ensurequality control.
The scholarlyjournals that are highly re-
spectedandregularlyreadby mostresearchers STEPSIN THE RESEARCH
in
a field receivefar more papersthan they canpub- PROCESS
lish.Theyacceptonly 10to 15percentof submit- Socialresearch proceedsin a sequence ofsteps,
ted manuscripts.Even lower-ranked iournals althoughvariousapproaches to researchsuggest
 10 P A RToNE ,/ F o u N D A T to N s

slightly different steps.Most studiesfollow the

sevenstepsdiscussed here.To beginthe process, FIcURE t . I Stepsin the Research
you selecta topic-a generalareaof study or is- Process
sue,suchas domesticabuse,homelessness, or
powerful corporateelites.A topic is too broad
for conductinga study.This makesthe next step
crucial.You must then narrow down the topic,
or focusthe topic into a specificresearchques-
tion for a study (e.g.,"Are peoplewho marry
youngermore likely to engagein physicalabuse
of a spouseunder conditionsof high stressthan
thosewho marry older?").As you learn about a
topic and narrow the focus,you should review
past research,or the literature,on a topic or
question.You alsowant to developa possible
answer,or hlpothesis,andtheorycanbe impor-
tant at this stage.
After specifringa researchquestion,you
have to developa highly detailedplan on how
you will carry out the study.This third stepre-
quiresthat you decideon the manypracticalde-
tails of doing the research(e.g.,whetherto usea ing an end.The sevenstepsarefor one research
surveyor qualitativeobservingin the field, how project;it is one cycleofgoing through the steps
many subjectsto use,etc.).It is only after com- in a singlestudyon a specifictopic.
pleting the design stagethat you are ready to Scienceis an ongoingenterprisethat builds
gatherthe data or evidence(e.g.,askpeoplethe on prior researchandbuildsa larger,collectively
questions,recordanswers,etc.).Onceyou have createdbody of knowledge.Any one study is a
very carefirllycollectedthe data,your next stepis smallpart of the much largerwholeof science.A
to manipulateor analyzethedata.This will help singleresearchermay be working on multiple
you seeany patternsin it and help you to give researchprojectsat once,or severalresearcher
meaningto or interprefthe data (e.g.,"People may collaborateon one project. Likewise,one
who marry young and grew up in families with projectmay resultin onescholarlyarticleor sev-
abusehave higher rates of physical domestic eral,and sometimesseveralsmallerprojectsare
abusethan those with different family histo- reportedin a singlearticle.
ries").Finally,you must inform othersbywriting
a report that describesthe study'sbackground,
how you conductedit, andwhatyou discovered.
DIMENSIONS OF RESEARCH
The seven-step processshownin Figure1.1
is oversimplified. in practice, you will rarely Three yearsafter they graduatedfrom college.
completeone steptotally then leaveit behindto Tim and Sharon met for lunch. Tim asked
move to the next step.Rather,the processis in- Sharon,"So,how is your newjob asa researche
teractive in which the steps blend into each for SocialData, Inc.? What are you doing?"
other.What you do in a laterstepmay stimulate Sharonanswered,"Right now I'm working on
you to reconsiderand slightlyadjustyour think- an appliedresearchprojecton daycarequalityin
ing in a previousone.The processis not strictly which we'redoinga cross-sectional surveytoget
linearandmay flow backand forth beforereach- descriptivedatafor an evaluationstudy."sharon
 touchedon four dimensionsof socialresearchas Bnsic Research. Basicsocialresearchadvances
shedescribedher researchon daycare. fundamentalknowledgeabout the socialworld.
Socialresearchcomesin severalshapesand Basicresearchers focuson refuting or support_
sizes.Beforeyou begina study,you will needto ing theoriesthat explain how the socialworld
makeseyeraldecisionsaboutthe specifictypeof operates,what makesthingshappen,why social
researchyou are going to conduct.Researihers relations are a certain way, and why society
need to understandthe advantagesand disad- changes. Basicresearchis the sourceofmost new
vantagesof each type, although most end up scientificideasand waysof thinking about the
specializingin doing one tFpe.We can think of world. Many nonscientists criticize basic re_
the typesasfitting into one of the categoriesin searchand ash "What good is it?" and consider
eachof four dimensionsof research. it to be a wasteof time and money.Althoughba_
The first dimensionis a distinction in how sicresearchoften lacksa practicalapplicationin
researchis used,or betweenappliedandbasicre- the short term, it provides a foundation for
search.Thenextis the purposeofdoing research, knowledge that advancesunderstanding in
or its goal,to explore,describe,or explain.The many policy areas,problems,or areasof study.
nexttwo dimensionsaremorespecifiqhow time Basicresearchis the sourceof most of the tools,
is incorporated into the study design,and the methods,theories,and ideasabout underlying
specificdatacollectiontechniqueused. clus-esof how peopleact or think usedby ap_
The dimensionsoverlap,in that certaindi- plied researchers. It providesthe major bieak_
mensionsareoften found together(e.g.,the goal throughsthat significantadvances in knowledge;
of a studyanda datacollectiontechnique).Once it is the painstakingstudy of broad questions
you learn the dimensions,you will beginto see that has the potential of shifting how we think
how the particularresearchquestionsyou might abouta wide rangeof issues.It mayhavean im-
want to investigatetend to be more compatible pact for the next 50 yearsor century.Often, tne
with certainwaysof designinga study and col- applicationsof basicresearchappearmanyyears
lectingdata.In addition, being awareof the di- or decadeslater. Practicalapplicationsmay be
mensions of researchwill make it easier to apparentonly aftermanyaccumulatedadvances
understandthe researchreportsby others. in basicknowledgebuild over a long time pe_
riod. For example,in 1984,Alec Jeffreys,a ge_
Use of Research neticist at the Universityof Leicesterin England,
wasengagedin basicresearchstudyingthe evo_
For over a century sciencehashad two wings. lution ofgenes.As an indirect
,rsom-e accidentialsideef-
researchers adopt a detached,purely sci- fect of a new technique he developed,he
entific, and academicorientation;others are discovereda wayto producewhat is now callhu-
more activist, pragmatic, and interventionist man DNA "fingerprints"or uniquemarkingsof
oriented. This is not a rigid separation.Re- the DNA of individuals.This wasnot his inient.
searchers in the two wingscooperateand main- He evensaidhe would haveneverthoughtof the
tain friendly relations.Someindividuals move teghlique if DNA fingerprintshadbeenhis goal.
from one wing to anotherat different stagesin Within 10 yearsapplied usesof the technique
their careers.In simpleterms,someresearchers weredeveloped.Today,DNA
analysisis a widiiv
concentrateon advancinggeneralknowledge usedtechniquein criminalinvestigations.
over the long term, whereasothers conduct
studiesto solvespecific,immediateproblems. Applieil Research, Applied
socialresearchisde-
Thosewho concentrateon examiningthe fun- signedto addressa specificconcernor to ofi[er
damentalnature of socialreality are engagedin solutionsto a problem identified by an em-
basicresearch. ployer,club,agenry,socialmovement,or orga-
12 P A RToNE / F o u N D AT Io N s
nization.Applied socialresearchers are rarely
concernedwith building, testing,or connecting
to a largertheory, developinga long-term gen-
eralunderstanding,or carryingout a large-scale
investigationthat might spanyears.Instead,they
usuallyconduct a quick, small-scalestudy that
providespracticalresultsfor use in the short
term (i.e.,next month or next year).For exam-
ple, the student government of University X
wantsto know whetherthe number of Univer-
sityX studentswho arearrestedfor drivingwhile
intoxicatedor involvedin autoaccidentswill de-
clineifit sponsorsalcohol-freepartiesnextyear.
Applied researchwould be most applicablefor
this situation.
Peopleemployedin businesses, government
offices,healthcarefacilities,socialserviceagen-
cies,political organizations,and educationalin-
stitutionsoften conduct appliedresearchand
usethe resultsin decisionmaking.Applied re-
searchaffectsdecisionssuch as the following:
Shouldan agencystarta newprogramto reduce
the wait time before a client receivesbenefits?
Shoulda policeforce adopt a new tlpe of re-
sponseto reducespousalabuse?Shoulda politi-
cal candidateemphasizehis or her standon the
environmentinsteadof the economy?Shoulda
companymarket a skin careproduct to mature
adultsinsteadof teenagers?
The scientific community is the primary
consumerof basicresearch.The consumersof
appliedresearchfindings are practitionerssuch
as teachers,counselors,and socialworkers, or
decisionmakerssuch as managers,agencyad-
ministrators,and public officials.Often, some-
one other than the researcher who conducted
the studyusesthe results.
Applied researchresultsarelesslikely to en-
ter the public domain in publicationsand may
be availableonly to few decisionmakersor prac-
titioners.This meansthat appliedresearchfind-
ings often are not widely disseminatedand that
well-qualifiedresearchers rarelygetto judgethe
quality of appliedstudies.
The decisionmakerswho usethe resultsof
an applied study may or may not use them
wisely.Sometimesdespiteseriousproblemswith
a study'smethodologyand cautionsfrom the re-
searchers, politiciansuseresultsto justiSrcutting
programsthey dislike or to advanceprograms
they favor. Becauseapplied researchoften has
immediateimplications or involyescontrover-
sial issues, it often generatesconflict. One
famousresearcher,William Whyte (1984),en-
counteredconflict over findings in his applied
researchon a factory in Oklahoma and on
restaurantsin Chicago.In the first case,the
managementwasmore interestedin defeatinga
union than in learningabout employmentrela-
tions; in the other, restaurantowners really
soughtto makethe industry look good and did
not want findingson the nitty-gritty of its oper-
ationsmadepublic.
Applied and basicresearchers adopt differ-
ent orientationstoward researchmethodology
(seeTable1.2).Basicresearchers emphasize high
methodologicalstandardsand try to conduct
near-perfectresearch.Applied researchers must
make more tradeoffs.They may compromise
scientificrigor to get quick, usableresults,but
compromiseis never an excusefor sloppy re-
search.Applied researchers try to squeezere-
searchinto the constraintsofan appliedsetting
and balancerigor againstpracticalneeds.Such
balancingrequiresan in-depth knowledgeof re-
searchand an awareness ofthe consequences of
compromisingstandards.
Typesof Applied Research. There are many
specifictypesof appliedresearch.Here,you will
learn about three major types:evaluation,ac-
tion, and socialimpact assessment.
EvaluationResearch Study. Evaluationresearc
study is applied researchdesignedto find out
whethera program, a new way of doing some-
thing, a marketing campaign,a policy, and so
forth, is effective-in other words, "Does it
work?"The most widelyusedtlpe of appliedre-
searchis evaluationresearch.TThis type of re-
searchis widely used in large bureaucratic
organizations(e.9.,businesses,schools,hospi-

Basicand Applied SocialResearchCompared
l. Research
is intrinsically
satisfying
and
judgmentsare by other sociologists.
2. Research problemsand subjectsare selected
with a great dealof freedom.
3. Research isjudgedby absolutenormsof
scientificrigor,and the higheststandardsof
scholarship are sought.
4. The primaryconcernis with the internallogic
and rigor of researchdesign.
5. The drivinggoal is to contributeto basic,
theoreticalknowledge.
5. Success comeswhenresultsappearin a
scholarly journaland havean impacton others
in the scientific
community.
Source:
Adapted
fromFreeman (1984:572-573\.
andRossi
tals, government, large nonprofit agencies) to
demonstrate the effectivenessof what they are
doing. An evaluation researcherdoes noi use
techniques different from those of other social
researchers.The difFerencelies in the fact that
decision makers, who may not be researchers
themselves,define the scope and purpose of the
research.Also, their objective is to use results in
a practical situation.S
Evaluation research questions might in-
clude: Does a Socratic teaching technique
improve learning over lecturing? Does a law-en-
forcement program of mandatory arrest reduce
spouseabuse?Does a flextime program increase
employee productivity? Evaluation researchers
measure the effectivenessof a program, policy,
or way of doing something and often use several
researchtechniques (e.g.,survey and field). Ifit
can be used, the experimental technique is usu-
ally preferred. Practitioners involved with a pol-
q HAPT ER I ,/ D OIN C SOC IA L R E S E A R C H r3
.l
. Researchis part of a job and isjudgedby
sponsorswho areoutsidethe discipline of
sociology.
2. Research problemsare "narrowlyconstrained"
to the demandsof employerc or.,ponro.r.
3. The rigorand standards ofscholarshipdepend
can be ,,quick
on the usesof results.Research
and dirty" or may matchhighscientific
standards.
4. The primaryconcernis with the abilityto
generalize
findingsto areasof interestto
sponsors.
5. The drivinggoal is to havepracticalpayoffsor
usesfor results.
5. Successcomeswhenresultsare usedbv
sponsorsin decisionmaking.
lcy or program may conduct evaluation research
for their own information or at the recuest of
outside decision makers. The decision Luk..,
may place limits on the research by fixing
boundaries on what can be studied and by de-
termining the outcome of interest. This often
createsethical dilemmas for a researcher.
Ethical and political conflicts often arise in
evaluation researchbecausepeople can have op-
posing interests in the findings. The findings of
researchcan affect who getsor keepsa job, it can
build political popularity, or it may help pro-
mote an alternative program. people who are
personally displeasedwith the findings may at-
tack the researcheror his or her methods.
Evaluation research has severallimitations:
The reports ofresearch rarely go through a peer
review process,raw data are rarely publicly avail-
able, and the focus is narrowed to select inputs
and outputs more than the full processbvwhich
 14 P A RToN E ,/ F o u N D A T to N s
a programaffectspeople'slives.In addition,de-
cisionmakersmay selectivelyuseor ignoreeval-
uation findings.
Action ResearchStudy. Action researchis ap-
plied researchthat treatsknowledgeasa form of
power and abolishesthe divisionbetweencreat-
ing knowledgeandusingknowledgeto engagein
political action.Thereareseveraltypesofaction
research,but most sharefive characteristics: ( 1)
the peoplebeing studiedactivelyparticipatein
the researchprocess;(2) the researchincorpo-
ratesordinaryor popularknowledge;(3) the re-
searchfocuseson issuesof power; ( ) the
researchseeksto raiseconsciousness or increase
awareness ofissues;and (5) the researchis tied
directlyto a plan or programof political action.
Action researchtendsto be associated with a so-
cial movement,political cause,or advocacyfor
an issue.It canbe conductedto advancea range
of political positions.Someaction researchhas
an insurgentorientationwith goalsof empower-
ing the powerless, fighting oppressionandinjus-
tice, and reducing inequality. Wealthy and
powerfrrlgroups or organizationsalso sponsor
and conductactionresearchto defendtheir sta-
tus,position,and privilegesin society.
Most actionresearchers areexplicitlypoliti-
cal,not valueneutral.Becausethe primary goal
is to affectsociopoliticalconditions,publishing
resultsin formal reports,articles,or booksis sec-
ondary.Most actionresearchers alsobelievethat
knowledgedevelopsfrom directexperience, par-
ticularly the experienceof engagingin sociopo-
litical action.
For example,most feminist researchis ac-
tion research.It hasa dual mission:to createso-
cialchangebytransforminggenderrelationsand
to contributeto the advancementofknowledge.
A feministresearcher who studiessexualharass-
ment might recommendpolicy changesto re-
duceit aswell asto inform potentiaivictims so
they can protect themselveiand defendtheir
rights. At times, researchers will explain study
resultsin a public hearingto try to modi$, new
policiesor laws.The authorsof a study on do-
mesticviolencethat will be discussedshortly as
an explanatorystudy example(Cherlin et al.,
2004)testifiedin the United StatesSenate.The
studyfindingsand the testimonyhelpedto alter
marriagepromotion provisionsin a 2005wel-
farereform law.e
SocialImpactAssessment ResearchStudy. A re-
searcherwho conductssocialimpactassessme
(S1A) estimatesthe likely consequencesof a
planned intervention or intentional changeto
occurin the future.It may be part of a largeren-
vironmentalimpact statementrequiredby gov-I
ernment agenciesand usedfor planning and
making choicesamong alternativepolicies.He
or sheforecastshow aspectsof the socialenvi-
ronment may changeand suggests waysto miti-
gatechangeslikely to be adversefrom the point
ofview of an affectedpopulation.Impactsarethe
differencebetweena forecastof the future with
the project or policy and without the project or
policy. For example,the SIA might estimatethe
ability of a localhospitalto respondto an earth-
quake,determinehow housing availabilityfor
the elderlywiil changeif a major new highwayis
built, or assess the impact on collegeadmissions
if students receive interest-freeloans. Re-
searcherswho conduct SIAs often examine a
rangeof socialoutcomesand work in an inter-
disciplinaryresearchteam to estimatethe social
outcomes.The outcomesinclude measuring
"quality oflife" issues,such as accessto health
care,illegal drug and alcohol use,employment
opportunities,schoolingquality,teenpregnancy
rates,commuting time and traffic congestion,
availability of parks and recreationfacilities,
shoppingchoices,viablecultural institutions,
crime rates,interracialtensions,or socialisola-
tion. Thereis an internationalprofessionalasso-
ciation for SIA researchthat advancesSIA
techniquesand promotesSIA by governments,
corporations,and other organizations.
Social impact assessments are rarely re-
quired, but a few governmentsmandatethem.
For example,in New South Wales,Australia,a
registeredclub or hotel cannot increasethe
 CHAPTER1 , / D o I N c s o c I A L R E S E A R c H I5

number of poker machinesunlessthe Liquor lence), economic (e.g., unemployment, banli-

AdministrationBoardin the DepartmentGam-
ing and Racingapprovesan SIA for the club or
hotel. The SIA enablesthe board to assess the
likely local community impact from increasing
the number of poker machines.The format in-
cludesa matrix that allowsthe board to identify
the socialand economicimpacts,positive and
negative,financialor nonfinancial,quantifiedor
qualitative. In New Zealand,the Gambling Act
of 2003requiresan SIA beforeexpandinggam-
bling. In one2004studyin New Zealandfor the
AucklandCity Council,it noted that 90 percent
of New Zealand'sadultsgamble,10percentgam-
ble regularly(oncea week or more often), and
about 1 percentareproblemgamblers,although
this variesby age,income, and ethnicity. The
SIA recommendedlimiting the locationsof new
gamblingvenues,monitoring their usage,and
tracing the amount of gambling revenuesthat
are returnedto the community in variousways
(e.g.,clubs,trusts,etc.).It containeda matrix
with social (e.g,arrests,divorce,domesticvio-
ruptcy, tourism expansion), and cultural im-
pacts (e.g.,time awayfrom other leisure activin')
listed by their effect on all gamblers, problem
gamblers, the local community, and the
region.lo
Purpose ofa Study
If you asksomeonewhy he or sheis conducting
a study,you might geta rangeof responses:
"My
bosstold me to"; "It wasa classassignment";"I
wascurious"; "My roommatethought it would
be a good idea." Thereare almostasmany rea-
sonsto do researchasthereareresearchers. Yet,
the purposesof socialresearchmaybe organize
into threegroupsbasedon whatthe researcher is
trying to accomplish-explore a new topic, de-
scribea socialphenomenon,or explain why
somethingoccurs.Studiesmay havemultiple
purposes(e.g.,both to exploreandto describe
but oneof threemajor purposesis usuallydom-
inant (seeBox 1.2).

Exploratory Descriptive Explanatory

r Becomefamiliarwith the
basicfacts,setting,and
concerns,
r Createa generalmental
pictureof conditions.
r Formulateand focus
questionsfor futureresearch.
t Ceneratenewideas,
conjectures,
or hypotheses.
r Determinethe feasibilitvof
conductingresearch.
r Developtechniquesfor
measuringand locatingfuture
data.
I Providea detailed,highly
accuratepicture.
r Locatenewdatathat
contradictpast data.
r Createa set ofcategoriesor
classifytypes.
r Clarifya sequenceof stepsor
stages.
I Documenta causalprocess
or mechanism.
r Reporton the background
or
contextofa situation.
r Test a theory'spredictionsor
principle.
r Elaborateand enricha
theory'sexplanation.
r Extenda theoryto newissues
or topics.
r Supportor refutean
explanationor prediction.
r Linkissuesor tooicswitha
generalprinciple.
I Determinewhichof several
explanations
is best.
16 PART oNE , / FO UNDATI O NS
Exploration. Perhapsyou haveexploreda new
topic or issuein order to learnaboutit. If the is-
hadwritten about
suewasnew or no researchers
it, you beganat the beginning. In exploratoryre-
search.a researcher examines a new areato for-
mulate precise questions that he or she can
addressin future research. Exploratory research
maybe the first stagein a sequence of A
studies'
researchermay need to conduct an exploratory
studyin orderto know enoughto designand ex-
ecutea second,more systematicand extensive
study.It addresses the "what?"question:"What
is this socialactivityreallyabout?"
Many higher-educationofficials are con-
cerned about college students' low retention
rates,especiallystudentsfrom minority-disad-
vantagedsocialbackgrounds.For example,of
Latinoswho enroll in college,80 percentleave
without receivinga degree.Officialsseekwaysto
reducedropouts and increasethe chancesthat
studentswho begin collegewill stay until they
earn a degree.Garzaand Landeck(2004)con-
ductedan exploratorystudy of over 500 Latino
studentsat a collegealong the Texas-Mexico
border who had dropped out. They wanted to
learn the influencing factors and rationalesin
studentdecisionmaking.Theauthorsdiscovered
that the primary factorsand rationaleswereun-
relatedto teachingquallty or universityservices.
Instead,the studentswho droppedout hadbeen
overwhelmedby personalproblemsor had seri-
ousdifficultieswith familyor job responsibilities.
Suchfactorswere a major reasongivenby over
80 percentofthe studentswho droppedout.
Exploratoryresearchers tend to usequalita-
tive dataand not be weddedto a specifictheory
or researchquestion.Exploratoryresearchrarely
yieldsdefinitive answers.If you conduct an ex-
ploratory study, you may get frustrated and feel
it is rlifficult becausetherearefew guidelinesto
fdlow. Everything is potentially important, the
step6are mt wdl defined, and the direction of
irffi.h'.GF fteqrn$y. You needto be cre-
on-;c -:&d, rd f-r'k; edoPt an in-
rcffrure"dqbcJ srra's of
drMm"
Description, Perhapsyou havea more highly
developedideaabout a socialphenomenonand
want to describeit. Descriptiveresearch presents
a picture of the specificdetailsof a situation,so-
cial setting,or relationship;it focuseson "how?"
and "who?" questions:"How did it happen?"
"Who is involved?"A greatdeal of socialre-
searchis descriptive.Descriptiveresearchers use
most data-gatheringtechniques-surveys, field
research,content analysis,and historical-com-
parativeresearch.Only experimentalresearchis
iess often used.Much of the social research
found in scholarlyjournals or usedfor makin$
policy decisionsis descriPtive'
Descriptiveand exploratoryresearchoften
blur togetherin practice'In descriptiveresearch,
a researcherbeginswith a well-definedsubject
and conductsa study to describeit accurately
andthe outcomeis a detailedpictureof the sub-
ject. The resultsmay indicatethe percentageof
peoplewho hold a particularview or engagein
specificbehaviors-for example,that 8 percent
of parentsphysicallyor sexuallyabusetheir chil-
dren. A descriptivestudy presentsa picture of
typesofpeople or ofsocial activities.
Stack,Wasserman,and Kern (2004)con-
ducteda descriptivestudy on pornographyuse
on the Internet by peoplein the United States.
They found that the greatestuserswere those
with weak socialbonds' More specifically,the
typesofpeoplewho wereadult usersofpornog-
raphy tended to be maleswith unhappy mar-
riages and weak ties to organizedreligion.
Pornographyuserswerealsomore likely to have
engagedin nonconventionalsexualbehavior
(i.e.,had an extramaritalaffair or engagedin
paid sex)but not other forms of deviance,such
asillegaldrug use.
Explanation When you encounter an issue
that is well recognizedand havea descriptionof
it, you might beginto wonderwhy thingsarethe
way they are.Explanatoryresearch identifiesthe
sourcesof socialbehaviors,beliefs,conditions,
and events:it documentscauses'teststheories
and providesreasons.It builds on exploratory
 CHAPTER1 , / D O I N G S O C I A L R E S E A R C H 17

and descriptiveresearch.For example,an ex- over severaltime points (longitudinal).euanti-

ploratory studydiscoversa new typeofabuseby tative studiesgenerallylook at many cases,peo-
parents;a descriptiveresearcher documentsthat ple, or units, and measurelimited featuresabout
10percentofparentsabusetheir childrenin this them in the form of numbers.By contrast,a
new way and describesthe kinds of parentsand qualitative study usually involves qualitative
conditionsfor which it is most frequent;the ex- data and examinesmany diversefeaturesof a
planatoryresearcher focuseson why certainpar- small number of casesacrosseither a short or
ents are abusingtheir children in this manner. long time period(seeFigure1.2).
Cherlin, Burton, Hurt, and Purvin (2004) ex-
plained instability in marriageor cohabitation Cross-SectionalResearch. Most social re-
using a woman'spast experiencewith sexualor searchstudiesarecross-sectional;theyexaminea
physicalabuse.They testedthe hypothesisthat singlepoint in time or takea one-timesnapshot
women with a history of abusewould be less approach.Cross-sectional researchis usuallythe
likely marry than thosewithout such histories. simplestand leastcostly alternative.Its disad-
The authors reasonedthat those who were vantageis that it cannotcapturesocialprocesses
abusedhavefewersocialsupportsand resources or change.Cross-sectional researchcan be ex-
to resistor avoid abusivepartners,and they are ploratory, descriptive,or explanatory but it is
more likely to harbor feelingsof self-blame, most consistentwith a descriptiveapproachto
guilt, and low self-esteem that inhibit the forma- research.The descriptive study by Stack,
tion of healthyromantic relationships.An abu- Wasserman,and Kern (2004) on pornography
sive experiencealso createsgreateremotional usewascross-sectional, basedon a nationalU.S.
distanceand a hesitancyto make long-term surveyconductedin 2000.
commitments.Using quantitativeand qualita-
tive datagatheredin low-incomeneighborhoods Longitudinal Reseqrch. Researchersusing
in threecities-Boston, Chicago,and SanAnto- longitudinalresearch examinefeaturesof people
nio-they found that adult womenwho had ex- or otherunits at morethan onetime. It is usually
periencedpast abusewere less likely to be more complexand costlythan cross-sectional
married,and thosewith multiple forms of abuse research,but it is alsomore powerful and infor-
weremost likely to remainsingle.It appearsthat mative.Descriptiveand explanatoryresearchers
women without a past history of abusewho uselongitudinalapproaches. Let us now look at
found themselvesin an abusiverelationshipas the three main types of longitudinal research:
,an adult were likely to withdraw from it, but time series,panel,and cohort.
'womenwho had beenabusedaschildren were
lesslikely to leaveand tendedto enterinto a se- Time-Series Study. A time-series studyislongi-
riesof unstable,transitoryrelations. tudinal researchin which a researchergathers
the sametypeof information acrosstwo or more
Time Dimensionin Research time periods.Researchers can observestability
or changein the featuresofthe units or cantrack
An awareness of how a study usesthe time di- conditions over time. The specificindividuals
mensionwill helpyou reador conductresearch. may changebut the overallpattern is clear.For
This is becausedifferentresearchquestionsor is- example,therehasbeena nationwidesuweyof a
suesincorporatetime difFerently.Somestudies large sampleof incoming freshmanstudents
givea snapshotof a single,fixed time point and since1966.Sinceit began,over 11 million stu-
allowyou to analyzeitin detail(cross-sectional). dentsat more than 1,800collegesparticipated.
Other studiesprovide a moving picturethat lets The fall 2003surveyof276,449 studentsfound
you follow events,people,or socialrelations manyfactsandtrends,suchasonly 34percentof
l8 PART oNE / FoUNDATI oNS

Flc U RE 1 .2 The Time Dimensionin SocialResearch

CROSS-SECTIONAL: Observea collectionof peopleat one time.

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1990 2010

wffililwwwwl&
1986 1996

COHORT: Observepeoplewho sharedan experienceat two or moretimes'

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Married in 1967 1987

CASE STUDY: Observea small set intenselyacrosstime.

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 CHAPTERI / D O I N C S O C I A LR E S E A R C H I9

enteringfreshmenstudiedsix or more hoursper term panel studiescan clearlyshowthe impact

week.This was the lowestlevel sincethe ques- of a particularlife event.For example,Oesterle,
tion wasaskedin 1987(when itwas47 percint). fohnson,and Mortimer (2004)examinedpanel
Yet, alcohol consumptionwas down. In 2003, data from a longitudinal study that began in
44.8percentreporteddrinking beer,which rep_ 1988with 1,000ninth-gradestudentsenrolled
resenteda steadydecline from73.7 percentin in the St.Paul,Minnesota,public schooldistria
7982.In2003,freshmenweremore inierestedin and lookedat volunteeringactivitiesduring late
keepingup with politics. The 33.9percentwho adolescenceand young adulthood, covering
saidit wasvery important to staypolitically in_ nine yearsfrom age l}-t9 (1992)to age26_27
formed was up from a low of 2g.l percentin (2000).They found that volunteeringat an ear_
2O00,and 22.5 percentsaidthey discussed poli_ lier stagestrongly affectedwhether one volun_
tics regularl/, up from 19.4 percent in )OOZ teeredat a later stage.Also, peoplewho devoted
(whighhad beenthe highestsincea low point in full time to working or parenting at an earlier
1993).Thesefiguresare still far lower than the stage(18-19yearsold) werelesslikelv to volun_
60.3percentwho expressed an interestin politics teerat a later stage(26-27 yearsold) than those
in 1966,or the one-third who discussed politics whosemajor activitywasattendingschool.
regularlyin 1968.The importanceof familyhas
steadilyincreasedover the years,with 74.gper_ CohortStudy. A cohortstudy is similar to a
cent of studentscalling it essentialo, ,,"ry1-_ panelstudy,but ratherthan observingthe exact
portant.This is up from the low point oi SS.g samepeople,the study focuseson a categoryof
percentin 1977when the questionwas first peoplewho sharea similar life experieniein a
asked.However,religiousinvolvementdeclined. specifiedtime period. Researchers examinethe
The percentageof studentswho attendedreli_ categoryas a whole for important featuresand
giousserricesregularlywasat its lowestlevelin focuson the cohort,or categorynot on specific
35 years. In addition, the percent claiming individuals.Commonlyusedcohortsincludeall
"none" asa religiouspreferencereacheda record peopleborn in the sameyear (called birth co_
high of 17.6percent,comparedto a recordlow of horts),all peoplehired at the sametime, and all
6.6percentin 1966.Another trend overthe past people who graduatein a given year. Unlike
two decades hasbeena steadygrowthin opposi- panelstudies,researchers do not haveto find the
tion to the deathpenalty.Nearlyonein thiee in- exactsamepeoplefor cohort studies;rather,
coming students advocated ending capital theyneedonly to identifythosewho experienced
, punishment. This is the highestscoresincei9g0a commonlife event.In a studyof GenerationX
I (w!g" itwas 33.2percent),
althoughthe percent
in the United States,AndolinaandMayer e003)
withholding an opinion wasfar higherejrher in focusedon the cohort ofpeople born between
time; it exceeded 60 percentin the tgZO.ll 1967and 1974. They comparedt0 birth cohorts
at different time periods over severaldecades,
PanelStudy. Thepanelstudyis apowerfirltyp. tracing questionsacross24 years.The authors
of longitudinalresearchin which the researciier found that White Xers
are distinct in their
observesexactlythe samepeople,group, or or- support for school racial integration and for
ganization acrossmultiple time points. It is governmentactionto enforcesuchefforts,com_
more difficult to conductthan time-seriesre_ paredto other birth cohorts,
but not in their at_
search.Panelresearchis formidableto conduct titudes toward employment opportunities or
and very costly.Trackingpeopleovertime is of- affirmativeaction. Despitegreatergeneralsup_
ten difficult becausesomepeopledie or cannot port than other cohortsfor equalitythrough in_
be located.Nevertheless,the resultsof a well-de- tegration,it doesnot extendto issuesbeyondthe
signedpanelstudyareveryvaluable.Evenshort_ schoolyard.
20 P A Rr oNE ,/ F o U N D AT T o N S
CsseStudies. In cross-sectionaland longitudi-
nal research. a researcher examines features on
many people or units, either at one time period
or across time periods, and measures several
common features on them, often using num-
bers. In case-studyresearch,a researcher exam-
ines, in depth, many features of a few casesover
a duration of time with very detailed, varied, and
extensive data, often in a qualitative form. The
researchercarefirlly selectsa few key casesto ii-
lustrate an issue and study it (or them) in detail
and considers the specific context of each case.
This contrasts with other longitudinal studies in
which the researchergathersdata on many units
or cases,then looks for general patterns in the
massof numbers.
For example, Snow and Anderson (1992)
conducted a case study on homeless people in
Austin, Texas. It provided a wealth of details
about the lives and conditions of homeless peo-
ple, identified severaltypes of homeless people,
outlined the paths by which they became home-
less, and discussedseveralprocessesthat kept
them homeless.This casestudy used many Qpes
of detailed qualitative and quantitative data,
with exploratory descriptive, and explanatory
phasesto reveal a great amount of unexpected
and new information.12
Data Collection Techniques
Social researcherscollect data using one or more
specific techniques. This section givesyou a brief
overview of the major techniques. In later chap-
ters, you will read about these techniques in de-
tail and learn how to use them. Some techniques
are more effective when addressing specific
kinds of questions or topics. It takes skill, prac-
tice, and creativity to match a researchquestion
to an appropriate data collection technique. The
techniques fall into two categories based on
whether the data being gathered are quantitative
or qualitative.
Quantitative Data Collection Techniques,
Techniques for quantitative data collection in-
clude experiments, surveys, content analyses,
and existing statistics.
Experiments. Experimental researchclosely fol-
lows the logic and principles found in natural
science research;researcherscreate situations
and examine their efFectson participants. A re-
searcherconducts experiments in laboratories or
in real life with a relatively small number of peo-
ple and a well-focused researchquestion. Exper-
iments are most effective for explanatory
research. In the tlpical experiment, the re-
searcher divides the people being studied intol
two or more groups. He or she then treats both
groups identicallS except that one group but not
the other is given a condition he or she is inter-
ested in: the "treatment." The researcher mea-
sures the reactions ofboth groups precisely. By
controlling the setting for both groups and giv-
ing only one group the treatment, the researcher
can conclude that any differenees in the reac-
tions of the groups are due to the treatment
alone.
Surveys. A survey researcherasks people ques-
tions in a written questionnaire (mailed or
handed to people) or during an interview and
then records answers. The researcher maniprr-
lates no situation or condition; he or she simply
asksmanypeople numerous questions in a short
time period. Typically, he or she then summa-
rizes answersto questions in percentages,tables,
or graphs. Researchersuse survey techniques in
descriptive or explanatory research.Surveysgive
the researchera picture of what many people
think or report doing. Survey researchersoften
use a sample or a smaller group of selectedpeo-
ple (e.g., 150 students),but generalizeresultsto
a larger group (e.g., 5,000 students) from which
the smaller group was selected.Survey research
is very widely used in many fields.
Content Analyses. A contenLtanalysis is a tech-
nique for examining information, or content, in
written or symbolic material (e.g., pictures,
movies, song lyrics, etc.). In content analysis, a
 c HAPTER 1 , / D O I N C S O C T A LR E S E A R C H 21

researcherfirst identifiesa body of material to in detail.The researcher getsto know personally

a-nalyze (e.g.,books,.t.*rpup"rr, films, etc.)and the_people being studied,may condlct open_
then createsa systemfor-reiording specificas_ ended and informal interviews,and takesde_
pectsof it. The systemmight include counting tailed notes on a daily basis.After leaving the
how often certain words or themesoccur. Fi_ field site, the researchercarefully rereadi the
nalln the researcherrecordswhat wasfound in notes and prepareswritten reports.Field re_
the material.He or sheoften measuresinforma_ searchis usedmost oftenfor expioratoryand de_
tion in the contentasnumbersandpresentsit as scriptivestudies;it is rarelyusedfor explanatory
tablesor graphs.This techniqueletsa researcher research.
discoverfeaturesin the contentoflargeamounts
of materialthat might otherwisego unnoticed. Historical-ComparativeResearch. Historical_
Researchers can use content analysisfor ex_ comparativeresearchers examjneaspectsof social
ploratoryand explanatoryresearch,tut primar_ life in a pasthistoricaletuo. u.ros differentcul_
ily it is usedfor descriptiveresearch. tures.Researchers who usethis techniquemay
focus on one historicalperiod o. r.rr.ril, .o-_
ExistingStatistics. In existingstatisticsresearch, pareone
or more cultures,or mix historicalpe_
a researcherlocatespreviouslycollectedinfor_ riods and cultures. Like field research.^
mation,often in the form of governmentreports researchercombines u
theory building/testing
or previouslyconductedsuryeys,then reorga_ with data collection
and beginswith a loose$
nizesor combinesthe information in new ways formulated question
that is iefined during the
to addressa researchquestion.Locatingsources researchprocess.
Researchers often gatlier a
canbe time consuming,so the researcher needs wide arrayof evidence,including existiig statis_
to considercarefullythe meaningof what he or tics and documents(e.g.,novels,officialieports.
she finds. Frequently,a rer"arih", does not books,newspapers,diaries,photographs,and
know whether the information of interest is maps)for study.In addition,theymav makedi_
availablewhen he or shebeginsa study.Some_ rect observations
and conduct interviews.His_
times,the existingquantitativeinformaiion con_ torical-comparative
researchcanbe exploratory
sists of stored surveys or other data that a descriptive,or explanatoryandcanblend types.
researcherreexaminesusing various statistical
procedures.Existingstatisticsresearchcan be
usedfor exploratory descriptive,or explanatory
purposes,but it is most frequentlyusedfor de_ C ON C L U S ION
scriptiveresearch. This chapter gave you an overview ofsocial re_
search.You saw how social researchdiffers from
Qualitative Data Collection Techniques. the ordinary ways of learning-knowing
Techniquesfor qualitativedata collectioi in_ about
the social world, how doing researchis basedon
clude fi eld researchand historical-comparative scienceand the
scientific community, and about
research. several tlpes of social research based on its di-
mensions (e.g.,its purpose, the technique used
FieldResearch.Most field researchers conduct to gather data, etc.).The dimensions of research
casestudieslooking at a small group of people loosely overlap
with each other. The dimensions
oyer a length of time (e.g.,weeki, mbnt^hs, of social research
are a kind of ..road map', to
years).Afield researcher beginswith a looseiy help you make your way through the
terrain of
formulatedidea or topic, selectsa socialgroup social research. In the next chapter, we turn to
or natural setting for study, gains accesiand social theory. You read about it a little in this
adoptsa socialrole in the setting,and observes chapter. In the
next chapter, you will learn how
22 P A RToNE / F o u N D A T ro N s

theoryand researchmethodswork togetherand social impact assessmentstudy

aboutseveraltypesof theory. social research
suwey research
time-series study
Key Terms
action research study E n dn o t e s
applied social research
basic social research 1. See Rampton and Stauber (200I:247-277 and
casestudy 30s-306).
2. SeeBest(2001:15) on advocatesandmedia.
cohort study
3. SeeNationalScience Board(2002:735-739).
cross-sectional research
4. Schacter(2001)providesa summaryof memoryl
data issues.
descriptive research 5. NationalScienceBoard(2002:739).
empirical evidence 6, Discussionsof the scientificcommunity can be
evaluation research study found in Coleand Gordon (1995),Crane(1972),
existing statistics research Hagstrom(1965),Merton(1973),Mulkay(1991),
experimental research andZiman(1999).
explanatory research 7. SeePatton(2001)and Weiss(1997)for a more
exploratory research detaileddiscussionof recentadvances in evalua-
field research tion research.
halo effect 8. Beck( 1995)providesa usefuloverview'
9. SeeHerringand Ebner(2005)on the useofdo-
historical comparative research
mesticviolencestudyfindings.
longitudinal research 10. SeeAdams Q004) for more information on the
overgeneralization Auckland City study.
panel study ll. Seethe websiteat www.gseis.ucla.edu/heriihe
premature closure html.
qualitative data 12. AIsoseeSnowandAnderson(1991)for a discus-
quantitative data sion of the case-studymethod in their study of
scientific community . homelesspeople.Also seeGeorgeand Bennett
scientific method methodgenerally.
(2005)on the case-study
selective observation
 Theory andSocialResearc

Introduction
What ls Theory?
BlameAnalysis
The Parts of Theory
Conceots
Assumptions
Relationshios
The Aspects ofTheory
Directionof Theorizing
RangeofTheory
Levelsof Theory
Formsof Explanation
The Three Major Approaches to Social Science
PositivistApproach
InterpretiveApproach
CriticalApproach
The Dynamic Duo
Conclusion

I
24 PART ONE , / FO UNDATI O NS

in mind threethings about how socialscientific

INTRODUCTION
theorieswork. First, socialtheoriesexplain re-
Supposeyou want to makesenseof the hostility curringpatterns,not uniqueor one-timeevents.
betweenpeopleof differentraces.Trying to un- For example,they are not good for explaining
derstandit, you aska teacher,who responds: why terrorists decided to attack New York's
World TradeCenteron September 11,2001,but
Most raciallyprejudicedpeoplelearnnega- they canexplainpatterns,suchasthe conditions
tive stereotlpesaboutanotherracialgroup that generallyleadto increasedlevelsoffear and
from their families,friends.andothersin feelingsof patriotism in a people.Second,social
their immediatesurroundings. If theylack theoriesareexplanationsfor aggregates, not par-
sufficientintimatesocialcontactwith mem- ticular individuals.Aggregatesare collectionsof
bersof the groupor intenseinformationthat many individuals,cases,or other units (e.g.,
contradictsthosestereotypes, theyremain businesses, schools,families,clubs,cities,na't
prejudiced. tions, etc.).A socialtheory rarely can explain
why fosephinedecidedto major in nursing
This makessenseto you becauseit is consis- rather than engineering,but it can explainwhy
tent with what you know about how the social femalesmore than malesin generalchoosenurs-
world works.This is an exampleof a small-scale ing over engineeringas a major. Third, social
socialtheory, a tpe that researchers usewhen theoriesstatea probabiliry chance,or tendency
conductinga study. for eventsto occur, rather than statethat one
What do you think of when you hear the eventmust absolutelyfollow another.For exam-
word theory?Theory is one of the leastwell un- ple, insteadof stating that when someoneis
derstoodterms for studentslearningsocialsci- abusedas a child, that personwill alwayslater
ence.My students'eyelidsdroop if I begina class abusehis or her own children, a theory might
by saying,"Today we are going to examinethe statethat whensomeoneexperiences abusedur-
theoryof . . ." The mentalpicturemanystudents ing his or her childhood,that personwill tendto
have of theory is something that floats high or is morelikely to becomean abusiveparent
amongthe clouds.My studentshavecalledit "a when an adult.Likewise,it might statethat peo-
tangled mazeof jargon" and "abstractionsthat ple who did not experiencechildhood abuse
areirrelevantto the realworld." might becomeabusiveparents,but they areless
Contrary to theseviews,theory has an im- likely to than someonewho has experience
portant role in researchand is an essentialally abuseasa child.
for the researcher. Researchers usetheorydiffer-
ently in varioustypesof research,but sometl?e
of theory is presentin most socialresearch.It is
lessevidentin appliedor descriptivethan in ba-
WHAT IS THEORY?
sic or explanatoryresearch.In simpleterms,re-
searchers interweavea storyaboutthe operation In Chapter L, socialtheorywasdefinedasa sys-
of the socialworld (the theory) with what they tem ofinterconnectedabstractionsor ideasthat
observewhen they examineit systematically(the condensesand organizesknowledgeabout the
data). socialworld. It is a compactway to think of the
Peoplewho seekabsolute,fixed answersfor socialworld. Peopleare constantlydeveloping
a specificindividual or a particular one-time newtheoriesabouthow the world works.
eventmay be frustratedwith scienceand social Somepeopleconfusethe history of socia
theories.To avoid frustration,it is wiseto keep thought, or what greatthinkerssaid,with social
 CHAPTER2 , / TH E O R YA N D S O C I A L R E S E A R C H
theory. The classicalsocial theorists (e.g.,
Durkheim, Weber,Marx, and Tonnies) played
an important role in generatinginnovativeideas.
They developedoriginal theoriesthat laid the
foundationfor subsequentgenerationsof social
thinkers.Peoplestudythe classicaltheoristsbe-
causethey providedmany creativeand interre-
lated ideasat once.They radicallychangedthe
waypeopleunderstoodand sawthe socialworld.
We study them becausegeniuseswho generate
many original, insightfirl ideasand fundamen-
tally shift how pdoplesaw the socialworld are
rare.
At timespeopleconfusetheorywith a hunch
or speculativeguessing.Theymay say,"It's only
a theory" or ask,"What'syour theoryabout it?"
This lax useof the term theorycauses confusion.
Suchguessingdifi[ersfrom a serioussocialthe-
ory that has been carefullybuilt and debated
over many yearsby dozensof researchers who
found support for the theory'skey parts in re-
peatedempiricaltests.A relatedconfusionis
when what peopleconsiderto be a "fact" (i.e.,
light a matchin a gasoline-filledroom and it will
explode)is what scientistscall a theory (i.e.,a
theory of how combining certain quantitiesof
particular chemicalswith oxygenand a level of
heat is likely to producethe outcomeof explo-
siveforce). Peopleuse simple theorieswithout
making them explicit or labelingthem as such.
For example,newspaperarticlesor televisionre-
ports on socialissuesusuallyhaveunstatedso-
cial theoriesembeddedwithin them. A news
reporton the difficultyof implementinga school
desegregation plan will contain an implicit the-
ory aboutracerelations.Likewise,politicallead-
ersfrequentlyexpresssocialtheorieswhen they
discusspublic issues.Politicianswho claim that
inadequateeducationcausespoverty or that a
declinein traditional moral valuescauseshigher
crime ratesare expressingtheories.Compared
to the theoriesof socialscientists,such layper-
sons'theoriesare lesssystematic,lesswell for-
mulated, and harder to test with empirical
evidence.
25
Almost all researchinvolvessometheon',so
the questionislesswhetheryou shouldusethe-
ory than how you should use it. Being explicit
aboutthe theorymakesit easierto readsomeone
else'sresearchor to conduct your own. An
awarenessof how theory fits into the research
processproducesbetter designed,easierto un-
derstand,andbetterconductedstudies.Most re-
searchersdisparageatheoretical or "crude
empiricist"research.
BlameAnalysis
Blameanalysisis a type of counterfeitargument
presentedasif it werea theoreticalexplanation.
It substitutesattributing blame for a causalex-
planationthat is backedby supportingempirical
evidence.Blamebelongsto the realmof making
moral, legal,or ideologicalclaims.It implies an
intention, negligence,or responsibilityfor an
eventor situation (usuallyan unfavorableone).
It shifts the focus from Why did it occur?to
Who is responsible? Blame analysisassumes
there is a party or source to which a fixed
amount of responsibilitycan be attached.The
goalof inquiry is to identifi a responsibleparty.
Often, somesourcesare exemptedor shielded.
This may be the injured party, membersof a
sympatheticaudience,or a sacredvalue or
principle.
Blameanalysiscloudsdiscussionbecauseit
confusesblame with cause;it givesan account
(or story) insteadof a logical explanationwith
intervening causalmechanisms;and it fails to
exploreempirical evidencefor and againstsev-
eral alternativecauses.Blameanalysisfirst pre-
sentsan unfavorableeventor situation.It could
be a bank is robbed, a group is systematically
paid lessin the labor force,or traffic congestion
is terriblein an urban area.It next identifiesone
or more responsibleparties,then it providesse-
lectiveevidencethat shieldscertainpartiesor
sources (e.g., employrnent conditions, the
choicesavailableto the underpaidgroup,trans-
portation poliry, and land cost).l
26 PART ON E , / FO UNDATI O NS

measureheightor compareit. A heightof zerois

THE PARTS OF THEORY possible,and height can increaseor decreas
overtime. As with manywords,we usethe word
Concepts
in severalways.Height is usedin the expression
All theoriescontain concepts,and conceptsare the heightof the battle,the heightof thesummer
the building blocks of theory.2A conceptis an andtheheightoffashion.
ideaexpressed asa symbolor in words.Natural The word heightrefersto an abstractidea.
scienceconceptsareoften expressed in syrnbolic We associate its soundand its written form with
forms,suchasGreekletters(..g., 6) or formulas that idea. There is nothing inherent in the
(e.g.,s = d/t; s= speed,d = distance,f = time). soundsthat make up the word and the idea it
Most socialscienceconceptsare expressed as represents. The connectionis arbitrary' but it is
words. The exotic symbolsof natural science still useful.Peoplecan expressthe abstractidea
conceptsmakemany peoplenervous,asthe use to one anotherusingthe symbolalone.
of everydaywords in specializedsocialscience Conceptshavetwo parts:a symbol(word or
conceptscancreateconfusion. term) and a definition.We learn definitions in
I do not want to exaggerate the distinction manyways.I learnedthe word heightandits de-
betweenconceptsexpressed aswords and con- finition frqm myparents.I learnedit asI learned
ceptsexpressed assymbols.Words, after all, are to speakand was socializedto the culture. My
symbols,too; they are symbolswe learn with parentsnevergaveme a dictionarydefinition. I
language.Heightis a conceptwith which you are learnedit through a diffrrse,nonverbal,informal
alreadyfamiliar.For example,I cansaythe word process.Myparentsshowedme manyexamples
heightor write it down; the spokensoundsand I observedand listenedto othersusethe word; I
written words are part of the Englishlanguage. usedthe word incorrectlyand was corrected
The combinationof lettersin the soundsyrnbol- and I used it correctly and was understood
izes,or standsfor, the ideaof a height.Chineseor Eventually,I masteredthe concept.
Arabic characters, the Frenchwordhauteur, t]":'e This exampleshowshow peoplelearn con-
Germanword h1he,the Spanishword altura- ceptsin everydaylanguageand how we share
all symbolizethe sameidea. In a sense,a lan- concepts.Supposemy parentshad isolatedme
guageis merelyan agreementto representideas from televisionand other people,then taught
by sounds or written charactersthat people me that the word for the ideaheightwaszdged.I
learnedat somepoint in their lives.Learning would havehad difficulty communicatingwith
conceptsand theoryis like learninga language.3 others.Peoplemust sharethe termsfor concepts
Conceptsareeverywhere, andyou usethem and their definitionsif they areto be of value.
all the time. Height is a simple conceptfrom Everydaylife is filled with concepts,but
everydayexperience.What doesit mean?It is many havevagueand uncleardefinitions.Like-
easytousethe conceptofheight,but describing wise,the values,misconceptions,and experi-
the conceptitselfis difficult. It representsan ab- encesof peoplein a culture may limit evgryday
stractideaaboutphysicalrelations.How would concepts.Socialscientistsborrow conceptsfrom
you describeit to a very young child or a crea- everydayculture,but they refinetheseconcepts
ture from a distantplanetwho wastotally unfa- and add new ones. Many conceptssuch as
miliar with it? A new concept from a social sexism,life-style,peergroup, urban sprawl, and
theory may seemjust as alien when you en- socialclassbeganas precise,technicalconcepts
counterit for the first time. Height is a charac- in socialtheorybut havediffrrsedinto the larger
teristicofa physicalobject,the distancefrom top cu]tureand becomelessprecise.
to bottom. All people,buildings, trees,moun- We createconceptsfrom personalexperi-
tains,books,and so forth havea height.We can ence,creativethought,or observation.The clas-
 L HAT IEK Z / IH TOR Y AN D S OC IA L R E S E A R C H
27

sicaltheoristsoriginatedmany concepts.Exam_ conceptareamountof income,tunperatare,delr_

ple conceptsincludefamily system,genderrole, sity,ofpopulation,yearsof schoolinganddesrecof
socinlization, self-worth,frustration, aid.disptaced violence.Theseare calledvariablis, and,"r", *ilf
aggression. read about them in a later chapter.Other con_
Someconcepts,especiallysimple,concrete ceptsexpresstypesof nonvariablephenomena
conceptssuchas bookor height,can be defined (e.q.,
through a simplenonverbalprocess.Most social \lyeaucracy,family, rwolution, homeles,
andcold).Theoriesuseboth kinds ofconcepts.
scienceconceptsaremore complexand abstract.
They ared1fin9dby formal, diitionary_typede_ ClassificationConcepts. Someconceptsare
finitions that build on other .orr..pir.'ti may simple;they haveone dimensionandvary along
seemodd to useconceptsto define other con_ a singlecontinuum. Others are complex;the|
cepts,but we do this all the time. For example,I have multiple dimension, o,
definedheighfasa distancebetweentop u.rdbot_ You can break complex concepts -urryiubparts.
into a iet of
tom. Top,bottom,anddistanceare alfconcepts. simple,or single-dimension,.orr..ptr. For ex_
We often combine simple,concreteconceprs ample,Rueschemeyer and associatis(1992:43_
from ordinary experienceto createmore ab_ 44) statedthat democraryhasthreedimensions:
stractconcepts.Heightis more abstractthantop (1) regular,freeelectionswith universalsuftage;
or bottom.Abstractconceptsrefer to uspect,of (2) an electedlegislativebody that controls
the world we do not directly experience.They sov_
ernmenqand (3) freedomof expression*J ur_
orga.nize thinking and extendunderstandingof sociation.The authors recognizedthat each
reality. dimensionvariesby degree.Tiey combinedthe
Researchers definescientificconceptsmoredimensionsto createa set of typesof regimes.
preciselythan thosewe use in daily discourse. Regimesverylow on all threedimensionsir. to_
Socialtheory requires well-definedconcepts. talitarian,thosehigh on all three are democra_
Thedefinitionhelpsto link theorywith research. cies, and ones with other mixes are either
A valuablegoal ofexploratory research,and of authoritarianor liberaloligarchies.
most good research,is to clarify and refinecon_
Classificationrarepartwaybetweena single,
cepts.Weak,contradictory,oi uncleardefini_ simpleconceptand a theory.aTheyhelpto oriu_
tions of concepts restrict the advance of nizeabstract,complexconcepts.To createa n"ew
knowledge. classification, a researcherlogicallyspecifiesand
combinesthe characteristics of'simpler con_
ConceptClusters. Conceptsarc rarelyusedin cepts.You canbestgraspthis ideaby looking at
isolation. Rather, they form interconnected some
examples.
groups,ot conceptclusters.This is true for con_
The idealtypeis awelJ.-known classification.
ceptsin everydaylanguage aswell asfor thosein Idealtypesarepure, abstractmodelsthat define
socialtheory.Theoriescontaincollectionsof as_ the essence
of the phenomenonin question.
sociatedconceptsthat areconsistentand mutu_ They arementalpicturesthat definethe central
ally reinforcing. Together,they form a web of aspectsofa concept.Idealtypesarenot explana_
meaning.For example,if I want to discussa con_ tions
because they do not tell why or how^som._
ceptsuchasurbandecay,Iwillneeda setofas_ thing
occurs.Theyaresmallerthan theories,and
sociated concepts (e.g., urban expansion, researchers
usethem to build a theory.They are
economicgrowth, urbanization,suburbs,center broader,
more abstractconceptsthai brini to_
city, revitalization,masstransit, and,racial mi_ gether severalnarrower, more concretecon_
norities). cepts. Qualitative researchersoften use ideal
Someconceptstake on a rangeof values, typesto see
how well observablephenomena
quantities,or amounts.Examplesoithis kind of matchup to the idealmodel.For eximple, Max
28 PART o NE , / FoUNDATI oNS
Weber developedan ideal type of the concept
bureaucracy. Many peopleuseWeber'sidealtype
(seeBox 2.I). lt distinguishesa bureaucracy
from other organizationalforms (e.g.,social
movements,kingdoms,etc.).It alsoclarifiescrit-
icalfeaturesofa kind oforganizationthat people
once found nebulousand hard to think about.
No real-life organizationperfectlymatchesthe
ideal type, but the model helps us think about
and studybureaucracy.
Scope. Conceptsvary by scope. Some are
highly abstract,someareat a middle levelof ab-
straction,and some areat a concretelevel (i.e.,
they are easyto directly experiencewith the
sensessuch as sight or touch). More abstract
conceptshavewider scope;that is, they can be
r lt is a continuousorganization
governedby a sys-
tem of rules.
r Conductis governedby detached,impersonal
rules.
r There is divisionof labor,in which differentof-
fices are assigneddifferent spheresof compe-
tence.
I
Hierarchicalauthorityrelationsprevail;that is,
lowerofficesare undercontrolofhigherones.
r Administrative actions,rules,and so on are in
writingand maintainedin files.
r Individuals do not own and cannotbuy or sell
their offices.
r Officialsreceivesalariesratherthan receivingdi-
rect paymentfrom clientsin orderto ensureloy-
alty to the organization.
r Propertyof the organization
is separatefromper-
sonalpropertyof officeholders.
Source:
Adapted
fromChafetz
(197872).
used for a much broader range of specific time
points and situations. More concrete concepts
are easy to recognize but apply to fewer situa-
tions. The concepts skin pigmentation, casting a
ballot in an election,and agebasedon the date on
a birth certificateare lessabstract and more con-
crete than the concepts racial group, democracy
and maturity. Theories that use many abstract
concepts can apply to a wider range of social
phenomena than those with concrete concepts.
An example of a theoretical relationship is: In-
creasedsize createscentralization, which in turn
createsgreater formalization . Size,centralizatioi;
and formalization are very abstract concepts.
They can refer to features of a group, organiza-
tion, or society. We can translate this to say that
as anorganization or group getsbigger, author-
ity and power relations within it become cen-
tralized and concentrated in a small elite. The
elite will tend to rely more on written policies,
rules, or laws to control and organize others in
the group or organization. When you think ex-
plicitly about the scope of concepts, you make a
theory stronger and will be able to communicate
it more clearly to others.
Assumptions
Conceptscontain built-in assumptions,state-
mentsaboutthe natureof thingsthat arenot ob-
servable or testable. We accept them as a
necessary startingpoint. Conceptsand theories
build on assumptionsabout the nature of hu-
man beings,socialreality, or a particular phe-
nomenon.Assumptionsoften remainhiddenor
unstated.Onewayfor a researcher to deepenhis
or her understanding of a concept is to identifr
which it is
the assumptionson based.
For example,the conceptbookassumesa
systemof writing, peoplewho can read,and the
existenceof paper.Without such assumptions
the ideaof abook makeslittle sense.A socialsci-
enceconcept,sueh as racialprejudice,restson
severalassumptions.Theseinclude peoplewho
make distinctionsamong individualsbasedon
their racialheritage,attachspecificmotivations
 CHAPTER2 , / T H E O R YA N D S O C I A L R E S E A R C H
and characteristicsto membershipin a racial
group,and makejudgmentsaboutthe goodness
of specificmotivationsand characteristics.
If
racebecameirrelevant,peoplewould ceaseto
distinguish among individuals on the basisof
race,to attachspecificcharacteristics
to a racial
group,and to makejudgmentsaboutcharacter-
istics.Ifthat occurred,the conceptof racialprej-
udicewould ceaseto be usefulfor research.All
conceptscontainassumptionsaboutsocialrela-
tions or how peoplebehave.
Relationships
Theoriescontainconcepts,their definitions,and
assumptions. More significantly,theoriesspecify
how conceptsrelateto one another.Theoriestell
us whether conceptsare relatedor not. If they
are related,the theory stateshow they relateto
eachother.In addition,theoriesgivereasonsfor
why the relationshipdoesor doesnot exist.It is
a relationship,suchastEconomicdistressamong
theWhite populationcausedan increasein mob
violenceagainstAfrican Americans.When a re-
searcherempiricallytestsor evaluatessuch a
relationship,it is calledahypothesis. After many
carefirltestsof a hypothesiswith data confirm
the hypothesis,it is treated as a proposition.A
propositionis a relationshipin a theoryin which
the scientificcommunity startsto gain greater
confidenceand feelsit is likely to be truthful.
THE ASPECTSOF THEORY
Theory can be baffling becauseit comesin so
many forms. To simplify, we can categorizea
theory by (1) the direction of its reasoning,(2)
the levelof socialrealitythat it explains,(3) the
forms of explanationit employs,and (4) the
overallframeworkof assumptionsand concepts
in which it is embedded.Fortunately,all logi-
cally possiblecombinationsof direction, level,
explanation,and frameworkare not equallyvi-
able.Thereare only about half a dozenserious
contenders.
29
Direction of Theorizing
Researchers approachthebuilding andtestingof
theoryfrom two directions.Somebeginwith ab-
stractthinking. They logicallyconnectthe ideas
in theory to concreteevidence,then test the
ideas againstthe evidence.Others begin with
specificobservationsof empiricalevidence.On
the basisof the evidence,they generalizeand
build towardincreasinglyabstractideas.In prac-
tice, most researchersare flexibleand useboth
approachesat various points in a study (see
Figure2.1).
Deductive. In a deductiveapproach,you begin
with an abstract,logical relationship among
concepts,then movetoward concreteempirical
evidence.You may haveideasabout how tne
world operatesand want to test theseideas
against"hard data."
Weitzerand Tuch (2004,2005)useda de-
ductiveapproachin a study ofperceptionsof
police misconduct.They began with Group
Position theory (a middle-rangetheory dis-
cussedlater) within the conflict theory frame-
work (seeRangeof Theorylaterin this chapter).
Group position theorystatesthat dominant and
subordinateracial-ethnicgroupsarein compe-
tition for resourcesand statusin a multiethnic
societythat hasa racialhierachy,and suchcom-
petition af[ectsracialbeliefsand attitudes.Dom-
inant groups believe they are entitled to
privilegesand a position of superiority,and they
fear losing their privileges.Subordinategroups
believetheir position can be enhancedif they
challengethe existing order. The authors de-
duced that group competition extendsbeyond
attitudesto perceptionsofsocialinstitutions,es-
peciallyinstitutions of socialcontrol such as
policing. They arguedthat subordinategroup
members (i.e., Blacksand Latino/Hispanics)
would preceivepolicemisconduct(measuredas
unjustified stops of citizens,verbal abuseby
police,an excessive useofforce, and policecor-
ruption) differentlythan membersof the domi-
nant group (Whites).The authorsthought that
perceptionsoperatedvia three mechanisms:
30 PART ON E , / FO UNDATI O NS
FIG URE 2. I Deductiveand InductiveTheorizing
DeductiveApproach
o fheoretical
Middle-Range
Theory
Hypothesis Hypothesis,
Testing EmpiricalGeneralization Theorizing
EmpiricalSocial Reality
personalencounterswith the police; reports of
police encountersby friends,family, or neigh-
bors;and noticingand interpretingnewsreports
about police activity. In thesethree areas,they
predictedthat non-Whiteswould interpretneg-
ativeeventsor reportsasstrongevidenceofseri-
ous and systematicpolice misconduct. By
constrast,Whites would tend to ignore or dis-
miss such eventsor reports or seethem as iso-
lated incidents.Data from a national surveyof
U.S. metropolitan areas(over 100,000popula-
tion) supportedpredictionsof the theory.
Inductive. ifyou use an inductiveapproach,
you begin with detailed observationsof the
world and move toward more abstractgeneral-
izations and ideas.When you begin, you may
haveonly a topic and a few vagueconcepts.As
you observe,you refine the concepts,develop
and identifr prelimi-
empirical generalizations,
nary relationships.You build the theory from
the ground up.
InductiveApProach
o iheoreticat
Middle-Range
Theory
Grounded ConceptFormation,
EmpiricalGeneralization
EmpiricalSocial RealitY
Duneier (1999)usedan inductiveapproach
in his studyof life on the sidewalk.He notedthat
in much of socialscience,both quantitativesec-
ondaryanalysisresearchand qualitativefield re-
search, a researcher develops a theoretical
understandingonly after datahave been col-
lected.He stated,"I beganto get ideasfrom the
thingsI wasseeingandhearingon the street"(p.
341).Many researchers who adopt an inductive
approachusegroundedtheory.Groundedtheory
is part of an inductive approachin which a re-
searcherbuilds ideasand theoreticalgenetaliza
tions basedon closelyexaminingand creatively
thinking about the data (seeBox 2'2). A te-
searchercreatesgrounded theory out of a
processof trying to explain,interpret, and ren-
der meaningfrom data.It arisesfrom trying to
accountfor, understand,or "make senseof'the
evidence.Duneier(1999:342)hassuggested that
the processis similar to seeingmany symptoms
and later arriving at a diagnosis(i.e.,a storythat
explainsthe sourceof the symptoms).
 CHAPTER 2
Croundedtheoryis a widelyusedapproachin qual-
itativeresearch. lt is not the only approachand it is
not usedby all qualitativeresearchers. Crounded the-
oryis"aqualitative research methodthat usesa sys-
tematicset of proceduresto developan inductively
derivedtheoryabouta phenomenon" (Strauss and
Corbin,1990:24\. The purposeof groundedthe-
ory is to build a theory that is faithful to the evi-
dence.lt is a methodfor discoveringnewtheory.In
it, the researcher compares unlikephenomena witha
viewtowardlearningsimilarities. He or sheseesmi-
cro-leveleventsasthe foundationfor a moremacro-
levelexplanation. Croundedtheory sharesseveral
goalswith more positivist-oriented theory. lt seeks
theorythat is comparable with the evidence that is
p r ec is eand r igoro u sc, a p a b l eo f re p l i c a ti o na, n d
generalizable. A groundedtheoryapproachpursues
Range ofTheory
Social theories operate with varying ranges.One
source of the confusion about theories involves
the range at which a theory operates.At one end
are highly specific theories with concrete con-
cepts of limited scope.At the opposite end are
whole systems with many theories that are ex-
tremely abstract. As part of the task of theory
building, veri$'ing, and testing, a researcher
connects theoretical statements of different
ranges together, like a seriesof different-sized
boxes that fit into one another or a set ofRuss-
ian dolls.
Empirical Generalizqtion. An empirical gen-
eralization is the least abstract theoretical state-
ment and has a very narrow range. It is a simple
statement about a pattern or generalization
among two or more concrete concepts that are
very close to empirical reality. For example,
"More men than women choose engineering as
a collegemajor." This summarizesa pattern be-
tween gender and choice of college major. It is
/ TH E OR Y A N D S OC IA L R ES E A R C H 31
generalizations by makingcomparisons acrossso-
cialsituations.
Qualitative researchersuse alternativesto
groundedtheory.Somequalitativeresearchers offer
an in-depthdepictionthat is true to an informant's
worldview. They excavatea singlesocialsituationto
elucidatethe microprocesses that sustainstablesocial
interaction.Thegoalofother researchers isto provide
a veryexactingdepictionof eventsor a setting.They
analyzespecificeventsor settingsin orderto gainin-
sightinto the largerdynamicsof a society.Stillother
researchers applyanexistingtheoryto analyze specific
settingsthat they haveplacedin a macro-level histor-
ical context.They show connectionsamongmicro-
leveleventsand betweenmicro-level situationsand
largersocialforcesfor the purposeof reconstructing
the theoryandinformingsocialaction.
easyto test or observe.It is calleda generaliza-
tion becausethe pattern operatesacrossmany
time periodsand socialcontexts.The finding in
the study on Internet pornographydiscussedin
ChapterI that unhappilymarriedmen aremore
likely than happily married men to useInternet
porn is an empiricalgeneralization.
Midille-RangeTheory. Middle-rangetheories
areslightlymore abstractthan empiricalgener-
alizationsor a specifichypothesis.A middle-
rangetheory focuseson a specificsubstantive
topic area (e.g., domestic violence,military
coups,studentvolunteering),includesa multi-
ple empiricalgeneralization,and builds a theo-
reticalexplanation(seeForms of Explanation
later in this chapter).As Merton (1967:39)
stated,"Middle-rangetheoryis principallyused
in sociologyto guideempiricalinquiry." A mid-
dle-rangetheory usedin a study discussedin
Chapter I saidthat girls who sufferphysicalor
sexualabuseexperienceself-blameand guilt
feelingsthat inhibits them from developinga
healthysocialnetworkor formingstableromantic
32 P A Rr oN E / F o U N D AT T o N S
relationships,andthat thesefactorsleadto them
stayingsingleor experiencinggreatermarital in-
stabilitywhen they becomeadults.
TheoreticalFramewoflcs, A theoreticalframe-
work (alsocalleda paradigmor theoreticalsys-
tem) is more abstract than a middle-range
theory.Figure2.1showsthe levelsand how they
Theoretical Framework
Kalmijn. Structuralfunctionalismholds that the
processes of industrialization
andurbanization change
humansocietyfroma traditionalto a modernform.In
this processof modemization, socialinstitutionsand
practices evolve.Thisevolutionincludes thosethat fill
the socialsystem's basicneeds,socialize peopleto cul-
turalvalues,and regulatesocialbehavior.Institutions
that filledneedsandmaintained the socialsystemin a
traditionalsociety(suchas religion)are superseded
by modernones(suchasformalschooling).
Weitzerand Tuch. Conflicttheory holdsthat estab-
lishedsocial,political,and legalinstitutionsprotect
the dominantor privilegedgroupsof a society.Ma-
jor institutionsoperatein waysthat containor sup-
press the activitiesof nondominantgroups in
society,especiallyif they challengeor threatenthe
established social-economic Thus,conflict
hierarchy.
betweenthe dominantandsubordinate socialgroups
is reflectedin how majorinstitutionsoperate,espe-
ciallyinstitutionsthat are chargedwith maintaining
order and engagedin formalsocialcontrol,suchas
lawenforcement.
Middle-RangeSubstantiveTheory
Kalmijn. A theory of intermarriage patternsnotes
that youngadultsin modernsocietyspendlesstime
in small,localsettings,wherefamily,religion,and
communityall have a strong influence.Instead,
youngadultsspendincreasing amountsof time in
schoolsettings.In these settings,especiallyin col-
areusedin inductiveand deductiveapproaches
to theorizing.Fewresearchers makeprecisedis-
tinctions amongthe rangesof theorizing.They
rarely use a theoretical framework directly in
empirical research.A researchermay test parts
of a theory on a topic and occasionallycontrast
partsof the theoriesfrom differentframeworks.
Box2.3illustratesthe variousdegreesof abstrac-
lege,they haveopportunitiesto meetother unmar-
ried people.ln modernsociety,educationhas be-
come a major socializationagent. lt affectsfuture
earnings,moralbeliefsand values,and leisureinter-
ests.Thus,youngadultsselectmarriage partnersless
on the basisof sharedreligiousor localtiesand more
on the basisof commoneducationallevels.
WeiEerandTuch. Group-positiontheory usesgroup
competitionover materialrewards,power,and status
to explainintergroupattitudesand behaviors.Each
group perceivesand experiencesreal or imagined
threatsto its socialpositiondifferently.Membersof a
dominantgrouptendto viewpoliceorgovemmentac-
tions takento defendits interestsas beingfair or fa-
vorable,whereasmembersof subodorinategroups
tend to seethe sameactionsnegatively.
EmpiricalGeneralization
Kalmijn. Americans once marriedotherswith simi-
lar religiousbeliefsandaffiliation.Thispracticeis be-
ing replacedby marriageto otherswith similarlevels
of education.
Weitzerand Tuch. Non-Whitesexperiencemore
negativeinterpersonalencounterswith police and
tend to interpret mediareports about police mis-
conductasevidenceof seriousandsystematicprob-
lems with the police. By contrast,Whites have
differentpoliceencountersor interprettheir en-
countersand mediareportsabout policeactions
morefavorably.
 CHAPTER2 , / TH E O R YA N D S O C I A L R E S E A R C H
tion with Kalmijn's study of changing marriage
partner selection(seealso page40).
Sociology and other social scienceshave sev-
eral major theoretical frameworks.s The frame-
works are orientations or sweeping ways of
looking at the social world. They provide collec-
tions of assumptions, concepts, and forms of ex-
planation. Frameworks include theories for
many substantiveareas(e.g.,theories of crime,
theories of the family, etc.). Thus, there can be a
structural functional theory, an exchange the-
ory and a conflict theory of the family. Theories
within the same framework share assumptions
and major concepts. Some frameworks are ori-
ented more to the micro level; others focus more
on macro-level phenomena (seeLevelsof The-
orynext). Box2.4 shows four major frameworks
Structural Functionalism
MajorConcepts. System,equilibrium,dysfunction,
divisionof labor
KeyAssumptions. Societyis a systemof interde-
pendentpartsthat is in equilibrium or balance. Over
time,societyhasevolvedfrom a simpleto a complex
type,whichhashighlyspecialized parts.The partsof
societyfulfilldifferentneedsor functionsof the social
system. A basicconsensus on valuesor a valuesvs-
tem holdssocietytogether.
ExchangeTheory (also RationalChoice)
MajorConcepts. Opportunities,rewards,approval,
balance,
credit
KeyAssumptions.Humaninteractionsaresimilarto
economictransactions.Peoplegive and receivere-
sources(symbolic,socialapproval,or material)and
try to maximize
their rewardswhileavoidingpain,ex-
pense,and embarrassment. Exchange relationstend
to be balanced.
lfthey areunbalanced, personswith
creditcandominateothers.
33
in sociologyand briefly describesthe key con-
ceptsand assumptions of each.
Levelsof Theory
Socialtheoriescan be divided into three broad
groupingsby the levelof socialrealitywith which
they deal.Most of us devotethe majority of our
time to thinking aboutthe micro leveloireality,
the individualswe seeand interactwith on a day-
by-daybasis.Micro-leveltheorydealswith small
slicesof time, space,or numbersof people.The
conceptsareusuallynot very abstract.
Braseand fuchmond(2004)useda micro-
leveltheory about doctor-patientinteractions
and perceptions.The theorystatedthat physican
attire affectsdoctor-patientinteractions.It sug-
;,,.Kffi
Symboliclnteractionism
MajorConcepts. Sell reference
group,role-playing,
perception
KeyAssumptions.Peopletransmitand receivesvm-
b o l i cc o mmuni cati on
w henthey soci al l yi nteract.
Peoplecreateperceptions of eachotherand social
settings.Peoplelargelyact on their perceptions.
How peoplethink about themselves and othersis
basedon theirinteractions.
Conflict Theory
Major Concepts. Power,exploitation,struggle,in-
equality,alienation
KeyAssumptions.Societyis madeup of groupsthat
haveopposinginterests.Coercionand attemptsto
gainpowerareever-presentaspectsof humanrela-
tions.Thosein powerattemptto hold on to their
powerby spreadingmythsor by usingviolenceif
necessary.
34 P A RToNE ,/ F o u N D A T to N s

gestedthat a patient makesjudgmentsabout a would producegainsbecauseotherworkersand

physican'sabilitiesbasedon attire and that a pa- governmentauthoritieswould supporttheir ac-
tient'strust-opennesstoward a physicanis alsoaf- tions.
fected. It said that perceptions of physican Macro-lweltheoryconcerns the operationof
authorityincreasedwith traditionalprofessional larger aggregates suchassocialinstitutions,en-
formal attire over informal attire, but that trust- tire cultural systems,and wholesocieties.It uses
opennesswasinfluencedin the oppositedirection more conceptsthat areabstract.
asauthority. Thirty-eight male and 40 femalere- Marx's study (1998)on racein the United
searchparticipants rated their perceptionsof States, SouthA.frica,andBraziluseda macro-leve
same- and opposite-gendermodels who were theory.He wantedto explainthe conditionsthat
identifiedasbeingmedicaldoctors,butwho were led Blackpeopleto engagein protestto gain firll
wearing different attire. Findings showedthat a citizenshiprightsandheexaminedpatterns of na-.
{
white coatandformal attire areclearlysuperiorto tional racialpoliticsin threecountiesacrosstwo
casualattire in establishingphysicanauthority, centuries.His theorysaidthat protestresultedin
but it did not reducetrust-openness asexpected. an interaction between(1) race-basedpolitical
Meso-lweltheorylinksmacroand micro lev- mobilizationand (2) nationalgovernmentpoli-
elsand operatesat an intermediatelevel.Theo- ciesof racialdomination(i.e.,apartheidin South
ries of organizations,socialmovements,and Africa, Jim Crow lawsin southernUnited States,
communitiesareoften at this level. and no legalized race-baseddomination in
Roscignoand Danaher(2001)usedmeso- Brazil).Policiesof racial domination developed
leveltheoryin a studyon the i930slabor move- from practicesof slavery exploitation,and dis-
ment among southern textile workers. The crimination that justified White superiority. The
researchers useda theory of movementsubcul- policiesreinforcedspecificracialideologiesthat
ture and political opportunity to explaingrow- shapednational developmentduring the twenti-
ing labor movement strength and increased eth century. A critical causalfactor was how
strikeactivityamongworkersin one industryin nationalpolitical elitesusedthe legalizeddomina-
a regionofthe United Statesacrossseveralyears. tion of Blacksto reducedivisionsamongWhites.
They expectedstrike activity to grow asthe result In nationsthat had largeregionalor classdivi-
of a strongmovementsubculturethat carrieda sions among Whites, national elites tried to
message of injusticeand a "political opportu- increaseWhite backingfor the nationalgovern-
nity" or the expectationamongpeoplethat col- ment by creatinglegalizedforms of racial domi-
lectiveactionat a particulartime would produce nation. Over time, such legalizeddomination
positiveresults.Their studyshowedthat a tech- froze racialdivisions,which promoted a senseof
nologicalinnovation (i.e.,the spreadof new ra- racialidentity and consciousness amongBlacks.
dio stations with songs and discussionsof The strongsenseof racialidentity becamea key
working conditionsand unfair treatment)con- resourcewhenBlacksmobilizedpoliticallyto de-
tributed to the growth of a subcultureof move- mand full citizenshiprights.Legalizedracialdom-
ment solidarity among the textile workers and ination also intensifiedthe Blacks'protest and
fosteredself-identityasa worker who had com- directedit againstthe national governmentasthe
mon interestswith the othertextileworkers.The societalinstitution that reinforcedtheir experi-
technologicalinnovationand eventsin thepolit- enceof racialinequality.
ical environment (i.e., union organizersand
speeches by the Presidentof the United States)
Forms of Explanation
alsocreateda politicalopportunity for thework-
ers.The workersbelievedthat collectionaction Prediction and Explanation. A theory's pri-
(i.e.,strike)wasnecessary to achievejusticeand mary purposeis to explain.Many peoplecon-
 CHAPTER2 /
fusepredictionwith explanation.Therearetwo
meaningsor usesof the term explanation.Re_ tation
searchers focuson theoretical explanation,alog-
icalargumentthat tellswhysornethingoccurs.It
refersto a generalrule or principle. ih"r. u." u
researcher'stheoretical urgum.rrt or connec_
tionsamongconcepts.Thesecondtypeof expla_
nation, ordina-ryexplanation,makessomething
clearor describessomethingin a way that illusl
tratesit and makesit intelligible.Forexample,a
good teacher"explains,,in the ordinury *rrr".
*r typesof explanationcanblendtogether. nation
Ilr:
This occurswhen a researcherexplaini (i.e.,
intelligible)his or her explanation(ire.,a
3e:
logicalargumentinvolving tr.ory).
Prediction is a statement that something
will occur.It is easierto predict than to explain,
andan explanationhasmore logicalpowei than
predictionbecause good explariations
alsopre_ useit all the time in everydaylanguage,
dlct. An explanationrarelypredictsmore than
one outcome,but the sameoutcomemay
be
predictedby opposingexplanations.Although
it-is lesspowerfirl than explanation,many peo_
ple areentrancedby the dramaticvisibility
of a
prediction.
A gambling exampleillustratesthe differ_
encebetweenexplanationand prediction.
If I
enter a casinoand consistentlyand accurately
predictthe next cardto appearor the next
num_
ber on a roulettewheel,if mt U. ,.rrrutiorr"i.
t Causalityis "out there" in objective,.uliry
maywin a lot of money,at leastuntil the casino
officials realizeI am alwayswinning urra."pel
me.Yet,my methodof makingthepiedictions
is
mo-reinterestingthan the faci thaf I can do
so.
Tellingyou what I do to predict the next
cardis
more_fascinating than beingableto predict.
Hereis anotherexample.you know that the
sun "rises" eachmorning. you can predict
that
at some everymorning, wheiher or not
-time,
cloudsobscureit, the sun will rise.But why
is
this so?One explanationis that the Great
irl f"
carriesthe sun acrossthe sky on its back.
an_
other explanationis that a god setshis
arrow
ablaze,.whichappearsto ui as the sun,
and
snootsrt across,!. rt y. Fewpeopletodaybelieve
theseancientexplanations.Theexplanaiion
you
T H E O R YA N D S O C I A L R E S E A R C H
35
probablyacceptinvolvesa theory about the ro_
of the earth and the position of the sun,
the star of our solarsystem.lnthis explanation,
the sun only appearsto rise. The sun doesnot
move; its apparentmovement dependson the
earth'srotation. We are on a planet that both
spinson its axisand orbitsarounda starmillions
of miles away in space.All three explanations
make the sameprediction: The sun'riseseach
morning.As you cansee,a weakexplanationcan
produce an accurateprediction.A good expla_
dependson a well_developeJtheory and
is confirmed in researchby empirical observa_
tions.
CausalExplanation. Causalexplanation,
the
most commontypeof explanation,is used
when
the relationshipis one o].u.rr" and effect.
We
which
tendsto be sloppyand ambiguous."wf,ui
do _.
meanwhen we saycause? Foiexample,you may
saythat povertycauses crimeor thailooseness
in
moralscilusesan increasein divorce.This
does
not tellhow or why the causalprocessworks.
Researchers try to be more preciseand exact
when discussingcausalrelations.
Philosophershavelong debatedthe idea
of
cause.Somepeoplearguethat causalityoccurs
in theempirical world, but it cannotbe'proved.
arrd
researchers can only try to find evidencefor it.
Othersarguethat causalityis only an idea
that
existsin the human mind, a mental construc_
tion, not something ..real,,in the world.
ihis
secondposition holds that causalityis only
a
_convenientway of thinking about ihe rvorta.
Without enteringinto the lengthyphilosophical
debate,manyresearchers pursuecausalrelation_
ships.
You needthreethingsto establishcausality:
temporalorder,association, and the eliminatiln
of plausible alternatiyes.An implicit
fourth
condition is an assumptionthat u .uur"t-..tu_
tionship makes re.tseo, fits with U.ouj",
ur_
sumptions or a theoreticalframework.
Let us
examinethe threebasicconditions.
 36 pA RToN E ,/ F o u N D AT to N s
The temporal order condition means that a
cause must come before an effect. This com-
monsense assumption establishesthe direction
of causality: from the cause toward the effect.
You may ask, How can the cause come after
what it is to affect?It cannot, but temporal order
is only one of the conditions needed for causal-
ity. Temporal order is necessarybut not suffi-
cient to infer causality. Sometimes people make
the mistake of talking about "cause" on the basis
of temporal order alone. For example, a profes-
sional baseballplayer pitches no-hit gameswhen
he kisseshis wife just before a game. The kissing
occurred before the no-hit games. Does that
mean the kissing is the causeof the pitching per-
formance? It is very unlikely. As another exam-
ple, race riots occurred in four separatecities in
1968, one day after an intense wave of sunspots.
The temporal ordering does not establish a
causal link between sunspots and race riots. Af-
ter all, all prior human history occurred before
some specific event. The temporal order condi-
tion simply eliminates from consideration po-
tential causesthat occurred later in time.
It is not always easy to establish temporal
order. With cross-sectionalresearch,temporal
order is triclcF. For example, a researcher finds
that people who have a lot ofeducation are also
less prejudiced than others. Does more educa-
tion causea reduction in prejudice? Or do highly
prejudiced people avoid education or lack the
motivation, self-discipline, and intelligence
needed to succeedin school?Here is another ex-
ample. The students who get high grades in my
classsay I am an excellent teacher. Does getting
high gradesmake them happy, so theyreturn the
favor by saylng that I am an excellent teacher
(i.e., high gradescausea positive evaluation)? Or
am I doing a great job, so students study hard
and learn a lot, which the grades reflect (i.e.,
their learning causesthem to get high grades)?It
is a chicken-or-egg problem. To resolve it, a re-
searcher needs to bring in other information or
design researchto test for the temporal order.
Simple causal relations are unidirectional.
operating in a single direction from the causeto
the effect. Most studies examine unidirectional
relations. More complex theories speci$r recip-
rocal-effect causal relations-that is, a mutual
causal relationship or simultaneous causality.
For example, studying a lot causesa student to
get good grades, but getting good grades also
motivates the student to continue to study. The-
ories often have reciprocal or feedback relation-
ships, but these are difficult to test. Some
researcherscall unidirectional relations nonre-
cursive and reciprocal-effect relations recursive.
A researcher also needs an association for
causality. Two phenomena are associatedif thei.
occur together in a patterned way or appear to
act together. People sometimes confuse correla-
tion with association. Correlation has a specific
technical meaning, whereasassociationis a more
generalidea. A correlation coefficient is a statisti-
cal measure that indicates the amount of associ-
ation, but there are many ways to measure
association. Figure 2.2 shows 38 people from a
lower-income neighborhood and 35 people from
an upper-income neighborhood. Canyou seean
associationbetween race and income level?
More people mistake associationfor causal-
ity than confuse it with temporal order. For ex-
ample, when I was in college,I got high gradeson
the exams I took on Fridays but low grades on
those I took on Mondays. There was an associa-
tion between the day of the week and the exam
grade, but it did not mean that the day of the
week causedthe exam grade. Instead, the reason
was that I worked 20 hours each weekend and
was very tired on Mondays. As another example,
the number of children born in India increased
until the late 1960s,then slowed in the 1970s.The
number of U.S.-made cars driven in the United
Statesincreaseduntil the late 1960s,then slowed
in the 1970s.The number of Indian children
born and the number of U.S. cars driven are as-
sociated:They vary together or increaseand de-
crease at the same time. Yet there is no causal
connection. By coincidence, the Indian govern-
ment instituted a birth control program that
slowed the number of births at the same time
that Americans were buying more imported cars.
 CHAPTER2 , / THE O R YA N D S O C I A L R E S E A R C H 37

FIG U R E 2 .2 Association of Income and Race

Lower Income UpperIncome

OO A
a
fifi ffAfi.H,
fii
o'
0
?*$
AI rC
m?3
(-) \ I J
rJl
io o

ffi,i.in
t
a?
O
i:njHi*i\q;i
l{lfifi nfi^q.B"qfr
o
Qr /l IV flqi
T.

t? t
.l iii lt
Ifa researchercannot find an association, a
v'fifr
f,fl
causal relationship is unlikely. This is why re-
searchersattempt to find correlations and other
measuresof association.Yet, a researchercan of-
ten find an associationwithout causality.The as-
sociation eliminates potential causesthat are not
associated, but it cannot definitely identify a
cause.It is a necessarybut not a sufficient condi-
tion. In other words, you need it for causality,
but it is not enough alone.
An association does not have to be perfect
(i.e., every time one variable is present, the other
also is) to show causality. In the example involv-
ing exam gradesand days of the week, there is an
association if on 10 Fridays I got 7 As, 2 Bs, and
1 C, whereas my exam grades on 10 Mondays
were 6 Ds, 2 Cs, and 2 Bs. An association exists'
but the days ofthe week and the exam gradesare
not perfectly associated.The race and income-
level association shown in Figure 2.2 is also an
imperfect association.
Eliminating alternatives means that a re-
searcher interested in causality needs to show
that the effect is due to the causal variable and
not to something else. It is also called no spuri-
ousnessbecausean apparent causal relationship
that is actually due to an alternative but unrec-
ognized cause is called a spurious relationship,
which is discussedin Chapter 4 (seeBox 2.5).
Researcherscan observetemporal order and
associations.They cannot observe the elimina-
tion of alternatives. They can only demonstrate
it indirectly. Eliminating alternatives is an ideal
because eliminating all possible alternatives is
impossible. A researchertries to eliminate major
alternative explanations in two ways: through
built-in design controls and by measuring po-
tential hidden causes.Experimental researchers
build controls into the study design itself to
eliminate alternative causes.They isolate an ex-
perimental situation from the influence of all
variables except the main causalvariable.
Researchersalso tryto eliminate alternatives
by measuring possible alternative causes.This is
common in survey research and is called
controlling for another variable. Researchersuse
statistical techniques to learn whether the causal
variable or something elseoperateson the effect
variable.
Causal explanations are usually in a linear
form or state causeand effect in a straight line: A
causesB B causesC C causesD.
The study by Braseand Richmond (2004)
on doctor-patient interactions discussedearlier
 38 PART ONE / FO UNDATI O NS
As I wasdrivinghomefrom the universityone day, I
hearda radio newsreport about genderand racial
biasin standardized tests.A personwho claimedthat
biaswasa majorproblemsaidthat the tests should
be changed.SinceI workin the fieldof educationand
disdainracialor genderbias,the report caughtmy
attention.Yet, as a socialscientist,I criticallyevalu-
ated the newsstory.The evidencefor a biascharge
wasthe consistentpatternofhigherscoresin math-
ematicsfor malehigh schoolseniorsversusfemale
high schoolseniors,and for European-background
studentsversusAfricanAmericanstudents.Wasthe
causeof the pattern of differenttest scoresa bias
built into the tests?
When questionedby someonewho had de-
signedthe tests,the personchargingbias lackeda
crucialpieceof evidenceto supporta claimof test
useda causalexplanation;it saidphysicanattire
causescertaintypesofpatient perceptions. The
studybyWeitzerand Tuch (2004,2005)on po-
lice misconduct cited earlier used a causalex-
planation. The causewas a person's group
position and competitivepressurewith other
groups.Theseare causallylinked to police en-
counters,eitherdirectlyor indirectly,and inter-
pretionsof newsreports,which differ by group
position.The policeencountersand the inter-
pretationsofnews reports causevery different
perceptionsof police misconduct.We can re-
statethe logic in a deductivecausalform: If the
proposition is true, then we observecertain
things in the empirical evidence.Good causal
explanationsidentift a causalrelationshipand
specifi'acausalmechanism.A simplecausalex-
planationis: X causesYor Yoccursbecauseof
X, whereX and Yare concepts(e.g.,earlymar-
riage and divorce). Some researchersstate
causalityin a predictiveform: If X occurs,then
Yfollows.Causalitycanbe statedin manyways:
bi as:the educati onalexperi ence of students.l t
turnsout that girlsand boystakedifferentnumbers
and types of mathematics coursesin high school
Cirls tend to take fewer math courses.Amongthe
girlswho completethe samemathematics curricu
lum as boys,the genderdifferencedissolves.Like-
wise, a large percentageof African American
attend raciallysegregated,poor-qualityschoolsin
i nner ci ti es or i n i mpoveri shed
rural areas.For
AfricanAmericans who attend high-qualitysubur-
banschoolsand completethe samecourses,racia
differencesin test scoresdisappear.This evidence
suggeststhat inequalityin educationcausestest
score differences.Although the tests may have
problems,identifyingthe real causeimpliesthat
changing the testswithoutfirst improvingor equal-
izingeducationcouldbe a mistake.
Xleadsto Y,Xproducesy, XinfluencesY,Xis
relatedto Y, the greaterXthe higher Y.
Here is a simplecausaltheory:A risein un-
employmentcausesan increasein child abuse.
The subjectto be explainedis an increasein the
occurrenceof child abuse.What explainsit is a
rise in unemployment.We "explain" the in-
creasein child abuseby identifring its cause.A
completeexplanationalso requireselaborating
the causalmechanism.My theorysaysthat when
peoplelosetheir jobs, they feel a loss of self-
worth. Once they lose self-worth,they become
easilyfrustrated, upset, and angry. Frustrated
peopleoften expresstheir angerby directingvi-
olencetoward thosewith whom they haveclose
personalcontact(e.g.,friends,spouse,children,
etc.).This is especially
true if they do not under-
standthe sourceof the angeror cannotdirect it
towardits true cause(e.g.,an employer,govern-
ment policy,or "economicforces").
The unemploymentand child abuseexam-
ple illustratesa chain of causesand a causal
 CHAPT ER 2 ,/ T HE OR Y A N D S OC IA L R E S E A R C H 39

mechanism.Researchers can testdifferentparts immigrants from the Philippines,Korea, Tai-

of the chain. They might test whetherunem- wan, and China in Los Angelesand found that
ployment ratesand child abuseoccur together, socialnetworksmatchedand sortedimmigrants
or whetherfrustratedpeoplebecomeyiolent to- with jobs. New immigrants with limited lan-
ward the peoplecloseto them.A typicalresearch guageand job skills soughtemploymenteither
strategyis to dividea largertheoryinto partsand with a co-ethnicemployeror through informal
testvariousrelationshipsagainstthe data. social ties (i.e., they consulted experienced
Relationships betweenvariablescanbe pos- fiiends, relatives,and acquaintances and asked
itive or negative.Researchers imply a positivere- them to be intermediaries).Network usersex-
lationship if they say nothing. A positive pandedjob opportunitiesbeyondemployersin
relationshipmeansthat a higher value on the their own ethnic group. Thus, ethnic network
causalvariablegoeswith a higher value on the tieswere"bridgeties" (i.e.,they helpedimmi-
effectvariable.For example,the more education grantsgetjobs beyondtheir ethnic community
a personhas,the longerhis or her life expectancF by usingco-ethnicswho alreadymadethe tran-
is. A negativerelationshipmeansthat a higher sition to mainstreamemplo;rment).Over time,
value on the causalvariablegoeswith a lower as languageand job skills improved, theseim-
value on the effect variable. For example,the migrantsmoved on to mainstreamjobs. Immi-
more frequentlya couple attendsreligiousser- grantslackingsocialties,in limited networks,or
vices,the lower the chancesof their divorcing who worked for co-ethnicsfound it difficult to
eachother.In diagrams,a plus sign (+) signifies get a mainstreamjob. Thus, a person'snetwork
a positiverelationshipand a negativesign (-) location,accessto alarge and diversenetwork,
signifiesa negativerelationship. and use of network ties is what facilitatedob-
taining a mainstreamjob.
Structural Explanation. A structuralexplana- Structuralexplanationsare alsousedin se-
rlonis usedwith threetypesof theories:network, quence theory. The panel study on volun-
sequential,and functional theories.Unlike a teerismby Oesterle,|ohnson, and Mortimer
causaleffectchain,which is similar to a stringof (2004) discussedin Chapter 1 employs se-
ballslined up that hit one anothercausingeach quencetheory.The authorsuseda "life course"
to bouncein turn, it is more similar to a wheel perspectivein which the impact of an event
with spokesfrom a centralidea or a spiderweb happeningat one phaseof a person'slife differs
in which eachstrandforms part of the whole.A what it would havebeenif the samehappenedat
researcher making a structuralexplanationuses other phases,and early eventsgenerallyshape
a set of interconnectedassumptions,concepts, eventsin later phases.The authors noted that
and relationships.Insteadof causalstatements, the transition to adulthood is a critical stage
he or sheusesmetaphorsor analogiessothat re- when a personlearnsnew socialrolesand adult
lationships"make sense."The conceptsand re- expectations.They found that the amountsand
lations within a theory form a mutually typesofvolunteer activity in the last stagethey
reinforcingsystem.In structuralexplanations,a observed(age 26-27) was strongly influenced
researcher specifiesa sequenceofphasesor iden- by suchactivitiesat prior stagesofa person'slife
tifies essentialparts that form an interlocked (age18-19).Peoplewho volunteeredat an early
whole. stagetendedto volunteer at later stages.Those
Structuralexplanationsareusedin network who did not volunteerat an earlystageor who
theory. Sanders,Nee, and Sernau(2002) ex- devoted full time to working or parenting at
plainedAsian immigrant job seekingwith net- other prior stages(18-19 yearsold) were less
work theory. They used interview data on likely to volunteer at a later stage(26-27 years
 PART ONE ,/ F OUNDAT IONS
old). Thus, later eventsflowed from an inter-
connectedprocessin which earlier stagesset a
course or direction that pointed to specific
eventsin a later stage.
Additionally, structural explanationsare
usedin functionaltheory.6Functionaltheorists
explain an eventby locating it within a larger,
ongoing,balancedsocialsystem.They often use
biologicalmetaphors.Theseresearchers explain
somethingby identifying its function within a
larger systemor the need it firlfills for the sys-
tem.Functionalexplanationsarein this form: "I
occursbecauseit servesneedsin the systemM."
Theoristsassumethat a systemwill operateto
stayin equilibrium and to continueovertime. A
functionaltheoryof socialchangesaysthat, over
time, a socialsystem,or society,movesthrough
developmentalstages,becoming increasingly
differentiatedand more complex. It evolvesa
specialized divisionoflabor anddevelopsgreater
individualism. These developments create
greaterefficiencyfor the systemasa whole.Spe-
cializationand individualism createtemporary
disruptions.Thetraditionalwaysof doingthings
weaken,but new social relations emerge.The
systemgenerates newwaysto fulfill functionsor
satisfyits needs.
Kalmijn (1991)useda functionalexplana-
tion to explain a shift in how people in the
United Statesselectmarriagepartners.He relied
on secularizationtheory, which holds that on-
going historicalprocesses of industrialization
and urbanizationshapethe developmentof so-
ciety. During thesemodernizationprocesses,
peoplerely lesson traditional ways of doing
things. Religiousbeliefs and local community
ties weaken,as doesthe family's control over
young adults.Peopleno longer live their entire
lives in small, homogeneouscommunities.
Young adultsbecomemore independentfrom
their parentsand from the religious organiza-
tions that formerly playeda critical role in se-
lectingmarriagepartners.
Societyhasa basicneedto organizethe way
peopleselectmarriagepartnersand find part-
nerswith whom they sharefundamentalvalues.
In modern society,people spend time away
from small local settingsin school settings.In
theseschoolsettings,especiallyin college,they
meet other unmarried people.Educationis a
major socializationagentin modern society
Increasingly,it affectsa person'sfuture earn-
ings, moral beliefs and values,and ways of
spendingleisuretime. This explainswhy there
hasbeena trend in the United Statesfor people
to marry lesswithin the samereligion and in-
creasinglyto marry personswith a similar level
of education.In traditional societies,the family
and religious organizationservedthe function
of socializingpeopleto moral valuesand link-
ing them to potential marriagepartnerswho
held similar values.In modern society,educa-
tional institutions largelyfulfill this function
for the socialsystem.
Interpretive Explanation The purposeof an
interpretiveexplanationis to fosterunderstand-
ing. The interpretive theorist attempts to dis-
coverthe meaningof an eventor practiceby
placingit within a specificsocialcontext.He or
shetries to comprehendor mentally graspthe
operationof the socialworld, aswell asgeta feel
for somethingor to seethe world asanotherper-
son does. Becauseeach person's subjective
worldview shapeshow he or she acts,the re-
searcherattemptsto discernothers' reasoning
and view of things. The processis similar to
decodinga text or work of literature.Meaning
comesfrom the context of a cultural symbol
system.
Duneier's(1999)study of sidewalklife in
New York City discussedearlierin this chapter
usedan interpretiveexplanation.An interpretive
explanation is also illustrated by Edelman,
Fuller, and Mara-Drita's(2001)study of how
companiesadoptedpoliciesrelatedto diversity
issuesin the early1990s-that is, affirmativeac-
tion and equalopportunity. The authorsexam-
inedwhat managerssaid,or their rhetoric,about
diversityconcerns.Rhetoricincludedvarious
statementsaboutdiversitymadeby professiona
managers,businessschoolprofessors,and con-
 CHAPTER2 , / T H E O R YA N D S O C I A L R E S E A R C H
sultants in professional workshops, meetings,
specializedmagazines,and electronic forums.
Edelman and colleagues(2001) found that
managerstook legal ideas,terms, and concepts
and converted them into ones that fit into their
or ganizational setting. Professional managers
converted vague legal mandates and terms that
were basedon ideasabout racial discrimination
and ending injustice. They interjected their
own views, values, training, and interests and
produced slightly different ideas and proce-
dures. Management rhetoric changed legal
ideas from taking specific actions to end
racial-ethnic or gender discrimination and
changed them into a "new idea" for effective
corporate management. The "new idea" was
that corporations benefit from a culturally di-
verse workforce. Simply put, diversity is good
for company profits. They consolidated various
studiesand discussionson how to improve cor-
porate operations around the new idea-a so-
cially heterogeneous workforce is more
creative, productive, and profitable.
The authors created a theory of "manageri-
alization of law" from their data. This theory
statesthat professional managers operate in a
corporate environment. They will not simply
take ideas and mandates created in a govern-
ment-legal environment and impose them di-
rectly onto a corporation's internal operations.
In fact, on the issue of affirmative action, many
corporate officials saw the legal ideas and re-
qirirements as hostile or alien. So the managers
converted, or translated, the legal ideas into an
acceptable fslm-6ns acceptable from a man-
agerial point of view. They used new forms to
move their corporations in a direction that
would comply with the legal requirements. This
is an interpretive explanation because the au-
thors explained a social event (i.e., corporations accumulating knowledge begins anew.
embracing programs and rhetoric to favor
cultural diversity) by examining how the man-
agerssubjectively constructed new ways oflook-
ing at, thinking about, and talking about the
diversity issue (i.e., they constructed a new
interpretation).
4l
T HE TH R E E MA ' OR A P P R OA C H E S
T O S OC IA L S C IE N C E
We began this chapter by looking at small-scale
parts of a theory (i.e., ideas or concepts). We
moved toward larger aspectsof social theory,
and arrived at major theoretical frameworks in
the last section. Now, we move to an even a
broader, more abstract level of the linkage be-
tween theory and research-fundamental ap-
proaches to social science. It involves issues
sometimes called m etq - m ethodological (i. e., be-
yond or supersizedmethodological concerns)
and blurs into areasofphilosophy that studies
what science means. We only brieflv touch on
the issueshere, but we cannot ignore them be-
causethey affect how people do social research
studies.
About 45 years ago, a now famous philoso-
pher of science,Thomas Kuhn, argued that the
way science develops in a specific field across
time is based on researcherssharing a general
approach, or paradigm. A paradigm is an inte-
grated set of assumptions, beliefs, models of do-
ing good research,and techniques for gathering
and analyzing data.It organizescore ideas,theo-
retical frameworks, and researchmethods. Kuhn
observed that scientific fields tend to be held to-
gether around a paradigm for a long period of
time. Very few researchersquestion the para-
digm, and most focus on operating within its
general boundaries to accumulate new knowl-
edge. On rare occasions in history, intellectual
difficulties increase,unexpected issuesgrow, and
troubling concerns over proper methods multi-
ply. Slowly, the members of a scientific field shift
in how they seethings and switch to a new para-
digm. Once the new paradigm becomesfirlly es-
tablished and widely adopted, the process of
Kuhn's explanation covered how most sci-
encesoperate most of the time, but some fields
operate with multiple or competing paradigms.
This is the casein severalofthe social sciences.
This greatly bothers some social scientists, and
they believe having multiple paradigms hinders
 I'A I( I ()N L / IOUNDA II( ) N5
the growth ofknowledge.Theyseemultiple par-
adigmsasa signof the immaturity or underde-
velopmentof the "science"in the socialsciences.
Some believe all social scienceresearchers
shouldembracea singleparadigmand stop us-
ing alternativesto it.
Other socialscientistsacceptthe coexistence
of multiple paradigms.They recognizethat this
canbe confusingand often makescommunicat-
ing difficult amongthosewho usea different ap-
proach.Despitethis, they arguethat eachsocial
scienceparadigmprovidesimportant kinds of
knowledgeand insights,so to drop one would
limit what we can learn about the socialworld.
Thesesocialscientistsnotethat no one definitely
cansaywhichapproachis "best"or evenwhether
it is necessaryor highly desirableto haveonly one
paradigm.Soinsteadof closingoff an approach
that offersinnovativewaysto study sociallife and
gain insight into human behavior,they arguefor
keepinga diversityofapproaches.
In this section,we will look at three funda-
mental paradigmsor approachesusedin social
science. Eachapproachhasbeenaroundfor over
150yearsand is usedby many highly respected
professionalresearchers. Theseapproachesare
unequal in terms of the number of followers,
quantity ofnew studies,and typesofissuesacr-
dressed.Often, peoplewho strongly adhereto
one approachdisagreewith researchers who use
another,or seethe otherapproaches asbeingless
valuableor less"scientific"than their approach.
Although adherentsto eachapproachmay use
variousresearchtechniques,theories,and theo-
retical frameworks,researchers who adopt one
approachtend to favor certainresearchtech-
niques,theories,or theoreticalframeworksover
others.The threeapproachesarepositivism,in-
terpretive,and critical; eachhas internal divi-
sions,offshoots,and extensions, but theseare
the coreideasof the threemajor approaches.
Positivist Approach
Positivismis themostwidelypracticedsocialsci-
ence approach,especiallyin North America.
Positiyismseessocialscienceresearchasfunda-
mentallythe sameasnatural scienceresearch;it
assumesthat socialreality is madeup of objec-
tive factsthat value-freeresearchers canprecisely
measureand usestatisticsto testcausaltheories.
Large-scale bureaucraticagencies, companies
and many peoplein the generalpublic favor a
positivist approachbecauseit emphasizesget-
ting objectivemeasuresof "hard facts" in the
form of numbers.
Positivistsput a greatvalueon the principle
of replication,evenif only a fewstudiesarerepli-
cated.Replicqtionoccurswhen researchersor
othersrepeatthe basicsofa study and get iden-
tical or very similar findings. Positivists em-
phasizereplication and the ultimate test of
knowledge.This is becausetheybelievethat dif-
ferentobservers looking at the samefactswill get
the sameresults if they carefully speci!' their
ideas,preciselymeasurethe facts,and follow the
standardsof objectiveresearch.When many
studiesby independentresearchers yield similar
findings, confidencegrows that we accurately
capturedtheworkingsof socialrealityandthere-
fore scientificknowledgeincreases.
Ifa researcherrepeatsa studyand doesnot
getsimilarfindings,oneor more of five possibil-
ities may be occurring:(1) the initial studywas
an unusualfluke or basedon a misguidedun-
derstandingof the socialworld; (2) important
conditionswerepresentin the initial study,but
no one was awareof their significanceso they
were not specified;(3) the initial study, or the
repeatof it, wassloppy-it did not includevery
precisemeasures;
carefi.rl, (4) the initial study,or
the repeatof it, wasimproperlyconducted-re-
searchersfailed to closely follow the highest
standardsfor proceduresand techniques,or
failed to be completelyobjective;or (5) the re-
peatedstudywasan unusualfluke.
The positivist approachis nomothetic;it
meansexplanationsuselaw or law-like princi-
ples.Positivistsmay useinductiveand deductive
inquiry, but the ideal is to develop a general
causallaw or principle then uselogical deduc-
tion to specifrhow it operatesin concretesitua-
 CHAPTER2 , / TH E O R YA N D S O C I A L R E S E A R C H
tions. Next, the researcher empiricallytestsout-
comespredictedby the principlein concreteset-
tings usingvery precisemeasures.In this way, a
generallaw or principlecoversmanyspecificsit-
uations.For example,a generalprinciple says
that when two socialgroupsare unequaland
competefor scarceresources,in-group feelings
and hostility toward the other groupsintensify,
and the competinggroupsarelikely to engagein
conflict. The principle appliesto sportsteams,
countries,ethnicgroups,families,and other so-
cial groupings.A researchermight deducethat
in citieswith high levelsof interracialinequality,
when jobs becomemore scarceand therebyin-
creaseeconomic competition, eachgroup will
expressgreaterhostility about the other racial
groups, and intergroup conflict (e.g., riots,
demonstrations,violent attacks)will increase.
The vast majority of positivist studiesare
quantitative,and positivistsgenerallyseethe ex-
periment as the idealway to do research.posi-
tivist researchers also use other quantitative
researchtechniques,suchassurveysor existing
statistics,but tend to seethem as approxima-
tions of the experimentfor situationswherean
experimentis impossible.Positivistresearchers
advocatevalue-freescience,seekprecisequanti-
tative measures,test causaltheorieswith statis-
tics,and believein the importanceof replicating
studies.
Interpretive Approach
The interpretiveapproachis alsoscientific,but
its seesthe idea of "scientific" differently from
positivism.Unlike thepositivistapproach,inter-
pretive researchers saythat human sociallife is
qualitativelydifferentfrom other thingsstudied
by science.This meansthat socialscientistscan-
not just borrow the principlesof sciencefrom
the natural sciences. Instead,they believeit is
necessary to createa specialtype ofscience,one
basedon the uniqueness of humansandonethat
canreallycapturehuman sociallife.
Most researchers who use an interpretive
approachadopt a versionofthe constructionist
43
view of social reality. This view holds that hu-
man social life is based less on objective, hard,
factual reality than on the ideas,beliefs, and per-
ceptions that people hold about reality. In other
words, people socially interact and respond
basedas much, if not more, on what theybilieve
to be real than what is objectively real. This
means that social scientistswill be able to under-
stand social life only if they study how people go
about constructing social reality. As people grow
up, interact, and live their daily lives, they con-
tinuously create ideas, relationships, symbols,
and roles that they consider to be meaningful or
important. Theseinclude things such as intimate
emotional attachments, religious or moral
ideals,beliefs in patriotic values,racial-ethnic or
gender differences, and artistic expressions.
Rarely do people relate to the objective facts of
reality directly; instead, they do so through the
filter of these socially constructed beliefs and
perceptions. What positivists and many people
view to be objective facts (e.g., a person's
height), interpretive researcherssay are only at
the trivial surface level of social iife. Or, the
"facts" are images/categoriesthat humans cre-
ated (i.e., I am two meters tall) and we "forget,'
that people originated the images/categoriesbut
now treat them as being separate from people
and objectively real.
Interpretive researchersare skeptical ofthe
positivist attempts to produce precise quantita-
tive measures of objective facts. This is because
they view social reality as very fluid. For most
humans, social reality is largely the shifting per-
ceptions that they are constantly constructing,
testing, reinforcing, or changing and that have
become embedded in social traditions or institu-
tions. For this reason, interpretive researchers
tend to trust and favor qualitative data. Theybe-
lieve that qualitative data can more accurately
capture the fluid processesof social reality. In
addition, they favor interpretive over causal
forms of theory (see discussion earlier in this
chapter).
Interpretive researchersare not likely to
adopt a nomothetic approach,but insteadfavor
44 P A RToNE ,/ F o u N D A T ro N s
an idiographic form of explanation and use in-
ductive reasoning. Idiographic literally means
specific description and refers to explaining an
aspectof the social world by offering a highly de-
tailed picture or description of a specific social
setting, process, or t'?e of relationship. For ex-
ample, qualitative researchersdo not seereplica-
tion as the ultimate test of knowledge. Instead,
they emphasize verstehenor empathetic under-
standing. Verstehenis the desire of a researcher
to get inside the worldview of those he or she is
studying and accurately represent how the peo-
ple being studied seethe world, feel about it, and
act. In other words, the best test of good social
knowledge is not replication but whether the re-
searcher can demonstrate that he or she really
captured the inner world and personal perspec-
tive of the people studied.
Critical Approach
The critical approachsharesmany featureswith
an interpretiveapproach,but it blendsan objec-
tive/materialistwith a constructionistview of so-
cial reality. The key feature of the critical
approachis a desireto put knowledgeinto ac-
tion and a beliefthat researchis not valuefree.
Research is the creationofknowledge,and peo-
ple regularlyuseknowledgeto advancepolitical-
moral ends.This givesdoing socialresearcha
strongconnectionto political-moralissues.The
researchercan decideto ignore and help those
with power and authority in society,or advance
socialjusticeand empowerthe powerless.
Critical approachemphasizes the multilay-
erednatureofsocialreality.On the surfacelevel,
thereis oftenillusion,m1th,anddistortedthink-
ing. The critical approachnotesthat peopleare
often misled, are subjectto manipulatedmes-
sages,or hold falseideas.Yet, beneaththe sur-
face level at a deeper,often hidden level lies
"real" objectivereality.Part ofthe taskofsocial
researchis to strip awaythe surfacelayerof illu-
sion or falsehood.Although a researcherwants
to seebeyondthis layer,he or shedoesnot en-
tirely ignoreit. Suchan outer layeris important
because it profoundly shapes much of human
action.
The critical approach has an activist orien-
tation and favors action research. Praxis is the
ultimate test of how good an explanation is in
the critical approach. It is a blending of theory
and concrete action; theory informs one about
the specific real-world actions one should take
to advancesocial change,and one usesthe expe-
riencesofengaging in action for social changeto
reformulate the theory. All the approachesseea
mutual relationship between abstract theory and
concrete empirical evidence, but the critical ap-
proach goesfurther and tries to dissolve the gap
between abstract theory and the empirical expe-
riences of using the theory to make changes in
the world.
THE DYNAMIC DUO
You haveseenthat theory and researchare in-
terrelated.Only the naive,new researchermis-
takenly believes that theory is irrelevant to
researchor that a researcherjust collectsthe
data.Researchers who attemptto proceedwith-
out theory may wastetime collectinguseless
data.They easilyfall into the trap of hazy and
vaguethinking, faulty logic, and imprecisecon-
cepts.They find it difficult to convergeonto a
crisp researchissueor to generatea lucid ac-
count of their study'spurpose.They also find
themselvesadrift as they attempt to designor
conductempiricalresearch.
Thereasonis simple.Theoryframeshowwe
look at and think about a topic. It givesus con-
cepts,providesbasicassumptions,directsus to
the important questions,and suggests waysfor
us to make senseof data.Theory enablesus to
connecta singlestudy to the immensebaseof
knowledgeto which other researcherscon-
tribute. To use an analogy,theory helps a re-
searcherseethe forestinsteadofjust a single
tree. Theory increasesa researcher's awareness
of interconnectionsand of the broader signifi-
canceofdata (seeTable2.1).
 CHAPTER2 /
TABLE 2.'l MajorAspectsandTypes
of SocialTheory
Direction
lnductiveor deductive
Level Micro,meso,or macro
Explanation Causal,interpretive,or structural
Abstraction Empiricalgeneralization,
middle
range,framework,or paradigm
Theory hasa placein virtually all research,
but its prominencevaries.It is generallylesscen-
tral in applied-descriptiveresearchthan in ba-
sic-explanatoryresearch.Its role in appliedand
descriptiveresearchmay be indirect. The con-
ceptsareoften moreconcrete,andthe goalis not
to creategeneralknowledge.Nevertheless,
re-
searchersuse theory in descriptiveresearchto
refine concepts,evaluateassumptionsof a the-
ory, and indirectlytesthypotheses.
Theorydoesnot remainfixedovertime; it is
provisionaland opento revision.Theoriesgrow
into more accurateand comprehensive explana-
tions about the make-up and operation of the
socialworld in two ways.They advanceastheo-
rists toil to think clearlyand logically,bur this
effort haslimits. The way a theorymakessignif-
icant progressis by interactingwith research
findings.
The scientificcommunity expandsand al-
ters theoriesbasedon empirical results.Re-
searchers who adopta more deductiveapproach
usetheoryto guidethe designof a studyand the
interpretationof results.They refute,extend,or
modify the theory on the basisof results.As
researchers continueto conductempiricalre-
searchin testing a theory, they developconfi-
dencethat somepartsof it aretrue. Researchers
may modify somepropositionsof a theoryor re-
ject them ifseveralwell-conductedstudieshave
negativefindings.A theory's core propositions
TH E O R YA N D S O C I A L R E S E A R C H 45
and central tenets are more difficult to test and
are refuted less often. In a slow process, re-
searchersmay decide to abandon or change a
theory as the evidence against it mounts over
time and cannot be logically reconciled.
Researchers adopting an inductive ap-
proach follow a slightly different process.Induc-
tive theorizing begins with a few assumptions
and broad orienting concepts. Theory develops
from the ground up as the researchersgather
and analyze the data. Theory emerges slowly,
conceptby conceptand proposition by proposi-
tion in a specific area. The processis similar to a
long pregnancy. Over time, the concepts and
empirical generalizationsemerge and mature.
Soon, relationships become visible, and re-
searchersweavetogether knowledge from dif[er-
ent studies into more abstract theory.
CONCLUSION
In this chapter,you learnedabout socialthe-
ory-its parts, purposes,and t1pes.The di-
chotomy betweentheory and researchis an
artificial one.The valueof theory andits neces-
sity for conductinggood researchshould be
clear.Researchers who proceedwithout theory
rarely conduct top-quality researchand fre-
quentlyfind themselves in a quandary.Likewise,
theoristswho proceedwithout linking theoryro
researchor anchoringit to empiricalreality are
in jeopardyof floatingoffinto incomprehensible
speculationand conjecture.You arenow famil-
iar with the scientificcommunity,the dimen-
sionsof research, andsocialtheory.
Key Terms
association
assumption
blame analysis
causalexplanation
classificationconcept
concept cluster
 P A R I (JN L / IUUNUA II( JN)

deductive approach E n dn o t e s
empirical generalization
functionaltheory 1. SeeFelson(1991),FelsonandFelson(1993)'and
grounded theory Logan(1991)for a discussionof blameanalysis.
2. For more detaileddiscussionsof concepts,see
ideal type
Chafetz(1978:45-61),Hage(1972:9-85)' Kaplan
idiographic (1964'34-80), Mullins (197l:7-18), Reynolds
inductive approach (I97I), and Stinchcombe(1968,1973)'
macro-level theory 3. Turner (1980)discussed how sociologicalexpla-
meso-leveltheory nation and theorizingcan be conceptualizedas
micro-level theory translation.
negative relationship 4. Classificationsare discussedin Chafetz(1978:
nomothetic 63-73) andHage(1972).
paradigm 5. Introductions to alternativetheoreticalframe- &
positive relationship works and socialtheoriesare providedin Craib
praxis (1984), Phillips (1985:44-59),and Skidmore
prediction
(re7e).
6. An introductionto functionalexplanationcanbe
proposition
found in Chafea (I97 8:22-25).
replication
verstehen
 TR3

Ethicsin SocialResearch

Introduction
Why Be Ethical?
ScientificMisconduct
Unethicalbut Legal
Power Relations
Ethical lssues Involving Research Participants
Originsof ResearchParticipantProtection
PhysicalHarm,Psychological
Abuse,and LegalJeopardy
Other Harmto Participants
Deception
InformedConsent
SpecialPopulations
and New Inequalities
Privacy,Anonymity,and Confidentiality
MandatedProtectionsof Research
Participants
Ethics and the Scientific Community
Ethics and the Sponsors of Research
Whistle-Blowing
Arrivingat Particular
Findings
Suppressing
Findings
Concealing
the TrueSponsor
Politics of Research
Value-Free and Objective Research
Conclusion
48 PART ONE / FO UNDATI O NS
INTRODUCTION
Ethicsincludethe concerns,dilemmas'and con-
flicts that ariseover the proper way to conduct
research.Ethicshelp to definewhat is or is not
legitimateto do, or what "moral" researchpro-
cedureinvolves.This is not as simple asit may
appear,becausethere are few ethical absolutes
and only agreed-uponbroad principles.These
principlesrequirejudgment to apply and some
may conflict with othersin practice.Many ethr-
calissuesaskyouto balancetwo values:the pur-
suit of knowledgeand the rights of research
participantsor of othersin society.Socialre-
searchers balancepotential benefits-such as
advancingthe understandingof sociallife, im-
proving decisionmaking, or helping research
participants-against potential 6s515-5u6}ra5
lossof dignity,self-esteem, privacy,or democra-
tic freedoms.
Socialresearchers confront many ethical
dilemmas and must decide how to act. They
havea moral and professionalobligationto be
ethical,even ifresearch participantsareunaware
ofor unconcerned about ethics.
Many areasof professionalpracticehave
ethicalstandards(e.g.,journalists,policedepart-
ments,businesscorporations,etc.),but the eth-
ical standardsfor doing socialresearchareoften
stricter.To do professionalsocialresearch,you
must both know the proper researchtechniques
(e.g.,sampling)and be sensitiveto ethicalcon-
cerns.This is not alwayseasy.For centuries,
moral, legal,and political philosophersdebated
the issuesresearchers regularlyface.
It is difficult to appreciatefully the ethical
dilemmasexperiencedby researchers until you
actuallybegin to do research,but waiting until
the middle of a studyis too late. You need to pre-
pareyourselfaheadof time and consider ethical
concernsasyou designa study so that you can
build sound ethicalpracticesinto a study'sde-
sign.In addition,by developingsensitivityto
ethicalissues,you will be alertto potentialethi-
calconcernsthat canariseasyou makedecisions
rthile conducting a study.Also, an ethicalaware-
nesswill help you better understandthe overall
research process.
Ethicsbeginand end with you, the individ-
ual socialresearcher.A strong personalmoral
codeby the researcher is the bestdefenseagainst
unethicalbehavior.Before,during, and after
conductinga study,a researcher hasopportuni-
ties to, andshould,reflecton the ethicsof re-
searchactionsand consulthis or her conscience
Ultimately, ethicalresearchdependson the in-
tegrity of an individual researcher.
WHY BE ETHICAL?
Given that most peoplewho conduct socialre-
searchare genuinelyconcernedabout others,
you might ask,Why would any researcherever
act in an ethicallyirresponsiblemanner?Most
unethicalbehavioris due to a lack of awarenes
and pressureson researchers to take ethical
shortcuts.Researchers facepressuresto build a
career,publish new findings, advanceknowl-
edge,gain prestige,impressfamily and friends,
hold on to a job, and so forth. Ethicalresearch
will take longerto complete,costmore money'
be more complicated,and be lesslikely to pro-
duceunambiguousresults.Plus,therearemany
opportunitiesin researchto act unethically'the
odds of gettingcaughtare small,and written
ethicalstandardsarein the form ofvague,loose
principles.
The ethicalresearchergetsfew rewardsand
wins no praise.The unethical researcher'if
caught,facespublichumiliation, a ruinedcareer
and possiblelegalaction. The best preparation
for ethicalbehavioris to internalizea sensitivity
to ethical concerns,to adopt a seriousprofes-
sionalrole, and to interact regularlywith other
researchers. Moreover,the scientificcommunity
demandsethicalbehaviorwithout exceptions.
Scientific Misconduct
Theresearchcommunity and agenciesthat fund
researchopposea type of unethicalbehavio
 CHAPT E R3 , / E T H I C SI N S O C I A L R E S E A R C H
calledscientificmisconduct;it includesresearch
fraud and plagiarism.Scientificmisconductoc_
curs when a researcherfalsifiesor distorts the
dataor the methodsof datacollection,or plagia_
rizesthe work of others.It alsoincludessienifi_
cant, unjustified departuresfrom the genlraily
acceptedscientificpracticesfor doing and re_
porting on research.
Research fraud occurswhen
a researcherfakesor inventsdatathat he or she
did not really collect, or fails to honestly and
firllyreport howhe or sheconducteda study.Al_
thoughrare,it is considereda veryseriousviola-
tion. The most famouscaseof researchfraud
was that of Sir Cyril Burt, the father of British
educationalpsychology.Burt died in I97I asan
esteemedresearcherwho was famous for his
studieswith twins that showeda geneticbasisof
intelligence.In 1976,it was discoveredthat he
had falsifieddata and the namesof coauthors.
Unfortunately,the scientificcommunity had
beenmisledfor nearly30years.More recently,a
socialpsychologistwasdiscoveredto havefabri_
cateddata for severalexperimentson sexbias
conductedat Harvard Universityin the tg9Os.
Plagiarismoccurswhen a..raur.ir., ..steals,' the
ideasor writings of anotheror usesthem with_
out citing the source.plagiarismalso includes
stealingthe work of anotherresearcher, an assis_
tant, or a student,and misrepresentingit as
one'sown. Theseareseriousbreachesof ethical
standards.l
Unethicalbut Legal
Behaviormay be unethicalbut legal (i.e.,not
breakany law). A plagiarismcaseillustratesthe
distinction betweenlegal and ethicalbehavior.
The AmericanSociologicalAssociationdocu_
mentedthat a 1988book without any footnotes
by a deanfrom EasternNew Mexico University
containedlarge sectionsof a 197gdissertation
that a sociologyprofessorat Tufts University
y9t.. Copyingthe dissertarionwasnot illegal;it
did not violatecopyrightlaw becausethe sJcio-
ogist'sdissertationdid not havea copyrightfiled
with the U.S. government.Neverthii.ri it *u,
49
r
FIcURE 3.1 TypoloryofLegaland
MoralActionsin Social
Research
ETHICAL
LEGAL Yes No
Yes Moral and Legal Legalbut lmmoral
No lllegal but Moral lmmoral and lllegal
clearly unethical according to standards ofpro_
fessional behavior.2 (SeeFigure 3.1 for relations
between legal and moral actions.)
POWER RELATIONS
A professionalresearcherand the researchpar_
ticipantsor employee-assistants
are in a rela_
tionship of unequal power and trust. An
experimenter,surveydirector,or researchinves_
tigator haspower over participantsand assis_
tants,and in turn, theytrust his or herjudgment
and authority. The researcher,scredeitials,
training, professionalrole, and the placeofsci_
encein modernsocietylegitimatethepowerand
make it into a form of expert authoiity. Some
ethical issuesinvolve an abuseof power and
trust. A researcher's authority to conductsocial
researchand to earn the trust of othersis ac_
companiedalwaysby an unyielding ethical re_
sponsibilityto guide,protect,and overseethe
interestsof the peoplebeingstudied.
When looking for ethical guidance,re_
searchers arenot alone.Theycanturn to a num_
ber of resources: professionalcolleagues, ethical
advisorycommittees,institutionalreviewboards
or human subjectscommitteesat a collegeor in_
stitution (discussedlater), codesof ethicsbv
professionalassociations (discussed later in this
chapter),and writings on ethicsin research.The
largerresearchcommunity firmly supportsand
upholds ethicalbehavior,evenif an-individual
 PART ONE / F OUNDAT ION5

researcher is ultimatelyresponsibleto do what is others in Nazi Germany,and similar "medical

ethicalin specificsituations. experiments"to test biological weaponsby
|apanin the 1940s.In theseexperiments,terrible
tortures were committed. For example,people
wereplacedin freezingwaterto seehow long it
ETHICAL ISSUESINVOLVING took them to die,peoplewerepurposelystarved
RESEARCHPARTICIPANTS to death,peoplewereintentionallyinfectedwith
Have you everbeen a participant in a research horrible diseases, and limbs were severedfrom
study?If so,how wereyou treated?More atten- childrenand transplanted onto others.3
tion is focusedon the possiblenegativeefflects of Suchhuman rightsviolationsdid not occur
researchon thosebeing studiedthan any other only long ago.In a famouscaseof unethicalre-
ethical issue,beginningwith concernsabout search,the TuskegeeSlphilis Study,alsoknown
biomedicalresearch.Acting ethicallyrequires asBadBlood,thePresidentof the United States!
that a researcher balancethe valueofadvancing admitted wrongdoing and formally apologized
knowledgeagainstthe valueof noninterference in 1997to the participant-victims. Until the
in the lives of others. Either extreme causes 1970s,when a newspaper reportcauseda scan-
problems.Giving researchparticipantsabsolute dal to erupt, the U.S. Public Health Service
rights of noninterferencecould makeempirical sponsoreda study in which poor, uneducated
researchimpossible,but giving researchers ab- African Americanmen in Alabamasufferedand
solute rights of inquiry could nullifr Partici- died of untreatedsyphilis,while researcher
pants'basichuman rights. The moral question studiedthe severephysicaldisabilitiesthat ap-
becomes:When, if ever,areresearchers justified pear in advancedstagesofthe disease.The un-
in riskingphysicalharm or injury to thosebeing ethicalstudybeganin l929,beforepenicillinwas
studied, causing them great embarrassment or availableto treat the disease,but it continued
inconvenience,violating their privary, or fright- long aftertreatmentwasavailable.Despitetheir
eningthem? unethical treatment of the people, the re-
The law and codesof ethicsrecognizesome searchers wereableto publishtheir resultsfor 40
clear prohibitions: Never cause unnecessarF or years. The study ended in 1972,but a formal
irreversibleharm to subjects;secureprior vol- apologytook another25 Yeats."
untaryconsentwhenpossible;and neverunnec- Unfortunately,the BadBlood scandalis not
essarily humiliate, degrade, or release harmfirl unique. During the Cold War era,the U.S.gov-
information about specificindividuals that was ernment periodicallycompromisedethicalre-
collected for research purposes. In other words, search principlesfor military and political goals.
you shouldalwaysshowrespectfor the research In 1995,reports revealedthat the goYernment
participant. Theseare minimal standardsand authorizedinjectingunknowingpeoplewith ra-
are subject to interpretation (e.g.,What does dioactivematerialin the late 1940s.In the 1950s'
unnecessary mean in a specificsituation?)' the governmentwarned EastmanKodak and
other film manufacturersabout nuclearfallout
from atomic teststo preventfoggedfilm, but it
Origins of ResearchPafticipant did not warn nearbycitizensof health hazards
Protection in the 1960s,the U.S. army gaveunsuspecting
Concernover the treatmentof research partici- soldiersLSD (a hallucinogenicdrug),causingse-
pants aroseafter the revelationof gross viola- rious trauma. Today,researchers widely recog-
tions of basic human rights in the name of nize these to be violations of two fundamental
science.The most notorious violations were ethical principles:Avoid physicalharm and ob-
"medical experiments"conductedon Iews and tain informed consent.s
 CHAPTER3 , / E T H I C SI N S O C I A L R E S E A R C H
PhysicalHarm,Psychological
Abuse,
and Legalfeopardy
Socialresearchcan harm a researchparticipant
in severalways:physical,psychological, andlegal
harm, aswell asharm to a person'scareer)repu-
tation, or income. Different typesof harm are
morelikely in othertypesof research(e.g.,in ex-
perimentsversus field research).It is a re-
searcher'sresponsibilityto be awareof all types
ofpotential harm and to takespecificactionsto
minimize the risk to participantsat all times.
PhysicalHarm. Physicalharm is rare.Evenin
biomedicalresearch, wherethe interventioninto
a person'slife is much greater,3 to 5 percentof
studiesinvolved any person who sufferedany
harm.6A straightforwardethicalprincipleis that
researchers should never causephysicalharm.
An ethicalresearcher anticipatesrisksbeforebe-
ginning a study,including basicsafetyconcerns
(e.g.,safebuildings,furniture, and equipment).
This meansthat he or shescreensout high-risk
subjects(thosewith heart conditions,mental
breakdown,seizures,etc.) if great stressis in-
volvedand anticipatespossiblesourcesofinjury
or physicalattackson researchparticipantsor
assistants.The researcheracceptsmoral and le-
gal responsibilityfor injury due to participation
in researchandterminatesa projectimmediately
if he or she can no longer fully guaranteethe
physicalsafetyof the people involved (seethe
Zimbardostudyin Box 3.1).
PsychologicalAbuse, Stress,or Lossof Self-
Esteem, The risk of physicalharm is rare,but
socialresearchers can place peoplein highly
stressful,embarrassing,anxiety-producing,or
unpleasantsituations.Researchers want to learn
about people'sresponses in real-life,high-anxi-
ety-producing situations,so they might place
peoplein realisticsituationsof psychological dis-
comfort or stress.Is it unethicalto causedis-
comfort? The ethics of the famous Milgram
obedience studyarestill debated(seeBox 3.1).
Some say that the precautionstaken and the
knowledgegainedoutweighedthe stressandpo-
5l
tential psychologicalharm that researchpartici-
pants experienced.Others believethat the ex-
treme stressand the risk of permanentharm
weretoo great.Suchan experimentcould not be
conductedtodaybecauseof heightenedsensitiv-
ity to the ethicalissuesinvolved.
Socialresearchers havecreatedhigh levelsof
anxietyor discomfort.They haveexposedpar-
ticipantsto gruesomephotos; fuk"ly told male
studentsthat they havestrongfeminineperson-
ality traits; falselytold studentsthat they have
failed; createda situation of high fear (e.g.,
smokeenteringa room in which the door is
locked); asked participantsto harm others;
placedpeoplein situationswheretheyfacesocial
pressureto denytheir convictions;and had par-
ticipantslie, cheat,or steal.TResearchers who
study helpingbehavioroften placeparticipants
in emergencysituationsto seewhetherthey will
lend assistance. For example,Piliavin and asso-
ciates(1969)studiedhelpingbehaviorin sub-
ways by faking someone'scollapseonto the
floor. In the field experiment,the riders in the
subwaycarwereunawareof the experimentand
did not volunteerto participatein it.
The only researchers who might evencon-
siderconductinga studythat purposelyinduces
great stressor anxiety in researchparticipants
arevery experiencedand take all necessary pre-
cautionsbeforeinducing anxietyor discomfort.
The researchers shouldconsultwith otherswho
have conducted similar studies and mental
healthprofessionals astheyplan the studn They
should screenout high-riskpopulations(e.g.,
thosewith emotionalproblemsor weakhearts),
and arrangefor emergenryinterventions or ter-
mination of the researchif dangeroussituations
arise.Theymust alwaysobtainwritten informed
consent(to be discussed)beforethe research
and debrief the people immediatelyafterward
(i.e.,explainany deceptionand what actually
happenedin the study). Researchers should
nevercreateunnecessary stress(i.e.,beyondthe
minimal amountneededto createthe desiredef-
fect) or stressthat lacksa very clear,legitimate
researchpurpose. Knowing what "minimal
 PART ONE / F OUNDA IION5
StanleyMilgram'sobedience study(Milgram,1963'
1 965, 1 974) attemptedto discoverhow the hor-
rorsof the Holocaustunderthe Naziscouldhaveoc-
curredby examining the strengthof socialpressure
to obey authority.After signing"informedconsent
forms,"subjectswereassigned, in riggedrandomse-
lection,to be a "teacher" while a confederate wasthe
"pupil."The teacherwasto test the pupil'smemory
of word lists and increasethe electricshocklevelif
the pupilmademistakes. The pupilwaslocatedin a
nearbyroom,so the teachercouldhearbut not see
the pupil.The shockapparatus wasclearlylabeled
with increasing voltage.As the pupil mademistakes
andthe teacherturnedswitches, sheor he alsomade
noisesasifin severe pain.The researcherwas present
and madecommentssuchas "You must go on" to
the teacher.Milgramreported,"subjectswere ob-
servedto sweat,tremble,stutter, bite their lips,
groanand dig theirfingernails into their flesh'These
were characteristicrather than exceptionalre-
sponsesto the experiment" (Milgram , 1963:375).
The percentage of subjectswhowouldshockto dan-
gerouslevelswasdramatically higherthan expected.
Ethicalconcerns arose over the useof deceptionand
the extreme emotional stress experiencedby
subjects.
In LaudHumphreys's (Humphreys, 1975) tea'
roomtradestudy(a study of malehomosexualen-
countersin publicrestrooms),about 100 menwere
observedengagingin sexualactsas Humphreyspre-
tended to be a "watchqueen"(a voyeur and look-
out). Subjectswerefollowedto their cars,and their
licensenumbersweresecretlyrecorded.Namesand
addresses wereobtainedfrom policeregisterswhen
Humphreysposedas a marketresearcher. One year
amount" means comeswith experience.It is best
to begin with too little stress,risking a finding of
no effect, than to create too much. It is always
wise to work in collaboration with other re-
searcherswhen the risk to participants is high,
becausethe involvement of severalethically sen-
later,in disguise,Humphreysuseda deceptivestory
about a health surveyto interviewthe subjectsin
their homes.Humphreyswascarefulto keepnames
in safetydepositboxes,and identifierswith subject
nameswereburned.He significantly advancedknowl-
edgeof homosexuals who frequent"tearooms"and
overturnedpreviousfalsebeliefsabout them.There
has beencontroversyover the study:The subjects
neverconsented; deceptionwasused;andthe names
could havebeenusedto blackmailsubjects,to end
marriages, or to initiatecriminal prosecution.
ln the Zimbardoprison experiment(Zimbardo'
1972, 1973; Zimbardoet al.,1973, 1974), nale
studentsweredividedinto two role-playing groups:
guardsand prisoners.Beforethe experiment, volun-
teer studentsweregivenpersonalitytests,and only
thosein the "normal"rangewerechosen. Volunteers
signedup for two weeks,andprisoners weretold that
they would be undersurveillance and would have
some civil rights suspended, but that no physical
abusewasallowed. ln a simulatedprisonin the base-
ment of a StanfordUniversitybuilding,prisoners
weredeindividualized (dressed in standarduniforms
and calledonly by their numbers)and guardswere
militarized(with uniforms,nightsticks, and reflective
sunglasses). Guardsweretold to maintaina reason-
abledegreeof order and served8-hour shifts,while
prisonerswere lockedup 24 hoursper day. Unex-
pectedly,the volunteersbecametoo caughtup in
their roles.Prisoners becamepassiveand disorga-
nized,whileguardsbecameaggressive, arbitrary,and
dehumanizing. By the sixthday,Zimbardocalledoff
the experimentfor ethicalreasons.The risk of per-
manentpsychological harm,andevenphysical harm,
wastoo great.
sitive researchersreducesthe chancesof making
an ethical misjudgment.
Researchthat induces great stressand anx-
iety in participants also carries the danger that
experimenters will develop a callous or manip-
ulative attitude toward others. Researchers
 CHAPT ER 3
havereportedfeelingguilt and regretaftercon-
ducting experimentsthat causedpsychological
harm to people.Experimentsthat placesub-
jectsin anxiety-producingsituationsmay pro-
duce significantpersonaldiscomfort for the
ethicalresearcher.
LegalHarm. A researcheris responsiblefor
protectingresearchparticipantsfrom increased
risk of arrest.If participationin researchin-
creasesthe risk of arrest,few individualswill
trust researchers or be willing to participatein
future research.Potentiallegalharm is one crit-
icismof Humphreys's1975tearoomtradestudy
(seeBox3.1).
A related ethical issueariseswhen a re-
searcherlearnsof illegalactivitywhen collecting
data.A researcher
must weighthe valueof pro-
tecting the researcher-subject
relationshipand
the benefitsto future researchers
againstpoten-
tial seriousharm to innocent people.The re-
searcherbearsthe cost of his or her judgment.
For example,in his field researchon police,Van
Maanen(1982:114-115)
reportedseeingpolice
beatpeopleand witnessingillegalactsand irreg-
ular procedures,but said,"On and following
thesetroublesomeincidentsI followedpolice
custom:I kept my mouth shut."
Field researchersin particular can face
difficult ethicaldecisions.For example,when
studyinga mentalinstitution,Taylor(19S7)dis-
coveredthe mistreatmentand abuseof inmates
by the staff.He had two choices:Abandon the
studyand callfor an immediateinvestigation,or
keepquiet and continuewith the study for sev-
eral months, publicizethe findings afterwards,
and then becomean advocateto end the abuse.
After weighingthe situation,he followedthe lat-
ter courseand is now an activistfor the rightsof
mentalinstitution inmates.
In some studies,observing illegal behavior
may be central to the researchproject. If a re-
searcher covertly observes and records illegal
behavior,thensuppliestheinformationtolaw-en-
forcementauthorities,heorsheisviolatingethical
standards regarding researchparticipants and is
,/ E TH IC S IN SOC IA L R E S E A R C H 53
undermining future social research.At the same
time, a researcherwho fails to report illegalbehav-
ior is indirectly permitting criminal behavior. He
or shecouldbe chargedasan accessorytoa crime.
Cooperation with law-enforcement offi cialsraises
the question, Is the researchera professionalsci-
entist who protects research participants in the
processof seekingknowledge, or a free-lanceun-
dercover informant who is really working for the
police trying to "catch" criminals?
Other Harm to Participants
Researchparticipants may face other types of
harm. For example, a survey interview may cre-
ate anxiety and discomfort if it askspeople to re-
call unpleasant or traumatic events. An ethical
researchermust be sensitiveto any harm to par-
ticipants, consider precautions, and weigh po-
tential harm against potential benefits.
Another type of harm is a negative impact
on the careers,reputations, or incomes of re-
search participants. For example, a researcher
conducts a survey of employees and concludes
that the supervisor's performance is poor. As a
consequence,the supervisorlosesher job. Or, a
researcherstudies homelesspeople living on the
street. The findings show that many engage in
petty illegal acts to get food. As a consequence,a
city government "cracks down" on the petty ille-
gal acts and the homeless people can no longer
eat. What is the researcher'sresponsibility? The
ethical researcherconsidersthe consecuencesof
research for those being studied. The general
goal is not to cause any harm simply because
someone was a researchparticipant. However,
there is no set answer to such questions.A re-
searchermust evaluateeachcase,iveighpoten-
tial harm against potential benefits, and bear the
responsibility for the decision.
h-_^_r:^-
uecePtlon
Has anyone ever told you a half-truth or lie to
get you to do something? How did you feel
about it? Social researchersfollow the ethical
principle of wluntary consent:Never force any-
54 P A Rr oNE / F o u N D A T ro N s
one to participate in research,and do not lie to
anyone unless it is necessaryand the only way to
accomplish a legitimate research purpose. The
people who participate in social researchshould
explicitly agree to participate. A person's right
not to participate can be a critical issue when-
ever the researcherusesdeception, disguisesthe
research.or usescovert researchmethods.
Social researcherssometimes deceive or lie
to participants in field and experimental re-
search. A researcher might misrepresent his or
her actions or true intentions for legitimate
methodological reasons.For example, if partici-
pants knewthe true purpose, theywould modifr
their behavior, making it impossible to learn of
their real behavior. Another situation occurs
when accessto a researchsite would be impossi-
ble if the researchertold the truth. Deception is
never preferable if the researchercan accomplish
the same thing without using deception.
Experimental researchersoften deceivesub-
jects to prevent them from learning the hypoth-
esisbeing tested and to reduce "reactive effects"
(seeChapter 8). Deception is acceptableonly if a
researcher can show that it has a clear, specific
methodological purpose, and even then, the re-
searcher should use it only to the minimal de-
gree necessary.Researcherswho use deception
should always obtain informed consent, never
misrepresent risks, and always explain the actual
conditions to participants afterwards.You might
ask, How can a researcherobtain prior informed
consent and still use deception? He or she can
describe the basic procedures involved and con-
ceal only specific information about hlpotheses
being tested.
Sometimes field researchersuse covert ob-
servation to gain entry to field researchsettings.
In studies of cults, small extremist political sects,
illegal or deviant behavior, or behavior in a large
public area, it may be impossible to conduct re-
search if a researcher announces and discloses
her or his true purpose. Ifa covert stance is not
essential,a researchershould not use it. If he or
she does not know whether covert accessis nec-
essary then a strategy of gradual disclosure may
be best.When in doubt,it is bestto err in the di-
rectionof disclosingone'strue identity and pur-
pose.Covertresearchremainscontroversial,and
many researchers feelthat all covertresearchis
unethical.Eventhosewho acceptcovertresearch
asethicalin certainsituationssaythat it should
be usedonlywhen overt observationis impossi-
ble. Wheneverpossible,the researchershould
inform participantsof the observationimmedi-
ately afterwardsand give them an opportunity
to expressconcerns.
Deceptionand covertresearchmay increase
mistrustand qfnicismaswell asdiminish public
respectfor socialresearch.Misrepresentationin
field researchis analogousto being an under-
coveragentor governmentinformer in nonde-
mocratic societies.The use of deceptionhas a
long-term negativeeffect.It increasesdistrust
among peoplewho are frequentlystudied and
makesdoing socialresearchmore difficult in the
long term.
lnformed Consent
A fundamentalethicalprinciple of socialre-
searchis: Never coerceanyoneinto participat-
ing; participationmustbevoluntary at all times.
Permissionaloneis not enough;peopleneedto
know what they arebeingaskedto participatein
sothat theycanmakean informeddecision.Par-
ticipants can becomeawareof their rights and
what theyaregettinginvolvedin whenthey read
and sign a statementgiwng informedconsent-
an agreementby participants stating they are
willing to be in a study and they know some-
thing aboutwhat the researchprocedurewill in-
volve.
Governmentsvary in the requirement for
informed consent.The U.S.federalgovernment
doesnot require informed consentin all re-
searchinvolving human subjects.Nevertheless,
researchers shouldgetwritten informed consent
unlesstherearegoodreasonsfor not obtainingit
(e.g.,covertfield research,
useofsecondarydata,
etc.) asjudgedby an institutional reviewboard
(IRB) (seethe laterdiscussion of IRBs).
 CHAPT ER 3 ,/ E TH IC S IN SOC IA L R E S E A R C H 55

Informed consent statements provide spe_ dition of continued employment. It is unethical

cific information (seeBox 3.2). A generalstaie_ even if someoneother than the researcher(e.g.,
ment about the kinds ofprocedures or questions an employer) coercespeople (e.g.,employees)to
involved and the uses of the data are sufficient participate in research.
for informed consent. Studies suggestthat par_
Full disclosurewith the researcher,sidentifi_
ticipants who receive a full informed conienr cation helps to protect research participants
statement do not respond differently from those againstfraudulent researchand to protectiegit_
who do not. If anlthing, people who refused to imate researchers.Informed consentlessensthe
sign such a statement were more likely to guess chance that a con artist in the guise of a re_
or answer"no response"to questions. searcherwill defraud or abusepeople. It also re_
It is unethical to coerce people to partici_ duces the chance that someone will use a boeus
pate,,including offering them special benefits
researcheridentity to market products or obtlin
that they cannot otherwise attain. For example, personal information on people for unethical
it is unethical for a commanding officer to orider purposes.
a soldier to participate in a stud|, for a professor
Legally, a signed informed consent state_
to require a student to be a research zubiect in ment is optional for most survey, field, and sec_
order to passa course, or for an employer to ex_ ondary data research,but it is often mandat<1ry
pect an employee to complete u ,urr.y'u, u .or_
for experimental research. Informed consent is
impossible to obtain in existing statistics and
documentary research.The general rule is: The
greater the risk of potential harm to research
participants, the greater the need to obtain a
written informed consent statement from them.
Informedconsentstatementscontainthe following: In sum, there are many sound reasonsto get in_
formed consent and few reasonsnot to gei it.
1. A brief descriptionof the purposeand proce_
dureofthe research,includingthe expecteddu_
rationofthe study Special Populations and New
2. A statementof any risksor discomfortassoci_ Inequalities
atedwith participation Somepopulationsor groupsof researchpartici_
3. A guaranteeof anonymityand the confidential_ pantsarenot capableof givingtrue voluniaryin_
ity of records formed ent. Specialp opulationsare peopie
4. The identificationof the researcherand of -cols
who lack the necessary cognitivecompet;ito
whereto receiveinformationabout subiects' givevalid informed consentor peoplein a weak
rightsor questions aboutthe study position who might castasidetheir freedomto
5. A statementthat participation refuseto participatein a study.Students,
is completelyvol_ prison
untaryandcanbe terminated at anvtimewith_ inmates, employees,military p..ron.r.i, th"
out penalty homeless, welfarerecipients,children,and the
6. A statementof alternativeproceduresthat mav developmentallydisablid may not be fully capa_
be used ble of makinga decision,or they ugr." ao
Z. A statementof any benefitsor compensation participate only because -uyparticipa_
theyseetheir
providedto subjectsandthe numberofsubiects tion asa wayto obtaina desiredgood_suchas
involved highergrades,earlyparol., prorrroliorrs,or addi_
8. An offerto providea summaryof findings tionalservices.It is unethicalto involve,.incom_
pet:nt people(e.g.,children,mentallydisabled,
etc.)in researchunlessa researcher meetstwo
)O TAKI UNE / I\JUI\UAII\JI\)
minimal conditions:(1) a legalguardiangrants
written permissionand (2) the researcherfol-
lows all standardethicalprinciplesto protect
participantsfrom harm. For example,a re-
searcherwants to conduct a survey of high
schoolstudentsto learn about their sexualbe-
haviorand drug/alcoholuse.Ifthe surveyiscon-
ductedon schoolproperty,schoolofficialsmust
giveofficialpermission.For anyresearchpartic-
ipant who is a legalminor (usuallyunder 18
years old), written parental permission is
needed.It is bestto askpermissionfrom each
student,aswell.
The useof coercionto participatecan be a
tricky issue,and it dependson the specificsof a
situation. For example,a convictedcriminal
facesthe alternativeof imprisonmentor partici-
pation in an experimentalrehabilitationpro-
gram.The convictedcriminal may not believein
the benefitsof the program,but the researcher
may believethat it will help the criminal. This is
a caseof coercion.A researchermust honestly
judgewhetherthebenefitsto the criminal andto
societygreatlyoutweighthe ethicalprohibition
on coercion.This is risky. History showsmany
casesin which a researcherbelievedhe or she
wasdoing something"for the goodof' someone
in a powerless position(e.g.,prisoners, students,
homosexuals), but it turned out that the "good"
actuallywasfor the researcher or a powerful or-
ganizationinsociety,and it did more harm than
goodto the research participant.
You may havebeenin a socialscienceclass
in which a teacherrequiredyou to participateas
a subjectin a researchproject.This is a special
caseofcoercion and is usuallyethical.Teachers
havemadethreeargumentsin favor of requiring
student participation: (1) it would be difficult
and prohibitively expensiveto get participants
otherwise,(2) the knowledgecreatedfrom re-
searchwith studentsserringassubjectsbenefits
future studentsand society,and (3) studentswill
learnmore aboutresearchby experiencingit di-
rectly in a realisticresearchsetting.Of the three
arguments,only the third justifieslimited coer-
cion. This limited coercionis acceptableonly as
long asit meetsthreeconditions:it is attachedto
a cleareducationalobiective,the studentshavea
choiceof researchexperienceor an alternative
activity, and all other ethical principles of re-
searcharefollowed.
Avoid Creating New Inequalities. Another
typeof harm occurswhen onegroupof peopleis
denieda serviceor benefitasa resultof partici-
pating in a researchproject. For example,a re-
searchermight havea new treatmentfor people
with a terribledisease, suchasacquiredimmune
deficiencysyndrome (AIDS). To determinethe
effectsof the new treatment, half the group is
randomlychosento receivethe treatment,while
othersreceivenothing. The designmay clearly
showwhetherthe treatmentis effective,but par-
ticipantsin the group who receiveno treatment
may die. Of course,thosereceivingthe treat-
ment may also die, until more is known about
whetherit is effective.Is it ethicalto denypeople
who have been randomly assignedto a study
group the potentially life-saving treatment?
What if a clear,definitivetestofwhether a treat-
ment is effectiverequiresthat one study group
receiveno treatment?
A researchercan reducecreatinga new in-
equalityamong researchparticipantswhen the
outcomehasa major impact on their survivalor
qualityof life in threeways.First,the peoplewho
do not receivethe "new, improved" treatment
continue to receivethe best previouslyaccept-
abletreatment.In other words,insteadof deny-
ing all assistance, they get the best treatment
availableprior to the new one beingtested.This
ensuresthat peoplewill not suffer in absolute
terms,evenif theytemporarilyfall behindin rel-
ative terms. Second,researcherscan use a
crossover design,which is when a study group
that getsno treatmentin the first phaseof the
experimentbecomesthe group with the treat-
ment in the secondphase,andviceversa.Finally,
the researchercontinuouslymonitors results.If
it appearsearlyin the study that the new treat-
ment is highly effective,the researchershould
offer it to those in the control group. Also, in
 CHAPTE R3 / E T H I C SI N S O C I A L R E S E A R C H 57

high-risk experimentswith medicaltreatments Anonymity, Researchersprotect privacy by

or possiblephysicalharm, researchersmay use not disclosinga participant'sidentity after in-
animalor other surrogatesfor humans. formation is gathered.This takestwo forms,
both ofwhich requireseparatingan individual,s
Privacy,Anonymity, and identity from his or her responses:anonymity
Confidentiality and confidentiality.Anonymity meansthatpeo-
How would you feelif privatedetailsaboutyour ple remain anonymousor nameless.For exam-
personallife weresharedwith the publicwithout ple, a field researcher providesa socialpicture of
your knowledge?Becausesocial researchers a particular individual, but givesa fictitious
sometimestransgressthe privacy of people in name and location, and alters somecharacteris-
order to study socialbehavior,they must take tics. The subject's identity is protected,and the
severalprecautionsto protect researchpartici- individual remains unknown or anon)rynous.
pants'privacy. Surveyand experimentalresearchers discardthe
namesor addresses of subjectsassoonaspossi-
Privacy. Surveyresearchers invadea person's ble and refer to participantsby a codenumber
privacy when they probe into beliefs, back- only to protect anonymity.If a researcherusesa
grounds,and behaviorsin a way that revealsin- mail surveyand includesa codeon the cues-
timate private details.Experimentalresearchers tionnaireto determinewhich respondentsfailed
sometimesusetwo-way mirrors or hidden mi- to respond,he or sheis not keepingrespondents
crophonesto "spy" on subjects.Evenifpeople anonymousduring that phaseof the study. In
know theyarebeingstudied,theyareunawareof panelstudies,researchers track the sameindi-
what the experimenteris looking for. Field re- vidualsovertime, sothey do not uphold partic-
searchers may observeprivateaspectsof behav- ipant anonymity within the study. Likewise,
ior or eavesdropon conversations. historicalresearchers usespecificnamesin his-
In field research,privacy may be violated torical or documentaryresearch.They may do
without advancewarning. When Humphreys so if the original information was from public
(1975)servedasa "watchqueen"in a public rest- sources;if the sourceswere not publicly avail-
room wherehomosexualcontactstookplace,he able,a researchermust obtain written permis-
observedvery privatebehaviorwithout inform- sion from the owner of the documentsto use
ing subjects.When Piliavin and colleagues specificnames.
\I?69) had peoplecollapseon subwaysto siudy It is difficult to protect researchparticipant
tfulping behavior,those in the subwaycar had anongnity. In one studyabouta fictitioustown,
the privacy of their ride violated. people have "Springdale," in Small Town in Mass Sociery
beenstudiedin public places(e.g.,in waiting (Vidich andBensman,1968),it waseasyto iden-
rooms, walking down the street,in classrooms, tifythe town and specificindividualsin it. Town
etc.),but some"public" placesaremore private residentsbecame upset about how the re-
than others (consider,for example,the use of searchersportrayed them and stageda parade
periscopesto observepeoplewho thought they mockingthe researchers. Peopleoften recognize
werealonein a public toilet stall). the townsstudiedin communityresearch. yet, if
Eavesdropping on conversationsand ob- a researcher protectsthe identitiesof individuals
servingpeoplein quasi-privateareasraisesethi- with fictitious information, the gap between
cal concerns.To be ethical,a researcherviolates what wasstudiedand what is reportedto others
privacy only to the minimum degreenecessary raisesquestionsaboutwhat wasfound and
what
and only for legitimateresearchpurposes.In ad- wasmadeup. A researcher maybreachapromise
dition, he or shetakesstepsto protectthe infor- of anonymity unknowingly in smallsamples.For
mation on participantsfrom public disclosure. example,let us sayyou conducta surveyof 100
collegestudentsand ask many questionson a obligated them to destroy the records rather
questlonnaire,including age'sex' religion, and than givethem to governmentofficials.
hometown.Thesamplecontainsone22-year-old Confidentiality can sometimesprotect re-
Jewishmaleborn in Stratford,Ontario.With this searchparticipantsfrom legalor physicalharm'
information,you could find out who the specific In a study of illegal drug usersin rural Ohio,
Drausand associates (2005)took greatcareto
individualis and how he answeredverypersonal
questions,eventhoughhis namewasnot directly protect the researchparticipants'They con-
recordedon thequestionnaire. ducted interviewsin large multiuse buildings'
avoided referencesto illegal drugs in written
Confiilentiality. Even if a researcher cannot documents,did not mention of namesof drug
protectanonyrnity,he or shealwaysshould pro- dealersand locations,and did not affiliatewith
tect participant confidentiality. Anonymity drug rehabilitation services,which had ties to
meansprotectingthe identityof specific individ- law enforcement.Theynoted,"We intentionally
uals from being known. Confidentiality can avoidedcontactwith local police, prosecutors,
include information with participant names at- or paroleofficers"and "surveillanceofthe pro-
of
tached.but the researcher holdsit in confidence leci by local law enforcementwas a source
or keepsit secretfrom public disclosure.The re- concern" (p. 169). In other situations,other
searcherreleases datain a waythat do€s not per- principlesmay take precedenceover protecting
mit linking specificindividuals to responses and research participant confidentiality.For exam-
presentsit publicly only in an aggregate form ple, when studyingpatientsin a mentalhospital,
(e.g.,aspercentages, statisticalmeans,etc.)' i researcher discoversthat a patientis preparing
A researchercan provide anonymity with- to kill an attendant. The researchermust weigh
they the benefit of confidentiality againstthe poten-
out confidentiality,or vice versa,although
usuallygo together.Anonymity without confi- tial harm to the attendant.
dentiality occursif all the detailsabout a specific Social researcherscan pay high personal
individual aremadepublic, but the individual's costs for being ethical.Although he was never
name is withheld. Confidentiality without accused or convictedofbreakinganylaw and he
anonymityoccursif detailedinformation is not closely followed the ethical principles of the
madepublic, but a researcher privatelylinks in- American Sociological Association,Professor
dividual namesto specificresponses. Rik Scarce spent 16 weeks in a Spokanejail for
to testify
Attempts to protect the identity of subjects contemptof court becausehe refused
before a grand jury and break the confidentiality
from public disclosurehasresultedin elaborate
procedures:eliciting anonyrnousresponses' us- ofsocialresearchdata.Scarcehadbeenstudying
ing a third-party custodianwho holdsthe key to radical animalliberationgroupsandhad akeady
codedlists,or usingthe random-response tech- published one book on the subject.He had in-
nique. Pastabusessuggestthat such measures terviewed a researchparticipant who was sus-
may be necessary. For example,Diener and pected of leading a group that broke into animal
Crandall (1978:70)reported that during the iacilities and caused $150,000damage.Two
1950s,the U.S.StateDepartmentandthe FBI re- judges refused to acknowledge the confidential-
questedresearchrecordson individualswho had ity ofsocial research data.E
6een involved in the famousKinsey sexstudy' A specialconcernwith anonymityand con-
The KinseySexInstitute refusedto complywith fidentiality arises when a researcherstudies
"captive" populations (e.g.,students,prisoners,
the government.The institutethreatenedto de-
stroyall recordsratherthan releaseany.Eventu- employees, patients, and soldiers).Gatekeepers
backeddown.The ot thote in positions of authority, may restrict
ally,the governmentagencies
access unless they receive information on sub-
moral duty and ethicalcode of the researchers
 CHAPTER3 , / E T H I C S I N S O C I A L R E S E A R C H
jects.9Forexample,a researcher studiesdrug use
and sexualactivityamonghigh schoolstudents.
Schoolauthoritiesagreeto cooperateunder two
conditions:(1) studentsneedparentalpermis_
sionto participateand (Z) schoolofiiciali getthe
namesof all drug usersand sexuallyacti,iestu_
dentsin order to assistthe studentswith coun_
selingand to inform the students'parents.An
ethicalresearcherwill refuseto contlinuerather
than meet the secondcondition. Even though
the officialsclaim to havethe participants,best
interestsin mind, the privary ofparticipantswill
be violatedand they could be in legaliur- u, u
result ofdisclosure.Ifthe schoolofficialsreally
want to assistthe studentsand not ,r" ,"_
searchersas spies,they could developan out_
reachprogramoftheir own.
Mandated Protections of Research
Participants
Many governmentshaveregulationsandlawsto
protectresearchparticipantsand their rights.In
the United States,legalrestraintis found i-nrules
and regulationsissuedby the U.S.Department
of Health and Human ServicesOffice for the
Protectionfrom Research Risks.Althoughthis is
only one federal agency,most researchersand
other governmentagencieslook to it for guid_
ance.The National ResearchAct (1974) eitab_
lished the National Commission for the
frotection of Human Subjectsin Biomedical
and BehavioralResearch, which significantlyex_
pandedregulationsand requiredinformed ton_
sentin most socialresearch.The responsibility
for safegrrardingethicalstandardswasassigned
to researchinstitutesand universities.The De_
partment of Health and Human Servicesissued
regulationsin i981, which arestill in force.Fed_
eral regulationsfollow a biomedicalmodel and
protectsubjectsfrom physicalharm. Other rules
requireinstitutional reviewboards(IRBs)at all
researchinstitutes,colleges,and universitiesto
review all use of human subjects.An IRB is a
committeeof researchers and communitymem_
bersthat oversees, monitors,and reviewrih. i-_
59
pact of researchprocedureson human partici_
pantsand appliesethicalguidelinesbyrwiewing
researchproceduresat a preliminarystagewhen
first proposed.Someforms of researchleduca_
tional tests,normal educationalpractice,most
norrsensitivesurveys,most observationof public
behavior,and studiesof existingdata in which
individuals cannot be identifiid are exemDr
from institutionalreviewboards.
ETHICS AND THE SCIENTIFIC
COMMUNITY
Physicians,attorneys,family counselors,social
workers,and other professionalshavea codeof
ethicsandpeerreviewboardsor licensingregu'_
lations. The codesformalizeprofessionj stan_
dards_and provide guidancJ when questions
arisein practice.Socialresearchers do not pro_
vide a servicefor a fee,they receivetimited ettri_
cal training, and rarely are they licensed.Thev
incorporate ethical concernsinto researchbe'_
causeit is morally and sociallyresponsible,and
to protectsocialresearchfrom chargesofinsen_
sitivity or abusingpeople.professionalsocialsci_
ence associationshave codes of ethics that
identif, proper and improper behavior. They
representa consensus ofprofessionalson ethics.
All researchers may not agreeon all ethical is_
sues,and ethicalrulesare subjectto interpreta_
tion, but researchers are expectedto uphotd
ethicalstandardsaspart of thiir members'hipin
a professionalcommunity.
Codesofresearchethicscanbe tracedto the
Nuremberg code adopted during the Nurem_
bergMilitary Tribunal on Nazi wir crimesheld
by the Allied Powersimmediatelyafter World
War IL The code,developedasa responseto the
crueltyof concentrationcampexperiments,out_
linesethicalprinciplesand rightsof human sub_
jects.Theseincludethe following:
r The principle of voluntaryconsent
r Avoidance of unnecessaryphysical and
mentalsufFering
60 PART oNE / FoUNDATI oNS
r Avoidanceof any experimentwhere death
or disablinginjury is likelY
r Termination of researchif its continuation
is likely to causeinjury, disability,or death
r The principle that experimentsshould be
conductedby highly qualifiedpeopleusing
the highestlevelsof skill and care
r The principle that the resultsshouldbe for
the goodof societyand unattainableby any
other method
The principlesin the Nurembergcodedealt
with thelreatment of human subjectsand fo-
cusedon medicalexperimentation,but theybe-
camethe basisfor the ethicalcodesin social
research.Similarcodesof human rights,suchas
the 1948 Universal Declaration of Human
Rightsbythe United Nationsand the l964Dec-
laration of Helsinki, alsohaveimplicationsfor
socialresearchers. Box 3.3listssomeof the basic
principlesof ethicalsocialresearch.
have
Professional socialscienceassociations
and hear
committeesthat reviewcodesof ethics
aboutpossibleviolations,but thereis no formal
policingof the codes.Thepenaltyfor a minor vi-
olation rarelygoesbeyonda letter of complaint'
If lawshavenot beenviolated,the most extreme
penaltyis the negativepublicity surrounding a
well-documentedand seriousethicalviolation'
The publicity may resultin the lossof employ-
find-
ment, a refusalto publish the researcher's
ingsin scholarlyjournals,and a prohibition from
receivingfunding for research-in other words,
banishmentfrom the communityof professional
researchers.
Codesof ethicsdo more than codify think-
ing and provide individual researcherswith
goidutt..; they also help universitiesand other
institutions defend ethical research'against
abuses.For example,after interviewing24 staff
membersand conductingobservations,a re-
searcherin 1994documentedthat the staffatthe
Milwaukee Public DefendersOffice were seri-
ouslyoverworkedand could not effectivelypro-
vide legaldefensefor poor people'Learningof
the findings,top officialsat the officecontacted
restswith the individualre-
Ethicalresponsibility
searcher.
Do not exploitsubjectsor studentsfor personal
gain.
Someform of informedconsentis highlyrecom-
mendedor required.
Honor all guaranteesof privacy,confidentiality,
and anonymity. r
I Do not coerceor humiliatesubjects.
I Usedeceptiononly if needed,andalwaysaccom-
panyit with debriefing.
r Usethe researchmethodthat is appropriateto a
topic.
r Detectand removeundesirable consequences to
researchsubjects.
or publi-
of the research
r Anticipaterepercussions
cationof results.
r ldentifythe sponsorwho fundedthe research'
r Cooperatewith host nationswhendoingcompar-
ativeresearch.
r Release the detailsof the study designwith the
results.
r Make interpretationsof resultsconsistentwith
the data.
r standardsand strivefor
Usehighmethodological
accuracy.
I Do not conductsecretresearch.
the universityand demandedto know who on
their staffhadtalkedto the researcher,with im-
plicationsthat theremight be reprisals.The uni-
versity administration defendedthe researcher
and refusedto releasethe information, citing
widely acceptedcodesthat protecthuman re-
searchparticipants. IU
 CHAPTER3 , / E T H I C SI N S O C I A L R E S E A R C H 61

ETHICS AND THE SPONSORS OF tions, lowered pay, an undesirable transfer,

RESEARCH abandonment by friends at work, or incurring
legal costs.There is no guarantee that doing the
Whistle-Blowing ethical-moral thing will stop the unethical be_
havior or protect the honest researcher from
You might find a job whereyou do researchfor retaliation.
a sponsor-an employer,a governmentagency, Applied social researchersin sponsoredre_
or a privatefirm that contractswith a researcher search settings need to think
seriously about
to conduct research.Specialethicalproblems their professionalroles.They may
want to main_
arisewhena sponsorpaysfor research, especially tain some independence from an employer and
applied research.Researchers may be uik.d to affirm their membership in a community of
compromiseethical or professionalresearch dedicated professionals. Many
find a defense
standardsasa condition for receivinga contract against sponsor pressures by participating in
or for continuedemplognent.Researchers need professional organizations (e.g., the Bvaluaiion
to setethicalboundariesbeyondwhich thevwill ResearchSociety), maintaining regular contacts
refusethe sponsor'sdemands.When confronted with researchersoutside the sponsoring
organi-
with an illegitimatedemandfrom a sponsor,a zation, and staying current with the best re_
researcher hasthreebasicchoices:loyaltvto an search practices. The researcherleast likely to
organizationor larger group, exiting from the uphold ethical standards in a sponsored setiing
situation,or voicingopposition.I 1Thesepresent is someone who is isolated and professionallv
in_
themselves ascavingin to the sponsor,quitting, secure.Whatever the situation, unethical belav-
or becominga whistle-blower.The researcher ior is never justified by the argument ..If
that I
must choosehis or her own courseof action,but didn't do it, someone elsewould have.,'
it is bestto considerethicalissuesearlyin a rela-
tionshipwith a sponsorand to expressconcerns
up front. Wistle-blowinginvolvesthe researcher Arriving at Particular Findings
who seesan ethicalwrongdoing,and who can- What should you do if a sponsor tells you, di-
not stop it after informing superiorsand ex- rectly or indirectly, what results you should
hausting internal avenuesto resolvethe issue. come up with before you do a study? An ethical
He or shethen turns to outsidersandinforms an researcherwill refuse to participate if he or she is
external audience,agency,or the media. The told to arrive at specific results as a precondition
whistle-blowingresearchermust be convinced for doing research.Legitimate researchis con-
that the breachof ethicsis seriousand approved ducted without restrictions on the possible find-
of in the organization.It is risky. The outsiders ings that a study might yield.
may or may not be interestedin the problem or An example of pressure to arrive at particu_
ableto help.Outsidersoften havetheir own pri- lar findings is in the areaof educationaltesting.
orities(makingan organizationlook bad,sensa- Standardizedtests to measure achievementby
tionalizingtheproblem,etc.)that differ from the U.S. school children have come under criticism.
researcher's primary concern(endingthe uneth- For example, children in about 90 percent of
ical behavior).Supervisorsor managersmay try school districtsin the United Statesscore..above
to discreditor punishanyonewho exposes prob- average" on such tests. This was called the Lake
lemsand actsdisloyal.Under the bestof condi- Wobegonffict after the mythical town of Lake
tions, the issuemay take a long time to resolve Wobegon, where, according to radio show host
and creategreatemotionalstrain.By doingwhat Garrison Keillor, "all the children are above av-
is moral, a whistle-blowerneedsto be prepared erage."The main reason for this finding was that
to make sacrifices-lossof a iob or no promo- the researcherscompared scoresofcuirent stu-
62 PART oNE , i FoUNDATI oNS

dents with those of studentsmany yearsago. givesthe sponsorswhatevertheywant, evenif it

Many teachers,schoolprincipals,superinten- is ethicallywrong,or aprofessionalwhois oblig-
dents,and schoolboardspressuredfor a tFpeof atedto teach,guide,or evenopposesponsorsin
result that would allow them to report to par- the serviceof highermoral principles.
ents and voters that their school district was A researchershouldask Why would spon-
"aboveaverage."rz sorswant the socialresearchconductedif they
arenot interestedin usingthe findingsor in the
Limits on How to Conduct Studies. Is it ethi- truth? The answeris that somesponsorsarenot
callyacceptable for a sponsorto limit research by interestedin the truth and haveno respectfor
definingwhat a researcher canstudyor by limit- the scientificprocess.They seesocialresearch
ing the techniquesused?Sponsorscan legiti- only as"a cover"to legitimatea decisionor prac-
mately set some conditions on research tice that they plan to carry out, but useresearch
techniquesused(e.g.,surveyversusexperiment) to justifr their action or deflectcriticism. They
and limit costsfor research.However,the re- abusethe researcher's professionalstatusand
searchermustfollow generallyacceptedresearch undermineintegrity of scienceto advancetheir
methods.Researchers must give a realisticap- own narrow goals.They are being deceitfulby
praisalof what canbe accomplishedfor a given trying to "cashin" on socialresearch'sreputa-
levelof funding. The issueof limits is common tion for honesty.When sucha situationoccurs,
in contractresearch, whena firm or government an ethicalresearcherhas a moral responsibility
agencyasksfor work on a particular research to exposeand stopthe abuse.
project.Thereis often a tradeoffbetweenquality
and cost.Plus,oncethe researchbegins,a re- SuppressingFindings
searchermay needto redesignthe project,or
costsmay be higher. The contractprocedure What happensif you conduct a study and the
makesmidstreamchangesdifficult. A researcher findings make the sponsorlook bad, then the
may find that he or sheis forcedby the contract sponsordoesnot want to releasethe results?
to useresearchproceduresor methodsthat are This is a common situationfor manyappliedre-
lessthan ideal.The researcherthen confionts a searchers. For example,a sociologistconducted
dilemma:completethe contract and do low- a study for a stategovernmentlottery commis-
qualityresearch,or fail to firlfill the contractand sion on the effectsof stategovernment-spon-
losemoneyand future jobs. soredgambling.After shecompletedthe report,
A researchershould refuseto continue a but beforereleasingit to the public,the commis-
study if he or she cannot uphold generallyac- sion askedher to removesectionsthat outlined
ceptedstandardsof research.If a sponsorde- the manynegativesocialeffectsof gamblingand
mands a biased sample or leading survey to eliminateher recommendationsto createso-
questions,the ethicalresearcher shouldrefuseto cial servicesto help the anticipatedincreaseof
cooperate.If a legitimatestudy showsa spon- compulsivegamblers.The researcher found her-
sor's pet idea or project to be disaster,a re- selfin a difficult position and facedtwo conflict-
searchermay anticipatethe end of employrnent ing values:do what the sponsorrequestedand
or pressureto violateprofessionalresearchstan- paid for, or revealthe truth to the public but
dards. In the long run, the sponsor,the re- then sufferthe consequences?l3
searcher,the scientificcommunity, and society Governmentagenciesmay suppressscien-
in generalareharmedby the violation of sound tific information that contradictsofficial policy
researchpractice.The researcherhas to decide or embarrasses high officials.Retaliationagains
whetherhe or sheis a "hired hand" who always social researchersemployed by government
 CHAPT E R3 , / E T H I C SI N S O C I A L R E S E A R C H
63

agencieswho makethe information public also sponsor'scriticism and hostility and releasethe
occurs.In 2004,leadingscientists,Nobel laure_ findings
over the sponsor,sobjections.Most re_
ates,leading medical experts,former federal
searchers preferthe first choice,sincethe second
agencydirectors,and universitychairsandpres_ one
mayscareawayfirturesponsors.
identssigneda statementvoicing .orr..r.r'orr.,
Socialresearchers sometimesself_censor or
the misuseof sciencebythe GeorgeW. Bushad_ delay
the releaseof findings.Theydo this to pro_
ministration.Major accusationiincluded su_ tect
the identity of informants,to maintain ac_
pressingresearchfindingsand stackingscientific
cessto a researchsite,to hold on to their iobs.or
advisorycommitteeswith ideologicallicommit_
to protect the pe.rconalsafetyof themselvesor
ted adyocatesrather than impaitial scientists. family
members.15 This is a lessdisturbingtype
Other complaintsincluded limiting the public of censorshipbecauseit is not imposed"bvan
releasestudieson auto-safteydata,negativedata orrtsidepower. It is done by someonewho is
about pharmaceuticals, and studiesin pollu_ close to the researchand who is knowledgeable
tion. Theseinvolvedindustriesthat were^major about
possibleconsequences. Researchersjroul_
political campaignsupportersof the administra_
de-rthe ultimateresponsibilityfor their research.
tion. Additional criticismsappearedover re_ Often,
they can draw on many different re_
moving a goyernmentfact sheetciting studies sources
but they facemanycompetingpressures,
that showedno relationshipbetweenabortions as
well.
and breastcancer,removingstudyresultsabout
positiveeffectsof condomusein pregnancypre_
vention, holding back information on poritirr. Concealing the True Sponsor
aspectsof stem cell research,and requiring re_ Is it ethicalto keepthe identity of a sponsorse_
searchersto revisetheir study findings on iurr_ cret?For example,an abortion clinic funds a
gersofarctic oil drilling and endangeiedspecies
study on membersof religiousgroupswho op_
so they would conform to the administraiion's pose
abortion, but it tells the researchernot to
political agenda.An independent2005surveyof revealto participantswfro is funding the study.
460 biologistswho worked for FisheriesSeryice The
researcher must balancethe ethilal rule that
found that about one-third said they were di_ it is usuallybestto reveala sponsor,sidentity to
rectedto suppressfindingsfor nonscientificrea_ participants
againstboth the sponsor,sdesirefor
sons or to inappropriately exclude or alter confidentialityand reducedcooperationby par_
technicalinformation from an official scientific ticipants
in the study.In generil, an ethiJ re_
document.In fune 2005,it wasdiscoveredthat a searcherwill t€ll subjectswho is sponsoringa
political appointeewithout scientific training
study unlessthere is a strong methodologilal
who hadpreviouslybeenan oil industrvlobbvist
for not doingso.When reportingor
waschargedwith editingofficialgovernmentre_ ,t.1r.o"lishing results,the ethicalmandateisvlrv de-,
iub_
ports to play down the researchfindings that
A researcher must alwaysrevealthe sponsorwho
documentedlinkagesbetweensuch emlssions provides
fundsfor a study.
and globalwarming.la
In sponsoredresearch,a researchercan ne_
gotiateconditionsfor releasingfindingsprior to
beginningthe study and sign a contraitio that POLITIC S OF R E S E A R C H
effect.It may be unwise to conduct the study Ethics largely addressmoral concerns and stan_
without sucha guarantee,althoughcompeting dards
ofprofessional conduct in research that
researchers who havefewerethicalscruplesmay are under the researcher'scontrol. political con_
do so.Alternatively,a researchercan aicept the cerns also afi[ectsocial research, but many are be_
64 P A RToNE / F o u N D AT ro N s
yond the control of researchers. The politics of
researchusuallyinvolveactionsby organizedad-
vocacygroups,powerful interestsin society,
governments,or politicianstrying to restrictor
control the direction of socialresearch.Histori-
cally,the political influenceover socialresearch
has included preventingresearchers from con-
ducting a study,cutting off or redirectingfunds
for research,harassingindividual researchers,
censoringthe releaseof researchfindings, and
using socialresearchas a cover or guisefor
covertgovernmentintelligence/militaryactions.
For example,U.S. Congressmemberstargeted
and eliminatedfunding for researchprojects
that independentpanelsof scientistsrecom-
mendedbecauseCongressdid not like the topics
that would be studied,and politicallyappointed
officialsshiftedresearchfunds to suppoft more
studieson topics consistentwith their political
viewswhile endingsupportfor studieson topics
that might contradicttheir views.A largecom-
panythreatenedan individual researcher with a
lawsuitfor deliveringexperttestimonyin public
aboutresearchfindingsthat revealedits pastbad
conduct.Until about a decadeago,socialre-
searchers who appearedto be independentwere
actuallyconductingcovertU.S.governmentin-
telligenceactivities.l6
Most usesof political or financialinfluence
to control socialresearchsharea desireto limit
knowledgecreationor restrictthe autonomous
scientific investigationof controversialtopics.
Attempts at control seemmotivated by a fear
that researchers might discoversomethingdam-
aging if they have freedom of inquiry. This
showsthat freescientificinquiry is connectedto
fundamentalpolitical idealsof open public de-
bate,democracy,and freedomof expression.
The attemptsto block and steersocialre-
searchhavethreemain reasons.First,somepeo-
ple defendor advancepositionsand knowledge
that originatein deeplyheld ideological,politi-
cal, or religiousbeliefs,and fear that socialre-
searchersmight produce knowledge that
contradictsthem. Second,powerful interests
want to protect or advancetheir political-
financialposition, and fear socialresearcher
might yield findings showingthat their actions
are harmful to the public or some sectorsof
society.And third, somepeoplein societydo not
respectthe idealsof scienceto pursue truth/
knowledgeand insteadview scientificresearch
only ascoverfor advancingprivateintereists(see
Box3.4).
vALUE-FREEAND OBJECTTVE ,
RESEARCH
You haveundoubtedlyheardabout"value-free"
researchand the importanceof being "objec-
tive" in research.This is not assimpleat it might
first appearfor severalreasons.First, there are
different meaningsof the terms valuefree and
objective. Second,different approachesto social
science(positivism,interpretative,critical) hold
different viewson the issue.And last. evenre-
searchers who agreethat socialresearchshould
be valuefreeand objectivedo not believethat it
needsto be totally devoidof all values.
Therearetwo basicwaysthe term valuefree
is used:researchthat is free from any prior as-
sumptions,theoreticalstand,or valueposition,
and researchthat is conductedfree ofinfluence
from an individual researcher's personalprejrr-
dices/beliefs.Likewise,objectivecanmeanfocus-
ing only on what is externalor visible,or it can
mean following clearand publicly acceptedre-
searchproceduresand not haphazard,personal
ones.
The three approachesto socialsciencethat
you readaboutin Chapter2 hold differentposi-
tions on the importanceof value-free,objective
research.Positivismputs a high value on such
research.An interpretiveapproachseriously
questionswhetherit is possible,sincehuman
values/beliefs pervadeall aspectsof human ac-
tivities,including research.Insteadof eliminat-
ing valuesand subjectivedimension,it suggests a
relativiststance-no singlevaluepositionis bet-
 CHAPT ER 3
Mi ch aelB ur awoy( 200 4 , 2 OO5 ) d i s ti n g u i s h e d
amongfour idealtypesof socialresearch: polLy,pro_
fessional,critical,and public.The aimof publicsoci-
ology (or socialscience,moregenerally)is to enrich
publicdebateovermoraland politicalissuesby in-
fusingsuchdebatewith socialtheory and r""r".r.n.
Publicsociologyfrequentlyoverlapswith action-ori-
entedresearch. Burawoyarguedthat the placeof so_
cial researchin societycenterson how one answers
two questions:Knowledge for whom?and Knowr_
edgefor what?The first questionfocuseson the
sourcesof research questionsand how resultsare
used.Thesecondquestionlooksat the sourceofre_
searchgoals.Are they handeddown by someexter_
nal sponsoror agencyor are they concernedwitn
debatesover largersocietalpolitical-moral issues?
Publicsocialscience triesto generate a conversation
or debatebetweenresearchers and public.By con-
strast,policysocialscience focuseson findingsolu_
tionsto specificproblemsas definedby sponiorsor.
ter than any other. A critical approach also ques_
tions value-free research,but seesit often as a
sham.
Value free means free of everyone's values
except those of science,and objectivemeans fol-
lowing establishedrules or procedures that some
people created, without considering who they
represent and how they created the rules. In
other words, a critical approach seesall research
ascontaining somevalues,so thosewho claim to
be value free are just hiding theirs. Those who
follow an interpretive and critical approach and
reject value-free researchdo not embrace sloppy
and haphazard research, research procedures
that follow a particular researcher's.hi-r, o, u
study that has a foregone conclusion and auto-
matically supports a specific value position.
They believe that a researcher should make his
/ ETH IC S IN SOC IA L R E S E A R C H 65
clients.Both rely on professional socialsciencefor
theories,bodiesof knowledge, and techniques for
gatheringand analyzingdata.Criticalsocialscience,
as wasdiscussed in Chapter2, emphasizes demysti_
fyingandraisingquestioning aboutbasiccondittns.
The primaryaudiencefor professional andcriticar
socialscience aremembers of the scientific
commu_
nity,whereas the mainaudience for publicandpolicy
research arenonexpertsand practitioners. Bothcrit_
icaland publicsocialscience seekto infusea morar,
valuedimension into socialresearch andthey trv to
generatedebatesovermoral-political values.profes_
sionaland policysocialscienceare lessconcerneo
about debatesover moralor valueissuesand may
avoidthem.Instead, theirfocusis moreon beingef_
fectivein providingadvances to basicknowled;eor
specific solutionsto practicalproblems. Both public
and policysocialscienceare appliedresearch ano
havea relevance beyondthe communitvof scientific
researcners.
or her own value position explicit, reflect care_
fully on reasonsfor doing a study and the proce_
dures used,and communicate in a candid, clear
manner exactly how the study was conducted. In
this way, other researchersseethe role of a re_
searcher's values and judge for themselves
whether the values unfairly influenced a studv's
findings.
Even highly positivist researcherswho ad_
vocate value-free and objective studies admit a
limited place for some personal, moral values.
Many hold that a researcher'spersonal, moral
position can enter when it comes to decidine
what topic to study and how to disseminati
findings. Being value free and obiectir.e oniv
refers to actually conducting the studr.. This
means that you can study the issuesvou believe
to be important and after completing a study
66 PART oNE / FoUNDATToNS
you can sharethe resultswith specificinterest
groupsin addition to making them availableto
the scientific community.
CONCLUSION
In Chapter 1, we discussedthe distinctivecon-
tribution ofscienceto societyand how socialre-
searchis a sourceofknowledgeaboutthe social
world. The perspectives andtechniquesof social
researchcan be powerfirl tools for understand-
ing the world. Nevertheless, with that power to
discovercomesresponsibility-a responsibility
to yourself,a responsibilityto your sponsors,a
responsibilityto the community of scientificre-
searchers, and a responsibilityto the largersoci-
ety.Theseresponsibilitiescanconflict with each
other.Ultimately,you personallymust decideto
conduct researchin an ethical manner, to up-
hold and defendthe principlesof the socialsci-
enceapproachyou adopt,andto demandethical
conduct by others.The truthfulnessof knowl-
edgeproducedby socialresearchand its useor
misusedependson individual researcherslike
you, reflectingon their actionsand on the seri-
ous role ofsocial researchin society.In the next
chapter,we examinebasicdesignapproaches
and issuesthat appearin both qualitative and
quantitativeresearch.
Key Terms
anonymity
confidentiality
crossoverdesign
informed consent
institutional review board (IRB)
plagiarism
principle of voluntary consent
public sociology
research fraud
scientific misconduct
specialpopulations
whistle-blower
E n dn o t e s
1. For a discussion of researchfraud, seeBroad and
Wade (1982), Diener and Crandall (1978), and
Weinstein (1979). Hearnshaw (1979) andWade
(1976) discuss the Cy'ril Burt case, and see
Holden (2000) on the social psychologist case.
Kusserow (1989) discussesthe concept ofscien-
tific misconduct.
2. SeeBlum ( 1989)and D'Antonio ( 1989) for details
on this case.Also seeGoldner (1998) on legal ver-
sus scientific views of misconduct. Gibelman
(2001) discussesseveral casesand the changinq
definition of misconduct
3. See Lifton (1986) on Nazi experiments, and
Williams andWallace (1989) discussfapaneseex-
periments. Harris (2002) arguesthat the |apanese
experiments were more horrific, but the United
Statesdid not prosecute the fapanesescientistsas
the Germans were because the U.S. military
wanted the results to develop its own biological
warfare program.
4. Seelones (1981) and Mitchell (1997) on "Bad
Blood."
5. Diener and Crandall (1978:L28) discussexamples.
6. A discussion ofphysical harm to researchpartici-
pants can be found in Kelman (1982), Reynolds
(1979,1982), and Warwick (1982).
7. For a discussion, see Diener and Crandall
(1978:21-22) and Kidder and ludd (1986:481-
484).
8. SeeMonaghan (1993a, 1993b, 1993c).
9. Broadhead and Rist (1976) discussgatekeepers.
10. See"UW Protects Dissertation Sources," Capital
Times (Madrson, Wisconsin), December 19, 1994,
p.4.
I 1. SeeHirschman ( 1970) on loyalty, exit, or voice.
12. See Edward Fiske, "The Misleading Concept of
'Average' on Reading Test Changes, More Stu-
dents Fall Below It," New York Times (Iuly 12,
1989).Also seeKoretz (1988)andWeissand Gru-
ber (1987).
13. See"State Sought, Got Author's ChangesofLot-
tery Report," Capital Times (Madison, Wiscon-
sin), fuly 28, 1989,p. 21.
14. Andrew Revkin, "Bush Aide Edited Climate Re-
ports," New York Times (Iune 8, 2005). "White
House Calls Editing Climate Files Part of Usual
Review," New YorkTimes (1we9,2005). Union of
Concerned Scientists,"Politics Trumps Scienceat
 CHAPTER3 , / E T H I C SI N S O C I A L R E S E A R C H
U.S. Fish and Wildlife Service" (February 9,
2005)."SpecificExamplesof theAbuseof Science
www.ucsusa.org/global_environment/rsilpage.cf
m?pagelD=1398, downloadedAugust 3, 2005.
"Summaryof National Oceanic& Atmospheric
Administration FisheriesServiceScientistSurvey"
by Union ofConcernedScientists(|une 2005).E.
Shogren,"Researchers AccuseBushof Manipulat-
ing Science,"
I osAngelesTimes(luIy 9, 2004).Ief-
frey McCracker,"GovernmentBansReleaseof
Auto-SafetyData,"DetroitFreePress (August19,
2004).GarddinerHarris, "LawmakerSaysFDA
Held BackDrug Data,"NewYorkTimes(Septem-
67
ber 10, 2004).famesGlanz,"scientistsSayAd-
ministration Distorts Facts,"New York Tima
(February19,2004).DylanO. Krider,"Thepoliti-
cizationof Sciencein the BushAdministration.-
SkepticYol.11,Number 2 (2004)at www. Skep-
tic.com.C. Orstein,"PoliticsTrumps Sciencein
CondomFactSheet"NewYorkTimes(December
27, 2002). "ScientistSaysOfficialsIgnoredAdvice
on Water Levels,"Washington Posf(October29,
2002).
1 5 . SeeAdlerandAdler(1993).
t6. SeeNeuman(2003,Chapter16) for a discussion
ofpolitical issuesin socialresearch.
 Reviewing the Scholarly
Literatureand Planning
a Study

lntroduction
Literature Review
Whereto FindResearchLiterature
How to Conduct a SystematicLiteratureReview
TakingNotes
Writing the Review
What a Cood ReviewLooksLike
Using the Internet for Social Research
Qualitative and Quantitative Orientations toward Research
Linearand NonlinearPaths
Preplannedand EmergentResearchQuestions
Qualitative Design lssues
The LanguageofCasesand Contexts
CroundedTheory
The Context ls Critical
The Caseand Process
Interpretation
Quantitative Design lssues
The Language ofVariablesand Hypotheses
CausalTheoryand Hypotheses
Aspectsof Explanation
Fromthe ResearchQuestionto Hypotheses
Conclusion

58
 C HAPTER4 ,/ REVI EW I NGTHE SCHO LARLYLI TER A T U R E
ffi."
In the past three chapters,you have learned
aboutthe main principlesand typesof socialre-
search,discoveredhow researchers usetheoryin
a study,and examinedthe placeof ethicsin so_
cial research.You are now readyto get into the
pecifc-s of how to go about designinga study.
Recallfrom Chapteri that a researchirusualiy
beginswith a generaltopic, then narrows the
topic down into a specificresearchquestion,and
then makesdecisionsabout the specificsof de_
signinga study that will addressthe research
question.
Wheredo topicsfor studycomefrom?They
comefrom many sources:previousstudies,tele_
vision or film, personalexperiences, discussions
with friendsand family, or somethingyou read
about in a book, magazine,or newspaper.A
topic often beginsas somethingthai uio.rs.,
your curiosity,aboutwhich you hold deepcom_
mitments or strongfeelings,or that you Leheve
is reallywrongand want to change.To applyso-
cial research,a topic must be about soiial'pat_
terns that operate in aggregatesand be
empiricallymeasurable or observable. This rules
out topicsabout oneunique situation(e.g.,why
your boy/girlfrienddumpedyou yesterdJy,why
your friend's little sister hates her school
teacher),or one individual case(e.g.,your own
family), or somethingone can neverobserve,
,even indirectly(e.g.,unicorns,ghostswith su_
'pernaturalpowers,
etc.).Thismayruleout some
interestingtopics,but many tens of thousands
remainto be investigated.
How you proceeddiffersslightlydepending
on whetheryou adopt an inductiveo, u d"drr._
tive approach. Compared to an inductive
researcher, thosewho choosea deductiveap_
proachand gatherquantitativedatawill devote
much more time to specifyingtheresearchques_
tion very preciselyand planningmany detailsof
a studyin advance.It will takeyou a while to de_
velopthejudgmentskillsfor decidinewhetherit
might be better to conduct a moreteductive-
quantitativeor an inductive-qualitativestudyto
A N D P L A N N I N GA S T U D Y 69
addressa topic and researchquestion.Three
thingscanhelp you learnwhat iithe most effec_
tive type of studyto pursuefor a question:
1. Readingstudiesthat othershaveconducted
on a topic
2. Graspingissuesthat operatein qualitative
and quantitativeapproaches to reiearch
3. Understandinghow to usevariousresearch
techniquesas well as their strengthsand
limitations
This chapterintroducesyou to the first two
of the^se,
whereasmany of the remainingchap_
tersof the book discussthe third item in the liit.
LITERATUREREVIEW
Readingthe "literature," or the collectionof
studiesalreadypublishedon a topic, servessev_
eralvery important functions.First,it helpsyou
narrow down a broadtopic by showingyou how
others conductedtheir studies.The studiesby
others give you a model of how narrowly fo_
cuseda researchquestionshouldbe,what kinds
ofstudy designsothershave used,and how to
measurevariablesor analryze data.Second,it in_
forms you about the "stateof knowledge,,on a
topic. From the studiesby others,you cin learn
the key ideas,terms,and issuesthat surround a
topic. You should considerreplicating,testing,
or extendingwhat othersalreadyfound. Third.
the literatureoftenstimulatesyour creativitvanj
curiosity.Last,evenifyou nevergetto co;duct
or publishyour own researchstudn a published
studyoffersyou an exampleof what the final re_
port on a study looks like, its major parts,its
form, and its sryleof writing. Anotirerieasonis
morepractical.Justasattentivelyreadinga lot of
top-quality writing can help you improve your
own writing skills, reading many reports of
good-qualitysocialresearchenablesyou to grasp
betterthe elementsthat go into conductinga re_
searchstudy.
It is bestto be organizedand not haphazard
asyou locateand readthe scholarlyor aiademic
70 PART o NE / FoUNDATI oNS
Iiterature on a topic and associatedresearch
questions.Also, it is wise to plan to preparea
written literature review.There are many spe-
cialized types of reviews, but in general a
literature reviewis a carefrrlly crafted sunmary
ofthe recentstudiesconductedon a topic that
includes key findings and methods researchers
used while making sure to document the
sources.For most pulposes,you must first lo-
catethe relevantstudies;next, read thoroughly
to discoverthe major findings, central issues,
and methodsof the studies,and take conscien-
tious noteson what you read.While the reading
is still freshin your mind and with the notesin
front ofyou, you needto organizewhatyou have
learnedand write clearlyabout the studiesin a
way that builds a context around a specificre-
searchquestionthat is of interestto you.
A literaturereviewis basedon the assump-
tion that knowledgeaccumulatesand that peo-
ple learn from and build on what othershave
done. Scientificresearchis a collectiveeffort of
many researchers who sharetheir resultswith
one another and who pursue knowledgeas a
community.Although somestudiesmay be es-
pecially important and individual researchers
may becomefamous,a specificresearchproject
is just a tiny part of the overallprocessof creat-
ing knowledge.Today'sstudiesbuild on thoseof
yesterday.Researchers readstudiesto compare,
replicate,or criticizethem for weaknesses.
Reviewsvary in scopeand depth. Different
kinds of reviewsare strongerat f,rlfilling one or
anotherof four goals(seeBox 4.1).It may takea
researcherover a year to completean extensive
professionalsummaryreviewof all the literature
on a broad question.The sameresearcher might
completea highly focusedreviewin a veryspecial-
izedareain a fewweeks.Whenbeginninga revieq
a researcherdecideson a topic, how much depth
to go into, and the kind of reviewto conduct.
Where to Find ResearchLiterature
Researchers presentreports of their research
projectsin severalwritten forms: periodicals,
1. To demonstrate a faniliaity witha bodyof knowl-
edgeand establishcredibility.A review tells a
readerthat the researcher knowsthe research in
an areaand knowsthe majorissues.A good re-
view increases a reader'sconfidencein the re-
professional competence, ability,and
searcher's
background.
2. To showthe path of prior research and howa cur-
rentprojectis linkedto it. A reviewoutlinesthe di-
rectionof research on a questionand showsthe
developmentof knowledge.A good review
placesa researchproject in a context and
demonstratesits relevanceby makingconnec-
tionsto a body of knowledge.
3. To integrateand summarize what is knownin an
area.A reviewpulls together and synthesizes
differentresults.A good reviewpointsout areas
whereprior studiesagree,wherethey disagree,
and wheremajor questionsremain.lt collects
whatis knownup to a point in timeandindicates
the directionfor futureresearch.
4. To leamfrom othersandstimulatenewideas.A re-
viewtells what othershavefound so that a re-
searchercan benefitfrom the effortsof others.
A good reviewidentifiesblind alleysand sug-
gestshypotheses for replication.lt divulgespro-
cedures,techniques, andresearch designsworth
copyingso that a researcher can better focus
hypothesesandgainnewinsights.
books,dissertations,governmentdocuments,or
policy reports.They alsopresentthem aspapers
at the meetingsof professionalsocieties,but for
the most part, you can find them only in a col-
legeor universitylibrary.This sectionbriefly dis-
cusseseach type and givesyou a simple road
map on how to access them.
Periodicals. You can find the resultsof social
researchin newspapers, in popular magazines'
 CHAPTER4 / REVI EW I NCTHE SCHO LARLYLI T E R A T U R E
A N D P L A N N I N GA S T U D Y 7l

on televisionor radiobroadcasts, and in Internet It is harder to recognizeseriousopinion

newssummaries,but thesearenot the full, com_ magazines(e.g.,
Americanprospect,Commen_
plete reports of researchrequired to preparea tary, Dissent,andpublic Interesi).Largerbook_
literature review.They are silected,condiensed storesin
major citiessellthem. Leadingscholars
summariespreparedby journalistsfor a general often
write articlesfor opinion magaziiesabout
audience,and they lack many essential"details topics
onwhich theymay alsoconductempirical
neededfor a seriousevaluationof the studv. research(e.g.,
welfarereform,prison expansion,
Textbooksand enryclopediasalsopresentcon_ voter
turnout). Theydiffer in purpose,look, and
densedsummariesas introductions to readers scopefrom
scholarlyjournals of socialscience
who are new to a topic, but, again,thesearein_ researchfindings.The publicationsarean arena
adequatefor preparing a liteiature review be_ where intellectuals
debatecurrent issues,not
causemany essentialdetailsabout the studyare whereresearchers presentfindingsoftheir stud_
absent. iesto the broaderscientificcommunity.
It is easyfor someonepreparinga first liter_
ature review to be confused about the manv Scholarly lournals. Theprimary typeofperiod_
typesof periodicals.With skill, you will be able ical to usefor a literaturereviewis ihe scholarly
to distinguishamong (1) massmarket newspa_ journal filled
with peer-reviewedreports of re_
persald magazines written for the generalpub_ search(e.g.,AmericanSociological
lic, (2) popularizedsocialscience*igurirrer, Reilew,Social
1l; Problems, Ameican lournal if Sociology, Crimi_
opinion magazinesin which intellectualsdebate nology,and
SocialScience euarterly).5ne rarely
and expresstheir views,and ( ) scholarlyacade_ finds them
outsideof collegeand universityli_
mic journals in which researchers preient the braries.Recallfrom Chapter I that researchers
findings of studiesor provide other communi_ disseminate
findingsof new studiesin scholarly
cation to the scientificcommunity. peer_re_ journals.
viewedempirical researchfindings appearin a Somescholarlyjournalsare specialized.
c.ompl9t9form only in the last type of publica_ steadof reports In_
of researchstudies,they have
tion, articlesin the other tlpes occa_ onlybook reviewsthat provide
-although
sionally commentaryand
talk aboutfindingspublishedeisewhere. evaluationson a book (e.g.,
ContemporarySoci_
Mass market publications (e.g.,McCleans, ology),or they
containonly literature..rri"* .r_
Time,Newsweek, Economist,TheNation,Ameri_ says(e.g.,Annual Review
of Sociology,
Annual
canSpectator,and.Atlantic Monthty) are sold at Reviewof Psychology, andAnnual Riiew of An_
newsstands and designedto provide the general thropologlt)in which researchers
public with news,opinion, and entertaiiment. givea ,.stateof
thefield" essayfor others.publicationsthat spe_
A researchermight occasionallyuse them as a cializein literature reviewscan be helpfrrl iian
sourceon current events,but they do not pro_ articlewasrecentlypublishedon a speiific topic
vide full reportsof researchstudiesin the iorm of interest.Many other scholarlyjournalshavea
neededto preparea literaturereview. mix of articlesthat areliteraturereviews,books
Popularizedsocialsciencemagazinesand reviews,reports on researchstudies,and theo_
professionalpublications (e.g., Society and retical
essays.
Psychology Today)aresometimespeerreyiewed. simple solution or ..sealof approval"
Their purposeis to provide the interested,edu_ distinguishes
scholarlyjournals,thekini ofp"U_
catedlay public a simplified versionof findings lications on which to build a seriousliterature
or a commentary,but not to be an outlet for reviewfrom other periodicals,or instantly dis_
original researchfindings.At best,popularized tinguishes
the report on a researchstudy from
social sciencemagazinescu., s.rpplement to other typesof articles.One needsto develoo
other sourcesin a literaturereview judgmentor askexperienced researcherc
o, pro'_
 72 pA RToN E ,/ F o u N D AT to N s
fessionallibrarians.Nonetheless, distinguishing
amongtypesof publicationsis essentialto builJ
on a body of research.One of the bestwaysto
learnto distinguishamongrypesof publicaiions
is to readmany articlesin scholarlylournals.
The number ofjournals variesbyfield. psv_
chologyhas over 400 journals, wheieassociol_
ogy has about 250 scholarlyjournals, political
scienceand communicationhaveslightlyfewer
than sociology,anthropology-archaJology and
socialwork haveabout 100,urban stud[s and
women studieshave about 50, and there are
about-adozenjournals in criminology.Each
publishesfrom a few dozento over tOOarticlesa
year.
M*y, but not all, scholarlyjournalsmay be
viewedvia the Internet. Usually,this is limited to
selectedyearsand to librariesthat paid special
subscriptionfees.A fewInternetservicesprovide
full, exact copies of scholarly iournal articles
overthe Internet.For example,iStOR provides
exact copies,but only for a small number of
scholarlyjournalsand only for pastyears.Other
Internet sewices,suchasEBSCbUbSt, offer a
frrll-text versionof recentarticlesfor a limited
numberof scholarlyjournals,but thevarenot in
the sameformat asa print versionof an article.
This can make it impossibleto find a specific
pagenumber or seean exactcopyof a chart.It is
best.tovisit the library and seewhat a firll_print
version of the scholarly article looks like-.An
addedbenefitis that it makesit easyfor vou to
browsethe Tableof Contentsof the iournals.
canbe very usefulfor generatingnew
llowslng
ideasfor researchtopics, seeingan establ"ished
topic in creativeways,or learninghow to expand
an idea into new areas.Only alinv handful of
new Internet-only scholarlyjournals, callede_
j ournals,presentpeer-reviewed researchstudies
(e.g.,Sociological ResearchOnline, Current Re,
searchin SocialPsychology,andfournal of World
Systems Research).Eventually,the Internet for_
mat may replaceprint versions.But for now, 99
percentof scholarlyjournals are availablein
print form and aboutone-third ofthesearealso
availablein a full-text versionover the Interner
and only then if a library paysfor a specialon_
line subscriptionservice.
Onceyou locatea scholarlyjournal that re_
ports on socialscienceresearchstudies,you need
to makesurethat a particulararticlepresentsthe
resultsof a study, sincethe journal may have
other types of articles.It is easierto identifi.
quantitativestudiesbecausethey usuallyhavea
methods or data sectionand charts,statistical
formulas,and tablesof numbers.eualitative re_
searcharticlesaremore difficult to identifu and
manystudentsconfusethem with theoreticales_
says,literature review articles,idea-discussionI
essays, policy recommendations,book reviews,
and legal caseanalyses.To distinguish among
theseepes requiresa good graspoithe varieties
of researchaswell asexperienceinread.ingmany
articles.
Your collegelibrary hasa sectionfor schol-
arly journals and.magazines, or, in somecases,
theymay be mixedwith books.Look at a map of
library facilitiesor aska librarian to find this iec_
tion. Themostrecentissues,which look like thin
paperbacksor thick magazines, areoften physi_
callyseparatein a "current periodicals"section.
This is doneto storethem temporarilyand make
them availableuntil the libraryreceivesall the is_
suesof a volume.Most oIten,librariesbind all is_
suesof a volume together as a book before
addingthem to their permanentcollections.
Scholarly journals from many different
fields are placed togetherwith popular maga-
zines.All areperiodicals,or serialsin the jargon
of librarians.Thus,you will find popular ma=ga_
zines(e.g.,Time,RoadandTrack,Cosmopoliin,
andAtlantic Monthty) next to journals-foras-
tronomy, chemistry, mathematics,literature,
and philosophyaswell associology,psychology,
socialwork, and education.Somefields have
more scholarlyjournalsthan others.The ,,pure"
academicfieldsusuallyhavemore than the ..ap_
plied" or practicalfieldssuchasmarketingor sL_
cialwork. Thejournalsarelistedby title in a card
catalogor a computerizedcatalogsystem.Li-
brariescanprovideyou with a list of the period-
icalsto which they subscribe.
 C HAPTER4 ,/ REVI EW I N6THE SCHO LARLYLI TE R A T U R E
Scholarlyjournalsarepublishedasrarelyas
oncea-yearor asfrequentlyasweekly.Most ap_
pear four to six times a year. For exampL,
Sociological
Quarterlyappearsfour times uyiur.
To assistin locating articles,librarians and
scholarshave developeda systemfor tracking
scholarlyjournalsand the articlesin them. Each
issueis assigneda date,volume number,and is-
suenumber.This information makesit easierto
locatean article.Suchinformation-along with
detailssuchasauthor,title, and pug.,rurrrter-
is calledan article'scitationand is usedin bibli-
ographies.When a journal is first published,it
beginswith volume l, number l, and continues
increasingthe numbers thereafter.Although
most journals follow a similar system,thereare
enoughexceptionsthat you haveto paycloseat-
tention to citation information. For most iour_
nals,eachvolumeis oneyear.If you seeajournal
issuewith volume 52, for example,it probably
meansthat the journal hasbeenin existencefor
52 years.Most, but not all, journals begintheir
publishingcyclein lanuary.
Most journalsnumberpagesby volume,not
by issue.The first issueof a volume usuallybe-
ginswith page1,andpagenumberingcontinues
throughoutthe entirevolume.For example,tne
first pageofvolume 52,issue4, maybepige 547.
Most journals have an index for eachvolume
anda tableof contentsfor eachissuethat liststhe
title, the author'sor authors'names,and the
pageon which the articlebegins.Issuescontain
asfew as I or 2 articlesor asmany as 50. Most
have8 to 18articles,which may be 5 to 50 pages
long. The articles often have abstracts,ihort
summarieson the first pageof the article or
groupedtogetherat the beginningof the issue.
Many librariesdo not retainphysical,paper
copiesofolderjournals.To savespaceandcosts,
they retain only microfilm versions.Thereare
hundredsof scholarlyjournalsin most academic
fields,with eachcosting$50 to $2,500per year.
Only the largeresearchlibrariessubscribeto all
of them. You may haveto borrow a iournal or
photocopy of an article from a distant library
through an inteilibraryloan seryice,a systemby
A N D P L A N N I N GA S T U D Y 73
which librarieslend booksor materialsto other
libraries.Fewlibrariesallowpeopleto checkout
recentissuesof scholarlyjournals. you should
plan to use thesein the library. Some,not all,
scholarlyjournalsareavailablevia the Internet.
Onceyou find the periodicalssection,wan_
der down the aislesand skim what is on the
shelves.You will seevolumescontainingmany
researchreports.Eachtitle ofa scholarlyiournal
has a call number like that of a regular'library
book. Libraries often arrangethem alphabeti_
cally by title. Becausejournals changetitles, it
may createconfusionif the journal is shelved
underits originaltitle.
Citation Formats. An article,scitation is the
key to locatingit. Supposeyou want to readthe
study by Weitzer and Tuch (2005) on percep_
tions of policemisconductdiscussed in Chapter
2. Its citationis asfollows:
Weitzer,Ronald,and StevenTuch. 2005.
"RaciallyBiasedPolicing:Determinantsof
CitizenPerceptions.
" SocialForces
83:1009-1030.
This tellsyou that you canfind the articlein
an issueof SocialForcespublishedin 2005.The
citationdoesnot providethe issueor month, but
it givesthe volume number, g3, and the page
numbers,1009to 1030.
There are many waysto cite the literature.
Formats for citing literature in the text itself
vary with the internal citation format of using
an author'slastnameand dateof publicationin
parentheses beingverypopular.Thefrrll citarion
appearsin a separatebibliographyor reference
section.Therearemanystylesfor frrll citationsof
journal articles,with books and other types of
works eachhlving a separatestyle.When citing
articles,it is best to checkwith an instructor,
journal, or other outlet for the desiredformat.
Almost all include the namesof authors,article
iitle, journal name,and volume and pagenum-
bers.Beyondthesebasicelements,thire is sreat
variety.Someinclude the authors' first ,ruL.r,
74 PART ONE / FO UNDATI O N5
othersuseinitialsonly. Someincludeall authors,
othersgive only the first one. Someinclude in-
formation on the issueor month of publication,
othersdo not (seeFigure4.1).
Citation formatscangetcomplex.Two ma-
jor referencetools on the topic in socialscience
areChicagoManual of Style,which hasnearly80
pageson bibliographiesand referenceformats,
andAmericanPsychological AssociationPublica-
tion Manual, which devotesabout 60 pages to
the topic. In sociology,theAmericanSociobgical
Reviewstyle,with 2pagesof sryleinstructions,is
widely followed.
Books. Bookscommunicatemanytypesof in-
formation, provoke thought, and entertain.
There are many t)?es of book: picture books,
textbooks,shortstorybooks,novels,popularfic-
tion or nonfiction, religious books, children's
books. and others.Our concernhere is with
thosebooks containing reports of original re-
searchor collectionsof researcharticles.Li-
braries shelve these books and assign call
numbersto them, asthey do with other typesof
books.You can find citation information on
them (e.g.,title, author, publisher)in the li-
brary'scatalogsystem.
It is not easyto distinguisha book that re-
ports on researchfrom other books.You are
more likely to find such books in a collegeor
universitylibrary.Somepublishers,suchasuni-
versitypresses,specializein publishingthem.
Nevertheless, thereis no guaranteedmethodfor
identifuingonewithout readingit.
Sometypesof socialresearcharemorelikely
to appearin book form than others.For exam-
ple,studiesby anthropologists andhistoriansare
more likely to appearin book-lengthreports
than are those of economistsor psychologists.
Yet,someanthropologicaland historicalstudies
arearticles,and someeconomicand psycholog-
ical studiesappearasbooks.In education,social
work, sociology,andpolitical science,the results
of long, complexstudiesmay appearboth in two
or three articlesand in book form. Studiesthat
involve detailedclinical or ethnographicde-
scriptionsand complex theoreticalor philo-
sophicaldiscussions usuallyappearasbooks.Fi-
nally, an author who wantsto communicateto
scholarlypeersand to the educatedpublic may
write a book that bridgesthe scholarly,academic
styleand a popularnonfiction style.
Locatingoriginal researcharticlesin books
canbe difficult becausethereis no singlesource
listing them. Threetypesof books contain col-
lectionsofarticlesor researchreports.Thefirst is
designedfor teachingpurposes.Such books,
calTedreaders,may includeoriginal researchre-
ports.Usually,articleson a topic from scholarly
journalsaregatheredand editedto be easierfor
nonspecialists to readand understand.
The secondtypeof collectionis designedfor
scholarsand may gatherjournal articlesor may
containoriginalresearchor theoreticalessays on
a specifictopic. Somecollectionscontainarticles
from journals that are difficult to locate.They
may includeoriginal researchreports organized
arounda specialized topic. The tableofcontents
liststhe titles and authors.Librariesshelvethese
collectionswith other books,and somelibrary
catalogsystemsincludethem.
Citationsor references to booksareshorter
than articlecitations.They includethe author's
name,book title, year and placeof publication,
and publisher'sname.
Dissertations, All graduatestudentswho re-
ceivethe Ph.D. degreearerequiredto complete
a work of original research,which they write up
asa dissertationthesis.The dissertationis bound
and shelvedin the library of the universitythat
grantedthe Ph.D.About half of all dissertations
areeventuallypublished asbooksor articles.Be-
causedissertationsreport on original research,
they can be valuable sourcesof information.
Somestudentswho receivethe master'sdegree
conduct original researchand write a master's
thesis,but fewermaster'sthesesinvolve serious
research,and theyaremuch more difficult to lo-
catethan unpublisheddissertations.
Specializedindexeslist dissertationscom-
pletedby studentsat accrediteduniversities.For
 A N D P L A N N I N CA S T U D Y
CH A PTER4 ,/ REVIEW I NCTHE SCHO LARLYLI TERA T U R E 75

F lc U R E 4. I Different Reference Citations for a fournal Article

The oldestjournalof sociologyin the UnitedStates, American lournalof Sociolog,reportson a study of vir-
ginity pledgesby PeterBearmanand HannahBUckner. lt appearedon pages859 to 913 of theJanuary
l tw asi nvol umel 05,orthe
2 00 1 issue(n um ber 4) of t he j o u rn a l ,w h i c h b e g i n s c o u n ti ngi ssuesi nMarch.
journal's1 O6th year.Hereare waysto cite the article.Two very popular stylesare thoseof AmericanSocio-
logicalReview(ASR)and AmericanPsychological Association (APA).

ASR Style
Peterand HannahBiickner.
Bearman, the Future:VirginityPledges
200.| . "Promising and FirstIntercourse."
American of
Journal 1
Sociologlr05:859-91 2.

APA Style
P.,and Biickner,
Bearman, the future:Virginitypledgesandfirst intercourse.
H. (2001). Promising Ameican
105, 859-912.
Joumalof Sociolog;r

Other Styles
Bearman, "Promising
P.,and H. Bi.ickner. the Future:VirginityPledgesand FirstIntercourse,"
American
Journal
1 06 (2001 ), 859-912.
of Sociologlr
Bearman,Peterand HannahBilckner, 200.l .
"Promisingthe future:Virginitypledgesandfirst Intercourse."Am.J. of Sociol.
106:859- 912.
Bearman,P.and Bijckner, H. (2001). "Promisingthe Future:VirginityPledges and FirstIntercourse."Anreri-
canJournalof Sociolog1 06 (January): 859-91 2.
Bearman,Peterand Hannah 200,|.
Biickner.
"Promisingthe future:Virginity pledgesand first Intercourse."AmericanJournalof Sociology106
$ ):8 59-9 12.
Bearman, P.and H. Bijckner.(2001 ). "Promisingthe future:Virginitypledgesandfirstintercourse."
American
Journalof Sociolog1 06, 859 -91 2.
PeterBearmanand HannahBtickner,"Promising the Future:VirginityPledgesand FirstIntercourse,"
American
'l 06, no. 4 (2001): 859-912.
Journalof Sociolog

example, Dissertation AbstractsInternationallists search.Many collegeand universitylibraries

dissertations with their authors, titles, and uni-
versities. This index is organized by topic and
contains an abstract of each dissertation. You
can borrow most dissertations via interlibrary
loan from the degree-granting university if the
university permits this.
Government Documents. The federal goyern-
ment of the United States,the governments of
other nations, state- or provincial-level govern-
ments, the United Nations, and other interna-
tional agencies such as the World Bank, all
sponsor studies and publish reports of the re-
havethesedocumentsin their holdings,usually
in a special"governmentdocuments"section.
Thesereportsarerarelyfound in the catalogsys-
tem. You must use specializedlists of publica-
tions and indexes,usuallywith the help of a
librarian, to locate thesereports. Most college
and universitylibrarieshold only the most fre-
quentlyrequesteddocumentsand reports.
Policy Reports and PresentedPapers. A re-
searcherconductinga thoroughreviewofthe lit-
eraturewill examinethesetwo sources,which
are difficult for all but the trained specialistto
76 PART oNE / FoUNDATI oNS

obtain. Researchinstitutesand policy centers Designa Search. After choosinga focusedre-

(e.g.,BrookingsInstitute,Institute for Research searchquestionfor the review,the next stepis to
on Poverty,RandCorporation,etc.)publishpa- plan a searchstrategy.The reviewerneedsto de-
persand reports.Somemajor researchlibraries cideon the type of review,its extensiveness, and
purchasetheseand shelvethem with books.The the tlpes of materialsto include.The keyis to be
only wayto be sureof what hasbeenpublishedis careful,systematic,and organized.Setparame-
to write directlyto the instituteor centerand re- terson your search:how much time you will de-
questa list of reports. voteto it, how far backin time you will look, the
Eachyear, the professionalassociationsin minimum number of researchreportsyou will
academicfields(e.g.,sociology,politicalscience, examine,how many librariesyou will visit, and
psychology)hold annual meetings.Thousands so forth.
of researchers assemble to give,listento, or dis- Also,decidehow to recordthebibliographic
cussoral reports of recentresearch.Most of citation for eachreferenceyou find and how to ?
theseoral reportsareavailableaswritten papers takenotes(e.g.,in a notebook,on 3 X 5 cards,in
to thoseattendingthe meeting.Peoplewho do a computerfile). Developa schedule,becbuse
not attendthe meetingsbut who aremembersof severalvisits are usuallynecessary. You should
the association receivea programof the meeting, begina file folder or computerfile in which you
listing eachpaperto be presentedwith its title, can placepossiblesourcesand ideasfor new
author,and author'splaceof employment.They sources.As the reviewproceeds,it shouldbe-
can write directly to the author and requesta comemore focused.
copy of the paper.Many, but not all, of the pa-
pers are later publishedas articles.The papers Locate ResearchReports. Locating research
may be listed in indexesor abstractservices(to reportsdependson the type ofreport or "outlet"
be discussed). ofresearchbeingsearched. As a generalrule,use
multiple searchstrategiesin order to counteract
How to Conduct a Systematic the limitations of a singlesearchmethod.
Literature Review
Articlesin Scholarlylournals. As discussed ear-
Define and Refinea Topic. Justasa researcher lier, most socialresearchis publishedin schol-
must plan and clearlydefinea topic and research arlyjournals.Therearedozensofjournals,many
questionwhenbeginninga researchproject,you goingbackdecades, eachcontainingmany arti
needto begin a literature reviewwith a clearly cles.The taskofsearchingfor articlescanbe for-
defined,well-focusedresearchquestion and a midable.Luckily, specialized publicationsmake
plan. A good reviewtopic shouldbe asfocused the taskeasier.
as a researchquestion.For example,"divorce" You may have used an index for general
or "crime" is much too broad. A more appro- publications, stch asReader's Guideto Periodical
priate review topic might be "the stability of Literature. Many academic fields have "ab-
familieswith stepchildren"or "economicin- stracts"or "indexes"for the scholarlyliterature
equalityand crime ratesacrossnations."If you (e.g.,Psychological Abstracts,SocialSciences In-
conducta contextreyiewfor a researchproject, dex, Sociological Abstracts,and Gerontological
it shouldbe slightlybroaderthan the specificre- Abstracts).For education-related topics,the Ed-
searchquestionbeingtested.Often,a researcher ucationalResources Information Center(ERIC)
will not finalizea specificresearchquestionfor a systemis especiallyvaluable. Thereareover 100
studyuntil he or shehasreviewedthe literature. suchpublications.You canusuallyfind them in
The reviewhelpsbring greaterfocus to the re- the referencesectionof a library. Many ab-
searchquestion. stractsor indexservices aswell asERICareavail-
 C HA PTER4 ,/ REVIEW I NCTHE SCHO LARLYLI TERA T U R E
able via computer access,which speedsthe
searchprocess.
Abstractsor indexesarepublishedon a reg-
ular basis(monthly, six times ayear, etc.) and
allowa readerto look up articlesby authorname
or subject.The journalscoveredby the abstract
or index arelistedin it, often in the front. An in-
dex, such as the SocialSciences Index, lists only
the citation, whereas an abstract, such as
Sociological Abstracts,lists the citation and hasa
copy of the article'sabstract.Abstractsdo not
giveyou all the findingsand detailsofa research
project.Researchers useabstractsto screenarti-
clesfor relevance,then locatethe more relevant
articles.Abstractsmay alsoinclude paperspre-
sentedat professionalmeetings.
It may sound asif all you haveto do is to go
find the index in the referencesectionof the ii-
braryor on the Internetandlook up a topic.Un-
fortunately,things are more complicatedthan
that. In order to coverthe studiesacrossmany
years,you mayhaveto lookthrough manyissues
ofthe abstractsor indexes.AIso,the subjectsor
topicslistedarebroad.Thespecificresearch ques-
tion that interestsyou may fit into severalsubject
areas.You shouldcheckeachone.For example,
for the topic of illegal drugs in high schools,you
might look up thesesubjects:drug addiction,
drug abuse,substanceabuse,drug laws,illegal
drugs,highschools,andsecondary schools.Many
of the articlesunder a subjectareawill not be rel-
evantfor your literaturereyiew.Also, thereis a 3-
to l2-month time lagbetweenthe publicationof
an article and its appearancein the abstractsor
indexes.Unlessyou are at a major researchli-
brary the most usefrrlarticlemay not be available
in your library. You canobtain it only by usingan
interlibrary loan service,or it may be in a foreign
languagethat you do not read.
The computerizedliterature searchworks
on the sameprinciple asan abstractor an index.
Researchers organizecomputerizedsearchesin
severalways-by author,by articletitle, by sub-
ject, or by keyword.A keywordis an important
term for a topic that is likely to be found in a ti-
tle. You will want to usesix to eightkeywordsin
A N D P L A N N I N CA S T U D Y 77
most computer-based searchesand consider
several synonyms. The computer's searching
method can vary and most only look for a key-
word in a title or abstract. If you choosetoo few
words or very narrow terms, you will miss a lot
of relevant articles. If you choose too many
words or very broad terms, you will get a huge
number of irrelevant articles. The best way to
learn the appropriate breadth and number of
keyr,vordsis by trial and error.
In a study I conducted on how college stu-
dents definesexualharassmen f (Neuman,1992),
I used the following keywords: sexual harass-
ment, sexual assault, harassment,gender equity,
genderfaimess, and sexdiscrimination.I later dis-
covered a few important studies that lacked any
of these keywords in their titles. I also tried the
keywords collegestudent and rape, but got huge
numbers of unrelated articles that I could not
even skim.
There are numerous computer-assisted
search databasesor systems.A person with a
computer and an Internet hook-up can search
some article index collections, the catalogsof li-
braries, and other information sources around
the globe if they are available on the Internet.
All computerized searchingmethods share a
similar logic, but eachhas its own method of op-
eration to learn. In my study, I looked for
sourcesin the previous sevenyears and used five
computerized databasesof scholarly literature:
Social ScienceIndex, CARL (Colorado Area Re-
searchLibrary), Sociofile,Social ScienceCitation
Index, andPsychlit.
Often, the same articles will appear in mul-
tiple scholarly literature databases,but each
database may identifi' a few new articles not
found in the others. For example, I discovered
seyeralexcellent sources not listed in any ofthe
computerized databasesthat had been published
in earlier years by studying the bibliographies of
the relevant articles.
The process in my study was fairly typical.
Basedon mykeyword search,I quickly skimmed
or scanned the titles or abstracts of over 200
sources.From these, I selectedabout 80 articles,
7A PART ON E , / FO UNDATI O NS
reports,and booksto read.I found about 49 of
the 80 sourcesvaluable,and they appearin the
bibliographyof the publishedarticle.
ScholarlyBooks. Finding scholarlybooks on a
subjectcanbe difficult. The subjecttopicsof li-
brary catalogsystemsareusuallyincompleteand
too broad to be usefirl.Moreover,they list only
booksthat arein a particularlibrary system,al-
thoughyou maybe ableto searchother libraries
for interlibrary loan books. Libraries organize
booksby call numbersbasedon subjectmatter.
Again,the subjectmatterclassifications may not
reflectthe subjectsof interestto you or all the
subjectsdiscussed in a book. Once you learnthe
systemfor your library, you will find that most
bookson a topic will sharethe main partsof the
callnumber.In addition,librarianscanhelpyou
locatebooksfrom other libraries.For example,
the Library of Congress National Union Catalog
listsall booksin the U.S.Libraryof Congress. Li-
brarianshaveaccess to sourcesthat list booksat
other libraries,or you can use the Internet.
There is no sure-fire way to locate relevant
books.Usemultiple searchmethods,includinga
look at journalsthat havebook reviewsand the
bibliographiesof articles.
Taking Notes
As you gatherthe relevantresearchliterature, it is
easyto feel overwhelmedby the quantity of in-
formation,soyou needa systemfor takingnotes.
The old-fashionedapproachis to write notes
onto indexcards.You thenshift andsortthenote
cards,placethem in piles, and so forth as you
look for connectionsamongthem or developan
outline for a report or paper.This method still
works. Today,however,most peopleuseword-
processingsoftwareand gatherphotocopiesor
printed versionsof manyarticles.
As you discoversources,it is a good ideato
createtvvokinds of files for your note cardsor
computer documents: a Source File and a
ContentFile.Recordall the bibliographicinfor-
mation for eachsourcein the SourceFile, even
though you may not use someand later erase
them. Do not forgetanythingin a completebib-
liographiccitation,suchasa pagenumber or the
name of the secondauthor; you will regret it
later.It is far easierto erasea sourceyou do not
usethan to try to locatebibliographicinforma-
tion laterfor a sourceyou discoverthat you need
or from which you forgot one detail.
I recommendcreatingtwo kinds of Source
Files,or dividea masterfile into two parts:Hatte
File and Potential File. The Have File is for
sourcesthat you havefound and for which you
havealreadytakencontentnotes.The Potentiaf
File is for leadsand possiblenew sourcesthat
you haveyet to track down or read.You canadd
to the PotentialFile anytimeyou comeacrossa
new sourceor in the bibliographyof something
you read.Towardthe end ofwriting a report,the
PotentialFile will disappearwhile the HaveFile
will becomeyour bibliography.
Your note cardsor computerdocumentsgo
into the ContentFile.This file containssubstan-
tive information of interestfrom a source'usu-
ally its major findings, detailsof methodology,
definitionsofconcepts,or interestingquotes.If
you directlyquotefrom a sourceor want to take
some specificinformation from a source'you
needto record the specificpagenumber(s) on
which the quote appears.Link the files by
putting key sourceinformation, suchasauthor
and date,on eachcontentfile.
What to Record. You will find it much easier
to takeall noteson the sametlpe and sizeof pa-
per or card, rather than having somenoteson
sheetsofpapers,otherson cards,and so on. Re-
searchers haveto decidewhat to recordaboutan
article,book, or othersource.It is betterto err in
the directionof recordingtoo much ratherthan
too little. In general,record the hlpotheses
tested,how major conceptsweremeasured,the
main findings,the basicdesignof the research
the group or sampleused,and ideasfor future
study(seeBox4.2).It is wiseto examinethe re-
port's bibliography and note sourcesthat you
canadd to your search.
 C HAPTER4 ,/ REV I EW I NCTHE SCHO LARLYLI TER A T U R E
1. Readwith a clearpurposeor goal in mind.Are
you readingfor basicknowledge or to applyit to
a specificquestion?
2. Skimthe articlebeforereadingit all.What can
you learnfrom the title, abstract,summarvand
conclusions, and headings? What arethe lopic,
majorfindings,method,and mainconclusion?
3. Consideryour own orientation.What is your
biastowardthe topic,the method,the publica_
tion source,and so on, that may color your
reading?
4. Marshalexternalknowledge.What do you al_
ready know about the topic and the methods
used?Howcredibleis the publicationsource?
5. Evaluate asyou readthe article.Whaterrorsare
present?Do findingsfollowthe data?ls the ar_
ticle consistentwith assumptions of the ap_
proachit takes?
6. Summarize informationas an abstractwith the
topic, the methodsused,and the findings.As_
sessthe factualaccuracyof findingsand cite
questionsabout the article.
Source:
Adapted
fromKatzer, (l 99-|:
Cook,andCrouch
199-207\.
Photocopyingall relevantarticlesor reports
.,.
will saveyou time recordingnotesand will en_
sure that you will have an entire report. Also,
you canmakenoteson the photocopy.Thereare
severalwarningsabout this practici. First, pho_
tocoppng canbe expensivefor a largeliterature
search.Second,be awareofand obeycopyright
l^aws.U.S. copyrightlaws permit photocobt'ng
for personalresearchuse.Third, rememberto
r.1o1d pfotocopy the entirearricle,including
9r
all citation information. Fourth, organizingen_
tire articlescanbe cumbersome,
especially iisev_
eral-differentparts of a singlearticle are being
used.Finally, unlessyou highlight carefullyor
A N D P L A N N I N CA S T U D Y 79
takegood notes,you may haveto rereadthe en_
tire articlelater.
OrganizeNotes. After gatheringa largenum_
ber ofreferencesand notes,you need in o.gu_
nizing scheme. One approach is to group
studiesor specificfindings by skimming-notes
and creatinga mental map of how they"fit to_
gether.Try severalorganizingschemesbefore
settlingon a final one. Organiiing is a skill that
improves with practice. For example,place
notesinto piles representingcommon themes,
or draw charts comparingwhat different re_
ports state about the same question,noting
agreements and disagreements.
In the processof organizingnotes,you will
-
find that somereferencesand notes do not fit
and shouldbe discardedasirrelevant.Also,you
may discovergapsor areasand topics that are
relevantbut that you did not examine.This ne_
cessitatesreturn visitsto the library.
There are many organizingschemes.The
-
best one dependson the p.rrpor. of the review.
Usually,it is best to organizereports around a
specificresearchquestionor around core com_
mon findingsof a field and the main hlpotheses
tested.
Writing the Review
A literaturereviewrequiresplanning and good,
clearwriting, which requiresa lot o?rewrlting.
This stepis often mergedwith organizingnotes.
All the rules of good writing (e.g.,clearirgani_
zationalstructure,an introduction and coiclu_
sion,transitionsbetweensections,etc.)applyto
writing a literaturereview.Keepyour p.r.por",
in mind when you write, and communlicate
clearlyand effectively.
To preparea good review,readarticlesand
other literaturecritically.Recallthat skepticism
is a norm of science.It meansthat you should
not acceptwhat is written simply on the basisof
the authorityof its havingbeenpublished.
eues_
tion what you read, and evaluateit. The first
hurdle to overcomeis thinking somethingmust
beperfectjust becauseit hasbeenpublish"ed.
EO PART ONE / FO UNDATI O NS

Critically readingresearchreports requires sources.The Internet continuesto expandand

skillsthat taketime and practiceto develop.De- changeat an explosiverate.
spitea peer-reviewprocedureand high rejection The Internet hasbeena mixed blessingfor
rates,errorsand sloppylogic slip in. Readcare- socialresearch,but it has not proved to be the
fi.rIlyto seewhetherthe introduction andtitle re- panaceathatsomepeoplefirst thought it might
ally fit with the rest of the article. Sometimes, be. It providesnew and important waysto find
titles,abstracts,or the introduction aremislead- information,but it remainsonetool amongoth-
ing. Theymaynot fully explainthe researchpro- ers.It can quickly make somespecificpiecesof
ject's method and results.An article shouldbe information accessible. For example,from my
logically tight, and all the parts should fit to- homecomputer,I wasableto go to the U.S.Fed-
gether.Stronglogicallinks shouldexistbetween eral Bureauof Prisonsand in lessthan three
partsof the argument.Weakarticlesmakeleaps minuteslocatea tableshowingme that in 1980,
in logic or omit transitionalsteps.Likewise,arti- 139peopleper 100,000 wereincarcerated in the'
cles do not alwaysmake their theory or ap- United States,whereas1n2004(the most recent
proachto researchexplicit.Be preparedto read data available),it was 486 per 100,000.The In-
the article more than once. (SeeFigure 4.2 on ternet is bestthought of asa supplementrather
taking noteson an article.) than asa replacementfor traditional library re-
search,Thereare "up" and "down" sidesto us-
ing the Internet for socialresearch:
What a Good Review Looks Like
An author should communicatea revier,r/spur- TheUp Siile
poseto the readerby its organization.Thewrong
1. The Internet is easy,fast,and cheap.It is
way to write a reviewis to list a seriesof research
widelyaccessible and canbe usedfrom manylo-
reportswith a summaryof the findingsof each.
cations.This near-freeresourceallowspeopleto
This failsto communicatea senseof purpose.It
find sourcematerialfrom almostanywhere-lo-
readsas a set of notesstrungtogether.Perhaps
cal public libraries,homes,labs or classrooms
the reviewergot sloppyand skippedoverthe im-
or anlwherea computeris connectedto the In-
portant organizingstep in writing the review.
ternet system.Also, the Internet doesnot close;
The right way to write a review is to organize
it operates24 hours a day, sevendaysa week.
commonfindingsor argumentstogether.Awell-
With minimal training,most peoplecanquickly
acceptedapproachis to addressthe mostimpor-
perform searchesand get information on their
tant ideasfirst, to logically link statementsor
computer screensthat would have required
findings,andto notediscrepancies or weaknesses
them to take a major trip to large researchli-
in the research(seeBox 4.3for an example).
brariesa fewyearsago.Searchinga vastquantity
of information electronicallyhas alwaysbeen
easierand fasterthan a manual search,and the
USING THE INTERNET FOR Internetgreatlyexpandsthe amount andvariety
SOCIAL RESEARCH of sourcematerial.More and more information
(e.g.,StatisticalAbstractof the United Sitates) is
The Internet (seeBox 4.4) has revolutionized
availableon the Internet. In addition, oncethe
how socialresearchers work. A meredecadeago,
information is located,a researcher can often
it wasrarelyused;today,most socialresearchers
storeit electronicallyor print it at a local site.
usethe Internet regularlyto help them review
the literature, to communicatewith other re- 2. The Internethas"links" that providead-
searchers,and to searchfor other information ditional waysto find and connectto many other
 C HAPTER4 ,/ REV I EW I NGTHE SCHO LARLYTI TER A T U R E
A N D P L A N N I N CA S T U D Y tI

FI G URE 4.2 Exampleof Notes on an Article

FUILCTTATION
ON B|BUOGRAPHY
(SOURCEFIIE)

Bearman,Peter,and HannahBiickner.2001. "Promising the Future: VirginityPledges

and Firstlntercourse."
America
n Journalof SociologSr
10 5 :8 5 9 - 9 12. (January, issue
no.4).

NOTECARD(CONTENTF|LE)

Bearman
and Biickner200.1 Topics: Teenpregnancy& sexuality,
pledges,/promises,
virginity,first sexual
intercourse,
S. Baptists,identitymovement

SinceI 993, the SouthernBaptistChurchsponsoreda movementamongteens

wherebythe teensmakea publicpledgeto remainvirginsuntilmarriage. Over2.5
millionteenshavemadethe pledge.Thisstudyexamines whetherthe pledgeaf-
fectedthe timingof sexualintercourseand whetherpledgingteensdifferfrom
nonpledging teens.Criticsof the movementare uncomfortable with it because
pledgesupportersoften rejectsexeducation,hold an overlyromanticizedviewof
marriage,and adhereto traditionalgenderroles.

Hypothesis
Adolescents will engagein behaviorthat adultsenjoy but that is forbiddento
thembasedon the amountof socialcontrolsthat constrainopportunities to en-
gagein forbiddenbehavior. Teensin nontraditionalfamilies
withgreaterfreedom
and lesssupervision aremorelikelyto engagein forbiddenbehavior(sex).Teens
in traditionalfamiliesand who are closerto their parentswilldelaysexualactiv-
ity. Teenscloselytied to "identitymovements" outsidethe familywillmodifybe-
haviorbasedon normsthe movements teach.

Method
Dataarefroma nationalhealthsurveyof U.S.teensin grades7-12 whowerein
pu bl i cor pr iv at es c hoolsin 1 9 9 4 -1 9 9 5 . A to ta l o f 9 0 ,0 00 studentsi n ' l 4l
schoolscompletedquestionnaires. A secondquestionnaire was completedby
20,000 of the 90,000 students.The questionnaire askedabout a pledge,im-
portanceof religion,and sexualactivity.

Findings
The study found a substantialdelay in the timing of first intercourseamont
pledgers.Yet, the effectof pledgingvariesby the age of the teen.In addition,
pledgingonlyworksin somesocialcontexts(i.e.,whereit is at leastpartiallya so-
cialnorm).Pledgers tend to be morereligious,lessdevelopedphysically,
andfrom
moretraditionalsocialandfamilybackgrounds.
82 PART ON E , / FO UNDATI O NS
Exampleof Bad Review
Sexualharassment hasmanyconsequences. Adams,
Kottke,and Padgitt(1 983) foundthat somewomen
studentssaidthey avoidedtakinga classor working
with certainprofessorsbecauseofthe riskof harass-
ment.Theyalsofoundthat menandwomenstudents
reacteddifferently.Their researchwas a surveyof
I ,000 menandwomengraduateand undergraduate
students.Bensonand Thomson'sstudy in Social
Problems (1 982) lists many problemscreatedby
sexualharassment. In their excellentbook,TheLech-
erousProfessor, Dziechand Weiner ('l 990) give a
long list of difficultiesthat victimshavesuffered.
Researchers study the topic in different ways.
Hunterand McClelland (1 991) conducteda study
of undergraduates at a smallliberalartscollege.They
had a sampleof 300 studentsand studentswere
givenmultiplevignettesthat variedby the reactionof
the victim and the situation.Jaschikand Fretz
(l 991 ) showed90 womenstudentsat a mideastern
universitya videotapewith a classicexampleof sex-
ualharassment by a teachingassistant.Beforeit was
labeledas sexualharassment, few women called it
that. Whenaskedwhetherit wassexualharassment,
98 percentagreed.Weber-Burdin and Rossi(1 982)
replicateda previousstudy on sexualharassment,
only they usedstudentsat the Universityof Massa-
chusetts.They had 59 studentsrate 40 hypotheti-
cal situations.Reilley,Carpenter,Dull,and Bartlett
(1 982) conducteda studyof250 femaleand 1 50
maleundergraduates at the Universityof California
at SantaBarbara. Theyalsohad a sampleof 52 fac-
ulty. Both samplescompleteda questionnaire in
whichrespondents werepresentedvignettesofsex-
ual-harassing situationsthat they were to rate.
Popovichand Colleagues (1 985) createda nine-
item scaleof sexualharassment. Thev studied209
sources of information. Many websites, home
pages, and other Internet resource pages have
"hot links" that can call up information from re-
lated sites or sources simply by clicking on the
undergraduates at a medium-sized universityin
groupsof I 5 to 25. They foun{ disagreementand
confusionamongstudents.
Exampleof Better Review
The victimsof sexualharassment suffera rangeof
consequences, from loweredself-esteem and lossof
self-confidence
to withdrawal fromsocialinteraction
changedcareergoals,and depression(Adams,Kot-,
tke, and P adgi tt,1983; B ensonand Thomson
1982; Dziechand Weiner,1990). For example
Adams,Kottke,and Padgitt(1 983) noted that I 3
percentofwomenstudentssaidthey avoidedtaking
a classor workingwith certainprofessorsbecauseof
the riskof harassment.
Researchinto campussexualharassmenthas
taken severalapproaches. In additionto surveyre:
search,many haveexperimentedwith vignettesor
presentedhypotheticalscenarios(Hunterand Mc-
Clelland,1991 ;Jaschik andFretz,1 991 ; Popovich et
al., 1987; Reilley,Carpenter,Dull, and Barlett,
'l 982; Rossiand
Anderson,1982; Valentine-Fren
andRadtke,I 989;Weber-Burdin andRossi,1 982).
Victimverbalresponsesand situationalfactors.ap-
pearto affectwhetherobserverslabela behavioras
harassment. Thereis confusionoverthe application
ofa sexualharassment labelfor inappropriatebehav-
ior.Forexample,Jaschikand Fretz(1 99.1) foundthat
only 3 percentof the womenstudentsshown,a
videotapewith a classicexampleof sexualharass-
ment by a teachingassistantinitiallylabeledit as
sexualharassmer,rt.Instead,they called it "sexist,"
"rude," "unprofessional," or "demeaning."When
askedwhetherit wassexualharassment, 98 percent
agreed.Roscoeand colleagues(1 987) reported
similarlabeling
difficulties.
link indicator (usuallya button or a highlighted
word or phrase).This connectspeopleto more
information and provides"instant" accessto
cross-referenced material. Links make embed-
 C HA PTER4 / REVIE W I NCTHE SCHO LARLYLI TERA T U R E
The Internetis not a singlethingin one place.Rather,
the Internetis a systemor interconnectedweb of
computersaroundthe world. lt is changingvery
rapidly.I cannotdescribeeverythingon the Internet;
manylargebooksattemptto do that. Plus,evenif I
tried,it wouldbe out of date in sixmonths.The In-
ternetis changing, in a powerfulway,how manypeo-
plecommunicate andshareinformation.
The Internet provideslow-cost (often free),
worldwide, fast communication amongpeoplewith
computersor betweenpeoplewith computersand
informationin the computersof organizations (e.g.,
universities,governmentagencies,businesses).
Thereare specialhardwareand softwarerequire-
ments,but the Internetpotentiallycantransmitelec-
tronicversionsof text material,up to entirebooks,as
wellas photos,music,video,andotherinformation.
To get onto the Internet,a personneedsan ac-
countin a computerthat is connected to the Inter-
net. Most college mainframecomputers are
connected,manybusiness or government computers
areconnected, andindividuals withmodems canpur-
chasea connectionfrom an Internetserviceorovider
that providesaccessover telephonelines,special
DSLlines,or cabletelevision lines.Inadditionto a mi-
crocomputer,the personneedsonly a little knowl-
edgeaboutusingcomputers.
ding one source within a network of related
sourceseasy.
3. The Internet speedsthe flow of informa-
tion around the globe and has a "democratizing"
effect. It provides rapid transmission of infor-
mation (e.g.,text, news, data, and photos) across
long distances and international borders. In-
stead of waiting a week for a report or having to
send offfor a foreign publication and wait for a
month, the information is often availablein sec-
onds at no cost. There are virtually no restric-
tions on who can put material on the Internet or
what appearson it, so many people who had dif-
A N D P L A N N I N CA S T U D Y 83
ficulty publishingor disseminatingtheir materi-
alscannow do sowith ease.
4. The Internet is the provider of a very
wide rangeof information sources,somein for-
mats that are more dynamic and interesting.It
can send and be a resourcefor more than
straight black and white text, as in traditional
academicjournals and sources.It transmitsin-
formation in the form of bright colors,graphics,
"action" images,audio (e.g., music, voices,
sounds),photos,and video clips.Authors and
other creatorsof information canbe creativein
their presentations.
TheDownSide
1. Thereis no qualitycontrol overwhat gets
on the Internet.Unlike standardacademicpub-
lications,thereis no peer-reviewprocessor any
review.Anyone can put almost ani,thing on a
website.It maybe poor quality,undocumented,
highly biased,totally madeup, or plain fraudu-
lent. Thereis a lot of real"trash" out there!Once
a personfinds material,the real work is to dis-
tinguish the "trash" from valid information.
Oneneedsto treat a webpagewith the samecau-
tion that one appliesto a paper flyer someone
handsout on the street;it could containthe dri-
vel of a "nut" or be reallyvaluableinformation.
A lessseriousproblemis that the "glitz" ofbright
colors,music, or moving imagesfound in sites
can distract unsophisticatedusers.The " glitz"
may attract them more than seriouscontent,
and they may confuseglitz for high-caliberin-
formation. The Internet is better designedfor a
quick look and short attentionspansratherthan
the slow,deliberative,carefulreadingand stuoy
ofcontent.
2. Many excellentsourcesand someof the
most important resourcematerials(research
studiesand data) for social researchare not
availableon the Internet (e.g.,Sociofile,GSS
datafiles,and recentjournal articles).Much in-
formation is availableonly through specialsub-
scription services that can be expensive.
84 PART oNE , / FoUNDATI oNS
Contrary to popular belief, the Internet has not
made all information free and accessible to
everyone. Often, what is free is limited, and
firller information is available only to those who
pay. In fact, because some libraries redirected
funds to buy computers for the Internet and cut
the purchasesfor books and paper copies ofdoc-
uments, the Internet's overall impact may have
actually reduced what is availablefor some users.
3. Finding sources on the Internet can be
very difficult and time consuming. It is not easy
to locate specific source materials. Also, different
"search engines" can produce very different re-
sults. It is wise to use multiple search engines
(e.g., Yahoo, Excite, and Google), since they
work differently. Most search engines simply
look for specific words in a short description of
the webpage.This description maynot revealthe
fiJl content of the source, just as a title does not
frrlly tell what a book or article is about. In addi-
tion, search engines often come up with tens of
thousands of sources,far too many for anyone to
examine. The ones at the "top" may be there be-
causethey were recently added to the Internet or
becausetheir short description had severalver-
sions of the searchword. The "best" or most rel-
evant source might be buried as the 150th item
found in a search. Also, one must often wade
through a lot of commercials and advertise-
ments to locate "real" information.
4. Internet sources can be "unstable" and
difficult to document. After one conducts a
searchon the Internet and locateswebpageswith
information, it is important to note the specific
"address" (usually it starts http:i/) where it re-
sides.This addressrefers to an electronic file sit-
ting in a computer somewhere. If the computer
file is moved, it may not be at the same address
two months later. Unlike a journal article that
will be stored on a shelf or on microfiche in hun-
dreds of libraries for many decadesto come and
available for anyone to read, webpages can
quickly vanish. This means it may not be possi-
ble to check someone's web referenceseasily,
verifr a quote in a document, or go back to orig-
inal materials and read them for ideasor to build
on them. Also, it is easyto copy, modifr, or dis-
tort, then reproduce copies ofa source. For ex-
ample, a person could alter a text passageor a
photo image then create a new webpage to dis-
seminate the falseinformation. This raisesissues
about coplright protection and the authenticity
of source material.
There are few rules for locating the best sites
on the Internet-ones that have useful and
truthful information. Sources that originate at
universities, research institutes, or government
agencies usually are more trustworthy for re-
search purposes than ones that are individual
home pagesof unspecified origin or location, or
that a commercialorganization or a politicaliso-
cial issue advocacy group sponsors. In addition
to moving or disappearing, many webpages or
sourcesfail to provide complete information to
make citation easy.Better sourcesprovide fuller
or more complete information about the author,
date, location, and so on.
As you prepare a review of the scholarly lit-
erature and more narrowly focus a topic, you
should be thinking about how to design a study.
The specifics of design can vary somewhat de-
pending on whether your study will primarily
employ a quantitative-deductive-positivist ap-
proach or a qualitative-inductive-interpretive/
critical approach. The two approacheshave a
great deal in common and mutually comple-
ment one another, but there severalplaceswhere
"branches in the path" of designing a study di-
verge depending on the approach you adopt.
QUALITATIVE AND
QUANTITATIVE ORI ENTATION S
TOWARD RESEARCH
Qualitative and quantitative researchdiffer in
manyways,but they complementeachother,as
well. All socialresearcherssystematically collect
and anallze empirical data and carefirlly exam-
ine the patternsin them to understandand ex-
plain sociallife. One of the differencesbefiveen
 CHAPTER4 /
R EVI EW I NCTHE SCHO LARLYLI T E R A T U R E
the two stylescomes from the nature of the data.
Soft data, in the form of impressions,words, sen-
tences, photos, symbols, and so forth, dictate
different research strategies and data collection
techniques thanhard data, inthe form of num-
bers. Another difference is that qualitative and
quantitative researchersoften hold different as-
sumptions about social life and have different
objectives. These differences can make tools
used by the other sryle inappropriate or irrele-
vant. People who judge qualitative research by
standards ofquantitative researchare often dis-
appointed, and vice versa.It is best to appreciate
the strengths each style offers.
To appreciatethe strengths ofeach style, it is
important to understand the distinct orienta-
tions of researchers.Qualitative researchersof-
ten rely on interpretive or critical social science,
follow a nonlinear researchpath, and speak a
language of "casesand contexts." They empha-
size conducting detailed examinations of cases
that arise in the natural flow of social life. They
usually try to present authentic interpretations
that are sensitive to specific social-historical
contexts.
Almost all quantitative researchersrely on a
positivist approach to social science.They follow
a linear researchpath, speaka language of"vari-
ables and hypotheses," and emphasize precisely
measuring variables and testing hypothesesthat
are linked to general causalexplanations.
Researcherswho use one style alone do not
always communicate well with those using the
other, but the languagesand orientations ofthe
styles are mutually intelligible. It takes time and
effort to understand both srylesand to seehow
they can be complementary.
Linear and Nonlinear Paths
Researchersfollow a path when conducting re-
search.The path is a metaphor for the sequence
of things to do: what is finished first or where a
researcherhas been, and what comes next or
where he or she is going. The path may be well
worn and marked with signposts where many
A N D P L A N N I N GA S T U D Y
85
other researchershave trod. Alternatively, it may
be a new path into unknown territory where few
others have gone, and without signsmarking the
direction forward.
In general, quantitative researchersfollow a
more linear path than do qualitative researchers.
Alinear researchpath follows a fixed sequenceof
steps;it is like a staircaseleading in one clear di-
rection. It is a way of thinking and a way of look-
ing at issues-the direct, narrow, straight path
that is most common in western European and
North American culture.
Qualitative research is more nonlinear and
cyclical. Rather than moving in a straight line, a
nonlineqr researchpath makes successivepasses
through steps,sometimes movingbackward and
sidewaysbefore moving on. It is more of a spiral,
moving slowly upward but not directly. With
eachcycle or repetition, a researchercollectsnew
data and gains new insights.
People who are used to the direct, linear ap-
proach maybe impatient with a lessdirect cycli-
cal path. From a strict linear perspective, a
cyclical path looks inefficient and sloppy. But the
diffuse cyclical approach is not merely disorga-
nized, undefined chaos.It can be highly effective
for creating a feeling for the whole, for grasping
subtle shades of meaning, for pulling together
divergent information, and for switching per-
spectives.It is not an excuse for doing poor-
quality research,and it has its own discipline and
rigor. It borrows devicesfrom the humanities
(e.g., metaphor, analogy, theme, motif, and
irony) and is oriented toward constructing
meaning. A cyclical path is suited for tasks such
astranslating languages,where delicate shadesof
meaning, subtle connotations, or contextual dis-
tinctions can be important.
Preplanned and Emergent Research
Questions
Your first stepwhen beginninga researchproj-
ect is to selecta topic. There is no formula for
this task.Whetheryou are an experienced re-
searcheror just beginning,the bestguideis to
86 PART o NE / FoUNDATI oNS
conductresearchon somethingthat interests
you.
All researchbeginswith a topic but a topic is
only a startingpoint that researchers must nar-
row into a focusedresearchquestion.Qualita-
tive and quantitativeresearchers tend to adopt
to turn a topic to a focused
differentapproaches
researchquestionfor a specificstudy. Qualita-
tive researchers often begin with vagueor un-
clear researchquestions.The topic emerges
slowly during the study. The researchers often
combinefocusingon a specificquestionwith the
processof decidingthe detailsof study design
that occurs while they are gathering data. By
contrast,quantitativeresearchers narrow a topic
into a focusedquestion as a discreteplanning
stepbeforeth ey finalizestudydesign.Theyuseit
asa stepin the processof developinga testable
hypothesis(to be discussedlater) and to guide
the studydesignbeforethey collectany data'
The qualitative researchstyle is flexible and
encourages slowlyfocusingthe topic throughout
a study.In contrastto quantitativeresearch,only
a smallamount of topic narrowingoccursin an
early researchplanning stage,and most of the
narrowingoccursaftera researcher hasbegunto
collectdata.
The qualitativeresearcher beginsdatagath-
ering with a generaltopic and notions of what
will be relevant.Focusingand refining contin-
uesafterhe or shehasgatheredsomeof the data
and startedpreliminaryanalysis.Qualitativere-
searchers useearlydatacollectionto guidehow
theyadjustand sharpenthe researchquestion(s)
becausethey rarelyknow the most important is-
suesor questionsuntil after they becomefully
immersedin the data.Developinga focusedre-
searchquestionis a part of the data collection
process,during which the researcher activelyre-
flects on and developspreliminary interpreta-
tions. The qualitative researcheris open to
unanticipateddata and constantlyreevaluates
the focusearlyin a study.He or sheis prepared
to changethe direction of researchand follow
newlinesof evidence.
Typical researchquestionsfor qualitative
researchers include:How did a certaincondition
or social situation originate?How is the condi-
tion/situation maintained over time?What are
the processes by which a condition/situation
changes, develops, or operates? A difFerenttype
ofquestion triesto confirm existingbeliefsor as-
sumptions. A last type of question tries to dis-
cover new ideas.
Researchprojectsare designedaround re-
searchproblemsor questions.Beforedesigninga
project,quantitativeresearchers focuson a spe-
cific research problem within a broad topic. For
example, your personal experience might sug-
gestlabor unions asa topic. "Labor unions" is a
topic, not a researchquestionor a problem. In
any large library, you will find hundreds of
booksand thousandsof articleswritten by soci-
ologists,historians,economists,management
officials, political scientists, and others on
unions.Thebooksand articlesfocuson different
aspectsof the topic and adoptmanyperspectives
o.r it. B.fot" proceedingto designa research
project, you must narrow and focus the topic.
An exampleresearchquestion is, "How much
did U.S.labor unions contributeto racial in-
equalityby creatingbarriers to skilled jobs for
African Americansin the post-World War II
period?"
When startingresearchon a topic, askyour-
self:What is it aboutthe topic that is of greatest
interest?For a topic aboutwhich you know little,
first get background knowledge by reading
about it. Researchquestionsrefer to the rela-
tionships among a small number of variables.
Identify a limited number of variablesand spec-
ifi' the relationshipsamongthem'
A researchquestionhasoneor a smallnum-
ber of causalrelationships.Box 4.5 lists some
waysto focus a topic into a researchquestion.
For example'the question,"What causesdi-
vorce?"is not a goodresearchquestion.A better
researchquestionis, "Is ageat marriageassoci-
ated with divorce?"The secondquestion sug-
geststwo variables:ageof marriageand divorce.
 LH APTER 4 ,/ REVI EW I NCTHE SCHO LARLYLI TE R A T U R E
1. Examine the literature.publishedarticlesare an
excellentsourceof ideasfor research questions. tions,
areusuallyat an appropriateleveiof speci_
]hey
ficity and suggestresearchquestionsthat focus
on the following:
a. Replicate a previousresearchprojectexactly
or with slightvariations.
b. Exploreunexpectedfindingsdiscoveredin
previousresearch.
c. Followsuggestions an authorgivesfor future
researchat the end of an article.
d. Extendan existingexplanation or theoryto a
newtopic or setting.
e. Challenge findingsor attemptto refutea re_
lationship.
f. Specifythe intervening processandconsider
linkingrelations.
2. Talkoverideaswithothers.
a. Ask peoplewho are knowledgeable about
the topic for questionsabout it that thev
havethought of.
b. Seekout thosewho hold opinionsthat differ
fromyourson the topic anddiscusspossible
researchquestionswith them.
3. Applyto a specificcontext.
a. Focusthe topic onto a specifichistoricalpe_
riod or time period.
b. Narrowthe topic to a specificsocietyor ge_
ographicunit.
c. Considerwhichsubgroupsor categoriesof
people,/units areinvolvedandwhetherthere
are differences amongthem.
4. Definetheaimor desiredoutcomeof thestudy.
a. Will the researchquestionbe for an ex_
ploratory,explanatory,or descriptivestudy?
b. Will the study involveappliedor basicre_
search?
A N D P L A N N I N CA S T U D Y 87
Another technique for focusing a research
question is to specify the uniyerseto which the
answer to the question can be generalized.All re_
search questions, hypotheses,and studies apply
to some group or category of people, orgunbu_
or other units. The universeis the set of alt
units that the researchcovers, or to which it can
be generalized.For example,your researchques_
tion is about the ef[ectsof a new attendance ool_
icy on learning by high school students.The
universe, in this case,is all high school students.
\Mhen refining a topic into a researchques_
tion-and designing a research project, yor-ralso
need to consider practical limitations. Designing
a perfect researchproject is an interestingicad_
emic€xercise, but if you expect to carry out a re_
searchproject, practical limitations wijl have an
impact on its design.
Major limitations include time, costs,access
to resources, approval by authorities, ethical
concerns, and expertise. Ifyou have 10 hours a
week for five weeks to conduct a research Droi_
ect, but the answer to a research question will
take five years,reformulate the researchquestion
more narrowly. Estimating the amount of time
required to answer a research question is difE_
cult.'The research question spicified, the re_
search technique used, and the type of data
collected all play significant roles. ixperienced
researchersare the best source ofgood estimates.
Cost is another limitation. As with time,
there are inventive ways to answer a question
within limitations, but it may be impoisible to
answ€r some questions because of the expense
involved. For example, a research question
about the attitudesof all sports fans toward their
team mascot can be answered only with a great
investment of time and money. Narrowin! the
researchquestion to how students at two dfuer_
ent collegesfeel about their mascotsmight make
it more manageable.
Accessto resourcesis a common limitation.
Resources can include the expertise of others,
specialequipment, or information. For example,
a research question about burglary rates and
 family income in many different nations is al-
most impossibleto answerbecauseinformation
on burglaryandincomeis not collectedor avail-
ablefor most countries.Somequestionsrequire
the approvalof authorities(e.g.,to seemedical
records)or involveviolatingbasicethicalprinci-
ples(e.g.,causingseriousphysicalharm to a per-
son to seethe person'sreaction).The expertise
or backgroundof the researcher is alsoa limita-
tion. Answeringsome researchquestionsin-
volvesthe use of data collectiontechniques,
statisticalmethods,knowledgeof a foreignlan-
guage,or skillsthat the researcher
may not have.
Unlessthe researchercan acquirethe necessary
training or canpayfor anotherperson'sservices,
the researchquestionmay not be practical.
In summary stylesof qualitativeand quan-
titative researchers
havemuch in common, but
the researchers often differ on designissues,
suchastakinga linearor nonlinearresearch path
and developinga researchquestion (seeTable
TA B T E 4. ' I QuantitativeReasearch
versusQualitativeResearch
Test hypothesisthat the researcher
beginswith.
Conceptsare in the form of distinctvariables.
Measuresare systematically
createdbeforedata
collectionandarestandardized.
Dataare in the form of numbersfrom precise
measuremenL
Theoryis largelycausaland is deductive.
Procedures
are standard,and replicationis
assumeo.
Analysisproceedsby usingstatistics,tables,or
chartsand discussing
how what they showrelates
to hypotheses.
4.1).In addition,researcherstend to adopta dif-
ferent languageand approachto study design,
which we will considernext.
QUALITATIVE DESIGN ISSUES
The Languageof Casesand Contexts
Qualitativeresearchers use a languageof cases
and contexts,examinesocialprocesses and cases
in their socialcontext, and look at interpreta-
tions or the creationof meaningin specificset-
tings. They try look at sociallife from multiple
points ofview and explainhow peopleconstruct
identities.Only rarely do they usevariablesor
testhypotheses, or try to convertsociallife into
numbers.
Qualitativeresearchers seemost areasand
activitiesof sociallife asbeingintrinsicallyqual-
itative.To them, qualitativedataarenot impre-
cise or deficient; they are highly meaningful.
Captureand discovermeaningoncethe researcher
becomesimmersedin the data.
Conceptsare in the form of themes,motifs,
generalizations,
and taxonomies.
Measures arecreatedin an ad hoc mannerand are
often specificto the individualsettingor
researcher.
Dataare in the form of wordsand imagesfrom
documents,observations, and transcripts.
Theorycan be causalor noncausaland is often
inductive.
Research proceduresare particular,and replication
is very rare.
Analysisproceedsby extractingthemesor
generalizations
from evidenceand organizingdata
to presenta coherent,consistentpicture.
 C HAPTER4 ,/ REVI EW I NCTHE SCHO LARLYLI TER A T U R E
A N D P L A N N I N CA S T U D Y 89

Insteadof trying to convertsociallife into vari- car's license number before proceeding?After
ablesor numbers,qualitativeresearchers borrow radioing the car's location, does the officer ask
ideasfrom the peoplethey studyand placethem the motorist to get out of the car sometimes, but
within the contextof a natural setting.They ex- in others casually walk up to the car and talk to
aminemotifs,themes,distinctions,and ideasin- the seateddriver? When data collection and the_
steadofvariables,and they adopt the inductive orizing are interspersed, theoretical questions
approachof groundedtheory. arise that suggestfuture observations, so new
Somepeoplebelievethat qualitativedataare data are tailored to answer theoretical questions
"soft," intangible,and immaterial.Suchdataare that came from thinking about previorri dutu.
so fuzzy and elusivethat researchers cannot re-
ally capturethem. This is not necessarily the
case.Qualitativedata are empirical.They in- The Context ls Critical
volve documentingreal events,recordingwhat Qualitativeresearchers
emphasize
the social
peoplesay(with words,gestures, and tone),ob- contextfor understandingthe socialworld. They
servingspecificbehaviors,studyingwritten doc_ hold that the meaningof a socialactionor state_
uments,or examiningvisual images.Theseare ment depends,in an important way,on the con-
all concreteaspectsof the world. For example, text in which it appears.When a researcher
some qualitativeresearchers take and cloiely removesan event,socialaction, answerto a
scrutinizephotosor videotapes ofpeopleor so- question,or conversationfrom the socialcon_
cial events.This evidenceis just as "hird,, and text in which it appears,or ignoresthe context,
physicalasthat usedby quaniitativeresearchers socialmeaningand significancearedistorted.
to measureattitudes,social pressure,intelli_ Attention to socialcontext meansthat a
gence,and the like. qualitativeresearcher noteswhat camebeforeor
what surroundsthe focus of study. It also im_
Grounded Theory pliesthat the sameeventsor behaviorscanhave
different meaningsin different culturesor his_
A qualitativeresearcherdevelopstheory during torical eras.For example,insteadof ignoringthe
the datacollectionprocess.This more inductive context and counting votesacrosstime or cul_
method meansthat theory is built from dataor tures)a qualitativeresearcherasks:What does
groundedin the data.Moreover,conceptualiza- voting meanin the context?He
or shemay treat
tion and operationalizationoccur simultane- the samebehavior(e.g.,voting for presidential
a
ouslywith datacollectionand preliminarv dara candidate)differently depending
on the social
analysis.It makesqualitative iesearchflexible context in which it occurs. eualitative re-
and letsdataand theoryinteract.eualitative re- searchersplaceparts of sociallife into a larger
searchers remain open to the unexpected,are whole. Otherwise,the meaningof the part niay
willing to changethe direction or focusof a re- be lost. For example,it is hard to understand
searchproject, and may abandontheir original what a baseballgloveis without knowins some-
researchquestionin the middle of a project. thing about the gameof baseball.the r.,iholeof
A qualitativeresearcherbuilds theory by the game-innings, bats,curveballs,hits-gives
making comparisons.For example,when a re- meaningto eachpart, and eachpart without the
searcherobservesan event(e.g.,a police officer wholehaslittle meaninc.
confrontinga speeding motorist),he or sheim-
mediatelypondersquestionsand looks for sim-
ilaritiesand differences.
When watchinga police The Case and Process
officer stop a speeder,a qualitative researcher In quantitativeresearch,casesare usually
the
asksjDoesthe police officer alwaysradio in the sameasa unit of analysis,or the unit on which
variablesaremeasured(discussed tative researchergivesmeaningby rearranging,
later). Quan-
titativeresearchers typically measure examining,and discussingtextualor visualdata
variablesof
their hypotheses across many cases. in a way that conveysan authenticvoice,or that
For exam-
ple,ifa researcher conducts a survey of450remainstrue to the original understandingsof
indi-
viduals. each individual is a case or the peopleand situationsthat he or shestudied.
unit on
which he or she measures variables. QualitativeInsteadof relying on charts,statistics,and
researchers tend to use a "case-orientedap- displaysof numbers,qualitativeresearchers put
proach [that] placescases,not variables,center a greater emphasison interpreting the data.
stage"(Ragin,1992:5).They examinea wide va- Their data are often "richer" or more complex
riety ofaspectsofone or a fewcases. and full of meaning.The qualitativeresearcher
Their analy-
sesemphasize contingencies in "messy'' interpretsto "translate"or make the originally
natural
settings (i.e.,the co-occurrence of many gathereddata understandableto other people.
specific
factorsand eventsin oneplaceandtime). Expla- th" pro..tt of qualitativeinterpretationmoves '
nationsor interpretationsarecomplexand may through threestagesor levels.
be in the form of an unfoldingplot or a narrative A researcherbeginswith the point of view
story about particularpeopleor specificevents. of the peoplehe or sheis studying,and the re-
Rich detail and astuteinsight into the casesre- searcherwants to graspfully how they seethe
placethe sophisticatedstatisticalanalysisofpre- world, how they define situations,or what
cisemeasuresacrossa huge number of units or thingsmeanto them.Aflrst-orderinterpretation
casesfound in quantitativeresearch. containsthe inner motives,personalreasons
The passage and point of view of the peoplewho are being
of time is integralto qualitative
research.Qualitativeresearchers studiedin the originalcontext.As the researcher
look at the se-
quenceofeventsand pay attention discoversand documentsthis first-order inter-
to what hap-
pens first, second,third, and so pretation, he or sheremainsone stepremoved
on. Because
qualitative researchersexamine samecaseor
the from it. The researcher offersasecond-order in-
set of casesover time, they can seean issue terpretation,which is an acknowledgmentthat
evolve,a conflict emerge,or a socialrelationshiphowevermuch a researchertries to get very
develop.The researchercan detectprocessand closeand "under the skin" of thosehe or sheis
causalrelations. studying,a researcheris still "on the outside
In historicalresearch,the passage lookingin." In the second-order
of time interpretation
may involveyearsor decades. In field the researchertries to elicit an underlying co-
research'
the passageof time is shorter.Nevertheless, herenceor senseof overallmeaningin the data.
in
both, a researcher noteswhat is occurring To reach an understandingof what he or she
at dif-
ferent points in time and recognizesthat when seesor hears,a researcheroften placesthe data
somethingoccursis often important. into a context of the larger flow of eventsand
behaviors.A qualitativeresearcherwill often
moveto the third stepand link the understand-
Interpretation ing that he or sheachievedto larger concepts
Interpretationmeansto assignsignificance or a generalizations, or theories.The researchercan
coherentmeaning to something.Quantitative share this broader interpretationwith other
and qualitativeresearchers both interpret data, people who are unfamiliar with the original
but they do so in differentways.A quantitative data, the people and events studied,or the social
researchergivesmeaningby rearranging, exam- situations observed by the researcher.This level
ining, and discussingthe numbers by using of meaning translates the researcher's o$ryIun-
chartsand statisticsto explainhow patterns in derstanding in a way that communica-
facilitates
the datarelateto the researchquestion.A quali- tion with peoplewho aremore distantfrom the
 L'\ T / IF It 5 L HOL ARL Y L IT ERA TU R E A N D P LA N N IN C
^ E V IEWII\.,
original source, and it represents a third_order
interpretation.
QUANTITATIVE DESIGN ISSUES
The Languageof Variables and
Hypotheses
Variation and Variables. The variable is a
centralideain quantitativeresearch.Simplyde_
fined,a variableis a conceptthat varies.Cj"anti_
tative researchusesa languageofvariablesand
relationshipsamongvariablei.
In Chapter2,you learnedabouttwo types
.
of concepts:thosethat refer to a fixed phenlm_
enon (e.g.,the idealtype ofbureaucracy)and
thosethat vary in quantity,intensity,or amount
(e.g.,amountof education).Thesecondtl,peof
conceptand measuresof the conceptsare vari_
ables.Variablestake on two o, values.
Once you begin to look for them,-or" you will see
variableseverywhere.For example,genderis a
variable;it can take on two values:male or fe_
male.Marital statusis a variable;it can take on
the valuesof nevermarried single,married,di_
vorced,or widowed.Typeof crimecommittedis
a variable;it cantakeon valuesofrobbery, bur_
glary theft,murder,and soforth. Familyincome
is a variable;it can take on valuesfrom zero to
billions of dollars.A person'sattitude toward
abortion is a variable;it canrangefrom strongly
favoling legalabortion to stronglybelieving"in
antiabortion.
Thevaluesor the categories ofa variableare
its attributes.It is easyto confusevariableswith
attributes.Variablesand attributesare related,
but they havedistinct purposes.The confusion
arisesbecausethe attribute of one variablecan
itself becomea separatevariablewith a slight
changein definition. The distinction is betwJen
conceptsthemselves that vary and conditions
within conceptsthat vary. For example,..male,'
is not a variable;it describes a categoryofgender
and is an attribute of the variable;,gendei,'yet,
a relatedidea,"degreeof masculiniw,"is a vari_
A S TU D Y 9l
able. It describesthe intensity or strength ofat_
tachment to attitudes, beliefs, and beha=viorsas_
sociated with the concept of masculinewithin a
culture. "Married" is not a variablq it is an at_
tribute of the variable .,marital status.,' Related
ideas such as "number of years married" or
"depth of commitment to a marriage,' are
vari_
ables. Likewise, "robbery', is not a vlariable;it is
an attribute of the variable ..type of crime.,,
"Number of robberies,,' ,,-^bbaay rate,,,
"amount taken during a robbery', .,type
anj of
robbery" are all variables because thev varv or
take on a range ofvalues.
Quantitative researchersredefine concepts
of interest into the language of variables. As the
examples of variables and attributes illustrate,
slight changesin definition changea nonvariable
into a variable concept. As you siw in Chapter 2,
concepts are the building blocks of theory; thev
organize thinking about the social world. Cleai
concepts with careful definitions are essentialin
theory.
Types of Variables. Researcherswho focus on
causalrelations usuallybegin with an efi[ect,then
searchfor its causes.Variables are classifiedinto
three basic types, depending on their location in
a causal relationship. The causevariable, or the
one that identifies forces or conditions that act
on something else, is the independent variable.
The variable that is the effect or is the result or
outcome of another variable is the de\endenr
variable. The independent variable is ..indepen_
dent of'prior causesthat act on it, whereasthe
dependent variable "depends on,, the cause.
It is not always easyto determine whether a
variable is independent or dependent. Two
questions help you identifr the independent
variable. First, does it come before otlier vari_
ables in time? Independent variables come be_
fore any other tipe. Second, if the variables
occur at the same time, does the author suggest
that one variablehas an impact on unoth.rilr,_
able?Independent variablesaffect or have an im_
pact on other variables.Researchtopics are often
phrased in terms of the dependent variables be_
92 PART o NE / FoUNDATI oNS
causedependent variables are the phenomenon
to be explained. For example, suppose a re-
searcherexamines the reasonsfor an increasein
the crime rate in Dallas, Texas; the dependent
variable is the crime rate.
A basic causal relationship requires only an
independent and a dependent variable. A third
tlpe of variable, the intervening variabla appears
in more complex causal relations. It comes be-
tween the independent and dependent variables
and shows the link or mechanism between them.
Advancesin knowledge depend not only on doc-
umenting cause-and-effect relationships but
also on specifring the mechanisms that account
for the causalrelation. In a sense,the intervening
variable acts asa dependent variable with respect
to the independent variable and acts as an inde-
pendent variable toward the dependent variable.
For example, French sociologist Emile
Durkheim developed a theory of suicide that
specified a causal relationship between marital
status and suicide rates. Durkheim found evi-
dence that married people are lesslikely to com-
mit suicide than single people. He believed that
married people have greater social integration
(i.e., feelings of belonging to a group or family).
He thought that a major causeof one type of sui-
cide was that people lacked a senseof belonging
to a group. Thus, his theory can be restated as a
three-variable relationship: marital status (inde-
pendent variable) causesthe degree of social in-
tegration (intervening variable), which affects
suicide (dependent variable). Specifying the
chain of causality makes the linkages in a theory
clearer and helps a researcher test complex ex-
planations.l
Simple theories have one dependent and
one independent variable, whereascomplex the-
ories can contain dozens ofvariables with multi-
ple independent, intervening, and dependent
variables. For example, a theory of criminal be-
havior (dependent variable) identifies four inde-
pendent variables: an individual's economic
hardship, opportunities to commit crime easily,
membership in a deviant subgroup of society
that does not disapprove of crime, and lack of
punishmentfor criminal acts.A multicauseex-
planationusuallyspecifiesthe independentvari-
ablethat hasthe greatestcausaleffect.
A complextheoreticalexplanationcontains
a string of multiple interveningvariablesthat are
linked together.For example'family disruption
causes lower self-esteem amongchildren,which
causesdepression,which causespoor gradesin
school,which causesreducedprospectsfor a
good job, which causesa lower adult income.
The chain of variablesis: family disruption (in-
dependent),childhood self-esteem(interven-
!
ing), depression(intervening),gradesin school
(intervening),job prospects(intervening)'adult
income(dependent).
Two theorieson the sametopic may have
differentindependentvariablesor predictdiffer-
ent independentvariablesto be important. In
addition,theoriesmay agreeaboutthe indepen-
dent and dependentvariablesbut differ on the
interveningvariableor causalmechanism.For
example,two theoriessaythat family disruption
causes lower adult income,but for differentrea-
sons. One theory holds that disruption encour-
ages children to join deviantpeergroupsthat are
not socialized to norms of work and thrift.
Another emphasizes the impact of the disrup-
tion on childhood depression and poor acade-
mic performance, which directly affect job
performance.
A singleresearchprojectusuallytestsonly a
small part of a causalchain.For example,a re-
searchproject examiningsix variablesmay take
the six from a large,complex theory with two
dozenvariables.Explicit links to a largertheory
strengthenand clarifr a researchproject. This
appliesespecia\ for explanatory,basicresearch
which is the model for most quantitative re-
search.
CausalTheory and HYPotheses
TheHypothesisanil Causality. A h'ltpothesis is
a proposition to be testedor a tentative state-
ment of a relationshipbetweentwo variables
Hypothesesare guessesabout how the social
 CH A PTER4 ,/ REVI EW I NGTHE SCHO LARLYLI TERA T U R E
A N D P L A N N I N CA S T U D Y 93

picture of the researchprocessby focusingon a

singleresearchprojectthat testsonehpothesis.
Knowledgedevelopsover time as researchers
throughout the scientificcommunity test many
I . lt hasat leasttwo variables. hlpotheses.It growsfrom shiftingand winnow-
2. lt expresses a causalorcause-effect relationship ing through many hypotheses. Eachhlpothesis
betweenthe variables. representsan explanationof a dependentvari-
3. lt can be expressedas a predictionor an ex- able.If the evidencefails to support somehy-
pectedfutureoutcome. potheses,they are gradually eliminated from
4. lt is logicallylinkedto a research questionanda consideration.Thosethat receivesupport re-
theory. main in contention. Theoristsand researchers
5. lt is falsifiable;that is, it is capableof being constantlycreatenew hypothesesto challenge
testedagainstempiricalevidenceand shownto thosethat havereceivedsupport.Figure4.3 rep-
be true or false. resentsan exampleof the processof shifting
through hypotheses overtime.
Scientistsarea skepticalgroup. Supportfor
a hypothesisin one researchprojectis not suffi-
cientfor them to acceptit. Theprincipleof repli-
world works; they are statedin a value-neutral cation saysthat a hypothesisneedsseveraltests
form. with consistentand repeatedsupport to gain
A causalhypothesishas five characteristics broad acceptance. Another way to strengthen
(seeBox 4.6).Thefirst two characteristics define confidencein a hlpothesis is to test related
the minimum elementsof a hypothesis.The causal linkages in the theory from which it
third restatesthe hypothesis.Foi example,the comes.
hlpothesis that attendingreligiousservicesre-
ducesthe probability ofdivorce can be restated Typesof Hypotheses. Hlpothesesarelinks in a
as a prediction:Coupleswho attendreligious theoretical causalchain and can take several
servicesfrequently haye a lower divorce rate forms.Researchers usethem to testthe direction
than do coupleswho rarelyattendreligiousser- and strengthof a relationshipbetweenvariables.
vices.The prediction can be testedagainstem- \tVhena hypothesisdefeatsits competitors,or of-
pirical evidence.The fourth characteristicstates fersalternativeexplanationsfor a causalrelation,
that the hlpothesisshould be logicallytied to a it indirectlylendssupportto the researcher's ex-
researchquestionand to a theory. Researchers planation.A curiousaspectof hypothesistesting
test hypothesesto answerthe researchquestion is that researchers treat evidencethat supportsa
or to find empirical support for a theory. The hypothesisdifferently from evidencethat op-
last characteristicrequiresthat a researcheruse posesit. They give negativeevidencemore im-
empiricaldatato testthe hypothesis.Statements portance.The idea that negativeevidenceis
that are necessarilytrue as a result of logic, or critical when evaluating a hypothesis comes
questionsthat areimpossibleto answerthrough from the logicof disconfirmingh1,potheses.2 It is
empirical obseniation(e.g.,What is the "good associated with Karl Popper'sideaof falsification
life"? Is there a God?)cannot be scientifichy- and with the useof null hypotheses(seelater in
potheses. this section).
A hypothesisis neverproved,but it can be
Testingand Refining Hypothesis. Knowledge disproved.A researcherwith supportingevi-
rarelyadvanceson the basisofone testofa sin- dencecansayonly that the hypothesisremainsa
glehypothesis.In fact,it is easyto geta distorted possibilityor that it is still in the running. Nega-
94 PART ONE , / FO UNDATI O NS

Ftc u RE 4.3 How the Processof HypothesesTestingoperates over Time

trtrtrtrtr 1966
Thereare tive possiblehypotheses.

1976
@ under
Remain Twoof the originalfive hypotheses
"",*,
are rejected.
/ \Consideration

KE trtrtrI* A newone is develoPed.

1986
,@ under
Remain Twohypothesesare rejected.
"";".,
Twonew onesare developed.
/ \Consideration

ME tr nt { 1996
*";"., ,@ under
Remain Threehypothesesare reiected.
A new one is developed.
/ \Consideration

mmK 2006
,";"., @ under
Remain One hypothesisis rejected.
/ \Consideration Twonew onesare develoPed.

K trt1ei
t1]l
In 2006,3 hypothesesare in contention,but from 1966 to 2006, 1t hypotheseswere considered,and ovel
time,8 of themwere reiectedin one or moretests.

tive evidenceis more significantbecausethe hy-
pothesisbecomes"tarnished"or "soiled" if the
evidencefailsto supportit. This is becausea hy-
pothesismakespredictions.Negativeand dis-
confirming evidenceshowsthat the predictions
arewrong.Positiveor confirming evidencefor a
hypothesisis lesscriticalbecausealternativehy-
pothesesmay make the sameprediction' A re-
searcherwho finds confirming evidencefor a
predictionmay not elevateoneexplanationover
its alternatives.
For example,a man standson a streetcor-
ner with an umbrella and claims that his um-
brella protectshim from falling elephants.His
hypothesisthat the umbrella provides protec-
tion hassupportingevidence.He hasnot had a
singleelephantfall on him in all the time he has
had his umbrellaopen.Yet, suchsupportiveev-
idenceis weak;it alsois consistentwith an alter-
native hypothesis-that elephantsdo not fall
from the sky.Both predict that the man will be
safefrom falling elephants.Negativeevidence
 C HAPTER4 ,/ REVI EW I NCTHE SCHO LARLYLI TER A T U R E
for the hypothesis-the one elephantthat falls
on him andhis umbrella,crushingboth-would
destroythe hypothesisfor good.
Researcherstest hypothesesin two ways:a
straightforwardway and a null hypothesisway.
Many quantitativeresearchers, especiallyexper-
imenters,framehlpothesesin termsof a null hy-
pothesisbasedon the logic of the disconfirming
hypotheses. Theytesthypotheses by looking for
evidencethat will allow them to acceptor reiect
the null hypothesis.Most peopletalk ibout a hy-
pothesisas a way to predict a relationship.The
null hypothesisdoesthe opposite.It predictsno
relationship.For example,Sarahbelievesthat
studentswho live on campusin dormitoriesget
highergradesthan studentswho live offcampus
and commuteto college.Her null hlpothesisis
that there is no relationshipbetweenresidence
and grades.Researchers usethe null hypothesis
with a correspondingalternativehypothesisor
experimental hypothesis.The alternative hy-
pothesissaysthat a relationshipexists.Sarah's
alternativehypothesisis that students'on-cam-
pus residencehasa positiveeffecton grades.
For most people,the null hypothesisap-
proachis a backwardway of hlpothesistesting.
Null hypothesisthinking restson the assump-
tion that researchers try to discovera relation-
ship,sohlpothesistestingshouldbe designedto
makefinding a relationshipmore demanding.A
researcherwho usesthe null hypothesisap-
proachonly directlyteststhe null hlpothesis.If
evidencesupportsor leadsthe researcherto ac-
ceptthe null hypothesis,he or sheconcludesthat
the testedrelationshipdoesnot exist.This im-
plies that the alternativehlpothesisis false.On
the other hand, if the researchercan find evi-
denceto rejectthe null hypothesis,then the al-
ternativehlpothesesremain a possibility. The
researchercannotprove the alternative;rather,
by testingthe null hypotheses,he or shekeeps
the alternativehypothesesin contention.When
null hypothesistesting is addedto confirming
evidence,the argumentfor an alterativehypoth-
esiscangrowstrongerovertime.
A N D P L A N N I N CA S T U D Y 95
Many people find the null hypothesis to be
confusing. Another way to think of it is that the
scientific community is extremely cautious. It
prefers to consider a causal relationship to be
false until mountains of evidence show it to be
true. This is similar to the Anglo-American legal
idea of innocent until proved guilty. A re-
searcherassumes,or acts as if, the null hlpothe-
sis is correct until reasonable doubt suggests
otherwise. Researcherswho use null hlpotheses
generally use it with specific statistical tests (e.g.,
t-test or F-test). Thus, a researchermay saythere
is reasonabledoubt in a null hypotheiis ii a sta-
tistical test suggeststhat the odds ofit being false
are 99 in 100. This is what a researcher means
when he or she says that statistical tests allow
him or her to "reject the null hypothesis at the
.01 level of significance."
Aspects of Explanation
Clarity ahout Units and Levels of Analysis. It
is easy to become confused at first about the
ideas of units and levels of analysis. Neverthe-
less, they are important for clearly thinking
through and planning a research project. All
studies have both units and levels of analysis,but
few researchersexplicitly identiSr them as such.
The levels and units of analysis are restricted by
the topic and the researchquestion.
A levelof analysisis the level of social reality
to which theoretical explanations refer. The level
of social realityvaries on a continuum from mi-
cro level (e.g., small groups or individual
processes)to macro level (e.g., civilizations or
structural aspectsofsociety). The level includes a
mix of the number of people, the amount of
space,the scope of the activity, and the lengh of
time. For example, an extreme micro-level
analysiscan involve a few secondsofinteraction
between two people in the same small room. An
extreme macro-level analysiscan involve billions
ofpeople on severalcontinents acrosscenturies.
Most social researchusesa level of analysis that
lies between these extremes.
 The level of analysisdelimits the kinds of
assumptions, concepts,and theoriesthat a re-
searcheruses.For example,I want to study the
topic of datingamongcollegestudents.I usea
micro-levelanalysisand developan explana-
tion that usesconceptssuch as interpersonal
contact,mutual friendships,and common in-
terests.I think that studentsare likely to date
someonewith whom they havehad personal
contact in a class,sharefriends in common,
and sharecommoninterests.The topic and fo-
cus fit with a micro-level explanationbecause
they aretargetedat the levelofface-to-facein-
teraction amongindividuals.Another example
topic is how inequalityaffectsthe forms of vio-
Ientbehaviorin a society.Here,I havechosena
more macro-levelexplanationbecauseof the
topic and the level of socialreality at which it
operates.I am interestedin the degreeof in-
equality(e.g.,the distributionof wealth,prop-
erty,income,and other resources) throughout
a societyand in patternsof societalviolence
(e.g.,aggression againstother societies,sexual
assault,feudsbetweenfamilies).The topic and
research questionsuggest macro-levelconcepts
and theories.
The unit of analysisrefersto the type of unit
a researcheruseswhen measuring.Common
units in sociologyare the individual, the group
(e.g.,family,friendshipgroup),the organization
(e.g.,corporation,university),the socialcate-
gory (e.8.,socialclass,gender,race),the social
institution (e.g.,religion,education,the family),
and the society(e.g.,a nation,a tribe). Although
the individual is the most commonly usedunit
of analysis,it is by no meansthe only one.Dif-
ferenttheoriesemphasizeoneor anotherunit of
analysis,and different researchtechniquesare
associated with specificunits of analysis.For ex-
ample,the individualis usuallytheunit of analy-
sisin surveyand experimentalresearch.
As an example,the individual is the unit of
analysisin a surveyin which 150 studentsare
askedto rate their favorite football player.The
individual is the unit becauseeach individual
student'sresponseis recorded.On the other
hand,a studythat comparesthe amountsdiffer-
ent collegesspendon their football programs
would usethe organization(the college)asthe
unit of analysisbecausethe spendingby colleges
is beingcomparedand eachcollege'sspendingis
recorded.
Researchers useunits of analysisother than
individuals, groups,or ganizations,social cate-
gories,institutions,and societies.For example,a
researcherwants to determine whether the
speeches oftwo candidates for presidentofthe
United Statescontain specificthemes.The re-
searcherusescontentanalysisand measuresthe
themesin eachspeechof the candidates.Here,
the speechis the unit of analysis.Geographic
units of analysisare alsoused.A researcherin-
terestedin determiningwhethercitiesthat have
a high number of teenagers alsohavea high rate
of vandalismwould use the city as the unit of
analysis.This is becausethe researcher measures
the percentageofteenagersin eachcity and the
amount of vandalismfor eachcity.
The units of analysisdeterminehow a re-
searchermeasures variablesor themes.Theyalso
correspondlooselyto the levelof analysisin an
explanation.Thus,social-psychological or micro
levelsof analysisfitwith the individual asa unit of
analysis,whereasmacro levelsof analysisfit with
the socialcategoryor institution asa unit. Theo-
ries and explanationsat the micro level generally
refer to featuresof individuais or interactions
amongindividuals.Thoseat the macrolevelrefer
to socialforcesoperatingacrossa societyor rela-
tionsamongmajor partsof a societyasa whole.
Researchers uselevelsand units of analysis
to designresearchprojects,and being awareof
them helpsresearchers avoid logicalerrors.For
example,a studythat examineswhethercolleges
in the North spendmore on their football pro-
gramsthan do collegesin the Southirnpliesthat
a researcher gathersinformation on spendingby
collegeand the locationof eachcollege.The unit
of analysis-the organizationor, specifically, the
college-flows from the researchproblem and
tells the researcherto collectdata from each
college.
 LF TAPTER
4 ,/ REVI EW I NGTHE SCHO TARLYLI TE R A T U R E
A N D P L A N N I N GA S T U D Y
97
Researchers chooseamong different units to the unit on which you collect data (see
or levelsof analysisforuimila, tlpics orl"r.ur.f, A A\
Box
questions.For example,u ,.r."rih., could
con_
drrcta pioject on thJ topic of patriarcty
ana ,ri_ Eymple. Tomsville and foansvilleeach
olencewith societyasthe unit of arralysis have
fo. the about,45,000 peopleliving in tn.-. io_*itf.
researchquestion, ..Are patriarchai societies
u percentage of upper_income people.
more violent?"He or shewould collect lur 1tql
d.ataon Over half of the householdsin tn" to*"-i'uu.
societiesand classi$'eachsocietyby its degree
of family incomesof over $200,000.ffr" to*,
patriarchyand its levelof violence.On Jro
the"other mgtgr-ry. clelregisteredin it than any
hand,if the researchquestionwas,.Isthe 3: ::_.:
degree other town of its size.The town ofJoansville
of patriarchywithin u fu-ity urro.iutJ*iin has
rri_ many poor people.Half its households
ol.::: againsta spouse?,' ihe unit of anatysis live be_
couldbe the group or the family,u"a u rno..
_i_
cro level of analysiswould be appropriate.
The
researcher could collectdataon Amiliesbymea_
suring the degreeof patriarchywithin diif"r.rrt
families and the level of violence
;;;;.."
spousesin thesefamilies.The sametopic Researchers havecriticizedthe famous studvSuicide
canbe ([1.897] I 95 t) by EmileDurkheimfor the
addressedwith different levels urrd .rrrit, eco'togi_
of
Tdy:.it
because patriarchycanbe a variablethat :allal|1c{?ftr:ating groupdataasthoughthey were
descrlbesan entiresociety,or it can describe individual-leveldata.In the study,Ouitt"i#-r_
so_ paredthe suicideratesof protestant
cial relationswithin one family. f*ewis., and Catiolic
,rio_ districtsin nineteenth_century
lencecanbe definedasgeneralbehavior westernfu.op" ana
acrossa explainedobserveddifferences
society,or as the interpersonalactions as due to differences
of one betweenpeople'sbeliefsandpracticesin
spousetoward the other. th"i*o r"_
ligions.He saidthat protestantshada
frighersuicide
rate than Catholicsbecausethey were
Failo:y, The ecological rniru iiJiuia_
lcological fallacy arises ualisticand had lower socialiniegration.Durkheim
trom a mismatchof units of analysis.It refers andearlyresearchers
to only hadartl OyairtriJ iin.u
a poor fit between the units for which peopletendedto residewith others
a re_ of th" ,rru ."_
has empirical evidenceand the units ligion,Durkheimusederoup_levelart,
:.ut.Jr:r- fi."., ,"gL.)
tor whlch he or shewantsto makestatements. for individuals
It
is due to imprecisereasoningurrag.rr"rJiri.rg Laterresearchers (van poppel and Day,1996)
beyondwhat the evidencewarrants.Ecological reexamined nineteenth_century suicideratesonly
fallacyoccurswhen a researchergathers with individual-level data thatihey air.ou"r"Jfo,
i^io u,
a higher or an aggregatedunit o? urrulvri, someareas.They comparedthe death
but recordsand
wants to make a statementabout a I'ower tookedat the officialreasonof death
or and religion,
disaggregated unit. It is a fallacybe.arrr" ,hat but their resultsdifferedfrom Or.ru,uirt.
np"prr_
happensin one unit of analysisioes ently,localofficialsat that time recorded
deaths'dif_
ut_uy,
hold for a differentunit of analysis.Th;r,
"oi ferently.for people of different ,"ligi;;;.
ii;;. i;y
searchergathersdata for large aggregates r"-.or+d "unspecified"as a reasonfor ae-atfr
(eg., far more
organizations,entire countries, often for Catholicsbecauseof a strongrnorriproii_
il." bition againstsuicideamongCatholil.
drawsconclusionsabout the behavior "i..iu"a Ou.kheim,s
oi i"ii_ largertheory may be correct,yet the
viduals from those data, he or she i, .o--it_ evidencehe
ting the ecologicalfallacy.you can avoid hadto test it wasweakbecausehe used
this dataaesre_
error by ensuringthat the unit of analySis gated at the group levelwhiletrying to
vou actionsof individuals. "*pt"iilti"
usein an explanationis the sameu, or rr.*.i*.
98 P A Rr oNE / F o u N D A rl o N S
low the poverty line. It also has fewer motorcy-
cles registered in it than any other town its size.
But it is a fallacy to say,on the basis of this infor-
mation alone, that rich people are more likely to
own motorcycles or that the evidence shows a
relationship between family income and motor-
cycle ownership. The reason is that we do not
know which families in Tomsville or Joansville
own motorcycles. We only know about the two
variables-average incorne and number of mo-
torcycles-for the towns as a whole. The unit of
analysis for observing variables is the town as a
whole. Perhaps all of the low- and middle-in-
come families in Tomsville belong to a motorcy-
cle club, and not a single upper-income family
belongs. Or perhaps one rich family and five
poor ones in Joansville each own motorcycles.
In order to make a statement about the relation-
ship between famrly ownership of motorcycles
and family income, we have to collect informa-
tion on families, not on towns as a whole-
Reductionism. Another problem involving
mismatched units of analysisand imprecise rea-
soning about evidence is reductionism, also
calledthefallacy of nonequivalence(seeBox 4.8)'
This error occurs when a researcher explains
macro-level events but has evidence only about
specific individuals. It occurs when a researcher
observesalower or disaggregatedunit of analysis
but makes statements about the operations of
higher or aggregatedanits.It is a mirror image of
the mismatch error in the ecological fallary. A
researcherwho has data on how individuals be-
have but makes statements about the dynamics
of macro-level units is committing the error of
reductionism. It occurs becauseit is often easier
to get data on concrete individuals. Also, the op-
erition of macro-level units is more abstract and
nebulous. As with the ecological fallacy, you can
avoid this error by ensuring that the unit of
analysis in your explanation is very close to the
one for which you have evidence.
Researchers who fail to think precisely
about the units of analysisand those who do not
couple data with the theory are likely to commit
the ecological fallacy or reductionism. :Ihey
makea mistakeaboutthe dataappropriatefor a
researchquestion,or they may seriouslyover-
generalize from the data.
You can make assumptionsabout units of
analysisother than the onesyou study empiri-
cally.Thus, researchon individualsrestson as-
sumptions that individuals act within a set of
socialinstitutions.Researchon socialinstitu-
tions is basedon assumptionsabout individual
behavior.We know that many micro-levelunits
form macro-levelunits. The dangeris that it is
easyto slideinto usingthe causesor behaviorof
micro units, such as individuals,to explainthe
actions of macro units, such as social institu-
tions. What happensamong units at one level
doesnot necessarilyhold for different units of
analysis.Sociologyis a disciplinethat restson
the fundamentalbeliefthat a distinctlevelof so-
cial reality existsbeyond the individual. Expla-
nationsofthis levelrequiredataand theorythat
go beyond the individual alone. The causes
forces,structures,or processes that existamong
macro units cannot be reduced to individual
behavior.
Example. Why did World War I occur?You
may have heard that it was becausea Serbian
shot an archdukein the AustroHungarianEm-
pire in 1914.This is reductionism.Yes,the as-
sassination wasa factor,but the macro-political
event between nations-w41-snnn6f be re-
duced to a specificact of one individual. If it
could, we could also saythat the war occurred
becausethe assassin's alarm clock worked and
wokehim up that morning. If it had not worked,
there would have been no assassination, so the
alarm clock caused the war! The event, World
War I, wasmuch more complexand wasdue to
many social,political, and economicforcesthat
cametogetherat a point in history' The actions
of specificindividualshad a role' but only a mi-
nor one comparedto thesemacro forces'Indi-
viduals affect events, which eventually, in
combinationwith larger-scalesocialforcesand
organizations,affectothers and move nations,
 CHAPTER4 / REVI EW I NCTHE SCHO TARLYLI TE R A T U R E
A N D P L A N N I N CA S T U D Y

Supposeyou pickup a book and readthe

following: The movement's ideology,popularmobilization, pol_
itics,organization, and strategyare absent.Reiated
American racerelationschanged dramatically duingthe macro-levelhistoricaleventsand trends
Civil RightsEraof the 19 G7s.Attitudesarirg that may
themo_ have influencedthe movement(e.g.,
jority, whitepopulationshiftedto greater VietnamWar
toliranceas protest, mood shift with the kiliing
lawsand courtrulingschangedaiss the nation. of John F.
Op_ Kennedy,AfricanAmericanseparatistpoliti.r,
portunitiesthat hadbeenlegallyandofficially lf.i..n
closedto Americanmigrationto urbanNorth) aie also
all.butthe whitepopulation_intheorro, of houring, ignored.
Thiserroris not uniqueto histoiical
jobs, schooling,votingrights,andso .,
on_were opened Manypeoplethinkonly in termsof individual ""plrn"rtionr.
to peopleof all races.FromtheBrownvs.Board actions
of Ed_ and have an individualistbias,sometimes
ucationdecisionin 1955, to the Civit Rights called
Actof methodological individualism.This is especiallytrue in
1954, to theWaron poverty
from I 965 lo I 96g, a the extremelyindividualistic U.S.culture.fhe erro. is
new,dramaticoutlooksweptthe country.Thiswas
the that it disregardsunitsof analysisor forces
resultofthe vision,dedication,and actionsof b"vona
Ameica,s the individual.The errorof redictionismshifts
foremostcivilrightsleader,Dr. MartinLuthir KngJr. e'"pla_
nationto a muchlowerunit of analysis.
One could
continueto reducefrom an individual,s behaviorto
says:dependentvariable: major changein
. ^This biologicalprocesses in a person,to micro_level
U.S. race relationsover a I O_to 1 3'_yearp"iioa; neu_
rochemical activities,to the subatomiclevel.
independent.variable = King,svisionand actions.
Most peoplelivein ,,social worlds"focusedon lo_
lf you know muchabout the civil rightsera,you
cal,immediatesettingsand their interactions
seea problem.The entirecivilrightsmivement"and with a
smallset ofothers,so theireverydaysense
its successes areattributedto a singleindividual.yes, of rerlitv
encourages seeingsocialtrendsor eventsas individ_
one individualdoesmakea differenieandhelps
build psychotogicat processes.
and guidea movement,but the movementis :i!fi"1r:."1 Often,they
missing. become blind to more abstract,macro_level
The idea of a social-political movementas a causal enti_
ties-socia I forces,processes, organizations,
torceis reducedto its majorleader.The distinct institu_
so_ tions, movements,or structures.The idea
cialphenomenon-a movement_isobscured. that all
Losr socialactionscannotbe reducedto individuals
are the actionsof hundredsof thousands alone
of people of sociotogy.In his ctassic*orf. SuiJa",
(marches,court cases,speeches,prayer meetings, ! 11"^-1".
Emile.Durkheim foughtmethodological individualism
sit-ins,rioting,petitions,beatings,eti.) involved
in and demonstratedthat larger,unrecognized
advancinga sharedgoal and the responses social
to them. forcesexplainevenhighlyindividual, prluater.iionr.

but individual actionsalone are not the cause.

Thus, it is likely that a war would havebroken
out at about that time evenif the assassination
had not occurred.
Spuriousness. To call a relationshipbetween
uariablesspuriousmeansthat it is false,a mirage.
Researcfuersget excitedif they think they hie
found a spuriousrelationshipbecausetfr.y.u"
show that what appearcon ih" surfaceis false
and amore complexrelation exists.Any associ_
ation betweentwo yariablesmight be spurious,
so researchersare cautiouswhen they iiscover
that two variablesare associated;upor, fu.ih.,
investigation,it may not be the basisfor a
real
causalrelationship.It may be an illusion,
iusr
like themiragethat resembies a pool of*ut"i o.,
a road during a hot day.
Spuiousness occurswhen two variablesap_
pearto be associated but arenot causallyrelatid
 rA K t u Nc / r ( JUt\tr AttL/t\)
Formanyyears,researchers observeda strongpost-
tive association betweenthe useof a night-lightand
childrenwho were nearsighted. Many thought that
the night-lightwassomehowcausingthe childrento
developvisionproblems(illustratedas a below). example,you alreadyknow that thereis an asso-
Other researchers could think of no reasonfor a
causallink betweennight-lightuse and developing ice cream cone consurnption.If you measured
nearsightedness. A 1 999 studyprovidedthe answer.
It found that nearsightedparentsare more likelyto
usenight-lights; they alsogeneticallypasson theirvi-
siondeficiencyto their children.The studyfound no
link betweennight-lightuse and nearsightedness
once parentalvisionwas addedto the explanation
(seeb below).Thusthe initialcausallinkwas mis-
leadingor spurious(from NewYo* Times,May 22,
2 001) .
a. Initialrelationship
POS|TTVE ASSOCTATTON
b. Additionof the missingtrue causalfactor
SPURIOUSASSOCIATION
becausean unseen third factor is the real cause
(seeBox 4.9). The unseen third or other variable
is the causeof both the independent and the de-
pendent variable in the apparent but illusionary
relationship and accounts for the observed asso-
ciation. In terms of conditions for causaliry the
unseen factor is a more powerful alternative
explanation.
You now understand that you should be
wary ofcorrelations or associations,but how can
you tell whether a relationshipis spurious,and
how do you find out what the mysteriousthird
factor is?You will need to use statisticaltech-
niques (discussedlater in this book) to test
whetheran association is spurious.To usethem,
you needa theoryor at leasta guessaboutpossi-
ble third factors.Actually,spuriousness is based
on commonsense logic that you alreadyuse.For
ciation betweenthe useof air conditionersand
the number of air conditionersin use and the
numberofice creamconessoldfor eachday,you
would find a strongcorrelation,with more cones
sold on the dayswhen more air conditionersare
in use.But you know that eatingicecreamcones
does not causepeopleto turn on air condition-
ers. Instead,both variablesarecausedby a third
factor: hot days.You couldverify the samething
throughstatisticsby measuringthe dailytemper-
ature aswell as ice creamconsumptionand air
conditioneruse.In socialresearch, opposingthe-
orieshelp peoplefigure out which third factors
are relevantfor many topics (e.g.,the causesof
crimeor the reasonsfor war or child abuse).
Example1. Somepeoplesaythat taking illegal
drugscausessuicide,schooldropouts,and vio-
lent acts.Advocatesof "drugs are the problem"
position point to the positivecorrelationsbe-
tweentaking drugsand beingsuicidal,dropping
out ofschool,and engagingin violence.Theyar-
guethat endingdrug usewill greatlyreducesui-
cide,dropouts,and violence.Othersarguethat
manypeopleturn to drugsbecause of their emo-
tional problemsor high levelsof disorderof their
communities(e.g.,high unemployrnent,unsta-
ble families,high crime,fewcommunityservices
lackof cifity). Thepeoplewith emotionalprob-
lemsor who live in disorderedcommunitiesare
alsomorelikelyto commit suicide,drop out, and
engagein violence.This meansthat reducing
emotional problems and community disorder
will causeillegaldrug use,droppingout, suicide
andviolenceall to declinegreatly.Reducingdrug
taking alonewill have only a limited effectbe-
 CH A P TER4 ,/ REVIEW I NCTHE SCHO LARLYL IT E R A TU R
AEN D P LA N N IN G
A S TU D Y IOI

causeit ignores the root causes.The "drugs are
the problem" argument is spurious becausethe
initial relationship between taking illegal drugs
and the problems is misleading. The emotional
problems and community disorder are the true
and often unseen causalvariables.
Example 2. In the United States and Canada,
we observe an empirical association between
students classifiedasbeing in a non-White racial
category and scoring lower academic tests
(compared to students classifedas in a White
categor/). The relationship between racial classi-
fication and test scores is illusionary, becausea
powerful and little-recognized variable is the
true cause of both the racial classification and
the test scores(seeFigure 4.4).In this case,the
true causeoperates directly on the independent
variable (racial classification) but indirectly
through an intervening process on the depen-
dent variable (test scores).A beliefsystem that is
basedon classifyingpeople asbelonging to racial
groups and assigninggreat significanceto super-
ficial physical appearance,such as skin color, is
the basis of what people call "race." Such a belief
system also is the basis for prejudice and dis-
criminatorybehavior. In such a situation, people
are seen as belonging to different races and
treated differently because of it, such as having
different job opportunities and housing choices.
Discriminated-against people who are in some
racial categories find limits in their housing
choices. This means they get separated or
grouped together in undesirable areas. Poor
housing gets combined with unequal schooling,
such that the lowest-quality schools are located
in areas with the least desirable housing. Since
the relationship between school quality and test
scoresis very strong, students from families liv-
ing in lessdesirablehousing areaswith low-qual-
ity schools get lower test scores.
We can now turn from the errors in causal
explanation to avoid and more to other issues
involving hlpotheses. Table 4.2 provides a re-
view of the major errors.
From the Research Question to
Hypotheses
It is difficult to move from a broad topic to hy-
potheses,but the leap from a well-formulated
researchquestionto hypothesesis a short one.
Hints about hlpothesesare embeddedwithin a
goodresearchquestion.In addition,hlpotheses
are tentativeanswersto researchquestions(see
Box4.10).

F I G UR E 4 .4 Exampleof a SpuriousRelationshipbetweenBelongingto a Non-

White "Race" and Getting LowAcademicTest Scores

Studentstreatedas belongingto SpuriousAssociation

a racialsocialcaiegory("White"
or "Non-White")basedon
Discriminationagainst
superficialphysicalappearance
non-Whitesin jobs
and housing

Real I
Cause Y
Segregated
housing
Societywideracist beliefs and Real
treatment of social categories Cause I Real
Cause
as if they had an
inherent-biologicalbasis
Y
Non-Whitesattend
lower-quality
schools
 t02 PART O NE , / FO UNDATI O NS

Summaryof Errorsin Exptanation

EcologicalFallacy The empiricalobservations are at too NewYork hasa highcrimerate.Joan

higha levelfor the causalrelationship livesin NewYork.Therefore,she -
that is stated. probablystole my watch.
Reductionism The empiricalobservationsareat too Because Stevenlost hisjob and did not
low a levelfor the causalrelationship buy a newcar,the countryentereda
that is stated. long economicrecession.
Spuriousness An unseenthird variableis the actual Hair lengthis associatedwith TV
causeofboth the independent and programs.Peoplewith short hair prefer
dependentvariable. watchingfootball;peoplewith long hair
preferromancestories.(lJnseen: Cender)

Bad ResearchQuestions
Good ResearchQuestions
Not Enpirically Testable,N onscientifi ExploratoryQuestions
c euestions
r Shouldabortionbe legal? I Hasthe actualincidence of childabusechangedin
Wisconsin in the past l0 years?
r ls it rightto havecapitalpunishment?
Desciptive Questions
GeneralTopics,Not Research
euestions r ls childabuse,violentor sexual,morecommonin
I Treatmentof alcoholand drugabuse
familiesthat haveexperienced a divorcethan in
r Sexualityand aging intact,never-divorcedfamilies?
Setof Variables,Not euestions I Are the childrenraisedin poverty households
r Capitalpunishmentand racialdiscrimination more likelyto havemedical,learning,and social_
r Urbandecayandgangs emotionaladjustmentdifficulties
thannonpoverty
children?
Too Vague,Ambiguous
r Do policeaffectdelinquency? ExplanatoryQuestions
l Doesthe emotionalinstabilitycreatedby experi_
r What canbe doneto preventchildabuse?
encinga divorceincreasethe chancesthat di_
Needto Be StillMoreSpecific vorced parents will physically abuse their
r Hasthe incidence of childabuserisen? children?
r How does poverty affect children? r ls a lackof sufficentfunds for preventivetreat_
r What problemsdo childrenwho grow up in menta majorcauseof moreseriousmedicalprob_
poveftyexperience lemsamongchildrenraisedin familiesin poverty?
that othersdo not?
 CH A PTER4 ,/ REVI EW I NGTHE SCHO LARLY
LI TERA T U R E
AND P L A N N I N CA S T U D Y I03

Consideran exampleresearchquestion:,.Is the chancesthat the marriage will end in divorce,

ageat marriage associatedwith divorce?',The
questioncontainstwo variables:..ageat mar-
riage"and "divorce."To developa hfrothesis, a
researcher asks,"Which is the independentvari_
able?"The independentvariableis-..aqeat mar_
riage" becausemarriagemust logicaliyprecede
divorce.The researcheralsoasks]..WLai is the
direction of the relationship?',The hypothesis
couldbe:"The lower the ageat time of marriage,
the greaterthe chancesthat the marriase will
end in divorce."This hypothesisanswe.sihe ,._
searchquestionand makesa prediction.Notice
that the researchquestion.un b. reformulated
and better focusednow: ..Are coupleswho
marry youngermore likely to divorce?"
Severalhypotheses canbe developedfor one
researchquestion.Another hypothesisfrom the
sameresearchquestionis: ..Thesmallerthe dif_
ferencebetweenthe agesof the marriagepart_
ners at the time of mairiage,the lessfif.".fftfr*
the marriagewill end in divorce.,'In this case,
the variable "age at marriage" is specified
differently.
, , .Hypgtr.ses can specifythat a relationship
holdsunder someconditionsbut not others.For
a hlpothesisstates:"The lower the age
"YTpl.,partners
of the at time of marriage,the greater
unless it is a marriage between members of
a
tight-knit traditional religious communitv in
which early marriage is the norm.', '
Formulating a research question and, ahy_
-
pothesis do not have to proceed in fixed stases.A
researcher can formulate a tentative reslarch
question, then develop possible hypotheses;
the
hypothesesthen help the researchei state the
re_
search question more precisely. The process
is
interactive and involves creativitv.
You may be wondering, wh.re does theory
^
fit into the process of moving from a topic to
a
hypothesis I can test?Recall from Chapter Z
ft1oy takes many forms. Researcheri use gen_
that
eral theoretical issuesas a source oftopics. ihe_
ories provide concepts that researchers*turninto
variables as well as the reasoning or mechanism
that helps researchersconnect variables into
a
researchquestion. A hypothesis can both answer
a researchquestion and be an untested proposi_
tion from a theory. Researchers.urr.*pr.r, u hlr_
pothesis at an abstract, conceptuai level
o.
restateit in a more concrete,meaiurable form.
Examples of specfic studies mayhelp to il_
lustrate the parts ofthe researchprocess.For."_
amples of three quantitative st;dies, see Table
4.3; for two qualitative studies, seeTable 4.4.

Examplesof QuantitativeStudies

Study Citation (using Coar,CarlaandJane Musick,Mark,John Lauzen, MarthaM. and

ASA format style) Sell.2005. "UsingTask Wilson,andWilliam D avi dM. D ozi er.20O5.
Definitionto Modify B y n u m.2000." R ace "Maintaining the Double
RacialInequality Within and Formal Standard:Portrayalsof
TaskCroups" Volunteering: The Age and Genderin
Sociologica I Quarterly DifferentialEffectsof PopularFilms."SexRo/es
46: 5 2 5 -5 4 3 . Classand Religion" 52:437-446.
SocialForces78:
1 5 3 9 -7 0 .
Methodological Experiment Survey ContentAnalysis
Technique
(continued)
1 04 PART O NE , / FO UNDATI O NS

TABTE 4.3 (Continued)

Topic Mixedracegroup Ratesof volunteeringby Age and Gender

workingon a task.A Whiteand Blackadults Stereotypesin U.S.
test of "expectation MassMedia
statestheory"

ResearchQuestion lf a group is presented Do differentkindsof Do contemporaryfilms

with a task that is resourcesavailableto showa doublestandard,
complexand requires Blacksand Whites in whichmalesacquire
manydiverseskills,does explainwhy Blacksare greaterstatusand
this resultin greater lesslikelyto volunteer? leadershipas they age,
equalityin padicipation whilefemalesare not
acrossracialgroups permitttedto gain
becausepeoplebelieve statusand leadership
differentracialgroups with increasedage?
possessdifferentskills?

Main Hypothesis Croupsexposedto ForWhitesand Blacks, As with pastpopular

Tested instructionsthat socialclassand religion U.S.filmsand in other
suggestcomplexand affectwhethera person popularmassmedia,a
diverseskillsare volunteersin different doublestandardstill
requiredto completea wavs. exists.
taskwill showlessracial
inequalityin their
operationsto complete
a taskthan groups
withoutsuch
instructions.

Main Independent Whethergroupswere Socialclass,religious The ageand genderof

Variable(s) told they wereto a attendance,race. majorfilm characters.
completea complex
taskthat requires
diverseskillsor not.

Main Dependent The amountof Whethera personsaid Whethera characterhas

Variable(s) time/involvement by he or shevolunteered role,high
a leadership
peopleof different for any of five occupationalstatus,and
racesto resolvea group organizations (religious, goals.
task. education,politicalor
labor,seniorcitizen,or
local).

Unit of Analysis Mixedracetaskgroup adult

Individual The movie
 C HA PTER4 ,/ REVIEW I NCTHE SCHO LARLYLI TERA T U R E
A N D P L A N N I N CA S T U D Y I05

SpecificUnits in the 90 undergraduate Randomsampleof 100 top-grossing

Study femalesin 5-oerson 2 ,8 6 7 U.S adul. ts domestic
U.S.filmsin
groupscomprisedof interviewedtwice 2002.
one Blackandtwo (p a n e l i)n 1 985 and
Whitestudents. 19 8 9 .
Universe All taskgroupsthat All adultWhitesand Allfilms.
havea diverseset of Blacksin the United
members. States.

Study Citation (usingASA Lu,ShunandCaryFine.1 995. Molotch,Harvey,William

format style) "ThePresentation of Ethnic
Authenticity: ChineseFoodas a
SocialAccomplishment"
Sociological Quarterly
3 6 :5 3 5 -5 3 .
MethodologicalTechnique FieldResearch
Topic Thewaysethnicculturesare
displayed withinthe boundaries
of beingacceptable in the United
Statesand how they deploy
culturalresources.
ResearchQuestion Howdo Chineserestaurants
presentfood to balance,givinga
feelingof culturalauthenticity
andyet satisfying non-Chinese
U.S.customers?
Freudenburg, and Kristapaulsen.
2000. "HistoryRepeatsltself,
but How?City Character,Urban
Tradition,andthe
Accomplishment of place."
AmericanSociological
Review
65:791-823.
Historical-Comparative
Research
The wayscitiesdevelopa distinct
urban"character."
Why did the California
citiesof
SantaBarbaraandVentura,
whichappearverysimilaron the
surface,developvery different
characters?

(continued)
r0 5 PART ONE , / FO UNDATI O NS

TAB LE 4. 4 ( Co n ti n u e d )

Grounded Theory EthnicrestaurantsAmericanize The authorsusedtwo

their food to fit localtastesbut
alsoconstructan imPression of
authenticity.lt is a negotiated
processof meetingthe
customer'sexpectations,/taste
conventionsand the desirefor an
exoticand authenticeating
experience.
concepts-"lash up" (interaction
of manyfactors)and structure
(pasteventscreateconstraints
on subsequent ones)-to
elaborateon characterand
tradition.Economic,political,
cultural,and socialfactors
combineto createdistinct
cultural-economic places.Similar
forcescan haveoppositeresults
dependingon context.

SocialProcess Restaurants makemodifications Conditionsin the two cities

their
to fit availableingredients,
market niche,and the cultural
and food tastesof local
customers.
contributedto two different
economicdevelopment
responsesto the oil industryand
highwaydevelopment. The city
of Venturaformedan industrial-
employmentbasearoundthe oil
industryand encouragednew
highways.The city of Santa
Barbaralimitedboth the oil
industryand highwaygrowth.lt
insteadfocusedon creatinga
strongtourismindustry.

SocialContext or Field Site Chineserestaurants,esPeciallY The middlepart of California's

.l
four in Athens,Georgia. Pacificcoastoverthe past 00
years.

focus the research.The srylethat a researcher

ffi,
In this chapter,you encounteredthe ground-
work to begina study.You sawhow differences
in the qualitative and quantitative stylesor ap-
proachesto socialresearchdirect a researcher to
prepare for a study differently. All social re-
searchersnarrowtheir topic into a more specific,
focusedresearchquestion.The srylesof research
suggesta different form and sequenceof deci-
sions,and differentanswersto when and how to
useswill dependon the topic he or sheselects,
the researcher's purposeand intendeduse of
study results,the orientation toward socialsci-
encethat he or sheadopts,and the individual re-
searcher's own assumptionsand beliefs.
Quantitativeresearchers take a linear path
and emphasizeobjectivity.They tend to useex-
plicit, standardizedprocedures and a causalex-
planation. Their language of variables and
hypothesesis found acrossmany other areasof
 CH A P TER4 ,/ REVIEW I NCTHE SCHO LARLYLI TERAT U R E
A N D P L A N N I N GA S T U D Y 107

science.The processis often deductive with a se- strengths and limitations of each. The ultimate
quence ofdiscrete stepsthat precede data collec- goal is to develop a better understanding and ex-
tion: Narrow the topic to a more focused planation of events in the social world. This
question, transform nebulous theoretical con- comes from an appreciation of the value that
cepts into more exact variables, and develop one each style has to offer.
or more hlpotheses to test. In actual practice, re-
searchersmove back and forth, but the general
processflows in a single, linear direction. In ad-
dition, quantitative researcherstake specialcare Key Terms
to avoid logicalerrorsin hypothesisdevelop-
ment and causalexplanation. abstract
Qualitative researchers follow a nonlinear alternative hypothesis
path and emphasizebecoming intimate with the attributes
details of a natural setting or a particular cul- citation
tural-historical context. They use fewer stan- dependentvariable
dardized procedures or explicit steps,and often ecologicalfallacy
devise on-the-spot techniques for one situation first-order interpretation
or study. Their language of casesand contexts hypothesis
directs them to conduct detailed investigations independentvariable
ofparticular casesor processesin their searchfor interveningvariable
authenticity. They rarely separateplanning and level of analysis
design decisions into a distinct pre-data collec- linear researchpath
tion stage,but continue to develop the studyde- literature review
sign throughout early data collection. The nonlinearresearchpath
inductive qualitative sryle encourages a slow, null hypothesis
flexible evolution toward a specific focus based reductionism
on a researcher's ongoing learning from the second-orderinterpretation
data. Grounded theory emerges from the re- spuriousness
searcher'scontinuous reflections on the data. third-order interpretation
Too often, the qualitative and quantitative unitof analysis
distinction is overdrawn and presented as a rigid universe
dichotomy. Adherents of one style of social re- variable
searchfrequently judge the other style on the ba-
sis of the assumptions and standards of their
own style.The quantitative researcherdemands Endnotes
to know the variables used and the hlpothesis
tested. The qualitative researcherbalks at turn- 1. For a discussionof the "logic of the disconfirm-
ing humanity into cold numbers. The challenge itg hypothesis,"see Singleton and associates
for the well-versed,prudent social researcheris (1988:456-460).
to understand and appreciate each sryle or ap- 2. SeeBailey(1987:43)for a discussion.
proach on its own terms, and to recognize the
 t.

' lr

Qualitativeand
QuantitativeMeasurement

lntroduction
Why Measure?
Quantitative and Qualitative Measurement
Parts of the Measurement Process
QuantitativeConceptualization
and Operationalization
QualitativeConceptualization
and Operationalization
Reliability and Validity
and Validityin QuantitativeResearch
Reliability
and Validityin QualitativeResearch
Reliability
RelationshipbetweenReliability and Validity
Other Usesof the TermsReliableand Valid
A Guide to Quantitative Measurement
Levelsof Measurement
Scalesand Indexes
Measures:
Specialized
lndex Construction
The Puroose
Weighting
MissingData
Ratesand Standardization
Scales
The Purpose
Logicof Scaling
CommonlyUsedScales
Conclusion
 CHAPTER5 / Q UALI TATI VEAND Q U A N T I T A T I V EM E A S U R E M E N T
I NT R ODUCT I O N
You may have heard of the Stanford Binet IQ test
to measureintelligence,the Index of Dissimilarity
to measure racial segregation, the Poverty Line to
measurewhether one is poor, or Uniform Crime
Reports to measure the amount of crime. When
social researcherstest a hypothesis, evaluate an
explanation, provide empirical support for a the-
ory or systematically study an applied issue or
some area of the social world, they measurecon-
cepts and variables.How social researchersmea-
sure the nlunerous aspectsof the social world-
such as intelligence, segregation,poverty, crime,
self-esteem,political power, alienation, or racial
prejudice-is the focus of this chapter.
Quantitative researchers are far more con-
cerned about measurement issuesthan are qual-
itative researchers.They treat measurement as a
distinct step in the research process that occurs
prior to data collection, and have developed spe-
cial terminology and techniques for it. Using a
deductive approach, they begin with a concept
then create empirical measures that precisely
and accurately capture it in a form that can be
expressedin numbers.
Qualitative researchersapproach measure-
ment very differently. They develop ways to cap-
ture and express variable and nonvariable
concepts using various alternatives to numbers.
They often take an inductive approach, so they
measurefeatures of social life aspart of a process
that integrates creating new concepts or theories
with measurement.
How people conceptualize and operational-
ize variables can significantly affect social issues
beyond concernsofresearch methodology. For
example, psychologists debate the meaning and
measurement of intelligence. Most intelligence
tests that people use in schools, on job applica-
tions, and in making statements about racial or
other inherited superiority measure only ana-
lytic reasoning (i.e., one's capacity to think ab-
stractly and to infer logically). Yet, many argue
that there are other types of intelligence in addi-
tion to analytic. Some say there is practical and
t09
creative intelligence. Others suggestmore types,
such as social-interpersonal,emotional, body-
kinesthetic, musical, or spatial. Ifthere are many
forms of intelligence but people narrowly limit
measurement to one type, it seriously restricts
how schools identift and nurture learning; how
larger society evaluates,promotes, and recog-
nizesthe contributions of people;and how a so-
ciety values diverse human abilities.
Likewise, different policymakers and re-
searchersconceptualZe and operationalize poverty
differently. How people measure poverty will
determine whether people get assistancefrom
numerous social programs (e.g., subsidized
housing, food aid, health care, child care, etc.).
For example, some say that people are poor oniy
if they cannot afford the food required to pre-
vent malnutrition. Others say that people are
poor if they have an annual income that is less
than one-half of the ayerage (median) income.
Still others say that people are poor ifthey earn
below a "living wage" based on a judgment
about the income needed to meet minimal com-
munity standards of health, safery and decency
in hygiene, housing, clothing, diet, transporta-
tion, and so forth. Decisions about how to con-
ceptualize and measure a variable-poverty-
can greatly influence the daily living conditions
of millions of people.
W H Y M EA S U R E ?
We use manymeasures in our dailylives. For ex-
ample, this morning I woke up and hopped onto
a bathroom scale to see how well my diet is
working. I glanced at a thermometer to find out
whether to wear a coat. Next, I got into my car
and checked the gas gauge to be sure I could
make it to campus. As I drove, I watched the
speedometer so I would not get a speeding
ticket. By 8:00e.u., I had measuredweight, tem-
perature, gasoline volume, and speed-all mea-
sures about the physical world. Such precise,
well-developed measures,which we use in daily
life, are fundamental in the natural sciences.
1 l0 P A Rr oNE / F o U N D AT T o N S
We alsomeasurethe nonphysicalworld in
everydaylife, but usually in less exact terms.
We are measuringwhen we saythat a restau-
rant is excellent,that Pablois really smart,that
Karen has a negativeattitude toward life, that
]ohnson is really prejudiced,or that the movie
last night had a lot of violencein it. However,
such everydayjudgments as "really preju-
diced" or "a lot of violence" are imprecise,
vaguemeasures.
Measurementalso extendsour senses. The
astronomeror biologistusesthe telescopeor the
microscopeto extendnaturalvision.In contrast
to our senses, scientificmeasurementis more
sensitive,varieslesswith the specificobserver,
and yieldsmore exactinformation. You recog-
nizethat a thermometergivesmore specific,pre-
ciseinformation about temperaturethan touch
can.Likewise,a good bathroom scalegivesyou
morespecific,constant,and preciseinformation
aboutthe weightofa 5-year-oldgirl thanyou get
by lifting her and callingher "heavy"or "light."
Socialmeasuresprovide preciseinformation
aboutsocialreality.
In addition, measurementhelpsus observe
what is otherwiseinvisible.Measurementex-
tendshuman senses. It letsus observethingsthat
were once unseenand unknown but were pre-
dictedbytheory.
Beforeyou can measure,you need a clear
ideaaboutwhatyou areinterestedin. For exam-
ple,you cannotseeor feelmagnetismwith your
natural senses. Magnetismcomesfrom a theory
aboutthe physicalworld. You observeits effects
indirectly;for instance,metalflecksmoveneara
magnet.Themagnetallowsyou to "see"or mea-
surethe magneticfields.Natural scientistshave
invented thousandsof measuresto "see" very
tiny things (moleculesor insectorgans)or very
large things (huge geologicalland massesor
planets)that are not observablethrough ordi-
nary senses. In addition, researchers are con-
stantlycreatingnew measures.
Someof the things a socialresearcheris in-
terestedin measuringare easyto see(e.g.,age,
sex,skin color,etc.),but most cannotbe directly
observed(e.g.,attitudes,ideology,divorcerates,
deviance,sexroles,etc.).Like the natural scien-
tist who inventsindirect measuresof the "invis-
ible" objectsand forcesof the physicalworld,the
socialresearcherdevisesmeasuresfor difficult-
to-observeaspectsof the socialworld.
QUANTITATIVE AND
QUALITATIVE M EASUREMENT
Both qualitativeand quantitativeresearchers use
carefrrl,systematicmethodsto gatherhigh-qual-
ity data.Yet, differencesin the srylesof research
and the types of data mean they approachthe
measurementprocessdifferently. The two ap-
proachesto measurement havethreedistinctions
One differencebetweenthe two sryles.in-
volves timing. Quantitative researchersthink
about variablesand convert them into specific
actionsduring a planning stagethat occursbe-
fore and separatefrom gatheringor analyzing
data. Measurementfor qualitative researcher
occursduring the datacollectionprocess.
A seconddifferenceinvolvesthe data itself.
Quantitativeresearchers developtechniquesthat
can produce quantitativedata (i.e., data in the
form of numbers).Thus, the researchermoves
from abstractideasto specificdata collection
techniquesto precisenumerical information
producedby the techniques.The numericalin-
formation is an empiricalrepresentationof the
abstractideas.Data for qualitativeresearcher
sometimesis in the form of numbers;more of-
ten, it includeswritten or spokenwords,actions
sounds,symbols,physicalobjects,or visualim-
ages(e.g.,maps,photographs, videos'etc.).The
qualitativeresearcher doesnot convertall obser-
vation into a singlemedium such as numbers.
Instead,he or shedevelopsmanyflexible'ongo-
ing processes to measurethat leavesthe datain
variousshapes,sizes,and forms.
All researchers combine ideasand data to
analyzethe socialworld. In both researchstyles
data are empirical representationsof concepts
and measurement links datato concepts.A third
 CHA PTER5 , / Q UALI TATI VEAND Q U A N T I T A T I V EM E A S U R E M E N T
difference is how the two styles make such link-
ages.Quantitative researcherscontemplate and
reflect on concepts before they gather any data.
They construct measurement techniques that
bridge concepts and data.
Qualitative researchersalso reflect on ideas
before data collection, but they develop many, if
not most, of their concepts during data collec-
tion. The qualitative researcherreexamines and
evaluatesthe data and concepts simultaneously
and interactively. Researchers start gathering
data and creating ways to measure based what
they encounter. As they gather data, they reflect
on the processand develop new ideas.
.,,,|ffiM
P ARTS OF T HE M E A S U R E M EN T
PR OC ESS
When a researcher measures,he or she links
a concept, idea, or constructl to a measure (i.e.,
a technique, a process, a procedure, etc.) by
which he or she can observethe idea empiricahy.
Quantitative researchersprimarily follow a de-
ductive route. They begin with the abstract idea,
follow with a measurement procedure, and end
with empirical data that represent the ideas.
Qualitative researchersprimarily follow an in-
ductive route. They begin with empirical data,
follow with abstract ideas, relate ideas and data,
and end with a mixture of ideas and data. Actu-
ally, the processis more interactive in both styles
of research. As a quantitative researcher devel-
ops measures,the constructs become refined
and clearer, and as the researcher applies the
measuresto gather data, he or she often adjusts
the measurement technique. As a qualitative re-
searchergathersdata, he or she usessome preex-
isting ideas to assist in data collection, and will
then mix old with new ideas that are developed
from the data.
Both qualitative and quantitative researchers
use two processes:conceptualization and opera-
tionalization in measurement. Conceptualizati-
on is the process of taking a construct and
refining it by giving it a conceptual or theoretical
111
definition.Aconceptualdefinitionis a definition
in abstract,theoreticalterms. It refersto other
ideasor constructs.Thereis no magicalway to
turn a constructinto a preciseconceptualdefin-
ition. It involvesthinking carefully,observing
directly, consulting with others, reading what
othershavesaid,and trying possibledefinitions.
How might I developa conceptualdefini-
tion of the constructprejudice?Whenbeginning
to developa conceptualdefinition, researchers
oftenrely on multiple sources-personalexperi-
enceand deepthinking, discussionswith other
people, and the existing scholarlyliterature. I
might reflect on what I know about prejudice,
askotherswhat theythink aboutit, andgo theli-
brary and look up its many definitions.As I
gather definitions, the core idea should eet
clearer,but I havemany definitionsand need"to
sort them out. Most definitionsstatethat preju-
dice is an attitude about anothergroup and in-
volvesa prejudgment,or judgingprior to getting
specificinformation.
As I think aboutthe construct,I noticethat
all the definitions refer to prejudiceas an atti-
tude, and usually it is an attitude about the
membersof another group. There are many
forms of prejudice,but most arenegativeviews
aboutpersonsofa differentracial-ethnicgroup.
Prejudicecould be about other kinds ofgroups
(e.g.,peopleof a religion,of a physicalstature,or
from a certainregion), but it is alwaysabout a
collectivityto which one doesnot belong.Many
constructshavemultiple dimensionsor types,so
I shouldconsiderwhethertherecanbe different
typesof prejudice-racial prejudice,religious
prejudice,ageprejudice,genderprejudice,na-
tion prejudice,and so forth.
I alsoneedto considerthe units of analysis
that bestfit my definition of the construct.piej-
udiceis an attitude.Individualsholdandexpress
attitudes,but so might groups (e.g.,farnilies,
clubs,churches,companies,media outlets).I
needto decide,Do I want my definition of prej-
udiceto includeonly the attitudesof individuals
or shouldit includeattitudesheldby groups,or-
ganizations,and institutions aswell?Can I say,
 112 P A RTo N E ,/ F o u N D A T Io N s
The schoolor newspaperwasprejudiced?I also
must distinguishmy constructfrom closelyre-
latedones.For example,I must ask,How is prej-
udice similar to or different from ideassuchas
discrimination,stereotype,or racism?
Conceptualization is the processof carefully
thinking through the meaningof a construct.At
this stage,I believethat prejudicemeansan in-
flexiblenegativeattitude that an individual holds
and is directedtoward a raceor ethnic group
that is an out-group.It can,but doesnot always,
lead to behavior,such as treatingpeopleun-
equally(i.e.,discrimination),and it generallyre-
lies on a person'sstereotypesof out-group
members.Thus,my initial thought,"Prejudiceis
a negativefeeling,"has becomea preciselyde-
fined construct.Evenwith all my conceptualiza-
tion, I need to be even more specific.For
example,if prejudiceis a negativeattitudeabout
a raceor an ethnic group of which one is not a
member,I needto considerthe meaningof race
or ethnicgroup.I should not assumeeveryone
seesracial-ethniccategoriesthe same.Likewise,
it is possibleto havea positiveprejudgment,and
if so is that a kind of prejudice?The main point
is that conceptualization requiresthat I become
very clearand statewhat I meanvery explicitly
for othersto see.
Operationalization links a conceptualdefin-
ition to a specificsetof measurementtechniques
or procedures,the construct'soperationaldefin-
ition (i.e.,a definition in termsof the specificop-
erationsofactions a researchercarriesout). An
operationaldefinition could be a surveyques-
tionnaire,a methodof observingeventsin a field
setting,a way to measuresymbolic content in
the massmedia, or any processcarried out by
the researcher that reflects,documents,or repre-
sentsthe abstractconstructasit is expressed in
the conceptualdefinition.
Thereareusuallymultiplewaysto measurea
construct.Somearebetteror worseand more or
lesspracticalthan others.The key is to fit your
measureto your specificconceptualdefinition,to
the practicalconstraintswithin which you must
operate(e.g.,time, money, availablesubjects,
1. Rememberthe conceptual definition.
The underly-
ing principlefor any measureis to matchit to
the specificconceptualdefinitionof the con-
structthat will be usedin the study.
2. Keepan openmind.Do not get lockedinto a sin-
gle measure or type of measure. Becreativeand
constantlylookfor better measures.
3. Borrowfrom others.Do not be afraid to borrow
fromotherresearchers, as longascreditisgiven.
Cood ideasfor measures can be found in other
studiesor modifiedfrom other measures.
4. Anticipatedifficulties.Logicaland practicalprob-
lemsoften arisewhen trying to measurevari-
ablesof interest.Sometimesa problemcaRbe
anticipatedand avoided with careful fore-
thoughtandplanning.
5. Do notforgetyour unitsof analysis.Your measure
shouldfit with the unitsof analysisof the study
and permityou to generalize to the universeof
interest.
etc.),andto the researchtechniquesyou know or
canlearn.You can developa new measurefrom
scratch,or it canbe a measurethat is alreadybe-
ing usedby otherresearchers (seeBox5.1).
Operationalizationlinks the languageof
theorywith the languageof empiricalmeasures.
Theoryis full of abstractconcepts,assumptions,
relationships,definitions,and causality.Empiri-
cal measuresdescribehow peopleconcreteiy
measurespecificvariables.They referto specific
operationsor things peopleuseto indicatethe
presenceofa constructthat existsin observable
reality.
Quantitative Conceptualization and
Operationalization
The measurementprocessfor quantitative re-
searchflows in a straightforwardsequence:
first
 CHA PTER5 , / Q UALI TATI VEAND Q U A N T I T A T I V EM E A S U R E M E N T
conceptualization, followed by operational-
ization, followed by applying the operational
definition or measuringto collect the data.
Quantitativeresearchers developedseveralways
to rigorouslylink abstractideasto measurement
proceduresthat will produce precisequantita-
tive information about empiricalreality.
Figure 5.1 illustrates the measurement
processfor two variablesthat arelinked together
in a theoryand a hypothesis.Therearethreelev-
elsto consider:conceptual,operational,and em-
pirical.At the most abstractlevel,the researcher
is interestedin the causalrelationshipbetween
two constructs,or a concEtualhypothesis. Atthe
levelofoperationaldefinitions,the researcher is
interestedin testing an empiricalhypothesis to
determinethe degreeof associationbetweenin-
dicators.This is the level at which correlations.
statistics,questionnaires,and the like are used.
Thethird levelis the concreteempiricalworld. If
the operationalindicators of variables(e.g.,
questionnaires)are logically linked to a con-
struct (e.g.,racialdiscrimination),theywill cap-
ture what happensin the empiricalsocialworld
and relateit to the conceptuallevel.
F I G URE
Abstract Construct to Goncrete Measure
IndependentVariable
Conceptualization
Operationalization
TestedEmoirical
Hypothesis
1 13
The measurementprocesslinks together
the three levels,moving deductivelyfrom the
abstractto the concrete.A researcherfirst con-
ceptualizesa variable,giving it a clear concep-
tual definition.Next,he or sheoperationalizes it
by developingan operationaldefinition or set
of indicators for it. Last, he or she appliesthe
indicators in the empirical world. The links
from abstractconstructsto empiricalreality al-
low the researcherto test empiricalhypotheses.
Thosetestsare logically linked back to a con-
ceptual hlpothesis and causalrelations in the
world of theory.
A hypothesishasat leasttwo variables,and
the processes of conceptualization and opera-
tionalization are necessary for eachvariable.ln
the preceding example, prejudice is not a
hypothesis.It is one variable.It could be a de-
pendentvariablecausedby somethingelse,or it
could be an independent variable causing
somethingelse.It dependson my theoretical
explanation.
We can return to the quantitative study by
Weitzerand Tuch on perceptionsof policebias
and misconductdiscussedin Chapter2 for an
DependentVariable
Conceptualization Level of
Theory
Operational
Operationalization Level
l Empirical
Level
 1.1 4 PART oN E , / FoUNDATI O NS

example of how researchersconceptualize and sense"or organizethe data and one'sprelimi-

operationalize variables. It is an explanatory nary ideas.
study with two main variables in a causal hy- As the researcher gathersand analyzesqual-
pothesis. The researchers began with the itative data, he or she developsnew concepts,
conceptualhypothesis:Members of a nondomi- formulates definitions for the concepts' and
nant racial group are more likely than a domi- considersrelationshipsamong the concepts.
nant racial group to believe that policing is Eventually,he or shelinks conceptsto one an-
racially biased, and their experience with polic- otherto createtheoreticalrelationshipsthat may
ing and exposure to media reports on police or may not be causal.Qualitative researchers
racial bias increasethe perception ofracial bias. form the conceptsasthey examinetheir qualita-
They conceptualizedthe independent variable, tive data (i.e.,field notes,photosand maps,his-
dominant racial group, as White and the non- torical documents,etc.). Often, this involvesa
dominant group as non-White subdivided into researcher askingtheoreticalquestionsaboutthe
Black and Hispanic. The researchercconcEtual- data (e.g.,Is this a caseof classconflict?What is
izedthe dependent variable, racially biasedpolic- the sequenceofeventsand could it be different?
ing, as unequal treatment by the police of Whites Why did this happenhere and not somewhere
and non-Whites and racial prejudice by police else?).
officers. The researchersoperationalized the in' A qualitative researcherconceptualizesby
dependent variable by self-identification to a developingclear,explicit definitions of con-
survey question about race.They operationalized structs.The definitions are somewhatabstract
the dependent variable by using four setsof sur- and linked to other ideas,but usuallythey are
vey questions: (1) questions about whether po- alsocloselytied to specificdata'They canbe ex-
lice treat Blacks better, the same, or worse than pressedin the wordsand concreteactionsof the
Whites, and the same question with Hispanics people being studied. In qualitative rgsearch,
substituted for Blacks; (2) questions about conceptualizationis largely determinbdby the
whether police treat Black neighbhorhoods bet- data.
ter, the same,or worsethan Whites ones,with
the samequestionaskedfor Hispanicneighbor- a(Operationalization. The operationalization
'
hoods; (3) a questionabout whetherthere is 'process for qualitative researchsignificantly
racial-ethnicprejudiceamongpolice ofEcersin differs from that in quantitative researchand
the city; and (+) a questionaboutwhetherpolice often precedesconceptualization.Aresearcher
aremorelikelyto siop somedriversbecause they forms conceptualdefinitions out of rudimen-
are Black or liispani". tary "working ideas"that he or sheusedwhile
making observationsor gatheringdata.Instead

Quatitative and
conceptualization
Operationalization
4 Conceptualization. The conceptualization
pro..ri in qualitativeresearchalsodiffers from
ihat ln quantitativeresearch.Insteadof refining
abstractideasinto theoreticaldefinitionsearlyin
the researchprocess,qualitativeresearchers re-
fine rudimentaty "*otking ideas" during the
datacollectionand analysisprocess.Conceptu-
alizationis a processof iorming coherenttheo-
retical definiiions as one strugglesto "make
:1Hil::,:'Il1*".?'.",:l*5TJ:"?,::,'#:J
searcheroperationaiizesby describing how
specific observationsand thoughts about the
data contributed to working ideasthat are the
basisof conceptualdefinitions and theoretical
concepts.
Operationalizationinqualitativeresearchis
anafter-the-factdescriptionmorethanabefore-
the-factpreplannedtechnique.Almost in a re-
verseof the quantitativeprocess'datagathering
occurswith or prior to full operationalization.
 CHAPTER5 / Q UALI TATI VEAND Q U A N T I T A T I V EM E A S U R E M E N T I15

|ust asquantitativeoperationalizationdevi- sistanceto reformulation to acceptance,and

atesfrom a rigid deductiveprocess,the process with acceptance camenew corporatepolicy.The
followedby qualitativeresearchers is oneof mu- researchersalso drew on past studiesto argue
tual interaction.The researcherdrawson ideas that the "managerializationof law"
illustrates
from beyondthe data of a specificresearchset- onerole of top corporatemanagers-theyinno-
ting. Qualitativeoperationalizationdescribes vate and alter internal operationsby
creating
how the researchercollectsdata,but it includes new terms, justifications, and maneuvers
that
the researcher's use of preexistingtechniques help firms adjustto potential "disruptions"and
and conceptsthat wereblendedwith thosethat requirementsoriginatingin the corporation,s
emergedduring the data collectionprocess.In externalpolitical-legalenvironment.
qualitativeresearch,ideasand eyidencearemu-
tually interdependent.
We canseean exampleof qualitativeopera-
tionalizationin the study on managerialization RELIABITITYAND VALIDITY
of law by Edelmanand associates (2001)dis- Reliability and validity are central issuesin all
cussedin Chapter2. It is a descriptivestudythat measurement. Both concernhow concretemea_
developedone main construct.The researchers suresare connectedto constructs.
Reliability
beganwith an interestin how major U.S.corpo- and validity aresalientbecauseconstructsin sol
rationscameto acceptlegalmandatesfrom the cial theory are often ambiguous,diffuse,and
late,,l97Os to early 1990s.The mandatesstated not directly observable.perfect reliability and
thdt firms must institutepoliciesto equalizeand validity are virtually impossibleto achieve.
improve the hiring and promotion of racialrni- Rather,they are idealsfor which researchers
norities and women, somethingthe firms ini- strive.
tially opposed.The researcher'sempiricaldata All socialresearchers want their measures to
consistedof articlesin magazines written for and be reliableandvalid.Both ideasareimportant in
by corporatemanagers, or "managerialrhetoric', establishingthe truthfulness,credibility, or be-
(i.e:,debatesand discussionwithin the commu- lievabilityof findings.Both termsalsohavemul-
nity of leadingprofessionalmanagerson impor- tiple meanings. Here, they refer to related,
tant issues).After gatheringnumerousarticles, desirableaspectsof measurement.
the researchers operationalizedthe databy devel- Reliability meansdependabilityor consis-
oping working ideasand conceptsfrom an in- tency.It suggests that the samething is repeated
ductiveexaminationofthe data.Theresearchers or recursunderthe identicalor verysimilar
con-
discoveredthat as managersdiscussedand de- ditions. The oppositeof reliabilityis a measure-
liberated,they had createda setofnew nonlegal ment that yieldserratic,unstable,or inconsistent
terms,ideas,andjustifications.Theoperational- results.
ization moved inductivelyfrom looking at arti- Validity suggests truthfulnessand refersto
cles to creating working ideasbasedon what the match betweena construct,or the way a re-
researchers found in the rhetoric.Theresearchers searcherconceptualizes the ideain a conceptual
conceptuakzed their working ideasinto the ab- definition, and a measure.It refersto howwell
stractconstruct"managerializationoflaw." The an idea about reality "fits" with actual reality.
researchers sawthat that corporatemanagers Theabsence of validityoccursif thereis poor fit
had alteredand reformulatedthe original legal betweenthe constructsa researcher
usesto de-
termsand mandates,and creatednew onesthat scribe,theorize,or analyzethe socialworld and
weremore consistentwith the valuesand views what actuallyoccursin the socialworld. In
sim-
of major corporations.The researchers docu- ple terms,validity addresses the questionof how
menteda historicalprocessthat movedfrom re- well the socialreality being measuredthrough
I I6 PART ONE / FO UNDATI O NS
researchmatcheswith the constructs researchers
use to understand it.
Qualitative and quantitative researchers
want reliable and valid measurement, but be-
yond an agreement on the basic ideas at a gen-
eral level, each style sees the specifics of
reliability and validity in the research process
differently.
Reliability and Validity in
Quantitative Research
Reliability. As just stated,reliabilitymeansde-
pendability.It meansthat the numericalresults
producedby an indicatordo not vary becauseof
characteristics of the measurementprocessor
measurementinstrument itself. For example,I
geton mybathroom scaleand readmyweight. I
get offand get on againand again.I havea reli-
able scaleif it givesme the sameweight each
time-assuming, of course,that I am not eating,
drinking, changingclothing, and so forth. An
unreliable scalewill registerdifferent weights
eachtime, eventhough my "true" weight does
not change. Another example is my car
speedometer. If I am driving at a constantslow
speedon a level surface,but the speedometer
needlejumps from one end to the other, my
speedometeris not a reliableindicator of how
fastI am traveling.
How to Improve Reliability. It is rare to have
perfect reliability. There are four ways to in-
creasethe reliabilityof measures:(1) clearlycon-
ceptrtalizeconstructs,(2) use a preciselevel of
measurement,(3) use multiple indicators,and
(4) usepilot-tests.
ClearlyConceptualizeAll Constructs. Reliability
increaseswhen a singleconstructor subdimen-
sion of a constructis measured.This means
developingunambiguous,cleartheoreticaldefi-
nitions.Constructsshouldbe specifiedto elim.
nate "noise" (i.e., distracting or interfering
information) from other constructs.Eachmea-
sureshouldindicateone and only one concept.
Otherwise,it is impossibleto determinewhich
conceptis being "indicated." For example,the
indicator of a pure chemicalcompoundis more
reliablethan one in which the chemicalis mixed
with other materialor dirt. In the latter case,it is
the "noise"of othermaterial
difficult to separate
from the pure chemical.
Increasethe Levelof Measurement. Levelsof
measurementare discussedlater. Indicators at
higher or more preciselevelsof measurement
are more likely to be reliable than lessprecise
measures becausethe latter pick up lessdetailed
information. If more specificinformation is
measured,then it is less likely that anything
other than the constructwill be captured.The
generalprinciple is: Try to measureat the most
preciselevelpossible.However,it is more diffi-
cult to measureat higherlevelsof measurement
For example,if I have a choiceof measuring
prejudiceas eitherhigh or low, or in 10 cate-
goriesfrom extremelylow to extremelyhigh, it
would be better to measureit in 10 refined
categories.
IJseMultiple Indicatorsof a Variable. A third
wayto increasereliabilityis to usemultiple indi-
cators,becausetwo (or more) indicatorsof the
sameconstructarebetterthan one.Figure5.2il-
lustratesthe use of multiple indicators in hy-
pothesistesting.Three indicatorsof the one
independentvariableconstructare combined
into an overallmeasure,A, and two indicatorsof
a dependentvariablearecombinedinto a single
measure,B.
For example,I createthreeindicatorsof the
variable,racial-ethnicprejudice.My first indica-
tor is an attitude questionon a survey.I askre-
searchparticipantstheir beliefs and feelings
about many different racial and ethnic goups.
For a secondindicator, I observeresearchpar-
ticipants from variousracesand ethnic groups
interactingtogetherover the courseof three
days.I look for thosewho regularly either (1)
avoideyecontact,appearto be tense,and sound
cooland distant;or (2) makeeyecontact,appear
 CHAPTER5 , / Q UALI TATI VEAND Q U A N T I T A T I V EM E A S U R E M E N T
FI G U RE
Independent
_ _E1plrrgq!
_
VariableMeasure Association?
Specific Indicators
relaxed,an{ sound warm and friendly asthev in-
teract with people of their same or with people
of a difFerent racial-ethnic group. Last, I creite
an experiment. I ask research participants to
read the grade transcripts, resumes, and inter-
view reports on 30 applicants for five jobs-
youth volunteer coordinator, office manager,
janitor, clothing store clerk, and advertising ac-
count executive.The applicants have many qual-
ifications, but I secretly manipulate their racial
or ethnic group to seewhether a researchpartic-
ipant decides on the best applicant for the jobs
basedon an applicant'srace and ethnicity.
Multiple indicators let a researcher take
measurementsfrom a wider range ofthe content
of a conceptual definition. Didrent aspectsof
the construct can be measured, each with its
own indicator. Also, one indicator (e.g., one
question on a questionnaire) may be imperfect,
but several measures are less likely to have the
same (systematic) error. Multiple indiiator
measurestend to be more stable than measures
with one item.
Use Pretests, Pilot Studies, and Replication.
Reliability can be improved by using a pretest or
pilot version of a measure first. Develop one or
more draft or preliminaryversions of a measure
and try them before applying the final version in
II7
Dependent
VariableMeasure
SpecificIndicators
a hlpothesis-testingsituation. This takesmore
time and effort.
The principle of usingpilot-testsextendsto
replicatingthe measuresother researchers have
used.For example,I searchtheliteratureandfind
measuresof prejudicefrom pastresearch.I may
want to build on and usea previousmeasureif it
is a good one,citing the source,ofcourse.In ad_
dition, I may want to add new indicators and
comparethemto thepreviousmeasure.
Validity. Validity is an overusedterm. Some_
times, it is usedto mean "true" or "correct.',
Thereareseveralgeneraltypesofvalidity. Here,
we are concernedwith measurementvaliditv.
Therearealsoseveraltypesof measurement va-
lidiry Nonmearot"merritypesof validityaredis-
cussed later.
When a researchersaysthat an indicator is
valid, it is valid for a particularpurposeand def-
inition. The sameindicator canbe valid for one
purpose(i.e., a researchquestionwith units of
analysisand universe)but lessvalid or invalid
for others.For example,the measureof preju-
dicediscussed heremight bevalid for measuring
prejudiceamong teachersbut invalid for mea-
suringthe prejudiceofpolice officers.
At its core, measurementvalidity refersto
how wellthe conceptual and operationaldefini-

1 18 P A RToN E / F o u N D A T l o N s
tions meshwith eachother. The better the fit,
the greaterthe measurementvalidity.Validity is
moie difficult to achievethan reliabilrty'We
cannothaveabsoluteconfidenceaboutvalidity'
but somemeasuresaremorevalid than others'
The reasonwe canneverachieveabsolutevalid-
ity is that constructsare abstractideas,whereas
indicatorsrefer to concreteobservation'This is
the gapbefiveenour mental picturesabout the
world and the specificthingswe do at particular
times and places.Validity is part of a dynamic
processthat growsby accumulatingevidence
overtime. Without it, all measurement becomes
meaningless.
Three Types of M easurement Vali ility
FaceValidity. The easiestto achieveand the
most basickind of validity is facet'alidity' lt is a
judgment by the scientificcommunity that the
indlcator really measuresthe construct.It ad-
dresses the question,On the faceof it, do people
believethat the definition and method of mea-
surementfit? It is a consensusmethod' For ex-
ample, few peoplewould accepta measureof
collige studentmath ability using a question *iatut., I must either expandthe m.easureor
that askedstudents:2 + 2 = ?This is not a valid
measureof college-level math ability on the face
of it. Recallthat in the scientificcommunity,as-
pectsof researchare scrutinizedby others' See standardor criterion to indicatea constructac-
table 5.1 for a summaryof typesof measure- curately.The validity of an indicator is verified
ment validity.
TA B LE 5. I Summaryof Measurement
Validity Types
Face-in the judgmentof others
Content-captures the entiremeaning
Criterion-agrees with an externalsource
r Concurrent-agreeswith a preexistingmeasure
. Predictive-agreeswith future behavior
.--*+rdtl!6*l|F
ContentVatidity. Contentvalidity is a special
type offacevalidity' It addresses the question,Is
in a
** ntU content of a definition represented
ideas;it
measure? A conceptual definition holds
Mea-
is a "space" containing ideas and concepts'
,or", ,horrld representall ideasor areasin the
conceptual space. Content validity involves
threesteps.First, specifffi'rllythe entire content
in a consiruct'sdefinition.Next, samplefrom all
areasof the definition. Finally,developan indi-
catorthat tapsall of the partsof the definition'
An exampleof contentvalidity is my defin-
ition of feminismasa person'scommitmentto a
setof beliefscreatingfull equalitybetweenmen
and women in areasof the arts,intellectualpur-
suits,family, work, politics, and authority rela-
tions. I createa measureof feminismin which I
asktwo surveyquestions:(1) Should men and
women get equil pay for equal work a1d !z)
uttd*omen sharehouseholdtasks?
Should
-..t the
My measure low contentvaliditybecause
has
questions ask only about pay and household
two
tasks.They ignore the other areas(intellectual
pursuits,politics,authority relations,and other
aspectsof work and family). For a content-valid
narrow the definition.
CriterionValidity' Criterionvalidityusessome
by comparingit with anothermeasureof the
sameconstructthat is widelyaccepted'Thereare
two subtypesof this kind ofvalidity.
ConcurrentValidity. To haveconcurrentvalid-
with a preex-
ity, anindicatormustbe associated
isting indicator that is judged to be valid (i'e', it
hasfacevalidity). For example, you create a new
testto measure intelligence'For it to be concur-
rently valid, it shouldbe highly associated with
existingIQ tests (assuming the same definition
of inteiligenceis used).This meansthat most
people who score high on the old measure
tnoUa alsoscorehigh on the new one,and vice
versa.The two measuresmay not be perfectly
associated,but if they measurethe sameor a
 CHAPTER5 / Q UALI TATI VEA N D Q U A N T I T A T I V EM E A S U R E M E N T I I9

similar construct,it is logical for them to yield qualitativeresearchers

apply the principlesdif-
similar results. ferentlyin practice.

PredictiveValidity. Criterion validitywhereby Reliability. Reliabilitymeansdependabilityor

an indicator predictsfuture eventsthat arelog- consistency. Qualitativeresearchers usea variety
ically relatedto a construct is calledpredictive of techniques(e.g.,interviews,participation,
validity.It cannotbe usedfor all measures. The photographs,documentstudies,etc.) to record
measureand the actionpredictedmust be dis- their observationsconsistently.Qualitativere-
tinct from but indicatethe sameconstruct.Pre- searcherswant to be consistent(i.e.,not vacillat-
dictive measurementvalidity should npt be ing and erratic) in how, over time, they make
confusedwith prediction in hypothesistesting, observations, similar to the ideaof stabilityreli-
whereone variablepredictsa different variable ability. One difficulty is that they often study
in the future. For example,the ScholasticAs- processesthat are not stableover time. More-
sessmentTest (SAT) that many U.S. high over,they emphasizelheyalueof a changingor
school studentstake measuresscholasticapti- developinginteraction betweenthe researcher
tude-the.ability of a studentto perform in col- and what he or shestudies.
lege.If the SAT has high predictivevalidity, Qualitativeresearchers believethat the sub-
then studentswho gethigh SATscoreswill sub- ject matter and a researcher's relationshipto it
sequentlydo well in college.If studentswith should be a growing, evolving process.The
high scoresperform the sameas studentswith metaphor for the relationshipbetweena re-
averageot low scores,then the SAT has low searcherand the datais one ofan evolvingrela-
predictivevalidity. tionship or living organism (e.g.,a plant) that
Another way to testpredictivevalidity is to naturally matures.Most qualitativeresearchers
selecta group ofpeople who havespecificchar- resist the quantitative approach to reliability,
acteristicsand predict how they will score(very which they seeas a cold, fixed mechanicalin-
high or verylow) vis-d-visthe construct.For ex- strumentthat one repeatedlyinjectsinto or ap-
ample, I have a measureof political conser- pliesto somestatic,lifelessmaterial.
vatism. I predict that membersof conservative Qualitativeresearchers considera rangeof
groups (e.9.,John Birch Society,Conservative datasourcesand employmultiplemeasurement
Caucus,Daughtersof the AmericanRevolution, methods.They acceptthat differentresearchers
Moral Majority) will scorehigh on it, whereas or that researchersusing alternativemeasures
membersof liberalgroups(e.g.,DemocraticSo- will getdistinctiveresults.This is becausequali-
cialists,Peoplefor the American Way, Ameri- tativeresearchers seedatacollectionasan inter-
cansfor DemocraticAction) will scorelow. I activeprocessin which particularresearchers
"validate"the measurewith the groups-that is, operatein an evolvingsettingand the setting's
I pilot-test it by using it on membersof the contextdictatesusinga uniquemix of measures
groups.It can then be usedasa measureof po- that cannot be repeated.The diversemeasures
litical ponservatism for the generalpublic. and interactionswith diflerent researchers are
beneficialbecausethey can illuminate different
Reliability and Validity in Qualitative facetsor dimensionsof a subjectmatter. Many
qualitativeresearchers questionthe quantitative
Research
researcher's questfor standard,fixed measures.
Most qualitativeresearchers acceptthe princi- Theyfearthat suchmeasures ignorethe benefits
plesof reliability and validiry but usethe terms of havinga varietyof researchers with many ap-
infrequently becauseof their closeassociation proachesand may neglectkey aspectsof diver-
with quantitativemeasurement.In addition. sity that existin the socialworld.
12O PART oN E / FoUNDATI oNS

Vatiitity. Validity meanstruthful. It refersto Relationship between Reliability

the bridge betweena constructand the data' and Validity
Qualitative researchers are more interested in
for validity andis easierto
authenticity than validity ' Authenticity means Reliabilityis necessary
achievethan validity. Although reliabilityis nec-
giving a fair, honest,and balancedaccountof
essaryin order to have a valid measure of a con-
iociaillfe from the viewpoint of someonewho
cept,it doesnot guarantee that a measure willbe
lives it everyday.Qualitative researchersare
,.Jia. tt is not a suffcient condition for validity'
less concernedwith trying to match an ab-
stract concept to empirical data and more A measurecanproducethe sameresultoverand
concernedwith giving a candid portrayal of over (i.e.,it hasreliability),but what it measures
social life that is true to the experiencesof may not match the definition of the construct
people being studied.Most qualitativere- (i.e.,validity).
searchersconcentrateon waysto capturean A measurecan be reliablebut invalid. For
insideview and provide a detailedaccountof example,I get on a scaleand get weighed'The
how thosebeingstudiedfeelaboutand under- weight regiiteredby the scaleis the sameeach
standevents. timi I ger on and off. But then I go to another
Qualitativeresearchers havedevelopedsev- scale-an "official" one that measurestrue
eral methods that serveas substitutesfor the weight-and it saysthat my weight is twice.as
quantitativeapproachto validity.Theseempha- great.The first scaleyieldedreliable(i.e', de-
slzeconveyingthe insider'sview to others.His- pendableand consistent)results,but it did not
torical researchers use internal and external givea valid measureof mYweight.
criticisms to determine whether the evidence A diagrammight help you seethe relation-
theyhaveis realor theybelieveit to be. Qualita- ship berweenreliability and validiry'Figure 5'3
tive researchers adhereto the core principle of illuitratesthe relationshipbetweenthe concepts
validity, to be truthful (i.e.' avoid falseor dis- by using the analogyof a target.The bull's-eye
torted accounts).They try to createa tight fit ,"pr"r.ttt, a fit betweena measureand the defi-
betweentheir understanding,ideas'and state- nition of the construct.
mentsabout the socialworld and what is actu- Validity and reliability are usuallycomple-
ally occurringin it' mentary concepts,but in somesituationsthey

FI c u RE 5 . 3 lllustration of RelationshipbetweenReliabilityand validity

A Bull's-Eye= A PerfectMeasure

Low Reliability High ReliabilitY High ReliabilitY

and LowValiditY but Low ValiditY and High ValiditY

Adaptedfrom Babbie(2004:1a5)'
Source;
 CHAPTER5 / Q UALI TATI VEAND Q U A N T I T A T I V EM E A S U R E M E N T
conflict with eachother. Sometimes,asvalidity
increases, reliabfity is more difficult to attain,and
viceversa.This occurswhen the constructhasa
highly abstractand not easilyobservabledefini-
tion. Reliability is easiestto achievewhen the
measureis preciseandobservable. Thus,thereis a
strain betweenthe true essenceof the highly ab-
stractconstructand measuringit in a concrete
manner.For example,"alienation"is a very ab-
stract,highly subjectiveconstruct, often defined
as a deepinner senseof lossof one'shumanity
that diffirsesacrossmanyaspects of one'slife (e.g.,
socialrelations,senseofseli orientationtoward
nature).Highly precisequestionsin a question-
naire givereliablemeasures)but thereis a danger
of losingthesubjectiveessence of the concept.
Other Usesof the Terms Reliable
and Valid
Many words havemultiple definitions,includ-
ing reliabilityandvalidity.This createsconfusion
unlesswe distinguishamongalternativeusesof
the sameword.
Reliability, We usereliabilityin everydaylan-
guage.A reliablepersonis one who is depend-
able, stable,and responsible;a reliablecar is
dependableand trustworthy. This meansthe
personrespondsin similar, predictablewaysin
differenttimes and conditions;the samecanbe
saidfor the car.In addition to measurementre-
Jiabiliry researcherssometimessaya studyor its
resultsare reliable.By this, they mean that the
method of conductinga study or the results
from it canbe reproducedor replicatedby other
researchers.
Internal Validity, Internal validity means
there are no errorsinternal to the designofthe
researchproject. It is usedprimarily in experi-
mental researchto talk about possibleerrorsor
alternativeexplanationsofresults that arisede-
spiteattemptsto institute controls.High inter-
nal validity meanstherearefewsucherrors.Low
internal validity means that such errors are
likelv.
121
External Validity. ExternalvalidlrTis usedpri-
marily in experimentalresearch.It is the ability
to generalize findingsfrom a specificsettingand
smallgroupto a broadrangeof settingsandpeo-
ple. It addressesthe question,If somethinghap-
pensin a laboratoryor amonga particulargroup
of subjects(e.g.,collegestudents),can the find-
ingsbe generalized to the "real" (nonlaboratory)
world or to the generalpublic (nonstudents)?
High externalvalidity meansthat the resultscan
be generalizedto many situationsand many
groups of people.Low externalvalidity means
that the resultsapplyonly to averyspecificsetting.
Statistical Valiility. Statisticalvalidity means
that the correct statisticalprocedureis chosen
and its assumptionsarefully met. Difflerentsta-
tistical testsor proceduresare appropriatefor
differentconditions,which arediscussed in text-
booksthat describethe statisticalprocedures.
All statisticsarebasedon assumptions about
the mathematicalpropertiesof the numbersbe-
ing used.A statisticwill be invalid and its results
nonsenseif the major assumptionsareviolated.
For example,to computean average(actuallythe
mean,which is discussed in a later chapter),one
cannot useinformation at the nominal level of
measurement(to be discussed). For example,
supposeI measurethe raceof a classof students.
I give eachrace a number: White = 1, African
American= 2, Asian= 3, others= 4. It makesno
senseto saythat the "mean" raceof aclassof stu-
dentsis 1.9(almostAfricanAmerican?). This is a
misuseof the statisticalprocedure,and the re-
sultsare invalid evenif the computationis cor-
rect.The degreeto which statisticalassumptions
can be violated or bent (the technical term is
robustness) is a topic in which professionalstatis-
ticianstakegreatinterest.
A GUIDE TO QUANTITATIVE
MEASUREMENT
Thus far, you havelearnedabout the principles
of measurement, includingthe principlesof reli-
122 PART ONE , / FO UNDATI O NS
abiiity andvalidity. Quantitativeresearchers have
developedideasandspecialized measures help
to
them in the processofcreatingoperationaldefi-
nitions that will be reliableand valid measures
and yield numericaldatafor their variablecon-
structs.This sectionof the chapteris abrief guide
to theseideasand a few of the measures.
Levelsof Measurement
Levelsof measurement is an abstractbut impor-
idea. Basically,it saysthat
tant and widely used
somewaysa researcher measures a constructare
at a higher or more refined level,and othersare
-or
crude less precisely specified. The level of
measurementdepends on the way in which a
assump-
construct is conceptualized-that is,
tions aboutwhether it has particular characteris-
tics. The levelof measurementaffectsthe kinds
of indicatorschosenand is tied to basicassump-
tions in a construct's definition. The way in
which a researcher conceptualizes avariablelim-
its the levelsof measurement he or shecan
that
useand hasimplicationsfor how measurement
and statisticalanalysiscanproceed.
Continuous and Discrete Variables. Vari-
ablescan be thought of asbeing either contin-
uous or discrete.Continuousvariableshavean
infinite number of valuesor attributesthat flow
along a continuum. The valuescan be divided
into many smallerincrements;in mathematical
theory, there is an infinite number of incre-
ments.Examplesof continuousvariablesin-
cludetemperature,age,income,crime rate,and
amount of schooling. Discretevariableshave a
relativelyfixed setof separatevaluesor variable
attributes.Insteadof a smooth continuum of
values,discretevariablescontain distinct cate-
gories.Examplesof discretevariablesinclude
gender(male or female),religion (Protestant'
batholic, Iew, Muslim, atheist),and marital
status (never married single, married, di-
vorced or separated,widowed)' Whether a
variable is continuous or discreteaffectsits
levelof measurement.
Four Levelsof Measurement
Precisionand Levels. The ideaof levelsof mea-
surementexpandson the differencebetween
continuousand discretevariablesand organizes
typesofvariablesfor their usein statistics'The
iiur levelsof measurementcategotizethe degree
of precisionof measurement.
Deciding on the appropriatelevel of mea-
surementfor a construct often createsconfu-
sion.The appropriatelevelof measurement for a
variabledependson tlvo things: (1) how
lcol-
structis conceptualized and (2) the type of indi-
catoror measurementthat a researcher uses'
The way a researcher conceptualizes a
constructcanlimit how precisely it canbe mea-
sured.For example)someof the variableslisted
earlierascontinuouscanbe ri:conceptualized as
discrete.Temperature can be a continuous vari-
able(e.g.,degrees, fractionsofdegrees)or it can
be crudely measuredwith discretecategories
(e.g.,hot or cold). Likewise,agecanbe continu-
oni (ho* old a personis in years,months,days,
hours,and minutes) or treatedasdiscretecate-
gories(infancy,childhood, adolescence, young
dis-
id,rlthood, middle age, old age). Yet, most
con-
cretevariablescannot be conceptualized as
tinuousvariables.For example,sex,religion,and
marital statuscannotbe conceptualizedascon-
tinuous;however,relatedconstructscanbe con-
ceptualizedas continuous (e.g., femininity,
degreeof religiousness, commitmentto a mari-
tal relationship,etc.).
Thelevelof measurementlimits the statisti-
cal measuresthat can be used.A wide rangeof
powerful statisticalproceduresare availablefor
ihe higherlevelsof measurement,but the types
of statisticsthat canbe usedwith the lowestlev-
elsarevery limited.
Thereis a practicalreasonto conceptualize
and measurevariablesat higher levelsof mea-
surement.You cancollapsehigherlevelsof mea-
surementto lower levels,but the reverseis not
true. In other words, it is possibleto measurea
constructvery precisely,$athervery specificin-
formation, and then ignore someof the preci-
sion.But it is not possibleto measurea construct
 CHAPTERs , / Q UALI TATTVE
AND QU A N T T T A T T VM
E EASUREMENT 123

with lessprecisionor with lessspecificinforma- numbersdouble,becausezerodegreesis not the

tion and then makeit more preciselater. absenceofall heat.
Discretevariablesarenominal and ordinal.
DistinguishingamongtheFourLwels. The four whereascontinuousvariablescan be measured
levelsfrom lowestto greatestor highestpreci- at the interval or ratio level.A ratio-levelmea-
sion are nominal, ordinal, interval, and ratio. sure can be turned into an interval,ordinal, or
Eachlevel givesa different type of information nominal level.The interval level can alwaysbe
(seeTable5.2).Nominalmeasures indicateonly turned into an ordinal or nominal level,but the
that thereis a differenceamongcategories(e.g., processdoesnot work in the oppositeway!
religion: Protestant,Catholic, Iew, Muslim; In general,useat leastfive ordinal categories
racial heritage:African, Asian, Caucasian,His- and obtain many observations.This is because
panic, other). Ordinal measuresindicate a dif- the distortion createdby collapsinga continu-
ference,plus the categoriescan be ordered or ous constructinto a smallernumber of ordered
ranked(e.g.,letter grades:A, B, C, D, F; opinion categoriesis minimized asthe number of cate-
measures:Strongly Agree, Agree, Disagree, goriesand the number of observations
increase.
StronglyDisagree). Interval measureseverything The ratio level of measurementis rarely
the first two do,plus itcan speci$'the amountof usedin the socialsciences. For most purposes,it
distancebetweencategories(e.g.,Fahrenheitor is indistinguishablefrom intervalmeasurement.
Celsiustemperature:5o,45o,90';Ie scores:95, The only differenceis that ratio measurement
110,125).Arbitrary zeroesmay be usedin inter- hasa "true zero."This canbe confusingbecause
val measures;they are just there to help keep somemeasures, like temperature,havezeroes
score.Ratiomeasures do everythingall the other that arenot true zeroes.The temperaturecanbe
levelsdo,plusthereis a true zero,which makesit zero) or below zero, but zero is an arbitrary
possibleto staterelationsin termsof proportion numberwhen it is assignedto temperature.This
or ratios(e.g.,moneyincome:$10,$100,$500; can be illustrated by comparing zero degrees
yearsof formal schooling:I year, 10 years,13 Celsiuswith zero degreesFahrenheit-they are
years); different temperatures.In addition, doubling
In most practicalsituations,the distinction the degreesin one systemdoesnot double the
betweenintervaland ratio levelsmakeslittle dif- degreesin the other. Likewise,it doesnot make
ference.The arbitrary zeroesof some interval senseto saythat it is "twice aswarm," asis pos-
measurescan be confusing.For example,a rise siblewith ratio measurement, ifthe temperalure
in temperaturefrom 30 to 60 degreesis not re- risesfrom 2to 4degrees,from 15to 30 degrees,
ally a doubling of the temperature,althoughthe or from 40 to 80 degrees. Another common ex-

T ABT E Characteristicsof the Four Levelsof Measurement

Nominal Yes
Ordinal Yes Yes
Interval Yes Yes Yes
Ratio Yes Yes Yes Yes
124 P A Rr oN E ,/ F o u N D A T Io N s

ample of arbitrary-not true-zeroes occurs
when measuring attitudes where numbers are
assignedto statements (e.g., - 1 = disagree,0 =
no opinion, +1 = agree).True zeroesexist for
variables such as income, age,or years of educa-
tion. Examples of the four levelsof measurement
are shown in Table 5.3.
Specialized Measures: Scales
and Indexes
Researchershave created thousands of different
scalesand indexes to measure social variables.
For example, scalesand indexes have been de-
veloped to measure the degree of formalization
in bureaucratic organizations, the prestige ofoc-
cupations, the adjustment of people to a mar-
riage, the intensity ofgroup interaction, the level
of social activity in a community, the degree to
which a state'ssexualassaultlaws reflect feminist
values, and the level of socioeconomic develop-
ment of a nation. I cannot discussthe thousands
of scalesand indexes. Instead, I will focus on
principles of scale and index construction and
explore some major types.
Keep two things in mind. First, virtually
every social phenomenoncan be measured.
Someconstructscan be measureddirectly and
produceprecisenumericalvalues(e.g.,family
income).Other constructsrequire the use of
surrogatesor proxiesthat indirectly measurea
variableand may not be asprecise(e.g.,predis-
position to commit a crime). Second,a lot can
be learnedfrom measuresused by other re-
You arefortunateto havethe work of
searchers.
thousandsofresearchers to draw on. It is not al-
waysnecessaryto startfrom scratch.You canuse
a past scaleor index, or you can modif it for
your own purposes.
Indexesand Scales. You might find the terms
index andscaleconfusingbecausethey are often
usedinterchangeably.One researcher's scaleis
another'sindex.Both produceordinal- or inter-
val-levelmeasuresof a variable.To add to the
confusion,scaleand index techniquescan be
combined in one measure.Scalesand indexes
give a researchermore information about vari-'
the qualityof
ablesand makeit possibleto assess
measurement.Scalesand indexesincreaserelia-

TA B LE 5.3 Exampleof Levelsof Measurement

Religion(nominal) Differentreligious denominations Baptist)arenot

Catholic,Lutheran,
(Jewish,
ranked, as closerto heaven).
just different(unlessone beliefis conceptualized
Attendance(ordinal) "How often do you attend religiousservices?(0) Never,(.1) lessthan oncea
year,(3) severaltimesa year,(4) about once a month,(5) two or three times
a week,or (8) severaltimesa week?"This might havebeenmeasuredat a ratio
levelifthe exactnumberoftimesa Personattendedwasaskedinstead.
lQ Score(interval) Most intelligencetests areorganizedwith 1 00 as average,middle,or normal.
Scoreshigheror lowerindicatedistancefrom the average.Someonewith a
scoreof I I 5 hassomewhataboveaveragemeasuredintelligence for people
the test, while90 is slightlybelow.Scoresof below65 or aboveI 40
l:.r::":O
Age (ratio) Age is measuredby yearsof age.Thereis a true zero (birth)' Note that a 40-
year-oldhaslivedtwiceas longasa 2O-year-old.
 CHAPTER5 / Q UALI TATI V EA N D Q U A N T I T A T I V EM E A S U R E M E N T
Formost purposes, you cantreat scalesand indexes
as interchangeable. Socialresearchers do not usea
consistentnomenclatureto distinguishbetween
them.
Ascaleisa measure in whicha researcher captures
the intensity,direction,level,or potencyof a variable
construct.lt arrangesresponses or observations on
a continuum. A scalecan use a singleindicatoror
multipleindicators.Most are at the ordinallevelof
measuremenL
Anindexis a measurein whicha researcher adds
or combinesseveraldistinctindicatorsof a construct
into a singlescore.This compositescoreis often a
simplesum of the multipleindicators.lt is usedfor
content and convergentvalidity.Indexesare often
measuredat the intervalor ratio level.
Researchers sometimescombinethe featuresof
scalesand indexesin a singlemeasure. This is com-
mon when a researcherhas severalindicatorsthat
are scales(i.e.,that measureintensityor direction).
He or she then adds these indicatorstogether to
yielda singlescore,therebycreatingan index.
bility and validity, and they aid in data reduc-
tion; that is, they condenseand simplify the in-
formationthat is collected(seeBox 5.2).
Mutually Exclush,eand ExhaustiveAttributes.
Beforediscussingscalesand indexes,it is impor-
tant to review featuresof good measurement.
The attributesof all measures,including nomi-
nal-levelmeasures, shouldbe mutuallyexclusive
and exhaustive.
Mutually exclusive attributesmeansthat an
individual or casefits into one and only one at-
tribute of a variable. For example,a variable
measuringtype of religion-with the attributes
Christian,non-Christian,and Jewish-is not
mutually exclusive.Judaismis both a non-
Christianreligionand a |ewishreligion,soa Iew-
ish personfits into both the non-Christianand
125
the Jewish category.Likewise, a variable measur-
ing type of ciry with the attributes river port city,
state capital, and interstate highway exit, lacks
mutually exclusive attributes. One city could be
all three (a river port state capital with an inter-
state exit), any one of the three, or none of the
three.
Exhaustiveattributes means that all casesfit
into one of the attributes of a variable. When
measuring religion, a measure with the attrib-
utes Catholic, Protestant, and Jewish is not ex-
clusive. The individual who is a Buddhist, a
Moslem, or an agnostic does not fit anl.where.
The attributes should be developed so that every
possible situation is covered. For example,
Catholic, Protestant, Iewish, or other is an ex-
clusive and mutually exclusive set of attributes.
Unidimensionality. In addition to being mu-
tually exclusive and exhaustive, scales and in-
dexes should also be unidimensional. or one
dimensional. Unidimensionality means that all
the items in a scaleor index fit together, or mea-
sure a single construct. Unidimensionality was
suggestedin discussionsofcontent and concur-
rent validity. Unidimensionality says: If you
combine several specific pieces of information
into a single score or measure,have all the pieces
work together and measure the same thing. Re-
searchersuse a statistical measure called Cron-
bach's alpha to assessunidimenionality. Alpha
ranges from a maximum of 1.0 for a perfect
scoreto zero. To be considereda good measure,
the alpha should be .70 or higher.
There is an apparent contradiction between
using a scale or index to combine parts or sub-
parts of a construct into one measure and the
criteria of unidimensionality. It is only an appar-
ent contradiction, however, becauseconstructs
are theoretically defined at different levels ofab-
straction. General, higher-level or more abstract
constructs can be defined as containing several
subparts. Each subdimension is a part of the
construct's overall content.
For example, I define the construct "femi-
nist ideology" as a general ideology about gen-
'| .26 P A Rr oN E / F o u N D A rl o N S
der. Feminist ideologyis a highly abstractand
generalconstruct.It includesspecificbeliefs-and
attitudestowardsocial,economic,political,fam-
ilv, and sexualrelations'The ideology'sfive be-
lief areasarepartsof the singlegeneralconstruct'
The parts aremutually reinforcingand together
form a system of beliefs about the dignity'
strength,and powerof women.
If feministideologyis unidimensional,then
there is a unified belief systemthat varies from
very antifeministto very profeminist.We cantest
thevalidity of the measurethat includesmultiple
indicators that tap the construct'ssubparts'If
one belief area(e.g.,sexualrelations)is consis-
tently distinct from the other areasin empirical
tests,thenwe questionits unidimensionality.
It is easyto becomeconfused:A specific
measurecanbe an indicatorof a unidimensional
constructin one situationand indicatea part of
a differentconstructin anothersituation.This is
possiblebecauseconstructscan be usedat dif-
ferentlevelsof abstraction.
For example,a person'sattitude toward
genderequalitywith regardto pay is more spe-
iific andlessabstractthan feministideology(i.e',
beliefsabout genderrelationsthroughout soci-
ety).An attitudetoward equalpay canbe both a
unidimensionalconstructin its own right and a
subpartof the more generaland abstractunidi-
mensional construct, ideologytoward gendet
relations.
I N D EXC ONS TRUCTION
The Purpose
You hearaboutindexesall the time. For example'
U.S.newspapers reportthe FederalBureauof In-
vestigation(FBI) crime index and the consumer
price index (CPI). The FBI index is the sum of
police reports on sevenso-calledindex crimes
icriminaf homicide,aggravatedassault,forcible
rape,robbery,burglary larcenyof $50 or more'
andautotheft).It beganwith the Uniform Crime
Reportin 1930.The CPI, which is a measureof
inflation,is createdbytotalingthe costof buying
a list of goodsand services(e'g.,food, rent, and
utilities) and comparingthe total to the cost of
buyrng the samelist in the previousyear' The
consumerprice index hasbeenusedby the U'S'
Bureauof Labor Statisticssince1919;wagein-
creases, union contracts,and socialsecuritypay-
mentsarebasedon it. Anindexisa combination
of items into a singlenumericalscore.Various
componentsor subpartsof a constructate each
measured,then combinedinto onemeasure'
Therearemanyt)?es of indexes.For exam-
ple, if you take an examwith 25 questions'the
iotal number of questionscorrectis a kind of in-
dex. It is a compositemeasurein which each
questionmeasuresa small pieceof knowledge,
and all the questionsscoredcorrector incorrect
aretotaledto producea singlemeasure.
Indexesmeasurethe most desirableplaceto
live (basedon unemployment,commutingtime,
crime rate, recreationopportunities,weather,
and so on), the degreeof crime(basedon com-
bining the occurrenceof different specific
crimes),the mentalhealthof a person(basedon
the person'sadiustmentin variousareasof life),
and the like.
One way to demonstratethat indexesare
not verycomplicated isto useone.Answeryesor
no to the sevenquestionsthat follow on the
characteristicsof an occupation.Baseyour an-
swerson your thoughtsregardingthe following
four occupations:long-distancetruck driver,
medicaldoctor,accountant,telephoneoperator'
Scoreeachanswer1 foryes and 0 for no'
1. Doesitpay agoodsalary?
2. Is the job securefrom layoffsor unemploy-
ment?
3. is the work interestingand challenging?
4. Are its working conditions (e.g.,hours'
safety,time on the road) good?
5. Are thereopportunitiesfor careeradvance-
ment and Promotion?
6. Is it prestigiousor lookedup to by others?
7. Doei it permit self-directionand the free-
dom to makedecisions?
 LHAPTER 5 , / Q UALI TAT I V EA N D
Q U A N T I T A T I V EM E A S U R E M E N T 127

Total the sevenanswersfor eachof the f<lur

arethreatenedwheneyerdatafor some
occuparions.Which had the highestand casesare
which missing.There are four waysto attempt
had the lowest score?The ,",o""r,qu.sti,orr, to re_
solvethe problem,but none fullv solve
my operationaldefinition of the construct "r. it.
sood Fo-rexample,I constructan index of the
occupation. Eachquestionrepresents a sub"part de_
greeofsocietaldevelopmentin1975for
ot my theoreticaldefinition.A differenttheoret_ 50 na_
uons. lhe lndex contains four items:
ical definition would result in aiff.r.rrt life
qu.s_ expectancy, percentageof homeswith indoor
tions,perhapsmore than seven.
plumbmg,percentage ofpopulation that is liter_
Creatingindexesis so easythat it is impor_
ate,and numberof telephones per 100p.opL. t
tant to be carefi.rlthat everyitem in the index
has locatea sourceof united Natilns sta*;i;-for
facevalidity. Itemswithout facevalidity,fr""fa
myinformation. Thevaluesfor Belgium
be excluded.Eachpart of the constru.i ar.6g _
,f,o"fa 87 +97 +28;for Turkey,thescore"s
be measuredwith at least one indicator. areSS+-le
Of + 49 + 3; for Finland, however,I discover
course,it is betterto measurethe partsof that
a con_ literacy data are unavailable.t check-othe.
structwith multiple indicators.
sourcesof information, but none has the
daiu
becausetheywerenot collected
Weighting
An important issuein index construction Rates and Standardization
is
whetherto weight items' unless it is otherwise
You haveheard.ofcrime rates,ratesof popula-
stated'assumethat an indexis unweighted-Like-
ti"; gr;;;;l.ra ,rr. unemploymentrate.some
wise' unlessyou havea good theorJtical,.*on
indeies ani single-indicatormeasures
for assigning differeni weights, use are ex-
. equal pr"rr.J;;;; Ratesinvolveriu"au.iiri"g rir"
weights' An unweightedindei give, ea.h ilm valueof an item to makecomparisonspossible.
equal weight' It involvesidding up the
items Theitemsin an indexfrequentlyneedto
without modification:f ti.r. be stan-
dardizedu"ro."trr.y.an be combined.
by 1 (or - 1 for itemsthat]1...h -uttifii"a
arenegative). stundardizationinvolves selectinga
In a weightedindex, a reseaichervalues.or base
and dividing a raw measureby the base.
weightssomeitems more than others'The For ex-
size ampl_e, aq.i rr"a l0 murdersand city B had 30
of weightscan come from theoreticalassump-
in the sameyear.In order to compare
tions' the theoreticaldefinition, or u r,uiirii.ul -.rid"r, ir tt two cities,
murde^ the raw number
technique such as factor analysis.weighting " tobe
of murdersneeds standardized,bythecity
thetheoreticar
definitionor trrt .orr- popuration.
;Xili"r If thecities .rry,
"rtih;r;;;#,
weighting canproduce
dirrerent
index ;[i';x;]:'i:::iHrt:irtffH::ftl,ril
scores'but in most cases,weighted and un- peopleurrl city u has600,000,then the
weighted indexes vield simila-rresults. murder
Re- rateper 100,000 is 10for cityA and5 for cityB.
searchersut" to"tt"t.d with ttr" t.tuilorrrt
ip stu.rau.Ji-tion makesit possibleto com-
between variables, and weight.a u"J
pare different units on a common
weightedindexesusuallygivesi'milar,.rJt, ".r- base.The
fo. processof standardizutiorr, ui- lJt. i)r*irg,
the relationshipsbetweenvariables'
removesthe effectof relevantbut different
char-
acteristicsin orderto makethe important
differ_
Missing Data encesvisible.For example,thereur" t
o classes
Missing
data
canbeaserious
problem
when :ff#t"t:::flT",n:1X11:iTH:tr1Xil
constructing an index' validitland reliability
compare the rate or incidence of smokers
by
128 P A RTo N E / F o u N D Aro N s
standardizingthe number of smokersby the size
ofthe classes. The art classhas 32 studentsand
the biology classhas 143students.One method
of standardizationthat you alreadyknow is the
useof percentages, wherebymeasuresare stan-
dardizedto a common baseof 100.In terms of
percentages, it is easyto seethat the art classhas
more than twice the rate of smokers(37.5per-
cent)than thebiologyclass(15.4percent).
A critical questionin standardizationis de-
ciding what baseto use.In the examplesgiven,
how did I know to usecity sizeor classsizeasthe
base?The choice is not alwaysobvious; it de-
pendson thetheoreticaldefinitionof a construct.
Different basescan producedifferentrates.
For example,the unemploymentratecanbe de-
fined asthe number of peoplein the work force
who areout ofwork. Theoverallunemployment
rateis:
Number of
unemployedpeople
Unemploymentrate =
Total number of
peopleworking
We candividethe total populationinto sub-
groupsto getratesfor subgroupsin the popula-
tion such as White males,African American
females.African American malesbetweenthe
agesof 18and 28,or peoplewith collegedegrees.
Ratesfor thesesubgroupsmay be more relevant
to the theoreticaldefinitionor researchproblem.
For example,a researcherbelievesthat unem-
ployment is an experiencethat affectsan entire
householdor family and that the baseshouldbe
households,not individuals.The rate will look
like this:
Number of households
with at leastone
New unemployedperson
Unemployment =
rate Total number
ofhouseholds
Different conceptualizations
suggestdiffer-
ent basesand different ways to standardize.
When combiningseveralitemsinto an index,it
is best to standardizeitems on a common base
(seeBox5.3).
S CA L E S
The Purpose
Scaling,like index construction,createsan ordi-
nal, interval, or ratio measureof a variableex-
pressedasa numericalscore.Scales arecommon
in situationswhere a researcherwants to mea-.
sure how an individual feels or thinks abouti
something.Somecall this the hardnessor po-
tenry of feelings.
Scalesare usedfor two relatedpurposes
First, scaleshelp in the conceptualizationand
operationalizationprocesses. Scalesshowthe fit
betweena set of indicatorsand a singlecon-
struct. For example,a researcherbelievesthat
there is a singleideologicaldimension'thatunr
derliespeople'sjudgmentsabout specificpoli-
cies (e.g.,housing,education,foreign affairs,
etc.).Scalingcanhelp determinewhethera sin-
gle construct- for instance,"conservative/lib-
eral ideology"-underlies the positions people
takeon specificpolicies.
Second,scalingproducesquantitativemea-
suresand canbe usedwith othervariablesto test
hypotheses. This secondpurposeof scalingis
our primary focusbecauseit involvesscalesasa
techniquefor measuringa variable.
Logic of Scaling
As statedbefore,scalingis basedon the idea of
measuringthe intensity,hardness,or potencyof
a variable.Graphicrating scalesare an elemen-
tary form of scaling.Peopleindicatea rating by
checkinga point on a line that runs from oneex-
treme to another. This type of scaleis easyto
constructand use.It conveysthe idea ofa con-
tinuum, and assigningnumbershelpspeople
think aboutquantities.A built-in assumptionof
scalesis that people with the samesubjective
feelingmark the graphicscaleat the sameplace.
 CHAP TER5 , / Q UALI TATI VEAND Q U A N T I T A T I V EM E A S U R E M E N T 129

Sportsfansin the UnitedStateswerejubilantabout ulationsand wealth.The resultsshowthat the Ba-

"winning" at the 2000 Olympicsby carryingoff the
most gold medals.However,becausethey failedto
standardize,the "win" is an illusion.Of course,the
world'srichestnationwith the third largestpopula-
tion doeswellin one-on-one competitionamongall
nations.To seewhatreallyhappened, one muststan-
dardizeon a baseof the population or wealth.Stan-
dardizationyields a more accuratepicture by
adjustingthe resultsasifthe nationshadequalpop-
hamas, withlessthan3 00,000 citizens (smaller than
a medium-sized U.S.city), proportionatelywon the
mostgold.Adjustedfor its populationsizeor wealth,
the UnitedStatesis not evennearthe top; it appears
to be the leaderonly becauseof its great sizeand
wealth.Sportsfansin the UnitedStatescanperpet-
uatethe illusionof beingat the top only if they ig-
nore the comparativeadvantageof the United
States.

TOPTENGOLDMEDALWINNINGCOUNTRIES
AT THE2OOOOLYMPICS
IN SYDNEY

I USA 39 Bahamas I s3.3 20.0

2 .r0.0
Russia 32 Slovenia z 10
3 China 28 Cuba tt 9.9 50.0
4 Australia 16 Norway 4 9.1 2.6
5 Germany 1+ Australia 16 8.6 4.1
6 France 13 Hungry 8 7.9 16.7
7 Italy 13 Netherlands 12 7.6 3.0
8 Netherlands 12 Estonia I 7.1 20.0
9 Cuba 11 Bulgaria 5 6.0 41.7
10 Britain t'l L i th u a n i a 2 5.4 18.2
EUls- . 80 EU l 5 80 2.1 0.9
USA 39 1.4 0.4
Note:'Populationis gold medalsper 10 millionpeopleandCDPis gold medalsper $.10 billion;
'"EU15 is the 'l 5 nationsof the European
Uniontreatedasa singleunit.
Source:AdaptedfromTheEconomist, October7,2OOO,p. 52.

Figure5.4 is an exampleof a "feelingther- measureattitudes toward candidates,social

mometer"scalethat is usedto find out how peo- groups,and issues.
ple feelaboutvariousgroupsin society(e.g.,the
National Organizationof Women, the Ku Klux
Commonly Used Scales
Klan, labor unions, physicians,etc.). This tJpe
of measurehasbeenusedby political scientists Likert Scale. You have probably usedLikert
in the National ElectionStudy since 1964to scales;
theyarewidelyusedand very common in
130 PART ONE , / FO UNDATI O NS
FI G URE 5. 4 " F e e l i n g T h e rmo me te r"
Graphic Rating Scale
1 00 VeryWarm
90
80
NeitherWarmnor Cold
VeryCold
survey research.They were developedin the
1930sby RensisLikertto providean ordinal-level the
measureof a person'sattitude.Likert scalesusu-
ally askpeopleto indicatewhetherthey agreeor
disagreewith a statement.Other modifications
arepossible;peoplemight be askedwhetherthey
approveor disapprove,or whetherthey believe same
somethingis "almost alwaystrue." Box 5.4 pte-
sentsseveralexamplesof Likert scales.
Likert scalesneeda minimum of two cate- always
gories,such as "agree"and "disagree."Using
only two choicescreatesa crude measureand
forcesdistinctionsinto only two categories.
usuallybetter to usefour to eight categories.
researcher cancombineor collapsecategories
ter the dataarecollected,but datacollectedwith
crude categoriescannot be made more precise all the
later.
You can increasethe number of categories
at the end of a scaleby adding"strongly agtee," scaled
"somewhatagtee,""very stronglyagree,"and so
forth. Keep the number of choicesto eight or
nine at most. More distinctions than that are
probably not meaningful,and peoplewill be-
come confused.The choicesshouldbe evenly
balanced(e.g.,"strongly agree,""agree"with
"stronglydisagree,""disagree").
Researchers havedebatedaboutwhetherto
offer a neutralcategory(e.g.,"don't know," "ul')-
decided,""no opinion") in addition to the di-
rectionalcategories(e.g.,"disagree,""agree").
A neutral categoryimplies an odd number of
categories.
A researchercan combine severalLikert I
scalequestionsinto a compositeindex if they all
measurea singleconstruct.Considerthe Social
DominanceIndex that van Laar and colleagues
(2005)usedin their study of racial-ethnicatti-
tudesamong collegeroommates(seeBox 5.5),
As part of a largersurvey,they askedfour ques-
tions aboutgroupinequalrty.Theanswerto eacA
question was a seven-point Likert scalewittr,
choices from Strongly Disagree to Strongly
Agree.They createdthe indexby addingthe an-
swers for each student to create scoresthat
rangedfrom 4 to 28. Notice that they worded
question numberfour in a reversedirectionfrom
other questions.The reasonfor switchingdi.
rections in this wayis to avoidthe problemof the
response set. Theresponseset,alsocalledresponse
style and response bi.as,is the tendencyof some
people to answer alarge number of items in the
way (usually agreeing) out of lazinessor a
psychological predisposition. For example,if
items are worded so that saytng "stronglyagred'
indicates self-esteem, we would not know
whether a person who always strongly agreed had
high self-esteem or simply had a tendency to
It is agree with questions. The person might be an-
A swering"strongly agree"out of habit or a ten-
af- dencyto.agree.Researchers word statementsin
alternative directions' so that anyonewho agrees
time appears to answer inconsistentlyor to
havea contradictory oPinion.
Researchers often combine many Likert-
attitude indicators into an index. The
scaleand indexes have properties that areassoci-
 IN A T ICN ) / .JUALIIAIIVL ANU Q U AN IIIAT IVE M EASU R EM EN T I31

The RosenbergSelf-EsteemScale
All in all,I am inclinedto feelthat I ama failure:
1. Almostalwaystrue
2. Often true
3. Sometimes true
4. Seldomtrue
5. Nevertrue

A Student Evaluationof Instruction Scale

Overall,I ratethe qualityof instructionin this courseas:
Excellent Cood Average Fair poor

A Market ResearchMouthwashRating Scale

Dislike Dislike Dislike Like Like Like
Brand Completely Somewhat a Little a Little Somewhat Completely

Work Group SupervisorScale

My supervisor:

Letsmembersknowwhat is expectedofthem I z 3 4 5
ls friendlyand approachable I 2 3 4 5
Treatsall unit members
as equals 1 2 3 4 5

ated with improving reliability and validiry. An
index uses multiple indicators, which improves
reliability. The use of multiple indicatois that
measure several aspectsof a construct or opin-
lon rmproves content validity. Finally, the index
scoresgive a more precise quantitative measure
of a person's opinion. For example, each per-
son's opinion can be measured with a number
from l0 to 40, instead of in four categories:
"strongly agree," "agree," "disagree,'; and
"strongly disagree."
Instead of scoring Likert items, as in the pre-
vious example,the scores-2, -1,+t, +2 could
be used. This scoring has an advantagein that a
zeto implies neutrality or complete ambiguity,
whereas a high negative number means an atti-
tude that opposes the opinion represented by a
high positive number.
The numbers assignedto the responsecate_
gories are arbitrary. Remember that the use of a
zero does not give the scaleor index a ratio level
of measurement. Likert scalemeasuresare at the
't32 PART ONE , / FO UNDATI O NS
ExampleI
In a study of collegeroommatesand racial-ethnic
groups,van Laarand colleagues(2005) measured
SocialDominance(i.e.,a feelingthat groupsarefun-
damentallyunequal)with the followingfour-itemin-
dex that used a Likert scale,from I (Strongly
Disagree)to 7 (StronglyAgree).
.l
. lt is probablya good thing that certaingroups
are at the top and other groupsareat the bot-
tom.
2. lnferiorgroupsshouldstay in their place.
3. We shoulddo allwe canto equalize
the condi-
tions of differentgroups.
4. We shouldincreasesocialequality.-
.NOTE:
Thisitemwasreverse
scorec.
Thescoresfor the Likertresponses (1 to 7) for items
I to 4 wereaddedto yieldan indexthat rangedfrom
4 to 28 for eachrespondent.They report a Cron-
bach'salphafor this indexas .74.
Example2
In a study of perceptionsof police misconduct,
Weitzerand Tuch (2004) measured a respondent's
experienceswith police by askingsevenquestions
ordinal level of measurement becauseresponses
indicate a ranking only. Instead of 1 to 4 or -2
to +2, the numbers 100, 70, 50, and 5 would
have worked. Also, do not be fooled into think-
ing that the distancesbetween the ordinal cate-
gories are intervals just because numbers are
assigned.Although the number system has nice
mathematical properties, the numbers are used
for convenience only. The fundamental mea-
surement is only ordinal.
The simplicity and easeof use of the Likert
scaleis its real strength. When severalitems are
combined, more comprehensive multiple indi-
that hadyes or no answersto createtwo composite
indexes.The indexfor vicariousexperiences
wasthe
sumof items2, 4, and5, with "yes"scoredas I and
"no" scoredaszero.An indexofpersonalexperience
wasthe sumof answers to items1,3,5, and 7, with
"yes"scoredas I and "no" scoredaszero.
l. Haveyou everbeen stoppedby policeon the
streetwithouta good reason?
2. Has anyone else in your householdbeen
stoppedby policeon the streetwithouta good
reason?
3. Havethe policeeverusedinsultinglanguage
to-
wardyou?
4. Havethe policeeverusedinsultinglanguage
to-
wardanyoneelsein your household?
5. Have the police ever used excessiveforce
againstyou?
5. Have the police ever used excessiveforce
againstanyoneelsein your household?
7. Haveyou ever seena policeofficerengagein
any corrupt activities(suchas takingbribesor
involvement in drugtrade)?
Weitzerand Tuch (2004) report a Cronbach's
alphafor the personalexperiencesindexas .78 and
for vicariousexperience
indexas .86.
cator measurement is possible.The scalehas two
limitations: Different combinations of several
scaleitems can result in the sameoverall score or
result, and the responseset is a potential danger.
Bogardus Social Distance Scale. The Bogardus
social distancescalemeasuresthe social distance
separating ethnic or other groups from each
other. It is used with one group to determine
how much distance it feels toward a target or
"out-group."
The scalehas a simple logic. People respond
to a series of ordered statements: those that are
 CHAPTER5 / Q UALI TATI VEA N D Q U A N T I T A T I V EM E A S U R E M E N T 133

most threatening or most socially distant are at
one end, and those that might be least threaten-
ing or socially intimate are at the other end. The
logic of the scale assumesthat a person who re-
firses contact or is uncomfortable with the so-
cially distant items will refuse the socially closer
items (seeBox 5.6).
Researchersusethe scalein severalways. For
example, people are given a seriesof statements:
People from Group X are entering your country,

ln1993, KlegandYamamoto (1998) replicated the gories,but they werewordedslightlydifferently(see

original1925 study by EmoryBogardusthat first
usedthe socialdistance scale. Theoriginalstudyhad
1 10 subjectsfrom the PacificCoast.Particioants in-
cludedI OZ White Americans of non-Jewish Euro-
peanancestry,1 JewishWhite, 1 Chinese,and l
Japanese (about Z0 percentwerefemale).In their
1 993 replication,KlegandYamamoto selected1 3 5
middleschoolteachersfrom an affluentschooldis-
trict in a Coloradometropolitanarea.Therewere
.l
1 9 non-Jewish Whites,7 JewishWhites,6 African
.l
Americans, AmericanIndian,1 Asian,and I un-
known(65 percentwerefemale).Therewerethree
.l
minor deviationsfrom the 925 study. First,the
originalBogardusrespondentsweregiven a list of
39 groups.Thosein the replication hada list of 35
groups.The two listsshared24 groupsin common.
Three target groups were renamed:Negroesin
I 925 versus AfricanAmericans in 1 993; Syriansver-
susArabs;and Cerman-Jews and Russian-Jews vs.
Jews.Second,both studiescontainedsevencate-
below).Third, both studieshad sevencategories
(calledanchorpoints)printedleft to rightat the top.
In the Bogardus originalit said:"Accordingto myfirst
feelingreactionsI wouldwillinglyadmit membersof
eachrace(asa class,and not the best I haveknown,
nor the worst members)to one or moreof the clas-
sifications underwhichI haveplaceda cross(x)."In
the 1 993 replication it said:"socialdistancemeans
the degreethat individualsdesireto associatewitn
others.This scalerelatesto a specialform of social
distanceknownaspersonto groupdistance.you are
givena list of groups.Acrossfrom eachgroup there
areboxesidentifiedby the labelsat the top. Placean
"x" in the boxesthat indicatethe degreeofassocia-
tion you woulddesireto havewith eachgroup.Cive
your first reaction."The mainfindingwasthat al-
thoughthe averagesocialdistancedeclineda great
deal over over 68 years,the rankingof the 25
groupschangedvery little (seebelow).

Instructions

t. To closekinshipby marriage To marryinto group

2. To my clubas personal
chums To haveas bestfriend
3. To my street as neighbors To haveas next-doorneighbors
4. To employment in my occupationin my country To work in the sameoffice
5. To citizenshipin my country To haveas speaking acquaintances
only
6. As visitorsonlyto my country To haveas visitorsto my country
7. Wouldexcludefrom my country To keepout of my country
 I J'+ I'A K I (JNL / IOUNDATION5

Results
t9?5.Qfirral
MeanScore &o**
.l
English 1.27 1.17 2
Scottish 1.69 2 1.22 6
lrish 1.93 3 1.14 I
French 2.04 4 1.20 4
Dutch 2.12 5 1.25 9
Swedish 2.44 6 1.21 5
Danis h 2.48 7 1.23 7
Norwegian 2.67 8 1.25 8
Cerman 2.89 9 1.27 10
Spanish 3.28 10 1.29 t.l
Italian 3.98 't1 1..19 3
Hi n du 4.35 12 1.95 23
Polish 4.57 13 1.30 12
Russian 4.57 14 1.33 13
.t5
NativeAmerican 4.65 1.44 16
Jewish 4.83. 16 1.42 15
Creek 4.89 17 r.38 14
Arab
.18
5.00. 2.21 24
Mexican 5.O2 19 1.56 'r8
BlackAmerican 5.10' 20 1.55 17
Chinese 5.28 21 1.68 20
japanese 5.30 22 1.62 19
Korean 5.55 23 1.72 21
Turk 5.80 24 1.77 22
CrandMean 3.82 1.43
'Slightchangein nameof group.

are in your town, work at your place of employ-
ment, live in your neighborhood, become your
personal friends, and marry your brother or sis-
ter. People are askedwhether they feel comfort-
able with the statement or if the contact is
acceptable.It is also possible to ask whether they
feel uncomfortable with the relationship. People
may be asked to respond to all statements, or
they may keep reading statements until they are
not comfortable with a relationship. There is no
set number of statements required; the number
usually rangesfrom five to nine. The measure of
 CHAPTER5 , / Q UALI TATI V EA N D Q U A N T I T A T I V EM E A S U R E M E N T
social distance can be used as either an indepen-
dent or a dependent variable.
A researcher can use the Bogardus scale to
seehow distant people feel from one out-group
versus another. In addition to studying racial_
ethnic groups, it has been used to examine doc-
tor-patient distance. For example, Gordon and
associates(2004) found that college students re_
ported different social distance toward people
with different disabilities. Over 95 pircent
would be willing to be a friend with someone
with arthritis, cancer, diabetes,or a heart condi-
tion. Fewer than 70 percent would ever consider
being a friend to someone with mental retarda-
tion. The social distance scale is a convenient
way to determine how close a respondent feels
toward a social group. It has two potential limi-
tations. First, a researcherneedsto tailor the cat-
egoriesto a specific out-group and social setting.
Second,it is not easyfor a researcherto compare
how a respondent feels toward several diffeient
.groups unless the respondent completes a simi-
lar social distance scalefor all out-groups at the
. same time. Of course, how a respondent com-
: pletes the scale
and the responde^nt'sactual be-
havior in specific social situations may differ.
Semantic Differential. Semantic Differential
provides an indirect measure of how-a person
feels about a concept, object, or other person.
The technique measures subjective feelings to-
l,ward something by using adjectives.This is be-
causepeople communicate evaluations through
adjectives in spoken and written language. Be-
causemost adjectiveshave polar opposites (e.g.,
hght/darlt hard/soft, slow/fast), it usespolar op-
posite adjectives to create a rating measure or
scale. The Semantic Differential captures the
connotations associatedwith whatever is being
evaluated and provides an indirect measure of it.
The Semantic Differential has been used for
many purposes. In marketing research, it tells
how consumers feel about a product; political
advisers use it to discover what voters think
about a candidate or issue; and therapists use it
I35
to determine how a client perceives himself or
herself (seeBox 5.7).
To use the Semantic Differential, a re_
searcherpresents subjectswith a list ofpaired
opposite adjectiveswith a continuum of 7 to I I
points between them. The subjects mark the
spot on the continuum between the adiectives
that expressestheir feelings. The adjectives can
be very diverse and should be well mixed (e.g.,
positive items should not be located mostly on
either the right or the left side). Studies of a wide
variety of adjectives in English found that they
fall into three major classesof meaning: evalua-
tion (good-b ad), potency (strong-weak), and ac_
tivity (active-passive). Of the three classes of
meaning, evaluation is usually the most signifi_
cant. The analysisof results is difficult, anda re_
searcherneeds to use statistical procedures to
analryzea subject's feelings toward the concept.
Results from a Semantic Differential tell a
researcher how one person perceives different
concepts or how different people view the same
concept. For example, political analysts might
discover that young voters perceive their candi-
date as traditional, weak, and slow, and as
halfiray between good and bad. Elderly voters
perceive the candidate as leaning to*u.d strong,
fast, and good, and as halfi,,rraybetween tradi-
tional and modern.
Guttman Scaling. Guttman scaling, or cumu-
lative scaling, differs from the previous scalesor
indexes in that researchersuse it to evaluatedata
after they are collected. This means that re-
searchersmust design a study with the Guttman
scaling technique in mind.
Guttman scaling begins with measuring a
set of indicators or items. These can be ques-
tionnaire items, votes, or observed characteris-
tics. Guttman scaling measures many different
phenomena (e.g.,patterns of crime or drug use,
characteristicsof societiesor organizations, vot-
ing or political participation, psychological dis_
orders). The indicators are usuallymeasured in a
simple yes/no or present/absentfashion. From 3
to 20 indicators can be used. The researcherse-
 P A K I (J NL / IUUNUA IIUN>

As part of her undergraduate thesis,DainaHawkes restaurant, clothing store, or grocery store;

studiedattitudestowardwomenwith tattoos using
the semanticdifferential(Hawkes, Senn,and Thorn,
2OO4).The researchers had 258 studentsat a
medium-sized Canadianuniversitycompletea se-
manticdifferentialform in responseto severalsce-
nariosabout a 22-year-oldwomancollegestudent
with a tattoo. They had five scenariosin whichthey
variedthe sizeofthe tattoo (smallversuslarge)and
whetheror not it wasvisible,and one with no details
aboutthe tattoo. The authorsalsovariedfeaturesof
the senario:weightproblemor not; part-timejob at
boyfriendor not; averagegrades'orfailinggrades.
They useda semanticdifferentialwith 22 adjective
pairs.They also had participantscompletetwo
scales:Feministand Women'sMovementscaleand
Neosexismscale.The semanticdifferentialterms
were selectedto indicatethree factors:evaluative,
activity,and potency(strong/weak).Basedon sta-
tisticalanalysisthree adjectivesweredropped.The
'l 9 itemsusedare listed below.Amongother find-
ings,the authorsfound that there weremore neta-
tive feelingstowarda womanwith a visibletattoo.

Good Bad'

Beautiful uglv
Clean Dirty
Kind Cruel'
Rich Poor'
Honest Dishonest.
Pleasant Unpleasant.
Successful Unsuccessful
Reputable Disreputable
Safe Dangerous
Gentle Violent'
Feminine Masculine
Weak Powerful.
Passive Active-

Cautious Rash-
Soft Har.d
Weak Strong
M ild lntense
Delicate Ruggedi

.These
itemswerepresentedin reverseorder.
 CH APTER5 / Q UALI TATI VEAND Q U A N T I T A T I V EM E A S U R E M E N T 137

lectsitemson the beliefthat thereis a logicalre-
lationship among them. He or shethen places
the resultsinto a Guttman scaleand determines
whetherthe items form a pattern that corre-
spondsto the relationship.(SeeBox 5.8 for an
exampleof a studyusingGuttman scaling.)
Once a set of items is measured,the re-
searcherconsidersall possiblecombinationsof
responses for the items.For example,threeitems
are measured:whether a child knows her age,
her telephonenumber,and threelocal elected
political officials.The little girl may know her

Crozat(1 998) examined publicresponses to various
formsof politicalprotest.He lookedat surveydata
on the public'sacceptance of formsof protest in
Creat Britain,Cermany,ltaly, Netherlands, and the
UnitedStatesin 1 97 4 and 1 9 9 0. Hefoundthat the
patternof the public'sacceptance formeda Cuttman
scale.Thosewho acceptedmore intenseformsof
protest (e.g.,strikesand sit-ins)almostalwaysac-
ceptedmoremodestforms(e.g.,petitionsor demon-
strations),but not all who acceptedmodestforms
acceptedthe more intenseforms.In additionto
showingthe usefulness of the Cuttmanscale,Crozat
also found that people in differentnationssaw
protestsimilarilyand the degreeof Cuttmanscala-
bility increasedover time. Thus,the pattern of ac-
ceptanceof protestactivitieswasCuttman"scalable"
in both time periods,but it morecloselyfollowedthe
Cuttmanpatternin I 990 than1974.

FORMOF PROTEST

CuttmanPatterns

N N N N N
Y N N N N
N N N
Y N N
Y Y Y N

OtherPatterns
(examples
only)

N N Y N
N N
N N N
N N N
N N Y
 138 pAR To N E ,/ F o u N D AT to N s

agebut no other answer,or all three,or only her tern. Alternative statistics to measure scalability
age and telephonenumber. In fact, for three have also been suggested.
items there are eight possiblecombinationsof
answersor patterns of responses,from not
knowinganythroughknowingall three.Thereis
a mathematicalway to computethe number of CONCLUSION
combinations(e.g.,23),but you canwrite down in this chapter,you learnedaboutthe principles
all the combinationsof yesor no for threeques- and processesof measurementin quantitative
tions and seethe eightpossibilities. and qualitativeresearch. All researchersconcep-
The logical relationship among items in tualize-or refine and clarify their ideas into
Guttman scalingis hierarchical.Most peopleor conceptualdefinitions.All researchers opera-
caseshaveor agreeto lower-orderitems.The tionalize-or developa set of techniquesor
smallernumberof casesthat havethe higher-or- processes that will link their conceptualdefini- ',
der itemsalsohavethe lower-orderones,but not tions to empiricalreality.Qualitativeand quan-
vice versa.In other words, the higher-order titative researchers differ in how they approach
itemsbuiid on the lower ones.The lower-order theseprocesses, however.The quantitativere-
items are necessary for the appearance of the searchertakesa more deductivepath, whereas
higher-orderitems. the qualitativeresearcher takesa more inductive
An applicationof Guttman scaling,known path.The goalremainsthe same:to establishun-
as scalogramanalysis,lets a researchertest ambiguouslinks betweena reseacher's abstract
whethera hierarchicalrelationshipexistsamong ideasand empiricaldata.
the items.For example,it is easierfor a child to You akolearnedabout the principlesof re-
know her agethan her telephonenumber,andto liability and validity. Reliabilityrefersto the de-
know her telephonenumber than the namesof pendabilityor consistenryof a measure;validity
politicalleaders.The itemsare caTled scalnble,
or refersto its truthfulness,or howwell a construct
capableof forming a Guttman scale,if a hierar- and data for it fit together. Quantitative and
chicalpatternexists. qualitativesrylesof researchsignificantly diverge
The patternsof responses can be divided in how they understandtheseprinciples.None-
into two groups:scaledand errors (or nonscal- theless,both quantitative and qualitative re-
able).The scaledpatternsfor the child'sknowl- searchers try to measurein a consistentway,and
edgeexamplewould be asfollows:not knowing both seeka tight fit betweenthe abstractideas
any item, knowing only age,knowing only age they use to understandsocialworld and what
plus phone number, knowing all three. Other occursin the actual,empirical socialworld. In
combinationsof answers(e.g.,knowing the po- addition, you sawhow quantitativeresearchers
litical leadersbut not her age)are possiblebut applythe principlesof measurementwhen they
arenonscalable. Ifa hierarchicalrelationshipex- createindexesand scales,and you read about
istsamongthe items,then most answersfit into somemajor scalesthey use.
the scalablepatterns. Beyondthe core ideasof reliability and va-
The strengthor degreeto which items can lidity, good measurementrequiresthat you cre-
be scaledis measuredwith statisticsthat mea- ate clear definitions for concepts,use multipie
sure whether the responsescan be reproduced indicators,and, asappropriate,weighand stan-
basedon a hierarchicalpattern.Most rangefrom dardizethe data.Theseprincipleshold acrossall
zero to 100percent.A scoreof zeroindicatesa fields of study (e.g.,family, criminology,in-
random pattern,or no hierarchicalpattern.A equality, race relations,etc.) and acrossthe
scoreof 100percentindicatesthat all responses many researchtechniques(e.g.,experiments,
to the answerfit the hierarchicalor scaledpat- surveys, etc.).
 CHAPTER5 , / Q UALI TATI VEAND Q U A N T I T A T I V EM E A S U R E M E N T '. 3 9

As you are probablybeginning to realize,re- multiple indicators

searchinvolves doing a good job in eachphaseof mutually exclusive attributes
a study. Serious mistakes or sloppiness in any nominal-level measurement
one phase can do irreparable damage to the re- operational definition
sults, even if the other phasesof the research operationalization
project were conducted in a flawlessmanner. ordinalJevel measurement
predictive validity
ratio-levelmeasurement
Ke y T e rms reliability
scale
BogardusSocialDistance Scale Semantic Differential
conceptual definition standardization
conceptualhlpothesis unidimensionality
conceptualization validity
concurrent validity
content validity
continuous variables E ndno t e
criterion validity
discrete variables 1. The terms concept, construct, and idea are used
empirical hlpothesis more or lessinterchangeably,but there are differ-
exhaustive attributes ences in meaning between them. An idea is any
external validity mental image, belief plan, or impression. It refers
to any vague impression, opinion, or thought. A
facevalidity
conceptis a thought, a general notion, or a gener-
Guttman scaling
alized idea about a classof objects.A constructis a
index
thought that is systematicallyput together, an or-
internal validity derly arrangement of ideas, facts, and impres-
interval-level measurement sions. The term constructis used here becauseits
levels of measurement emphasisis on taking vague conceptsand turning
Likert scale them into systematicallyorganized ideas.
measurementvalidity
 Qualitativeand
QuantitativeSampling

lntroduction
Nonprobability Sampling
Haphazard, or Convenience
Accidental, Sampling
Quota Sampling
Sampling
or Judgmental
Purposive
SnowballSampling
DeviantCaseSampling
Sampling
Sequential
Probability Sampling
and SamplingFrames
Elements,
Populations,
Why Random?
Typesof ProbabilitySamples
HiddenPopulations
How LargeShoulda SampleBe?
DrawingInferences
Conclusion

r4 0
 c HAPTER 6 , / Q UALIT A T I V EA N D Q U A N T T T A T T VS
INTRODUCTION
Qualitative and quantitative researchersap-
proachsamplingdifferently.Most discussions
of sampling come from researchers who use
the quantitative style.Their primary goal is to
get a representativesample,or a small collec-
tion of units or casesfrom a much largercol-
lectionor population,suchthat the resia.cher
canstudythe smallergroup andproduceaccu-
rate generalizationsabout the larger group.
Theytend to usesamplingbasedon theoriesof
probability from mathematics(calledproba-
bility sampling).
Researchers havetwo motivationsfor using
probabilityor random sampling.The first moti-
vation is savingtime and cost.If properly con-
ducted,resultsfrom a samplemay yield results
at 1/1,000the cost and time. For example,in-
steadof gatheringdatafrom 20 million people,
a researchermay draw a sampleof 2,000;the
data from those2,000are equal for most pur-
posesto the data from all 20 million. The sec-
ond purpose of probability sampling is
accuracy.The resultsof a well-designed,care-
fully executedprobability samplewill produce
resultsthat areequallyif not more accuratethan
trying to reacheverysinglepersonin the whole
population. A censusis usually an attempt to
count everyone.In 2000,the U.S. CensusBu-
reautried to count eyeryonein the nation,but it
would havebeen more accurateif it usedvery
specializedstatisticalsampling.
Qualitativeresearchers focuslesson a sarn- Snowball
ple'srepresentativeness or on detailedtechniques
for drawing a probability sample.Instead,they
focuson how the sampleor small collectionof
cases,units, or activitiesilluminateskey features DeviantCase
of sociallife.Thepurposeof samplingis to collect
cases,events,or actionsthat clarify and deepen
understanding.Qualitativeresearchers' concern
is to find casesthat will enhancewhat the re-
Sequential
searchers learn about the processes ofsocial life
in a specificcontext.For this reason,qualitative
researchers tend to collecta secondtypeof sam-
pling: nonprobabilitysampling.
EA M p L t N G l4l
NONPROBABILITY SAMPLING
Qualitativeresearchersrarelydrawa representa-
tive samplefrom a hugenumber of casesto in-
tenselystudy the sampledcases-the goal in
quantitativeresearch.Instead,they use non-
probability or nonrandomsamples.This means
theyrarelydeterminethe sampiesizein advance
and have limited knowledgeabout the larger
group or population from which the sampleis
taken. Unlike the quantitative researcherwho
usesa preplannedapproachbasedon mathe-
maticaltheory,the qualitativeresearcherselects
casesgradually,with the specificcontent of a
casedeterminingwhetherit is chosen.Table6.1
Samples
Haphazard Cet any casesin any manner
that is convenient.
Quota Cet a presetnumberofcasesin
eachof severalpredetermined
categoriesthat will reflectthe
diversityof the population,
usinghaphazard methods.
Purposive Get all possiblecasesthat fit
particularcriteria,usingvarious
methods.
Cet casesusingreferralsfrom
oneor a fewcases,andthen
referralsfrom thosecases,and
so forth.
6et casesthat substantiallv
differfromthe dominant
pattern (a specialtype of
purposive sample).
Cet casesuntil there is no
additionalinformation or new
characteristics
(often usedwith
othersampling methods).
142 PART oNE , / FoUNDATI oNS

shows a variety of nonprobability sampling in eachcategory.Thus,the number of peoplein

techniques. variouscategoriesof the sampleis fixed.For ex-
ample,a researcher decidesto select5 malesand
5 femalesunder age30, 10malesand 10females
Haphazard, Accidental, or
aged30to 60,and 5 malesand 5 femalesoverage
ConvenienceSampling 60 for a 40-personsample.It is difficult to repre-
Haphazardsamplingcan produce ineffective, sentall populationcharacteristics accurately(see
highly unrepresentative samplesand is not rec- Figure6.1).
ommended.When a researcher haphazardlyse- Quotasamplingis an improvementbecause
lectscasesthat are convenient,he or she can the researchercan ensurethat somedifferences
easilyget a samplethat seriouslymisrepresents are in the sample.In haphazardsampling, all
the population. Such samplesare cheapand thoseinterviewedmight be of the stuneage,sex,
quick; however,the systematicerrorsthat easily or race.But oncethe quotasamplerfixesthe cat-
occur make them worse than no sampleat all. egoriesand number of casesin eachcategoryhe
The person-on-the-streetinterview conducted or she useshaphazardsampling.For example,
by televisionprogramsis an exampleof a hap- the researcher interviewsthe first five malesun-
hazardsample.Televisioninterviewersgo out on der age30 he or sheencounters,evenifall five
the streetwith cameraandmicrophoneto talk to just walkedout of the campaignheadquarters of
a few peoplewho are convenientto interview. a political candidate.Not only is misrepresenta-
The peoplewalking past a televisionstudio in tion possiblebecausehaphazardsampling is
the middle of the day do not representeveryone usedwithin the categories, but nothing prevents
(e.g.,homemakers, peoplein rural areas,etc.). the researcherfrom selectingpeoplewho "act
Likewise, television interviewers often select friendly" or who want to be interviewed.
peoplewho look "normal" to them and avoid A casefrom the history of sampling illus-
peoplewho are unattractive,poor) very old, or tratesthe limitations of quota sampling.George
inarticulate. Gallup'sAmericanInstitute of Public Opinion,
Another exampleof ahaphazardsampleis usingquotasampling,successfi,rlly predictedthe
that of a newspaperthat asksreadersto clip a outcomesof the 1936,1940,and 1944U.S.pres-
questionnairefrom the paperand mail it in. Not identialelections.But in 1948,Galluppredicted
everyonereadsthe newspaper,hasan interestin the wrong candidate.The incorrect prediction
the topic, or will take the time to cut out the had severalcauses(e.g.,manyvoterswereunde-
questionnaireand mail it. Somepeoplewill, and cided,interviewingstoppedearly),but a major
the number who do so may seemlarge (e.g., reasonwasthat the quota categoriesdid not ac-
5,000),but the samplecannotbe usedto gener- curatelyrepresentall geographicalareasand all
alizeaccuratelyto the population.Suchhaphaz- peoplewho actuallycasta vote.
ard samplesmay haveentertainmentvalue,but
theycangivea distortedview and seriouslymis- Purposiveor rudgmental Sampling
representthe population.
Purposive samplfugis usedin situationsin which
an expertusesjudgmentin selectingcaseswith a
Quota Sampling specificpurposein mind. It is inappropriateif it
Quota sampling is an improvement over haphaz- is usedto pick the "averagehousewife"or the
ard sampling.In quota sampling,a researcher "typical school."With purposivesampling,the
first identifiesrelevantcategoriesof people(e.g., researcherneverknows whetherthe casesse-
maleand female;or under age30,ages30 to 60, lectedrepresentthe population.It is often used
over age60, etc.),then decideshow many to get in exploratoryresearchor in field research.
 CHAPTER6 , / Q UALI TATI VEA N D Q U A N T I T A T I V ES A M P L I N G 143

F lG UR E 6 .1

& n # ffi.#fi_f
0
(-)
n @0

w.
tii
$?9 UN

f,'*liffifrH
!f
0

ii sWffi#
UN @
A@
v tEE
UI
Of 32 adultsand childrenin the streetscene,select1Ofor the sample:

0@o & o o o @
BWiffi hrhr?ffi
4 AdultMales 4 AdultFemales

A
U ! |, /
Tn
1 MateChitd 1 FemaleChild

Purposivesamplingis appropriatein three etc.) to identify a "sample" of prostitutes for in-

situations.First, a researcherusesit to select
uniquecasesthat areespeciallyinformative.For
example,a researcher wantsto usecontentanaly-
sisto studymagazines to find culturalth.-.r. H.
or sheselectsa specificpopular women'smaga-
zineto studybecause it is trend setting.
Second,a researchermay use purposive
samplingto selectmembersof a difficult-to-
reach,specialized population(seeHidden popu-
lations later in this chapter).For example,the
researcherwants to study prostitutes.It is im-
possibleto list all prostitutesand sampleran-
domly from the list. Instead,he or she uses
subjectiveinformation (e.g.,locationswhere
prostitutessolicit, social groups with whom
prostitutesassociate, etc.)and experts(e.g.,po-
Iice who work on vice units, other prostitutes,
clusion in the research project. The researcher
uses many different methods to identi$, the
cases,becausehis or her goal is to locate asmany
casesaspossible.
Another situation for purposive sampling
occurs when a researcherwants to identifu par-
ticular types of casesfor in-depth investigation.
The purpose is lessto generalizeto a larger pop-
ulation than it is to gain a deeper understanding
of types.For example,Gamson (1992) usedpur-
posive sampling in a focus group study of what
working-class people think about politics.
(Chapter 11 discussesfocus groups.) Gamson
wanted a total of 188 working-class people to
participate in one of 37 focus groups. He sought
respondents who had not completed collegebut
who were diverse in terms of age,ethnicity, reli-
144 PART o NE / FoUNDATToNS

gion,interestin politics,and typeof occupation. case,and the linesrepresentfriendshipor other

He recruitedpeoplefrom 35 neighborhoodsin linkages(seeFigure6.2).
the Boston areaby going to festivals,picnics, Researchers also use snowballsamplingin
fairs,and flea marketsand postingnoticeson combinationwith purposivesamplingasin the
many public bulletin boards.In addition to ex- caseof Kissane(2003)in a descriptivefield re-
plainingthe study,he paid the respondentswell searchstudyof low-incomewomen in Philadel-
so asto attractpeoplewho would not tradition- phia.The U.S.policy to provideaid and services
ally participatein a study. to low-incomepeoplechangedin 1996to in-
creaseassistance (e.g.,food pantries,domestic
violenceshelters,drug rehabilitationservices,
SnowballSampling clothing distribution centers)deliveredby non-
Snowballsampling(alsocallednetwork,chainre- public as opposedto governmentipublicagen-
ferral, or rePutationalsampling)is a method for cies.As frequentlyoccurs,the policy changewas
identifring and sampling(or selecting)the cases made without a study of its consequences in
in a network.It is basedon an analogyto a snow- advance.No oneknewwhetherthe af[ectedlow-
ball, which beginssmallbut becomeslargerasit income peoplewould use the assistance pro-
is rolled on wet snow and picks up additional vided by nonpublic agenciesas much as that
snow. Snowballsamplingis a multistagetech- providedby public agencies. One yearafter the
nique.It beginswith oneor a fewpeopleor cases new policy, Kissanestudiedwhether low-in-
and spreadsout on the basisof links to the initial comewomenwereequallylikely to usenonpub-
cases. lic aid. Shefocusedon the Kensingtonareaof
Oneuseof snowballsamplingis to samplea Philadelphia.It had a high (over 30 percent)
network. Socialresearchers are often interested
in an interconnectednetworkofpeopleor orga-
nizations. The network could be scientists
around the world investigatingthe sameprob-
lem, the elitesof a medium-sizedcity, the mem- FIGU R E 6.2 Sociogramof Friendship
bersof an organizedcrime family, personswho Relations
sit on the boardsof directorsof major banla and
corporations,or peopleon a collegecampus
who havehad sexualrelationswith eachother.
The crucialfeatureis that eachpersonor unit is
connectedwith anotherthrough a director indi-
rect linkage. This does not mean that each
persondirectlyknows,interactswith, or is influ-
encedby everyother personin the network.
Rather, it meansthat, taken as a whole, with
direct and indirect links, they are within an in-
terconnectedweb of linkages.
Researchers representsuch a network by
drawinga sociogram-a diagramof circlescon-
nectedwith lines.For example,Sallyand Tim do
not know each other directly, but eachhas a
goodfriend,Susan,sotheyhavean indirectcon-
nection.AIl threearepart of the samefriendship
network. The circlesrepresenteachperson or
 CHAPTER6 / Q UALI TATI VEA N D Q U A N T I T A T I V ES A M P L I N G
povertyrateand wasa predominatelyWhite (85
percent)sectionofthe city. First, sheidentified
nonpublic serviceprovidersby usingtelephone
books,the Internet,referralliterature,andwalk-
ing down errerystreetof the areauntil sheiden-
tified 50 nonpublic socialserviceproviders.She
observedthat a previousstudy found low-in-
come women in the areadistrustedoutsiders
and intellectuals.Her snowball samplebegan
askingseryiceprovidersfor the namesof a few
low-incomewomen in the area.Shethen asked
thosewomen to refer her to othersin a similar
situation,and askedthoserespondentsto refer
her to still others.Sheidentified20low-income
women aged2l to 50, most who had received
public assistance.She conducted in-depth,
open-endedinterviewsabout their awareness
and experiencewith nonpublic agencies.She
learnedthat the women were lesslikely to get
nonpublic than public assistance. Comparedto
public agencies,the women were lessawareof
nonpublic agencies. Nonpublic agencies created
more socialstigma,generatedgreateradminis-
trative hassles,were in worselocations,and in-
volved more schedulingdifficulties becauseof
limited hours.
Deviant Case Sampling
A researchertlsesdeyiant casesampling (also
calledextremecasesampling) when he or she
seekscases that differ from the dominantpattem
or that differ from the predominantcharacteris-
ticsof othercases. Similarto purposivesampling,
a researcher usesa varietyoftechniquesto locate
caseswith specificcharacteristics. Deyiant case
samplingdiffersfrom purposivesamplingin that
the goal is to locatea collectionof unusual,dif-
ferent,or peculi4rcasesthat arenot representa-
tive of the whole.The deviantcasesare selected
because theyareunusual,and a researcher hopes
to learnmore aboutthe sociallife by considering
casesthat fall outsidethe generalpattern or in-
cludingwhat is beyondthe main flow of events.
For example,a researcheris interestedin
studyinghigh schooldropouts. Let us saythat
I45
previous researchsuggestedthat a majority of
dropoutscome from familiesthat havelow in-
come, are singleparent or unstable,havebeen
geographically mobile,and areracialminorities.
The family environmentis one in which parents
andlor siblingshavelow educationor arethem-
selvesdropouts.In addition, dropoutsareoften
engagedin illegalbehaviorand havea criminal
recordprior to droppingout. A researcher
using
deviant casesampling would seekmajority-
groupdropoutswho haveno recordofillegaTac-
tivities and who are from stable two-parent,
upper-middle-incomefamilieswho are geo-
graphicallystableand well educated.
SequentialSampling
Sequential samplingissimilar to purposivesam-
pling with one difference.In purposivesam-
pling, the researchertries to find as many
relevantcasesas possible,until time, financial
resources, or his or her energyis exhausted. The
goal is to get everypossiblecase.In sequential
sampling,a researcher continuesto gathercases
until the amount of new information or diver-
sity of casesis filled. In economicterms, infor-
mation is gathereduntil the marginalutiliry or
incrementalbenefit for additional cases,levels
off or drops significantly.It requiresthat a re-
searchercontinuouslyevaluateall the collected
cases.For example,a researcherlocatesand
plans in-depth interviewswith 60 widows over
70 yearcold who have been living without a
spousefor 10 or more years.Dependingon the
researcher's purposes,getting an additional 20
widows whose life experiences,social back-
grounds,and worldviews differ little from the
first 60 maybe unnecessary.
PROBABILITYSAMPLING
A specialized vocabularyor jargon has devel-
oped around terms used in probability sam-
pling. Beforeexaminingprobabilitysampling,it
is important to reviewits language.
14 6 PART oNE , / FoUNDATI oNS
Populations,Elements,and
SamplingFrames
A researcherdrawsa samplefrom a largerpool
of cases,or elements. A samplingelementis the
unit of analysisor casein a population.It canbe
a person,a group, an organization,a written
documentor symbolicmessage, or evena social
action (e.g.,an arrest,a divorce,or a kiss) that
is being measured.The large pool is the
population,which hasan important role in sam-
pling. Sometimes,the term universeis usedin-
terchangeably with population.To define the
population,a researcher specifiesthe unit being
sampled,the geographical location,andthetem-
poral boundariesof populations.Considerthe
examplesof populationsin Box 6.1' All the
examplesincludethe elementsto be sampled
(e.g.,people,businesses, hospital admissions,
1. All personsaged1 5 orolderlivingin Singapore
on December2, 1 999 , who werenot incarcer-
atedin prison,asylums, andsimilarinstitutions
2. All businessestablishments employingmore
than 1 00 personsin OntarioProvince, Canada,
that operatedin the monthof July2005
3. All admissions to publicor privatehospitalsin
the state of New JerseybetweenAugust 1,
1 988, andJ u l y3 1 ,1 9 9 3
4. All televisioncommercials aired between7:00
e.v. and I l:00 p.rr,r.
Eastern StandardTime on
threemajorU.S.networksbetweenNovember.l
andNov emb e r2 5 ,2 0 0 6
5. All currentlypracticingphysicians in Australia
who receivedmedical degrees between January
'l 1 950, and the present
, measured.
6. All AfricanAmericanmaleheroinaddictsin the
Vancouver, BritishColumbia,or Seattle,Wash-
ington,metropolitanareasduring2003
commercials,etc.) and geographical and time
boundaries.
A researcher beginswith an ideaof the pop-
ulation (e.g.,all peoplein a city) but definesit
moreprecisely.The term targetpopulationrefers
to the specificpool of casesthat he or shewants
to study.The ratio of the sizeof the sampleto the
sizeof the targetpopulationisthesamplingratio.
For example,the populationhas50,000people,
and a researcherdrawsa sampleof 150from it.
Thus,the samplingratio is 150/50'000 = 0.003,
or 0.3percent.If the populationis 500and the
researcher samples100,then the samplingratio
is 100/500= 0.20,or 20 percent.
A population is an abstractconcept' How
can population be an abstractconcept'when
there are a givennumber of peopleat a certain
time?Exceptfor specificsmallpopulations,one
cannevertruly freezea populationto measureit.
For example,in a city at any given moment,
somepeopleare dying, someare boardingor
getting off airplanes,and someare in carsdri-
ving acrosscityboundaries.Theresearcher must
decideexactlywho to count. Shouldhe or she
count a city residentwho happensto be on vaca-
tion when the time is fixed? What about the
tourist staying at a hotel in the city when the
time is fixed?Shouldheor shecount adults,chil-
dren,peoplein jails,thosein hospitals?A popu-
lation, eventhe populationof all peopleoverthe
ageof 18 in the city limits of Milwaukee,Wis-
consin,at l2:01A.M.on March 1,2006,is an ab-
stract concept.It exists in the mind but is
impossibleto pinpoint concretely'
Because a populationis an abstractconcept'
exceptfor smallspecialized populations(e.g.,all
the studentsin a classroom),a researcherneeds
to estimatethe population.As an abstractcon-
cept,the populationneedsan operationaldefin-
ition. This processis similar to developing
operationaldefinitions for constructsthat are
A researcher operationalizes a population
by developinga specificlist that closelyapproxi-
matesall the elementsin the population'This list
is a samplingframe.He or shecan choosefrom
 CHAPTER6 / Q UALI TATI VEA N D Q U A N T I T A T I V ES A M P L I N C '. 4 7

manyt)?esof samplingframes:telephonedirec- framecanincludesomeof thoseoutsidethe tar-

tories,tax records,driver's licenserecords,and get population (e.g.,a telephonedirectory that
so on. Listing the elementsin a population lists people who have moved away) or might
soundssimple.It is often difficult becausethere omit someof thoseinsideit (e.g.,thosewithout
may be no goodlist of elementsin a population. telephones).
A good samplingframe is crucial to good Any characteristicof a population (e.g.,the
sampling. A mismatch betweenthe sampling percentageof city residentswho smokeciga-
frame and the conceptuallydefinedpopulation rettes,the averageheight of all women over the
can be a major sourceof error. Justas a mis- ageof 21, the percentof peoplewho believein
match betweenthe theoreticaland operational UFOs) is a populationparameter.It is the true
definitionsof a variablecreatesinvalid measure- characteristicof the population.Parametersare
ment, so a mismatch betweenthe sampling determinedwhen all elementsin a population
frame and the population causesinvalid sam- are measured.The parameteris never known
pling. Researchers try to minimize mismatches. with absolute accuracyfor large populations
For example,you would like to sampleall people (e.g.,an entirenation), so researchers must esti-
in a regionof the United States,soyou decideto mate it on the basisof samples.They useinfor-
get a list of everyonewith a driver'slicense.But mation from the sample,called a statistic,to
somepeopledo not havedriver's licenses,and estimatepopulationparameters(seeFigure6.3).
the lists of thosewith licenses,evenif updated A famouscasein the history of samplingil-
regularly, quickly go out of date. Next, you try lustratesthe limitations of the technique.The
incometax records.But not everyonepaystaxes; Literary Digest, a major U.S. magazine,sent
somepeoplecheatand do not pay, othershave postcardsto peoplebeforethe I 920, 1924,1928,
no income and do not haveto file, somehave and1932U.S.presidentialelections.The maga-
died or have not begun to pay taxes,and still zine took the namesfor the samplefrom auto-
othershaveenteredor left the areasincethe last mobileregistrationsandtelephonedirectories-
time taxesweredue.You try telephonedirecto- the samplingframe. Peoplereturned the post-
ries,but they arenot much better;somepeople cardsindicatingwhom theywould vote for. The
arenot listedin a telephonedirectory somepeo- magazinecorrectly predicted all four election
ple haveunlistednumbers,and othershavere- outcomes.The magazine'ssuccess with predic-
centlymoved.With a few exceptions(e.g.,a list tions waswell known, and in 1936,it increased
of all studentsenrolledat a university),sampling the sampleto 10 million. The magazinepre-
framesarealmostalwaysinaccurate.A sampling dicted a huge victory for Alf Landon over

FI G URE 5 . 3 A Modelof the Logicof Sampling

WhatYou Population
WouldLiketo
WhatYouActually
TalkAbout
Observein the Data
Sample
SamplingProcess
148 P A R r o N E ,/ F o u N D Arro N S
Franklin D. Roosevelt. But the Literary Digest
was wrong; Franklin D. Roosevelt won by a
Iandslide.
The prediction was wrong for several rea-
sons, but the most important were mistakes in
sampling. Although the magazine sampled a
large number of people, its sampling frame did
not accurately represent the target population
(i.e., all voters). It excluded people without tele-
phones or automobiles, a sizable percentage of
the population in 1936, during the worst of the
Great Depression of the 1930s.The frame ex-
cluded as much as 65 percent of the population
and a segment of the voting population (lower
income) that tended to favor Roosevelt. The
magazine had been accurate in earlier elections
becausepeople with higher and lower incomes
did not differ in how they voted. Also, during
earlier elections, before the Depression, more
lower-income people could afford to have tele-
phones and automobiles.
You can learn two important lessons from
the Literary Digest mistake. First, the sampling
frame is crucial. Second, the size of a sample is
lessimportant than whether or not it accurately
representsthe population. A representativesam-
ple of 2,500 can give more accurate predications
about the U.S. population than a nonrepresenta-
tive sample of i million or 10 million.
Why Random?
The area of applied mathematics called proba-
bility theory relies on random processes.The
word random has a special meaning in mathe-
matics. It refers to a process that generatesa
mathematically random result; that is, the selec-
tion process operatesin a truly random method
(i.e., no pattern), and a researchercan calculate
the probability of outcomes. In a true random
process, each element has an equal probability
ofbeing selected.
Probability samples that rely on random
processesrequire more work than nonrandom
ones. A researchermust identifr specific sam-
pling elements (e.g., person) to include in the
sample.For example,if conductinga telephone
survey,the researcherneedsto try to reachthe
specificsampledperson,by callingbackfour or
five times,to getan accuraterandom sample.
Random samplesare most likely to yield a
samplethat truly representsthe population. In
addition,random samplingletsa researcher sta-
tistically calculatethe relationshipbetweenthe
sampleand the population-that is, the sizeof
the samplingerror. Anonstatisticaldefinition of
the samplingerror is the deviationbetweensam-
ple resultsand a population parameterdue to
randomprocesses. i
Randomsamplingis basedon a greatdealof
sophisticated mathematics.This chapterfocuses
on the fundamentalsof how samplingw.orks,the
differencebetweengood and bad samples,how
to draw a sample,and basicprinciplesof sam-
pling in socialresearch.This do.t ttot meanthat
random samplingis unimportant. It is essenti4l
to first masterthe fundamentals.If you plan to
pursuea careerusing quantitativeresearch,you
should get more statistical background than
spacepermitshere.
Types of Probability Samples
SimpleRanilom. The simplerandomsampleis
both the easiestrandom sampleto understand
and the one on which other typesare modeled.
In simplerandom sampling,a researcherdevel-
opsan accuratesamplingframe,selectselements
from the samplingframe accordingto a mathe-
matically random procedure,then locatesthe
exactelementthat wasselectedfor inclusion in
thesample.
After numberingall elementsin a sampling
frame.a researcherusesa list of random num-
bers to decidewhich elementsto select.He or
sheneedsasmanyrandom numbersasthereare
elementsto be sampled;for example,for a sam-
ple of 100, 100random numbersare needed.
The researchercangetrandom numbersfrom a
random-number table,a tableof numberschosen
in a mathematically random way. Random-
numbertablesareavailablein most statisticsand
 c HAPTER 6 , / Q UALI TATTV E
researchmethodsbooks.The numbersaregen-
eratedby a pure random processso that any
numberhasan equalprobabilityof appearingin
anyposition.Computerprogramscanalsopro-
ducelistsof random numbers.
You may ask,OnceI selectan elementfrom
the sampling frame, do I then return it to the
samplingframe or do I keep it separate? The
common answeris that it is not returned.Unre-
strictedrandom samplingis random sampling
with replacement-that is, replacingan element
after samplingit so it can be selectedagain.In
simple random samplingwithout replacement,
the researcherignoreselementsalreadyselected
into the sample.
Thelogicof simplerandomsamplingcanbe
illustratedwith an elementaryexample-sam-
pling marblesfrom a jar.Ihave a largejar full of
5,000marbles,somered and somewhite. The
5,000marblesaremy population,and the para-
meterI want to estimateis the percentageof red
marblesin it. I randomly select100marbles(I
closemy eyes,shakethe jar, pick one marble,
and repeatthe procedure99 times).I now have
a random sampleof marbles.I count the num-
ber of red marblesin my sampleto estimatethe
percentageof red versuswhite marblesin the
population.This is a lot easierthan countingall
5,000marbles.My samplehas 52 white and 4g
red marbles.
Doesthis meanthat the populationpara-
meteris 48 percentred marbles?Muybenot. Be-
causeof random chance,my specificsample
might be off I cancheckmy resultsby dumping
the 100marblesbackin thejar, mixing the mar-
bles,and drawing a secondrandom sampleof
100marbles.On the secondtry my samplehas
49 white marblesand 5l red ones.Now I havea
problem.Which is correct?How good is this
random samplingbusinessif different samples
from the samepopulationcanyield differentre-
sults?I repeatthe procedureoverand over until
I havedrawn 130different samplesof 100mar-
bleseach(seeBox 6.2 for results).Most people
might empty the jar and count all 5,000,but I
want to seewhat is going on. The resultsof my
A N D Q U A N T T T A T T VS
EA M p L t N C 149
130 different samples reveal a clear pattern. The
most common mix of red and white marbles is
50/50. Samples that are close to that split are
more frequent than those with more uneyen
splits. The population parameter appears to be
50 percent white and 50 percent red marbles.
Mathematical proofs and empirical tests
demonstrate that the pattern found in Box 6.2
always appears. The set of many random sam-
ples is my samplingdistibution.It is a distribu-
tion of different samples that shows the
frequency of different sample outcomes from
many separaterandom samples.The pattern will
appear if the sample size is 1,000 instead of 100;
if there are l0 colors of marbles instead of 2; if
the population has 100 marbles or 10 million
marbles instead of 5,000;and if the population is
people, automobiles, or collegesinstead of mar_
bles. In fact, the pattern will become clearer as
more and more independent random samples
are drawn from the population.
The pattern in the sampling distribution
suggeststhat over many separate samples, the
true population parameter (i.e., the 50/50 split in
the preceding example) is more common than
any other result. Some samplesdeviate from tne
population parameter, but they are less com-
mon. When manydifferent random samplesare
plotted as in the graph in Box6.2,then the sam-
pling distribution looks like a normal or bell-
shaped curve. Such a curve is theoretically
important and is used throughout statistics.
The central limit theoremfrom mathematics
tells us that as the number of difflerent random
samples in a sampling distribution increasesto-
ward infinity, the pattern of samples and the
population parameter become more predictable.
With a huge number of random samples,the
sampling distribution forms a normal curve, and
the midpoint of the curve approachesthe popu-
lation parameter as the number of samples
increases.
Perhaps you want only one sample because
you do not have the time or energy to draw
many different samples. You are not alone. A
researcherrarely draws many samples.He or she
t50 PART ONE , / FO UNDATI O NS

Number of Samples

42 58 1
43 57 1
45 55 2
46 54 4
47 53 8
48 52 12 Number of red and white marblesthat were
49 5l 21 randomlydrawn from a jar of 5,000 marbles
50 50 31 with 1 00 drawn eachtime, repeated 1 30
51 49 20 times for'l 30 independentrandom samples.
52 48 IJ

53 47 9
54 46 5
55 45 2
.l
57 43
Total 'I 30

Numberof Samples

31
30
29
28
27
26
25
24
23
22
21
20
19
l8
17
16
'I 5
14
l3
12
1l
10
9
I

6
5
4
3
2
1

42 43 44 4s 46 47 48 49 50 5.1 52 s3 54 5s 56 57
Numberof RedMarblesin a SamPle
 CHAPTER6 / Q UALI T A T I V EA N D Q U A N T I T A T I V ES A M P L I N G 15I

usuallydrawsonly one random sample,but the SystematicSampling. Systematicsamplingis

centrallimit theoremletshim or her generaltze simple random samplingwith a shortcut for
from onesampleto thepopulation.Thetheorem randomselection.Again,the first stepis to num-
is about many samples,but lets the researcher ber eachelementin the samplingframe.Instead
calculatethe probability of a particular sample of usinga list of random numbers,a researcher
beingofffrom the populationparameter. calculatesa samplinginteryal,and the interval
Random samplingdoesnot guaranteethat becomeshis or her quasi-randomselection
every random sampleperfectly representsthe method. The sampling interval (i.e., 1 in k,
population.Instead,it meansthat most random where k is somenumber) tells the researcher
sampleswill be closeto the population most of how to selectelementsfrom a samplingframe
the time, and that one can calculatethe proba- by skippingelementsin the framebeforeselect-
bility of a particularsamplebeinginaccurate.A ing one for the sample.
researcher estimatesthe chancethat a particular For instance,I want to sample300 names
sampleis offor unrepresentative (i.e.,ihe sizeof from 900.After a random startingpoint, I select
the samplingerror) by using information from everythirdnameofthe 900to geta sampleof 300.
the sampleto estimatethe samplingdistribu- My samplinginterval is 3. Samplingintervalsare
tion. He or shecombinesthis information with easyto compute.I needthe samplesizeand the
knowledgeof the centrallimit theoremto con- populationsize(or samplingframesizeasa best
struct confidence interyals. estimate).You canthink of the samplinginterval
The confidenceintervalis a relativelysimple asthe inverseof the samplingratio. The sampling
but powerfrrlidea.When televisionor newspa- ratio for 300niunesout of 900is 300/900= .333=
per polls are reported,you may hear about 33.3percent.Thesamplingintervalis 9001300 = 3.
' somethingcalledthe margin of error beingplus In most cases,a simplerandom sampleand
or minus 2 percentage points.This is a versionof a systematicsampleyieldvirtually equivalentre-
eonfidenceintervals.A confidenceinterval is a sults.One important situationin which system-
rangearognd a specificpoint usedto estimatea atic samplingcannot be substitutedfor simple
population parameter.A rangeis usedbecause randomsamplingoccurswhenthe elementsin a
the statisticsofrandom processes do not let a re- sampleare organizedin somekind of cycleor
searcherpredict an exactpoint, but they let the pattern.For example,a researcher's sampling
researchersaywith a high level of confidence frame is organizedby married coupleswith the
(e.g.,95 percent)that the true populationpara- malefirst and the femalesecond(seeTable6.2).
1 meter lieswithin a certainrange. Sucha pattern givesthe researcheran unrepre-
The calculationsfor samplingerrorsor con- sentativesampleif systematicsamplingis used.
fidenceintervalsarebeyondthe levelof this dis- His or her systematicsamplecan be nonrepre-
cussion,but they are basedon the idea of the sentativeand includeonly wivesbecauseof how
samplingdistribution that lets a researchercal- the casesareorganized.When his or her sample
culatethe samplingerror and confidenceinter- frame is organizedas couples,even-numbered
val. For example, I cannot say, "There are samplingintervalsresultin sampleswith all hus-
precisely2,500red marblesin the jar basedon a bandsor all wives.
random sample."However,I can say,"I am 95 Table 6.3 illustratessimple random sam-
percent certain that the population parameter pling and systematicsampling.Notice that dif-
lies between2,450 and 2,550."I can combine ferent nameswere drawn in eachsample.For
characteristics of the sample(e.g.,its size,the example,H. Adamsappearsin both samples, but
variationin it) with the centrallimit theoremto C. Droullard is only in the simplerandom sam-
predict specificrangesaround the parameter ple.This is becauseit is rarefor anytwo random
with a greatdealof confidence. samplesto be identical.
152 PART ONE , / FO UNDATI O NS

The samplingframe contains20 malesand

TA BLE 5.2 Problemswith Systematic 20 females(genderis in parenthesisafter each
Samplingof CyclicalData name). The simple random sampleyielded 3
malesand 7 females,and the systematicsample
yielded5 malesand 5 females.Doesthis mean
.l that systematicsamplingis more accurate?No.
Husband To checkthis, drawa newsampleusingdifferent
2a Wife random numbers;try taking the first two digits
? Husband and beginningat the end (e.g.,11 from lL92I,
4 Wife then 43 from 43232).Also draw a new system-
5 Husband atic samplewith a different random start. The
6a Wife
lasttime the random startwas18.Try a random
start of 11.What did you find? How many of !
7 Hus ban d
eachsex?
6 Wife
9 Husband Stratifieil Sampling. In straffied sampling,a
l0a Wife researcher first dividesthe population into sub-
1t Husband populations(strata)on the basisof supplemen-
12 Wife tary information. After dividing the population
into strata,the researcherdrawsa random sam-
Randomstart = 2; Sampling
interval= 4. ple from eachsubpopulation.He or she can
aSelected
into samole. samplerandomlywithin stratausingsimpleran-

TA B T E 6. 3 How to Draw SimpleRandomand SystematicSamples

t. Numbereachcasein the sampling

framein the example),ignorethe secondoccurrence.
sequence.The list of 40 namesis in Continueuntilthe numberofcasesin the
order,numberedfrom 1 to 40.
alphabetical is reached.
sample(.10 in our example)
Decideon a samplesize.We willdrawtwo 25 4. Fora systematic sample,beginwith a random
percent(10-name)samples. start.The easiestway to do this is to point
blindlyat the randomnumbertable,thentake
3. Fora simplerandomsample,locatea random-
the closestnumberthat appearson the
numbertable (seeexcerpt).Beforeusing
sampling frame.In the example, I 8 waschosen.
random-number table,countthe largest
Start with the randomnumber,then count the
numberof digits neededfor the sample(e.g.,
sampling interval,or 4 in our example,to come
with 40 names, two digitsareneeded;for 100
to the first number.Markit, and then count the
to 999, threedigits;for 1 ,000 to 9,999,four
sampling intervalfor the nextnumber.Continue
digits).Beginanywhereon the randomnumber
to the end ofthe list.Continuecountingthe
table (wewill beginin the upperleft) and take a
sampling intervalas if the beginningof the list
set of digits (wewill takethe lasttwo). Markthe
wasattachedto the end ofthe list (likea
numberon the sampling framethat corresponds
circle).Keepcountinguntilendingcloseto the
to the chosenrandomnumberto indicatethat
start,or on the start if the samplinginterval
the caseis in the sample.lf the numberis too
dividesevenlyinto the total of the sampling
large(over40), ignoreit. lf the numberappears
frame.
morethanonce(1 0 and 2l occurredtwicein
 CHAPTER6 / Q UALI T A T I V EA N D Q U A N T I T A T I V ES A M P L I N G r 53

01 A br am s , J( M
. ) 21 Hjelmhaug, N. (M) Yes
02 Adams,H. (F) Yes(6) 22 H uang,J. (F) Yes Yes(1)
03 Anderson, H. (M) 23 lvono,V. (F)
04 Arminond,L. (M) 24 Jaquees, J. (M)
05 Boorstein, A. (M) 25 Johnson, A. (F)
05 B r eit s pr ec he r,P.(M)
Yes Yes(Z) 26 Kennedy, M. (F) Yes(2)
07 Brown,D. (F) 27 Koschoreck, L. (F)
08 Cattelino, J.(F) 28 Koykkar, J.(M)
09 Cidoni,S. (M) 29 Kozlowski, C. (F) Yes
10 Davis,L. (F) Yes Yes(8) 30 Laurent, J.(M) Yes(3)
I1 Droullard, C. (M) Yes 31 Lee,R.(F)
12 Durette,R.(F) s2 Lins,C. (M)
13 E ls nau,K .( F ) Yes 33 McKinnon, K. (F)
14 F alc oner T,. ( M ) Yes(9) 34 Mi n,H . (F) Yes Yes (4)
'l
5 Fuerstenberg, J. (M) 35 Moi ni A, . (F)
15 Fulton,P.(F) 36 Navarre, H. (M)
17 Cnewuc h, S .( F ) 37 O' S ul l i van,C . (M)
18 G r een,C. ( M ) 5TART, 38 oh,J. (M) Yes(5)
Yes(10) 39 Ol son,J.(M)
19 Coodwanda, T. (F) Yes 40 Ortizy Carcia,L. (F)
20 Harris,B. (M)

Excerptfrom a Random-NumberTable (for Simple RandomSample)

150lo 18590 00102 4227A 94174 22099

90122 3822I 21 529 00Ott 04734 60457
672s6 13882 94119 11077 01051 27779
13761 23390 12947 21280 44506 36457
81994 66611 16597 44457 0762a 51949
79180 25992 46178 23992 62r 08 43232
07984 47169 88094 82752 153r8 11921
'Num ber s t h a t a p p e a r e d
t w ice in r a n d o m n u m b e r sse le cte c.

dom or systematic sampling. In stratified sam-
pling, the researchercontrols the relative size of
each stratum, rather than letting random
processescontrol it. This guaranteesrepresenta-
tiveness or fixes the proportion of different
strata within a sample. Of course, the necessary
supplemental information about strata is not a,-
ways available.
In general, stratified sampling produces
samplesthat are more representativeof the pop-
ulation than simple random sampling if the stra-
tum information is accurate. A simple example
154 P A RToNE / F o u N D Arl o N S
illustrateswhy this is so. Imaginea population
that is 51 percentfemale and 49 percentmale;
the population parameteris a sexratio of 51 to
49.With stratifiedsampling,a researcherdraws
random samplesamong femalesand among
malessothat the samplecontainsa 51to 49 per-
cent sexratio. If the researcher had usedsimple
randomsampling,it would be possiblefor a ran-
dom sampleto be offfrom the true sex ratio in
the population.Thus,he or shemakes fewer er-
rors representingthe population and has a must adjustit to reducethe number of sampled
smallersamplingerror with stratified sampling.
Researchers usestratifiedsamplingwhen a
stratum of interestis a small percentageof a
population and random processes could miss
the stratumby chance.For example,a researcher
drawsa sampleof 200 fiom 20,000collegestu-
dents.He or shegetsinformation from the col-
legeregistrarindicatingthat 2 percentof the
20,000students,or 400, are divorcedwomen
with children under the ageof 5. This group is
important to includein the sample.Therewould
be 4 suchstudents(2 percentof200) in a repre-
sentativesample,but the researchercould miss
them by chancein one simplerandom sample.
With stratifiedsampling,he or sheobtainsa list
of the 400 suchstudentsfrom the registrarand
randomly selects4 from it. This guarantees that
the samplerepresentsthe population with re-
gardto the importantstrata(seeBox6.3).
In specialsituations,a researchermay want
the proportion of a stratumin a sampleto differ
from its true proportion in the population.For
example,the population contains0.5 percent
Aleuts, but the researcherwants to examine
Aleuts in particular. He or she oversamplesso
that Aleuts make up 10 percentof the sample.
With this type of disproportionatestratified
sample,the researcher cannotgeneralize directly
from the sampleto the populationwithout spe-
cial adjustments.
In somesituations,a researcherwants the
proportion of a stratum or subgroupto differ
from its true proportion in the population.For
example,Davisand Smith (1992)reportedthat
the 1987GeneralSocialSurvey(explainedin a
later chapter)oversampledAfrican Americans.
A randomsampleof the U.S.populationyielded
191Blacks.Davisand Smith conducteda sepa-
ratesampleof African Americansto increasethe
total number of Blacksto 544'The 191Blackre-
spondentsare about 13 percentofthe random
sample,roughly equal to the percentageof
Blacksin the U.S.population.The 544Blacksare
30 percentof the disproportionatesample.The
researcherwho wants to use the entire sample
African Americansbefore generalizingto the
U.S. population. Disproportionatesampling
helpsthe researcherwho wants to focus on is-
suesmost relevantto a subpopulation.In this
case,he or shecanmore accuratelygenetalizeto
African Americansusing the 544 respondents
than usinga sampleof only 191.Thelargersam-
ple is more likely to reflectthe full diversityof
the African Americansubpopulation.
ClusterSampling, Clustersamplingaddresses
two problems:Researchers lacka goodsampling
framefor a dispersedpopulationand the costto
reacha sampledelementis very high. For exam-
ple, there is no singlelist of all automobileme-
chanicsin North America.Evenif a researcher
got an accuratesamplingframe, it would cost
too much to reachthe sampledmechanicswho
aregeographically spreadout. Insteadofusing a
singlesamplingframe,researchers usea sdm.
pling designthat involves multiple stagesand
clusters.
A clusteris a unit that containsfinal sam-
pling elementsbut canbe treatedtemporarilyas
a samplingelementitself.A researcher first sam-
ples clusters,eachof which containselements,
then draws a secondsamplefrom within the
clustersselectedin the first stageof sampling'In
other words, the researcherrandomly samples
clusters,then randomly sampleselementsfrom
within the selectedclusters.This hasa big prac-
tical advantage. He or shecancreatea goodsam-
pling frameof clusters,evenif it is impossibleto
createone for samplingelements.Once the re-
searchergets a sampleof clusters,creatinga
 CHAPTER6 / Q UALI T A T I V EA N D Q U A N T I T A T I V ES A M P L I N C I55

SAMPLE
OF l OOSTAFFOF GENEMLHOSPITAL,
STRATIFIED
BYPOSITION

Administrators t5 2.88 I 3 -2
Staffphysicians 25 4.81 2 5 -3
Internphysicians 25 4.81 6 5 +l
.t00
Registerednurses 19.23 22 19 +3
Nurseassistants 'r00 19.23 21 19 +2
Medicaltechnicians 75 14.42 9 14 +5
Orderlies 50 9.62 8 l0 -2
Clerks 75 14.42 5 14 +l
Maintenance
staff 30 s.77 3 6 -3
Cleaningstaff 25 4.81 3 5 -2
Total 520 100.00 100 100

.l
Randomly select3 of 5 administrators,
5 of 25 staffphysicians,
andso on.
Note:Traditionally,N symbolizes
the numberin the populationandn represents the numberin the sample.
Thesimplerandomsampleoverrepresents nurses,nursingassistants,andmedicaltechnicians,but underrepresents
administrators,staffphysicians,
maintenancestaff,andcleaningstaff.Thestratifiedsamplegivesan accuraterepresentation
of eachtype of position.

sampling frame for elements within each cluster
becomesmore manageable.A second advantage
for geographically dispersed populations is that
elementswithin eachcluster are physically closer
to one another. This may produce a savings in
locating or reaching each element.
A researcherdraws severalsamplesin stages
in cluster sampling. In a three-stagesample,stage
1 is random sampling of big clusters; stage 2 is
random sampling of small clusters within each
selectedbig cluster; and the last stageis sampling
of elements from within the sampled small clus-
ters. For example, a researcherwants a sample of
individuals from Mapleville. First, he or she ran-
domly samples city blocks, then households
within blocks, then individuals within house-
holds (seeBox 6.4). Although there is no accurate
list of all residentsofMapleville, there is an accu-
rate list of blocks in the city. After selectinga ran-
dom sample of blocks, the researchercounts all
households on the selectedblocks to create a
sample frame for eachblock. He or she then uses
the list of households to draw a random sample
at the stageof sampling households. Finally, the
researcher chooses a specific individual within
each sampled household.
1s 5 PART ONE , / FO UNDATI O NS

Coal: Drawa random sample of 24Opeoplein Mapleville.

Step1: Maplevillehas55 districts.
Randomly select6 districts.
1 23. 4 5 67 89 10 1'l 1213 14 15' 16 17 18 19 2021 2223 242526
27. 28 29 30 31. 32 33 34 35 36 37 38 39 40.41 42 43 44 45 46 47 48 l
49 50 5.f 52 53 54.55
.=
Randomlyselected.
Step2: Dividethe selecteddistrictsinto blocks.Eachdistrictcontains20 blocks.Randomlyselect4 blocks
from the district.
Example of Distict3 (selectedin step 1):
1 23 4. 5 67 8 9 ' 1 0 . 1 1 1 2 1 3 . 1 4 1 5 1 6 17. 18 1920
- = Randomlyselected.
Step3: Divideblocksinto households. Randomlyselecthouseholds.
Exampleof Block4 of District3 (selectedin step 2):
Block4 containsa mixof single-family homes,duplexes,and four-unitapartmentbuildings.lt is bounded-by
OakStreet,RiverRoad,SouthAvenue,and Greenview Drive.Thereare45 householdson the block.Rartdom\
from the 45.
selectI 0 households

1 #.1 Oak Street 16 31.

2 #3 Oak Street 17. # 1 5 4 R i verR oad 32.
'l8 # 1 5 6 R i verR oad 33
J #5 Oak Street
4 19- #1 58 RiverRoad 34 Drive
#156 Creenview
5 20. " 35.
6 21 #l 3 SouthAvenue 36
7 #7 Oak Street 22"37"
8 23 #.1 1 SouthAvenue 38
9' #l 50 RiverRoad 24 #9 SouthAvenue 39 #]58 Creenview
Drive
10' 25 #7 SouthAvenue 40
't1 26 #5 SouthAvenue 41
12 27 #3 SouthAvenue 42
13 #l 52 RiverRoad 28 #1 SouthAvenue 43 #1 60 CreenviewDrive
14 2 9 ." 4 4 "
15 30 #1 52 CreenviewDrive 45

" = Randomly
selected.

Step4: Selecta respondentwithineachhousehold.

Summaryof clustersampling
1 personrandomlyselectedper household
10 households randomlyselectedper block
4 blocksrandomlyselectedper district
6 districtsrandomlyselectedin the city
I X 10 x 4 6= 2 4 0 p e o p l e i n s a mp l e
 CHAPTER6 / Q UALI TATI VEA N D Q U A N T I T A T I V ES A M P L I N C
, Cluster sampling is usually lessexpensive
than simple random sampling,but it is lessac-
curate.Eachstagein clustersamplingintroduces
samplingerrors.This meansa multistagecluster
samplehas more samplingerrorsthan a one-
stagerandom sample.
A researcherwho usescluster sampling
must decidethe number of clustersand the
number of elementswithin eachcluster.For ex-
aTplg, in a two-stageclustersampleof 240peo-
ple from Mapleville, the researcher could
randomly select120 clustersand select2 ele-
ments from each,or randomly select2 clusters
and select120elementsin each.Which is best?
The generalansweris that a designwith more
clustersis better.This is becauseelementswithin
clusters(e.g.,peopleliving on the sameblock)
tend to be similar to eachother (e.g.,peopleon
the sameblock tend to be more alikethan those
on different blocks).If few clustersare chosen.
many similar elementscould be selected,which
would be lessrepresentative of the total popula-
tion. For example,the researchercould select
two blocks with relativelywealthy people and
drirw 120peoplefrom each.This would be less
representative than a samplewith i20 difFerent
cityblocks and 2 individualschosenfrom each.
When a researcher samplesfrom a largege-
ographicalareaand must travelto eachelement,
cluster sampling significantly reduces travel
costs.As usual,thereis a tradeoffbetweenaccu-
racyand cost.
For example,Alan, Ricardo, and Barbara
each plan to visit and personally interview a
sampleof 1,500studentswho representthepop-
ulation of all collegestudentsin North Ameiica.
Alan obtainsan accuratesamplingframe of all
studentsand usessimplerandom sampling.He
travelsto 1,000different locationsto interview
one or two studentsat each.Ricardo draws a
random sampleof threecollegesfrom a list of all
3,000colleges,then visits the three and selects
500 studentsfrom each.Barbaradraws a ran-
dom sampleof 300 colleges.Shevisits the 300
and selects5 studentsat each.Iftravel costsav-
erage$250 per location, Alan's travel bill is
157
$250,000,Ricardo'sis $750,and Barbara,sis
$75,000.Alan's sampleis highly accurate,but
Barbara'sis only slightly lessaccuratefor one_
third the cost.Ricardo'ssampleis the cheapest,
but it is not representative
at all.
ProbabilityProportionateto Size(ppS). There
are two methods of cluster sampling. The
method just describedis proportionatet, o.r_
weightedclustersampling.It is proportionate
becausethe sizeof eachcluster (br number of
elementsat eachstage)is the same.The more
common situation is for the cluster groups to
be of different sizes.When this is the case-.
the
researchermust adjust the probability or sam_
pling ratio at various stagesin sampling(see
Box6.5).
Th-" foregoing cluster sampling example
with- Alan, Barbara,
and Ricardoillustratesihe
problemwith unweightedclustersampling.Bar_
bara drew a simple random sampleJf :Oo cot_
legesfrom a list of all 3,000colleges,but she
made a mistake-unless every collegehas an
identicalnumber of students.Her method gave
eachcollegean equalchanceofbeing selected_
a 300/3,000or 10 percentchance.But colleges
havedifferentnumbersof students,so eachsiu_
dent doesnot havean equalchanceto end up in
her sample.
Barbaralisted everycollegeand sampled
from the list. A largeuniversitywith 40,000stu_
dentsand a small collegewirh 400 studentshad
an equal chanceof being selected.But if she
chosethe largeuniversity,the chanceofa given
student at that collegebeing selectedwal 5 in
40,000(5i40,000= 0.0125percent),whereasa
studentat the smallcollegehad a 5 in 400 (5/400
= 1.25percent)chanceof being selected.The
small-collegestudentwas 100timesmore likely
to be in her sample.The total probability of be_
ing selectedfor a studentfrom the largeuniver-
sitywas0.125percenr(10 X 0.0125),while it
was 12.5percent(10 X 1.25)for the smali_
collegestudent.Barbaraviolateda principle of
random sampling-that each element his an
equalchanceto be selectedinto the sample.
Samplinghas manytermsfor the differentparts of county or SMSA.This gavethem a sampleof 84
samples or typesof samples. A complexsampleillus- countiesor SMSAs.
usethem.Lookat the 1 980 For the secondstage,the researchers identified
trateshow researchers
city blocks, census tracts,or the rural equivalent in
samplefor the best-knownnationalU.S.surveyin so-
ciology,the CeneralSocialSurvey' each county or SMSA.Eachsamplingelement(e.g',
The populationis definedas all residentadults city block)hada minimum of 50 housingunits.In or-
(1 8 yearsor older) in the U'S.for the universe of all der to get an accuratecount of the numberof hous-
Americans. The target population consists of all Eng- ing units for some counties,a researchercounted
adults who livein households, excluding addresses in the field.The researchers selected6 or
lish-speaking
moreblockswithineach county or SMSA usingPPS
those livingin institutionalsettingssuchas college
dormitories,nursinghomes,or militaryquarters.The to yield552 blocks.
estimatedthat 97.3 percentof all resi- In the third stage,the researchers used the
researchers
dent adultslivedin households andthat 9 Z percent householdas a sampling element. They randomlyse-
lectedhouseholdsfrom the addresses in the block.
of the householdpopulationspokesufficientEnglish
After selectingan address,an interviewer contacted
to be interviewed.
The researchers useda complexmultistageprob- the householdandchosean eligiblerespondentfrom
ability sample that is both a clustersampleand a it. The interviewer lookedat a selectiontablefor pos-
stratified sample. First, they created a national siblerespondents and interviewed a type of respon-
all U.S.counties,independent cities' dent (e.g.,second oldest) based on the table. In
samplingframeof 'l
andStandardMetropolitanStatistical Areas(SMSfu)' total, ,934 people were contacted for interviews
a CensusBureaudesignation for largercitiesandsur- and7 5.9 percentof interviews werecompleted.This
roundingareas.Eachsamplingelementat this first gavea finalsamplesizeof 1,458. We cancalculate
levelhad about 4,000 households' They divided ihe somptingratio by dividing 1,468 by the total
The stratawerethe four numberof adultslivingin households, whichwas
theseelementsinto strata.
regions as defined by the Census about 150 million,whichis 0.01 percent. To check
majorgeographic
the representativeness of their sample, the re-
Bureau,dividedinto metropolitanand nonmetropol-
searchers also compared characteristics of the sam-
itanareas.Theythen sampledfromeachstratausing
probabilityproportionateto size(PPS)randomselec- ple to censusresults(see Davisand Smith,1 992:
tion, basedon the numberof housingunitsin each 31 -44).

If Barbarausesprobabilityproportionateto with 40,000studentswill be 100 times more

size(PPS)and samplescorrectly,then eachfinal
samplingelementor studentwill havean equal
probability of being selected.Shedoesthis by
adjustingthe chancesof selectinga collegein the
first stageof sampling.Shemust givelargecol-
legeswith more studentsa greaterchanceof be-
ing selectedand smallcollegesa smallerchance.
Sheadjuststhe probability of selectinga college
on the basisof the proportion of all studentsin
the population who attend it. Thus, a college
likely to be selectedthan one with 400 students.
(SeeBox 6.6 for anotherexamPle.)
Ranilom-Digit Dialing, Random-digitdialing
(RDD) is a specialsamplingtechniqueusedin
researchprojectsin which the generalpublic is
interviewedbytelephone'It differsfrom the tra-
ditional method of samplingfor telephonein-
terviewsbecause a publishedtelephonedirectory
is not the samplingframe.
 CHAPTER5 / Q UALI T A T I V EA N D Q U A N T I T A T I V ES A M P T I N G T59

high as 50 percent.In addition, peoplechange

their residences, sodirectoriesthat arepublished
annuallyor lessoften havenumbersfor people
who haveleft and do not list thosewho havere_
Vaqueraand Kao (2005) studieddisplaysof affec-
centlymoved into an area.plus, directoriesdo
tion amongadolescentcouplesin whichthe couple
not list cell phone numbers.A researcherusing
wereeitherfrom the sameor differentracialgroups.
RDD randomly selectstelephonenumbers,
Theirdatawerefroma nationallongitudinalstudyof
adolescenthealthgiven to studentsin grades7
thereby avoidingthe problemsof telephonedi_
through 12 in 80 randomlyselectedU.S. tigfl rectories. Thepopulationis telephonenumbers,
schools.Therewereover 90,000 studentsin these not people with telephones.Random-digitdial_
schools.After the'schoolsweresampled,approxi- ing is not difficult, but it takestime and canfrus_
mately200 studentsweresampledfor interviews trate the person doing the calling.
fromwithinthoseschools.Thus,the first clusterwas Here is how RDD works in the United
the school,and studentsweresampledfrom within States.Telephonenumbershavethree parts: a
the school.Because the schoolswerenot ofthe same three-digit area code, a three-digit exihange
size,rangingfrom 1 O0 to 3,000 students,the au- number or centralofEcecode,and a four-digit
thors adjustedusingprobabilitiesproportionateto number. For example,the areacodefor Uadi_
size(PPS).They found that 53 percentof respon_ son, Wisconsin,is 608,and there are many ex_
dentshad a relationship with someoneof the oppo- changes within theareacode(e.g.,221,9g3:767,
site sex in the previousI 8 months.Whitesand 455); but not all of the 999 possiblethree_digit
Blackswere more likelyto havesame-race relation- exchanges (from 001to 999)areactive.Likewise,
ships(90 percent)comparedto Asiansand Hispan- not all of the 9,999possiblefour-digit
numbers
ics (70 percent).The authorsfoundthat same-and in an exchange(from 0000 to 9999) are being
mixed-race couplesdifferedlittle in showingintimate used.Somenumbersarereservedfor future ex-
affection,but the interracialcoupleswerelesslikely pansion,are disconnected, or are temporarily
to do so in publicthan the same-race couples. withdrawn aftersomeonemoves.Thus,a possi_
ble U.S.telephonenumber consistsof an active
areacode,an activeexchangenumber, and a
four-digit number in an exchange.
Threekinds.of peopleare missedwhen the In RDD, a researcheridentifiesactivearea
samplingframe is a telephonedirectory people codesand exchanges, then randomly selects
without telephones,peoplewho have recently four-digit numbers.A problem
is thai rhe re-
moved, and people with unlisted numbers. searchercan selectany number
in an exchange.
Thosewithout phones(e.g.,the poor, the uned- This meansthat someselectednumbersu." o.rt
ucated,and transients)are missedin any tele- of service,disconnected,pay phones,or num-
phoneinterviewstudy,but theproportion of the bersfor businesses; only somenumbersarewhat
generalpublic with a telephoneis nearly95 per- the researcher wants-working residential
cent in advancedindustrializednations.As the phone numbers.Until the researchercalls,it is
percentageof the public with telephoneshasin- not possibleto know whether the number is a
creased,the percentagewith unlisted numbers working residentialnumber.This
meansspend-
hasalsogrown.Severalkinds ofpeoplehaveun- ing a lot of time getting numbersthat are dis_
listed numbers:peoplewho want to avoid co,- connected,for businesses, and so forth.
lectionagencies; theverywealthy;andthosewho Rememberthat the samplingelementin
want privacy and want to avoid obscenecalls. RDD is the phonenumber,not theperson
or the
salespeople, and prank calls.In someurban ar- household.Severalfamilies or individuals can
eas,the percentageof unlistednumbersis as sharethe samephonenumber,and in other sit-
| 60 PART o NE / FoUNDATToNS

uationseachpersonmay havea separatephone governmentserviceagenciesidentified as vic-

number or more than one phonenumber.This tims. Law-enforcement estimatesdependon the
meansthat after a working residentialphone is specificlevelof enforcementeffortsand aremost
reached,a secondstageof samplingis necessary likely to identifr a smallpercentof the most vis-
within householdsampling,to selectthe person ible and seriouscases.Similar difficulties exist
to be interviewed. with nongovernmentserviceagenciesthat pro-
Box 6.5 presentsan exampleof how the vide aid to victims. Thus, during the first 10
many samplingterms and ideascanbe usedto- months of 2004,Norwegianpolice detected42
getherin a specificreal-lifesituation. sextraffickingvictims.This is subsetof all possi-
ble trafficking victims. For this population
Tyldum and Brunovskissuggested using a cap-
Hidden Populations
ture-recapturemethodborrowedfrom biology.
In contrastto samplingthe generalpopulation In capture-recapture, a percentageof the same
orvisible and accessible people,sampling hidden cases will reappear across multiple attemptsto
populations (i.e., people who engage in con- "capture" cases (with a release after past cap-
cealedactivities)is a recurrent issue in the ture). This percentage recaptured allows re-
studiesof deviantor stigmatizedbehavior. It iI- searchers to estimate the size of the total
lustratesthe creativeapplication of sampling population. A third population is that of mi-
principles,mixing qualitativeand quantitative grants who have returned to their countiypf ori-
srylesof researchand oftenusingnonprobability gin. By surveying returnees and estimating the
techniques.Examplesof hiddenpopulations in- iroportion oi th.m who are former traffickin!'
cludeillegaldrug users,prostitutes,homosexu- victims,researchers haveanotherway to esti-
als,peoplewith HIV/AIDS, homeless people, mate the size of the hidden population.
and others. Draus and associates (2005) describedtheir
Tyldum and Brunovskis (2005) described sampling a hidden population in a field research
ways to measurethe hidden population of study of illicit drug users in four rural Ohio
womenand childrenvictimsof sextrafficking in counties. They used respondent-driven sam-
Norway. They suggestedusing multiple sam- pling (RDS), which is a version of snowball sam-
pling approachesand thinking of in terms of pling and appropriate when members of a
severaloverlappingpopulations in which vic- hidden population are likely to maintain contact
tims area subset.One populationis all working with one another.This tlpe of samplingbegins
prostitutes.By telephoningall identifiableescort by identifying an eligiblecaseor participant.
and massage services,then calculatingresponse This person,calleda "seed,"is given referral
ratesand the number of women per phone,the couponsto distributeamongother eligiblepeo-
authorsestimatedthat 600 female prostitutes ple who engagein the sameactivity. For each
worked in the Oslo metro areain October2003. successfulreferral, the "seed" receivessome
Basedon number of months mostwomenwork money. This processis repeatedwith several
in prostitution andtheir turnoverrateeach year, waves of new recuitsuntil the a point of satura-
theyestimatedthat 1,100differentwomenwork tion (see SequentialSamplingearlier in this
asprostitutesin Oslo in a year.Of these,about chapter). In the study by Draus and associates,
80 percentof them are of non-Norwegianori- each interviewed drug-usingparticipant was
gin.Victims of sextraffickingarea subsetamong paid $50 for an initial two-hour interview and
the roughly 800 non-Norwegianswho work as $35 for an hour-long follow-up interview.The
prostituteswho are being exploitedby others participants received three referral couponsat
and working involuntary.A secondpopulation the end of the initial interview and got $10 for
is the women law-enforcementofficialsor non- each eligible participant they referred who com-
 CHAPTER5 , / Q UALI TATI VEA N D Q U A N T I T A T I V ES A M P L I N G
pleted an initial interview. No participant re-
ceivedmore than threereferralcoupons.Some-
times this yielded no new participants,but at
other times more than the threepeoplewith re-
ferral couponswere recruited.In one case,a
youngman heardaboutthe studyat a localtatoo
parlor and calledthe study office in luly 2003.
He (participant157)had beena powdercocaine
user and in his interview said he knew many
other drug users.He referredtwo new partici-
pants (participants161 and 146)who camein
about one month later. participant 161did not
refer anyonene% but participant 146 referred
four new people,and two of the four (154 and
148) referredstill others.participant 154re-
ferredfour newpeopleand 146referredonenew
person,and that one person,(participant 15g)
referredfour others.This samplingprocessthat
took placein differentgeographiclocationspro-
duced249 usersof cocaineor methanmpheta-
mine between|une 2002andFebruary2004.
You are now familiar with severalmajor
typesof probability samples(seeTable6.4) and.
supplementarytechniques usedwith them (e.g.,
PPS,within-household,RDD, and RDS) that
may be.appropriate.In addition, you haveseen
how,resehrchers combinenonprobabilityand
probability samplingfor specialsituations,such
as hidden populations.Next, we turn to deter-
mining a samplesizefor probabilitysamples.
How Large Should a Sample Be?
Studentsand new researchers often ask. ,.How
largedoesmy sarnplehaveto be?"The bestan-
sweris, "It depends."It dependson the kind of
dataanalysisthe researcher plans,on how accu-
rate the samplehas to be for the researcher's
pu{poses,and on population characteristics. As
you haveseen,a lbrgesamplesizealonedoesnot
guaranteea representative sample.A largesam_
ple without random samplingor with a poor
sampling frame is less representativethan a
smallerone with random samplingand an ex-
cellentsamplingframe.Goodsamplesfor quali-
tativepurposescanbe very small.
I61
Samples
SimpleRandom Createa samplingframefor all
cases,thenselectcasesusing
a purelyrandomprocess(e.g.,
random-number tableor
computerprogram).
Stratified Createa samplingframefor
eachofseveralcategoriesof
cases,drawa randomsample
from eachcategory,then
combinethe severalsamples.
Systematic Createa samplingframe,
calculatethe samplinginterval
l,/k, choosea randomstarting
place,then take everyl,/k
case.
Cluster Createa samplingframefor
largerclusterunits,drawa
randomsampleof the cluster
units,createa samplingframe
for caseswithineachselected
clusterunit,thendrawa
randomsampleofcases,and
so forth.
The question of samplesize can be ad_
dressedin two ways.One is to make assump-
tions about the population and use statisticil
equationsabout random samplingprocesses.
Thecalculationof samplesizeby this methodre_
quiresa statisticaldiscussionthat is beyondthe
level of this text. The researchermust make as-
sumptions about the degreeof confidence(or
number of errors)that is acceptable and the de_
greeofvariation in the population.
A secondand more frequentlyusedmethod
is a rule of thumb-a conventionalor com-
monly acceptedamount. Researchers useit be-
causethey rarelyhavethe information required
162 PARr o NE / FoUNDATI oNS
by the statisticalmethod and becauseit gives
samplesizescloseto those of the statistical
method. Rulesof thumb are not arbitrary but
are basedon past experiencewith samplesthat
have met the requirements of the statistical
method.
One principle of samplesizesis, the smaller
thepopulation,thebiggerthe samplingratio has
to be for an accuratesample(i.e.,onewith a high
probabilityofyieldingthe sameresultsasthe en-
tire population). Larger populations permit
smallersamplingratios for equallygood sam-
ples. This is becauseas the population size
grows,the returns in accuracyfor samplesize
shrink.
For smallpopulations(under 1,000),a re-
searcherneedsa largesamplingratio (about 30
percent).For example,a samplesizeof about
300is requiredfor a high degreeofaccuracy.For
moderatelylargepopulations( 10,000),a smaller
samplingratio (about 10 percent)is neededto
be equallyaccurate,or a samplesizeof around
1,000.For largepopulations(over 150,000),
smallersamplingratios (1 percent)arepossible,
andsamplesofabout 1,500canbevery accvtate.
To samplefrom very largepopulations(over 10
million), one can achieveaccuracyusing tiny
samplingratios (0.025percent)or samplesof
about2,500.Thesizeofthe populationceases to
be relevantoncethe samplingratio is very small,
and samplesof about2,500are as accuratefor
populationsof 200 million as for 10 million.
Theseareapproximatesizes,and practicallimi-
tations (e.g., cost) also play a role in a re-
searcher's decision.
A relatedprincipleis that for smallsamples,
smallincreases in samplesizeproducebig gains
in accurary.Equalincreasesin samplesizepro-
duce more of an increasein accuraryfor small
than for largesamples.
A researcher's decisionabout the bestsam-
ple sizedependson threethings:(1) the degree
of accuracyrequired,(2) the degreeof variability
or diversityin the population,and (3) the num-
ber of different variablesexaminedsimultane-
ously in data analysis.Everything else being
equal,largersamplesare neededif one wants
high accuracy,ifthe populationhasa greatdeal
or if onewantsto
of variabilityor heterogeneity,
examinemany variablesin the data analysissl-
multaneously. Smaller samplesare sufficient
when lessacc:uracy when the pop-
is acceptable,
ulation is homogeneous,or when only a few
variablesareexaminedat a time.
The analysisof data on subgroupsalso af-
fectsa researcher's decisionaboutsamplesize.If
the researcher wantsto analyzesubgroupsin the
population,he or sheneedsa largersample.For
example,I want to analyzefour variablesfor
malesbetweenthe agesof 30 and 40 yearsold. If
this sampleis of the generalpublic, then only a
small proportion (e.g.,10 percent)of sample
caseswill be malesin that agegrouP.A rule of
thumb is to have about 50 casesfor eachsub-
group to be analyzed.Thus, if I want to.artalyze
a group that is only 10 percentof the popula---
tion. then I shouldhave10 X 50 or 500casestin
the sampleto be sureI get enoughfor the sub-
group analysis.
Drawing Inferences
A researchersamplesso he or shecan draw in-
ferencesfrom the sampleto the population. ln
fact, a subfield of statisticaldata analysisthat
concernsdrawing accurateinferencesis called
inferentialstatistics.The researcherdirectly ob-
servesvariablesusing units in the sample.The
samplestandsfor or representsthe population.
Researchers are not interestedin samplesin
themselves; theywant to infer to the population.
Thus, a gap existsbetweenwhat the researcher
concretelyhas(a sample)and what is of realin-
terest(a population)(seeFigure6.4).
In the lastchapter,you sawhow the logic of
measurementcould be statedin terms of a gap
betweenabstractconstructsandconcreteindica-
tors. Measuresof concrete,observabledataarc
approximationsfor abstractconstructs.Re-
searchers use the approximationsto estimate
what is of realinterest(i.e.,constructsand causal
laws).Conceptualization and operationalization
 CHAPTER6 / Q UALI TATI VEA N D Q U A N T I T A T I V ES A M P L I N G I63

F I G U RE 6 .4 Model of the Logic of Sampling and of Measurement

A Modelof the Logic of SamPling
WhatYou Population
WouldLiketo WhatYouActually
TalkAbout Observein the Data
Sample
SamplingProcess

A Modelof the Logic of Measurement

Theoretical
Concepts
and CausalLaws
WhatYouWouldLike
to TalkAbout

Operationalization

WhatYouActually
Observein the Data
Measures
and EmpiricalRelationshiPs

A Model CombiningLogics of Samplingand Measurement

Population
WhatYou Sample
WouldLiketo
TalkAbout

Measures
and
Empirical
Relationships

WhatYouActually
Observein the Data
164 P A RTo N E / F o u N D A T ro N s
bridgethe gapin measurementjust asthe useof
samplingframes,the samplingprocess,and in-
ferencebridgethe gapin sampling.
Researchers put the logic of samplingand
the logic of measurementtogetherby directly
obserr.ingmeasuresof constructsand empirical
relationshipsin samples(seeFigure 6.4). They
infer or generalizefrom what they can observe
empiricallyin samplesto the abstractcausallaws
and constructsin the population.
Validity and samplingerror have similar
functions, as can be illustrated by the analogy
betweenthe logic of samplingand the logic of
measurement-that is, betweenwhat is ob-
servedandwhat is discussed. In measurement, a
researcher wantsvalid indicatorsof constructs-
that is, concreteindicatorsthat accuratelyrepre-
sentabstractconstructs.In sampling,he or she
wantssamplesthat havelittle samplingerror-
concretecollectionsof casesthat accuratelyrep-
resentunseenand abstractpopulations.A valid
measuredeviateslittle from the constructit rep-
resents.A samplewith little samplingerror per-
mits estimates that deviatelittle from population
parameters.
Researchers try to reducesamplingerrors.
The calculationof the samplingerror is not pre-
sentedhere,but it is basedon tlvo factors:the
samplesizeand the amount of diversityin the
sample.Everythingelsebeing equal,the larger
the samplesize,the smallerthe samplingerror.
Likewise,the greaterthe homogeneity(or the
lessthe diversity)in a sample,the smallerits
samplingerror.
Samplingerror is alsorelatedto confidence
intervals.If two samplesareidenticalexceptthat
oneis larger,the onewith more caseswill havea
smallersamplingerror and narrowerconfidence
intervals.Likewise,if two samplesare identical
exceptthat the casesin one aremore similar to
eachother, the one with greaterhomogeneity
will havea smallersamplingerror and narrower
confidenceintervals.A narrow confidenceinter-
val meansmore preciseestimatesof the popula-
tion parameterfor a given level of confidence.
For example,a researcher wantsto estimateav-
erageannualfamily income.He or shehastwo
samples.Sample1 givesa confidenceintervalof
$30,000to $36,000aroundthe estimatedpopu-
lation parameterof $33,000for an 80 percent
levelofconfidence.For a 95 percentlevelofcon-
fidence,the rangeis $23,000to $43,000.A sam-
ple with a smallersamplingerror (becauseit is
largeror is more homogeneous)might give a
$30,000to $36,000rangefor a 95 percentconfi-
dencelevel.
CONCLUSION
In this chapter,you learnedabout sampling.
Samplingis widely usedin socialresearch.You
learned about types of sampling that are not
basedon random processes. Only some are ac-
ceptable,and their use dependson specialcir-
cumstances. In general,probability samplin! is
preferredby quantitativeresearchers becattseit
producesa samplethat representsthe popula-
tion and enablesthe researcherto usepowerful
statisticaltechniques.In addition to simpleran-
dom sampling,you learnedabout systematic,
stratified, and cluster sampling.Although this
book doesnot coverthe statisticaltheoryusedin
random sampling,from the discussionof sam-
pling error, the centrallimit theorem,and sam-
ple size,it shouldbe clearthat random sampling
producesmore accurateand precisesampling.
Before moving on to the next chapter, it
maybe usefulto restatea fundamentalprinciple
of socialresearch:Do not compartmentalizethe
stepsofthe researchprocess;rather,learnto see
the interconnectionsbetweenthe steps.Re-
searchdesign,measurement, sampling,and spe-
cific researchtechniquesare interdependent.
Unfortunately,the constraintsof presentingin-
formation in a textbook necessitate presenting
the partsseparately, in sequence. In practice,re-
searchers think about datacollectionwhen they
designresearchand developmeasuresfor vari-
ables.Likewise,samplingissuesinfluencere-
searchdesign,measurementof variables,and
data collectionstrategies. As you will seein fu-
 C HAPTER5 , / Q UALI TATI VEAN D Q U A N T I T A T I V ES A M P L I N C 165

ture chapters,good socialresearchdependson probability proportionate to size (PPS)

simultaneouslycontrollingqualityat severaldif- purposive sampling
ferent steps-researchdesign,conceptualiza- quota sampling
tion, measurement, sampling, and data random-digit dialing (RDD)
collectionand handling.The researcherwho random-number table
makesmajor errorsat anyone stagemay make random sample
an entireresearchprojectworthless. sample
sampling distribution
sampling element
Key T e rm s sampling error
samplingframe
central limit theorem sampling interval
cluster sampling sampling ratio
confidenceintervals sequential sampling
deviant casesampling simple random sampling
haphazard sampling snowball sampling
hidden populations sociogram
inferential statistics statistic
nonrandom sample stratified sampling
parameter systematic sampling
population target population
 SurveyResearch

lntroduction
ResearchQuestionsAppropriatefor a Survey
The Logic of Survey Research
What ls a SurveY?
Stepsin Conductinga SurveY
Constructing the Questionnaire
of Good QuestionWriting
Principles
AidingRespondent Recall
Categories
Typesof Questionsand Response
Open versusClosedQuestions
Wordinglssues
Designlssues
Questionnaire
Types of Surveys: Advantages and Disadvantages
Mail and Self-Administered
Questionnaires
Web Surveys
TelephoneInterviews
Interviews
Face-to-Face
Interviewing
The Roleof the Interviewer
Stagesof an Interview
TrainingInterviewers
lnterviewerBias
Computer-Assisted TelephoneInterviewing
The EthicalSurvey
Conclusion

166
 CHAPT E R7 , / S U R V E YR E S E A R C H 16i

l. Behavior.How frequently do you brush

ffi.* your teeth?Did you vote in the lastcity elec-
Someonehandsyou a sheetof paperfi.rllof ques- tion?When did you lastvisit a closerelative?
tions. The first reads:"I would like to learnyour 2. Attitudes/beliefs/opinions. What kind of job
opinion of the Neuman researchmethodstext- do you think the mayor is doing?Do you
book.Would you sayit is (a) well organized,(b) think other people say many negativethings
adequatelyorganized,or (c) poorly organized?" about you when you are not there?What is
You probablywould not be shockedby this. It is the biggest problem facing the nation these
a kind of survey,and most of us areaccustomed days?
to surveysby the time we reachadulthood. 3. Characterisflcs. Are you married,nevermar-
The survey is the most widely used data- ried, single, divorced, separated,or wid-
gatheringtechniquein sociology,and it is used owed? Do you belong to a union?What is
in many other fields,aswell. In fact,surveysare your age?
almosttoo popular.Peoplesometimessay,"Do 4. Expectations. Do you plan to buy a new car
a survey" to get information about the social in the next 12 months?How much school-
world, when they shouldbe asking,"What is the ing do you think your child will get?Do you
most appropriateresearchdesign?"Despitethe think the population in this town will grow,
popularity of surveys,it is easyto conducta sur- shrink, or stay the same?
vey that yields misleadingor worthlessresults. 5. Self-classification. Do you consideryourself
Good surveysrequirethought and effort. to be liberal, moderate, or conservative?
All surveysarebasedon the professionalso- Into which socialclass would you put your
cial researchsurvey.In this chapter' you will family? Would you say you are highly reli-
learn the main ingredientsof good surveyre- giousor not religious?
search,as well as the limitations of the survey 6. Knowlcdge.Who was electedmayor in the
method. last election?About what percentageof the
peoplein this city are non-White?Is it legal
to own a personal copy of Karl Marx's
CommunistManrfestoin this country?
ResearchQuestions Appropriate
for a Survey Researchers warn againstusing surveysto
Surveyresearchdevelopedwithin the positivist ask "why?" questions (e.g.,Why do you think
approachto socialscience.The surveyasksmany crime occurs?). 'Why?" questionsareappropri-
people (called respondents) about their beliefs, ate,however, if a researcher wantsto discovera
opinions, characteristics, and past or present respondent's subjective understanding or infor-
behavior. mal theory (i.e., the respondent's own view of
Surveysare appropriatefor researchques- "why'' he or she acts a certainway). Because few
tions about self-reportedbeliefs or behaviors. respondents are fully aware of the causalfactors
Theyarestrongestwhenthe answerspeoplegive that shapetheir beliefsor behavior,such ques-
to questionsmeasurevariables.Researchers usu- tions are not a substitutefor the researcherde-
ally ask about many things at one time in sur- velopinga consistentcausaltheory of his or her
veys, measure many variables (often with own that builds on the existingscientificlitera-
multiple indicators),and testseveralhypotheses ture.
in a singlesurvey. An important limitation of surveyresearch
Although the categoriesoverlap,the follow- is that it providesdataonly of what a personor
ing canbe askedin a survey: organizationsays,and this may differ from what
168 pA R Trw o / c o N D U c rN c e u A NTtrA TtvER E S E A R C H

he or she actuallydoes.This is illustratedby Surveyresearchis often calledcorrelational.

Pagerand Quillian (2005),who comparedtele- Surveyresearchers usequestionsascontrol vari-
phone surveyresponsesfrom Milwaukee-area ablesto approximatethe rigoroustestfor causal-
employersabout their willingnessto hire ex-of- ity that experimenters achieve with their
fendersof differentraceswith an "audit." In the physicalcontrol over temporalorder and alter-
audit,a trainedpair of youngmaleswith specific nativeexplanations.
characteristicsapplied for 350 job openingsin
December2001.Employersagreedto hire 34
Steps in Conducting a Survey
percentof White and 14percentof Blackappli-
cants.The applicantshad identicaljob experi- The surveyresearcherfollows a deductiveap-
enceand credentialsand no criminal records. proach.He or shebeginswith a theoreticalor
The sameemployersagreedto hire 17percentof appliedresearchproblem and endswith empir-
Whitesand 5 percentof Blackswith identicaljob ical measurementand data analysis.Once a
experienceand credentialsbut alsowith a crim- researcherdecidesthat the surveyis an appro-
inal record for illegal drug use.The employers priate method,basicstepsin a researchproject
were telephoneda few months later. Pagerand can be divided into the substepsoutlined in
Quillian found in the telephone survey far more Figure7.1.
employersexpresseda willingnessto hire an In the first phase,the researcher developsan
ex-offender(67 percent)and therewereno dif- instrument-a survey questionnaireor inter-
ferencesin the offender'srace.Also, certainem- view schedule-that he or sheusesto measure
ployerssaid they were more willing to hire an variables.Respondents readthe questionsthem-
ex-offender,but in the audit all employersacted selvesand mark answerson a questionnaire. An
the same.The authors said, "Surveyresponses interyiewscheduleisasetofquestionsreadto the
havevery little connectionto the actualbehav- respondentby an interviewer,who alsorecords
iors exhibitedby theseemployers"(2005:367). responses. To simplify the discussion,I will use
only the term questionnaires.
A surveyresearcher conceptualizes and op-
THE LOGIC OF SURVEY erationalizes variablesas questions.He or she
RESEARCH writes and rewrites questionsfor clarity and
completeness, and organizesquestionson the
What ls a Survey?
questionnairebasedon the researchquestion,
Surveyresearchers samplemany respondents the respondents,and the type of survey.(The
who answerthe samequestions.They measure typesof surveysarediscussed later.)
manyvariables, testmultiple hypotheses, and in- When preparinga questionnaire,the re-
fer temporalorder from questionsabout past searcherthinks aheadto how he or she will
behavior,experiences, For
or characteristics. ex- record and organizedatafor analysis.He or she
ample,yearsof schoolingor a respondent'srace pilot-teststhe questionnairewith a small set of
are prior to current attitudes.An association respondentssimilar to thosein the final survey.
among variablesis measuredwith statistical If interviewersare used,the researchertrains
techniques.Surveyresearchers think of alterna- them with the questionnaire.He or sheasksre-
tive explanations when planning a survey, spondentsin thepilot-testwhetherthe questions
measurevariablesthat representalternativeex- were clearand explorestheir interpretationsto
planations(i.e.,control variables),then statisti- seeif his or her intendedmeaningwasclear.The
callyexaminetheir effectsto rule out alternative researcher also drawsthe sampleduring this
explanations. phase.

F IGURE 7. 1 Stepsin the Processof
SurveyResearch
Step 1:
. Develophypotheses.
. Decideon type of survey
(mail,interview,
telephone).
. Writesurveyquestions.
. Decideon responsecategories.
. Designlayout.
Step 2:
. Planhowto recorddata.
. Pilottestsurveyinstrument.
Step 3:
. Decideon targetpopulation.
. Get samplingframe.
. Decideon samplesize.
. Selectsample.
Step 4:
. Locaterespondents.
. Conductinterviews.
. Carefullyrecorddata.
Step 5:
. Enterdataintocomputers.
. Recheckall data.
. Pedormstatisticalanalvsison data.
Step 6:
. Describemethodsand findings
in researchreport.
. Presentfindingsto othersfor
critiqueand evaluation.
RESEARCH '169
cHAprERz / suRVEy
After the planning phase,the researcheris
readyto collectdata.Thisphaseis usuallyshorter
than the planningphase.He or shelocatessam-
pled respondentsin person,by telephone,or by
mail. Respondents aregiveninformationand in-
structionson completing the questionnaireor
interview.The questionsfollow, and there is a
simple stimulus/responseor question/answer
pattern. The researcheraccuratelyrecordsan-
swersor responsesimmediately after they are
given.After all respondentscompletethe ques-
tionnaire and are thanked,he or sheorganizes
the dataand preparesthem for statisticalanalysis.
Surveyresearch canbe complexand expen-
siveand it can involve coordinatingmany peo-
ple and steps.The administrationof survey
researchrequires organizationand accurate
record keeping.The researcherkeepstrack of
each respondent,questionnaire,and inter-
viewer.For example,he or shegiveseachsam-
pled respondent an identification number,
which alsoappearson the questionnaire.He or
she then checks completed questionnaires
againsta list of sampledrespondents.Next, the
researcher reviewsresponses on individualques-
tionnaires, storesoriginal questionnaires,and
transfersinformation from questionnairesto a
format for statisticalanalysis.Meticulousbook-
keeping and labeling are essential.Otherwise,
the researchermay find that valuabledata and
effort arelost through sloppiness.
CONS T RUCT I NG T HE
QUE S T I O NNA I RE
Principlesof Good QuestionWriting
A good questionnaire,forms an integrated
whole.Theresearcher weavesquestionstogether
sothey flow smoothly.He or sheincludesintro-
ductory remarksand instructionsfor clarifica-
tion and measureseach variable with one or
more suryeyquestions.
Three principles for effectivesurveyques-
tions are:Keepit clear,keepit simple,and keep
' , 70 pA Rr rw o ,/ c o N D U c l N c e u AN TtrA TtvER E S E A R cH
the respondent'sperspective in mind. Goodsur-
vey questionsgivethe researcher valid and reli-
able measures.They alsohelp respondentsfeel
that theyunderstandthe questionand that their
answersare meaningful.Questionsthat do not
meshwith a respondent'sviewpoint or that re-
spondentsfind confusingare not good mea-
sures.A surveyresearchermust exerciseextra
care if the respondentsare heterogeneous or
come from different life situationsthan his or
her own.
Researchers facea dilemma.Theywanteach
respondentto hear exactlythe samequestions,
but will the questionsbe equallyclear,relevant,
and meaningful to all respondents?If respon-
dentshave diversebackgroundsand framesof
reference,the exactsamewording may not have
the samemeaning.Yet,tailoring questionword-
ing to eachrespondentmakescomparisonsal-
most impossible.A researcher would not know
whetherthe wording of the questionor the dif-
ferencesin respondentsaccountedfor different
answers.
Question writing is more of an art than a
science.It takesskill,practice,patience,and cre-
ativity. The principlesof questionwriting areil-
lustrated in the following t2 things to avoid
whenwriting surveyquestions.The list doesnot
include everypossibleerror, only the more fre-
quentproblems.
l. Avoid jargon, slang and abbreviations.Jar-
gon and technicalterms come in many forms.
Plumberstalk aboutsnakes,lawyers abouta con-
tract of uberrimafides, psychologists
about the
Oedipuscompler.Slangis a kind ofjargon within
a subculture-for example,the homelesstalk
abouta snowbirdandskiersabouta hotdog.Nso
avoid abbreviations. NATO usually means
North Atlantic TreatyOrganization,but for a re-
spondent,it might mean somethingelse(Na-
tional Auto Tourist Organization, Native
AlaskanTradeOrbit, or North African TeaOf-
fice).Avoid slangandjargonunlessa specialized
population is beingsurveyed.Targetthe vocab-
ulary and grammarto the respondentssampled.
For the generalpublic, this is the languageused
on televisionor in the newspaper(about an
eighth-gradereading vocabulary). Survey re-
searchershave learnedthat somerespondents
may not understandbasicterminology.
2. Avoid ambiguity,confusion,and vagueness.
Ambiguity and vagueness plaguemost question
writers. A researchermight make implicit as-
sumptionswithout thinking of the respondents.
For example,the question, "What is your in-
come?"could meanweekly,monthly, or annual;
family or personal;beforetaxesor aftertaxes;for
this year or last year; from salaryor from all
sources.The confusioncausesinconsistencies in
how different respondentsassignmeaningto
and answerthe question.The researcherwho
wantsbefore-taxannual family income for last
yearmustexplicitlyaskfor it.]
Anothersourceof ambiguityisthe useof in-
definitewordsor responsecategories. For exam-
ple, an answerto the question,"Do you jog
regularly?Yes- No ,,," hingeson the
meaningof the word regulaily.Somerespon-
dentsmay defrneregulailyaseveryday,othersas
once a week.To reducerespondentconfusion
and get more information, be specific-ask
whethera personjogs"about oncea day,""a few
times a week," "once a week," and so on. (See
Box 7.1on improving questions.)
3. Avoid emotionallanguage.Words haveim-
plicit connotativeaswell as explicit denotative
meanings.Wordswith strongemotionalconno-
tationscan color how respondentshearand an-
swersurveyquestions.
Use neutral language.Avoid words with
emotional"baggage,"becauserespondentsmay
reactto the emotionallyladenwordsratherthan
to the issue.For example,the question,"What
do you think about a policy to pay murderous
terroristswho threatento stealthe freedomsof
peace-lovingpeople?"is frrll of emotionalwords
(murderous, freedoms,steal,andpeace).
4. Avoidprestigebias.Titles or positionsin so-
ciety (e.g.,president,expert,etc.) carry prestige
 CHAP T E R7 , / S U R V E YR E S E A R C H 17I

Here are three surveyquestionswritten by experi- inadequateanswers(e.g.,don't know).As you can

encedprofessional researchers. They revisedthe
originalwordingafter a pilot test revealedthat 1 5
percentof respondents askedfor clarification
or gave
Original Question Problem
see,questionwordingisan art that mayimprovewith
practice,patience,and pilot testing.
RevisedQuestion

Do you exerciseor play
sportsregularly? _.
What is the averagenumberof
dayseachweekyouhavebutter?
[Followingquestionon eggs]
Whatis the numberof servings
in a typicalday?
What countsas exercise?
Doesmargarinecount
as butter?
How manyeggsis a serving?
What is a typicalday?
Do you do any sportsor hobbies,
physicalactivities,or exercise,
includingwalking,on a regularbasis?
The nextquestionisjust about
butter-not includingmargarine.
How manydaysa weekdo you have
butter?
On dayswhenyou eat eggs,how
manyeggsdo you usuallyhave?

Responsesto PercentageAsking
Question for Clarification

Original Original Revision

question(% saying"yes")
Exercise 48% 60% s% o%
Butterquestion(% saying"none") s3 % 557" 18% 1s%
Eggquestion(% saying"one") 80% 33% 33% o%

Soarce:
Adaptedfrom Fowler(1992).

or status.Issueslinked to peoplewith high social
statuscan color how respondentshear and an-
swersurveyquestions.Avoid associating a state-
ment with a prestigious person or group.
Respondentsmay answeron the basisof their
feelingstoward the personor group ratherthan
addressingthe issue.For example,saying,"Most
doctorssaythat cigarettesmokecauses lung dis-
easefor thoseneara smoker.Do you agree?"af-
fects people who want to agreewith doctors.
Likewise,a questionsuch as, "Do you support
thepresident'spolicy regardingKosovo?"will be
answeredby respondentswho haveneverheard
of Kosovo on the basis of their view of the
president.
5. Avoid double-barreled
questions.Make each
question about one and only one topic. A
questionconsistsof two or more
double-barreled
questionsjoined together.It makesa respon-
172 pA RTT w o ,/ c o N D U c rrN c QU AN TtTA TIvE
dent's answer ambiguous. For example, if asked,
"Does this company have pension and health in-
surance benefits?" a respondent at a company
with health insurance benefits only might an-
swer either yes or no. The response has an am-
biguous meaning, and the researchercannot be
certain of the respondent's intention. A re-
searcherwho wants to ask about the joint occur-
rence of two things-for example, a company
with both health insurance and pension bene-
fits-should ask two separatequestions.
6. Do not confuse beliefs with reality. Do not
confuse what a respondent believes with what
you, the researcher, measures. A respondent
may think that a relationship existsbetween two
variables but this is not an empirical measure-
ment of variables in a relationship. For example,
a researcher wants to find out if students rate
teachershigher who tell many jokes in class.The
two variablesare "teacher tells jokes" and "rating
the teacher." The wrongway to approach the is-
sue is to ask students, "Do you rate a teacher
higher if the teachertells many jokes?" This mea-
sures whether or not students believethat they
rate teachers based on joke telling; it does not
measure the empirical relationship. The correct
way is to ask two separate empirically based
questions: "How do you rate this teacher?" and
"How many jokes does the teacher tell in class?"
Then the researchercan examine answersto the
two questions to determine if there is an associ-
ation between them. People's beliefs about a re-
lationship among variables are distinct from an
actual empirical relationship.
7. Avoid leading questions.Make respondents
feel that all responsesare legitimate. Do not let
them become aware of an answer that the re-
searcherwants. Aleading (or loaded) question rs
one that leads the respondent to choose one re-
sponse over another by its wording. There are
many kinds of leading questions. For example,
the question, "You don't smoke, do you?" leads
respondents to state that they do not smoke.
Loaded questions can be stated to get either
positive or negative answers. For example,
R E S E A R cH
"should the mayor spendevenmore tax money
trying to keepthe streetsin top shape?"leadsre-
spondentsto disagree,whereas"Should the
mayor fix the pot-holed and dangerousstreets
in our city?"is loadedfor agreement.
that are beyondre'
8. Avoid askingquestions
spondents'capabilities.Asking somethingthat
few respondentsknow frustratesrespondents
and producespoor-quality responses. Respon-
dentscannot alwaysrecallpast detailsand may
not know specificfactual information. For ex-
ample,askingan adult,"How didyou feelabout
your brother when you were 6 years old?" is
probablyworthless.Askingrespondents to make
a choice about somethingthey know nothing
about (e.g.,a technicalissuein foreignaffairsor
an internalpolicy of an or ganization)may result
in an answer,but one that is unreliable and
meaningless. When many respondentsare un-
likely to know about an issue,use a firll-filter
questionform (to be discussed).
Phrasequestionsin the terms in which re-
spondentsthink. For example,few respondents
will be able to answer,"Ho1v many gallonsof
gasolinedid you buy lastyearfor your car?"Yet,
respondentsmay be able to answera question
about gasolinepurchasesfor a typical week,
which the researchercan multiply by 52 to esti-
mateannualpurchases.2
9. Avoid fake premises.Do not begin a ques-
may
tion with a premisewith which respondents
regardingit.
not agree,then ask about choices
with the premisewill
Respondents who disagree
be frustratedand not know how to answer.For
example,the question,"The.postoffice is open
too many hours. Do you want it to open four
hourslater or closefour hours earliereachday?"
leavesthosewho either opposethe premiseor
opposeboth alternativeswithout a meaningful
choice.
A betterquestionexplicitlyasksthe respon-
dent to assumea premiseis true, then asksfor a
preference. For example,"Assumingthe postof-
fice has to cut back its operatinghours, which
would you find more convenient,openingfour

hours later or closingfour hours earliereach
day?"Answersto a hypotheticalsituationarenot
very reliable,but beingexplicitwill reducefrus-
tration.
10. Avoid askingqbout intentionsin the distant
future. Avoid asking people about what they
might do under hypotheticalcircumstances far
in the future. Responsesare poor predictorsof
behaviorremovedfar from their current situa-
tion or far in the future. Questionssuch as,
"Suppitsea new grocerystoreopeneddown the
road in threeyears.Would you shop at it?" are
usuallya wasteof time. It is better to askabout
current or recentattitudesand behavior.In gen-
eral,respondents answerspecific,concreteques-
tions that relate to their experiencesmore
reliably than they do those about abstractions
that arebeyondtheil immediateexperiences.
II. Avoid doublenegatives.
Double negativesin
ordinary languageare grammaticallyincorrect
and confusing.For example,"I ain't got no job"
logicallymeansthat the respondentdoeshavea
job, but the secondnegativeis usedin this way
for emphasis.Suchblatant errors are rare, but
more subtle forms of the double negativeare
alsoconfusing.Theyarisewhenrespondentsare
askedto agreeor disagreewith a statement.For
example, respondentswho disagreewith the
statement,"Studentsshould not be requiredto
takea comprehensive examto graduate"arelog-
ically stating a double negativebecausethey
disagreewith not doing something.
12. Avoid oveilappingor unbalancedresponse
categories.
Make responsecategoriesor choices
mutually exclusive,exhaustive,and balanced.
Mutually exclusivemeans that responsecate-
gories do not overlap. Overlappingcategories
that are numerical ranges(e.g.,5-10, 10-20,
2O-30)canbe easilycorrected(e.g.,5-9, 10-19,
20-29).The ambiguousverbalchoiceis another
type of overlappingresponsecategory-for ex-
ample, "Ale you satisfiedwith your job or are
therethingsyou don't like about it?"Exhaustive
meansthat every respondenthas a choice-a
CHA P T E R7 , / s U R V E YR E S E A R C H ''7 3
place to go. For example, asking respondents,
"Are you working or unemployed?" leaves out
respondents who are not working but do not
consider themselvesunemployed (e.g.,full-time
homemakers, people on vacation, students, peo-
ple with disabilities, retired people, etc.). A re-
searcherfirst thinks about what he or she wants
to measure and then considers the circum-
stancesof respondents. For example, when ask-
ing about a respondent's employrnent, does the
researcherwant information on the primary job
or on all jobs? On full-time work only or both
full- and part-time work? On jobs forpay only
or on unpaid or volunteer jobs as well?
Keep responsecategoriesbalanced.A caseof
unbalanced choices is the question, "What kind
ofjob is the mayor doing: outstanding, excellent,
very good, or satisfactory?"Another type of un-
balanced question omits information-for ex-
ample, "Which of the five candidates running
for mayor do you favor: Eugene Oswego or one
of the others?" Researcherscan balance re-
sponsesby ofFering bipolar opposites. It is easy
to seethat the terms honesty and dishonestyhave
different meanings and connotations. Asking re-
spondents to rate whether a mayor is highly,
somewhat, or not very honestis not the siune as
asking them to rate the mayor's level of
dishonesty.Unless there is a specific purpose for
doing otherwise, it is better to offer respondents
equal^polar opposites at each end of a contin-
uum.r For example, "Do you think the mayor is:
very honest, somewhat honest, neither honest
nor dishonest, somewhat dishonest, or very dis-
honest?"(seeTable 7.1).
Aiding Respondent Recall
Recalling events accurately takes more time and
effort than the five seconds that respondents
have to answer survey questions. Also, one's
ability to recall accurately declines over time.
Studies in hospitalization and crime victimiza-
tion show that although most respondents can
recall significant events that occurred in the past
severalweek, half are inaccurate a year later.
174 PART TW O / CO NDUCTI NG Q UANT I T A T I V ER E S E A R C H
TABLE 7.1 Writing Pitfalls
SummaryofSurveyQuestion
1 . Jargon,slang,abbreviations Did you drown in brew until You were
totally blastedlast night?
2. Vagueness Do you eat out often?
3. Emotionallanguage "The respectedGraceCommission doc- How important is it to you that Con-
umentsthat a staggering$350 BILLION gressadopt measuresto reducegov-
4. Prestigebias
of our tax dollarsare beingcompletely
wastedthroughpoor procurementprac-
tices,bad management, sloPPYbook-
keeping,'defective' contract
management, personnelabusesand
other wastefulpractices.ls cuttingpork
barrelspendingand eliminatinggovern-
mentwastea top priorityfor you?"-
5. Double-barreledquestions Do you support or oPposeraisingso-
cial securitybenefitsand increased
spendingfor the militarY?
6. Beliefsas real Do you think more educatedPeoPle
smokeless?
7. Leadingquestions Did you do your patriotic dutY and
vote in the last electionfor maYor?
8. lssuesbeyond respondent Two yearsago, how manYhoursdid
capabilities you watch TV everymonth?
9. Falsepremises When did you stoP beatingYour
girl/boyfriend?
1 0. Distantfuture intentions After you graduatefrom college,get a
job, and are settled,will you investa
lot of moneyin the stock market?
I 1. Doublenegatives Do you disagreewith those who do not
wantto builda newcity swimming
pool?
responses
1 2. Unbalanced Did you find the serviceat our hotel to
be, Outstanding,Excellent,Superior,or
Good?
'l
-Actualquestiontakenfrom a mailquestionnairethat wassentto me in May 998 by the NationalRepublican
question.
sionalCommittee.lt is alsoa double-barreled
Lastnight,about how muchbeer did
you drink?
In a typical week,about how many
mealsdo you eat awayfrom home,at a
restaurant,cafeteria,or other eating
establishment?
ernment waste?
Very lmportant
SomewhatlmDortant
Neither lmportant or UnimPortant
Somewhat Unimportant
Not lmoortant At All
Do you supportor oPposeraisingso-
cial securitybenefits?
Do you support or oPPoseincreasing
spendingon the military?
What is your educationlevel?Do You
smokecigarettes?
Did you vote in last month'smayoral
election?
In the past two weeks,about how manY
hoursdo you think you watchedTV on
a typical day?
Haveyou ever slapped,punched,or hit
your girllboyfriend?
Do you havedefiniteplansto put some
moneyinto the stock marketwithin the
comingtwo months?
There is a proposalto build a new city
swimmingpool. Do you agreeor dis-
agreewith the proposal?
Pleaserate the serviceat our hotel:
Outstanding,Very Good,Adequate,or
Poor.
Congres-
 C H A P T E R7 , / S U R V E YR T S E A R C H 175

Surveyresearchers recognizethat memory

is lesstrustworthy than wasonceassumed'It is T ABLE 7 .2 Threatening Questions and
affectedby many factors-the topic, eventsoc- Sensitive lssues
curring simultaneouslyand subsequently, the
significanceofan eventfor a person,situational PqIGGdagE
conditions (questionwording and interview
style),and the respondent'sneedto haveinter- 56
Masturbation
nal consistency. 42
Sexualintercourse
The complexityof respondentrecalldoes or hashish 42
Useof marijuana
not mean that surveyresearchers cannot ask anddepressants 31
Useof stimulants
aboutpastevents;rather,theyneedto customize Cettingdrunk 29
questionsand interpret resultscautiously.Re- Pettingand kissing 20
searchers shouldprovide respondentswith spe- l ncome 12
cial instructionsand extra thinking time. They Camblingwith friends 10
shouldalsoprovide aidsto respondentrecall, Drinkingbeer,wine,or liquor t0
suchasa fixedtime frameor locationreferences. Happiness andwell-being 4
Ratherthan ask,"How often did you attend a Education 3
sporting eventlast winter?" they should say,"I Occupation 3
want to know how many sportingeventsyou at- Socialactivities 2
tendedlast winter. Let's go month by month. Ceneralleisure 2
Think back to December.Did you attendany Sportsactivity I
sportingeventsfor which you paid admissionin
S ource;Adapted from B radburnand Sudman(l 980:68).
December? Now,thinkbackto ]anuary.Didyou
attendany sportingeventsin January?"

other people. They may underreport or self-cen-

Types of Questions and Response
sor reports of behavior or attitudes they wish to
Categories hide or believe to be in violation of social norms.
Threatening Questions. Survey researchers Alternatively, they may overreport positive be-
sometimesaskabout sensitiveissuesor issues haviors or generally accepted beliefs (social de-
that respondentsmaybelievethreatentheir pre- sirability bias is discussedlater).
sentationofself, suchasquestionsabout sexual People are likely to underreport having an
behavior,drug or alcohol use,mental health illness or disability (e.g., cancer, mental illness,
problems,or deviant behavior.Respondents venereal disease),engaging in illegal or deviant
may be reluctantto answerthe questionsor to behavior (e.g., evading taxes,taking drugs, con-
answer completely and truthfully. Survey re- suming alcohol, engaging in uncommon sexual
searchers who wish to asksuchquestionsmust practices), or revealing their financial status
do sowith greatcareand must be extracautious (e.g.,income, savings,debts) (seeTable 7.3).
aboutthe results4 (seeTable7.2). Survey researchers have created several
Threateningquestionsarepart ofa largeris- techniques to increase truthful answers to
sueofself-presentation and egoprotection'Re- threatening questions. Some techniques involve
spondentsoften try to presenta positiveimage the context and wording of the question itself.
of themselvesto others.They may be ashamed, Researchersshould ask threatening questions
embarrassed, or afraid to givetruthful answers' only after a warm-up, when an interviewer has
or find it emotionallypainful to confront their developed rapport and trust with the respon-
own actionshonestly,let alone admit them to dents, and they should tell respondents that they
176 PART TW O / CO NDUCTI NC Q UANT I T A T I V ER E S E A R C H
T A BLE 7 . 3 Over- and UnderreportingBehavioron Surveys
LowThreat/Normative
+15
to vote
Registered
+39
Voted in primary
+19
Haveown librarYcard
HighThreat
-32
Bankruptcy
-47
Drunkdriving
Adaptedfrom Bradburnand Sudman(1 980:8)'
Source;
want honestanswers.They canphrasethe ques-
tion in an "enhancedway" to provide a context
that makesit easierfor respondentsto givehon-
est answers.For example, the following en-
hanced question was asked of heterosexual
males:"In past surveys'many men have re-
portedthat at somepoint in their livestheyhave
had sometlpe of sexualexperience with another
male.This could havehappenedbeforeadoles-
cence,during adolescence' or asan adult. Have
you everhad sexwith a male at somepoint in
your life?" In contrast,a standardform of-the
questionwould haveasked,"Haveyou everhad
sexwith anothermale?"
Also,by embeddinga threateningresponse
within more seriousactivities,it maybe madeto
seemlessdeviant.For example,respondents
might hesitateto admit shopliftingif it is asked
first, but afterbeingaskedaboutarmedrobbery
or burglary,they may admit to shoplifting be-
causeit appears lessserious.
SociallyDesirable Questions, Socialdesirabil-
itybias occurswhenrespondents distort answers
to maketheir reportsconform to socialnorms'
Peopletend to overreportbeing cultured(i'e',
reading,attendinghigh-culture events),giving
+17 +12
+31 +36
+21 +.18
-29 -32
-46 -54
moneyto charity,having a good marriage,lov-
ing their children, and so forth. For example,
one study found that one-third of peoplewho
reportedin a surveythat they gavemoney to a
local charityreallydid not. Because a norm says
that one should vote in elections,many report
voting when they did not. In the United States'
thoseunder the greatestpressureto vote (r'e''
highly educated,politicallypartisan,highly reli-
giouspeoplewho had beencontactedby an or-
vote) are the
lanization that urged them to
peoplemostlikelyto overreportvoting'
Questionnairewriters try to reducesocial
desirabilitybias by phrasingquestionsin ways
that makenorm violation appearlessobjection-
ableand that presentsa wider rangeofbehavior
as acceptable.They can also offer multiple re-
sponsecategoriesthat give respondents"face-
saving"alternatives.
Knowleilge Questions. Studiessuggestthat a
largemajority of the public cannotcorrectlyan-
swir elementarygeographyquestionsor identifr
important political documents(e.g.,the Decla-
ration of Independence)'Researchers some-
times want to find out whether respondents
know about an issueor topics,but knowledge
 questionscan be threateningbecauserespon-
dentsdo not want to appearignorant. Surveys
may measureopinions better if they first ask
aboutfactualinformation,becausemanypeople
haveinaccuratefactualknowledge.
Somesimpleknowledgequestions,such as
the number of peopleliving in a household,are
not alwaysansweredaccuratelyin surveys.In
some households,a marginal person-the
boyfriend who left for a week,the adult daughter
who left afteran argumentabouther pre#fficy,
or the unclewho walkedout aftera disputeover
money-may be reported as not living in a
household,but he or shemay not haveanother
permanentresidenceand considerhimself or
herselfto live there.s
Others have found that many Americans
opposeforeign aid spending.Their opposition
is basedon extremelyhigh overestimates of the
cost of the programs.When askedwhat they
would preferto spendon foreign aid, most give
an amount much higherthan what now is being
spent.
A researcherpilot-testsquestionsso that
questionsareat an appropriatelevelof difficulty.
Little is gainedif99 percentofrespondentscan-
not answerthe question.Knowledgequestions
canbe wordedsothat respondentsfeelcomfort-
able sayingthey do not know the answer-for
example, "How much, if anything, have you
heardabout...."
c pendson the purposeand the practicd,limita-
Skip or ContingencyQuestions. Researchers
avoid askingquestionsthat are irrelevantfor a
respondent.Yet, somequestionsapply only to
specificrespondents. A contingency questionis a
two- (or more) part question.The answerto the
first part of the question determineswhich of
two different questionsa respondentnext re-
ceives.Contingencyquestionsselectrespon-
dents for whom a secondquestionis relevant.
Sometimesthey are calledscreenor skip ques-
tions.Onthebasisof the answerto the first ques-
tion, the respondent or an interviewer is
instructedto go to anotheror to skip certain
questions.
The following example is a contingency
question,adaptedfrom deVaus(1956:79).
1. Wereyou born in Australia?
[ ] Yes(co To QUESTION2)
[] N o
(a) What countrywereyou born
in?-
(b) How manyyearshaveyou lived
in Australia?
(c) Are you an Australian citizen?
[]Yes []No
NOW GO TO QUESTTON
2
Open YersusClosed Questions
Therehaslong beena debateaboutopenversus
closedquestionsin survey research.An open-
ailed (unstructured,freeresponse)questionasks
a question(e.g.,"What is your favoritetelevision
program?'l)to which respondentscan give any
answer.A closed-ended (structured, fixed re-
sponse)questionboth asksa questionand gives
the respondentfixed responsesfrom which to
choose(e.g.,"Is the presidentdoing a very good,
good,fair, or poor job, in your opinion?").
Each form has advantagesand disadvan-
tages(seeBoxT.2).Thecrucialissueis not which
form is best.Rather,it is under what conditions
a form is mostappropriate.A researcher's choice
to usean open- or closed-ended questionde-
tions of a researchproject. The demandsof
using open-endedquestions,with interviewers
writing verbatimanswersfollowedby time-con-
sumingcoding,may makethem impracticalfor
a specificproject.
Large-scalesurveyshaveclosed-ended ques-
tions becausethey are quicker and easierfor
both respondentsand researchers. Yet some-
thing important may be lost when an individ-
ual's beliefs and feelingsare forced into a few
fixed categoriesthat a researchercreated.To
learnhow a respondentthinks, to discoverwhat
is reallyimportant to him or her, or to getan an-
swerto a questionwith many possibleanswers
178 PART TW O / CO NDUCTI NC Q UAN T I T A T I V ER E S E A R C H

Advantagesof Closed Disadvantagesof Closed

to answer.
r lt is easierandquickerfor respondents r They can suggestideasthat the responden
r The answersof differentrespondentsare easier wouldnot otherwisehave.
to compare. r Respondents with no opinionor no knowledg
r Answersare easierto code and statisticallyana- canansweranyway.
tyze. r Respondents canbe frustratedbecausetheir de-
r The responsechoicescan clarifyquestionmean- siredanswer not a choice.
is
ing for respondents. r lt is confusingif many(e.9.,20) responsechoices
r Respondents aremorelikelyto answeraboutsen- are offered.
sitivetopics. r Misinterpretation of a questioncango unnoticed
r Therearefewerirrelevantor confusedanswers to r Distinctionsbetweenrespondentanswersmaybe
questions. blurred.
I arenot
Lessarticulateor lessliteraterespondents r Clericalmistakesor markingthe wrongresponse
at a disadvantage. is possible.
r is easier.
Replication r They force respondentsto give simplisticre-
sponsesto complexissues.
r They force peopleto makechoicesthey would
not makein the realworld.

AdvantagesofOpen Disadvantagesof Open

r Theypermitan unlimitednumberof possiblean- r Differentrespondentsgive differentdegreesof
swers. detailin answers.
r Respondents cananswerin detailand canquali! r Responses may be irrelevantor buriedin useles
and clarifyresponses. detail.
r Unanticipated findingscan be discovered. r Comparisons andstatisticalanalysisbecomevery
r Theypermitadequateanswers to complexissues. difficult.
and rich- r Codingresponses is difficult.
r They permitcreativity,self-expression,
nessof detail. r Articulateandhighlyliteraterespondents havean
r They reveal a respondent'slogic, thinking advantage.
process,andframeofreference. r Questionsmay be too generalfor respondent
who losedirection:
r ResDonses are writtenverbatim,whichis difficult
for interviewers.
I A greateramountof respondenttime, thought,
and effort is necessary.
r Respondents can be intimidatedby questions.
r Answerstake up a lot of spacein the question
naire.

(e.9.,age),openquestionsmaybe best.In addi-
tion, sensitivetopics (e.g., sexual behavior,
liquor consumption)may be more accurately
measuredwith closedquestions.
The disadvantages ofa questionform canbe
reducedby mixing open-endedandclosed-ended
questionsin a questionnaire.Mixing them also
offersa changeof paceandhelpsinterviewerses-
tablishrapport. Periodicprobes(i.e.,follow-up
questionsby interviewers)with closed-ended
questions.can reveala respondent'sreasoning.
Havinginterviewersperiodicallyuseprobes
to askabout a respondent'sthinking is a way to
checkwhether respondentsare understanding
the questionsasthe researcherintended.How-
ever,_probes arenot substitutesfor writing clear
questionsor creatinga frameworkof under-
standingfor the respondent.Unlesscarefully
stated,probesmight shapethe respondent'san-
swersor force answerswhen a respondentdoes
not havean opinion or information.Yet,flexible
or conversationalinterviewing in which inter-
viewersusemany probescan improve accuracy
on questionsaboutcomplexissueson which re-
spondentsdo not clearlyunderstandbasicterms
or about which they have difiiculty expressing
their thoughts.For example,to the question,
"Did you do any work for moneylast week?"a
respondentmight hesitatethen replR "yes." Arr
interviewerprobes,"Could you tell me exactly
whatwork you did?"The respondentmay reply,
"On Tuesdayand Wednesday,I spenta couple
hourshelpingmybuddyJohnmoveinto his new
apartment.For that he gaveme $40,but I didn't
haveanyotherjob or getpaid for doinganything
else."If the researcher's
intention wasonlyto get
reportsof regularemployment,the probe re-
vealeda misunderstanding. Researchers alsouse
partially openqutstions(i.e.,a setof fixedchoices
with a final open choiceof "other"), which al-
lows respondentsto offer an answerthat the re-
searcherdid not include.
Open-endedquestionsare especiallyvalu-
able in early or exploratorystagesof research.
For large-scalesurveys,researchers use open
questionsin pilot-tests,then developclosed-
CH A P T E R7 , / S U R V E YR E S E A R C H 179
question responsesfrom the answersgiven to
the openquestions.
Researchers writing closedquestionshaveto
make many decisions.How many response
choicesshould be given?Should they offer a
middle or neutral choice?What should be the
order of responses? What types of response
choices? How will the directionof a responsebe
measured?
Answersto thesequestionsarenot easy.For
example,two responsechoicesare too few, but
more than five responsechoicesarerarelyeffec-
tive. Researchers want to measuremeaningful
distinctionsand not collapsethem. More spe-
cific responses yield more information, but too
many specificscreateconfusion.For example,
rephrasingthe question,"Are you satisfiedwith
your dentist?" (which has a yes/no answer)to
"How satisfiedare you with your dentist very
satisfied,somewhatsatisfied,somewhatdissatis-
fied, or not satisfiedat all?" givesthe researcher
more information and a respondentmore
choices.
Nonattitudes anil the Miilille positions.
Surveyresearchersdebatewhether to include
choicesfor neutral, middle, and nonattitudes
(e.g.,'not surer" "don't knowr" or "no opin-
ion").0 Two typesof errorscanbe made:accept-
ing a middle choice or "no attitude" response
whenrespondents hold a nonneutralopinion, or
forcing respondentsto choosea position on an
issuewhen they haveno opinion aboutit.
Many fear that respondentswill choose
nonattitude choicesto eyademaking a choice.
Yet, it is usually best to offer a nonattitude
choice,becausepeoplewill expressopinions on
fictitiousissues,objects,and events.By offeringa
nonattitude (middle or no opinion) choice,re-
searchers identify thoseholding middle posi-
tions or thosewithout opinions.
Theissueofnonattitudescanbe approached
by distinguishingamongthreekinds of attitude
questions:standard-format, quasi-filter,andfi.rll-
filter questions(seeBox 7.3). The standard-for-
mat questiondoes not offer a "don't know"
 180 PART TW O , / CO NDUCTI NG Q UA N T I T A T I V ER E S E A R C H

Standard Format
Hereis a questionabout an other country.Do you agreeor disagreewith this state-
ment?"The Russian leadersare basicallytrying to get alongwith America."

Quasi-Filter
Hereis a statementabout an other country:"The Russianleadersare basicallytrying
to get alongwith America."Do you agree,disagree,
or haveno opinionon that?

Full Filter
Hereisa statementaboutanothercountry.Not everyonehasan opinionon this.lf you
do not haveanopinion,just "TheRussian
sayso.Here'sthe statement: leadersareba-
sicallytryingto get alongwithAmerica."
Do you havean opinionon that?lf yes,.doyou
agreeor disagree?

Exampleof Resultsfrom Different Question Forms

StandardForm(7") Quasi-Filter(7") FullFilter(7")

Agree 48.2 27.7 22.9

Disagree 38.2 29.5 20.9
No opinion 13.6. 42.8 56.3

'Volunteered
Source: AdaptedfromSchuman (1 981 :l 1 6-125\. Standardformatis fromFall
andPresser
.l
978; quasi-andfull-filterarefromFebruarv1977.

choice;a respondentmust volunteerit, A quasi- quasi-filter or fuIl-filter questions. Filtered ques-

filter questionoffersrespondentsa "don't know"
alternative.A full-filter questionis a specialtype of
contingencyquestion.It first asksifrespondents
have an opinion, then asksfor the opinion of
thosewho statethat theydo havean opinion.
Many respondentswill answera questionif
a "no opinion" choiceis missing,but they will
choose"don't know" when it is offered,or say
that they do not havean opinion if asked.Such
respondentsare called floaters becausethey
"float" from giving a responseto not knowing.
Their responsesare affectedby minor wording
changes,so researchers screenthem out usinq
tions do not eliminate all answersto nonexistent
issues,but they reduce the problem.
AgreelDisagree, Rankings or Ratings? Survey
researcherswho measure values and attitudes
have debated two issuesabout the responsesof-
fered.TShould questionnaire items make a state-
ment and ask respondents whether they agreeor
disagree with it, or should it offer respondents
specific alternatives? Should the questionnaire
include a set of items and ask respondents to rate
them (e.g., approve, disapprove), or should it
give them a list of items and force them to rank-

order items (e.g., from most favored to least
favored)?
It is best to offer respondents explicit alter-
natives. For example, instead of asking, "Do you
agree or disagree with the statement, 'Men are
better suited to. . . .' " instead ask, "Do you think
men are better suited, women are better suited,
or both 4re equally suited?" Lesswell educated
respondents are more likely to agreewith a state-
ment. whereas forced-choice alternatives en-
courage thought and avoid the response set
bias-a tendency of some respondents to agree
and not really decide.
Researcherscreate bias if question wording
gives respondents a reason for choosing one al-
ternative. For example, respondents were asked
whether they supported or opposed a law on en-
ergy conservation. The results changedwhen re-
spondents heard, "Do you support the law or do
you oppose it becausethe law would be difficult
to enforce?" instead of simply, "Do you support
or oppose the law?"
It is better to ask respondents to choose
among alternatives by ranking instead of rating
items along an imaginary continuum. Respon-
dents can rate several items equally high, but will
place them in a hierarchy if askedto rank them.8
Wording lssues
Surveyresearchers facetwo wording issues.The
first, discussedearlier,is to usesimplevocabt'-
lary and grammarto minimize confusion.The
secondissueinvolveseffectsof specificwordsor
phrases.This is trickier becauseit is not possible
to know in advancewhether a word or phrase
affectsresponses.
The well-documenteddifferencebetween
forbid and not qllow illastratesthe problem of
wording differences.Both terms havethe same
meaning,but many more peopleare willing to
"not allow" somethingthan to "forbid" it. In
general,lesswell educatedrespondentsaremost
influencedby minor wording differences.
Certain words seemto trigger an emo-
tional reaction,and researchers arejust begin-
CHAPT E R7 , / S U R V E YR E S E A R C H 181
ning to learn of them. For example,Smith
(1987) found large differences(e.9.,twice as
much support) in U.S. surveyresponsesde-
pending on whether a question askedabout
spending"to help the poor" or "for welfare."
He suggestedthat the word welfarehas such
strong negativeconnotationsfor Americans
(lazypeople,wastefuland expensiveprograms)
etc.)that it is bestto avoidit.
Many respondents areconfusedbywords or
their connotations.For example,respondents
wereaskedwhethertheythoughttelevisionnews
was impartial. Researchers later learnedthat
large numbersof respondentshad ignored the
word impartial-a term the middle-class,edu-
cated researchersassumedeveryonewould
know. Lessthan half the respondentshad inter-
preted the word as intendedwith its proper
meaning.Over one-fourth ignoredit or had no
idea of its meaning. Others gave it unusual
meanings,and one-tenththought it wasdirectly
oppositeto its true meaning.Researchers need
to be cautious,becausesomewording effects
(e.g.,the differencebetweenforbid and not al-
/orry)remain the samefor decades,while other
effectsmay appear.g
Questionnaire Design lssues
Lngth of Surveyor Questionnaire. Howlong
should a questionnairebe or an interview last?
Researchers preferlong questionnaires or inter-
viewsbecausethey are more cost efFective. The
costfor extraquestions-once a respondent has
been sampled, hasbeencontacted, and has com-
pletedother questions-is small.Thereis no ab-
soluteproper length.The lengthdependson the
surveyformat (to be discussed)and on the re-
spondent'scharacteristics. A 5-minute tele-
phoneinterviewis rarelya problem and may be
extended to 20 minutes. A few researchers
stretchedthis to beyond30 minutes.Mail ques-
tionnairesare more variable.A short (3- or 4-
page) questionnaireis appropriate for the
generalpopulation. Someresearchers havehad
success with questionnairesas long as 10 pages
182 pA R TT w o ,/ c o N D U c rrN c e u A N TrrA TrvER E sE A R cH

(about 100items) with the generalpublic, but not when the questionis by itself or beforea
responses drop significantlyfor longerquestion- questionabout fetus defects.A classicexample
naires.For highly educatedrespondentsand a of order effectsis presentedin Box 7.4.
salienttopic, using questionnaires of 15 pages Respondents may not perceiveeachissueof
may be possible.Face-to-face interviewslasting a surveyasisolatedand separate.They respond
an hour are not uncommon.In specialsitua- to surveyquestionsbasedon the setofissuesand
tions, face-to-faceinterviewsaslong asthreeto their order of presentationin a questionnaire
five hourshavebeenconducted. Previousquestionscan influence later onesin
two ways:through their content (i.e.,the issue)
Question Order or Sequence. A survey re- and through the respondent'sresponse.For ex-
searcherfacesthree questionsequenceissues: ample,a studentrespondentis asked,"Do you
organizationof the overallquestionnaire,ques- supportor favoran educationalcontribution for
tion order efiflects,
and contexteffects. students?"Answersvary dependingon the topib
of the precedingquestion.If it comes after,
Organizationof Questionnaire. In general,you "How much tuition doesthe averageU.S. stu-
shouldsequencequestionsto minimize the dis- dentpay?"respondentsinterpret"contribution"
comfort and confusionof respondents. A ques- to meansupportfor what studentswill pay.If it
tionnaire has opening, middle, and ending comesafter "How much doesthe Swedishgov-
questions.After an introduction explainingthe ernmentpayto students?"respondents interpret
survey, it is best to make opening questions it to mean a contribution that the government
pleasant,interesting,and easyto answerto help will pay. Responses can be also influencedby
a respondentfeel comfortableabout the ques- previousanswers,becausea respondenthaving
tionnaire. Avoid asking many boring back- akeadyansweredone part will assumeno over-
ground questionsor threateningquestionsfirst. lap. For example,a respondentis asked,"Howis
Organizequestionsinto common topics.Mix- your wife?"The next questionis, "How is your
ing questionson different topics causesconfu- family?"Most respondentswill assumethat the
sion. Orient respondentsby placing questions secondquestionmeansfamily membersother
on the sametopic together and introduce the than the wife becausethey alreadygavean an-
sectionwith a shortintroductorystatement(e.g., sweraboutthe wife.Il
"Now I would like to askyou questionsabout
housing").Make questiontopicsflow smoothly ContextEffecE. Researchers found powerful
and logically,and organizethem to assistre- contexteffectsin surveys.As a practicalmatter,
spondents'memory or comfort levels.Do not two thingscanbe doneregardingcontexteffects
end with highly threateningquestions,and al- Usea funnel sequence of questions-that is, ask
waysend with a "thank you." more generalquestionsbeforespecificones(e.g.,
askabout healthin generalbeforeaskingabout
Order Effects. Researchers are concernedthat specificdiseases). Or, divide the number of re-
the order in which they presentquestionsmay spondentsin half and give half of the questions
influencerespondentanswers.Such "order ef- in one order and the other half in the alternative
fects"appearto be strongestfor peoplewho lack order. then examinethe resultsto seewhether
strongviews,for lesseducatedrespondents, and questionorder mattered.If question order ef-
for older respondentsor thosewith memory fectsare found, which order tells you what the
loss.loFor example,support for an unmarried respondentsreallythink?The answeris that you
woman havingan abortion risesif the question cannotknow for sure.
is precededby a questionabout abortion being For example,a few yearsago,a classof my
acceptablewhen a fetushasseriousdefects,but studentsconducteda telephonesurveyon two
 CHA P T E R7 , / S U R V E YR E S E A R C H It3

Question I
"Do you think that the United states shouldlet
communistnewspaperre-
portersfrom other countriescomein hereand sendbackto their papersthe
newsasthey seeit?"

Question 2
"Do you thinka CommunistcountrylikeRussiashourdlet American
newspaper
reporterscomein and sendbackto Americathe newsasthev seeit?"

PercentageSaying Yes
Yesto #1 Yesto #2
Heard First (CommunistReporter) (AmericanReporter)
#1 54% 7s%
#2 64% 82%

The contextcreatedby answering

the first questionaffectsthe answerto the
secondquestion.

Source:
Adapted andpresser
fromSchuman (19gl:29).

topics:concernabout crime and attitudesto-
ward a new anti-drunk-driving law. A random
half of the respondentsheard questionsabout
the drunk-driving law first; the other half heard
about crime first. I examinedthe resultsto see
whether there was any contextffict-a differ-
enceby topic order. I found that respondents
who were askedabout the drunk-driving law
first expressedlessfear about crime than did
those who were askedabout crime first. Like-
wise,they were more supportiveof the drunk-
driving law than were those who first heard
about crime. The first topic createda context
within which respondentsansweredquestions
on the secondtopic.After theywereaskedabout
crime in general and thought about violent
crime,drunk driving may haveappearedto be a
lessimportant issue.By contrast, after they were
asked about drunk driving and thought about
drunk driving as a crime, they may have ex_
pressedlessconcern about crime in general.
Respondents answer all questions based on
a context ofpreceding questions and the inter_
view setting. A researcher needs to remember
that the more ambiguous a question'smeaning,
the stronger the context effects, because re-
spondents will draw on the context to interpret
and understand the question. previous ques_
tions on the same topic and heard just before a
question can have a large context effect. For ex_
ample, Sudman and associates(1996:90_91)
contrasted three ways of asking how much a re_
spondent followed politics. When they asked
the questionalone,about 2l percentof iespon-
| 84 pA R TT w o / c o N D U c rtN c e u A N TtrA TtvER E sE A R cH

dents said they followed politics "now and a differentstylefrom the questions(e.g.,in a dif-
then" or "hardly at all." When they askedthe ferent color or font or in all capitals)to distin-
question after asking what the respondent's guishthem. This is so an interviewercan easily
electedrepresentative recentlydid, the percent-distinguishbetweenquestionsfor respondents
agewho said they did not follow nearly dou- and instructions intended for the interviewer
bled, going to 39 percent. The knowledge alone.
question about the representativemade many Layoutis crucialfor mail questionnaires be-
respondentsfeel that they did not really know causethereis no friendly interviewerto interact
much. When a questionabout the amount of with the respondent.Instead,the question-
"public relationswork" the electedrepresenta- naire'sappearance persuades the respondent.ln
tive provided to the areacamebetweenthe two mail surveys,includea polite,professionalcover
questions,29 percentofrespondentssaidthey letteron letterheadstationeryidentifyingthe re-
did not follow politics. This question gavere- searcherand offering a telephonenumber for
spondentsan excusefor not knowing the first questions.Detailsmatter. Respondentswill be
question-they could blame their representa- turned off if they receivea bulky brown enve-
tive for their ignorance.The contextofa ques- lope with bulk postageaddressedto Occupant
tion canmakea differenceand researchers needor if the questionnairedoesnot fit into the re-
to be awareof it at all times. turn envelope.Alwaysend with "Thank you for
your participation."Interviewersand question-
Format and Layout. Thereare two format or nairesshould leaverespondentswith a positive
layout issues:the overall physicallayout ofthe feelingabout the surveyand a sensethat their
questionnaireand the format of questionsand participationis appreciated.
responses. Questiondesignmatters.One study of col-
legestudentsaskedhow many hours they stud-
QuestionnaireLayout. Layout is important, ied per day. Some students saw five answer
whethera questionnaireis for an intervieweror choicesrangingfrom 0.5 hour to more than 2.5
for the respondent.Questionnairesshould be hours; others saw five answerchoicesranging
clear,neat,and easyto follow. Give eachques- from lessthan2.5hoursto morethan4.5hours.
tion a number and put identifying information Of studentswho sawthe first set,77 percentsaid
(e.g.,name of organization)on questionnaires. they studiedunder 2.5 hours versus31 percent
Nevercrampquestionstogetheror createa con- of thosereceivingthe secondset.When the mail
fusingappearance. A few centssavedin postage questionnaire and telephone interview were
or printing will ultimatelycostmore in termsof compared,58 percentof studentshearingthe
lower validity due to a lower responserateor of first set said under 2.5 hours, but there wasno
confusion of interviewersand respondents. changeamong those hearingthe secondset.
Make a coversheetor facesheetfor eachinter- More than differencesin responsecategories
view, for administrativeuse.Put the time and were involved, becausewhen students were
date of interview, the interviewer,the respon- askedabouthoursoftelevisionwatchingper day
dent identification number, and the inter- with similar responsecategories and then the a-
viewer'scommentsand observationson it. A ternativeresponsecategoriesmade no differ-
professional appearancewith high-quality ence.What canwe learnfrom this?Respondents
graphics,spacebetweenquestions,and goodlay- without clearanswerstend to rely on question-
out improves accuracyand completenessand naireresponsecategories for guidanceand more
helpsthe questionnaireflow. anonymous answeringformats tend to yield
Give interviewersor respondentsinstruc- morehonestresponses (seeDillman 2000:32-39
tions on the questionnaire.Print instructionsin for more details).
 CHA P T E R7 , / S U R V E YR E S E A R C H I85

QuestionFormat. Surveyresearchers decideon usuallyclearest.Also, listing responsesdown a

a format for questionsand responses.
Shouldre_
spondentscircle responses,checkboxes,fill in
dots,or put an X in a blank?The principle is to
makeresponses unambiguous.Boxesoi brack_
etsto be checkedand numbersto be circledare
pageratherthan acrossmakesthem easierto see
(seeBox 7.5).As mentionedbefore,usearrows
and instructionsfor contingencyquestions.Vi_
sualaidsarealsohelpful.For example,hand out
thermometer-like drawings to iespondents

Exampleof Horizontal versusVertical ResponseChoices

Do you think it is too easyor too difficultto get a divorce,or is it about
right?
! Too Easy tr Too Difficult I About Right
Do you think it is too easyor too difficultto get a divorce,or is it
about right?
n Too Easy
n Too Difficult
n About Right

Exampleof a Matrix Question Format

Strongly Strongly Don't
Agree Agree Disagree Disagree Know
The teachertalkstoo fast. tr tr tr n n
lle arn edal o tint his c las s . ' tr tr ! tr
The tests arevery easy. n ! -
n ! n
The teachertells manyjokes. ! tr tr n tr
Theteacherisorganized. tr rt r.l
- -
Examplesof Some ResponseCategory Choices
Excellent,
Cood, Fair,Poor
Approve,/Disapprove
FavorlOppose
stronglyAgree,Agree,somewhatAgree,somewhatDisagree,Disagree,
strongryDisagree
Too Much,Too Little,About Right
Better,Worse,About the Same
Regularly,
Often,Seldom,Never
Always,Most of Time,Someof Time,Rarely,Never
More Likely,LessLikely,No Difference
VeryInterested,Interested,Not lnterested
186 pA R TT w o / c o N D U c rN c e u A NTrrA TrvER E sE A R cH
when askingabout how warm or cool they feel
toward someone.A matrix question(or grid
question)is a compactway to presenta seriesof
questionsusingthe sameresponsecategories. It
savesspaceand makesit easierfor the respon-
dent or interviewerto note answersfor the same
responsecategories.
Nonresponse.Thefailureto getavalid response
from everysampledrespondentweakensa sur-
vey. Have you everrefusedto answera survey?
In additionto researchsurveys,peopleareasked
to respondto many requestsfrom charities,
marketingfirms, candidatepolls, and so forth.
Charitiesand marketingfirms getlow response
rates, whereasgovernment organizationsget
much higher cooperationrates.Nonresponse
canbe a major problem for surveyresearchbe-
causeif a high proportion of the sampledre-
spondentsdo not respond,researchers may not
be able to generalizeresults,especiallyif those
who do not responddiffer from thosewho re-
spond.
Public cooperationin surveyresearchhas
declinedoverthepast20to 30yearsacrossmany
countries,with the Netherlandshavingthe high-
estrefusalrate,and with refusalratesashryh
30percentin the United States.l2 Thereis both^a
growing group of "hard core" refusingpeople
and a generaldeclinein participation because
many people feel there are too many surveys.
Other reasonsfor refusalincludea fearof crime
and strangers,a more hecticlife-style,a lossof
privacy,and a risingdistrustof authorityor gov-
ernment.The misuseof the surveyto sellprod-
ucts or persuade people, poorly designed
questionnaires, and inadequateexplanationsof
surveysto respondentsalsoincreaserefusalsfor
legitimatesurveys.
Surveyresearcherscan improve eligibility
ratesby careful respondentscreening,better
sample-framedefinition,andmultilingualinter-
viewers.They can decreaserefusalsby sending
letters in advanceof an interview, offering to
rescheduleinterviews, using small incentives
(i.e.,smallgifts),adjustinginterviewerbehavior
and statements(i.e., making eye contact,ex-
pressingsincerity,explainingthe samplingor
survey,emphasizingimportance of the inter-
view,clarifring promisesof confidentiality,etc.).
Surveyresearcherscan also use alternativein-
terviewers(i.e., different demographiccharac-
teristics,age,race,gender,or ethnicity), use
alternativeinterview methods(i.e., phone ver-
susface to face),or acceptalternativerespon-
dentsin a household.
A critical areaof nonresponseor refusalto
participateoccurswith the initial contactbe-
tweenan interviewerand a respondent.A face-
to-face or telephoneinterview must overcome
resistanceand reassurerespondents.
Research on the useof incentivesfound that
prepaidincentivesappearto increaserespon-
dent cooperationin all typesofsurveys.Theydo
not app€arto have negativeeffectson survey
compositionor future participation.
There is a huge literature on ways to in-
creaseresponseratesfor mail questionnaires
(seeBox 7.6).13Heberleinand Baumgartner
(1978,1981)reported71 factorsaffectingmail
questionnaireresponserates.
TYPES OF SURVEYS:ADVANTAGES
AND DISADVANTAGES
Mail and Self-Administered
Questionnaires
Advantages. Researchers can give question-
nairesdirectly to respondentsor mail them to
respondentswho read instructionsand ques-
tions, then record their answers.This $pe of
surveyis by far the cheapest,and it can be con-
ductedby a singleresearcher. A researchercan
sendquestionnaires to a wide geographicalarea.
The respondentcancompletethe questionnaire
when it is convenientand can checkpersonal
recordsif necessary.Mail questionnairesoffer
anonl.rnityand avoidinterviewerbias.They can
be effective,and responseratesmay be high for
an educatedtargetpopulation that hasa strong
interestin the topic or the surveyorganization.

'l . Address
the questionnaireto specificperson,
not "Occupant,"and sendit first class.
2. Includea carefullywritten,datedcoverletteron
letterheadstationery.In it, requestrespondent
cooperation,guaranteeconfidentiality,explain
the purposeof the survey,and give the re-
searcher's
nameandphonenumber.
3. Alwaysincludea postage-paid, addressedreturn
envelope.
4. The questionniireshouldhavea neat,attractive
layoutand reasonablepagelength.
5. The questionnaireshould be professionally
printedandeasyto read,with clearinstructions.
5. Sendtwo follow-upreminderletters to those
not responding.The first shouldarriveabout
one weekafter sendingthe questionnaire, the
seconda weeklater.Centlyaskfor cooperation
againand offerto sendanotherquestionnaire.
7. Do not sendquestionnaires duringmajorholi-
day periods.
8. Do.not put questionson the backpage.Instead,
leavea blankspaceand askthe r:espondent
for
generalcomments.
9. Sponsorsthat are localand are seenas legiti-
mate (e.9.,governmentagencies,universities,
largefirms,etc.)get a better response.
lO. ln c l udea s m allm onet ar yin d u c e me n($
t l) if
oossible.
Disadvantages. Since people do not always
completeand return questionnaires, the biggest
problem with mail questionnairesis a low re-
sponserate. Most questionnairesare returned
within two weeks,but otherstrickle in up to two
months later. Researchers can raiseresponse
ratesby sendingnonrespondentsreminder let-
ters,but this addsto the time and cost of data
collection.
CHAPTER
7 ,/ SURVEY
RESEARCH 187
A researchercannot control the conditions
under which a mail questionnaireis completed.
A questionnairecompletedduring a drinking
party by a dozenlaughing people may be re-
turned along with one filled out by an earnest
respondent.Also, no one is presentto clarifr
questions or to probe for more information
when respondentsgive incomplete answers.
Someoneother than the sampledrespondent
(e.g.,spouse,new resident,etc.)may open the
mail and completethe questionnairewithout
the researcher's knowledge.Different respon-
dents can completethe questionnaireweeks
apart or answerquestionsin a different order
than that intendedby researchers. Incomplete
questionnaires canalsobe a seriousproblem.
Researchers cannotvisuallyobservethe re-
spondent'sreactionsto questions,physicalchar-
acteristics,or the setting. For example,an
impoverished70-year-oldWhite woman living
aloneon a farm could falselystatethat sheis a
prosperous4O-year-old Asianmaledoctorliving
in a town with threechildren.Suchextremelies
arerare,but seriouserrorscango undetected.
The mail questionnaireformat limits the
kinds of questionsthat a researchercan use.
Questionsrequiringvisualaids(e.g.,look at this
picture and tell me what you see),open-ended
questions,many contingencyquestions,and
complexquestionsdo poorly in mail question-
naires. Likewise,mail questionnairesare ill
suitedfor the illiterateor near-illiteratein Eng-
lish. Questionnairesmailed to illiterate respon-
dents are not likely to be returned; if they are
completedand returned,the questionswere
probably misunderstood,so the answersare
meaningless (seeTable7.4).
Web Surveys
Accessto the Internet and e-mail hasbecome
widespreadsincethe late-1990sacrossmost ad-
vancednations. For example,3 percentof the
U.S. population had e-mail in 1994;only 10
yearslater about 75 percentofhouseholdshad
Internetconnections.
188 PART TW O / CO NDUCTI NC Q UAN T I T A T I V ER E S E A R C H

TABLE 7.4 Typesof SurveysandTheir Features

lssues
Administrative

Cheapest Moderate Expensive

Cost Cheap
Fastest Fast Slowto
Speed Slowest
moderate

Moderate Short Longest

Length(numberof questions) Moderate
Moderate Moderate Highest
rate
Response Lowest

Control
Research

No Yes Yes
Probespossible No
No Yes Yes
SpecificresPondent No
Yes Yes Yes
Questionsequence No
No Yes Yes
Onlyone resPondent No
No No Yes
Visualobservation No

with DifferentQuestions
Success

Yes None Yes

V is ualaids Limited
Limited Limited Yes
questions
Open-ended Limited
Yes Yes Yes
questions
ContingencY Limited
Yes Limited Yes
Complexquestions Limited
Yes Limited Limited
questions
Sensitive Some

Sourcesof Bias

Some Some Most

SocialdesirabilitY Some
None Some Most
lnterviewerbias None
Yes No No
readingskill
Respondent's Yes

Advantages. Web-based surveys over the In-
ternet or by e-mail are very fast and inexpensive.
They allow flexible design and can use visual im-
ages,or even audio or video in some Internet
versions. Despite great flexibility, the basic prin-
ciples for question writing and for paper ques-
tionnaire design generally apply.
Disadvantages. Web surveys have three areas
of concern: coverage, privacy and verification,
and design issues.The first concern involves
sampling and unequal Internet accessor use.
Despite high coveragerates,older, less-educated,
lower-income, and more rural people are less
likely to have good Internet access.In addition,
many people have multiple e-mail addresses,
which limits using them for sampling purposes.
Self-selection is a potential problem with web
surveys. For example, a marketing department
could get very distorted results ofthe population
of new car buyers. Perhaps half of the new car
buyers for a model are over age 55, but 75 per-
cent of respondents to a web survey are under
age 32 and only 8 percent are over age 55. Not
only would the results be distorted by age but
the relatively small percentage of over-55 re-
spondents may not be representative of all over-
55 potential new car buyers (e.g., they may be
higher income or more educated).
A second concern is protecting respondent
privacy and confidentiality. Researchersshould
encrl?t collected data, only use secure websites
and erasenonessentialrespondent identification
or linking information on a daily or weeklybasis.
They should develop a system of respondent
verification to ensure that only the sampled re-
spondent participates and does so only once.
This may involve a system such as giving each
respondent a unique PIN number to accessthe
questionnaire.
A third concern involves the complexity of
questionnaire design. Researchersneed to check
and veriS' the compatibility of various web soft-
ware and hardware combinations for respon-
dents using different computers. Researchersare
cH A prE Rz ,/ suR V E yR E S E A R C H 189
still learning what is most effective for web sur-
veys. It is best to provide screen-by-screenques-
tions and make an entire question visible on the
screen at one time in a consistent format tr-ith
drop-down boxes for answer choices.It is best to
include a progress indicator (as motivation),
such as a clock or waving hand. Visual appear-
ance ofa screen,such as the range ofcolors and
fonts, should be kept simple for easyreadability
and consistency.Be sure to provide very clear in-
structions for all computer actions (e.g., use of
drop-down screens)where they are needed and
include "click here" instructions. Also, make it
easy for respondents to move back and forth
acrossquestions.Researchersusing web surverys
need to avoid technical glitches at the imple-
mentation stageby repeatedpretesting, having a
dedicated server,and obtaining sufficient broad-
band to handle high demand.
Telephone Interviews
Advantages. The telephone interview is a pop-
ular survey method becauseabout 95 percent of
the population can be reached by telephone. An
interviewer calls a respondent (usuallyat home),
asksquestions, and records answers.Researchers
sample respondents from lists, telephone direc-
tories, or random digit dialing, and can quickly
reach many people acrosslong distances.A staff
of interviewers can interview 1,500 respondents
acrossa nation within a few days and, with sev-
eral callbacks, response rates can reach 90 per-
cent. Although this method is more expensive
than a mail questionnaire, the telephone inter-
view is a flexible method with most of the
strengths of face-to-faceinterviews but for about
halfthe cost. Interviewerscontrol the sequence
of questionsand can usesome probes.A specific
respondent is chosen and is likely to answer all
the questions alone. The researcherknows when
the questions were answered and can use con-
tingency questions effectively, especiallywith
computer-assistedtelephoneinterviewing (CATI)
(to be discussed).
190 pA R TT w o / c o N D U c l N G QU AN TtTA TIvE
Disailvantages. Higher costand limited inter-
viewlengthareamongthe disadvantages of tele-
phone interviews.In addition, respondents
without telephonesareimpossibleto reach,and
the call may comeat an inconvenienttime. The
useof an interviewerreducesanonymityand in-
troducespotentialinterviewerbias.Open-ended
questionsare difficult to use,and questionsre-
quiring visual aids are impossible.Interviewers
can only note seriousdisruptions(e.g.,back-
ground noise) and respondenttone of voice
(e.g.,angeror flippancy)or hesitanry.
Face-to-FaceInterviews
Ailvantages. Face-to-faceinterviewshavethe
highestresponseratesand permit the longest
questionnaires.Interviewersalsocanobservethe
surroundingsand canusenonverbalcommuni-
cationandvisualaids.Well-trainedinterviewers
can askall typesof questions,can askcomplex
questions,and canuseextensiveprobes.
Disadvantages. High costis the biggestdisad-
vantageof face-to-faceinterviews.The training,
travel, supervision,and personnelcostsfor in-
terviews can be high. Interviewer bias is also
$eatest in face-to-faceinterviews.The appear-
ance,tone of voice, question wording, and so
forth of the interviewermay affectthe respon-
dent. In addition,interviewersupervisionis less
than for telephoneinterviews,which supervisors
monitor bylisteningin ra
INTERVIEWING
The Role of the Interviewer
Interviewsto gatherinformation occur in many
settings.Surveyresearch interviewingis a speciar-
ized kind of interviewing.As with most inter-
viewing,its goalis to obtain accurateinformation
from anotherperson.ls
The surveyinterviewis a socialrelationship.
Like other socialrelationships,it involvessocial
R E S E A R cH
roles,norms, and expectations. The interviewis
a short-term,secondarysocialinteractionbe-
tweentwo strangerswith the explicitpurposeof
one person'sobtaining specificinformation
from the other. The socialrolesarethoseof the
interviewerand the intervieweeor respondent.
Information is obtainedin a structuredconver-
sationin which the interviewerasksprearranged
questionsand recordsanswers,and the respon-
dent answers.It differsin severalwaysfrom or-
dinary conversation(seeTable7.5).
An important problem for interviewersis
that many respondentsare unfamilar with the
surveyrespondents'role.As a result,they substi-
tute anotherrole that may affecttheir responses.
Somebelievethe interview is an intimate con-
versationor thearpysession,someseeit asa bu-
reaucraticexercisein completing forms, some
viewit asa citizenreferendumon policy choices,
someview it as a testingsituation,and some
considerit as a form of deceitin which inter-
yiewersaretrying to trick or entraprespondents.
Evenin a well-designed, professionalsurvey,foi-
low-up researchfound that only about half the
respondentsunderstandquestionsexactlyasin-
tended by researchers.Respondentsreinter-
preted questionsto make them applicableto
their ideosynactic,personalsituationsor to
makethem easyto answer.l6
The role ofinterviewersis difiicult. Theyob-
tain cooperationand build rapport, yet remain
neutral and objective.They encroachon the re-
spondents'time and privacy for information
that may not directly benefit the respondents.
They try to reduce embarrassment,fear, and
suspicionso that respondentsfeel comfortable
revealinginformation.Theymay explainthe na-
ture ofsurveyresearchor givehints aboutsocial
rolesin an interview.Good interviewersmoni-
tor the paceand direction ofthe socialinterac-
tion as well as the content of answersand the
behaviorof respondents.
Surveyinterviewersarenonjudgmentaland
do not revealtheir opinions,verballyor nonver-
bally (e.g.,
by a look of shock).If a respondent
asksfor an interviewer'sopinion, he or shepo-

TA Bt E 7.5 DifferencesbetweenOrdinary Conversationand a
Structured SurveyInterview
.l
. Questionsand answersfrom eachparticipant
arerelatively
equallybalanced.
2. Thereis an openexchange
offeelingsand
opinions.
3. Judgmentsarestatedandattemptsmadeto
persuadethe other of a particularpointsof
view.
4. A personcan revealdeep innerfeelingsto gain
sympathyor as a therapeuticrelease.
arecommon(e.g.,"Uh huh,"
5. Ritualresponses
shakinghead,"Howareyou?""Fine").
6. The participantsexchangeinformationand
correctthe factualerrorsthat thev are aware
of.
7. Topicsriseand fall and eitherpersoncan
introducenewtopics.The focuscan shift
directionsor digressto lessrelevantissues.
8. The emotionaltone can shift from humor,to
joy, to affection,to sadness,
to anger,and so
on.
9. Peoplecanevadeor ignorequestionsandgive
, flippantor noncommittal
answers.
Source:
AdaptedfromGorden(1 980:19-25) andSudman
andBradburn
litely redirectsthe respondentand indicatesthat
suchquestionsare inappropriate.For example,
if a respondentasks,"What do you think?" the
interviewer may answer,"Here, we are inter-
estedin what you think; what I think doesn't
matter." Likewise,if the respondentgives a
shockinganswer (e.g.,"I was arrestedthree
timesfor beatingmy infant daughterand burn-
ing her with cigarettes"),the interviewer does
not show shock,surprise,or disdainbut treats
CHAP T E R7 , / S U R V E YR E S E A R C H 79I
I . Interviewerasksand respondentanswersmost
of the time.
2. Only the respondentrevealsfeelingsand
opinions.
3. lntervieweris nonjudgmental
and doesnot try
to changerespondent'sopinionsor beliefs.
4. Interviewertries to obtain directanswersto
specificquestions.
5. lntervieweravoidsmakingritualresponses
that
influence
a respondent andalsoseeksgenuine
answers,not ritualresponses.
6. Respondentprovidesalmostall information.
lnterviewerdoes not correcta respondent's
factual errors,
7. Interviewercontrolsthe topic, direction,and
pace.He or she keepsthe respondent"on task,"
and irrelevantdiversionsare contained.
8. Interviewerattemptsto maintaina consistently
warmbut seriousand objectivetone
throughout.
9. Respondent shouldnot evadequestions and
shouldgivetruthful,thoughtfulanswers.
(1983:5-l 0).
the answerin a matter-of-factmanner.He or she
helps respondentsfeel that they can give any
truthfirl answer.
You might ask, "If the surveyinterviewer
must be neutraland objective,why not usea ro-
bot or machine?"Machineinterviewinghasnot
been successfulbecauseit lacks the human
warmth, senseof trust, and rapport that an in-
terviewercreates.An interviewer helps define
the situationand ensuresthat respondentshave
192
P A R TT w o / c o N D U c rl N c QU AN TITA TIvE
the information sought,understandwhat is ex-
pected,give relevantanswers'are motivatedto
cooperate,and giveseriousanswers.
Interviewersdo more than interview re-
spondents.Face-to-face interviewersspendonly
about 35 percent of their time interviewing.
About 40 percentis spentin locatingthe correct
respondent,15percentin traveling,and i0 per-
cetrt in studying survey materialsand dealing
with administrativeand recordingdetails.I/
Stagesofan Interview
The interview proceedsthrough stages,begin-
ning with an introduction and entry.The inter-
viewer getsin the door, showsauthotization,
and reassures and securescooperationfrom the
respondent.He or sheis preparedfor reactions
ro.h ut, "How did you pick me?" "What good
will this do?""I don't know aboutthis," "What's
this about, anyway?"The interviewer can ex-
plain why the specificrespondentis interviewed
and not a substitute.
The main part of the interview consistsof
askingquestionsand recordinganswers.The in-
terviewerusesthe exactwording on the ques-
tionnaire-no addedor omitted words and no
rephrasing.He or she asksall applicableques-
tions in order,without returning to or skipping
questionsunlessthe directionsspecifr this. He
or she goesat a comfortablepace and gives
nondirectivefeedbackto maintain interest.
In addition to askingquestions'the inter-
viewer accuratelyrecordsanswers.This is easy
for closed-endedquestions,where interviewers
just mark the correctbox. For open-endedques-
tions, the interviewer'sjob is more difficult. He
or shelistenscarefully,musthavelegiblewriting'
and must recordwhat is saidverbatimwithout
correctinggrammar or slang'More important'
the interviewer never summarizes or pata-
phrases.This causes a lossof information or dis-
torts answers.For example,the respondentsays,
"I'm reallyconcernedaboutmy daughter'sheart
problem.She'sonly 10yearsold and alreadyshe
hastrouble climbing stairs.I don't know what
R E S E A R cH
she'lldo whenshegetsolder.Heartsurgeryis too
rislcyfor her and it costsso much. She'llhaveto
learn to live with it." If the interviewerwrites,
"concernedabout daughter'shealth,"much is
lost.
The interviewer knows how and when to
useprobes.Aprobeisa neutralrequestto clatify
an ambiguousanswer,to completean incom-
plete answer,or to obtain a relevantresponse.
interviewersrecognizean irrelevantor inaccu-
rate answerand useprobesas needed.l8There
aremanytFpesof probes.A three-to five-second
pauseis often effective.Nonverbalcommunica-
tion (e.g.,tilt of head,raisedeyebrows'or eye
contact)alsoworkswell.The interviewercanre-
peat the questionor repeatthe reply and then
pause.Sheor he canaska neutralquestion,such
is, "Any other reasons?" "Can you tell me more
about that?" "How do you mean?""Could you
explainmorefor me?"(seeBox7.7).
The last stageis the exit, when the i'nter-
viewerthanksthe respondentand leaves.He or
shethen goesto a quiet,privateplaceto edit the
questionnaireand record other detailssuch as
the date, time, and place of the interview; a
thumbnail sketchof the respondentand inter-
view situation;the respondent'sattitude (e.9.,
serious, angry,or laughing); and any unusual
circumstances (e.g.,"Telephonerangat question
27 and respondent talked for four minutesbe-
fore the interview startedagain"). He or she
notesanythingdisruptivethat happenedduring
the interview (e.g.,"Teenageson enteredroom,
satat oppositeend,turned on televisionwiththe
volumeloud, andwatcheda musicvideo")' The
intervieweralsorecordspersonalfeelingsand
anythingthat was suspected(e.g.,"Respondent
becamenervousand fidgetedwhen-questioned
abouthis marriage")'
Training Interviewers
A large-scalesurveyrequireshiring multiple in-
terviewers. Few peopleappreciatethe difficulty
of the interviewer'sjob' A professional-quality
interview requiresthe carefirlselectionof inter-
 CHA P T E R7 , / S U R V E YR E S E A R C H r93

Interuiewer
Question: What is your occupation?
RespondentAnswerI workat GeneralMotors.
Probe:Whatis yourjob at GeneralMotors?What type of workdo you do there?

lnterviewer
Question: How long haveyou beenunemployed?
Respondent
Answer. A long time.
Probe:Couldyoutell me morespecifically
whenyour currentperiodof unemployment
began?

lntewiewer
Question: Considering the countryasa whole,do you thinkwewillhavegood
timesduringthe nextyear,or bad times,or what?

ReipondentAnswenMaybegood,maybebad,it depends,who knows?

Probe:Whatdo you expectto happen?

Record Responseto a Closed Question

Intewiewer
Question: on a scaleof 1 to z, howdo you feelabout capitalpunishmentor
the deathpenalty,where1 is stronglyin favorof the deathpenalty,and z is stronglyop-
posedto it?
( Favor)1_ 2_ 3_ 4_ 5_ 6_ 7_ (Op p ose)
RespondentAnswer. About a 4. I think that all murderers,rapists,and violentcriminals
shouldget death,but I don't favorit for minorcrimeslikestealinga car.

viewersand extensivetraining.As with any em-
ployment situation, adequatepay and good
supervisionare important for consistenthigh-
quality performance. Unfortunately, profes-
sionalinterviewinghasnot alwayspaid well or
providedregularemployment.In the past,inter-
viewerswerelargelydrawn from a pool of mid-
dle-aged women willing to accept irregular
part-time work.
Good interviewersarepleasant,honest,ac-
curate,mature, responsible,moderatelyintelli-
gent, stable, and motivated. They have a
nonthreateningappearance,have experience
with many differenttypesof people,and possess
poiseand tact. Researchersmay considerinter-
viewers'physicalappearance, age,race,sex,lan-
guages spoken, and even the sound of their
voice.
Professional interviewers will receive a two-
week training course. It includes lectures and
reading, observation of expert interviewers,
mock interviews in the office and in the field that
are recorded and critiqued, many practice inter-
views, and role-playing. The interviewers learn
about survey research and the role ofthe inter-
viewer. They become familiar with the question-
naire and the purpose ofquestions, although not
with the answersexpected.
The importance of carefully selecting and
training interviewers was evident during the
2004 U.S. presidential election. Exit polls are
quick, very short surveys conducted outside a
' l94 P A Rr rw o
,/ c o N D U c rl N c QU AN TITA TIvE
polling placefor peopleimmediatelyafter they
voted. On Election Day of 2004 exit polls
showedcandidate|ohn Kerry well ahead,but
after final voteswere countedhe lost to his op-
ponent, GeorgeW. Bush' A major causeof the
mistakewasthat the researchorganization,paid
$10 million by six major newsorganizationsto
conductthe exitpolls,hadhired manyyoungin-
experiencedinterviewersand gavethem only
minimal training.Youngervoterstendedto sup-
port iohn Kerry whereasolder voterstendedto
iupport GeorgeBush.Theyoung inexperienced
interviewerswere lesssuccessfulin gaining co-
operationfrom older votersand felt more com-
fortablehandingthe questionnaireto someone
of a similar age.As a result,exit poll participants
did not reflectthe compositionof all votersand
poll resultsshowedgreatersupport for Kerry
ihan actuallyexistedamongall voters.le
Although interviewerslargelywork alone,
researchers use an interviewersupervisorin
large-scale surveyswith severalinterviewers.Su-
p.*itott are familiar with the area'assistwith
problems,overseethe interviewers,and ensure
ihat work is completedon time. For telephone
interviewing, this includes helping with calls,
checkingwhin interviewersarrive and leave,and
monitoring interviewcalls.In face-to-face inter-
views,supervisorscheckto find out whether the
interviewactuallytook place. This means calling
back or sendinga confirmationpostcardto a
sampleof respondents. They can alsocheckthe
responserate and incompletequestionnairesto
seewhetherinterviewersareobtainingcoopera-
tion, and they may reinterviewa smallsubsam-
ple,analyzeanswers,or observeinterviewsto see
whetherinterviewersareaccuratelyaskingques-
tions and recordinganswers.
lnterviewer Bias
Surveyresearchers proscribeinterviewerbehav-
ior to reducebias. This goesbeyond reading
eachquestionexactlyasworded.Ideally,the ac-
tions of a particular interviewerwill not affect
how a respondentanswers'and responseswill
R E S E A R cH
not vary from what they would be if askedby
any other interviewer.
Surveyresearchersknow that interviewer
expectations can createsignificantbias' Inter-
viewers who expect difficult interviews have
them, and thosewho expectcertainanswersare
more likely to getthem (seeBox 7.8).Properin-
terviewerbehavior and exactquestionreading
maybe difficult, but the issueis larger.
The socialsettingin which the interviewoc-
curs can afflectanswers,including the presence
of other people'For example,studentsanswer
differentlydependingon whetherthey areasked
questionsat home or at school.In general,sur-
iey researchers do not want otherspresentbe-
causethey may affectrespondentanswers'It
may not alwaysmakea difference,however,es-
p..lutty if the othersaresmallchildren.2O
- in-
An interviewer'svisible characteristics,
cluding raceand gender,often affectinterviews
andrespondentanswers,especially for questions
aboutissuesrelatedto raceor gender. For exam-
ple, African American and Hispanic American
iespondentsexpressdifferent policy positions
otr t"..- or ethnic-relatedissuesdependingon
the apparentraceor ethnicityof the interviewer'
This occurs even with telephone interviews
when a respondenthas cluesabout the inter-
viewer'sraceor ethnicity.In generafinterview-
ers of the sameethnic-racialgroup get more
accurateanswers.2lGenderalso affectsinter-
viewsboth in terms of obvious issues,such as
sexualbehavior,aswell as support for gender-
related collective action or gender eqaality'z2
Surveyresearchers need to note the raceand
genderof both interviewersand respondents'
Computer-Assisted TelePhone
Interviewing
Advancesin computer technologyand lower
computerpriceshaveenabledprofessionalsur-
vey researchorganizationsto install computer-
interviewing(CATD systems'23
osiirtedtelephone
With CATI, the interviewer sits in front of a
computer and makescalls' Wearing a headset
 C H A P T E R7 , / S U R V E YR E 5 E A R C H r 95

Exampleof Interviewer Expectation Effects

FemaleRespondent
ReportsThat
Askedby FemalelntewiewerWhoseOwn HusbandBuysMostFurniture

Husbandbuysmostfurniture 89%
Husbanddoesnot buy mostfurniture 15%

Exampleof Raceor Ethnic Appearance Effects

Percentage
AnsweringYesto:
"Doyou thinkthere "Doyou thinkthat
are too manyJewsin Jewshavetoo
lnterviewer governmentjobs?" muchpower?"

LookedJewish
withJewish-sounding
name 11.7 5.8
LookedJewishonly 15.4 'r5.6
Non-Jewish
appearance 21.2 24.3
Non-Jewish
appearance
and
non-Jewish-sounding
name 19.5 21.4

Note:Racialstereotypesheld by respondentscanaffecthowthey respondin interviews.

Source:
Adaptedfrom Hyman(1975:1I 5, 163).

and microphone, the interyiewer readsthe ques-
tions from a computer screenfor the specific re-
spondent who is called, then enters the answer
via the keyboard. Once he or she enters an an-
swer, the computer shows the next question on
the screen.
Computer-assisted telephone interviewing
speedsinterviewing and reduces interviewer er-
rors. It also eliminates the separatestep of enter-
ing information into a computer and speeds
data processing.Of course, CATI requires an in-
vestment in computer equipment and some
knowledge of computers. The CATI system is
valuable for contingency questions becausethe
computer can show the questions appropriate
for a specific respondent; interviewers do not
have to turn pageslooking for the next question.
In addition, the computer can check an answer
immediately after the interviewer enters it. For
example, if an interviewer enters an answer that
is impossible or clearly an error (e.g., an H
instead of an M for "Male"), the computer will
request another answer. Innovations with com-
puters and web surveys also help to gather data
on sensitiveissue(seeBox 7.9).
Severalcompanies have developed software
programs for personal computers that help re-
searchers develop questionnaires and analyze
survey data. They provide guides for writing
questions, recording responses,analyzing data,
 RESEARCH
196 PART TW O , / CO NDUCTI NC Q UAN T I T A T I V E

issuein surveyresearchis the invasion of pri-

vacv.Surveyresearchers can intrude into a re-
snondent's'privacyby askingabout intimate
actionsand personalbeliefs'Peoplehavea right
Thequestioningformatinfluences how respondents to privacy. Respondentsdecide when and to
answerquestionsabout sensitivetopics' Formats whlm to revealpersonal
information' They are
that permitthe greaterrespondentanonymity,such likely to provide such information when it is
as a ielf-administered questionnaire or the web sur- askedforln a comfortablecontextwith mutual
vey, are more likelyto elicit honestresponses than trust, when they believe serious answersare
one that requiresinteractionwith another person' neededfor legitimateresearchpurposes)and
suchas in a face-to-faceinterview or telephone in- whentheybelieveanswerswill remainconfiden-
terview One of a series of computer-based techno- tial. Researchers should treat all respondents
logical innovations is called computer-assisted with dignity and reduceanxietyor discomfort'
to rm-
self-administered intewiews (CASA|. lt appears
Theyarealsoresponsiblefor protectingthe con-
prove respondent comfort and honesty in answertng
fidentialityof data'
questionson sensitive topics.In CASAI'respondents A secondissueinvolvesvoluntaryparticipa-
with questionsthat are askedon a
are"interviewed" tion by respondents'Respondentsagreeto an-
computerscreenor heardover earphones'The re- swer ctuestionsand can refuseto participateat
spondentsanswerby movinga computermo.use or
any time. They give"informed consent"to par-
enteringinformationusinga computerkeyboard' qn
is presentin the sameroom'
ticipate in research.Researchers.depend
Evenwhena researcher so. re-
from humancon- respondents'voluntary cooperatron'
the respondentis semi-insulated
answering ques- seaichersneedto askwell-developedquestions
tact andappearsto feelcomfortable
in a sensitiveway' treat respondentswith re-
tions about sensitiveissues.
spect,and be very sensitiveto confidentiality'
'
A third ethical issueis the exploitation of
surveysand pseudosurveys. Because ofits.pop-
and producing reports. The programs may ularity, some people use surveys misleadto
rp."d th. more mechanicalaspectsof surveyre- otheri. A pseuiosirteT is when someonewho
or no real interest in learning infor-
search-such astyping questionnaires'organiz- has little
ing layout, and recordingresponses-bYl they mation from a respondentusesthe surveytor-
cainot substitutefor a good understandingof mat to try to Persuade someone to do
the surveymethodor an appreciationof its lim- something.Charlatansuse the guiseof con-
itations. The researchermust still clearly con- ducting a surveyto invade privacy, gain entry
ceptualize variables, prepare well-worded into hJmes, or "suggle" (sell in the guiseof a
survey). I personallyexperienced- a type.of
questions,designthe sequenceand forms of
"suppressionpoll"in
questionsand responses, and pilot-test ques- pr"rrdort*ayknown asa
electioncampaign'In this situa-
tionnaires. Communicating unambiguously ih" tsS+U.S.
with respondentsand eliciting credible re- tion, an unknown survey organizationtele-
sponsesremainthe most important partsoI sur- phonedpotential voters and askedwhetherthe
veyresearch. lrot.t tnppotted a given candidate'If the voter
supportedthe candidate'the interviewer next
urk.d *h.ther the respondentwould still sup-
liliw
port the candidateif he or she knew that the
T HE E T HI C AL S U R VE Y iandidate had an unfavorablecharacteristic
sur- (e.g.,hadbeenarrestedfor drunk driving,used
Like all social research,people can conduct
veys in ethical or unethical ways. A major ethical i]lJgd drugs, raised the wagesof convicted

criminalsin prison,etc.).The goalof the inter-
view was not to measurecandidatesupport;
rather, it wasto identify a candidate'ssupport-
ers then attempt to suppressvoting. Although
they are illegal,no one hasbeenprosecutedfor
using this campaigntactic.
Another ethicalissueis whenpeoplemisuse
surveyresultsor usepoorly designedor pur-
poselyriggedsurveys.Why doesthis occur?Peo-
ple may demand answersfrom surveysthat
surveyscannot provide and not understanda
survey'slimitations.Thosewho designand pre-
paresurveysmay lack sufficienttraining to con-
duct a legitimatesurvey.Unfortunately,policy
decisionsaresometimesmadebasedon careless
or poorly designedsurveys.They often resultin
wasteor human hardship.This is whylegitimate
researchers conductingmethodologicallyrigor-
oussurveyresearch areimportant.
The media report more surveysthan other
typesof socialresearch,yet sloppyreporting of
survey,results permitsabuse.2a Fewpeopleread-
ing survey results may appreciateit, but re-
searchers shouldincludedetailsaboutthe survey
(seeBox 7.10)to reducethe misuseof surveyre-
searchand increasequestionsaboutsurveysthat
lack such information. Surveyresearchers urge
the mediato includesuchinformation, but it is
rarely included.Over 88 percentof reports on
surveysin the massmedia fail to revealthe re-
searcherwho conductedthe survey,and only 18
percentprovide detailson how the surveywas
conducted.2s Currently,there are no quality-
control standardsto regulatethe opinion polis
or surveysreported in the U.S. media. Re-
searchers havemadeunsuccessful attemptssince
World War II to require adequatesamples,in-
terviewertraining and supervision,satisfactory
questionnairedesign,public availability of re-
sults,and controlson the integrity ofsurvey or-
ganizations.26 As a result,the massmediareport
both biasedand misleadingsurveyresultsand
rigorous, professionalsurvey resultswithout
making any distinction.It is not surprisingthat
public confusion and a distrust of all surveys
occur.
c H A PTE Rz ,/ suR V E yR E S E A R C H 197
1. The samplingframeused(e.g.,telephonedirec-
tories)
2. The dateson whichthe surveywasconducted
3. The populationthat the samplerepresents
(e.g.,
U.S.adults,Australiancollegestudents,house-
wivesin Singapore)
4. The sizeof the samplefor whichinformationwas
collected
5. The samplingmethod(e.g.,random)
6. The exactwordingofthe questionsasked
7. The method of the survey(e.g.,face to face,
telephone)
8. The organizations that sponsoredthe survey
(paidfor it and conductedit)
9. The responserate or percentageof thosecon-
tacted who actuallycompletedthe question-
naire
10. Any missinginformationor "don't know" re-
sponseswhenresultson specificquestionsare
reported
C ON C L U S ION
In this chapter, you learned about survey re-
search.You also leamed some principles ofwrit-
ing good survey questions. There are many
things to avoid and to include when writing
questions.You learned about the advantagesand
disadvantagesof three types of survey research:
mail, telephone interviews, and face-to-face in-
terviews. You saw that interviewing, especially
face-to-faceinterviewing, can be difficult.
Although this chapter focused on survey re-
search,researchersuse questionnairesto measure
variables in other types of quantitative research
(e.g., experiments). The survey, often called the
sample survey becauserandom sampling is usu-
ally used with it, is a distinct technique. It is a
198 R E S E A R cH
pA RTT w o ,/ c o N D U c rl N C QU AN TITA TIvE

processof askingmany peoplethe sameques- Respondentswho are highly loyal to one brand of
tionsand examiningtheir answers. traditional carbonated sodascan answerthe ques-
try to minimize errors, tion easily.Other respondentsmust implicitly ad-
Surveyresearchers
dress the following questions to answer the
but surveydata often contain them. Errors in
question as it was asked: (a) What time period is
surveyscancompoundeachother.For example, involved-the past month, the past year, the last
errorscanarisein samplingframes,from nonre- 10 years?(b) What conditions count-at home,
sponse,from questionwording or order, and at restaurants, at sporting events?(c) Buying for
from interviewerbias.Do not let the existenceof oneself alone or for other family members? (d)
errors discourageyou from using the survey, What is a "soft drink"? Do lemonade, iced tea'
however.Instead'learn to be very carefulwhen mineral water, or fruit juices count? (e) Does
designingsurveyresearchand cautious about "usually" mean a brand purchased as 51 percent
generalizingfrom the resultsof surveys. or more of all soft drink purchases,or the brand
purchased more frequently than any other? Re-
spondents rarely stop and ask for clarification;
they make assumptions about what the researcher
Ke y T e r m s means.
z. See Dykema and Schaeffer (2000) and Sudman
closed-endedquestion and colleagues(1996:197--226).
computer-assisted telephone interviewing SeeOstrom and Gannon (1996).
(CATI) A
See Bradburn (1983), Bradburn and Sudman
context effect (1980), and Sudman and Bradburn (1983) on
contingency question threatening or sensitivequestions.Backstrom and
cover sheet Hursh-Cesar (1981:219) and Warwick and
Lininger ( 1975:150-151) provide useful sugges-
double-barreled question
tions as well.
floaters
5. On how "Who knows who lives here?" can be
frrll-filter question
complicated, seeMartin (1999) and Tourangeau
funnel sequence etal. (1997).
interview schedule 6. For a discussion of the "don't know," "nq opin-
matrix question ion," and middle positions in responsecategories,
open-endedquestion seeBackstrom and Hursh-Cesar ( I 98I : 148-149)'
order effects Bishop (1987), Bradburn and Sudman (1988:
partially open question 154), Brody (1986)' Converse and Presser
prestigebias (1956:35-37), Duncan and Stenbeck (1988)' and
probe Sudman and Bradburn ( 1983:140-14 1).
7. The disagree/agleeversusspecific alternativesde-
quasi-filter question
bate can be found in Bradburn and Sudman
responseset ( 1988:149-15 1), Converseand Presser( 1986:38-
social desirability bias
39), and Schuman and Pressertl98l:179-223)'
standard-format question 8. The ranking versusratings issueis discussedin Al-
threatening questions win and Krosnick ( 1985) and Krosnick and Alwin
wording effects (1988). Also see Backstrom and Hursh-Cesar
(1981:132-134) and Sudman and Bradburn
(1983:156-165)for formats of asking rating and
Endnotes ranking questions.
9. SeeFoddy ( I 993) and Presser( 1990).
1. Sudmanand Bradburn(1983:39)suggested that 10. Studies by Krosnick (1992) and Narayan and
evensimplequestions(e.g.,"What brand of soft Krosnick (1996) show that education reduces re-
drink do you usuallybuy?")cancauseproblems. sponse-order (primacy or recency) effects, but

Kniiuper(1999)found that ageis stronglyassoci-
atedwith response-order effects.
11. This examplecomesfrom Strack(1992).
12. For a discussion, seeCouper,Singeret al. (1998),
de Heer (1999),Keeteret al. (2000),Sudmanand
Bradburn( 1983:1 I ), and"SurveysProliferate,but
AnswersDwindle," New York Times,October 5,
1990,p. 1.Smith(1995)andSudman(1976:114-
116)alsodiscussrefusalrates.
13. Bailey(1987:153-168), Church(1993),Dillman
(1978,1983),Fox and colleagues (1988),Goyder
(1982),HeberleinandBaumgartner (1978,1981),
Hubbard and Little (1988),Jones(1979),and
Willimack and colleagues (1995)discussincreas-
ing return ratesin surveys
14. For a comparisonamong types of surveys,see
BackstromandHursh-Cesar( 1981:16-23),Brad-
burn andSudman(1988:9,1-l l0), Dillman(1978:
39-78),Fowler(1984:61-73), and Frey(1983:27-
)) ,,
15. For more on surveyresearchinterviewing,see
Brennerandcolleagues (1985),CannellandKahn
(1968),Converseand Schuman(1974),Dijkstra
and van der Zouwen(1982),Foddy(1993),Gor-
den (1980), Hyman (1975), and Moser and
Kalton (1972:27V302).
16. SeeTurner andMartin (1984:262-269,282).
CHAP T E R7 , / S U R V E YR E S E A R C H 199
17. From Moserand Kalton (1972:273).
18. The useofprobes is discussed in Backstromand
Hursh-Cesar(1981:266-27 3), Gorden(1980:36&-
390),and Hyman (1975:236-24t).
19. Reportby Jacques Steinberg(2005)."StudyCites
Human Failingsin Election Day Poll System,"
N ew YorkTimes(l antary 20, 2005).
20. SeeBradburnand Sudman(1980),Pollnerand
Adams(L997),andZaneandMatsoukas( 1979).
21. The raceor ethnicityofinterviewersis discussed
in Andersonand colleagues (1988),Bradburn
(1983), Cotter and colleagues(1982), Davis
(1997),Finkel and colleagues (1991),Gorden
(1980:168-172), Reeseand colleagues (1986),
Schaffer(1980),Schumanand Converse(l97l),
andWeeksandMoore(1981).
22. SeeCataniaand associates (1996)and Kaneand
MacAulay(1993).
23. CATI is discussedin Bailey(1987:201-202),Brad-
burn and Sudman(1988:100-101), Frey(1983:
24-25,143-149),Grovesand Kahn (1979:226),
Grovesand Mathiowetz(1984),and Karweitand
Meyers(1983).
24. On reporting survey results in the media, see
Channels (1993)andMacKeun(1984).
25. SeeSinger (1988).
26. From Turner and Martin 0984:62\.
 ExperimentalResearch

lntroduction
QuestionsAppropriatefor an Experiment
Research
Random Assignment
Why RandomlYAssign?
How to RandomlYAssign
Matching Random
versus Assignment

Experimental Design Logic

The Languageof ExPeriments
Typesof Design
DesignNotation
lnternal and External ValiditY
The Logicof InternalValiditY
Threatsto lnternalValiditY
ExternalValidityand FieldExperiments
Practical Considerations
g P i l ot-Tests
P l a n n i nand
to Subjects
lnstructions
PostexPeriment lnterview
Results of Experimental Research: Making Comparisons
A Word on Ethics
Conclusion

200
 CHAPTER8 , / E X P E R I M E N T AR
INTRODUCTION
Experimentalresearchbuilds on the principles
of a positivist approachmore directly than do
the otherresearchtechniques.Researchers
in the
naturalsciences (e.g.,chemistryandphysics),re-
lated applied fields (e.g.,agriculture,engineer-
ing, and medicine), and the social sciences
conduct experiments.The logic that guidesan
experimenton plant growthin biologyor testing
a metalin engineeringis appliedin experiments
on human socialbehavior.Although it is most
widely used in psychology,the experimentis
found in education,criminaljustice,journalism,
marketing, nursing, political science,social
work, and sociology.This chapterfocusesfirst
on the experimentconductedin a laboratory
under controlled conditions.then looks at ex-
perimentsconductedin the field.
The experiment'sbasiclogic extendscom-
monsensethinking. Commonsense experiments
are lesscarefulor systematicthan scientifically
basedexperiments.In commonsenselanguage,
an experimenfis when you modify somethingin
a situation,then comparean outcometo what
existedwithout the modification.For example,I
try to start my car.To my surprise,it doesnot
start.I "experiment"by cleaningoff the battery
connections,then tryto startit again.I modified
something(cleanedthe connections)and com-
paredthe outcome(whetherthe car started)to
Ithe previoussituation (it did not start). I began
with an implicit "hypothesis"-a buildup of
crud on the connectionsis the reasonthe car is
not starting,and oncethe crud is cleanedoff, the
car will start. This illustrates three things re-
searchers do in experiments:(1) beginwith a hy-
pothesis,(2) modify somethingin a situation,
and (3) compareoutcomeswith andwithout the
modification.
Comparedto the other socialresearchtech-
niques,experimentalresearchis the strongestfor
testingcausalrelationshipsbecausethe three
conditionsfor causality(temporalorder,associ-
ation, and no alternativeexplanations)arebest
met in experimental designs.
L ESEARCH 2OI
ResearchQuestions Appropriate for
an Experiment
The Issueof an Appropriate Technique. Some
researchquestionsare better addressedusing
certain techniques.New researchers often ask,
Which technique(e.g.,experimentsand sur-
veys)bestfits which researchquestion?Thereis
no easyanswer,because the matchbetweena re-
searchquestionand techniqueis not fixed but
dependson informed judgment.You can de-
velop judgment from readingresearchreports,
understandingthe strengthsand weaknesses of
differenttechniques,assistingmore experienced
researchers with their research,and gaining
practicalexperience.
Research Questionsfor Experimental Research.
The experimentallows a researcherto focus
sharplyon causalrelations,and it haspractical
advantages overothertechniques,but it alsohas
limitations.The researchquestionsmost appro-
priatefor an experimentfit its strengthsandlim-
itations.
The questionsappropriatefor using an ex-
perimentallogic confront ethical and practical
limitations of interveningin human affairsfor
researchpurposes.It is immoral and impossible
to manipulatemany areasof human life for re-
searchpurposes.The pure logic of an experi-
ment hasan experimenterinterveneor inducea
changein somefocusedpart of sociallife, then
examinethe consequences that result from the
changeor intervention.This usuallymeansthat
the experimentis limited to researchquestions
in which a researcher is ableto manipulatecon-
ditions. Experimentalresearchcannot answer
questionssuchas,Do peoplewho completea
collegeeducationincreasetheir annualincome
more than peoplewho do not? Do children
raisedwith youngersiblingsdevelopbetterlead-
ershipskillsthan childrenwithout siblings?Do
peoplewho belongto more organizationsvote
more often in elections?This is becausean ex-
perimenteroften cannotmanipulateconditions
or intervene.He or shecannotrandomly assign
2 O2 pA RTT wo ,/ c o N D U c l N G e u A N T trA TrvER E S E A R C H
thousandsto attendcollegeand preventothers
from attendingtodiscoverwholater earnsmore
income.He or she cannot induce couplesto
haveeithermany childrenor a singlechild sohe
or shecanexaminehow leadershipskillsdevelop
in children.He or shecannotcompelpeopleto
join or quit organizationsthen seewhetherthey
vote.Experimentersarehighly creativein simu-
lating suchinterventionsor conditions,but they
cannotmanipulatemany of the variablesof in-
terestto fit the pure experimentallogic.
The experimentis usuallybest for issues
that havea narrow scopeor scale.This strength
allows experimentersto assembleand "run"
many experimentswith limited resourcesin a
short period. Somecarefullydesignedexperi-
ments require assemblingonly 50 or 60 volun-
teers and can be completedin one or two
months. In general,the experimentis better
suitedfor micro-level(e.g.,individual or small-
group phenomena)than for macro-levelcon-
cerns or questions.Experiments can rarely
addressquestionsthat requirelooking at condi-
tions acrossan entire societyor acrossdecades.
The experimentalsolimits one'sability to gen-
eralizeto larger settings(seeExternalValidity
and FieldExperimentslater in this chapter).
Experimentsencourageresearchers to iso-
lateandtargetthe impactthat arisesfrom oneor
a few causalvariables.This strengthin demon-
stratingcausaleffectsis a limitation in situations
where a researchertries to examinenumerous
variables simultaneously.The experiment is
rarely appropriatefor researchquestionsor is-
suesthat requirea researcher to examinethe im-
pact of dozensof diversevariablesall together.
Although the accumulated knowledge from
many individual experiments,eachfocusedon
one or two variables,advancesunderstanding,
the approachof expermimentalresearchdiffers
from doing researchon a highly complexsitua-
tion in which oneexamineshow dozensof vari-
ablesoperatesimultaneously.
Often,researchers studycloselyrelatedtop-
icsusingeitheran experimentalor a nonexperi-
mental method. For example,a researchermay
wish to study attitudestoward peoplein wheei-
chairs.An experimentermight askpeopleto re-
spond (e.g.,Would you hire this person?How
comfortablewould you be if this personasked
you for a date?)to photos of somepeoplein
wheelchairs andsomepeoplenot in wheelchairs.
A surveyresearcher might askpeopletheir opin-
ions about peoplein wheelchairs.The field re-
searchermight observepeople'sreactionsto
someonein a wheelchair,or the researcher him-
selfor herselfmight be in wheelchairand care-
fully note the reactionsof others.
RANDOM ASSIGNMENT
Socialresearchers frequentlywant to compare.
For example,a researcherhastwo groupsof 15
studentsand wants to comparethe groups on
the basisof a key differencebetweenthem (e.g.,
a coursethat one group completed).Or a re-
searcherhasfive groupsof customersand wants
to comparethe groupson the basisof one char-
acteristic(e.g.,geographiclocation).The clich6,
"Compareapplesto apples,don't compareap-
ples to oranges,"is not about fruit; it is about
comparisons.It meansthat a valid comparison
dependson comparing things that are funda-
mentally alike. Random assignmentfacilitates
comparisonin experimentsby creatingsimilar
groups.
When making comparisons,researchers
wantto comparecasesthat do not differ with re-
gard to variablesthat offer alternativeexplana-
tions. For example,a researchercomparestwo
groupsof studentsto determinethe impact of
completinga course.In order to be compared,
the two groupsmust be similar in most respects
exceptfor taking the course.If the group that
completedthe courseis also older than the
group that did not, for example,the researcher
cannot determine whether completing the
courseor being older accountsfor differences
betweenthe groups.
 CHAPTER8 , / E X P E R I M E N T AR
Why Randomly Assign?
Random assignmentis a method for assigning
cases(e.g., individuals, organizations, etc.) to
groups for the purpose of making comparisons.
It is a way to divide or sort a collection of cases
into two or more groups in order to increase
one's confidence that the groups do not differ in
a systematicway. It is a mechanical method; the
assignment is automatic, and the researchercan-
not make assignments on the basis of personal
preference or the features ofspecific cases.
Random assignment is random in a statisti-
cal or mathematical sense, not in an everyday
sense.In everyday speech,random means un-
planned, haphazard, or accidental, but it has a
specialized meaning in mathematics. In proba-
bility theory, random describes a process in
which each case has a known chance of being
selected.Random selection lets a researcherca'-
culate the odds that a specific casewill be sorted
into one group over another. Random means a
casehas an exactly equal chance ofending up in
one or the other group. The great thing about a
random process is that over many separateran-
dom occurrences, predictable things happen.
Although the process itself is entirely due to
chance and does not allow predicting a specific
outcome at one specific time, it obeys mathe-
matical laws that makes very accurate predic-
tions possible when conducted over a large
number of situations.
Random assignment or randomization is
unbiased becausea researcher'sdesire to con-
firm a hypothesis or a researchsubject'spersonal
interests do not enter into the selection process.
IJnbiaseddoes not mean that groups with iden-
tical characteristics are selectedin each specific
situation of random assignment. Instead, it says
that the probability of selecting a case can be
mathematically determined, and, in the long
run, the groups will be identical.
Sampling and random assignment are
processesof selecting casesfor inclusion in a
study. When a researcher randomly assigns,he
or she sorts a collection of casesinto two or more
L ESEARCH 2O3
groupsusinga randomprocess.In randomsam-
pling, he or sheselectsa smallersubsetof cases
from a largerpool ofcases(seeFigure8.1).Ide-
will both randomlysampleand
ally,a researcher
randomiy assign.He or shecan first sampleto
obtain a smallersetof cases(e.g.,150peopleout
of 20,000)and then userandom assignmentto
divide the sampleinto groups (e.g.,divide the
150peopleinto threegroupsof 50). Unfortu-
nateln few socialscienceexperimenters useran-
dom samples.Most begin with a convenience
samplethenrandomlyassign.
How to Randomly Assign
Randomassignmentis verysimplein practice.A
researcherbeginswith a collectionof cases(in-
dividuals,organizations,or whateverthe unit of
analysisis), then divides it into two or more
groupsby a randomprocess,suchasaskingpeo-
ple to count off, tossinga coin, or throwing dice.
For example,a researcherwants to divide 32
peopleinto two groupsof 16.A randommethod
is writing eachperson'snameon a slip of paper,
putting the slipsin a hat, mixing the slipswith
eyesclosed,then drawingthe first 16 namesfor
group 1 and the second16 for group2.
Matching versus Random Assignment
You might ask,If the purposeof random assign-
ment is to gettwo (or more) equivalentgroups,
would it not be simplerto match the character-
isticsof casesin eachgroup?Someresearchers
matchcasesin groupson certaincharacteristics,
suchasageand sex.Matchingis an alternativeto
random assignment,but it is an infrequently
usedone.
Matchingpresentsa problem:What arethe
to matchon, and canone
relevantcharacteristics
locateexactmatches?Individual casesdif[er in
thousandsof ways,and the researchercannot
know which might be relevant.For example,a
researcher comparestwo groupsof 15students.
There are 8 malesin one group, which means
thereshouldbe 8 malesin the other group.Two
204 PART TWO / CO NDUCTI NC Q UANTI T A T I V ER E S E A R C H

malesin the first group areonly children;one ls EXPERIMENTALDESIGN LOGIC

from a divorcedfamrly,one from an intact fam-
ilv. Orr" is tall, slender,and Jewish;the other
is The Languageof ExPeriments
In order to match or
,ilort, h"a,ry,and Methodist' Experimentalresearchhas its own language
sroups, doesthe researcherhave to find a tall ,et of ter*s and concepts'You already encoun-
home
i"*tft male only child from a divorced i.r.a tn. basic ideas:iandom assignmentand
child from an
and a short Methodist male only independentand dependentvariables'In exper-
male only re-
intact home?The tall, slender,Jewish imental research,the casesor peopleusedin
child is 22yearsoldand is studyingto becomea search projects and on whom variables are
physician.the short,heavyMethodistmaleis 20 measuredarecalledthesubjects'
yearsold and wantsto be an accountant'Does
ih. t.s"arch.r alsoneedto matchthe ageand ca- ex-
reeraspirationsof the two males?True matching Parts of theExperiment' We candivide the
periment into sevenparts' Not all experiments
soonbecomesan imPossibletask'

FIcURE 8.1 and RandomSampling

RandomAssignment
RandomSamPling
Frame)
(SamPling
Population Sample

Random
Process
--+

RandomAssignment

Step 1: Beginwith a collectionof subiects'

Step 2: Devisea methodto randomize that is purelymechanical(e'g'' tlip a coin)'

group and 'Tails"to the othergroup
Step 3: Assignsublectswith"Heads"to one

-E_
V
+ ^dr| a

ExperimentalGrouP
Control GrouP
 c H Ap rE RI / E X pE R TME N TA
R ELS E A R cH zOs

have all theseparts, and some have all seven cial behaviors, attitudes, feelings, or beliefs of
partsplus others.The following seven,to be dis- subjects that change in responseto a treatment.
cussedhere,makeup a true experiment: Dependent variables can be measured by paper-
and-pencil indicators, observation, interviews,
1. Treatmentor independentvariable or physiological responses (e.g., heartbeat or
2. Dependentvariable sweating palms).
3. Pretest Frequently, a researcher measures the de-
4. Posttest pendent variable more than once during an ex-
5. Experimentalgroup periment. The pretest is the measurement of the
6. Controlgroup dependent variable prior to introduction of the
7. Randomassignment treatment. The posttest is the measurement of
the dependent variable after the treatment has
In most experiments,a researchercreatesa been introduced into the experimental situation.
situation or entersinto an ongoingsituation, Experimental researchersoften divide sub-
then modifiesit. The treatment(or the stimulus jects into two or more groups for purposes of
or manipulation) is what the researchermodi- comparison. A simple experiment has two
fies.The term comesfrom medicine,in which a groups, only one of which receivesthe treat-
physician administersa treatment to patients; ment. The experimental group is the group that
the physicianintervenesin a physicalor psycho- receivesthe treatment or in which the treatment
logicalcondition to changeit. It is the indepen- is present. The group that does not receive the
dent variableor a combinationof independent treatment is called the control group. When the
variables.In earlierexamplesof measurement, a independent variable takes on many different
researcherdevelopeda measurementinstru- values, more than one experimental group is
inent or indicator (e.g.,a surveyquestion),then used.
appliedit to a personor case.In experiments,re- We can review the variables in the three ex-
searchers"measure"independentvariablesby periments used as examples in previous chap-
creatinga condition or situation.For example, ters. In Chapter 2 you read about an experiment
the independentvariableis "degreeof fear or by Brase and Richmond (200a) about doctor-
anxiety";the levelsarehigh fearandlow fear.In- patient interactions and perceptions. After ran-
steadof askingsubjectswhetherthey arefearful, dom assignment, subjects saw same- and oppo-
experimentersput subjectsinto either a high- site-gender models identified as being medical
fearo.-ra low-fearsituation.Theymeasurethe in- doctors but who wore either informal or for-
dependentvariableby manipulatingconditions mal/traditional attire (independent variable).
sothat somesubjectsfeela lot of fearand others The experimenters then measured the subjects'
feellittle. judgments about trust in the physican and the
Researchersgo to great lengths to create physician's abilities (dependent variable). In
treatments.Someareasminor asgivingdifFerent Goar and Sell's (2005) experiment about mixed
groupsof subjectsdifferentinstructions.Others race task groups described in Chapter 4, ran-
canbe ascomplexasputting subjectsinto situa- domly assigned three-person groups were told
tions with elaborateequipment,stagedphysical they were either to a complete complex task re-
settings,or contrivedsocialsituationsto manip- quiring diverse skills or not (independent vari-
ulate what the subjectsseeor feel. Researchers able). The experimenters measured the time it
want the treatmentto havean impact and pro- took the group to complete a task and involve-
ducespecificreactions,feelings,or behaviors. ment by group members of different races (de-
Dependentvariablesor outcomesin experi- pendent variable). In the study on college
mental researcharethe physicalconditions,so- women with tattoos discussed in Chapter 5 by
206
P A RTT w o ,/ c o N D U c rl N c QU AN TITA TIvE
Hawkes,Senn,and Thorn (2004),randomlyas-
signedsubjectswere askedto read one of five
scenariosabout a 22-yeat-oldcollegestudent
woman who had a tattoo (independentvari-
able). The experimentersthen measuredthe
subjects'feelingsabout the woman and tattoo
using a semanticdifferential, a Feminist scale,
and a Women's Movement and Neosexisms
scale(dependentvariables).
Stepsin Conilucting an Experiment. Fol-
lowingthebasicstepsof the researchprocess,ex-
perimentersdecideon a topic, narrow it into a'
testableresearchproblem or question,then de-
velop a hypothesiswith variables.Once a re-
r.urih"t has the hlpothesis' the steps of
experimentalresearchareclear.
A crucial early stepis to plan a specificex-
perimentaldesign (to be discussed).The re-
searcherdecidesthe number of groupsto use,
how and when to createtreatmentconditions,
the number of times to measurethe dependent
variable,andwhat the groupsof subjectswill ex-
periencefrom beginningto end. He or shealso
developsmeasuresof the dependentvariable
andpilot-teststhe experiment(seeBox 8.1).
The experiment itself begins after a re-
searcherlocatessubjectsand randomly assigns
them to groups.Subjectsare givenprecise,pre-
plannedinstructions.Next, the researcher mea-
in a pretestbefore
iures the dependentvariable
the treatment.One group is then exposedto the
treatment.Finally, the researchermeasuresthe
dependentvariablein a posttest.He or shealso
interviewssubjectsaboutthe experimentbefore
they leave.The researcherrecordsmeasuresof
the dependentvariableand examinesthe results
for eachgroup to seewhetherthe hypothesisre-
ceivessupport.
Control in Experimmts. Control is crucial in
experimentalresearch.A researcherwants to
control all aspectsof the experimentalsituation
to isolatethe effectsof the treatmentand elimi-
nate alternativeexplanations.Aspectsof an ex-
perirnentalsituation that are not controlledby
R E S E A R cH
1. Beginwith a straightforward hypothesisappro-
research.
priateto the experimental
2. Decideon an experimental designthat will test
the hypothesis within practicallimitations.
3. Decidehow to introducethe treatmentor cre-
ate a situationthat inducesthe independent
variable.
4. Developa validand reliablemeasureof the de-
pendentvariable. I
5. Setup an experimental andconducta pi-
setrting
lot test of the treatmentand dependentvari-
ablemeasures
6. Locateappropriatesubjectsor cases.
Z. Randomlyassignsubjectsto groups(if random
assignmentis usedin the chosenresearchde-
sign)andgivecarefulinstructions'
8. Catherdatafor the pretestmeasureofthe de-
pendentvariablefor all groups (if a pretest is
usedin the chosendesign).
9. Introducethe treatmentto the experimenta
group only (or to relevantgroups if there are
multipleexperimentalgroups)and monitor all
groups.
of the depen-
I 0. Gatherdatafor posttestmeasur€
dent variable.
11. Debriefthe subjectsby informingthem of the
true purposeand reasonsfor the experiment
Ask subjectswhat they thought wasoccurring'
Debriefingis crucialwhen subjectshavebeen
deceivedabout someaspectofthe experiment
1 2. Examine data collectedand makecomparison
betweendifferentgroups.Whereappropriate
usestatisticsand graphsto determinewhether
or not the hypothesisis supported'
the researcher are alternatives to the treatment
for changein the dependent variable and under-
mine his or her attempt to establishcausality de-
finitively.
 CHAPTER8 /
Experimentalresearchers use deceptionto
control the experimentalsetting.Deceptionoc-
g,urswhen the researcherintentionallymisleads
subjectsthrough written or verbalinstructions,
the actionsof others,or aspectsof the setting.It
may involvethe useof confederates or stooges-
people who pretend to be other subjectsor
bystandersbut who actually work for the re-
searcherand deliberatelymislead subjects.
Through deception,the researcher tries to con-
trol what the subjectsseeandhearandwhatthey
believeis occurring.For example,a researcher's
instructionsfalselylead subjectsto believethat
they areparticipatingin a studyaboutgroup co-
operation. In fact, the experiment is about
male/femaleverbal interaction, and what sub-
jectssayis being secretlytaperecorded.Decep-
tion lets the researchercontrol the subjects'
definitionof the situation.It preventsthem from
alteringtheir cross-sexverbalbehaviorbecause
they are unawareof the true researchtopic. By
focusingtheir attentionon a falsetopic, the re-
searcherinduces the unaware subjectsto act
"naturally." For realisticdeception,researchers
may invent falsetreatmentsand dependentvari-
able measuresto keep subjectsunawareof the
true ones.The useof deceptionin experiments
raisesethicalissues(to be discussed).
Types of Design
Researchers combine parts of an experiment
(e.g.,pretests,control groups)etc.)togetherinto
an experimentaldesign.For example,somede-
signslack pretests,somedo not havecontrol
groups, and others have many experimental
groups. Certain widely used standard designs
havenames.
You should learn the standarddesignsfor
two reasons.First, in researchreports, re-
searchers givethe nameof a standarddesignin-
steadof describingit. When readingreports,you
will be ableto understandthe designof the ex-
perimentif you know the standarddesigns.Sec-
ond, the standard designsillustrate common
waysto combinedesignparts.You canusethem
E X P E R I M E N T AR
L ESEARCH ZOl
for experimentsyou conductor createyour own
variations.
The designsare illustrated with a simple ex-
ample.A researcher wantsto learnwhetherwait
staff(waitersandwaitresses) receivemore in tips
if they first introduce themselvesby first name
and return to ask "Is everythingfine?" 8 to l0
minutesafterdeliveringthe food.Thedependent
variableis the sizeof the tip received.The study
occursin two identicalrestaurantson different
sidesof a town that havehad the sametypesof
customersand averagethe sameamountin tips.
ClassicalExperimental Design. All designsare
variationsof the classicalexperimentaldesign,the
type of designdiscussedso far, which has ran-
dom assignment,a pretestand a posttest,an ex-
perimentalgroup,and a control group.
Example. The experimenter gives 40 newly
hired wait staff an identical two-hour training
sessionand instructsthem to follow a script in
which they are not to introduce themselvesby
first nameand not to return during the mealto
checkon the customers.Theyarenext randomly
dividedinto two equalgroupsof 20 andsentto
the two restaurantsto begin employrnent.The
experimenterrecordsthe amount in tips for
all subjectsfor one month (pretestscore).Next,
the experimenter"retrains" the 20 subjectsat
restaurantI (experimentalgroup). The experi-
menter instructsthem henceforthto introduce
themselvesto customersby first name and to
checkon the customers,asking,"Is everything
fine?" 8 to 10 minutes after deliveringthe food
(treatment).The group at restaurant2 (control
group) is "retained"to continuewithout an in-
troduction or checkingduring the meal. Over
the secondmonth, the amount of tips for both
groupsis recorded(posttestscore).
PreexperimentalDesigns. Somedesignslack
random assignmentand are compromisesor
shortcuts.Thesepreexperimental designs ateused
in situationswhereit is difficult to usethe classi-
cal design.They haveweaknesses that makein-
ferring a causalrelationshipmore difficult.
2o8
P A RTT w o / c o N D U c rl N C QU A N TITA TIvE
One-ShotCaseStudyDesign. Also calledthe
one-groupposttest-onlydesign,the one-shot
casestudy designhas only one group' a treat'
ment, and a posttest.Becausethere is only one
group,thereis no random assignment'
Example. Theexperimentertakesa groupof 40
newly hired wait staff and givesall a two-hour
training sessionin which they are instructedto
introducethemselves to customersby first name
andto checkon the customers,asking,"Is every-
thing fine?"8 to 10 minutesafter deliveringthe
food (treatment).All subjectsbegin employ-
ment,and the experimenterrecordsthe amount
in tips for all subjectsfor one month (posttest
score).
One-GroupPretest-P osttestD esign' This design
has one group, a pretest,a treatment,and a
posttest.It lacksa control group and randomas-
signment.
Example. The experimentertakesa groupof 40
newly hired wait staff and givesall a two-hour
training session.They areinstructedto follow a
script in which they arenot to introducethem-
selvesby first nameand not to return during the
meal to checkon the customers.All begin em-
ployment, and the experimenterrecordsthe
amount in tips for all subjectsfor one month
(pretest score).Next, the experimenter"re-
tiains" all40 subjects(experimentalgroup).The
experimenterinstructs the subjectshenceforth
to introducethemselvesto customersby first
nameand to checkon the customers,asking,"Is
everythingfine?"8 to 10minutesafterdelivering
the food (treatment).Over the secondmonth'
the amountof tips is recorded(posttestscore).
This is an improvementover the one-shot
casestudy becausethe researchermeasuresthe
dependentvariable both before and after the
treatment.But it lacksa control group. The re-
searchercannotknow whethersomethingother
than the treatmentoccurredbetweenthe pretest
and the posttestto causethe outcome.
R E S E A R cH
Static Group Comparison. Also called the
posttest-onlynonequivalentgroup design,static
groupcomparlsorhastwo groups'a posttest,and
treatment. It lacks random assignmentand a
pretest.A weakness is that anyposttestoutcome
diff"re.tcebetween the groups,could be due to
group differences prior to the experiment in-
steadof to the treatment.
Example. The experimentergives40 newly
hired wait staff an identical two-hour training
sessionand instructsthem to follow a script in
which they are not to introduce themselvesby *
first nameand not to return during the mealto
checkon the customers.They canchooseone of
the two restaurantsto work at, so long as each
restaurantendsup with 20 people"rAll beginem-
ployment. After one month, the experimenter
nretrains"the 20 subjectsat restaurantI (exper-
imental group). The experimenterinstructs
them henceforthto introducethemselves to cus-
tomersby first name and to check on the cus-
tomers, asking, "Is everlthing fine?" 8 to 10
minutes after delivering the food (treatment).
The group at restaurant2 (control group) is "re-
tained" to continuewithout an introduction or
checking during the meal. Over the second
month, the amount of tips for both groups is
recorded(posttestscore).
Quasi-Experimental anil Special Designs,
Thesedesigns,like the classicaldesign,make
identifying a causalrelationship more certain
than do preexperimentaldesigns.Quasi-erperi-
mentaldesigns help researchers testfor causalre-
lationshipsin a variety of situations where the
designis difficult
classical or inappropriate. They
arecalledquaslbecause they are variations of the
classicalexperimental design. Some have ran-
domization but lack a pretest,someuse more
thantwo groups,and otherssubstitutemanyob-
servationsof one group over time for a control
group.In general,the researcher haslesscontrol
overthe independent variable than in the classi-
caldesign (seeTable8.1)'
 CHAPTER8 /
T A Bt E 8 . 1 A Comparisonof the ClassicalExperimentalDesignwith Other Major Designs
Classical Yes Yes
One-ShotCaseStudy No No
One-GroupPretestPostest No Yes
StaticGroupComparison No No
Two-GroupPosttestOnly Yes No
TimeSeriesDesigns No Yes
Two-GroupPosttest-Only Design. This is iden-
tical to the static group comparison,with one
exception:The groupsarerandomlyassigned. It
has all the parts ofthe classicaldesignexcepta
pretest.The random assignmentreducesthe
chancethat the groupsdifferedbeforethe treat-
ment,but without a pretest,a researcher cannot
be ascertainthat the groupsbeganthe sameon
the dependentvariable.
In a study using a two-group posttest-only
design with random assignment, Rind and
Strohmetz(1999)examinedmessages about a
upcoming speqialwritten on the back of cus-
tomers'checls.The subjectswere8l dining par-
tieseatingat an upscalerestaurantin New |ersey.
The treatment was whether a female server
wrote a message about an upcomingrestaurant
specialon thebackofa checkandthe dependent
variablewasthe sizeof tips. The serverwith two
years'experience wasgivena randomlyshuffled
stackof cards,half of which said No Message
and half of which saidMessage.|ust beforeshe
gayea customerhis or her check,sherandomly
pulled a cardfrom her pocket.If it saidMessage,
she wrote about an upcoming specialon the
backof the customer'scheck.If it saidNo Mes-
sage,she wrote nothing. The experimenters
recordedthe amount of the tip and the number
of peopleat the table.Theyinstructedthe server
E X P E R I M E N T AR
L ESEARCH 209
Yes Yes Yes
Yes No Yes
Yes No Yes
Yes Yes Yes
Yes Yes Yes
Yes No Yes
to actthe sametoward all customers.The results
showedthat higher tips camefrom customers
who receivedthe messageabout upcoming
specials.
InterruptedTime Series. In an interruptedtime
seriesdesign,a researcherusesone group and
makesmultiple pretestmeasuresbeforeand af-
ter the treatment.For example,after remaining
level for many years,in 1995,cigarettetaxes
jumped 35 percent. Taxesremainedrelatively
constantfor the next 10years.The hypothesisis
that increasesin taxeslower cigaretteconsump-
tion. A researcherplots the rateofcigarettecon-
sumptionfor 1985through2005.Theresearcher
notesthat cigaretteconsumptionwasleveldur-
ing the 10 yearsprior to the new taxes,then
droppedin 1995and stayedabout the samefor
the next 10years.
EquivalentTime Series. An equivalenttime se-
riesis anotherone-groupdesignthat extends
over a time period. Insteadof one treatment,it
hasa pretest,then a treatmentand posttest,then
treatment and posttest,then treatment and
posttest,and so on. For example,peoplewho
drivemotorcycleswerenot requiredto wearhel-
metsbefore1985,when a law waspassedrequir-
ing helmets.In 1991, the law was repealed
 P A RTrw o R E S E A R cH
/ c o N D U c rl N c QU AN TITA TIvE
210

becauseof pressurefrom motorcycleclubs'The four groups. For example,a.mental health

helmet la* was reinstatedin 2003' The re-
seatcher'shypothesisis that wearingprotective
helmetsloweisthe numberof headinjury deaths
in motorcycle accidents'The researcherplots
headinjury deathratesin motorcycleaccidents
over time. The ratewasvery high prior to 1985'
droppedsharplybetween1985and 1991'then
returnedto pie-1985levelsbetween1991and
2003, then dropped again from 2003 to the
present.
Latin SquareDesigns. Researchers interestedin
how severaltreatments given in different se-
quencesor time orders affecta dependentvari-
ubl..utt nt. aLatin squaredesignFor example,a
junior high school geographyinstructor has
ihree units to teachstudents:map reading,using
a compass,and the longitude/latitude(LL) sys- mental
tem. The units can be taught in any order' but
the teacherwants to know which order most
helpsstudentslearn. In one class,studentsfirst
learn to readmaps,then how to usea compass' it ra.t that
then the LL system.In another class,using a
compasscomesfirst, then map reading, then the
LL system.In a third class,the instructor first
teachesthe LL system,then compassusage,and
endswith map reading.The teachergivestests of moii
aftereachunit, and studentstakea comprehen- factorial
siveexam at the end of the term. The students
were randomly assignedto classes, so the in-
structorcanseewhetherpresentingunits in one
sequenceor another resulted in improved iains several
learning.
SolomonFour-GroupDesign A researcher may
believethat the pretestmeasurehasan influence
on the treatment or dependent variable' A
pretestcan sometimessensitizesubjectsto the
ireatmentor improve their performanceon the
posttest(seethe discussionof testing effectto
iome). Richard L. Solomon developedthe
issueof
Solomon four-groupdesignto addressthe
pretesteifects.It iombines the classicalexperi-
mentaldesignwith the two-groupposttest-only ieract to
designand iandomly assignssubjectsto one of
.orkei wuntsto determinewhethera newtrain-
ing method improvesclients'coping skills'The
wJrker measurescopingskillswith a 20-minute
test of reactionsto stressfulevents'Becausethe
clientsmight learn copingskillsfrom taking the
-a
testitself, Solomonfour-group designis used'
The mental health worker randomly divides
clientsinto four goups. Two groupsreceivethe
pretest; one of them gets the
-new.training
method and the other getsthe old method' An-
othertwo groupsreceiveno pretes! oneofthem
gets the new method and the other the old
irethod. All four groups are given the samer
posttestand the posttestresultsarecompared'If
ih. t*o treatment (new method) groups have
similar results, and the two control (old
method) grouPshave similar results,then the
freimr worker knows'pretestlearningis
not a problem. If the two groupswith a pretest
(onetreatment,onecontrol) differ from the two
groupswithout a pretest,then the worker con-
the pretestitself may have an effect
on the dePendentvariable.
FactorialDesigns' Sometimes,a researchques-
tion suggests iooking at the simultaneouseffects
than one independent variatrle' A
design lsestwo or more independent
'variables
in combination.Everycombinationof
the categoriesin variables (sometimescalled
variablecon-
factors)ii examined.When each
categories,the number of combina-
treatment or
tions grows very quickly. The
variable
manipirlationis not each independent
rathei, it is eachcombinationof the categories'
The treatmentsin a factorial designca-nhave
two kinds of effectson the dependentvariable
main effectsand interactioneffects'OnLymain
or single-treat
fficts arepresentin one-factor
ment designs.In a factorialdesign'specificcom-
binationsof independentvariablecategories can
alsohavean effect.Theyarecalledinteraaionef-
categoriesin a combination in-
fectsbecaasethe
producean effectbeyondthat of each
variablealone.
 CHAPTER8 /
FlG U RE 8 .2 and Schema:InteractionEffect
Blame,Resistance,
3.25
E 3.00
E 215
$ 2.zs
E 2.00
p r.zs
s 1.5 0
E
1.2 s
1.0 0
Fights
victim Tries to Fight ofi the Rapist (Resistance)
* Sexschema
...1}.. Powerschema
Interaction ef[ectsare illustratedin Figure
8,2, which usesdata from a study by Ong and
Ward (1999).As part of a study of 128female
undergraduatesat the National University of
Singapore,Ong and Ward measuredwhich of
two major wayssubjectsunderstoodthe crime
of rape. Someof the women primarily under-
stoodit assexand dueto the malesexdrive (sex
schema);others understoodit as primarily an
act of male power and domination of a woman
(powerschema).The researchers askedthe sub-
jectsto reada realisticscenarioaboutthe rapeof
a collegestudent at their university. One ran-
domly selectedgroup ofsubjectsreada scenario
in which the victim tried to fight offthe rapist.In
the other set, shepassivelysubmitted.The re-
searchers next askedthe subjectsto evaluatethe
degreeto which the rapevictim wasat blameor
responsiblefor the rape.
Resultsshowedthat the women who held
the sexschema(andwho alsotendedto embrace
traditionalistgenderrole beliefs)more strongly
blamedthe victim when sheresisted.Blamede-
creasedif shesubmitted.Thewomenwho held a
power schema(and who alsotendedto be non-
traditionalists)werelesslikely to blamethe vic-
tim if shefought. They blamedher more if she
passivelysubmitted. Thus, the subjects' re-
sponsesto the victim's act of resistingthe attack
variedby, or interactedwith, their understand-
E X P E R I M E N T AR
L ESEARCH 2II
Submits
ing of the crime of rape (i.e.,the rape schema
heldby eachsubject).Theresearchers found that
two rape schemascausedsubjectsto interpret
yictim resistancein oppositewaysfor the pur-
poseof assigningresponsibilityfor the crime.
Researchers discussfactorial designin a
shorthandway.A "two by threefactorialdesign"
is written 2 x 3.It meansthat there are two
treatments,with two categories in one and three
categoriesin the other. A 2 X 3 X 3 design
meansthat there are three independentvari-
ables,one with two categoriesand two with
threecategorieseach.
The previouslydiscussedexperimentby
Hawkes,Seen,and Thorn (2004) on tattoos
amongcollegewomenuseda 3 x 2 x 2 x 2 x 2
factorialdesign.The firll study consideredfour
independentvariables,onewith threecategories'
the rest havingtwo categories,and it had three
measuresof the dependentvariable.The depen-
dent variable measuresincluded a Semantic
Differentialmeasure(which containedthreedi-
mensions). In addition, experimentershad
subjectscompletea Neosexismmeasure(an 1l-
item, 5-point Likert Scalestatementssummed
into an index) and a measureof Feminismand
Women's Movement Support (a l0-item, 5-
point Likert Scalesummedinto an index). The
experimentersmanipulated two independent
variablesin the descriptionsofthe tattoo readby
2 12 P A RTT w o / c o N D U c rl N c QU AN rlrA Tl vER E S E A R cH
subjects: (i) whether the woman had no tattoo'
a tattoo smaller than a Canadian $1 coin' or
larger than a $1 coin; and (2) the tattoo's visib-
lity as always hidden versus always hidden. Two
independent variableswere not manipulated but
were preexisting characteristics of researcher
subjects,(3) whether the subject him/herself had
a tattoo or not, and ( ) the subject's gender' The
study included263 subjects, I22 males and 146
females,of them 43 (or 16 percent) had a tattoo'
The study results showed that subjects
viewed college women without a tattoo more
positivity and female subjects were more posi-
tive toward a college woman having a tattoo
than male subiects. There was also a significant
effect forvisibility, with more favorable attitudes
for a nonvisible tattoo' Generally' subjects who
had tattoos themselveswere more favorable to-
ward the woman having a tattoo. Size of tattoo
had little effect. Men and women with a tattoo
were more favorable, regardless of tattoo size'
while those without a tattoo were negative' In
addition, gender made no difference toward size
of tattoo. The experiment had many specific
findings for each combination of the five inde-
pendent variables. One specific finding was that
iemale subjects who had a tattoo themselves
were least likely to react negatively to alatget ta|-
too. Results from the attitude measures suggest
that "the tattooed woman may be seenby some
as flaunting her freedom from gender norms or
asthreateningwomen's traditional place in soci-
ety'' (Hawkes, Seen,and Thorn 2004:603).
Design Notation
Experimentscan be designedin many ways'
Designnotationis a shorthandsystemfor sym-
bolizing the parts of experimentaldesign'Once
you learn designnotation,you will find it easier
to think about and comparedesigns.For exam-
ple, designnotation expresses a comple5 p^ara-
graph-long description of the parts of, an
ixperiment in five or six symbolsarrangedin
twb Hnes.It usesthe following symbols:O =
observationof dependentvariable;X = treat-
ment,independentvariable;R = randomassign-
ment. The Os are numberedwith subscripts
from left to right basedon time order. Pretests
are 01, posttests02' When the independent
variable has more than two levels,the Xs are
numberedwith subscriptsto distinguishamong
them. Symbolsare in time order from left to
right. The R is first, followedby the pretest,the
triatment, and then the posttest.Syrnbolsare
arrangedin rows,with eachrow representinga
group of subjects.For example,an experiment
groupshas an R (if random assign-
-ith1ttt..
ment is ,tt.d;, foilo*"d by threerows of Os and 1
Xs. The rows are on top of eachother because
the pretests, treatment, and posttestoccur in
gtonp at about the sametime. Table 8'2
"u.h
givesthe notation for many standard experi-
mentaldesigns.
.ry'€
INTERNAL AND EXTERNAL
VALIDITY
The Logic of Internal ValiditY
Internal validifTmeansthe ability to eliminate al-
ternativeexplanationsof the dependentvariable'
Variables,other than the treatment' that affect
the dependentvariablearethreatsto internalva-
lidity. Theythreatenthe researcher's ability to say
that the treatment was the true causal factorpro-
ducing change in the dependent variable' Thus,
the logic of internal validity is to rule out vari-
ablesother than the treatment by controlling ex-
perimental conditions and through experimental
designs. Next,we examinemajorthreatsto inter-
nal validity.
Threats to Internal ValiditY
Thefollowingarenine commonthreatsto inter-
nalvalidity.l
SelectionBias. Selectionbiasis the threat that
researchparticipantswill not form equivalent
groups.It is a problem in designswithout ran-
 CHAPTER8 , / E X P E R I M
E N T A LR E S E A R C H 213

TABLE'8.2 SummaryofExperimental
Designswith
Notation

Classicalexperimental
design
* r3
Preexperimenta
I Designs
One-shotcasestudy o
One-grouppretest-posttest o o
Staticgroup comparison o
o
Quasi-Experi
mentalDesigns
Two-groupposttestonly
R -x o
o
Interruptedtime series oo o o x ooo
Equivalent
time series OX O X OXOXC
ox bo

\:\3 I:f
Latinsquaredesigns X"o
ox ao X"o
ox bo x-o
ox c o Xuo
ox c o X"o
ox ao Xoo
Solomonfour-groupdesign X o
o
X o
o
Factorial
designs
.qi; /Xt z1
22o
21
22o
o
o

dom assignment.It occurswhen subjectsin one to dodgeheavytraffic. All subjectsassignedto

experimentalgroup havea characteristicthat af-
fectsthe dependentvariable.For example,in an
experimenton physicalaggressiveness,the treat-
ment group unintentionally contains subjects
who are football, rugby, and hockey players,
whereasthe control group is madeup of musi-
cians,chessplayers,and painters.Another ex-
ampleis an experimenton the ability of people
one group come from rural areas,and all sub-
jectsin the other grewup in largecities.An ex-
aminationof pretestscoreshelpsa researcher
detectthis threat,becauseno group differences
areexpected.
History. This is the threat that an eventunre-
latedto the treatmentwill occur during the ex-
 RESEARCH
214 PART TWO , / CO NDUCTI NC Q UANTI T A T I V E

effectsoccur' a researchercannot saythat the

Derimentand influencethe dependentvariable'
treatment alone has affected the dependent
Hktory ,ltcttare more likelyin experimentsthat
variable.
continueover a long time period' For example'
halfi,vaythrough a two-weekexperimentto "".u1-
Instrumentation. This threatis relatedto reli-
uate subjects'attitudes toward spacetrav.el'a
ability. It occurswhen the instrumentor depen-
,pu.".ruh explodeson the launch pad, killing
dent variable measure changes during the
the astronauts.The history effectcan occur ln
(see experiment.For example,in a weight-Iossex-
the cigarettetax examplediscussedearlier
periment,the springson the scaleweakenduring
the discussionof interrupted time-seriesde-
the e"p.ri-"ttt, gil ittg lower readingsin the
sign). If a public antismokingcampaignor^re-
p""t.t,. Anotherixample might haveoccurred
diced cigaietteadvertisingalsobeganin 1989'it (1987)
in un e"p.rimentby BondandAnderson
would b"ehard to saythat higher taxescaused bad news' The ex- n
on the reluctanceto transmit
lesssmoking. tell another per-
perimentersaskedsubjectsto
'son resultsof an intelligencetest and varied
the
Maturation. This is the threat that somebio-
the test resultsto be eitherwell aboveor well be-
logical, psychological,or emotional process
low average.The dependentvariable was the
*iitrin the subjectsand separatefrom the treat-
lengthof time it took to tell the testtakerthe re-
ment will changeovertime. Maturahon$ more were told that the session
commonin e>rferiments overlong time periods' ,olir. So-. subjects
was being videotaped.During the experiment'
For example,during an experimenton reason-
tne viaeJequipmentfailedto work for one sub-
ing ability, subjectsbecomebored and sleepy
lower.Another exampleis iect. If it had iailed to work for more than one
*"d, u, a result,'score
.subiector had worked for only part of the ses-
an experimenton the stylesof children'splaybe-
sion, the experiment would have had instru-
tweengrades1 and 6. Playstylesare affectedby
pioblems.(By the way,subjectstook
physicil, emotional' and maturation changes
',hu,o..o, asthe childrengrow older,insteadof iong.. to deliverbad newsonly if they thought
-"rriutiott
the| were doing so publicly-that is' being
or in addition to the effectsof a treatment'De-
videotaPed')
signswith a pretestand control group help re-
,elarchersdelermine whether maturation or
Mortatity. Mortality, or attritiort, ariseswhen
history effectsarepresent,becauseboth experi- the
,o-. ,rr61..tsdo not continue throughout
mental and control grouPswill show similar means
experiment.Althoughthe wotd mortality
changesovertime' meanthat subjects
death,it doesnot necessarily
itself havedied. Ifa subsetofsubjectsleavespartway
Testing. Sometimes,the pretestme-asure
through an experiment, a researchercannot
affectsin experiment. This testingeffectthteat-
morethan the treat- k ro*"*hether ihe resultswould havebeendif-
ensinternalvaliditybecause
ferenthad the subjectsstayed'For example'a re-
ment aloneaffectsthe dependentvariable'The
searcherbeginsa weight-lossprogram with 50
Solomon four-group designhelps a researcher
subjects.Atlhe end of the program' 30 remain'
detecttestingeffects.For example,a researcher
eacirof whom lost 5 poundswith no sideeffects
eivesstudentsan examinationon the first dayof
The 20 who left could havedifferedfrom the 30
Ilass.The courseis the treatment'He or shetests
who stayed,changingthe results'-Maybethe
learningby givingthe sameexamon the lastday and
oronru- was effeclivefor those who left'
of class.If subjectsrememberthe pretestques- p"t-
in"f *itnat"w after losing 25 pounds' 9:
tions andthis affectswhat theylearned(i'e'' paid
hapsthe programmadesubjectssickand forced
attentionto) or how theyansweredquestionson shouldnotice and re-
them to [uit' Researchers
the posttest,a testingeffectis present'Iftesting
 c HApr ER 8 , / E X p E R T M E N T ARLE S E A R c H
port the number of subjects in each group dur-
ing pretests and posttests to detect this threat to
internal validity.
Statistical Regression, Statistical regressionis
not easy to grasp intuitively. It is a problem of
extreme values or a tendency for random errors
to move group results toward the average.It can
occur in two ways.
One situation arises when subjects are un-
usual with regard to the dependent variable. Be-
causethey begin as unusual or extreme, subjects
are unlikely to respond further in the same di-
rection. For example, a researcherwants to see
whether violent films make people act violently.
He or she chooses a group of violent criminals
from a high-securityprison, givesthem a pretest,
shows violent films, then administers a posttest.
To the researcher's shock, the prisoners are
slightlyless violent after the film, whereasa con-
trol group of prisoners who did not seethe film
are slightly more violent than before. Because
the violent criminals began at an extreme, it is
unlikely that a treatment could make them more
violent; by random chance alone, they appear
lessextreme when measured a second timi.2
. A second situation involves a problem with
the measurement instrument. If many research
participants score very high (at the ceiling) or
very low (at the floor) on a variable, random
chance alone will produce a changebetween the
pretest and the posttest. For example, a re-
searchergives 80 subjects a test, and 75 getper-
fect scores.He or she then gives a treatmenl to
raise scores. Becauseso many subjects already
had perfect scores,random errors will reduce the
group averagebecausethose who got perfect
scores can randomly move in only one direc-
tion-to get some answerswrong. An examina-
tion of scores on pretests will help researchers
detect this threat to internal validity.
Diffusion of Treatment or Contamination.
Dffision of treatment is the threat that research
participants in different groups will communi-
cate with each other and learn about the other's
Zls
treatment. Researchers avoid it by isolating
groupsor havingsubjectspromisenot to reveal
anythingto otherswho will becomesubjects.
For example,subjectsparticipatein a day-long
experimenton a new way to memorizewords.
During a break,treatment-groupsubjectstell
thosein the control group aboutthe newwayto
memorize,which control-groupsubjectsthen
use.A researcherneedsoutsideinformation,
suchaspostexperimentinterviews,with subiects
to detectthis threat.
ExperimenterExpectancy. Although it is not
alwaysconsidereda traditional internal validity
problem, the experimenter'sbehavior,too, can
threatencausallogic.3A researcher maythreaten
internal validiry not by purposefullyunethical
behavior but by indirectly communicating
experimenter expectancy to subjects.Researchers
may be highly committedto the hypothesisand
indirectly communicatedesiredfindings to the
subjects.For example,a researcherstudiesthe
effectsof memorizationtraining on student
learningability, and also seesthe gradetran-
scriptsof subjects.The researcherbelievesthat
studentswith highergradestend to do better at
the training and will learn more. Through eye
contact,tone ofvoice,pauses,and othernonver_
bal communication, the researcheruncon-
sciouslytrains the studentswith higher grades
more intensely;the researcher'snonverbalbe_
havior is the oppositefor studentswith lower
grades.
Here is a way to detectexperimenterex_
pectancy.A researcherhires assistantsand
teachesthem experimentaltechniques.The as_
sistantstrain subjectsandtesttheir learningabil-
ity. The researchergives the assistantsfake
transcriptsand recordsshowingthat subjectsin
onegroup arehonor studentsand the othersare
failing,althoughin factthe subjectsareidentical.
Experimenterexpectancyis presentif the fake
honor students,asa group,do much betterthan
the fakefailing students.
The double-blindexperimenris designedto
control researcher expectancy.In it, peoplewho
2 16 R E S E A R cH
P A RTT w o / c o N D U c rl N c QU A N TITA TIvE

havedirect contactwith subjectsdo not know
the detailsof the hypothesisor the treatment.It
is doubleblind becauseboth the subjectsand
thosein contactwith them areblind to detailsof
the experiment(seeFigure8.3). For example,a
researcher wantsto seeif a new drug is effective.
Using pills of three colors-green, yellow, and
pink-the researcherputs the new drug in the
yellowpill, puts an old &ug in the pink one,and
makesthe greenpill aplacebo-afalsetreatment
that appearsto be real (e.g.,a sugarpill without
anyphysicaleffects).Assistants who givethe pills
and recordthe effectsdo not know which color
contains the new drug. Only another person
who doesnot dealwith subjectsdirectly knows
which coloredpill containsthe drug and it is he
or shewho examinesthe results.
External Validity and Field
Experiments
Evenif an experimentereliminatesall concerns
about internal validity, externalvalidity remains
a potentialproblem.Externalvalidityis the abil-
ity to generalizeexperimentalfindingsto eYents
and settingsoutsidethe experimentitself. If a *

Flc U RE 8. 3 Double-BlindExperiments: or Ordinary,.

An lllustrationof Single-Blind,
and Double-BlindExPeriments
ExPeriment
Single-Blind
o

qfrq
o0 o
7N
fififrfifrfifrfrfr
fr fr
SubiectsWho Are Blindto TrueHypothesis
o o o o
P q
Double-BlindExPeriment
o
Experimenter
q

.o o e o o
qfrq fififififrflfrfrm
oo
q Bq fr
SubjectsWho Are Blindto TrueHypothesis
 c H Ap rE R8 ,/ E X pE R TME N TA
R ELS E A R cH 217

study lacks externalvalidity, its findings hold person encounters people who contradict the
true only in experiments,making them useless stereotype,especiallyifthe others are respected.
to both basicand appliedscience. They used both a laboratory experiment (with a
two-group, posttest-only design) and a field ex-
Reactivity. Researchparticipantsmight react periment. Past studies focused on out-group
differentlyin an experimentthan they would in stereot)?es, but the authors wanted to examine
real life becausethey know they are in a study; the hypothesis for an in-group, women. In the
this is calledreactivity.The Hawthorneffict is a laboratory experiment, experimenters randomly
specifickind of reactivity.4The name comes assignedfemale subjects to view either (1) a set
from a seriesof experimentsby Elton Mayo at photographs and biographies of 16 famous
the Hawthorne,Illinois, plant of Westinghouse women leadersor (2) photos and descriptions of
Electricduring the 1920sand 1930s.Researchers 16 flowers. The experimenters used deception
modified many aspectsof working conditions and told subjects the study was about testing
(e.g.,lighting, time for breaks,etc.) and mea- memory. The dependent variable was attitudes
sured productivity. They discoveredthat pro- and beliefs about women and was measured
ductivity roseaftereachmodification,no matter with a implicit Association Test (IAT). The re-
what it was.This curiousresultoccurredbecause sults showed that subjects associatedgendered
the workersdid not respondto the treatment first names (e.g.,|ohn vs. Emily) with leadership
but to the additional attention they received or follower traits (e.g., assertive and sympa-
from beingpart of the experimentand knowing thetic). A high IAT score indicated that a sub-
that they were being watched.Later research ject viewed women more than men as having
questionedwhetherthis occurred,but the name leadership more than supportive traits. The re-
is used for an effect from the attention of re- searchers also used a scale on beliefs about
searchers. A relatedeffectis the effectof some- women. They found support for the hypothesis
thing new,which maywearoffover time. that exposure to famous women in leadership
positions increased IAT scores,compared to ex-
Fielil Experiments. Sofar, this chapterhasfo- posure to neutral information about flowers.
cusedon experimentsconductedunderthe con- The field experiment had a pretest and a posttest
trolled conditionsof a laboratory.Experiments but no random assignment. Subjectswere fe-
are'alsoconductedin real-life or field settings males who attended two colleges in the same
wherea researcherhaslesscontrol over the ex- town. One was a coeducational college and the
perimental conditions.The amount of control other had all female students. Subjects were re-
varieson a continuum.At one end is the highly cruited from first-year classesat the beginning
controlled laboratory experiment,which takes of the academic year and completed the IAT
placein a specialized settingor laboratory at the measure, the beliefs about women scale, and a
oppositeendis thefield experimenr, which takes general campus questionnaire. The experi-
placein the'field'-in naturalsettingssuchasa menters documented that the all-female college
subwaycar, a liquor store,or a public sidewalk. had more females in administrative and faculty
Subjectsin field experimentsare usuallyun- leadership positions. Pretest IAT scores were
awarethat they are involved in an experiment very similar, with subjects from coeducational
and react in a natural way. For example,re- college having slightly lower scores.This helped
searchers havehad a confederatefakea heartat- the experimenters to check for possible selection
tack on a subwaycar to seehow the bystanders bias. Subjectswere contacted one year later and
react.5 asked to complete the same measuresas pre-
Dasguptaand Asgari (2004)testedthe hy- sented in the posttest. Experimenters watched
pothesisthat stereotypical beliefsweakenwhen a very carefully for experimental mortality since
2 18 pA RTT w o ,/ c o N D U c rtN c QU A N Tl rA rl vER E S E A R cH
somestudentsstoppedattendingcollegeor did
not completelater surveys.The IAT scoresfor
subjectsat the coeducationalcollegedeclined
(i.e.,theywerelesslikely to seefemalesashaving
leadershiptraits), whereasthe IAT scoresfor
subjectsat the all-female college greatly in-
creased.In addition, the experimentersfound
that the more femaleteachersa studenthad at
eithercollege,the higherthe posttestIAT scores,
andthis wasespecially the casefor math and sci-
encescourses.Thus,exposureto womenin lead-
ership positions caused the IAT scores to
increase,whereasthe absenceofsuch exposure'
if anlthing, loweredthe scores.
Von Larr and colleagues (2005)useda field
experimentto test the well-knov,n contacthy-
pothesisthat saysintergroup contact reduces
racial-ethnic prejudice as people replacetheir
stereotl?eswith personalexperience,although
this happenssolong asthe contactinvolvespeo-
ple of equalstatuspursuingcommon goalsin a
cooperativesettingand is approvedby authori-
ties.In addition,informal contactin which peo-
ple get to know about out-group membersas
acquaintances alsoreducesout-groupprejudice.
The experimenttook placeat UCLA, wherethe
studentbody is very racially and ethnicallydi-
verse.Unlesstheypreselecta roommate,incom-
ing studentsarerandomlyassignedroommates.
About 20 percentof studentschoosea room-
mate and the rest are randomly assigned.The
authorsmeasuredstudentbackgroundand atti-
tudesamong nearly 3,800new incoming stu-
dents using a panel design acrossfive time
periods-before collegeentry (summer 1996)
and during the spring of eachof the next four
years(1997-2000)with surveys(20-minutetele-
phone interviews).The dependentvariablewas
the students' racial-ethnic attitudes and in-
cluded questions about roommates, other
friends, interracial dating, multiculturalism,
sgnbolic racism, and feelingsabout various
racial-ethnic groups. Thesewere the experi-
ment's pretestand multiple posttestmeasures.
Experimenterswatchedvery carefullyfor exper-
imental mortality, sincesomestudentsstopped
attendingcollege,leftcollegedormitories,or did
not completethe later surveys.They testedthe
hlpothesesthat studentswho wererandomlyas-
signedto live with an out-group member (the
independentvariable)developedlessprejudicial
attitudestoward membersof that out-group.
They found that comparedto pretestrneasures'
prejudicialattitudesdeclinedaspredictedby the
contacthypothesiswith one exception.Appar-
ently having an Asian American roommate
worked in the opposite way and actually in-
creasedprejudice,especiallyamong the White
students.
Experimentercontrol relatesto internaland
externalvalidity. Laboratoryexper'imentstend
to havegr eaterinternalvalidity but lower exter-
nal validity; that is, they arelogicallytighter and
bettercontrolled,but lessgeneralizable. Fieldex-
perimentstend to havegreaterexternalvalidity
but lower internalvalidity;that is, they aremore
generalizable but lesscontrolled.Quasi-experi-
mental designsare common in field experi-
ments.Table8.3 summarizesthreatsto internal
andexternalvalidity.
TABTE 8.3 Maiorlnternaland External
Validity Concerns
Selection bias Hawthorneeffect
History effect
Maturation
Testing
Instrumentation
mortality
Experimental
Statisticalregression
Diffusionof treatment
Experimenter expectancy
 CHAPTER8 , / E X P E R I M E N T AR
L ESEARCH 219

P R AC TICAL CO NS I DE RA T ION S
of the situation affectedtheir behavior.Finalln
he or shecan explainthe importanceof not re-
Every research technique has informal tricks of vealing the true nature of the experiment to
the trade. These are pragmatic, commonsense other potentialparticipants.
ideasthat account for the difference between the
successfulresearchprojects of an experienced
researcher and the difficulties a novice re-
RESULTSOF EXPERIMENTAL
searcherfaces.Three are discussedhere.
RESEARCH:MAKING
COMPARISONS
Planning and Pilot-Tests
Comparisonis the key to all research.By care-
AII social research requires planning, and most fully examiningthe resultsof experimentalre-
quantitative researchersuse pilot-tests. During search,a researcher canlearn a greatdealabout
the planning phase of experimental research, a threats to internal validity, and whether the
researcherthinks of alternative explanations or treatmenthasan impact on the dependentvari-
threats to internal validity and how to avoid able. For example,in the Bond and Anderson
them. The researcher also develops a neat and (1987)experimenton deliveringbad news,dis-
well-organized system for recording data. In ad- cussedearlier,it took an averageof 89.6and73.I
dition, he or she devotes serious effort to pilot-secondsto deliverfavorableversus72.5or 747.2
testing any apparatus (e.g., computers, video secondsto deliverunfavorabletestscoresin pri-
cameras,tape recorders, etc.) that will be used invateor public settings,respectively.A compari-
the treatment situation, and he or she must train son showsthat deliveringbad newsin public
and pilot-test confederates.After the pilot-tests,takesthe longest,whereasgood newstakesa bit
the researchershould interview the pilot subjects longerin private.
to uncoyer aspectsof the experiment that need A more complexillustration of such com-
refinement. parisonsis shownin Figure8.4on the resultsof
t' a seriesof fiveweight-lossexperimentsusingthe
Instructions to Subjects classicalexperimentaldesign.In the example,
the 30 researchparticipantsin the experimental
Most experimentsinvolvegivinginstructionsto group at Enrique'sSlim Clinic lost an averageof
subjectsto set the stage.A researchershould 50 pounds,whereasthe 30 in the control group
word instructions carefully and follow a pre- did not losea singlepound. Only one person
pared script so that all subjectshear the same dropped out during the experiment.Susan's
thing. This ensuresreliability. The instructions ScientificDiet Planhad equallydramaticresults,
are also important in creatinga realisticcover but 11peoplein her experimentalgroupdropped
storywhendeceptionis used. out. This suggests a problem with experimental
mortality. Peoplein the experimentalgroup at
Postexperiment Interview Carl's Calorie Counterslost 8 pounds, com-
paredto 2 poundsfor the control group,but the
At the end of an experiment,the researcher control group and the experimentalgroup be-
should interview subjects,for three reasons. gan with an averageof 31 pounds differencein
First,ifdeceptionwasused,the researcher needs weight. This suggestsa problem with selection
to debrieftheresearchparticipants,tellingthem bias.Natalie'sNutrition Centerhad no experi-
the true purposeof the experimentand answer- mentalmortality or selectionbiasproblems,but
ing questions.Second,he or shecan learnwhat those in the experimentalgroup lost no more
the subjectsthought and how their definitions weight than those in the control group. It ap-
220 PART TWO / CO NDUCTI NC Q UANTI TATI V ER E S E A R C H

weight-Loss
FI c u RE 8 .4 comparisonsof Results,classicalExperimentalDesign,
Experiments

N atal i e' s
Enrique's
N utri ti on C enter
SlimClinic
Pretest Posttest
Pretest Posttest
Experimental 1e0(30) 188(2e)
Experimental 1e0(30) 14o(2e)
ControlgrouP 1e2(2e) 190(28)
ControlgrouP lse (30) 18e(30)
Pauline's
Susan'sScientific
PoundsOff
Diet Plan
Pretest Posttest
Pretest Posttest
Experimental leo (30) 1s8(30)
Experimental 1e0(30) 141(1e)
18e(28) ControlgrouP 1e1(2e) lse (28)
Controlgroup 1se(30)

Carl'sCalorie
Counters
Pretest Posttest
Experimental 150(30) 1s2(2e)
ControlgrouP 1el (2e) 18e(2e)

pears that the treatment was not effective'
Fauhne'sPoundsOffalso avoidedselectionbias
and experimentalmortality problems.Peoplein
her experimentalgroup lost 32 pounds,but-so
that
did thosein the control group'This suggests
the maturation, history, or diffirsion of treat-
ment effectsmay haveoccurred.Thus,the treat-
ment at Enrique'sSlim Ctinic appearsto be the
mosteflectiveone.SeeBox 8.2for a practicalap-
plicationof comparingexperimentalresults'

Occasionally, a "natural"experimentis possibledue in the New Orleansarea. When public officials

plannedto shiftenforcementpriorities,Scribne.r and
to public policy changesor a governmentinterven-
tion, and researchers are able to measure,partlcl- tohen (200.1) examinedits impact'They had sev-
pate,andlearnfromit andconducta fieldexperiment eral peoplewho clearlylookedunder 1 8 yearsold
attempt to purchasealcoholicbeverages illegally
with high extemalvatidity.This occurredin New Or- years of age)at
(the law requiredbeingat least2l
leans,Llousiana. Untilthe mid-1990s, lawson selling
i 43 randomlyselected liquor outlets between No-
liquorto underagecustomerswerebarelyenforced 0)' The per-
vember1 995 andJanuary 1 996 (Time
in New Orleans.lf caught,the offendingliquor re-
tailer met privatelywith the liquor commissionand centagewho couldbuy liquorillegallywasthefretest
,rorin. After assessing the rate of illegalsales,the
paida smallfine.Enforcingliquorlawswaslow prior-
so only threeen- dependent the policeissuedcitationsto 5'l
variable,
ity for stateand localgovernment,
forcementofficersmonitored5,000 alcoholoutlets ofthe salesoutlets,the primaryindependentvaiab
 CHAPTER8 , / E X P E R I M E N T AR
or treatment.Aboutthe sametime,governmentoffi-
cialsinitiateda mediacampaignurgingbetter law
compliance.Thereweretwoposttestmeasures,
firstin
DEPENDENT
VARIABLE:
PERCENTAGE
WHO OBEYTHELAW
Experimental
(citation) 6.7%
Control (no citation) 13j%
Total 11.1%
The resultsallow us to comparerates of illegal
sellingactivitybeforeand after citationsplusmedia
campaign(ltretestand posttestmeasures)and to
compareoutletsthat receivedcitations(experimental
group)with thosethat did not receivecitationsand
only hadmediaexposure(control group).We seethat
the citationsand campaigndid not stop the illegal
activity, but it had some effect. The impact was
greateron outlets that experienceddirect punish-
ment.In addition,by addinga laterfollow-up(Time
2), we see how the law-enforcement impactslowly
decayedover time.As frequentlyhappensin a nat-
uralexperiment, internalvalidityis threatened:First,
the pretest measureshowsa differencein the two
setsof outlets,with outletsthat receivedthe treat-
mentshowinghigherratesof illegalbehavior;this is
potentialselection bias.Second,the mediacampaign
occurredfor alloutlets,so the treatmentis reallya cr-
tation plusthe mediacampaign. The authorsnoted
that they hadintendedto comparethe NewOrleans
areawith anotherareawith neitherthe medianor
A WO R D ON E T HI CS
Ethical considerations are a significant issue in
experimental researchbecauseexperimental re-
searchis intrusive (i.e., it interferes). Treatments
L ESEARCH 221
Marchto April1 996 (Time1) andagainin Novem-
ber 1996 to January1997 (Tine 2), duringwhich
the experimenters
checkedthe 143 outlets.
ir..l.i.t
t&,1li a:,,n,::
5 1% 29% 45
3s % 17% 98
40% 21% 143
the citationcampaign, but were unableto do so.
Sinceoutletsthat did not receivethe treatment(i.e.,
a citationfor lawviolation)probablylearnedaboutit
from othersin the samebusiness, a formof diffusion
of the treatmertcould be operating.Third, the re-
searchers report that they beganwith I 55 outlets,
but studiedonly 143 becauseI 2 outletswent out
of business duringthe study.Theauthorsnotedthat
none of the outlets that stoppedsellingalcohol
closeddueto newlawenforcement, but ifthose out-
lets that receivedcitationshad more problemsand
were more likelyto go out of business,it suggests
experimental mortality.The experimentersdid not
mentionany externaleventsin New Orleansthat
happenedduringthe time of the study (e.g.,a publi-
cizedeventsuchasunderagedrinkerdyingof alcohol
poisoningfrom overdrinking).Researchers needto
be awareof potentialexternaleventswhena study
continuesfor a long time and considerpossible
historyfficts.
may involve placingpeoplein contrived social
settings and manipulating their feelings or
behaviors.Dependentvariablesmay be what
subjectssayor do. The amount and type of in-
trusion is limited by ethical standards.Re-
222 PART TWO / CO NDUCTI NC Q UANTI TAT I V ER E S E A R C H
searchersmust be very carefrrlif they placere-
searchparticipantsin physicaldangeror in em-
barrassingor anxiety-inducingsituations'They
must painstakinglymonitor eventsand control
what occurs.
Deception is common in social experi-
ments, but it involves misleading or lying to
subjects.Suchdishonestyis not condonedun-
conditionally and is acceptableonly as the
meansto achievea goalthat cannotbe achieved
otherwise.Evenfor a worthy goal,deceptioncan
be usedonly with restrictions.The amount and
qpe of deceptionshouldnot go beyondwhat is
minimally necessaryand researchparticipants
shouldbe debriefed.
CONCLUSION
In this chapter,you learnedabout random as-
signmentand the methodsof experimentalre-
search.Randomassignmentis an effectiveway
to createtwo (or more) groups that can be
treated as equivalentand hencecompared.In
general,experimentalresearchprovidesprecise
and relatively unambiguous evidence for a
causalrelationship.It follows the positivistap-
proach,producesquantitativeresultsthat canbe
analyzedwithstatistics,and is often usedin eval-
uationresearch (seeBox 8.2).
This chapter alsoexaminedthe parts of an
experiment and how they can be combinedto
producedifferentexperimentaldesigns.In addi-
tion to the classicalexperimentaldesign' you
learnedaboutpreexperimental and quasi-exper-
imentaldesigns. You also learned how to express
them using design notation.
You learnedthat internal validity-the in-
ternal logical rigor of an experiment-is a key
ideain experimentalresearch.Threatsto inter-
nal validity arepossiblealternativeexplanations
to the treatment.You alsolearnedabout exter-
nal validity and how field experimentsmaximize
externalvalidity.
The realstrengthof experimentalresearchis
its control and logical rigor in establishingevi-
dencefor causality.In general,experimentstend
to be easierto replicate,lessexpensive,and less
time consumingthan the other techniques.Ex-
perimental researchalso has limitations. First,
somequestionscannot be addressedusing ex-
perimentalmethodsbecausecontrol and exper-
imental manipulation are impossible.Another
limitation is that experimentsusuallytestoneor
a few hypothesesat a time. This fragments
knowledgeand makesit necessary to qrnthesize
resultsacrossmany research reports. External
validity is another potential problem because
many experimentsrely on- small nonrandom
samplesof collegestudents.b
You learnedhow a carefulexaminationand
comparisonof resultscan alertyou to potential
problemsin researchdesign.Finally'you saw
somepracticaland ethicalconsiderationsin ex-
periments.
In the next chapters,you will examineother
researchtechniques.The logic ofthe nonexperi-
mentalmethodsdiffersfrom that of,the experi-
ment. Experimentersfocus narrowly on a few
hypotheses. They usuallyhaveone or twoinde-
pendentvariables,a singledependentvariable,a
few small groups of subjects'and an indepen-
dent variable that the researcherinduces. By
contrast, other social researcherstest many
hypothesesat once. For example' survey re-
searchersmeasurealarge number of indepen-
dent and dependentvariablesand use a larger
numberof randomlysampledsubjects.Their in-
dependentvariablesareusuallypreexistingcon-
ditions in researchparticipants.
Key Ter m s
classical experimental design
control group
debrief
deception
demand characteristics
design notation
diffrrsion of treatment
double-blind experiment
 C H A P TE R
equivalent time series
experimental design
experimental group
factorial design
field e4periment
Hawthorne effect
historyeffects
interaction effect
interrupted time series
laboratory e4periment
Latin square design
maturation
mortality
one-shot casestudy
placebo
posttest
preexperimental designs
pretest
quasi-experimentaldesigns
random assignment
reactivity
selection bias
Solomon four-group design
8 ,/ E X P E R IME N TA
R ELS E A R C H 223
static group comparison
treatment
Endnotes
l. For additionaldiscussionsofthreats to internal
validiry seeCook and Campbell(1979:51*68),
Kercher(1992),Smith and Glass(1987),Spector
(1981:24-27),and SulsandRosnow(19S8).
2. Thisexampleis borrowedfrom Mitchelland lol_
ley(1988:97).
3. Experimenterexpectancy is discussed in Aronson
and Carlsmith(1968:66_7 0), Dooley( I 984:I 5l_
153),andMitchelland)olley(1988:327_32il.
4. The Hawthorneeffectis describedin Roethlis_
bergerand Dickenson(1939),Frankeand Kaul
(1978),and Lang(1992).Alsoseethe discussion
in Cook and Campbell(1979:123_125) andDoo_
ley (1984:155-156). Gillespie(1988,l99t) dis_
cussedthe politicalcontextof the experiments.
5. SeePiliavinandassociates ( I 969).
6. SeeGraham( 1992)andSears ( 19g6).
 NonreactiveResearchand
SecondaryAnalYsis

lntroduction
Nonreactive Measurement
The Logicof NonreactiveResearch
Observation
or Unobtrusive
Varietiesof Nonreactive
and Documentation
Recording
Content AnalYsis
What ls ContentAnalYsis?
TopicsAppropriatefor ContentAnalysis
Measurement and Coding
Coding,ValiditY,and ReliabilitY
Howto ConductContentAnalysisResearch
lnferences
Existing Statistics/Documents and Secondary Analysis
AppropriateToPics
SocialIndicators
LocatingData
Limitations
lssuesof Inference and Theory Testing
lnferencesfrom NonreactiveData
EthicalConcerns
Conclusion

224
 CHAPTER9 , / NO NREACT I V ER E S E A R C H
INT RO DUCT I ON
Experiments and survey research are both
reactiye;that is, the people being studied are
aware of that fact. The techniques in this chapter
addressa limitation of reactive measures.You
will learn about four researchtechnicues that are
nonreactite;that is, the people being studied are
not aware that they are part ofa researchproject.
Nonreactive techniques are largelybased on pos-
itivist principles but are also used by interpretive
and critical researchers.
The first technique we will consider is lessa
distinct technique than a loose collection of in-
ventive nonreactive measures.It is followed by
content analysis,which builds on the fundamen-
tals of quantitative researchdesign and is a well-
developed researchtechnique. Existing statistics
and secondary analysis,the last two techniques,
refer to the collection of already existing infor-
mation from government documents or previ-
ous surveys. Researchersexamine the existing
data in new ways to addressnew questions. A1-
though the data may have been reactive when
first collected, a researcher can address new
questions without reactive effects.
!{'{@
N O NRE A CT I V E ME AS U R EME N T
The Logic of Nonreactive Research
Nonreactive measurement begins when a re-
searchernotices something that indicates a vari-
able of interest. The critical thing about
nonreactive or unobtrusiyemeasures(i.e., mea-
sures that are not obtrusive or intrusive) is that
the people being studied are not aware of it but
leave evidence oftheir social behavior or actions
"naturally." The observant researcher infers
from the evidenceto behavior or attitudes with-
out disrupting the people being studied. Unno-
ticed observation is also a type of nonreactive
measure. For example, McKelvie and Schamer
(1988) unobtrusively observedwhether drivers
stopped at stop signs. They made observations
A N D S E C O N D A R YA N A L Y S I S Z2S
during both daytime and nighttime. Obsen.ers
noted whether the driver was male or femalel
whether the driver was alone or with passengers;
whether other trafific was present; and whether
the car came to a complete stop, a slow stop, or
no stop. Later, we will contrast this type of ob-
servation to a slightly different type used in field
researcn.
Varieties of Nonreactive or
Unobtrusive Observation
Nonreactive measures are varied, and re-
searchershave been creative in inventing indi-
rect ways to measure social behavior (see Box
9.1). Becausethe measureshave little in com-
mon except being nonreactive, they are best
learned through examples. Some are erosion
measuregwhere selectivewear is used as a mea-
sure, and some are accretionmeasuregwhere the
measuresare depositsof somethingleft behind.I
Researchershave examined family oortraits
in different historical erasto seehow sender re-
lations within the family are reflected in seating
patterns. Urban anthropologists have examined
the contents of garbagedumps to learn about
life-styles from what is thrown away (e.g.,liquor
bottles indicate level of alcohol consumpti;n).
Based on garbage, people underreport their
Fosterand colleagues (l 99S) examined the tomb_
stonesin I 0 cemeteries in an areaof lllinoisfor the
periodfrom 'l 830 to 'l 989. Thevretrieved dataon
birthand deathdatesandgenderfrom over2,000
of the 2,028 burials.The researchers learnedthe
areadifferedfrom somenationaltrends.Thevfound
that conceptions hadtwo peaks(springandwinter),
femalesaged'l 0 to 64 hada higherdeathratethan
males,andyoungerpeopledied in latesummerbut
olderpeoplein latewinter.
226 PART TWO , / CO NDUCTI NC Q UANTI TATI V ER E S E A R C H
Iiquor consumptionby 40 to 60 percent(Rathje
andMurphy, 1992:7l). Researchers havestudied
the listenlnghabitsof driversby checkingwhat
stationstheir radiosare tuned to when carsare
repaired.They havemeasuredinterestin differ-
ent exhibitsby noting worn tiles on the floor in
differentparts of a museum.They havestudied
differencesin graffiti in maleversusfemalehigh
schoolrestroomsto show genderdifferencesin
themes.Somehaveexaminedhigh schoolyear-
books to comparethe high schoolactivitiesof
PhysicalTraces
Erosion: Wear suggestsgreateruse.
Example: A researcherexamines toys at a
children's
day care that were purchasedat the sametime'
Worn-outtoys suggestgreaterinterestby the chil-
dren.
of physicalevidencesug-
Accretion; Accumulation
gestsbehavior.
examines
E arptet A researcher the brandsof alu-
minumbeveragecans in trash or recyclingbins in
male and femaledormitories.This indicatesthe
brandsand typesofbeveragesfavoredby eachsex'
Archives
Running Records: Regularly produced public
recordsmayrevealmuch.
Example: A researcher examinesmarriagerecords
for the brideand groom'sages.Regionaldifferences
suggest that the preferencefor males marrying
y*g", femalesis greater in certainareasof the
country.
OtherRecords: lrregularor privaterecordscan re-
veala lot.
thosewho had psychologicalproblemsin latter
Iife versusthosJwho did not. (AlsoseeBox 9'2')
Recording and Documentation
Creatingnonreactivemeasuresfollowsthe logic
of quaniitativemeasurement.A researcherfirst
conceptualizes a construct,then links the con-
structlo nonreactiveempiricalevidence,which
is its measure.The operationaldefinition of the
variableincludeshow the researchersystemati-
callynotesand recordsobservations'
Example: A researcher findsthe numberof reamsof
.l
paperpurchased by a collegedean'sofficefor 0 years
whenstudentenrollmentwasstable'A sizableincrease
suggeststhat bureaucratic paperworkhasincreased'
Observation
ExtemalAppearance: How peopleapPearmayindi-
cate socialfactors.
Example: A researcherwatchesstudents to see
whetherthey are more likelyto weartheir school's
colorsandsymbolsafterthe schoolteamwonor lost'
CountBehaviors: Countinghow many peopledo
somethingcanbe informative.
Example: A researcher countsthe numberof men
and womenwho come a full stop and those who
to
cometo a rollingstop at a stop sign'This suggests
genderdifferencein drivingbehavior'
TimeDuration: How long peopletake to do things
mayindicatetheir attention.
measures how longmenand
Exinple: A researcher
the painting of a nudeman
womenpausein front of
paintingof a nudewoman' TimemaY
andin front of a
or interestin same or cross-
indicateembarrassment
sexnudity bY each sex.
 CHAPTE R9 , / NO NREACTI VERESEAR C H
Becausenonreactivemeasuresindicate a
constructindirectly,the researcher needsto rule
out reasonsfor the observationother than the
constructof interest.For example,a researcher
wantsto measurecustomerwalking traffic in a
store.The researcher's measureis dirt and wear
on floor tiles. He or shefirst clarifieswhat the
customertraffic means(e.g.,Is the floor a path
to anotherdepartment?Doesit indicatea good
locationfor a visualdisplay?)Next,he or shJsys-
tematicallymeasuresdirt or wear on the tiles.
comparesit to that in other locations,and
recordsresultson a regularbasis(e.g.,every
month). Finally,the researcherrules out other
reasonsfor the observations(e.g.,the floor tile is
of lower quality and wearsfaster,or the location
is nearan outsideentrance).
CONTENT ANATYSIS
What ls Content Analysis?
Content analysisis a techniquefor gatheringand
analyzingthecontentof text. The contentlefers
to words, meanings,pictures,symbols,ideas,
themes,or any message that can be communi_
cated. The text is anything written, visual, or
spokenthat servesasa medium for communica_
tion. It includesbooks,newspaperandmagazine
articles;advertisements, speeches, official docu-
ments,films andvideotapes, musicallyrics,pho_
tographs,articlesof clothing,and works of art.
The content analysisresearcherusesobjec-
tive and systematiccountingand recordingpro-
ceduresto producea quantitativedescriptionof
the symboliccontent in a text.2There are also
qualitative or interpretive versionsof content
analysis,but in this chapterthe emphasisis on
quantitativedataabouta text'scontent.
Contentanalysisis nonreactivebecausethe
processof placingwords, messages, or syrnbols
in a text to communicateto a readeror receiver
occurswithout influencefrom the researcher
who anallzesits content.For example,I, asau-
A N D S E C O N D A R YA N A L Y S I S 227
thor of this book, wrote words and drew dia_
gramsto communicateresearchmethodscon_
tent to you, the student.The way the book was
written and the way you readit arewithout any
knowledgeor intention of its everbeingcontent
analyzed.
Contentanalysisletsa researcher revealthe
content (i.e., messages, meanings,etc.) in a
sourceof communication (i.e., a book, article,
movie, etc.). It lets him or her probe into and
discoyercontentin a differentway from the or_
dinaryway of readinga book or watchinga tele_
vrsronprogram.
With content analysis,a researchercan
comparecontentacrossmany textsand analyze
it with quantitativetechniques(e.g.,chartsand
tables).In addition, he or shecanievealaspects
of the text's contentthat aredifficult to see.l.or
example,you might watch televisioncommer_
cialsand feel that non-Whites rurely appearin
commercialsfor expensiv. .orrsrrm", goods
(e.g.,luxury cars,furs, jewelry perfumefetc.).
Content analysiscan document-in obiective.
quantitativeterms-whether your vaguefeel_
ings basedon unsystematicobservaiionare
true. It yields repeatable,preciseresultsabout
the text.
Content analysis involves random sam_
pling,precisemeasurement, andoperational
-Coding de_
finitions for abstractconstructs. turns
aspectsof content that representvariablis into
numbers. After a content analysisresearcher
gathersthe data,he or sheanalyzesthem with
statisticsin the sameway that an experimenter
or surveyresearcher would.
Topics Appropriate for
Content Analysis
Researchershaveusedcontentanalysisfor many
purposes:to studythemesin popular songsand
religioussymbolsin hgnns, trendsin theiopics
that newspaperscoverand the ideologicaltone
of newspapereditorials,sex-rolestereltypesin
textbooksor featurefilms, how often peopleof
2 28 pA RTT wo / c o N D u c rl N c QU A N T l rArl vER E S E A R cH
differentracesappearin televisioncommercials
and programs,answersto open-endedsurvey
questions,enemypropagandaduring wartime,
the coversof popular magazines,personality
characteristics from suicidenotes,themesin ad-
vertisingmessages, genderdifferencesin conver-
sations,and so on.
Generalizations that researchers make on
the basisof content analysisare limited to the
cultural communicationitself.Content analysis
cannot determinethe truthfulnessof an asser-
tion or evaluatethe aestheticqualitiesof litera-
ture. It revealsthe content in text but cannot
interpretthe content'ssignificance.Researchers
shouldexaminethe text directly.
Content analysisis usefulfor threetypesof
researchproblems.First, it is helpfirl for prob-
lems involving a large volume of text. A re-
searchercanmeasurelargeamountsof text (e.g.,
yearsof newspaperarticles)with samplingand
multiple coders.Second,it is helpful when a
topic must be studied"at a distance."For exam-
ple,contentanalysiscanbe usedto studyhistor-
ical documents,the writings of someonewho
hasdied,or broadcasts in a hostileforeigncoun-
try. Finally,contentanalysiscanrevealmessages
in a text that are difficult to seewith casualob-
servation.The creatorof the text or thosewho
readit may not be awareof all its themes,biases,
or characteristics.For example,authors of
preschoolpicture books may not consciously
intend to portray childrenin traditional stereo-
typed sexroles,but a high degreeofsex stereo-
typing has been revealed through content
analysis.3
Measurement and Coding
General Issues. Carefirl measurementis cru-
cial in content analysisbecausea researcher
convertsdiffrrseand murky symboliccommuni-
cation into precise,objective,quantitativedata.
He or shecarefullydesignsand documentspro-
ceduresfor codingto makereplicationpossible.
The researcheroperationalizesconstructsin
content analysiswith a coding system.A coding
systemis a setof instructionsor ruleson how to
systematically observeand recordcontentfrom
text.A researcher tailorsit to the specifictype of
text or communicationmedium being studied
(e.g.,televisiondrama,novels,photosin maga-
zine advertisements, etc.). The coding system
alsodependson the researcher's unit of analysis.
For example,in the studyby Lauzenand Dozier
(2005)on genderstereotFpes in the most poprr-
lar U.S.films in 2002 (discussedin Chapter4),
the authorsdevelopeda codingsystembasedon
prior studiesof prime-timetelevisionshowsand
film.
Units. The unit of analysiscanvarya greatdeal
in contentanalysis.It canbe a word, a phrase,a
theme,a plot, a newspaperarticle, a character,
and so forth. In additionto units of analysis,re-
searchers useotherunits in contentanalysisthat
may or may not be the sameasunits of analysis:
recordingunits, contextunits, and enumeration
units.Therearefewdifferences amongthem,and
they are easilyconfused,but eachhaga distinct
role.In simpleprojects,all threearethe same.
What Is Measured? Measurementin content
analysisusesstructuredobservation: systematic,
carefirlobservationbasedon written rules.The
rules explain how to categoize and classifyob-
servations.As with other measurement,cate-
gories should be mutually exclusive and
exhaustive.Written rulesmakereplicationpos-
sible and improve reliability. Although re-
searchersbegin with preliminary coding rules,
they often conducta pilot studyand refinecod-
ing on the basisof it.
Codingsystemsidentifr four characteristics
of text content: frequency,direction; intensity,
and space.A researcher measuresfrom oneto all
four characteristicsin a contentanalysisresearch
project.
Frequency. Frequencysimply meanscounting
whether or not somethingoccursand, if it oc-
curs,how often.For example,how many elderly
peopleappearon a televisionprogramwithin a
 CHAPTER9 , / NO NREACTI VERESEARC H
given week? What percentage of all characters
are they, or in what percentage of programs do
they appear?
Direction. Direction is noting the direction of
messagesin the content along some continuum
(e.g., positive or negative, supporting or op-
posed). For example, a researcherdevisesa list of
ways an elderly television character can act.
Some are positive (e.g., friendly, wise, consider-
ate) and some are negative (e.g., nasty, dull,
selfish).
Intensity. Intensity is the strength or power of a
messagein a direction. For example, the charac-
teristic of forgetfulness can be minor (e.g., not
remembering to take your keys when leaving
home, taking time to recall the name of someone
you have not seen in years) or major (e.g., not
remembering your name, not recognizing your
children).
Space. A researchercan record the sizeof a text
messageor the amount of spaceor volume allo-
cated to it. Spacein written text is measured by
counting words, sentences,paragraphs, or space
on a page (e.g.,squareinches).For video or au-
dio text, space can be measured by the amount
of time allocated. For example, a TV character
may be present for a few secondsor continu-
ously in every sceneof a two-hour program.
Coding, Validity, and Reliability
Manifest Coiling. Coding the visible, surface
content in a text is calTedmanifestcoding. For ex-
ample, a researchercounts the number of times
a phrase or word (e.g., red) appears in written
text, or whether,a specific action (e.g.,a kiss) ap-
pears in a photograph or yideo scene.The coa-
ing system lists terms or actions that are then
located in text. A researchercan use a computer
program to search for words or phrases in text
and have a computer do the counting work. To
do this, he or shelearns about the computer pro-
gram, develops a comprehensive list of relevant
A N D S E C O N D A R YA N A L Y S I S 229
words or phrases, and puts the text into a form
that computers can read.4
Manifest coding is highly reliable because
the phrase or word either is or is not present.
Unfortunately, manifest coding does not take
the connotations of words or phrases into ac-
count. The same word can take on different
meanings depending on the context. The possi-
bilitythat there are multiple meanings of aword
limits the measurement validity of manifest
coding.
For example, I read a book with a red cover
that is a real red herring. Unfortunately, its pub-
lisher drowned in red ink because the editor
could not deal with the redtapethatoccurs when
a book is redhot. The book has a story about a
red fire truckthat stops at redlights only after the
leavesturn red.Thereis also a group of Redswho
carry red flags to the little red schoolhouse. They
are opposed by red-blooded redneckswho eatred
meat and honor the red, white, and blue. The
main character is a red-nosed matador who fights
redfoxes,not bulls, with his redcape. Red-lipped
little Red Riding Hood is also in the book. She
develops red eyesand becomes red-faced. after
eating a lot of redpeppets in the redhghtdistrict.
She is given a redbackside by her angry mother,
aredhead.
In the study of gender stereot)?es in films in
2002, Lauzen and Dozier (2005) largely used
manifest coding. Coders coded eachcharacter in
a film as male or female, the estimated age of
each character in one of7 categories,the occu-
pation ofeach character, and whether a charac-
ter was formally appointed to provide guidance
or direction in a group or informally emgered in
su-cha function.
Latent Coiling. A researcher asing latent cod-
ing (also called semantic analysis) looks for the
underlying, implicit meaning in the content of a
text. For example, a researcher reads an entire
paragraph and decideswhether it contains erotic
themes or a romantic mood. The researcher's
coding system has general rules to guide his or
her interpretation of the text and for determin-
2 3O pA RTT wo / c o N D U c rtN G e u A N T trA TtvER E S E A R cH
ing whether particular themesor moods are
present.
Latent codingtendsto be lessreliablethan
manifestcoding.It dependson a coder'sknowl-
edgeof languageand socialmeaning.sTraining,
practice,and written rules improve reliabiliry
but still it is difficult to consistentlyidentify
themes,moods,and the like. Yet, the validity of
latentcodingcanexceedthat of manifestcoding
becausepeoplecommunicatemeaningin many
implicit waysthat dependon context,not just in
specificwords.
A researchercan useboth manifestand Ia-
tent coding.Ifthe two approachesagree,the fi-
nal result is strengthened;if they disagree,the
researchermay want to reexaminethe opera-
tional and theoreticaldefinitions.
IntercoderReliability. Content analysisoften
involvescoding information from a very large
number of units. A researchproject might in-
volveobservingthe contentin dozensof books,
hundredsof hours of televisionprogramming,
or thousandsof newspaperarticles.In addition
to coding the information personally,a re-
searchermayhire assistants to helpwith the cod-
ing. He or sheteachescodersthe codingsystem
and trains them to fill out a recordingsheet.
Codersshouldunderstandthe variables,follow
the codingsystem,and askabout ambiguities.A
researcher recordsall decisionshe or shemakes
about how to treat a new specificcoding situa-
tion after codingbeginsso that he or shecanbe
consistent.
A researcherwho usesseveralcodersmust
alwayscheckfor consistencyacrosscoders.He
or she doesthis by askingcodersto codethe
sametext independentlyand then checkingfor
consistenryacrosscoders.The researchermea-
suresintercoderreliabilitywith a statisticalcoef-
ficientthat tellsthe degreeof consistencyamong
coders.The coefficientis alwaysreportedwith
the resultsofcontent analysisresearch. Thereare
severalintercoderreliabilitymeasures that range
from 0 to 1, with 1.0 signifying perfect agree-
ment among coders.An interreliability coeffi-
cent of.80 or better is generallyrequired,al-
though.70maybe acceptable for exploratoryre-
search.When the codingprocessstretchesovera
considerabletime period (e.g.,more than three
months),the researcher alsochecksreliabilityby
having eachcoderindependentlycodesamples
of text that were previouslycoded.He or she
then checksto seelghetherthe codingis stableor
changing.For example,six hours of television
episodesare codedin April and codedagainin
)uly without the coderslooking at their original
codingdecisions.Largedeviationsin codingne-
cessitate retrainingand codingthe text a second
time.
In the studyof the 100most popularU.S.
films of 2002byLauzenandDozier(2005),three
graduatestudentsworked ascoders.During an
initial training period they studied the coding
systemandvariabledefinitions.Next,the coders
practicedby codingindependentof.oneanother
severalfilms that were not in the study then
comparingand discussingresults.For codingof
study films, 10 percentof all films were double
codedto calculateintercoderreliability mea-
sures.Intercorderreliability measureswere cal-
culatedfor eachvariable.For the genderof the
major characterin the film it was.99,for occu-
pation of the chactersit was.91,and for the age
of charactersit was.88.
ContentAnnlysiswithVisual Material. Using
content analysisto study visual "text," such as
photographs, paintings, statues, buildings,
clothing,andvideosand film, is difficult. It com-
municatesmessages or emotionalcontent indi-
rectlythrough images,qrnbols, and metaphors
Moreover,visual imagesoften contain mixed
messages at multiple levelsof meaning.
To conductcontent analysison visualtext,
the researchermust "read" the meaning(s
within visualtext. He or shemust interpretsigns
and discoverthe meaningsattachedto syrnbolic
images.Such"reading" is not mechanical(i.e.,
imageX alwaysmeansG); it dependsheavilyon
the cultural contextbecausethe meaningof an
imageis culturebound. For example,a red light
 9 / N ON R EA C T IVREES EA R CAHN D S E C ON D A RAYN A LY S IS
CHA P T ER
does not inevitablymean "stop"; it means "stop"
onlyln cultures where people have given it that
meaning. People construct cultural meanings
that they attach to syrnbolic images, and the
meanings can changeover time. Some meanings
are clearer and more firmly attached to s).rnbols
and imagesthan others.
Most people share a common meaning for
key symbols of the dominant culture, but some
people mayread a qnnbol differently. For exam-
ple, one group of people may "read" a national
flag to mean patriotism, duty to nation, and
honor of tradition. For others, the same flag
evokes fear, and they read it to indicate govern-
ment oppression, abuse of power, and military
aggressio4.A researcherpursuing the content
analysisof imagesneedsto be aware of divergent
readings of symbols for people in different
situations or who may have diverse beliefs and
experiences.
Sociopolitical groups may invent or con-
struct new symbols with attached meanings
(e.g., a pink triangle came to mean gay pride).
They may wrestle for control of the meaning of
major existing symbols. For example, some peo-
ple want to assigna Christian religious meaning
to the Christmas tree; others want it to represent
a celebration of tradition and familyvalues with-
out specific religious conten| others seeits ori-
gins as an anti-Christian pagan symbol; and still
others want it to mean a festive holiday season
for commercial reasons. Becauseimages have
symbolic content with complex, multilayer
meaning, researchersoften combine qualitative
judgments about the images with quantitative
data in content analysis.
For example, Chavez (2001) conducted a
content analysisof the coversof major U.S. mag-
azines that dealt with the issue of immigration
into the United States.Looking at the covers of
10 magazinesfrom the mid-1970s to the mid-
1990s,he classified the covers as having one of
three major messages:affirmative, alarmist, or
neutral or balanced. Beyond his classification
and identifring trends in messages,he noted
how the mix of people (i.e., race, gender, age,
23I
and dress) in the photographs and the recurrent
use of major syrnbols, such as the Statute of Lib-
efty or the U.S. flag, communicated messages.
Chavez argued that magazine covers are a
site, or location, where cultural meaning is cre-
ated. Visual images on magazine covers have
multiple levels of meaning, and viewers con-
struct specific meanings as they read the image
and use their cultural knowledge. Collectively,
the covers convey a worldview and expressmes-
sagesabout a nation and its people. For example,
a magazine cover that displayed the icon of the
Statute of Liberty as strong and full of compas-
sion (message:welcome immigrants) was altered
to have strong Asian facial features (message:
Asian immigrants distorted the national culture
and altered the nation's racial make-up), or
holding a large stop sign (message:go away im-
migrants). Chavez (2001: a$ observedthat "im-
ages on magazines both refer to, and in the
process,help to structure and construct contem-
porary'American' identity." (SeeBox 9.3 for an-
other content analysisexample.)
How to Conduct Content Analysis
Research
QuestionFormulntion As in most research,
content analysisresearchers begin with a re-
searchquestion.When the questioninvolves
variablesthat are messages or syrnbols,content
analysismay be appropriate.For example,I
want to study how newspapers covera political
campaign.My construct"coverage"includesthe
amountof coverage, the prominenceof the cov-
erage,and whetherthe coveragefavorsone can-
didateoveranother.I could surveypeopleabout
what theythink of the newspapercoverage, but a
better strategyis to examinethe newspapers di-
rectlyusingcontentanalysis.
Units of Analysis. A researcher decideson the
units of analysis(i.e.,the amount of text that is
assigneda code).For example,for a political
campaign,eachissue(or day) of a newspaperis
the unit of analysis.
232 PART TWO / CO NDUCTI NG Q UANTI TA T I V ER E S E A R C H
Two studiesthat examinedrace-ethnicityand ad-
vertisingin the UnitedStatesillustratehow content
analysisis conducted.Mastro and Stern (2003)
wantedto seewhethertelevisionadvertisingrepre-
sents major racial-ethnicgroups proportionateto
their presencein U.S.society.Theyexamined a one-
week randomsampleof prime-timetelevisionpro-
grammingfor sixU.S.televisionnetworks(ABC,CBs,
NBC,Fox,UPN,and WB) drawnfrom a three-week
periodin February2001. Primetime was Monday
.l
throughSaturday8:00 p.v.to 1:00 p.v.ESTand
Sunday7:OO-11:00 e.r'a. Fourundergraduate stu-
dentsweretrainedascoders.Theyusedtwo unitsof
analysis:a commercial (excluding localcommercials,
politicaladvertisements, and trailersfor upcoming
programs)and the first three speakingcharactersin
a commercial. Variables includedproducttype based
on a 3O-productcodingscheme,setting(e.g.,work,
outdoors),relationto product (e.g.,endorse,use,
neitheror both), job authority,familystatus,social
authority,sexualgazing,andaffectivestate(e.g.,cry,
showanger,laugh).Other variables includedrespect
shownfor a character,character's age,and affability
(friendlyor hostile).The study coded 2,880 com-
mercialswith 2,3 1 5 speakingcharacters, among
whom2,290 had a race-ethnicityidentified.Data
analysisfoundthat AfricanAmericancharacters were
most often shownadvertisingfinancialservices(1 9
percent)or food (.17 percent),Asianswereassoci-
ated with technologyproducts (30 percent),and
Latinoswere shownsellingsoap (40 percent).In
general,Whiteswereslightlyoverrepresented, Blacks
equallyrepresented, but Asians,Latinos,and Native
Americans underrepresented. For example, Latinos
.l
are l2 percentof the populationbut had percent
of speakingparts, and were usuallyscantlyclad
young peoplewith noticeableaccents.The authors
saidthat AfricanAmericans appearin commercials in
a way that approximates their proportionin the
UnitedStates,but other racialminoritiesare under-
represented or limitedto specificproducts.
In anotherstudy,Mastroand Atkin (2002) ex-
aminedwhetheralcohol advertisingto promote
brandsand makedrinkingappearglamorousinflu-
encedhigh schoolstudentswho are too young to
drink legally.They lookedat alcoholsignsand bill-
boardsin a Mexican-American Chicagoneighbor
hood.Theyfirst photographed alloutdoorbillboard
and signsconcerning alcoholin the neighborhoo
overa two-dayperiodin March'l 999. After a period
ofcodertraining,two femalegraduatestudentscon-
tent-analyzed the photographs, codingthe following
variables:product type, product name,numberof
humanmodels,and the race,age,genderof each
model.More subjective-latent aspectsof models
codedincludedattractiveness, sexiness,stylishnes
friendliness,andactivitylevel.In addition,placemen
of productsand colorsin the billboardwerecoded.
Codersalso classifiedan overalltheme of the bill-
board as romance,individuality,relaxation,sports,
adventure, or tradition.Next,a questionnaire wasde-
velopedfor studentsat a high schoolin the neigh-
borhoodwhere89 percentof the studentswere
MexicanAmerican.Studentsin grades1 0, 1 1, and
.l
2 wereaskedto volunteerto completethe survey
.l
acrossa three-dayperiod and 23 completedit.
Questionnaireitems askedabout attention, expo-
sure,recall,and brandexposureto the outdoorsigns
andbillboards aswellasdrinkingintention,approva
of underagedrinking,and pro-drinkingbeliefs.Re-
sultsshowedthat a student'srecallof billboardim-
agesdid not affect his or her drinkingattitudes
However,brandexposureand acceptingthe themes
in the billboardswere associatedwith greaterap-
provalof underagedrinking.The generalimpacton
the studentswas presentbut not strong.The arr-
thors suggestedthat the weakimpactwas because
there werefew MexicanAmericanmodelsand the
modelswere older.Also,surveymeasuresof family
beliefssuggestedthat the influenceofthe student's
familyandculturemayhaveweakened the billboard's
impacton pro-drinkingattitudes.
 CHAPTER9 / A N D S E C O N D A R YA N A L Y S I S
NO NREACTI VERESEARC H 233

Sampling. Researchers oftenuserandomsam- keep track of my sampling procedure. SeeTable

pling in content analysis.First, they define the 9.1 for a sampling frame worksheet in which
population and the samplingelement.For ex- 1,398sample articles are randomlyselected from
ample,the population might be all words, all 140,40I articles.
sentences, all paragraphs, or all articlesin certain
typesof documentsovera specifiedtime period. Variables and Constructing Coding Categories.
Likewise.it could includeeachconversation,sit- In my example, I am interested in the construct
uation,scene,or episodeofcertaintypesoftele- of an African American or Hispanic American
vision programsover a specifiedtime period. woman portrayed in a significant leadership
For example,I want to know how women and role. I must define "significant leadership role"
minorities are portrayed in U.S. weekly news- in operational terms and express it as written
magazines. My unit of analysisis the article.My rules for classifring people named in an article.
population includesall articlespublishedin For example, if an article discussesthe achieve-
Time, Newsweek,and U.S.Newsand World Re- ments of someone who is now dead, does the
portbetween1985and 2005.I firstverifrthat the dead person have a significant role? What is a
three magazineswere publishedin thoseyears significant role-a local Girl Scout leader or a
and definepreciselywhat is meantby an "arti- corporate president?
cle." For instance,do film reviewscount asarti- I must also determine the race and sex of
cles?Is therea minimum size(two sentences) for people named in the articles. What if the race
an article? a Is multipart article counted as one and sex are not evident in the text or accompa-
or two articles? nyingphotographs? Howdo I decide on the per-
Second,I examinethe threemagazinesand son's raceand sex?
find that the averageissueof eachcontains45 BecauseI am interested in positive leader-
articlesand that the magazinesarepublished52 ship roles, my measure indicates whether the
weeksper year.With a 2}-yeartime frame,my role was positive or negative. I can do this with
population containsover 140,000articles(3 X either latent or manifest coding. With manifest
45 x 52 X 20 = 140,400). My samplingframeis coding, I create a list ofadjectives and phrases.If
Next,
a list of all the articles. I decideon the sam- someone in a sampled article is referred to with
ple sizeand design.After looking at my budget one of the adjectives, then the direction is de-
and time, I decideto limit the sample sizeto cided. For example, the terms brilliant and top
1,400articles.Thus,the sampling ratio is 1 per- performer arepositive, whereas drugkingpin and
cent.I alsochoosea sampling design. I avoid sys- uninspired are negative. For latent coding, I cre-
tematic samplingbecause rnagazrne issues are ate rules to guide judgments. For example, I clas-
published cyclicallyaccording to the calendar sify stories about a diplomat resolving a difRcult
(e.g.,an intervalofevery52ndissueresultsin the world crisis, abusiness executiveunable to make
sameweekeachyear).Because issuesfrom each a firm profitable, or a lawyer winning a caseinto
magazineare important, I use stratified sam- positive or negative terms. (Relevant questions
pling. I stratif'by magazine, sampling I,40013= for coding each article are in Box 9.4.)
467 articlesfrom each.I want to ensure that ar- In addition to written rules for coding deci-
ticlesrepresenteachof the 20 years, so I also sions, a content analysis researcher creates a
stratifyby year.This results in about 23 articles recordingsheef(also called a codingform or tally
per magazineper year. sheet)on which to record information (seeBox
Finally, I draw the random sampleusing a 9.5). Each unit should have a separaterecording
random-numbertableto select23 numbersfor sheet.The sheetsdo not have to be piecesofpa-
the 23 samplearticlesfor eachmagazineforeach per; they can be 3" x 5'' or 4'' X 6" file cards,
year.I developa samplingframe worksheetto or lines in a computer record or file. When a lot
234 PART T W O , / CO NDUCTI NC Q UANTIT A T I V ER E S E A R C H

TABLE 9.1 ExcerptfromSamplingFrameWorksheet

Time 1-7,1985
January pP.2-3 000001 No
Time p. 4, bottom 000002 No
Time p. 4, top 000003 Yes- 1 0001
a

Time March'f
-7,zOOs p p .2-5 002101 Y es-l 0 0454
Time p. 5, right 002102 No
c o l u mn
Time p . 6 ,l eft 002103 No
column
Tine p .7 002't04 No
o

Time De c e mb e2r4 -3 1 , 2 0 0 5 pp.4-5 002201 Yes-22 0467

Time p.5,bottom oo2202 No
Time p. 5, top oo2203 Y es-23 0468
Newsweek 1 -7 ,1 9 8 5
J a n u a ry pP.1-2 0 10 0 3 0 No
Newsweek p.3 0 10 0 3 r Yes- l 0469
a

U.5. News De c e mb e2r5 -3 1 , 2 0 0 5 p .6 2 1 40401 Y es-23 1389

*"Yes"
meansthe numberwaschosenfrom a randomnumbertable.The numberafterthe dashis a countofthe numberof
articlesselectedfor a year.

Mqgazine

Characteristicsof the article.What is the maga- roles.For each significantpersonin

zine?What is the date of the article?How large
is the article?What was its topic area?Where
did it appearin the issue?Were photographs
used?
2. Peoplein thearticle.How manypeopleare named
in the article?Of these,howmanyaresignificant
in the article?What is the raceand sexof each
personnamed?
3. Leadership
the article,whichoneshaveleadership roles?
What is the field of leadershipor professionof
the person?
4. Positiveor negativeroles.For each leadershipor
professional role, rate how positivelyor nega-
tivelylt is shown.Forexample,5 : highlyposi-
tive,4 = positive,3 : neutral,2 : negative,1 =
highlynegative,0 = ambiguous.
 CHAPTER9 , / NO NREACTI V ER E S E A R C H
A N D S E C O N D A R YA N A L Y S I S 235

Blank Example
ProfessorNeuman,SociologyDepartment
Coder:
Minority/MajorityCroup Representation project
in Newsmagazines
ARTICLE
#_ MACAZTNE: DATE: SIZE:_ col.in.
Totalnumberof peoplenamed_ Numberof Photos
No. peoplewith significant
roles:_ ArticleTopic:
Person_: Race:_ Cender:_ Leader?:_ Field?_ Rating:_
Person_: Race:_ Gender:_ Leader?:_ Field?_ Rating:_
Person_: Race:_ Cender:_ Leader?:_ Field?_ Rating:_
Person_: Race:_ Cender:_ Leader?:_ Field?_ Rating:_
Pe r s on' : Rac e :_ C e n d e r:_ Leader?:_ Field?_ Rating:_
Person_: Race:_ Cender:_ Leader?: Field?_ Rating:_
Person_: Race:_ Gender:_ Leader?:_ Field?_ Rating:_
Person_: Race:_ Cender:_ Leader?:_ Field?_ Rating:_

Exampleof Completed RecordingSheetfor One Article

ProfessorNeuman,SociologyDepartment
Coder:SusanJ.
Minority/Majoritycroup Representation project
in Newsmagazines
ARTICLE
# 0454 MA C A Z IN ET:i me D A TEMarch
: 1-2,2005 S IZE 14
: col .i n.
Totalnumberofpeoplenamed5 Numberof Photos0
No. peoplewith significantroles:4 ArticleTopic:ForeignAffairs
Person | : Race:White Cender: M Leader?: y Field?Banking Rating: 5
Person 2 : Race:White Cender: M Leader?: N Field?Government Rating:NA
Person 3 : Race:Black Cender: F Leader?:y Field?CivilRiehts Rating: 2
Person 4 : Race:White Cender: F Leader?:y Field?1Qgygryngql Rating: 0
Person_: Race:
_ Cender:_ Leader?: Field?_
_ Rating:
_
Person_: Race:
_ Cender: Leader?: Field?_
_ _ Rating:
_
Person_: Race:_ Cender:_ Leader?: Field?
_ Rating:_
Person_: Race:_ Cender: Leader?: Field? Rating:

of information is recorded for each recording
unit, more than one sheetof paper can be used.
When planning a project, researcherscalculate
the work required. For example, during my pi-
lot-test, I find that it takes an averageof tS min_
utesto read and codean article.This doesnot
include samplingor locating magazinearticles.
With approximately1,400articles,that is 350
hours of coding,not countingtime to verifi. the
accnracyof coding.Because350 hours is atout
236 P A Rr r wo
/ c o N D U c rl N c QU A N T ITA TIvE
nineweeksof nonstopwork at 40 hours a week,
I shouldconsiderhiring assistantsascoders.
Eachrecordingsheethas a placeto record
the identificationnumber of the unit and spaces
for information about eachvariable.I alsoput
identi$ringinformation aboutthe researchpro-
ject on the sheetin caseI misplaceit or it looks
similar to other sheetsI have.Finally, if I use
multiple coders,the sheetremindsthe coderto
check intercoder reliability and, if necessary,
makesit possibleto recodeinformation for in-
accuratecoders.After completingall recording
sheetsand checkingfor accuracy,I can begin
dataanalysis.
lnferences
The inferencesa researchercan or cannotmake
on the basisofresultsis criticalin contentanaly-
sis.Contentanalysisdescribes what is in the text.
It cannot reveal the intentions of thosewho cre-
atedthe text or the effectsthat messages in the
text have on those who receive them. For exam-
ple,contentanalysisshowsthat children'sbooks
containsexstereotFpes. That doesnot necessar-
ily mean that children's beliefsor behaviorsare
influenced by the stereotypes; suchan inference
requires a separate research projecton how chil-
dren's perceptions develop.
EXISTING STATISTICS/
DOCUMENTS AND SECONDARY
ANALYSIS
Appropriate Topics
Many tlpes of information about the social
world havebeen collectedand are availableto
the researcher. Someinformation is in the form
documents
of statistical (books,reports,etc')
that contain numerical information' Other in-
formation is in the form of publishedcompila-
tions available in a library or on computerized
records.In eithercase,the researcher cansearch
through collections of information with a re-
R E S E A R cH
searchquestionand variablesin mind,.andthen
reassemble the information in new waysto ad-
dressthe research question.
It is difficult to specifrtopicsthat areappro-
priatefor existingstatisticsresearch because they
are so varied.Any topic on which information
hasbeen collectedand is publicly availablecan
be studied.In fact, existingstatisticsprojects
may not fit neatlyinto a deductivemodel of re-
searchdesign.Rather,researchers creativelyr9-
organize the existing information into the
louiiubl"rfor a researchquestionafter first find-
ing what dataareavailable. i
"
E*p.ri-ents arebestfor topicswherethe re-
searchercontrolsa situationand manipulatesan
independentvariable.Surveyresearchis bestfor
topics where the researcherask questionsand
learnsaboutreportedattitudesorbehavior.Con-
tent analysisis best for topics that involve the
contentof messages in culturalcommunication.
Existingstatisticsresearchis bestfor topics
that involve information routinely collectedby
largebureaucraticorganizations. Public or pri-
vate organizationssystematicallygather many
typesof information. Suchinformation is gath-
eredfor policy decisionsor asa public service.It
is rarelycollectedfor purposesdirectlyrelatedto
a specificresearchquestion.Thus, existingsta-
tisticsresearchis appropriatewhen a researcher
wantsto test hypothesesinvolving variablesthat
are also in official reports of social,economic,
and political conditions.Theseinclude descrip-
tions of organizationsor the peoplein them. Of-
ten, suchinformation is collectedoverlong time
periods.For example,existingstatisticscan be
usedby a researcherwho wantsto seewhether
unemploymentand crimeratesareassociated in
150citiesacrossa 2}-yeatperiod'
Downey (2005)conductedan existingsta-
tistics study on racial inequality (BlackAVhite)
and living near a toxic pollution sitein Detroit.
He usedcensusdataon the population/housing
and manufacturingdirectoriesof manufactur-
ing facilities.He alsoidentifiedhighly polluting
industriesand usedthe EnvironmentalProtec-
tion Agency'sinventory of toxic chemicals.His
 CHAPTER9 , / NO NREACTI V ER E S E A R C H
A N D S E C O N D A R YA N A L Y S I S 237

unit of analysiswas the censustract. Downey
testedcompetingmodels of environmentalin-
equalitp (1) racistsiting poliry: toxic siteswere
placedin Black residentialareas,(2) economic
inequality:low-incomepeoplewho are dispro-
portionatelyBlackmove into areasnear toxic
sitesbecausethey find low-cost housingthere,
and (3) residentialsegregation: Whites move
into specificareasand keepout non-Whites.He
found greatestsupport for the residentialsegre-
gation model. Paradoxically,it meant that
Blackswerelesslikely thanWhitesto live closeto
a toxic pollution site. This was becauseWhites
had obtainedhousing near the factorieswhere
they worked and kept Blacksfrom moving in
but those factorieswere the maior sourcei of
toxic pqllution.
health and nutrition, public safety,education
and training, worh income,cultureand leisure,
socialmobilig, and public parricipation.
A more specificexampleof a socialindica_
tor is the FBI'suniform crime index.It indicates
the amount of crime in U.S.society.Socialindi-
catorscanmeasurenegativeaspectsof sociallife,
suchasthe infant mortality rate (the deathrate
of infants during the first year of life) or alco-
holism, or they can indicatepositive aspects,
such as job satisfactionor the percentae of
housingunits with indoor plumbing. Socialin_
dicatorsoften inyolve implicit valuejudgments
(e.g.,which crimes are seriousor what consti-
tutesa good quality of life).
Locating Data

Social Indicators LocatingExistingstatistics. The main sources

of existingstatisticsare goyernmentor interna_
During the 1960s,somesocialscientists,dissatis- tional agenciesand private sources.An enor-
fied with the information availableto decision mous volume and varietyof information
exists.
makers,spawnedthe "social indicators,move- If you plan to conduct existingstatisticsre-
rment"to developindicatorsof socialwell-being. search,it is
wiseto discussyour interestswith an
Many hopedthat information aboutsocialweli- information professional-in this case,a refer_
beingcould be combinedwith widelyusedindi- encelibrarian, who can point you in the direc_
cators of economicperformancei..g., gross tion of possiblesources.
nationalproduct) to better inform government Many existingdocument5nrs ..frss,'_1fin1
and other policymaking officials. Thus, re- is, publicly availableat libraries-but the time
searchers wantedto measurethe qualityof social and effort it takesto searchfor specificinforma_
life so that such information could influence tion can be substantial.Researchers who con-
public poliry.6 duct existing statisticsresearchspend many
Today,there are many books,articles,and hours in libraries or on the Internet. After the
reportson socialindicators,and evena scholarly information is located,it is recorded
on cards,
journal, SocialIndicatorsResearch, devotedto graphs,or recordingsheetsfor lateranalysis.Of-
the creationand evaluationofsocial indicators. ten, it is alreadyavailablein a format
for com-
The U.S. CensusBureau produced a report, putersto read.For example,insteadof recording
SocialIndicators, and the United Nations has voting datafrom books,a researcher could usea
many measuresof socialwell-beingin different socialsciencedata archiveat the UniversiWof
nations. Michigan(to be discussed).
A socialindicator is any measureof social Thereareso many sourcesthat only a small
well-beingusedin poliry. Thereare many spe- sampleofwhat is availableis discussed here.The
cific indicators that are operationalizationJof single-mostvaluablesourceof statisticalinfor-
well-being.For example,socialindicatorshave mation about the United Statesis
the Statistical
beend€velopedfor the following areas:popula- Abstractof the United States,which has been
tion, family,housing,socialsecurityandwelfare, publishedannually(with a few exceptions)
since
238 R E S E A R cH
P A RTT wo / c o N D U c rl N c QU AN T IT ATIvE

1878.The StatisticalAbstractis availablein all UNESCOStatisticalYearbook,and United Na-

public librariesand on the Internet and can be tionsStatisticalYearbook.
purchasedfrom the U.S. Superintendentof In addition to governmentstatisticaldocu-
bocuments. It is a selectedcompilation of the ments,there are dozensof other publications'
many official reports and statisticaltablespro- Many are producedfor businesspurposesand
ducedby U.S.governmentagencies. It contains can be obtainedonly for a high cost.They in-
statistical information from hundreds of more clude information on consumerspending,the
detailed government reports' You may want to location of high-incomeneighborhoods,trends
examine more specific government documents. in the economy,andthe like.e
(The detail of what is availablein government Over a dozenpublicationslist characteris-
documentsis mind boggling.For example,you tics ofbusinessesor their executives.Theseare
canlearn that thereweretvvoAfrican American found in largerlibraries.Threesuchpublications
femalesover the ageof 75 in Tucumcari City, are asfollows:
NewMexico,in 1980.)
The Statistical Abstract has over 1,400 Dun qndBradstreet PrincipalIndustrialBusi-
charts,tables,and statisticallists from over 200 nesses is a guide to approximately51'000
governmentand private agencies.It is hard to businesses in 135 countrieswith informa-
graspall that it containsuntil you skim through tion on sales,numberof employees, officers,
ih" tabl.r. A two-volumesetsummarizessimilar andproducts.
information across many years; it is called WhoOwnsWhomcomesinvolumesfor na-
HistoricalStatistics of the U.S.:ColonialTimesto tions or regions(e.g.,North America,the
1970. United Kingdom,Ireland,andAustra'lia).It
Most governmentspublish similar statisti- listsparentcompanies,subsidiaries, and as-
cal yearbooks.Australia's Bureau of Statistics sociatedcomPanies.
producesYearbook Australia,StatisticsCanada of Corporations,
StandardandPoor'sRegister
producesCanadaYearbook, New Zealand'sDe-
Directorsand Executives about 37,000
lists
partmentof StatisticspublishesNew ZealandOf-
the U.S.and Canadiancompanies.It hasinfor-
ficialYearbook, andin the United Kingdom,
Ab- mation on corporations,products,officers,
Central Statistics Office publishes Annual
industries,and salesfigures.
stractof Statistics.T Many nationspublish books
with historical statistics,aswell.
Locating government statisticaldocuments Many biographicalsourceslist famouspeo-
is an art in itself.Some publications existsolelyto ple and provide background information on
the American them. Theseareusefulwhen a researcher wants
assistthe researcher. For example,
Guide and to learn about the socialbackground, career,or
StatisticsIndex: A Comprehensive
of the U.S. other characteristics of famous individuals. The
Index to the Statistical Publications
Governmentand StatisticsSources:A Subject publicationsare compiledby companiesthat
Guideto Data on Industrial,Business, SocialEdu- sendout questionnairesto peopleidentified as
cation,Financial and Other Topics the U.S'and "important" by some criteria. They are public
for
Internationqlly are two helpful guides for the ,o,rt."t of information' but they dependon the
United States.s The United Nations and interna- cooperationand accuraryof indMdualswho are
tional agencies suchastheWorld Bankhavetheir selected.
Politicshasits own specialized publications.
own publicationswith statisticalinformation for
Therearetwo basic types. One has biographical
variouscountries(e.g.,literacyrates,percentage
information on contemporary politicians.The
of the labor force working in agriculture,birth
Yearbook, other type has information on voting, laws en-
rates)-for example,theDemographic
 CHAPTER9 /
NO NREACTI VERESEARCH
acted,and the like. Here are three examplesof
politicalinformationpublicationsfor the United
States:
Almanacof AmericanPoliticsis a biannual
publicationthat includesphotographsanda
short biographyof U.S. governmentoffi-
cials. Committee appointments, voting
records,and similar information are pro-
vided for membersof Congressand leaders
in the executivebranch.
America Votes:A Handbookof Contempo-
raryAmericanElectionStatisticscontainsde-
tailed.voting information by county for
most statewideand national offices. Pri-
mary electionresultsare includeddown to
the countylevel.
Vital StatisticsonAmericanPoliticsprovides
dozensof tableson political behavior,such
as the campaignspendingof everycandi-
date for Congress,their primary and final
votes,ideologicalratingsby variouspolitical
': organizations,and a summary of voter reg-
istrationregulationsby state.
Another sourceof public information con-
sistsof listsof organizations(e.g.,business,edu-
cational,etc.)producedfor generalinformation
purposes.A researchercan sometimesobtain
membershiplists of organizations.There are
alsopublicationsof public speeches givenby fa-
mouspeople.
Second.ary SurveyData. Secondaryanalysisis
a specialcaseof existing statistics;it is the re-
analysisof previouslycollectedsurveyor other
datathat were originally gatheredby others.As
opposedto primary research(e.g.,experiments,
surveys,and content analysis),the focus is on
analryzingratherthan collecting data. Secondary
analysisis increasinglyusedby researchers. It is
relatively inexpensive;it permits comparisons
acrossgroups,nations, or time; it facilitates
replication; and it permits askingabout issues
not thought ofby the original researchers.
A N D S E C O N D A R YA N A L Y S I S
239
Large-scaledata collection is expensive and
difficult. The cost and time required for a major
national surveythat usesrigorous techniques are
prohibitive for most researchers. Fortunately,
the organization, preservation, and dissemina-
tion of major survey data sets have improved.
Today, there are archives ofpast surveysthat are
open to researchers.
The Inter-University Consortium for Polit-
ical and Social Research(ICPSR) at the Univer-
sity of Michigan is the world's major archive of
social sciencedata. Over 17,000 survey research
and related sets of information are stored and
made available to researchers at modest costs.
Other centers hold survey data in the United
Statesand other nations.lo
A widely used source of survey data for the
United Statesis the GeneralSocialSurvey (GSS),
which has been conducted annually in most
years by the National Opinion ResearchCenter
at the University of Chicago. In recent years, it
has covered other nations as well. The data are
made publicly availablefor secondaryanalysisat
a low cost (seeBox 9.6).
Limitations
Despitethe growth and popularity of secondary
data ana\sis and existing statistics research,
therearelimitationsin their use.The useof such
techniquesis not troublefreejust becausea gov-
ernment agenq/or researchorganizationgath-
ered the data. One danger is that a researcher
may usesecondarydataor existingstatisticsthat
are inappropriatefor his or her researchques-
tion. Beforeproceeding,a researcher needsto
considerunits in the data (e.g.,qpes of people,
organizations),the time and placeof data col-
lection,the samplingmethodsused,andthe spe-
cific issuesor topicscoveredin the data(seeBox
9.7).For example,a researcher wantingto ex-
amine racial-ethnic tensionsbetweenLatinos
and Anglosin the United Statesusessecondary
data that includes only the Pacific Northwest
and New Englandstatesshould reconsiderthe
questionor the useofdata.
240 PART TWO / CO NDUCTI NC Q UANTI TA T I V ER E S E A R C H
The GeneralSocialSurvey(GSS)is the best-known
setof surveydatausedby socialresearchers for sec-
ondaryanalysis. The mission of the GSS is "to make
timely, highquality,scientifically
relevantdata avair-
able to the socialscienceresearchcommunity"
(Davisand Smith,1 992:1).lt is available in many
computer-readable formatsand is widelyaccessible
for a low cost. Neitherdatasetsnor codebooksare
copyrighted.Usersmay copy or disseminate them
withoutobtainingpermission. You can find results
usingthe CSSin over 2,000 research articlesand
books.
The NationalOpinionResearch Center(NORC)
has conductedthe CSS almostevery year since
1972. A typicalyear'ssurveycontainsa random
.l
sampleof about ,500 adultU.S.residents. A team
of researchers selectssomequestionsfor inclusion,
andindividual researchers canrecommend questions.
They repeatsome questions and topics each year,
includesome on a four- to six-yearcycle, and add
.l
other topicsin specificyears.Forexample, in 998,
the specialtopic wasjob experiences and religion,
A seconddangeris that the researcherdoes
not understandthe substantivetopic. Because
the data are easilyaccessible, researcherswho
know very little about a topic could makeerro-
neousassumptions or falseinterpretationsabout
results.Beforeusinganydata,a researcher needs
to be well informed about the topic. For exam-
ple,ifa researcherusesdataon high schoolgrad-
uation ratesin Germanywithoutunderstanding
the Germanysecondaryeducationsystemwith
its distinct academicandvocationaltracks,he or
she may make seriouserrors in interpreting
results.
A third danger is that a researchermay
quotestatisticsin greatdetailto givean impres-
sion of scientificrigor. This can lead to the
fallacy of misplacedconcreteness, which occurs
when someonegivesa falseimpressionof preci-
and in 2000, it wasintergrouprelationsand multi-
culturalism.
Interviewers collectthe data through face-to-
faceinterviews.The NORCstaffcarefullyselectsin-
terviewersand trains them in social science
methodologyand surveyinterviewing. About 1 20
to 1 40 interviewers work on the GSS eachyear.
About 90 percentarewomen, and most aremiddle
aged.The NORCrecruitsbilingualand minorityin-
terviewers.Interviewerswith respondentsare'race-
matchedwith respondents.Interviewsare typically
90 minuteslong and containapproximately 500
questions.The responserate has been 71 to 79
percent.The majorreasonfor nonresponse is a re-
fusalto participate.
The InternationalSocialSurveyProgramconducts
similarsurveysin other nations.Beginningwith the
CermanALLBUSand BritishSocialAttitudesSurvey,
participationhasgrownto include33 nations.The
goal is to conducton a regularbasislarge-scale na-
tionalgeneralsurveysin whichsomecommonques-
tions areaskedacrosscooperatingnations.
sion by quoting statisticsin greaterdetail than
warrantedand "overloading"the details.For ex-
ample,existingstatisticsreport that the popula-
tion of Australiais 19,169,083, but it is betterto
saythat it is a little over 19 million. One might
calculatethe percentage of divorced peopleas
L5.65495 in a secondary data analysis of the 2000
GeneralSocialSurvey,but it is better to report
people aredivorced'r I
thatabout15.7percentof
Units of Analysisand VariableAttributes, A
commonproblemin existingstatisticsis finding
the appropriateunits of analysis.Many statistics
arepublishedfor aggregates, not the individual.
For example,a tablein a governmentdocument
has information (e.g., unemployment rate,
crimerate,etc.)for a state,but the unit of analy-
sis for the researchquestion is the individual
 A N D S E C O N D A R YA N A L Y S I S
CHAPTER9 , / NO NREACTI VERESEARC H
Almosteverycountryconductsa census,or a regu-
larcountof its population.Forexample, Australiahas
d o neso si nce'l 88. |, Canadas i n c eI8 7 .| , a n dth e
UnitedStatessinceI 790. Most nationsconducta
censusevery5 or I 0 years.ln additionto the num-
ber of people,censusofficialscollectinformationon
topicssuchas housingconditions,ethnicity,religious
affiliation.education.and so forth.
The censusis a majorsourceof high-qualityex-
istingstatisticaldata,but it can be controversial. In
Canada,an attempt to count the numberof same-
sex coupleslivingtogetherevokedpublicdebate
aboutwhetherthe governmentshoulddocumentthe
changesin society.In Creat Britain,the Muslimmi-
nority welcomedquestionsabout religionin the
200,| censusbecausethey felt that they had been
officiallyignored.In the UnitedStates,the measure-
ment of raceand ethnicitywashotly debated,so in
the 2000 census,peoplecould placethemselves in
multipleracial,/ethnic categories.
The U.S.2000 censusalsogenerateda serious
publiccontroversybecauseit missedthousandsof
people,mostfrom low-incomeareaswith concentra-
tions of recent immigrantsand racialminorities.
Somedoublecountingalsooccurredof peoplein
highincomeareaswheremanyownedsecondhomes.
A contentiousdebatearoseamongpoliticians to end
miscountsby usingscientificsamplingand adjusting
the census.The politiciansprovedto be lesscon-
cernedaboutimprovingthe scientifica-curacyofthe
censusthan retainingtraditionalcensusmethods
that wouldbenefittheirown politicalfortunesor help
their constituencies, becausethe governmentuses
censusdata to draw voting districtsand allocate
publicfundsto areas.
(e.g.,"Are unemployedpeoplemore likely to
commit property crimes?").The potentialfor
committing the ecologicalfullu.y is very real in
this situation.It is lessof a problem for sec-
ondary surveyanalysisbecauseresearchers can
247
obtain raw information on each respondent
from archives.
A relatedprobleminvolvesthe categories of
variableattributesusedin existingdocumentsor
surveyquestions.This is not a problemif the ini-
tial data were gatheredin many highly refined
categories.Theproblemariseswhenthe original
datawere collectedin broad categoriesor ones
that do not matchthe needsof a researcher. For
example,a researcheris interestedin peopleof
Asian heritage.If the racial and ethnic heritage
categoriesin a documentare "White," "Black,"
and "Other," the researcher hasa problem.The
"Other" categoryincludespeopleof Asian and
otherheritages.Sometimesinformationwascol-
lectedin refinedcategories but is publishedonly
in broad categories.It takesspecialefFortto dis-
coverwhethermore refined information was
collectedor is publicly available.
Valiility. Validity problems occur when the
researcher'stheoretical definition does not
matchthat of the governmentagencyor organi-
zation that collectedthe information. Official
policiesand proceduresspeci$'definitions for
official statistics.For example,a researcherde-
fines a work injury as including minor cuts,
bruises,and sprainsthat occur on the job, but
the official definition in governmentreports
only includesinjuries that require a visit to a
physicianor hospital.Many work injuries,asde-
fined by the researcher, would not be in official
statistics.Another exampleoccurswhen a re-
searcherdefinespeople as unemployedif they
would work if a goodjob wereavailable,if they
haveto work part time when theywant full-time
work, and if they have given up looking for
work. The official definition, however,includes
only thosewho are now activelyseekingwork
(full or part time) as unemployed.The official
statisticsexcludethosewho stoppedlooking,
who work part time out of necessity, or who do
not look becausethey believeno work is avail-
able.In both cases,the researcher's definition
differsfrom that in official statistics(seeBox
9.8).
242 PART TWO , / CO NDUCTI NG Q UANTI TA T I V ER E S E A R C H

In most countries,the official unemploymentrate An economicpolicyor labor marketperspective

measures only the unemployed(seebelow)asa per-
cent of all workingpeople.lt would be 50 percent
higherif two othei categoriesof nonemployedpeo-
ple were added:involuntarypart-timeworkersand
discouraged workers(seebelow).In somecountries
(e.g.,Swedenand UnitedStates),it wouldbe nearly
aorUt" if it includedthesepeople.Thisdoesnot con-
siderother nonworkingpeople,transitionalself-em-
ployed,or the underemployed (seebelow).What a
countrymeasures is a theoreticaiandconceptualde-
finitionissue:What constructshouldan unemploy-
mentrate measureandwhy measureit?
saysthe rate shouldmeasurethose readyto enter
the labormarketimmediately. lt definesnonworking
peopleas a supplyof high-qualitylabor,an inputfor
usein the economyavailable to employers.By con-
trast, a socialpolicy or human resourceperspective
saysthe rate shouldmeasure thosewho are not cur-
rently workingto their fullest potential.The rate
shouldrepresentpeoplewho are not or cannotfully
utilizetheir talents,skills,or time to the fullest.lt de-
finesnonworkingpeopleas a socialproblemofindi-
viduals unable to realizetheir capacity to be
productive,contributingmembersof society.

Categoriesof Nonemployed/FullyUtilized
Unemployedpeople Peoplewho meetthreeconditions:lacka payingjob outsidethe home,are
to find work,can beginwork immediately
takingactivemeasures if it is of-
fered.
Involuntarypart-timeworkers Peoplewith a job, but workirregularlyor fewerhoursthanthey areableand
willing.
workers
Discouraged Peopleableto workandwho activelysoughtit for sometime,but beingun-
ableto find it, havegivenup looking.
Other nonworking Thosenot workingbecausethey are retired,on vacation,temporarilylaid
off,semidisabled, homemakers, full-timestudents,or in the processof mov-
ing.
Transitionalself-employed Self-employed who are not workingfull time becausethey arejust starting
a businessor are goingthroughbankruptcy.
Underemployed Persons with a temporaryfull-timejob for whichthey areseriouslyoverqual-
ified.Theyseeka permanent job in whichthey canfullyapplytheirskillsand
experience.

July22, 199 5, p.7 4.

AdaptedfromTheEconomisl,
Soarce:

Another validity problem ariseswhen offi- bery arrestsas a proxy. But the measureis not
cial statisticsarea surrogateor proxy for a con- entirelyvalid becausemanyrobberiesarenot re-
struct in which a researcheris really interested' ported to the police,and reportedrobberiesdo
This is necessary becausethe researchercannot not alwaysresultin an arrest.
collectoriginaldata.For example,the researcher A third validity problem arisesbecausethe
wants to know how many people have been researcher lackscontrol overhow information is
robbed,sohe or sheusespolicestatisticson rob- collected.All information, eventhat in official
 CHAPTER9 , / NO NREACTI VERESEARCH
governmentreports,is originally gatheredby
peoplein bureaucracies aspart oftheir jobs.A
researcherdependson them for collecting,or-
ganizing,reporting, and publishing data accu-
rately.Systematicerrors in collectingthe initial
information (e.g.,censuspeoplewho avoidpoor
neighborhoodsand make up information, or
peoplewho put a falseageon a driver'slicense);
errorsin organizingand reporting information
(e.g.,a police departmentthat is sloppy about
filing crime reportsand losessome);and errors
in publishinginformation (e.g.,a gpographical
error in a table)all reducemeasurement validity.
This kind of problem happenedin U.S.sta-
tisticson the numberof peoplepermanentlylaid
off from their jobs.A universityresearcher reex-
aminedthe methodsusedto gatherdataby the
U.S.Bureauof Labor Statisticsand found an er-
ror. Dataon permanentjob lossescomefrom a
surveyof 50,000people,but the government
agencyfailedto adjustfor a much highersurvey
nonresponserate.The correctedfiguresshowed
that insteadof a 7 percentdeclinein the number
of peoplelaid offbetween1993andl996,ashad
beenfirst reported,therewasno change.l2
Rekability. Problemswith reliability canplague
existingstatisticsresearch.Reliabilityproblems
developwhen official definitionsor the method
of collectinginformation changesovertime. Of-
ficial definitions of work injury disability,un-
employment,and the like changeperiodically.
Evenifa researcher learnsofsuch changes,con-
sistentmeasurementover time is impossible.
For example,during the early1980s,the method
for calculating the U.S. unemployment rate
changed.Previously,the unemployment rate
was calculatedas the number of unemployed
personsdivided by the number in the civilian
work force.The new method divided the num-
ber of unemployedby the civilian work force
plus the number of peoplein the military. Like-
wise, when police departmentscomputerize
their records,there is an apparentincreasein
crimesreported,not because crimeincreases but
due to improvedrecordkeeping.
A N D S E C O N D A R YA N A L Y S I S 243
Reliabilitycanbe a seriousproblem in offi-
cial governmentstatistics.This goesbeyondrec-
ognizedproblems,such as the police stopping
poorly dressedpeoplemore than well-dressed
people, hence poorly dressed,lower-income
peopleappearmore often in arreststatistics.For
example,the U.S. Bureau of Labor Statistics
found a 0.6 percentincreasein the femaleun-
employmentrate after it usedgender-neutral
measurementprocedures.Until the mid-1990s,
interviewersaskedwomen only whether they
had been "keepinghouseor somethingelse?"
The women who answered"keeping house"
werecategorizedashousewives, and not unem-
ployed.Because the womenwerenot asked,this
occurredevenif the women had been seeking
work. Oncewomen were askedthe sameques-
tion as men, "Were you working or something
else?"more women saidthey werenot working
but doing "somethingelse"suchaslooking for
work. This showsthe importanceof method-
ologicaldetailsin how governmentstatisticsget
created.
Researchers often use official statisticsfor
internationalcomparisonsbut nationalgovern-
mentscollectdatadifferentlyand the quality of
datacollectionvaries.For example,in 1994,the
official unemployment rate reported for the
United Stateswas7 percentlapan'swas2.9 per-
cent,and France'swas 12percent.If the nations
definedand gathereddatathe sameway,includ-
ing discouragedworkersand involuntary part-
time workersrates,the rateswould havebeen9.3
percentfor the United States,9.6 percentfor
|apan,and I3.7 percentfor France.To evaluate
the quality of official governmentstatistics,The
Economistmagazineaskeda team of 20 leading
statisticiansto evaluatethe statisticsof 13 na-
tions basedon freedomfrom political interfer-
ence, reliability, statistical methodology, and
coverageoftopics. The top five nationsin order
were Canada,Australia, Holland, France,and
Sweden.The United Stateswas tied for sixth
with Britain and Germany.The United States
spentmore per persongatheringits statistics
than all nationsexceptAustraliaand it released
2 44 P A RTT w o / c o N D U c rl N G QU A N Tl rA rl vER E S E A R cH

datathe fastest.The quality of U.S.statisticssuf- valuable. Missing information is especiallya

fered from being highly decentralized,having problemwhen researchers coverlong time peri-
fewer statisticiansemployedthan any nation, ods.For instance,a researcherinterestedin the
and politically motivatedcutbackson the range number of work stoppagesand strikes in the
of datacollected.l3 United Statescanobtain datafrom the 1890sto
the present,exceptfor a five-yearperiod after
MissingData. One problem that plaguesre- 1911when the federalgovernmentdid not col-
searcherswho use existingstatisticsand docu- lect the data.(SeeBox 9.9 for an existingstatis-
ments is that of missing data. Sometimes,the tics example.)
datawerecollectedbut havebeenlost.More fre-
quently,the datawerenevercollected.The deci-
sion to collect official information is made
within governmentagencies. The decisionto ask ISSUESOF INFERENCEAND I
questionson a survey whose data arelater made THEORY TESTING
publicly available is made by a group of re-
lnferencesfrom Nonreactive Data
searchers. In both cases, those who decidewhat
to collect may not collect what another re- A researcher's ability to infer causalityor t€st a
in
searcherneeds order to address a research theory on the basisof nonreactivedata is lim-
question.Governmentagencies startor stopcol- ited.It is difficult to useunobtrusivemeasures to
lecting information for political, budgetary or establishtemporal order and eliminatealterna-
other reasons.For example, during the early tive explanations.In content analysis,a re-
1980s,cost-cuttingmeasures by the U.S. federal searchercannot generalize from the content to
governmentstoppedthe collection of much in- its effectson thosewho read the text' but can
formation that social researchers had found only usethe correlationlogic ofsurvey research

An androgynous first nameis one that canbe for ei-
ther a girl or boy without clearlymarkingthe child's
gender.Somearguethat the feministmovementde-
creasedgendermarkingin a child'snameas part of
its broadersocietalinfluenceto reducegenderdis-
tinctionsandinequality.Othersobservethat gender
remains the single-most predominant featureof nam-
ing in most societies. Evenwhen racial groupsor so-
cial classesinventdistinctivenew first names,the
genderdistinctionsare retained.
Lieberson and colleagues (2000) examined ex-
isting statisticaldata in the form of computerized
recordsfromthe birth certificates of 1 1 millionbirths
of Whitechildrenin the stateof lllinoisfrom 1 91 5 to
1 989. Theyfoundthat androgynous first namesare
rare (about 3 percent)and that there has been a
very slight historicaltrend toward androgyny,but
onlyin veryrecentyears.ln addition,parentsgivean-
drogynousnamesto girls more than to boys' and
gendersegregation in namingis unstable(i.e.,a name
tends to lose its androgynousmeaningover time).
The authorsnoted that the way parentsnam€chil-
drenmimicsa patternof collectivebehaviorfoundto
operatein anotherresearcharea:theracialsegrega
tion of neighborhoods. Changein residenceis un-
equal among races with less movementby the
dominantgroup;the lesspowerfulgroup movesto
occupyareasthat the dominantgroup has aban
doned;and integrationis unstable,with new segre
gationreappearing aftersometime.
 CHA P T ER
9 ,/ N ON R EA C T IVRESEARC
E H
to show an association among variables. Unlike
the easeofsurvey research,a researcherdoes not
ask respondents direct questions to measure
variables,but relies on the information available
in the text.
EthicalConcerns
Ethicalconcerns
arenot attheforefrontof most
nonreactiveresearchbecausethe peoplebeing
studied are not directly involved. The primary
ethicalconcernis the privacyand confidentiality
of usinginformation gatheredby someoneelse.
Another ethicalissueis that official statisticsare
social and political products. Implicit theories
andvalueassumptionsguidewhich information
is collectedandthe categories usedwhengather-
ing it. Measuresor statisticsthat are definedas
official and collectedon a regularbasisare ob-
jectsof political conflict and guidethe direction
of policy. By defining one measureas official,
public policy is shapedtoward outcomesthat
would be difFerentif an alternative,but equally
valid, measurehad beenused.For example,the
collectionof information on many socialcondi-
tions (e.g.,the number of patientswho died
while in public mentalhospitals)wasstimulated
by political activityduring the GreatDepression
of the 1930s.Previously,the conditionswerenot
defined as sufficiently important to warrant
public attention. Likewise,information on the
percentageof non-White studentsenrolled in
U.S. schools at various agesis availableonly
since 1953,and for specificnon-White races
only sincethe 1970s.Earlier,such information
wasnot salientfor public policy.
Thecollectionof officialstatisticsstimulates
new attentionto a problem,and public concern
abouta problemstimulatesthe collectionof new
officialstatistics.For example,drunk driving be-
camea biggerissueoncestatisticswerecollected
on the number of automobileaccidentsand on
whetheralcoholwasa factor in an accident.
Political and socialvaluesinfluencedeci-
sions about which existing statisticsto collect.
Most officialstatisticsaredesignedfor top-down
A N D S E C O N D A R YA N A L Y S I S 245
bureaucraticor administrative planning pur-
poses.They may not conform to a researcher's
purposesor the purposesof peopleopposedto
bureaucraticdecisionmakers.For example,a
government agencymeasuresthe number of
tons of steelproduced,miles of highwaypaved,
and averagenumber of peoplein a household.
Information on other conditionssuchasdrink-
ing-waterqualiry time neededto commute to
work, stressrelatedto a job, or number of chil-
dren needingchild caremaynot be collectedbe-
causeofficials say it is unimportant. In many
countries,the grossnational product (GNp) is
treatedasa critical measureofsocietalprogress.
But GNP ignoresnoneconomicaspectsof social
life (e.g.,time spentplayingwith one'schildren)
and qpes of work (e.g.,housework)that arenot
paid. The information availablereflectsthe out-
come of political debateand the valuesof offi-
cialswho decidewhich statisticsto collect.la
c oN c t u s t o N
In this chapter, you have learned about several
types of nonreactive research techniques. They
are ways to measure or observe aspectsof social
life without affecting those who are being stud-
ied. Theyresult in objective, numerical informa-
tion that can be analyzed to address research
questions. The techniques can be used in con-
junction with other tlpes of quantitative or
qualitative social research to address a large
number of questions.
As with any form of quantitative data, re-
searchersneed to be concerned with measure-
ment issues. It is easy to take available
information from a past survey or government
document, but what it measuresmay not be the
construct of interest to the researcher.
You should be aware of two potential prob-
Iems in nonreactive research.First, the availabil-
ity of existing information restricts the questions
that a researchercan address. Second, the non-
reactive variables often have weaker validity be-
cause they do not measure the construct of
 RESEARCH
246 P A RTT wo / c o N D U c rl N G QU AN T l rA rl vE

(1984'1985)
sec- 4' StoneandWeber (L992)andWeber
interest. Although existing statisticsand r"*-uti""a computerizedcontentanalysis
tech-
are low-cost research tecn-
ondarydataanalysis niques.
and
;i.que;, the researcherlacks control over' 5' S". end."n (1981:58-66)for a discussion
ofreli-
substantialknowledge oi, int a"o collection in content analysis
uUifiy. Coai"g categorization
Drocess. This introducesa potentialsourceot er- is discussed in Holsti (1969:94-126)'
'rors about which researchers need to be espe- in
6. A dir.or.io.t of socialindicatorscanbe found
(1966)' Duncan
ciallyvigilant and cautious' Carley(1981).Also seeBauer
(1981)'Land
i" ire next chapter,we move from design- 098i:233-235),Justerand Land
Gilmartin (1980)'
ing researchprojectsand collectingdata-toana- itssz),and Rossiand
yearbook are alsoproduced;
liins. datu.The'analysis techniquesapply to the 7' iufu"y
"o"-n"glish
aboutin the previ- fo, .lu*pt", itatistiches Iahrbuchfor the Federal
Jrru"iituti". data you learned de la
have seenhow to move n prrUti.'of Cermany'AnnuaireStatistique
o.r, .haptets.So far, you Year Book Australia for Aus-,
measures' Francefor France,
from a iopic, to a research design-and Denmark's Statiskisk Ti Arsoversrgt'
how to tralia, and
to collectingdata. Next, you will le-arn of its yearbook
you about iupunp.oa"..s an Englishversion
look at dataand see what they can tell .uU.a tn. Statistical of
Handbook lapan'
question' gov-
a hypothesisor research 8. Guidesexistfor the publicationsofvarious
example' the Guide to British
".rr-.ntr-for
Ciuun*r"t publications, Australian OfficialPub-
Ke y T e r m s irotlonr, atd lrish Official Publications'Similar
publications existfor mostnations'
accretion measures 9. 3eeChurchilt(1983:140-167) andStewart(1984)
coding for listsof businessinformationsources'
include
coding system 10. dift* *q"t u.S. archivesof surveydata
ttr. Natio"a Opinion Research Center' University
content analYsis
Univer-
erosion measures of Chi.ugo, the SurveyResearchCenter'
of C"alifornia-Berkeley; the Behavioral. Sci-
fallacy of misplacedconcreteness sity
of Cincinnati; Data
encesLaboratory,University
General SocialSurveY(GSS) Wis--
*d Ptogr"- tiLrary Service,University of
latent coding the Roper Center' University of
consin-iltadison;
manifest coding Connecticut-Storrs; and the Institute for Re-
nonreactive searchin SocialScience, Universityof North Car-
Nathan
recording sheet olina-ChapelHill. Also seeKiecolt and
StatisticalAbstract of the United States ( 1985)andPar cel (1992)'
structured observation l l . fo. a dlrcr'rsrion oftheseissues,seeDaleand col-
text i.*".. (1988:27-3t), Maier(1991)'and Parcel
0;g2). Horn (1993:138) givesa good-discussion
unobtrusive measures
*ltt ."u-pt.s of the fallacy of misplacedcon-
creteness.
Endnotes 12. SeeStevenson (1996).
;;. ;;; TheEconomisr, "The Good statisticsGuide"
1. SeeWebbandcolleagues (1981:7-11)' (September lI, lg93), "The OverlookedHouse-
i. po, a.n"itions of content analysis'seeHolsti t..p*" (February 5,1994), and "FewerDamned
-'
(isas,sgz),Krippendorff (r980t2r-24)' Lies?"(March30' I996)'
-Yi:\"tr (1984)'
and associates (1974:5-6),Stone and Weber 14. SeeBlock and Burns (1986)'Carr'Hill
(1992),andWeber (1983,1984,1985:81' 1l' (1g73),Horn (1993)' Maier (1991)'and
"9tt Hindess
e. W.iz-att and (1972)is a classicin this
colleagues Van denBergandVanderVeer(1985)'
typeofresearch.
Analysisof Quantitative
Data

Introduction
Dealing with Data
CodingData
EnteringData
CleaningData
Resultswith One Variable
Frequency
Distributions
of CentralTendency
Measures
Measures
of Variation
Results with Two Variables
A BivariateRelationship
Seeingthe Relationship:
The Scattergram
Tables
Bivariate
Measures
of Association
More Than Two Variables
StatisticalControl
Modelof Percentaged
The Elaboration Tables
MultipleRegression
Analysis
lnferential Statistics
The Purposeof InferentialStatistics
StatisticalSignificance
Levelsof Significance
Type I and Type ll Errors
Conclusion
248 PART TW O / CO NDUCTI NG Q UANT I T A T I V ER E S E A R C H

recordingsheets.However,it getscomplexwhen
ilffi--* the dataarenot well organizedor not originally in
the form of numbers' Researchers developrules
Ifyou reada researchreport or articlebasedon
to assign certain numbers to variable attributes'
quantitative data,you will probably find charts'
For example, a researcher codes males as 1 and fe-
graphs,andtablesfirll ofnumbers.Do notbe in-
malesas 2.Eachcategory of a variableand miss-
ii-idut.d by them. A researcherprovides the
needs a code. A codebook is a
charts,graphs,andtablesto giveyou, the reader' ing information
do=cument (i.e.,one or more pages) describing the
a condensedpicture ofthe data.The chartsand
procedure and the location of data for
tablesallow you to seethe evidencecollected' coding
in a format that computers can use'
When you collect your own quantitativedata, variables
yoo *ill want to usesimilar techniquesto help When you code data, it is essentialto cre-
you seewhat is insidethe data'You will needto ate a well-organized,detailedcodebookand
organizeand manipulatethe datasothey can re- make multiple copiesof it. If you do not write
veal things of interest.In this chapter,you will down the detailsof the coding procedure,or if
learn the fundamentalsof organizingand ana- you misplacethe codebook,you havelostthe
llzingqaantitative data. The analysisof quanti- key to thi dataand may haveto recodethe data
tativedatais a complexfield of knowledge.This again.
chaptercoversonly the basicstatisticalconcepts Researchers begin to think about a coding
to un- procedure and codebook before they collect
and data-handlingtechniquesnecessary
iutu. Fot example, a survey researcher precodes
derstandsocialresearch.
a questionnaire before collecting data.Precoding
Data collectedusing the techniquesin the
past chaptersare in the form of numbers.The ttt."trr placingthe codecategories(e.g.,1 for
numberi representvalues of variables'which male,2 for female)on the questionnaire.'Some-'
measurecharacteristics of subjects,respondents, times, to reducedependenceon a codebook,
or other cases.The numbersare in a raw form, surveyresearchers alsoplacethe location in the
on questionnaires, note pads,recordingsheets' computerformat the questionnaire'-
on
or paper.Researchers reorganizethem into a ifa researcher doesnot precode,thefirst step
form suitablefor computers,presentchartsor after collecting data is to createa codebook.He
graphsto summarizetheir features,and inter- or shealso gives each casean identification num-
pret or givetheoreticalmeaningto the results. ber to keeptrack ofthe cases.Next, the researcher
transfersthe information from eachquestion-
naireinto a format that computers canread'
DEALING WITH DATA
Coding Data Entering Data

Beforea researcherexaminesquantitativedata Most computer programsdesignedfor statistical

to test hlpotheses,he or sheneedsto otganlze
them in a different form' You encounteredthe
ideaof codingdatain the lastchapter'Here,data
codingmeanssystematicallyreotganizingraw
numericaldatainto a format that is easyto ana-
lyze using computers.Researchers createand
consistently apply rules for transferring infor-
from one form to another.
mation
Codingcanbea simpleclericaltaskwhenthe
dataarereiorded asnumberson well-organized
analysisneedthe datain a grid format. In the grid'
each row representsa respondent,subject,or
case.A columnor a setof columnsrepresents spe-
It
cific variables. is possible to go from a column
and row location(e.g.,row 7' column 5) backto
the original sourceof dutu (e.g.,a questionnaire
item on maritalstatusfor respondent8).
For example,a researcher codessurveydata
for threerespondents in a format for computers
like that presented in Figure 10.1.Peoplecannot
 CHAPT E R1 O , / A N A L Y S I SO F Q U A N T I T A T I V ED A T A 24]9

F I G URE Coded Data for Three Casesand Codebook

Exerpt from SurveyQuestionnaire

Respondent lD Interviewer
Name
Notethe Respondent's Sex: _ Male _ Female
.l
' The first questionis aboutthe presidentof the UnitedStates.Do you StronglyAgree,Agree,Disagree,
StronglyDisagree, or HaveNo Opinionaboutthe followingstatement:
The President of the UnitedStatesis doinga greatjob.
- strongAgree Agree - Disagree strong Disagree _
- - No opinion
2. Howold areyou?

Excerpt ofCoded Data

Column
000000000111111111122222222223333333333444...
etc. (tens)
ry I I 6!!' glr34s6?8' 0113
4s6?8e
01 212736302 18273827410239 18.8239+7+61 ... etc.
02 2133348211249881542124218.213984123... etc.
03 42012398211372726312345 17.361487645...etc.
etc.
Rawdatafor first threecases,columns1 through42.

Excerpt from Codebook

Column VariableName Description
1-2 ID Respondent
identification
number
3 BLANK
4 Interviewer Interviewer who collectedthe data:
I = Susan
2= X i a
3 : Juan
4 : Sophia
5 : Clarence
Sex Interviewer reportof respondent'ssex
' l = Mal e,2= Femal e
PresJob The presidentof the UnitedStatesis
doinga greatjob.
=
1 StronglyAgree
2 : Agree
3 : No Opinion
4 = Disagree
5 = StronglyDisagree
Blank= missinginformation
250 PART TWO , / CO NDUCTI NG Q UANTI TA T I V ER E S E A R C H
easilyread it, and without the codebook,it ts
worthless.It condensesanswersto 50 survey
questionsfor three respondentsinto threelines
or rows.The raw datafor manyresearchprojects
look like this, except that there may be over
1,000rows, and the lines may be over 100
columns long. For example,a l5-minute tele-
phonesurveyof250 studentsproducesa grid of
datathat is 250rowsby 240columns.
The codebookin Figure 10.1saysthat the
first two numbers are identification numbers.
Thus,the exampledataarefor the first (01)' sec-
ond (02), and third (03) respondents. Notice
that researchers usezeroesasplaceholdersto re-
duceconfusionbetweenI and 01.The ls areaI-
waysin column 2; the 10sarein column 1. The
codebooksaysthat column 5 containsthe vari-
able"sex":Cases1 and2 aremaleand Case3 is
female.Column 4 tells us that Carlos inter-
viewedCases1 and 2, and SophiaCase3.
There are four waysto get raw quantitative
datainto a computer:
l. Codesheet.Gatherthe information, then
transferit from the original sourceonto a
grid format (codesheet).Next, type what is
on the codesheetinto a computer,line by
line.
2. Direct-entrymethod,includingCATL As in-
formation is being collected,sit at a com-
puter keyboardwhile listeningto/observing combinations.For example,educationis cross-
the information and enterthe information,
or have a respondent/subject enter the in-
formation himselfor herself.The computer
must be preprogrammedto accept the
information.
3. Opticalscan.Gatherthe information, then
enter it onto optical scansheets(or havea
respondent/subject enter the information)
by filling in the correct"dots." Next, usean
optical scanneror readerto transferthe in-
formation into a comPuter.
4. Bar code.Gathetthe information and con-
vert it into different widths of bars that are
associatedwith specificnumerical values, tionnaireitemsinto an index score.
then usea bar-codereaderto transferthe in-
formation into a comPuter.
Cleaning Data
Accuracyis extremelyimportant when coding
data.Errorsmadewhen codingor enteringdata
into a computerthreatenthevalidityof measures
and causemisleadingresults.A researcherwho
has a perfectsample,perfectmeasures'and no
errorsin gatheringdata,butwho makeserrorsin
the coding processor in entering datainto a
computer,canruin a wholeresearchproject.
After verycarefulcoding,the researcher ver-
ifiesthe acctracy of coding,or "cleans" the data.
He or shemay codea 10 to 15 percentrandom
sampleof the data a secondtime. If no coding
errors appear,the researcherproceeds;ifhe or
she finds errors' the researchbrrechecksall
coding.
When the data are in the computer' re-
searchers verify codingin two ways.Possible code
cleaning(orwild code involves
checkireg) checking
the categoriesof all variables for impossible
codes.For example,respondentsexis coded1 =
Male, 2 = Female.Finding a 4 for a casein the
field for the sexvariableindicatesa coding error.
A second method, contingencycleaning(ot
consistency checking),involvescross-classifying
two variablesand looking for logicallyimpossible
classifiedby occupation. If a respondent is
recordedasneverhavingpassedthe eighthgrade
andalsois recordedasbeinga legitimatemedical
doctor,the researcher checksfor a codingerror.
A researchercan modifr dataafterthey are
in the computer.He or shemay not usemore re-
fined categoriesthan wereused when cotlecting
the original data,but may combine or group in-
formation. For example, the researcher may
group ratio-levelincome data into five ordinal
categories. Also,he or shecancombineinforma-
tion from severalindicators to create.a new
variable or add the responsesto severalques-
 CHAPTER1 O , / A N A L Y S I SO F Q U A N T I T A T I V E
DATA 251

R ESU tTSWITH ONE V A RIA B IE Measuresof Central Tendency

FrequencyDistributions Researchers often want to summarizethe infor_

mation aboutonevariableinto a singlenumber.
The word statistics can mean a set of collected They usethreemeasuresof centraltlndencv, or
(e.g.,numberstelling how many peo_ measures of the centerofthe frequencydistribu_
"."T!"ry
ple live in a city) aswell as a 6ranch of apiUea tion: mean,median,and mode,which are often
mathematicsusedto manipulate and summa_ calTed.averages (a lesspreciseand lessclearway
rize the featuresof numbers.Socialresearchers of sayingthe same
thing). Eachmeasureof cen_
useboth typesof statistics.Here,we focuson the tral.tendencygoeswith data having a specific
secondt'?e-ways to manipulateand summa_ levelof measurement (seeTable10.i.
rizenumbersthat representdatafrom a research The modeis the easiestto useand can be
project. used with nominal, ordinal, interval, or ratio
Descriptivestatisticsdescnbenumerical data. data. It is simply the most common or fre_
They can be categonzedby the number of vari_ quently occurring number. For example,the
ablesinvolved: univariate,bivariate,or multi_ mode of the followinglist is 5: 6 5 7 t0 9-53 5. A
variate (for one, two, and three or more distribution canhavemore than one mode.For
variables).[Jnivariatestatisticsdescnbeone vari_ example,the modeof this list is b oth5 and,7:56
able (uni- refersto one;-variaterefersto vari_ I 2 5 7 4 7.If the list getslong, it is easyto spot
able).The easiestway to describethe numerical the mode in a frequericy
distributionij"" frof.
dataof one variableis with a
frequencydistribu_ for the most frequentscore.Therewill alwaysbe
tion. It canbe usedwith nominJ-, ordinal_,in_ at leastone casewith a scorethat is equalto the
terval-,or ratio-leveldataand takesmanyforms. mode.
For example,I havedatafor 400 respondents.I The medianis the middle point. It is alsothe
can summarizethe information on the gender 50th percentile,
or the point at which half the
of respondentsat a glancewith a raw co.rirto. u casesareaboveit andhalfbelowit. It canbe used
frequencydistribution (seeFigure with ordinal-, interyal-, or ratio_leveldata (but
l1-..."jug.
10.2).I can presentthe sameinformatioi in not nominal level).you can..eyeball',
graphic form. Somecommon typesof graphic but computing the mode,
a median requiresa little more
representations arethe histogram,bar chart, and. work. The easiestway is firit
to organizethe
pie chart.Bar chartsor gtaphsare usedfor dis_ scoresfrom highest
to lowest,then co-untto tire
cretevariables.They canhavea verticalor hori_ middle. If thereis an odd number of scores,it is
zontal orientation with a small spacebetween simple.Sevenpeople
arewaiting for a bus;their
the bars.The terminologyis not elact, but his_ agesare:121720 27 30 55 g0.Themedianageis
togramsareusuallyupright bar graphsfor inter_ 27.Note that the mediandoesnot changeeaiily.
val or ratio data. Ifthe 55-year-oldand the g0-year-old6oth got
For interval-or ratio-leveldata,a researcher on one bus, and the
remaining people wlre
often grqups the information into categories. joined bytwo 31-year-olds,
the rneaianremains
The.groupedcategoriesshould be mutujly ex_ unchanged.Ifthere
is an evennumber of scores,
clusive.Interval- or ratio-level data are often thingsarea bit more complicated.For example,
plotted tn afrequencypolygon.In it the number ut a bus stop hive the following aies:
of casesor frequencyis along the vertical axis, :T^p^.9!t
1720 26 30 50 70.The medianis somewhe-re"be_
and the valuesofthe variableor scoresarealong tween 26 and 30. Compute the median by
the horizontalaxis.A polryon appearswhen the adding the two middle scorestogetherand di_
dotsareconnected. viding by 2, or 26 + 30 = 5612=26.The median
252 PART TWO / CO NDUCTI NC Q UANTI TA T I V ER E S E A R C H

FIcURE 1 0.2 of UnivariateStatistics

Examples

RawCount FrequencyDistribution PercentageFrequencyDistribution

Gender FrequencY Gender Percentage

Ma le 100 Male 2s%

Female 300 Female 7s%
Total 400 Total 100%

Bar Chart of SameInformation

Males

Females

Exampleof Grouped Data FrequencyDistribution

FirstJob Annual lncome N

Under$5, 000 25
$5, 000t o $9, 999 50
$ 10, 000t o $. 15, 99 9 100
$ 15, 000t o $19, 99 9 150
$20,000to $29,999 50
$30.000 andover 25
Total 400

Exampleof FrequencyPolygon

Frequency
50
45
40
35
30
25
20
15
10
elc.

18 20 22 24 26 28 etc
10 12 14 16

IndividualIncome(in Thousandsof Dollars)

 CHAP T E R1 O , / A N A L Y S I SO F Q U A N T I T A T I V ED A T A 253

mode the lowest. If most caseshave higher

TABTE 1 0.1 MeasuresofCentral scoreswith a few extremelow scores,the mean
Tendencyand Levelsof will be thelowest,the medianin the middle,and
Measurement the mode the highest.In general,the median is
bestfor skeweddistributions,althoughthe mean
is usedin mostotherstatistics(seeFigure10.3).

Nominal Yes Measuresof Variation

Ordinal Yes Yes Measuresof centraltendenryarea one-number
Interval Yes Yes Yes summary of a distribution; however,they give
only its center.Anothercharacteristicof a distri-
Ratio Yes Yes Yes bution is its spread,dispersion,or variability
around the center.Two distributionscan have
identicalmeasuresof centraltendencybutdif[er
in their spreadabout the center.For example,
sevenpeopleare at a bus stop in front ofa bar.
ageis 28,eventhough no personis 28 yearsold. Theiragesare25 2627 3033 3435.Boththeme-
Note that thereis no mode in the list of six ages dian and the meanare30.At a bus
stop in front
becauseeachpersonhasa differentage. of an ice cream store,sevenpeoplehave the
The mean,also calledthe arithmetic aver- identicalmedianand mean,but their agesare 5
age,is the most widely usedmeasureof central 1020 30 40 50 55.Theagesofthe groupin front
tendency.It can be ttsedonly with interval- or of the ice creamstorearespreadmore from the
ratiolevel data.2Computethe meanby adding center,or the distribution hasmore variability.
up all scores,then divide by the number of Variability has important socialimplica-
scores.For example,the mean agein the previ- tions. For example,in city X, the median and
ous exampleis 17 + 20 + 26 + 30 + 50 + 70 = meanfamily income is $35,600per year,and it
213;21316 = 35.5.No onein thelist is 35.5years has zero variation.
Zero yariatiorzmeansthat
old, and the meandoesnot equalthe median. everyfamily has an income of exactly$35,600.
The meanis stronglyaffectedby changesin CityYhasthesamemedianandmeanfamilyin-
*:, extremevalues(verylargeor very small).For ex- come, but 95 percentof its familieshave in-
ample,the 50- and 7}-year-oldleft and werere- comesof $12,000per yearand 5 percenthave
placedwith two 31-year-olds.The distribution incomesof $300,000per year.CityX hasperfect
now lookslike this: 1720 26 30 3t 31.The me- incomeequality,whereasthereis greatiniqual-
dian is unchanged:28.The meanis IT + 20 + 26 ity in city Y. Aresearcherwho doesnot know the
+ 30 + 3l + 3I = 155;15516= 25.8.Thus,the variabilityof incomein thetwo citiesmissesvery
meandroppeda greatdealwhen a few extreme important information.
valueswereremoved. Researchers measurevariation in three
If the frequenrydistribution forms a "nor- ways:range,percentile,and standarddeviation.
mal" or bell-shapedcurve,the threemeasuresof Rangeis the simplest.It consistsof the largest
centraltendencyequaleachother.Ifthe distrib- and smallestscores.For example,the rangefor
ution is a skeweddistribution(i.e.,more casesare the bus stop in front of the bar is from 25 to 35.
in the upper or lower scores),then the threewill or 35 - 25 = I0 years.If the 35-year-oldgot
not be equal.If most caseshavelower scores onto a bus and was replacedby a 60-year-old,
with a few extremehigh scores,the meanwill be the rangewould changeto 60 - 25 = 45 years.
the highest,the median in the middle, and the Rangehaslimitations.For example,herearetwo
254 PART T W O , / CO NDUCTI NC Q UANTIT A T I V ER E S E A R C H

FIcURE 1 0.3 Measures

ofCentralTendency
Normal Distribution
Numberof
Cases

Lowest Valuesof Variables Highest

SkewedDistributions
ModeMedianMean MeanMedianMode

groupsof sixwith a rangeof 35years:303030 30
3065 and20 4546 48 50 55.
Percentiles tell the scoreat a specificplace
within the distribution. One percentileyou ar-
readylearnedis the median,the 50thpercentile.
Sometimes the 25th and 75thpercentiles or the
10th and 90th percentilesareusedto describea
distribution.For example,the 25th percentileis
the scoreat which 25 percentof the distribution
haveeitherthat scoreor a lower one.The com-
putation of a percentilefollowsthe samelogic as
the median.If I have100peopleandwantto find
the 25th percentile.I rank the scoresand count
up from the bottom until I reachnumber 25. If
the total is not 100,I simply adjustthe distribu-
tion to a percentage basis.
Standarddeviationis the most difficult to
computemeasureof dispersion;it is also the
mostcomprehensive andwidelyused.The range
and percentilearefor ordinal-, interval-,and ra-
tio-level data, but the standarddeviationre-
quiresan intervalor ratio levelof measurement.
It is based on the mean and gives an "average
distance" between all scoresand the mean. Peo-
ple rarely compute the standard deviation by
hand for more than a handful of casesbecause
computers and calculators can do it in seconds.
Look at the calculation ofthe standard devi-
ation in Figure 10.4.If you add up the absolute
difference between eachscore and the mean (i.e.,
subtract each score from the mean), you get
zero. This is becausethe mean is equally distant
from all scores.Also notice that the scores that
differ the most from the mean have the largest
effect on the sum ofsquares and on the standard
deviation.
The standard deviation is used for compar-
ison purposes. For example, the standard devia-
tion for the schooling of parents of children in
classA is 3.317years;for classB, it is 0.812;and
for class C, it is 6.239. The standard deviation
tells a researcherthat the parents ofchildren in
classB are very similar, whereasthose for classC
are very different. In fact, in classB, the schoo'-
 CHAPT E R1 O , / A N A L Y S I SO F Q U A N T I T A T I V ED A T A 255

FIGUREI 0.4 TheStandardDeviation

Stepsin Computing the StandardDeviation

1. Computethe mean.
2. Subtractthe meanfrom eachscore.
3. Squarethe resultingdifferencefor eachscore.
4. Totalup the squareddifferences to get the sumofsquares.
5. Dividethe sumof squaresby the numberof casesto get the variance.
5. Takethe squareroot ofthe variance, whichis the standarddeviation.

Exampleof Computing the StandardDeviation

variable= yearsof schooling]
[8 respondents,
Score Score - Mean Squared (Score - Mean)

15 15-12.5= 2.5 6.25

12 12-12.5=-0.5 .25
12 12-12.5:-0.5 .25
.t0
10-'12.5:-2.5 6.25
16 16-12.5: 3.5 12.25
.r8-12.5=
18 5.5 30.2s
8 8-12.5= 4.5 20.25
9 9-12.5=-3.5 12.25
Mea n='1 5+ 12 + 12+ l0+ 16+ 18+ 8+ 9 = 100,1OO / 8: 1 2 . 5
Sumof squares: 6.25 + .25 + .25 + 6.25 + 12.25+ 30.25 + 20.25 + 12.25= 88
: Sumof squares/Number .11
Variance of cases= 88/8 =
=
Standarddeviation Squareroot ofvariance= 11= 3.317years.
Hereis the standarddeviationin the form of a formulawith svmbols.

Svmbols:
X = SCOREof case I = Sigma(Greekletter)for sum,add together
X = VEltt N= Numberofcases
Formulaj
Standard = ttfx -xf
deviation -
VN

aThereis a slightdifference
in the formuladependingon whetherone is usingdatafor the popula-
tion or a sampleto estimatethe populationparameter

ing of an "average" parent is less than a year
above or below than the mean for all parents, so
the parents are very homogeneous. In class C,
however, the "average" parent is more than six
years above or below the mean, so the parents
are very heterogeneous.
The standard deviation and the mean are
used to create z-scores.Z-scoreslet a researcher
compare two or more distributions or groups.
The z-score, also called a standardizedscore,ex-
pressespoints or scoreson a frequency distribu-
tion in terms of a number of standard deviations
25 6 pART Two , / c oNDUc r lNc Q UANTIT A T I v E R E S E A K L H
from the mean.Scoresarein termsof their rela-
tive position within a distribution, not as ab-
solutevalues.
For example,Katy, a salesmanagerin firm
A, earns$50,000per year,whereas Mike in firm
B earns$38,000per year. Despitethe absolute
incomedifferencesbetvveen them,the managers
are paid equally relativeto others in the same
firm. Katy is paid more than two-thirds of other
employeesin her firm, and Mike is also paid
more than two-thirds of the employeesin his
firm.
Z-scores areeasyto calculatefrom the mean
and standarddeviation(seeBox 10.1).For ex-
ample, an employer interviews studentsfrom
I do not like the formulafor z-scores,
Personally,
whichis:
Z-score= (Score- Mean)/Standard
Deviation,
or in symbols:
z=-
x-x
6
where:X= score,X= mean,E = standarddeviation
I usuallyrelyon a simpleconceptualdiagramthat
does the samething and that showswhat z-scores
reallydo. Considerdata on the agesof schoolchild-
renwith a meanof Z yearsand a standarddeviation
of 2 years.Howdo I computethe z-scoreof 5-year-
old Miguel,or whatif I knowthat Yashohda's z-score
is a *2 and I needto know her age in years?First,I
draw a little chart from -3 to *3 with zero in the
middle.I will put the meanvalueat zero,becausea z-
scoreof zerois the meanand z-scoresmeasuredis-
tanceaboveor belowit. I stop at 3 becausevirtually
allcasesfallwithin3 standarddeviationsof the mean
in mostsituations. The chartlookslikethis:
Kings Collegeand QueensCollege.Shelearns
that the collegesare similar and that both grade
on a 4.0scale.Yet,the meangrade-pointaverage
at KingsCollegeis 2.62with a standarddeviation
of .50,whereasthe meangrade-pointaverageat
QueensCollegeis 3.24with a standarddeviation
of .40. The employersuspectsthat gradesat
QueensCollegeareinflated.Suzettefrom Kings
Collegehas a grade-pointaverageof 3'62, and
]orgefrom QueensCollegehasa grade-pointav-
erageof 3.64. Both studentstook the same
courses.The employerwantsto adjustthe grades
for the gradingpracticesof the two colleges(i.e.,
createstandardizedscores).She calculatesz-
scoresby subtractingeachstudent'sscorefrom
lllllll
-3 -2 -.1 0 +1 +2 +3
Now, I labelthe valuesof the meanand add or
subtractstandarddeviationsfrom it. One standard
deviationabovethe mean(+1) whenthe meanis 7
and standarddeviationis 2 yearsis just 7 -l 2, or 9
years.Fora -2 z-score, I put 3 years.Thisis because
it is 2 standarddeviations,of 2 years each (or 4
years),lowerthan the Meanof 7. My diagramnow
lookslikethis:
1 357 9 11 13 agei nY ears
rl l l l l l
-3 -2 -1 0 + 1 + 2 + 3
It is easyto seethat Miguel,who is 5 yearsold,
hasa z-scoreof - 1 , whereasYashohda's z-scoreof
'l read from z-
*2 correspondsto 1 yearsold. I can
scoreto age,or ageto z-score. For fractions, suchqs
a z-scoreof 1 - .5, I just apply the same fraction.to
age to get 4 years.Likewise, an age of 1 2 is a z-score
of *2.5.
 CHAPTE R1 O , / A N A L Y S I SO F Q U A N T I T A T I V ED A T A
the mean,then dividing by the standarddevia-
tion. For example,Suzette'sz-scoreis 3.62 -
2.62 = 1.00/.50= 2, whereas|orge'sz-scoreis
3.64 - 3.24.= .401.40 = 1. Thus,the employer
learnsthat Suzetteis two standarddeviations
abovethe mean in her college,whereasforge rs
only one standarddeviationabovethe meanfor
his college.Although Suzette'sabsolutegrade-
point averageis lowerthan forge's,relativeto the
studentsin eachoftheir collegesSuzette's grades
aremuch higherthan forge's.
R ESU LTS
WITH TWO V A RIA B TE S
A BivariateRelationship
Univariate statistics describe a single variable in
isolation. Bivariate statistics are much more
valuable. Theylet a researcherconsider two vari-
ables together and describe the relationship be-
tween variables.Even simple hypothesesrequire
two variables. Bivariate statistical analysisshows
a relationship between variables-that is, things
that appear together.
Statistical relationships are based on two
ideas: covariation and independence.Covaria-
tion means that things go together or are associ-
ated. To covary means to vary together; cases
with certain values on one variable are likely to
have certain values on the other one. For exam-
ple, people with higher values on the income
variable are likely to have higher values on the
life expectancy variable. Likewise, those with
lower incomes have lower life expectanry. This is
usually stated in a shorthand way by saying that
income and life expectancy are related to each
other, or covary. We could also saythat knowing
one's income tells us one's probable life ex-
pectancy, or that life expectancy depends on in-
come.
Independenceis the opposite of covariation.
It means there is no association or no relation-
ship between variables. If two variables are inde-
pendent, cases with certain values on one
variable do not have any particular value on the
257
other variable. For example, Rita wants to knorv
whether number of siblings is related to life ex-
pectancy. If the variables are independent, then
people with many brothers and sistershave the
same life expectancy as those who are only chil-
dren. In other words, knowing how many broth-
ers or sisters someone has tells Rita nothine
about the person's life expectancy.
Most researchersstate hypotheses in terms
ofa causal relationship or expected covariation;
if they use the null hlpothesis, the hypothesis is
that there is independence. It is used in formal
hlpothesis testing and is frequently found in in-
ferential statistics (to be discussed).
Three techniques help researchersdecide
whether a relationship exists between two vari-
ables:(1) a scattergram, or a graph or plot of the
relationship; (2) cross-tabulation,or a percent-
aged table; and (3) measuresof associition, or
statistical measures that expressthe amount of
covariation by a single number (e.g.,correlation
coefficient).
Seeing the Relationship:
The Scattergram
What Is a Scattergram (or Scatterplot)? A
scattergram is a graph on which a researcher
plots each caseor observation, where each axis
representsthe value ofone variable. It is used for
variables measured at the interval or ratio level,
rarely for ordinal variables, and never if either
variable is nominal. There is no fixed rule frrr
which variable (independent or dependent) to
place on the horizontal or vertical axis, but usu-
ally the independent variable (syrnbolized by the
letter X) goes on the horizontal axis and the de-
pendent variable (syrnbol ized by I on the verti-
cal axis. The lowest value for each should be the
lower left corner and the highest value should be
at the top or to the right.
How to Construct a Scattergram. Begin with
the range of the two variables. Draw an axis with
the values of each variable marked and write
numbers on each axis (graph paper is helpful).
258 pA RTT wo ,/ c o N D U c rN c e u A N rtrA Tl vE R E S E A R cH

Next, labeleachaxiswith the variablenameand
put a title at the top.
You are now ready for the data. For each
case,find the valueof eachvariableand mark the
graphat aplacecorrespondingto the two values.
For example,a researchermakesa scattergram
of yearsof schoolingby number of children.He
or she looks at the first caseto seeyears of
schooling(e.g.,12) and at the number of chil-
dren (e.g.,3). Thenhe or shegoesto the placeon
the graphwhere 12 for the "schooling"variable
and 3 for the "number of children" variablein-
tersectand puts a dot for the case.
The scattergramin Figure 10.5is a plot of
datafor 33 women.It showsa negativerelqtion-
shipbetweenthe yearsof educationthe woman
completedand the number of childrenshegave
birth to.
Whnt Can You Learn from the Scattergram?
A researchercan seethree aspectsof a bivariate
relationshipin a scattergram:form, direction,
and precision.
Form. Relationshipscan take three forms: in-
dependence,linear, and curvilinear. Inde-
pendence or no relationshipis the easiestto see.
It lookslike a randomscatterwith no pattern,or
a straightline that is exactlyparallelto tlie hori-
zontal or vertical axis. A linear "relationship
meansthat a straightline canbe visualizedin the
middle of a mazeof casesrunning from one cor-
ner to another.A curvilinearrelationshlpmeans
that the centerof a mazeof cases would form a U
curve, right side up or upside down, or an S
curye.
Direction. Linearrelationshipscanhavea pos-
itive or negativedirection.The plot of a positive
relationshiplooks like a diagonalline from the
lower left to the upper right. Higher valueson X
tend to go with higher values on Y, and vice
versa.The income and life expectancF example
describeda positivelinear relationship. .
Anegativerelationship lookslike aline from
the upper left to the lower right. It meansthat
highervalueson onevariablego with lowerval-

FIcURE 1 0.5 Exampleof a Scattergram: Yearsof Educationby Number

of Natural Children Jor 33 Women
6.00

\
5.00
tr
E
= \ I
E 4.00
o
(!
5 \
t5 3.00
z
o
o \
lt 2.OO
E
J
z \
1 . 00 I-

\
0.00
8.00 1 2 .0 0 1 4 .0 0 1 6 .0 0 18.00 22.0O
Years of Formal Education
 CHAPTER1O , / A N A L Y S I SO F Q U A N T I T A T I V ED A T A 259

ueson the other.For example,peoplewith more Figure 10.6 is a raw count or frequency
educationarelesslikely to havebeenarrested.If table.Its cellscontain a count of the cases.It is
we look at a scattergramofdata on a group of easyto make,but interpretinga raw count table
maleswhereyearsof schooling(X axis)areplot- is difficult becausethe rows or columnscanhave
ted by number of arrests(Y axis)'we seethat differenttotals.and what is of realinterestis the
most cases(or men) with manyarrestsarein the relativesizeof cellscomparedto others.
lower right, becausemost of them completed Researchers convert raw count tablesinto
few yearsof school.Most caseswith few arrests percentaged tablesto seebivariaterelationships.
arein the upperleft becausemosthavehad more There are three waysto percentagea table: by
schooling.The imaginaryline for the relation- row, by column, and for the total. The first two
ship can havea shallowor a steepslope.More areoften usedand showrelationships.
advancedstatisticsprovide precisenumerical Is it best to percentageby row or column?
measuresof the line's slope. Eithercanbe appropriate.Let us first reviewthe
mechanicsof percentaginga table.When calcu-
Precision. Bivariaterelationshipsdiffer in their lating column percentages, computethe per-
degreeof precision.Precisionis the amount of centageeach cell is of the column total. This
spreadin the pointson the graph.A high levelof includesthe total column or marginal for the
precision occurswhen the points hug the line column variable.For example,the first column
that summarizesthe relationship.Alowlevel oc- total is 26 (there are26 peopleunder age30),
curs when the points are widely spreadaround and the first cell of that column is 20 (thereare
the line. Researchers can "eyeball"a highly pre- 20 peopleunder age30 who agree).The per-
cise relationship. They can also use advanced centageis20126=0.769or76.9percent.Or, for
statisticsto measurethe precisionof a relation- thefirst numberin themarginal,37ll0l = 0.366
ship in a way that is analogousto the standard = 36.6 percent (seeTable 10.2). Except for
deviationfor univariatestatistics. rounding,the total shouldequal100percent.
Computing row percentagesis similar.
Compute the percentageof eachcell as a per-
Bivariate Tables centageof the row total. For example,usingthe
What Is a Bivariate Table? Thebivariatecon- samecell with 20 in it, we now want to know
tingency table is widely used. It presentsthe what percentageit is of the row total of 37, or
sameinformation as a scattergramin a more 20137= 0.541= 54.1percent.Percentaging by
condensedform. The data can be measuredat row or column givesdifferentpercentages for a
anylwel of measurement, althoughintervaland cellunlessthe marginalsarethe same.
ratio datamust be groupedif therearemanydif- The row and column percentages let a re-
ferentvalues.The tableis basedon cross-tabula- searcheraddressdifferent questions.The row
tion; that is, the casesare organizedin the table percentagetable answersthe question.Among
on the basisof two variablesat the sametime. those who hold an attitude, what percentage
A contingency tableis formedby cross-tabu- come from eachagegroup?It saysof respon-
lating two or more variables.It is contingentbe- dentswho agree,54.Ipercentare in the under-
causethe casesin eachcategoryofa variableget 30 age group. The column percentagetable
distributed into each categoryof a second(or addresses the question:Among thosein eachage
additional)variable.The table distributescases group,what percentage hold differentattitudes?
into the categoriesof multiple variablesat the It saysthat amongthosewho areunder 30,76.9
sametime and showshow the cases, by category percentagree.From the row percentages, a re-
ofone variable,are"contingentupon" the cate- searcherlearnsthat a little overhalf ofthosewho
goriesof other variables. agreeareunder 30 yearsold, whereasfrom col-
260 PART TW O , / CO NDUCTI NG Q UANTIT A T I V ER E S E A R C H

FlG U RE I 0.6 Age Group by Attitude about Changingthe Drinking

Age, RawCount Table

RawCount Table (a) Age Group (b)

61 and
Attitude (b) Under 30 30-45 46-60 Older Total(c)

Agree 20 10 4 3 37
No opinion 3 (d) 10 10 2 25
Disagree 3 _l 2L 10 3g
Total (c) 26 2sfrt 15 101
Missingcases(f ) = 8. (")

The Parts of a Table

(a) Civeeachtablea fifle whichnamesvariables and providesbackground information'
(b) Labelthe rowandcolumnvariableandgivea nameto eachof the variablecategories.
(c) Includethe totalsof the columnsand rows.Thesearecalledthe marginab.rhey
equalthe univariate frequencydistributionfor the variable.
(d) Eachnumberor placethat corresponds to the intersectionofa categoryfor each
variableis a cell of a table.
(e) The numberswith the labeledvariablecategoriesand the totalsarecalledthe
body of a table.
(f ) lf there is missinginformation(casesin whicha respondentrefusedto answer,
endedinterview, said"don't know,"etc.),report the numberof missingcasesnear
the tableto accountfor all originalcases.

umn percentages, the researcherlearns that
amongthe under-30people,overthree-quarters
agree.One way of percentagingtells about peo-
ple who have specificattitudes;the other telis
aboutpeoplein specificagegroups.
h1'pothesis
A researcher's may imply look-
ing at row percentages or the column percent-
ages.When beginning,calculatepercentages
eachway and practiceinterpreting,or figuring
out, what eachsays.For example,myhypothesis
is that ageaffectsattitude, so column percent-
agesare most helpful. However,if my interest
wasin describingthe agemake-upof groupsof
peoplewith different attitudes,then row per-
centages areappropriate.
Unfortunately, there is.no "industry stan-
dard" for putting independentand dependent
variablesin a percentagetableasrow or column,
or for percentage by row and column.A major-
ity ofresearchersplacethe independentvariable
asthe column and percentage by column,but a
large minority put the independentvariableas
the row and percentage bYrow.
Reailing a PercentagedTable. Once you uh-
derstandhow a tableis made,readingit and fig-
uring out what it saysaremuch easier.To reada
table, first look at the title, the variablelabels,
and anybackgroundinformation. Next, look at
the direction in which percentageshave been
 CHAPTER1 O , / A N A L Y S I SO F Q U A N T I T A T I V ED A T A 261

computed-in rows or columns. Notice that the
percentaged tables in Table 10.2 have the same
title. This is becausethe same variables are used.
It would have helped to note how the data were
percentaged in the title, but this is rarely done.
Sometimes, researcherspresent abbreviated ta-
bles and omit the 100 percent total or the mar-
ginals, which adds to the confusion. It is best to
include all the parts of a table and clear labels.
Researchers read percentaged tables to
make comparisons. Comparisons are made in
the opposite direction from that in which per-
centagesare computed. A rule of thumb is to
compare across rows if the table is percentaged
down (i.e., by column) and to compare up and
down in columns if the table is percentaged
across(i.e.,by row).
For example, in row-percentaged Table
10.2,compare columns or age groups. Most of
those who agreeare in the youngest group, with
the proportion declining as age increases.Most
no-opinion people are in the middle-age groups,
whereasthose who disagreeare older, especiJly
in the 46-to-60 group. When reading column-

TA BLE 1 0.2 Age Groupby Attitude about Changingthe DrinkingAge,

PercentagedTables
T
Column-PercentagedTable

€roup
.,. ',
3'Ar:45 45-60
Agree 76.9% 407" 11.4% 20% 36.6%
No opinion I 1.5 40 28.6 13.3 24.8
Disagr:ee I 1.5 20 60 66.7 3 8.6
Total .100
99.9 100 r0 0 100
(N) (26). (2 s)- ( 3s) - (t s )- (10r)*
Missingcases= 8
Row-PercentagedTable

,ii;.
Agree 54.1% 27% 10.8% 8.1% 100% (37).
No opinion 12 40 40 8 100 ( 2s) .
Disagree 7.7 12.8 53.8 2s.6 99.9 (39)-
Total 25.7 2 4 .8 34.7 14.9 ' r0 0 . r (1 0 1 )-
Missingcases= 8
*Forpercentaged tables,providethe numberof casesor N on whichpercentages arecomputedin paren-
thesesnearthe total of I 00%. Thismakesit possibleto go backandforth from a percentaged
tableto a
rawcounttableandviceversa.
2 62 pA RTT wo / c o N D U c l N c e u AN T trATtvER E S E A R C H

percentagedTable 10.2, compare across rows.

For example, a majority of the youngest group TA B TE 10.3a
agree,and they are the only group in which most
people agree.Only 11.5 percent disagree,com-
pared to a majority in the two oldest groups.
It takes practice to see a relationship in a
percentagedtable. Ifthere is no relationship in a Under30 s% 25 30 40 100
. r5
table, the cell percentages look approximately 30-45 25 40 20 100
equal acrossrows or columns. A linear relation- 46-60 35 45 12 8 100
ship looks like larger percentagesin the diagonal .t5
61 + 45 35 5 100
cells. If there is a curvilinear relationship, the
largest percentages form a pattern across cells.
For example, the largest cells might be the upper
right, the bottom middle, and the upper left. It is TA B LE 1 O.3b A gebyS chool i ng
easiestto seea relationship in a moderate-sized
table (9 to t6 cells) where most cells have some
cases(at least five casesare recommended) and
the relationship is strong and precise. .t5
61 + 45% 35 ( 100
Principles ofreading a scattergram can help
you see a relationship in a percentaged table. 46-60 35 45 12 8 100
Imagine a scattergramthat has been divided into
30-45 15 25 40 20 100
12 equal-sizedsections.The casesin each section
correspondto the number of casesin the cellsof Under30 5 25 30 40 100
a table that is superimposed onto the scatter-
gram. The table is a condensed form of the scat-
tergram. The bivariate relationship line in a
scattergram corresponds to the diagonal cells in positive and negativerelationships. A positive re-
a percentagedtable. Thus, a simple way to see lationship means that as one variable increases,
strong relationships is to circle the largest per- so does the other. A negative relationship means
centage in each row (for row-percentaged that asone variable increases,the other decreases.
tables) or column (for column-percentagedta-
bles) and seeifa line appears. Bivariate Tables without Percentages. Re-
The circle-the-largest-cell rule works-with searcherscondenseinformation in another kind
one important caveat.The categoriesin the per- of bivariate table with a measure of central ten-
centagestable mustbe ordinal or interval and in dency (usually the mean) instead of percentages.
the same order as in a scattergram. In scatter- It is used when one variable is nominal or ordi-
grams the lowest variable categoriesbegin at the nal and another is measured at the interval or ra-
bottom left. If the categories in a table are not tio level.The mean (or a similar measure)of the
ordered the same way, the rule does not work. interval or ratio variable is presented for each
For example, Table 10.3a looks like a posi- categoryof the nominal or ordinal variable. All
tive relationship and Table 10.3b like a negative casesare divided into the ordinal or nominal
relationship. Both usethe same data and are per- variable categories;then the mean is calculated
centagedby row. The actual relationship is nega- for the casesin each variable category from the
tive. Look closely-Table 10.3b has age raw data.
categoriesordered as in a scattergram. When in Table 10.4showsthe mean ageof people in
doubt. return to the basic difference between each ofthe attitude categories.The results sug-
 c H A p rE R | 0 ,/ A N A LystsoF euA N TtrA TtvED A TA 263

dicating a negative relationship and positive

TABLE 1 0.4 AttitudeaboutChanging numbers a positive relationship. A measure of
the DrinkingAge by Mean 1.0 means a 100 percent reduction in errors, or
Age of Respondent perfect prediction.

MO RET HA N T WO V A RI A B L E S
Agree 26.2 (s7)
StatisticalControl
No opinion 44.5 (2s)
Showing an association or relationship between
Disagree 61.9 (se) two variables is not sufficient to say that an in-
Missingcases= 8 dependent variable causesa dependent variabie.
In addition to temporal order and association, a
researcher must eliminate alternative explana-
tions-explanations that can make the hypothe-
gestthat the mean ageof thosewho disagreeis sized relationship spurious. Experimental
much higher than for thosewho agreeor have researchersdo this by choosing a researchdesign
no opinion. that physically controls potential alternative ex-
planations for results (i.e., that threaten internal
validity).
Measuresof Association
In nonexperimental research, a researcher
A measureof association is a singlenumber that controls for alternative explanations with statis-
expresses the strength,and often the direction, tics. He or she measurespossible alternative ex-
of a relationship. It condensesinformation planations vmth control variables,then examines
about a bivariate relationship into a single the control variableswith multivariate tablesand
number. statistics that help him or her decide whether a
There are many measuresof association. bivariate relationship is spurious. They also
The correct one dependson the level of mea- show the relative size of the effect of multiple in-
surement.Many measures arecalledby lettersof dependent variables on a dependent variable.
the Greek alphabet.Lambda,gamma,tau, chi A researcher controls for alternative expla-
(squared),and rho are commonly usedmea- nations in multivariate (more than two vari-
sures.The emphasishere is on interpretingthe ables) analysis by introducing a third (or
measures,not on their calculation.In order to sometimes a fourth or fifth) variable. For exam-
understandeachmeasure,you will needto com- ple, a bivariate table shows that taller teenagers
pletea beginningstatisticscourse. like sports more than shorter ones do. But-the
If there is a strong associationor relation- bivariate relationship between height and atti-
ship,then few errorsaremadepredictinga sec- tude toward sports may be spurious because
ond variableon the basisof knowledgeof the teenagemales are taller than females, and males
first, or the proportion oferrors reducedis large. tend to like sports more than females. To test
A largenumber ofcorrect guesses suggeststhat whether the relationship is actually due to sex, a
the measureof associationis a nonzeronumber researcher must control for gen'der; in other
if an associationexistsbetweenthe variables. words, effects of sex are statistically remoyed.
Table10.5describesfive commonlyusedbivari- Once this is done, a researchercan seewhether
ate measuresof association. Notice that most the bivariate relationship between height and al-
rangefrom - 1to +1, with negativenumbersin- titude toward sports remains.
264 PART TW O , / CO NDUCTI NC Q UANTI T A T I V ER E S E A R C H

TABLE I 0.5 FiveMeasuresofAssociation

Lambda is usedfor nominal-level

data.lt is based
on a reductionin errorsbasedon the modeand
rangesbetween0 (independence) and 1.0
(perfectpredictionor the strongestpossible
relationship).
6ammais usedfor ordinal-level data.lt is basedon
pairsof variablecategories
comparing andseeing
whethera casehasthe samerankon each.Camma
rangesfrom - I .0 to *1 .0, with O meaningno
association.
Tauis alsousedfor ordinal-level data.lt is based
on a differentapproachthan gammaand takes
careof a few problemsthat canoccurwith gamma.
Actually,there are severalstatisticsnamedtau (it
is a popularCreekletter),andthe one hereis
Kendall's tau rangesfrom - I .0 to
tau. Kendall's
*1 .0, with 0 meaningno association.
Rhois alsocalledPearson's productmoment
correlationcoefficient(namedafterthe famous
statisticianKarlPearsonand basedon a oroduct
momentstatistical procedure). lt is the most
commonlyusedmeasure of correlation, the
correlationstatisticpeoplemeanif they usethe
termcorrelation without identifyingit further.lt can
be usedonly for data measuredat the intervalor
ratio level.Rhois usedfor the meanand standard
deviationof the variables andtellshowfar cases
arefrom a relationship(or regression)linein a
scatterplot.Rhorangesfrom - 1.0 to *1 .0, with 0
meaningno association. lf the valueof rho is
squared, sometimes calledR-squared, it hasa
uniqueproportionreductionin errormeaning. R-
squaredtellshowthe percentage in onevariable
(e.g.,the dependent)is accountedfor, or
explained by,the othervariable(e.g.,the
independent). Rhomeasures linearrelationships
only. lt cannotmeasure nonlinear or curvilnear
relationships.Forexample, a rho of zerocan
indicateeitherno relationship or a curvilinear
relationship.
Chi-squared hastwo differentuses.lt can be used
as a measureof associationin descriptivestatistics
likethe otherslistedhere,or in inferential
statistics.Inferentialstatisticsare brieflydescribed
next.As a measure of association, chi-squaredcan
be usedfor nominalandordinaldata.lt hasan
upperlimitof infinityanda lowerlimitof zero,
meaning no association.

Summaryof Measuresof Association

, .' ''
',:';L;,;.:':;:"ltjg$','
l::|i::* ,::;:',::
.l
Lambda t. Nominal .0 0
Camma I Ordinal + 1 . 0 , -1 . 0 0
Tau (Kendall's) t Ordinal +t .0,-.1.0 0
Rho p Interval,ratio + 1 . 0-r.
, 0 0
Chi-square x2 Nominal,ordinal Infinity 0

A researchercontrolsfor a third variableby persists.This meansthat tall malesand tall fe-

seeingwhetherthebivariaterelationshippersists
within categories
of the control variable.For ex-
ample,a researcher controlsfor sex,and the re-
lationshipbetweenheight and sportsattitude
malesboth like sportsmore than short males
and short femalesdo. In other words, the con-
trol variablehasno effect.When this is so,thebi-
variaterelationshipis not spurious.
 CHAPTE R1 O , i A N A L Y S I SO F Q U A N T I T A T I V E
DATA 265

If the bivariaterelationshipweakensor dis_ in thepartial.Thus,it is possibleto breakapart

appearsafter the control variableis considered, a
bivariatetable to form partials,or combinethe
it meansthat tall malesareno more likelv than partialsto restorethe initial bivariatetable.
shortmalesto like sports,and tall femalesur. rro
Trivariate tables have three limitations.
more likely to like sportsthan short females.It First, they are difficult to interpret if a control
indicatesthat the initial bivariaterelationshipis variablehasmore than four catigories.Second,
spuriousand suggests that thethird variable.sex. control variablescanbe at any levelof measure_
and not height,is the truecauseof differences in ment, but interval or ratio control variables
attitudestoward sports. must be grouped (i.e., convertedto an ordinal
Statisticalcontrol is a key ideain advanced level),and how casesare groupedcan affectthe
statisticaltechniques. A meaiureof association interpretationof effects.Finaliy,the total num_
like the correlationcoefficientonlysuggests a re_ ber of casesis a limiting factor tecausethe cases
lationship.Until a researcherconsiderscontrol aredividedamongcellsin partials.The number
variables,the bivariate relationship could be of cellsin the partialsequalithe number of cells
spurious.Researchers are cautiousin interpret_ in the bivariate relationshipmultiplied by the
I ing bivariaterelationshipsuntil they havecon_ numberof categories in the control variable.For
sideredcontrolvariables. example,a control variablehasthreecategories,
il
and a bivariatetablehas 12 cells,so the p"artials
The Elaboration Model of have3 X 12 = 36 cells.An averageoffive cases
PercentagedTables per cell is recommended,so the iesearcherwill
need5 X 36 = lg0 cases at minimum.
Constructing Triyariate Tables. In order to For threevariables,threebivariatetablesare
meetall the conditionsneededfor causality,re_ logicallypossible.In the example,the combina_
searcherswant to "control for" or seewhether tio3s (l)gender
ge byattitudi e) agegroup by
aRaltemativeexplanationexplainsawayacausal attitude,and (3) gender
by ageg.orrp.tt. iur_
relationship. If an alternativeexplanationex- tialsaresetup on the basisofihe initiul birruriat"
plainsa relationship,then the bivariaterelation- relationship.The independentvariablein each
ship is spurious. Alternative explanationsare is "agegroup" andthe dependentvariableis ..at_
operationalizedas third variables,which are titude." "Gender" is the control variable.Thus,
caTledcontrolyariablesbecausethey control for the trivariatetable consistsofa pair ofpartials,
alternativeexplanation. eachshowingthe agelattitudereiationshipfor a
One way to take such third variablesinto givengender.
considerationandseewhethertheyinfluencethe A researcher's theory suggests the hypothe_
bivariaterelationshipis to statisticallyintroduce sisin the initial bivariaterelationship;it alio tells
control variablesusing trivariate or three-vari- him or her which
variablesprovide alternative
abletables.Trivariatetablesdiffer slightly from explanations(i.e.,the control variables).Thus.
bivariatetables;theyconsistof multiple bivariate the choiceof the
control variableis based.on
tables. theory.
A trivariatetablehasa bivariatetableof the
independentand dependentvariable for each reading _Theelaborationparadigm is a systemfor
percentagedtrivariate tables.3It de_
categoryofthe control variable.Thesenew ta- scribesthe pattern that emergeswhen a control
bles are calledpartials.The number of partials variableis introduced.
Five terms describehow
dependson the numberof categories in the con- the partial tablescompareto the initial bivariate
trol variable.Partialtableslook like bivariateta- table,or how the original bivariaterelationship
bles,but theyusea subsetof the cases. Onlycases changesafter the control variableis considered.
with a specificvalueon the control variableare The examplesof patternspresentedhere show
266 pA RTTw o ,/ c o N D U c l N G e u AN TtrA Tl vER E S E A R cH
strong cases.More advanced statistics are
neededwhen the differencesarenot asobvious.
The replicationpattern is the easiestto un-
derstand.It is when the partialsreplicateor re-
producethe samerelationshipthat existedin the
bivariatetable beforeconsideringthe control
variable.It meansthat the control variablehas
no effect.
The specification pattern is the next easiest
pattern.It occurswhen onepartial replicatesthe
initial bivariaterelationshipbut otherpartialsdo
not. For example,you find a strong (negative)
bivariaterelationshipbetweenautomobileacci-
dentsand collegegrades.You control for gender
and discoverthat the relationshipholdsonly for
males(i.e.,the strongnegativerelationshipwas
in the partial for males,but not for females).
This is specificationbecausea researchercan
specifr the categoryof the control variable in
which the initial relationshippersists.
The control variablehas a large impact in
both the interpretation and explanation pat-
terns.In both, the bivariatetable showsa rela'
tionship that disappearsin the partials.In other
words, the relationshipappearsto be indepen-
dencein the partials.Thetwo patternscannotbe
distinguishedby looking at the tablesalone.The
differencebetweenthem dependson the loca-
tion ofthe control variablein the causalorder of
variables.Theoretically,a controlvariablecanbe
in one of two places,eitherbetweenthe original
independentand dependentvariables(i.e., the
control variableis intervening),or beforethe
original independentvariable.
The interpretation patterndescribes the situ-
ation in which the control variable intervenes
betweenthe original independentand depen-
dentvariables.For example,you examinea rela-
tionship between religious upbringing and
abortion attitude.Politicalideologyis a control
variable.You reasonthat religious upbringing
affectscurrent political ideologyand abortion
attitude.You theorizethat political ideologyis
logicallyprior to an attitude about a specificis-
sue,like abortion.Thus, religiousupbringing
causespolitical ideology,which in turn has an
impact on abortion attitude. The control vari-
ableis an interveningvariable,which helpsyou
interpretthe meaningof the completerelation-
ship.
Theexplanationpatternlooks the sameasin-
terpretation.Thedifferenceis the temporalorder
ofthe control variable.In this pattern,a control
variablecomesbeforethe independentvariable
in the initial bivariaterelationship.For example,
the originalrelationshipis betweenreligiousup-
bringing and abortion attitude,but now gender
is the controlvariable.Gendercomesbeforerelt-
gious upbringing becauseone's sex is fixed at
birth. The explanationpatternchangeshow a re-
searcherexplainsthe results.It implies that the
initial bivariaterelationshipis spurious.
The suppressor variablepattern occurswhen
the bivariatetablessuggestindependencebut a
relationshipappearsin one or both of the par-
tials. For example,religious upbringing ,and
abortion attitude areindependentin a bivariate
table. Once the control variable"region of the
country'' is introduced,religiousupbringing is
associated with abortion attitude in the partial
tables.The control variableis a suppressorvari-
ablebecauseit suppressed the true relationship.
The true relationshipappearsin the partials.
(SeeTable 10.6for a summary of the elabora-
tion paradigm.)
Multiple RegressionAnalysis
Multiple regressionis a statistical technique
whose calculation is beyond the level in this
book. Although it is quickly computedby the
appropriatestatisticssoftware,a backgroundin
statisticsis neededto preventmaking errors in
its calculationand interpretation.It requiresin-
terval-or ratio-leveldata.It is discussedherefor
two reasons.First, it controlsfor many alterna-
tive explanationsand variablessimultaneously
(it is rarelypossibleto usemorethan onecontrol
variableat a time usingpercentaged tables).Sec-
ond, it is widely usedin sociology,and you are
likely to encounterit when readingresearchre-
ports or articles.
 CHA P T E RI O , / A N A L Y S I SO F Q U A N T I T A T I V ED A T A
267

Summaryof the Elaborationparadigm

Replication Samerelationship in both partialsas in bivariatetable.

Specification Bivariaterelationship is only seenin one of the partialtables.
Interpretation Bivariaterelationshipweakensgreatryor disappearsin the partiar
tabres(control
variableis intervening).
Explanation Bivariaterelationshipweakensgreallyor disappearsin the partial
tables(control
variableis beforeindependent variable).
Suppressor
variable No bivariaterelationship; relationshipappearsin partialtablesonly.

EXAMPLES
OF EI.ABOMTIONPATTERNS
Replication

BivariateTable
Partials
Control= Low Control= High
Low High Low High Low High
Low 85% 15% Low 84% 15% 86% 14%
High 15% 85% High 167 84% 14% 86%
Interpretation or Explanation
BivariateTable
Partials

Control= Low Control= High

High Low Hish Low High
Low 85% 15% Low 4s% 55% s5% 45%
High 1s% 85% High ss% 45% 4s% s5%
Specification
BivariateTable
Partials
Control= Low Control= High
Low High Low High Low High
Low 85% 85% 957"
High
Low s% so% s0%
15% 15% High s% 95% 50% so%
SuppressorVariable
BivariateTable
Partials

Control= Low Control= High

Low Hish Low High Low High
Low 54% 46% Low 84% 16% 14% 86%
High 46% s4% High 16% 84% 86% 14%
 268 pA RTTw o / c o N D U c l N c e u A N TtrA TtvER E S E A R C H

Multiple regressionresults tell the reader

two things. First, the results have a measure TABTE 10.7 ExampleofMultiple
calledR-squared(R2),which tellshow well a set RegressionResults
of variables explains a dependent variable.
Explain meansreducederrors when predicting DependentVariablels PoliticalldeoloryIndex
the dependentvariablescoreson the basisofin- (HighScoreMeansVeryLiberal)
formation about the independentvariables.A
good model with severalindependentvariables
might accountfor, or explain,a largepercentage
of variation in a dependentvariable.For exam-
ple, an R2 of .50 meansthat knowing the inde- Region: South -.19
pendent and control variablesimproves the Ate .0.1
accuraryofpredictingthe dependentvariableby
lncome -.44
50 percent,or half as many errors are made as
would be made without knowing about the Yearsof education .23
variables. Religiousattendance -.39
Second,the regressionresultsmeasurethe
R 2= .39
direction and sizeof the effectof eachvariable
on a dependentvariable.The effectis measured
preciselyandgivena numericalvalue.For exam-
ple,a researcher canseehow five independentor
scoreon a political ideologyindex.The mdltiple
control variablessimultaneouslyaffecta depen-
regressionresults show that income and reli-
dent variable,with all variablescontrolling for
gious attendancehave large effects,education
the effectsof oneanother.This is especiallyvalu-
and region minor efFects, and ageno effect.All
ablefor testingtheoriesthat statethat multiple
the independentvariablestogether have a 38
independentvariablescauseone dependent
percentacc'lracyin predictinga person'spoliti-
variable.
cal ideology(seeTable 10.7).The examplesug-
The effecton the dependentvariableis mea-
gests that high income, frequent religious
suredby a standardizedregressioncoefficientor
attendance,and a southernresidenceare posi-
the Greekletter beta (B). It is similar to a corre-
tively associatedwith conservativeopinions,
lation coefticient.In fact,the betacoefficientfor
whereashaving more education is associated
two variablesequalsthe r correlationcoefficient.
with liberal opinions. The impact of income is
Researchers use the beta regressioncoeffi- more than twice the sizeof the impact of living
cient to determine whether control variables
in a southernregion.We havebeen examining
havean effect.For example,the bivariatecorre-
descriptivestatistics(seeTable 10.8);next, we
lation betweenX and Y is .75. Next, the re-
look at a different,gpe:inferentialstatics.
searcherstatisticallyconsidersfour control
variables.If the betaremainsat .75,thenthe four
control variableshaveno effect.However,if the
betaforX and Ygetssmaller(e.g.,dropsto .20), I NFERENTIALSTATISTICS
it indicatesthat the control variableshave an
The Purpose of Inferential Statistics
effect.
Consideran exampleof regressionanalysis Researchers often want to do more than de-
with age,income,education,and regionasinde- scribe; they want to test hlpotheses, know
pendentvariables.The dependentvariableis a whether sampleresultshold true in a popula-
 C H A P T E R'I O , / A N A L Y S I SO F Q U A N T I T A T I V ED A T A 269

? Summaryof Major Typesof DescriptiveStatistics

dex
Univariate Frequency distribution,
measure Describe
one variable.
of centraltendency,standard
deviation,z-score
Bivariate Correlation,percentagetable, Describe
a relationship
or the
chi-square association
betweentwo variables.
Multivariate Elaborationparadigm,
multiple Describerelationships
amongseveral
regression variables,
or seehow several
independentvariableshavean effect
on a dependentvariable.

tion, and decide whether differences in results Statistical Signifi cance

(e.g., between the mean scoresof two groups)
are big enough to indicate that a relationship re-
ally exists. Inferential statistics use probability
hiple theory to test hypothesesformally, permit infer-
reli- encesfrom a sample to a population, and test
ttion whether descriptive results are likely to be due
to random factors or to a real relationship.
r All
a38 This section explains the basic ideas of in-
ferential statisticsbut does not deal with inferen-
oliti-
tial statistics in any detail. This area is more
sug-
complex than descriptive statisticsand requires a
fous
background in statistics.
losi-
ions, Inferential statistics rely on principles
ated from probability sampling, where a researcher
neis usesa random process(e.g.,a random number
ving table) to select casesfrom the entire popula-
ning tion. Inferential statistics are a precise way to
talk about how confident a researchercan be
;we
when inferring from the results in a sample to
the population.
You have already encountered inferential
statistics ifyou have read or heard about "statis-
tical significance" or results "significant at the
.05 level." Researchersuse them to conduct var-
ious statisticaltests (e.g., a t-test or an F-test).
de- Statistical significance is also used in formal hy-
DOW pothesis testing, which is a preciseway to decide
ula- whether to accept or to reject a null hlpothesis.a
Statistical significancemeans that results are not
likely to be due to chance factors. It indicates the
probability of finding a relationship in the sam-
ple when there is none in the population. Be-
cause probability samples involve a random
process, it is always possible that sample results
will differ from a population parameter. A re-
searcherwants to estimate the odds that sample
results are due to a true population parameter
or to chance factors of random sampling. Statis-
tical significance uses probability theory and
specific statistical tests to tell a researcher
whether the results(e.g.,an association,a differ-
ence between two means, a regression coeffi-
cient) are produced by random error in random
sampling.
Statistical significance only tells what rs
likely. It cannot prove anlthing with absolute
certainty. It states that particular outcomes are
more or less probable. Statistical significance is
notthe same aspractical, substantive,or theoret-
ical significance. Results can be statistically sig-
nificant but theoretically meaningless or trivial.
For example,two variablescan have a statistica\
significant association due to coincidence, with
no logical connection between them (e.g.,length
of fingernails and ability to speakFrench).
27O pA RTTw o / c o N D U c rtN c QU AN TITA TIvE
Levelsof Significance
Researchers usually expressstatisticalsignifi-
cancein termsof levels(e.g.,a testis statistically
significantat a specificlevel) rather than giving
the specificprobability.Thelevelof statisticalsig-
nificance (usually.05,.01,or .001)is a way of
talking about the likelihood that resultsare due
to chancefactors-that is,that a relationshipap-
pearsin the samplewhen there is none in the
population. If a researchersaysthat resultsare
significant at the .05 level, this means the
following:
r Resultslike theseare due to chancefactors
only 5 in 100times.
r Thereis a 95 percentchancethat the sample
resultsare not due to chancefactorsalone,
but reflectthe populationaccurately.
r The odds of suchresultsbasedon chance
aloneare.05,or 5 percent.
r One canbe 95 percentconfidentthat the re-
sults are due to a real relationshipin the
population,not chancefactors.
Theseall say the same thing in different
ways.This may soundlike the discussionof sam-
pling distributionsandthe centrallimit theorem
in the chapteron sarnpling.It is not an accident.
Both arebasedon probability theory which re-
searchersuse to link sampledata to a popula-
tion. Probability theory lets us predict what
happensin the long run overmany eventswhen
a random processis used.In other words, it al-
lows preciseprediction over many situationsin
the long run, but not for a specificsituation.
Sincewe haveone sampleand we want to infer
to the population,probabilitytheoryhelpsus es-
timate the odds that our particularsamplerep-
resentsthe population.We cannot know for
certainunlesswe havethewholepopulation,but
probabilitytheoryletsus stateour confidence-
how likely it is that the sampleshowsone thing
while somethingelseis true in the population.
For example,a sampleshowsthat collegemen
R E S E A R cH
and women differ in how many hours they
study. Is the result due to an unusual sample'
and there is really no difference in the popula-
tion, or does it reflect a true difference between
the sexesin the population?
Type land Typell Errors
is basedon
Thelogicof statisticalsignificance
statingwhether chancefactorsproduceresults.
You may ask,Why usethe .05level?It meansa 5
percentchancethat randomnesscould causethe
results.Why not usea more certainstandard-
for example,a I in 1,000probabilityof random
chance?This givesa smallerchancethat ran-
domnessversusa true relationshipcausedthe
results.
Therearetwo answers.The simpleansweris
that the scientific community has informally
agreedto use .05 as a rule of thumb for most
purposes.Being95percentconfidentofresultsis
the acceptedstandardfor explainingthe social
world.
A secondanswerinvolvesa tradeoff be-
tweenmakingtwo typesof logicalerrots.ATTpe
I error occurswhen the researcher saysthat a re-
lationship existswhen in fact none exists.It
meansfalselyrejectinga null hypothesis'AType
II error occurswhen a researcher saysthat a rela-
tionship doesnot exist,but in reality it does'it
meansfalselyacceptinga null hypothesis(see
Table10.9).Of course,researchers wantto avoid
both kinds of errors.Theywant to saythat there
is a relationshipin the dataonlywhen it doesex-
ist and that there is no relationshiponly when
therereallyis none,but they facea dilemma:As
the oddsof makingonetypeof error decline,the
oddsof makingthe oppositeerror increase'
The idea of Tlpe I and TlPe II errors
may seemdifficult at first, but the samelogical
dilemmaappearsin manyother settings.For ex-
ample,a judge can err by decidingthat an ac-
cusedpersonis guilty when in fact he or sheis
innocent.Or thejudgecanerr by decidingthat a
person is innocent when in fact he or she is
 CHAPTE R1 O , / A N A L Y S I SO F Q U A N T I T A T I V ED A T A
Type I and Type ll Errors
No relationship No error
Causalrelationship Type I error
guilty. The judge doesnot want to make either
error.A judge doesnot want to jail the innocent
or to free the guilty. The judge must render a
judgmentbasedon limited information andbal-
ancethe two tFpesof errors.Likewise,a physi-
cian has to decidewhether to prescribei ,rerv
medicationfor a patient.The physiciancan err
by thinking that the medicationwill be effective
and hasno sideefFects when, in fact,it hasa se-
rious side effect,such as causingblindness.Or
the physiciancan err by holding back an effec-
tive medicationbecause of fearof serioussideef-
fectswhen in fact there are none.The physican
doesnot want to makeeither error. By making
the first error, the physicancausesgreatharm to
the patientand may evenfacea lawsuit.By max-
ing the seconderror, the physicandoesnot help
the patient get better.Again, a judgment must
be made that balancestwo types of possible
errors.
We can put the ideasof statisticalsignifi-
canceand the two types of error together.An
overlycautiousresearcher setsa high levelofsig-
nificance.For example,the researcher might uie
the .0001level.He or sheattributesthe resultsto
chanceunlessthey are so rare that they would
occurby chanceonly I in 10,000times.Sucha
high standardmeansthat the researcher is most
likely to err by sayingresultsare due to chance
when in fact they arenot. He or shemay falsely
acceptthe null hypothesiswhen thereis a causal
relationship(a TypeII error). Bycontrast,a risk-
takingresearchersetsa low levelofsignificance,
271
Type ll error
No error
suchas.10.His or herresultsindicatea relation_
ship would occurby chanceI in 10times.He or
sheis likely to err by sayrngthat a causalrela_
tionship exists,when in fact random factors
(e.9.,random samplingerror) actuallycausethe
results.The researcheris likely to faiselyreject
the null hypothesis(Type I error). In sum, the
.05 levelis a compromisebetweenType I and
TypeII errors.
The statisticaltechniquesof inferentialsta_
tisticsarepreciseandrely on the relationshipbe_
tween samplingerror, samplesize,and central
limit theorem.Thepowerof inferentialstatistics
i: ability to let a researcherstate,with spe_
F.y
cific degreesof certainty,that specificsampleie_
sults are likely to be true in J population. por
example,a researcherconductssiatisticaltests
and finds that a relationshipis statisticallysig_
nificant at the .05level.He or shecan statethat
tbe sample results are probably not due to
chancefactors.Indeed,there is a 95 percent
chancethat a true relationshipexistsin the social
world.
Testsfor inferentialstatisticsare limited.
Thedatamust comefrom a randomsample,and
testsonly take into accountsamplingerrors.
Nonsampling errors (e.g., a poor sampling
frame or a poorly designedmeasure)are not
considered.Do not be fooled into thinking that
suchtestsoffer easy,final answers.Many-com_
puter programsquickly do the calculationfor
inferential and descriptivestatistics(seeBox
10.2).
272 PART TWO , / CO NDUCTI NG Q UANTI TATI V ER E S E A R C H
Almosteverysocialresearcher who needsto calcu-
late manystatisticsdoesso with a computerpro-
gram, often using a basicspreadsheetprogram,
spreadsheets arede-
suchas Excel.Unfortunately,
signedfor accountingand bookkeeping functions.
They includestatistics,but are clumsyand limited
for that purpose.Thereare manycomputerpro-
gramsdesignedfor calculatinggeneralstatistics.
The marketplace can be confusingto a beginner,
for productsevolverapidlywith changing computer
technology.
In recentyears,the softwarehasbecomelessde-
mandingfor a user.The most popularprogramsin
the socialsciences areMinitab,Microcase,andSPSS
Package
(Statistical Others
for the SocialSciences).
includeSAS(Statistical AnalysisSystem),STATIS-
TICAby StratSoft,andStrata.Manybeganassimple,
low-costprogramsfor researchpurposes.
CONCLUS I O N
You have learned about organizing quantitative
data to prepare them for analysis and about an-
alyzingthem (organizing data into charts or ta-
bles, or summarizing them with statistical
measures).Researchersuse statistical analysisto
test hypotheses and answer research questions'
The chapter explained how data must first be
coded and then analyzed using univariate or bi-
variate statistics.Bivariate relationships might be
spurious, so control variables and multivariate
analysis are often necessary.You also learned
some basicsabout inferential statistics.
Beginning researcherssometimes feel their
results should support a hlpothesis. There is
nothing wrong with rejecting a hypothesis. The
goal of scientific research is to produce knowl-
edge that truly reflects the social world, not to
defend pet ideas or hlpotheses. Hlpotheses are
theoretical guessesbased on limited knowledge;
they need to be tested.Excellent-quality research
The mostwidelyusedprogramfor statisticsin the
socialsciences in SPSS. lts advantages arethat social
researchersused it extensivelyfor over three
decades, it includesmanywaysto manipulate quan-
titativedata,and it contains most statisticalmea-
sures.A disadvantage is that it cantake a long time
to learn because of its many options and complex
statistics.Also,it is expensive to purchaseunlessthe
usergets an inexpensive, "strippeddown"student
versionincludedwith a textbookor workbook.
As computertechnologymakesusinga statistics
programeasier, the dangerincreases that somepeo-
plewillusethe programs, but not understand statis-
tics or whatthe programs are doing.They can easily
violate basic assumptions required by a statistical
procedure,usethe statisticsimproperly,and pro-
duce resultsthat are pure nonsensebut that look
verytechnicallysophisticated.
can find that a hypothesis is wrong, and poor-
quality researchcan suppoft a hlpothesis. Good
researchdepends on high-quality methodology,
not on supporting a specific hlpothesis.
Good researchmeansguarding againstpos-
sible errors or obstaclesto true inferences from
data to the social world' Errors can enter into the
research process and affect results at many
places: research design, measurement, data col-
lection, coding, calculating statistics and con-
structing tables, or interpreting results. Even if a
researchercan design, measure' collect, code,
and calculate without error, another step in the
researchprocessremains. It is to interpret the ta-
bles, charts, and statistics, and to answer the
question: What doesit all mean?The only way to
assign meaning to facts, charts, tables, or statis-
tics is to use theory.
Data, tables,or computer output cannot an-
swer research questions. The facts do not speak
for themselves.As a researcher,you must return
to your theory (i.e., concepts, relationships
 CHAPTERI O , / A N A L Y S I SO F Q U A N T I T A T I V ED A T A 273

amongconcepts,assumptions, theoreticaldefin- contingency table

itions) andgivethe resultsmeaning.Do not lock control variable
yourself into the ideaswith which you began. covariation
Thereis room for creativity,and new ideasare cross-tabulation
generatedby trying to figureout what resultsre- curvilinear relationship
ally say.It is important to be carefulin designing descriptive statistics
and conductingresearchsothat you canlook at direct entrymethod
the resultsasa reflectionof somethingin the so- elaboration paradigm
cialworld and not worry aboutwhetherthevare explanation pattern
due to an error or an artifact of the research frequency distribution
processitself. frequencypolygon
Beforewe leavequantitativeresearch,there independence
is onelastissue.lournalists,politicians,and oth- interpretation pattern
ers increasinglyusestatisticalresultsto make a level of statistical significance
point or bolsteran argument.This hasnot pro- linear relationship
duced greater acarracy and information in marginals
public debate.More often,it hasincreasedcon- mean
fusion and made it more important to know median
what statisticscanand cannotdo. Theclich6that mode
you can prove anything with statisticsis false; normal distribution
however,people can and do misusestatistics. partials
Through ignoranceor consciousdeceit,some percentile
peopleuse statisticsto manipulateothers.The pie chart
wayto protectyourselffrom beingmisledbysta- possiblecode cleaning
tistics is not to ignore them or hide from the range
numbers.Rather,it is to understandthe research replication pattern
processand statistics,think about what you scattergram
hear,and askquestions. skewed distribution
We turn next to qualitative research.The specification pattern
logic and purposeof qualitativeresearchdiffer standard deviation
from those of the quantitative, positi\rist ap- statistical sigrificance
proach ofthe past chapters.It is lessconcerned suppressor variable pattern
with numbers, hypotheses,and causalityand Tlpe I error
more concernedwith words,norms and values. Tlpe II error
and meaning. univariate statistics
z-score

Key Terms

bar chart Endnotes

bivariate statistics
l. Note that coding sexas I = Male, 2 = Female,or as
body ofa table
0 = Male, I = Female, or reversing the sex for
cell ofa table
numbers is arbitrary. The only reason numbers
code sheets
are used instead of letters {e.g. M and F) is be_
codebook cause many computer programs work best with
contingenry cleaning all numbers. Sometimes coding data as azero can
274 PART TWO / CO NDUCTI NG Q UANTI T A T I V ER E S E A R C H

createconfusion, so the number 1 is usually the 4. In formal hypotlresistesting, researcherstest the

lowestvalue. Theyusuallywant to rejectthe null
nullh.ypothesis.
2. Thereareother statisticsto measurea specialkind becauserejectionofthe null indirectly suPports
of meanfor ordinal dataand for other specialsit- the alternativehypothesisto the null, the one they
uations,which arebeyondthe level of discussion deducedfrom theory asa tentativeexplanation'
in this book.
For a discussionofthe elaborationparadigmand
its history,seeBabbie( 1998:393-401)and Rosen-
berg(1968).
 1
FieldResearch

Introduction
Research QuestionsAppropriatefor FieldResearch
The Logic of Field Research
What ls FieldResearch?
Stepsin a FieldResearch
Project
Choosing a Site and Gaining Access
Selectinga Siteand Entering
Strategyfor Entering
Learning
the Ropes
BuildingRapport
Relationsin the Field
Rolesin the Field
Maintaining
Relations
Observing and Collecting Data
Watchingand Listening
TakingNotes
DataQuality
Focusing
and Sampling
The Field Research lnterview
The FieldInterview
Typesof Questionsin FieldInterviews
Informants
InterviewContext
Leaving the Field
Focus Groups
Ethical Dilemmas of Field Research
Deception
Confidentiality
Involvement
with Deviants
Publishing
FieldReports
Conclusion
276 PART THREE / CO NDUCTI NG Q UALI TA T I V ER E S E A R C H

in a relativelyfixed setting(e.g.,a streetcorner,

INTRODUCTION
church,bar, beautysalon,baseballfield, etc.).
This chapterand the two that follow shift from In order to useconsistentterminology,we
the quantitativesryleof the pastseveralchapters cancallthe peoplewho arestudiedin a field set-
to the qualitative researchsryle.The qualitative tingmembers.They areinsidersor nativesin the
and the quantitative stylescandiffer a greatdeal. field andbelongto a group,subculture,or social
This chapterdescribesfield research,alsocalled settingthat the "outsider"field researcher wants
ethnographyor participant-observation research. to penetrateand learn about.
It is a qualitativestylein which a researcherdi- Fieldresearchers haveexploreda wide vari-
rectlyobserves andparticipatesin small-scale
so- ety of socialsettings,subcultures,and aspectsof
cial settings in the present time and in the sociallifel (seeFigure11.1).Placesmy students
researcher's home culture, have conductedsuccessful short-term,small-
Many studentsare excitedby field research scalefield researchstudiesinclude a beautysa-
becauseit involveshanging out with someex- lon, day-carecenter, bakery, bingo parlor,
otic group of people.Thereare no cold mathe- bowling alley,church,coffeeshop,laundromat,
maticsor complicatedstatistics,and no abstract policedispatchoffice,nursinghome,tattoo par-
deductivehypotheses.Instead,there is direct, lor, andweightroom.
face-to-facesocialinteractionwith "real people"
in a naturalsetting. Ethnography and Ethnomethodologt. Two
In field research,the individual researcher modern extensionsof field research,ethnogra-
directlytalkswith and observes the peoplebeing phy and ethnomethodology,build on the social
studied. Through interaction over months or constructionistperspective.Eachis redefining
years,the researcher learnsaboutthem,their life how field researchis conducted.Theyarenot yet
histories,their hobbiesand interests,and their the core offield research,so they are discussed
habits,hopes,fears,and dreams.Meeting new only briefly here.
people,developingfriendships,and discovering Ethnographycomesfrom cultural anthro-
new socialworlds canbe fun. It is alsotime con- pology.zEthnomeanspeopleor folk, andgraphy
suming, emotionally draining, and sometimes refersto describingsomething.Thas ethnograplry
physicallydangerous. meansdescribinga culture and understanding
anotherwayof life from the nativepoint ofview.
Ethnographyassumesthat peoplemake infer-
ResearchQuestions Appropriate for
ences-that is, go beyond what is explicitly seen
Field Research
or saidto what is meantor implied. Peopledis-
Field researchis appropriatewhen the research playtheir culture(whatpeoplethink, ponder,or
questioninvolveslearning about, understand- believe)through behavior(e.g.,speechand ac-
ing, or describinga group of interactingpeople. tions) in specificsocialcontexts.Displaysof be-
It is usuallybestwhen the questionis: How do havior do not give meaning;rather,meaningis
peopledo Y in the socialworld? or What is the inferred,or someonefiguresout meaning.Mov-
socialworld of X like?It canbe usedwhen other ing from what is heardor observedto what is ac-
methods (e.g., survey,experiments)are not tually meantis at the centerof ethnography.For
practical,asin studyingstreetgangs. example,when a studentis invitedto a "kegger,"
Field researchersstudy peoplein a location the studentinfersthat it is an informalpartywith
or setting.It hasbeenusedto studyentirecom- other student-aged peopleat which beerwill be
munities. Beginning field researchersshould served,basedon his or her cultural knowledge.
startwith a relativelysmall group (30 or fewer) Cultural knowledgeincludessymbols,songs'say-
who interactwith eachother on a regularbasis ings, facts,waysof behaving,and objects(e.g.,
 CHAPTERll / F I E L DR E S E A R C H 277

FIG URE 1 I . 1 Examplesof FieldResearchSites/Topics

Small-ScaleSettings Door-to-doorsalespersons
Passengers in an airplane Factoryworkers
Barsor taverns Gamblers
Batteredwomenl shelters Medicalstudents
Cameraclubs Femalestrippers
Laundromats Policeofficers
' Socialmovementorganizations Restaurant chefs
Socialwelfareoffices Socialworkers
Television
stations Taxidrivers
Waitingrooms
Devianceand Criminal Activity
Community Settings
Body/genitalpiercingand bnnding
Retirementcommunities
Cults
Smalltowns
Drugdealersand addicts
Urbanethniccommunities
Hippies
Working-class
neighborhoods
Nude beaches
Children'sActivities Occultgroups
Prostitutes
Children'splaygrounds
Streetgangs,motorcyclegangs
LittleLeaguebaseball
Streetpeople,homelessshelters
Youthin schools
Juniorhighgirlgroups
Medical Settings and Medical Events
Occupations
Death
Airlineattendants Emergencyrooms
Artists Intensivecareunits
Cocktailwaitresses Pregnancy and abortion
Dog catchers Supportgroupsfor Alzheimerlcaregivers

telephones,newspapers, etc.).We learn the cul-
ture by watchingtelevision,listeningto parents,
observingothers,and the like.
Cultural knowledgeincludesboth explicit
knowledge,what we know and talk about, and
tacit knowledge,what we rarely acknowledge.
For example,explicitknowledgerncladesthe so-
cialevent(e.g.,a "kegger").Most peoplecaneas-
ily describe what happens at one. Tacit
knowledge includesthe unspokencultural norm
for the proper distanceto stand from others.
Peopleare generallyunawarethat they usethis
norm. They feeluneaseor discomfortwhen the
norm is violated,but it is difficult to pinpoint
the source of discomfort. Ethnographeri de-
scribethe explicit and tacit cultural knowledge
that membersuse. Their detaileddescriptions
and carefirlanalysistakewhat is describedapart
and put it backtogether.
Ethnomethodology is adistinctapproachde-
velopedin the 1960s,with its own uniquetermi-
nology. It combinestheory, philosophy,and
method. Some do not considerit a part of
sociology.
278 pA RTr HR E E / c o N D U c rl N c QU AL ITA TIvE
A simple definition of ethnomethodology is
the study of commonsenseknowledge.Eth-
nomethodologistsstudy common senseby ob-
servingits creationand use in ongoingsocial
interactionin natural settings.Ethnomethodol-
ogyis a radicalor extremeform of field research,
basedon phenomenologicalphilosophy and a
socialconstructionistapproach.It involvesthe
specialized, highlydetailedanalysisof micro-sit-
uations (e.g.,transcriptsof short conversations
or videotapesof socialinteractions).Compared
to other field research,it is more concerned
aboutmethod and arguesthat researchfindings
result as much from the method usedas from
the sociallife studied.
Ethnomethodologyassumesthat social
meaningis fragileand fluid, not fixed, stable,or
solid. Meaning is constantlybeing createdand
re-createdin an ongoing process.For this rea-
son,ethnomethodologists analyzelanguage,in-
cluding pausesand the contextof speech.They
assumethat people"accomplish"commonsense
understanding by using tacit social-cultural
rules,and socialinteractionis a processofreality
construction.Peopleinterpret everydayevents
by using cultural knowledgeand cluesfrom the
social context. Ethnomethodologistsexamine
how ordinary people in everydaysettingsapply
tacit rules to make senseof sociallife (e.g.,to
know whetheror not someoneis joking).
Ethnomethodologists examineordinary so-
cial interactionin greatdetail to identi$'the
rulesfor constructingsocialrealityand common
sense,how theserulesareapplied,and how new
rules are created.For example,they arguethat
standardizedtestsor surveyinterviewsmeasure
a person'sability to pick up implicit cluesand
apply common sensemore than measuringob-
jectivefacts.
TH E LOG ICOF FIE LDRE S E A RCH
What Is FieldResearch?
It is difficultto pin downa specificdefinitionof
fieldresearchbecause it ismoreof anorientation
R E S E A R cH
towardresearchthan a fixed setoftechniquesto
apply.3A field researcherusesvariousmethods
to obtain information. A field researcher is a re-
sourcefirl,talentedindividualwho hasingenuity
and an ability to think on her or his feet while in
the field.
Field researchis basedon naturalism,which
is also used to study other phenomena(e.g.'
oceans,animals,plants, etc.).Naturalisn involves
observingordinary eventsin natural settings,not
in contrived,invented,or researcher-created set-
tings. Researchoccursin the field and outside
the safesettingsof an of,fice,laboratory,or class-
room.
A field researcher'sgoalis toexaminesocial
meaningsand grasp multiple perspectivesin
naturalsocialsettings.He or shewantsto getin-
sidethe meaningsystemof membersand then
return to an outsideor researchviewpoint. To
do this, the researcher switchesperspectives and
looks at the settingfrom multiple points of view
simultaneously.
Fieldresearchis usuallyconductedby a sin-
gle individual, although small teamshave been
effective(seeBox 11.1).The researcheris di-
rectly involved in and part of the socialworld
studied,sohis or her personalcharacteristics are
relevantin research.The researcher's direct in-
volvementin the field often has an emotional
impact. Field researchcan be fun and exciting,
but it canalsodisrupt one'spersonallife, physi-
cal security, or mental well-being. More than
other typesofsocial research,it reshapes friend-
ships, family life, self-identiry and personal
values.
Steps in a Field ResearchProject
Naturalism and direct involvement mean that
field researchis lessstructured than quantita-
tive research.This makesit essentialfor' a re-
searcherto be well organizedand preparedfor
the field. It alsomeansthat the stepsof a pro-
ject arenot entirelypredeterminedbut serveas
an approximateguide or road map (seeBox
TI.2\.

A field researcher
doesthe following:
.l
. Observesordinaryeventsand everydayactivi-
ties as they happenin naturalsettings,in addi-
tion to any unusualoccurrences
2. Becomes directlyinvolvedwiththe peoplebeing
studiedand personallyexperiences the process
of dailysociallifein the fieldsetting
3. Acquiresan insider'spoint of viewwhilemain-
tainingthe analyticperspective or distanceof an
outsider
4. Usesa varietyof techniquesand socialskillsin a
flexiblemanneras the situationdemands
5. Producesdata in the form of extensivewritten
notes,as wellas diagrams,maps,or picturesto
provideverydetaileddescriptions
6. Seeseventsholistically (e.g.,asa wholeunit,not
in pieces)and individually in their socialcontext
Z. Understandsand developsempathyfor mem-
bersin a field setting,and does not just record
"cold"objectivefacts
8. Notices both explicit (recognized,conscious,
spoken)and tacit (lessrecognized, implicit,un-
spoken)aspectsof culture
9. Obseirves ongoingsocialprocesses without up-
settin&disrupting,or imposingan outsidepoint
of view
10. Copeswith highlevelsof personalstress,uncer-
tainty,ethicaldilemmas,
and ambiguity
Flexihility. Field researchersrarely follow
fixed steps.In fact, flexibility is a key advantage
offield research,which letsa researcher shift di-
rection and follow leads.Good field researchers
recognizeand seizeopportunities,"play it by
ear,"and rapidly adjustto fluid socialsituations.
A field researcher doesnot beginwith a set
of methodsto apply or explicit hlpothesesto
test.Rather,he or shechoosestechniqueson the
CHAPTERll / F I E L DR E S E A R C H 279
1. Prepare oneself, read the literature, and
defocus.
2. Selecta field siteand gainaccessto it.
3. Enterthefieldandestablishsocialrelationswith
members.
4. Adopt a socialrole, learnthe ropes,and get
alongwith members.
5. Watch,listen,and collectqualitydata.
6. Beginto analyzedataandto generateand eval-
uateworkinghypotheses.
7. Focuson specificaspectsofthe settingand use
theoreticalsampling.
8. Conduct field interviewswith memberinfor-
mants.
9. Disengageand physicallyleavethe setting.
1 0. Completethe analysesand write the research
repon.
Note:Thereis nofixedpercentage of timeneeded for each
step.Fora roughapproximation,Junker (l 960:12)
suggested that,onceinthefield,theresearcher should
expectto spendapproximately one-sixth of hisor hertime
observing,
one-thirdrecordingdata,one-third ofthetime
anallzing
data,andone-sixth reporting results.Alsosee
Denzin(l989:176)foreightstepsof fieldresearch.
basisof their valuefor providinginformation.In
the beginning,the researcherexpectslittle con-
trol over dataand little focus.Oncesocializedt<.r
the setting,however,he or she focusesthe in-
quiry and assertscontrol overthe data.
Getting Organized in the Beginning. Human
and personalfactorscan play a role in any re-
searchproject, but they are crucial in field re-
search.Field projects often begin with chance
occurrencesor a personalinterest.Field re-
searchers canbeginwith their own experiences,
suchasworking at a job, havinga hobby,or be-
ing a patientor an activist.
280 pA Rr rH R EE / c o N D U c rrN c e u A L trA TtvER E S E A R cH
Field researchersuse the skills of careful
looking and listening,short-termmemory and
regularwriting. Beforeenteringthe field, a new
researcherpracticesobservingthe ordinary de-
tails of situationsand writing them down. At-
tention to detailsand short-term memory can
improvewith practice.Likewise,keepinga daily
diary or personaljournal is good practicefor
writing field notes.
As with all social research,reading the
scholarlyliteraturehelps the researcherlearn
concepts,potentialpitfalls,datacollectionmeth-
ods, and techniquesfor resolvingconflicts. In
addition, a field researcherfinds diaries,novels,
journalisticaccounts,and autobiographiesuse-
ful for gaining familiarity and preparingemo-
tionally for the field.
Field researchbeginswith a generaltopic,
not specifichypotheses.A researcherdoesnot
getlockedinto anyinitial misconceptions. He or
sheneedsto be well informed but open to dis-
coveringnew ideas.Finding the right questions
to askaboutthe field takestime.
A researcher first emptieshis or her mind of
preconceptions.The researchershould move
outsidehis or her comfortablesocialnicheto ex-
perienceasmuch aspossiblein the field without
betrayinga primary commitmentto being a re-
searcher.
Another preparationfor field researchis
self-knowledge. A field researcherneedsto know
himselfor herselfand reflecton personalexperi-
ences.He or shecan expectanxiety,self-doubt,
frustration, and uncertaintyin the field. Espe-
cially in the beginning,the researchermay feel
that he or sheis collectingthe wrong data and
may suffer emotional turmoil, isolation, and
confusion.He or she often feelsdoubly mar-
ginal an outsiderin the field settingand alsodis-
tant from friends,family,andotherresearchers.4
The relevanceof a researcher's emotionalmake-
up, personal biography,and culturalexperiences
makesit important to be awareof his or her per-
sonalcommitmentsand inner conflicts(seeBox
11.3).Fieldworkcan havea strongimpact on a
researcher'sidentity and outlook. Researchers
may be personallytransformedby the field ex-
perience.Someadoptnew values,interests,and
moral commitments,or changetheir religion or
politicalideology.s
CHOOSING A SITE AND GAINING
ACCESS
Although a field researchproject doesnot pro-
ceedby fixed steps,some common concerns
Theseincludeselectinga
arisein the earlystages.
site and gaining accessto the site, enteringthe
field,learningthe ropes,and developingrapport
with membersin the field.
Selecting a Site and Entering
Whereto Observe. Fieldresearchers talk about
doing researchon a setting,or field site,but this
term is misleading.A siteis the contextin which
eventsor activitiesoccur,a sociallydefinedterri-
tory with shifting boundaries.A social group
may interactacrossseveralphysicalsites.For ex-
ample,a collegefootball team may interact on
the playingfield,in the lockerroom, in a dormi-
tory, at a training camp, or at a local hangout.
The team'sfield siteincludesall five locations.
The field site and researchquestion are
bound together,but choosinga site is not the
sameasfocusingon a casefor study.A caseis a
socialrelationshipor activity;it can extendbe-
yond the boundariesof the siteandhavelinks to
other socialsettings.A researcherselectsa site,
then identifiescasesto examinewithin it-for
example,how football team membersrelateto
authority figures.
Selectinga field site is an important deci-
sion,and researchers takenoteson the siteselec-
tion processes. Three factorsare relevantwhen
choosinga field researchsite: richnessof data,
unfamiliarity, and suitability.6 Some sites are
more likely than others to provide rich data.
Sitesthat presenta web of socialrelations,a va-
riety of activities,and diverseeventsover time
providericher,more interestingdata.Beginning

Eliasoph(l 998) conductedfieldresearch on several
groupsin a Californiacommunityto understandhow
Americans avoidpoliticalexpression. One wasa so_
cialclub.Eliasophdescribesherselfas an ,,urban,bi_
coastal,bespectacled, Jewish,ph.D.candidatefroma
longlineof communists, atheists,liberals,
book-read_
ers, ideologues,and arguers',(p.270). The social
club'sworldwasveryforeignto her.The socialclub,
the Buffalos,centeredon countryandwesternmusic
at a bar,the SilveradoClub.Shedescribesit:
TheSilveradohuddledon a vast,ruttedparkinglot on
whatwas oncewetlands
andnowwasa truckstoi,a mile
anda halffromAmargo's [townname]nuclearbattle_ with club members,it wasto a universitycrowdwho
shipstation.Occasional gulleysof saltwatercattaits had little understanding
pokedthroughthewideflat nilesof pavedmallsand gas
stations.Ciantfour-wheeled-drive vehiclesfitted the being bored wasto be avoided.The club members
pa*ing lot, makingmyminiatureHondalooklikea tov.
. . . lnsidethewindowless
Silverado,
initiatblindingdai-
gavewayto a hugeConfederate pinnedup be_
less flag
hindthebandstand, thestandardcollectionof nmnbeer
signsand beermirrors,menin cowboyshats,cowboys granted.
field researchersshould choosean unfamiliar
setting.It is easierto seecultural eventsand so_
cial relationsin a new site.When .,casing,' possi_
ble field sites,one must considersuch
iractical
issuesasthe researcher's time and skills,serious
conflicts among people in the site, the re_
searcher'spersonalcharacteristics and feelings,
and access to partsofa site.
A researcher's ascriptivecharacteristics(e.g.,
age,gender,race) can limit access. physicalac_
cessto a sitecan be an issue.Sitesare on a con_
tinuum, with openand public areas(e.g.,public
restaurants,airport waiting areas,etc.) at one
end and closedand privatesettings(e.g.,private
firms, clubs,activitiesin a person'ihorie, etc.)at
the other.A researcher miy find that he or sheis
not welcomeor not allowedon the site,or there
are legal and political barriers to access.Laws
CHAPTERll / F I E L DR E S E A R C H 281
shirtsand jeans, womenin curly permsand tiered
flouncesof laceor denimskirts,or jeans,and beltswith
their namesembroideredin glitter on the back.
(1998:92)
Eliasophintroducedherselfas a student.During
.
her two yearsofresearch,sheenduredsmoke_filled
roomsas well as expensivebeer and bottled_water
prices;attendeda weddingand manydancelessons;
and participatedin countlessconversations and
heardmanyabusivesexisVracist jokes.Shelistened,
askedquestions,observed,and took notes in the
bathroom.When she returnedhome after hours
of the world shewasstudv_
ing. For them,witty conversation wascentraland
used more nonverbalthan verbalcommunication
and beingbored,or sitting and doing nothing,was
just fine.The researchforcedEliasopi'to
r.e"*Irnine
her own viewsand tastes,whichsfrehad taken for
and regulationsin institutions (e.g., public
schools,hospitals,prisons,etc.) restrlct u...rr.
In addition, institutional review boards may
limit field researchon ethicalgrounds.
Level of Involvemenf. Field roles can be
arcangedon a continuum by the degreeof de_
tachmentor involvementa researcherhaswith
members.At oneextremeis a detachedoutsider;
at the other extremeis an intimately involved
insider.
The field researcher's
level of involvement
depends on negotiations with members,
specificsof the field setting,the researcher,s
personal comfort, and the particular role
adoptedin the field. Many move from outsider
to insider levelswith more time in the field.
Eachlevelhasits advantages and disadvantages.
282 pA RTT HRE E,/ c o N D U c l N c e u A L trAT tvER E S E A R cH

Different field researchers advocatedifferent findingsmight provideevidencefor someoneto

levelsof involvement. criticizethem.
Rolesat the outsiderend of the continuum Dealingwith gatekeepers is a recurrentissue
reducethe time neededfor acceptance, make asa researcherentersnew levelsor areas.In ad-
overrapportlessan issue,and can sometimes dition, a gatekeepercan shapethe direction of
help membersopen up. They facilitatedetach- research.In somesites,gatekeeper approvalcre-
ment andprotectthe researcher's self-identity.A atesa stigma that inhibits the cooperation of
researcherfeelsmarginal.Although there is less members.For example,prisonersmay not be
risk of "going native,"he or sheis alsolesslikely cooperativeif they know that the prison warden
to know an insider's experienceand misinter- gaveapprovalto the researcher.
pretationis morelikely.To reallyunderstandso-
cial meaningfor thosebeing studied,the field
Stratery for Entering
researcher must participatein the setting,asoth-
ersdo. Entering a field site requireshaving a flexible
By contrast,roles at the insider end of the strategyor plan ofaction, negotiatingaccessand
continuum facilitateempathyand sharingof a relations with members,and deciding how
member'sexperience.The goal of fi.rllyexperi- much to discloseabout the researchto field
encingthe intimate socialworld of a memberis membersor gatekeepers.
achieved.Nevertheless, a lack of distancefrom,
too much sympathy for, or overinvolvement Planning. Entering and gaining accessto a
with membersis likely. A researcher'sreports field siteis a processthat dependson common-
may be questioned,data gatheringis difficult, sensejudgmentand socialskills.Field sitesusu-
there can be a dramatic impact on the re- ally havedififerentlevelsor areas,and entry is an
searcher'sself, and the distanceneededfor issuefor each.Entry is more analogousto peel-
analysismay be hard to attain. ing the layers of an onion than to opening a
door. Moreover,bargainsand promisesof entry
Gatekeepers. A gatekeeper is someonewith the may not remain stableover time. A researcher
formal or informal authorityto control access to needsfallbackplansor may haveto return later
a site.7It can be the thug on the corner,an ad- for renegotiation.Becausethe specificfocus of
ministrator of a hospital,or the ownerof a busi- researchmay not emergeuntil later in the re-
ness.Informal public areas (e.g., sidewalks, searchprocessor may change,it is bestto avoid
public waitingrooms,etc.)rarelyhavegatekeep- beinglockedinto specificsby gatekeepers.
ers;formal organizationshaveauthoritiesfrom
whom permissionmust be obtained. Negotiation Socialrelationsare negotiated
Field researchersexpectto negotiatewith and formed throughout the processof field-
gatekeepers and bargainfor access. The gate- work.8Negotiationoccurswith eachnew mem-
keepersmaynot appreciatethe needfor concep- ber until a stablerelationshipdevelopsto gain
tual distanceor ethicalbalance.The researcher access,developtrust, obtain information, and
must setnonnegotiablelimits to protectresearch reducehostilereactions.The researcherexpects
integrity.If therearemanyrestrictionsinitially, a to negotiateand explainwhat he or sheis doing
researchercan often reopen negotiationslater, over and over in the field (seeNormalizing So-
and gatekeepers may forgettheir initial demands cial Research later in the chapter).
astrust develops.It is ethicallyandpoliticallyas- Deviantgroupsand elitesoften requirespe-
tute to call on gatekeepers. Researchers do not cial negotiationsfor gainingaccess. To gain ac-
expectthem to listen to researchconcernsor cessto deviantsubcultures, field researchers
have
careabout the findings, exceptinsofar asthese usedcontactsfrom the researcher's private life,
 CHAPTERll / F I E L DR E S E A R C H 2t3

goneto socialwelfareor law-enforcementagen- who we are-the type of personwe areor would

cieswherethe deviantsareprocessed, advertised like to be-through our physical appearance,
for volunteers,offlereda service(e.g.,counseling) what we say,and how we act. The presentation
in exchangefor access,or gone to a location of selfsendsa symbolicmessage. It maybe, ..I'm
wheredeviantshangout andjoined a group. a serious,hard-workingstudent,""I'm a warm
and caringperson,""I'm a cool iock," or ..I,ma
Disclosure. A researchermust decide how rebel and party animal." Many ielvesarepossi-
much to revealabout himselfor herselfand the ble, and presentationsof selvescan diffir de-
researchproject. Disclosingone'spersonallife, pendingon the occasion.
hobbies,interests,and backgroundcan build A field researcher is consciousofthe presen-
trust and closerelationships,but the researcher tation of self in the field. For exampG,how
will alsoloseprivacy,and he or sheneedsto en- should he or she dressin the field?The b"st
surethat the focusremainson eyentsin the field. guideis to respectboth oneselfand thosebeing
A researcheralsodecideshow much to dis- studied.Do not overdressso as to offend or
close about the researchproject. Disclosure standout, but copyingthe dressofthose being
rangeson a continuum from fully covert re- studiedis not alwaysnecessary. A professorwho
search,in which no one in the field is awarethat studiesstreetpeopledoesnot haveto dressor
researchis taking place,to the oppositeend, act^likeone; dressingand acting informally is
where everyoneknows the specificsof the re- sufficient.Likewise,more formal dressand pro-
searchproject.The degreeand timing of disclo- fessionaldemeanorarerequiredwhen studying
sure dependson a researcher's judgment and corporateexecutivesor top officials.
particularsin the setting.Disclosuremay unfold A researcher mustbe awarethat self-presen-
overtime asthe researcher feelsmore secure. tation will influencefield relationsto sornede-
Researchers disclosethe projectto gatekeep- gree.It is difficult to presenta highly deceptive
ersand othersunlessthere is a good reasonfor front or to presentoneselfin a way that deviates
not doing so,suchasthe presenceofgatekeepers sharplyfrom the persononeis ordinarily.
who would seriouslylimitor inhibit researchfor
illegitimatereasons(e.g.,to hide graftor corrup- Researcheras Instrument. The researcheris
tion). Evenin thesecases,a researcher may dis- the instrumentfor measuringfield data.Thishas
closehis or her identity asa researcher, bui may two implications.First, it puts pressureon the
poseas one who seemssubmissive,harmless, researcher to be alert and sensitiyeto what hap-
and interestedin nonthreateningissues. pens in the field and to be disciplinedabout
recordingdata.Second,it haspersonalconse-
Learningthe Ropes quences.Fieldworkinvolvessocialrelationships
and personalfeelings.Fieldresearchers areflex-
After a field siteis selectedand accessobtained. ible about what to include as data and admit
researchers must learn the ropes,developrap- their,own subjectiveinsightsand feelings.per-
port with members,adopt a role in the setting, sonal,subjectiveexperiences are part 6f field
and maintain social relations. Before cor_r- data.They are valuableboth in themselves
and
fronting such issues,the researchershould ask: for interpretingeventsin the field.Insteadoftry-
How will I presentmyselftWhat doesit mean ing to be objectiveand eliminatepersonalreac-
for me to be a "measurementinstrument"?How tions,field researchers treattheir feelingstoward
canI assumean "attitude of strangeness"? field eventsasdata.
Field researchcan heightena researcher's
Presentationof Self, Peopleexplicitlyand im- awarenessof personalfeelings.For example,a
plicitly presentthemselves to others.We display researchermay not be fully awareof personal
284 PART THREE / c oNDUc r lNc Q UALI TAT I v ER E S E A R c H
feelingsaboutnudity until he or sheis in a nud-
until he
ist colony,or aboutpersonalpossessions
or she is in a setting where others "borrow"
many items.The researcher's own surprise,in-
dignation, or questioning then may becomean
opportunity for reflectionand insight.
An Attituile of Strangeness. It is hard to recog-
nize what we are very closeto' The everyday
world we inhabit is filled with thousandsof de-
tails. If we paid attention to everythingall the
time, we would suffer from severeinformation
overload.We manageby ignoringmuch of what
is around us and by engagingin habitualthink-
ing. Unfortunately,we fail to seethe familiar as
distinctive,and assumethat others experience
realityjust aswe do. We tend to treat our own
way of living asnatural or normal.
Field researchin familiar surroundingsis
difficult becauseof a tendencyto be blinded by
the familiar. By studying other cultures, re-
searchersencounterdramaticallydifferent as-
sumptions about what is important and how
things are done.This confrontationof cultures,
or culture shock,has two benefits:It makesit
easierto seecultural elementsand it facilitates
self-discovery. Researchers adoptthe attitudeof
strangeness to gain these benefits. The attitude
of strangenes.s means questioning and noticing
ordinary details or looking at the ordinary
throughthe eyesofa stranger.Strangeness helps
a researcherovercome the boredom of observ-
ing ordinary details.It helpshim or her seethe
ordinary in a newway, one that revealsaspectsof
the setting of which membersare not con-
sciouslyaware.A field researcheradoptsboth a
stranger'sand an insider'spoint ofview
Peoplerarely recognizecustomsthey take
for granted.For example,when someonegives
us a gift, we saythank you and praisethe gift. By
contrast,gift-giving customsin many cultures
include complainingthat the gift is inadequate'
The attitude of strangeness helpsmakethe tacit
culture visible-for example, that gift giversex-
pectto hear "Thankyou" and "The gift is nice,"
andbecomeupset otherwise.
Strangeness alsoencourages to
a researcher
reconsiderhis or her own world.
social Immer-
sion in a different setting breaksold habits of
thought and action. He or shefinds reflection
and introspectioneasierand more intensewhen
encounteringthe unfamiliar,whetherit is a dif-
ferentcultureor a familiar culture seenthrough
a stranger'seYes.
Building Rapport
A field researcherbuildsrapportby gettingalong
with membersin the field. He or she forgesa
friendly relationship,sharesthe samelanguage,
and laughs and cries with members.This is a
step toward obtaining an understandingof
membersand movingbeyondunderstandingto
empathy-that is, seeingand feelingeventsfrom
another'spersPective.
It is not alwayseasyto build rapport. The
socialworld is not all in harmony,with warm,
friendly people.A settingmay containfear,ten-
sion,and conflict.Membersmaybe unpleasant,
untrustworthy, or untruthful; they may do
things that disturb or disgusta researcher.An
expeiiencedresearcher is preparedfor a rangeof
evints and relationships.He or she may find'
however,that it is impossibleto penetratea set-
ting or get really close to members. Settings
wherecooperation,sympathy,and collaboration
areimpossiblerequiredifferenttechniques.v
Chqrm nnd Trust, A field researcher needsso-
cial skills and personalcharm to build rapport.
Trust, friendly feelings,and being well liked fa-
cilitate communicationand help him or her to
understandthe inner feelingsof others. There is
no magicalway to do this. Showing a genuine
concernfor and interestin others,beinghonest,
and sharingfeelingsaregoodstrategies, but theJ
arenot foolproof. It dependson the specific set-
ting and members.
Many factorsaffecttrust and rapport-how
a researcher presentshimselfor herself;the role
he or she choosesfor the field; and the events
that encourage,limit, or make it impossibleto
2 86 pA RTT HRE E,/ c o N D U c l N c e u AL trA T r vER E S E A R cH

peratures,filthy and dilapidatedliving condi- Members who are cool at first may warm up
tions, dysentery and mosquitoes.Shefelt iso- later.Or theymayput on a front of initial friend-
lated,shecried a lot, and shegained30 pounds liness,andtheir fearsand suspicionssurfaceonly
from compulsiveeating.After months in the later.A researcher is in a delicateposition.Early
field, shethought shewasa total failure;shewas in a project,when not yet firlly awareof every-
distrustedby membersand got into fights with thing about a field site,the researcherdoesnot
the campadministration. form closerelationshipsbecausecircumstances
Maintaininga "marginal" statusis stressful;may change.Yet, if he or shedoesdevelopclose
it is difiicult to be an outsiderwho is not firlly in-
friends,they can becomeallieswho will defend
volved,especiallywhen studyingsettingsfull of the researcher's presenceand help him or her
intensefeelings(e.g.,political campaigns,reli- gain access.
giousconversions,etc.).The lonelinessand iso- A field researchermonitors how his or her
lation of fieldwork may combinewith the desire actionsor appearance affectsmembers.For ex-
to developrapport and empathyto causeover- ample,a physicallyattractiveresearcher who in-
involvement.A researcher may "go native" and
teractswith membersof the oppositesexmay
drop the professionalresearcher's encountercrushes,flirting, and jealousy.He or
role to be-
comea firll memberof the group beingstudied. shedevelopsan awareness of thesefield relations
Or the researchermay feel guilt about learning and learnsto managethem.
intimate detailsas membersdrop their guard, In addition to developingsocialrelation-
and may cometo overidenti$'with members. ships,a field researcher must be ableto breakor
withdraw from relationshipsas well. Ties with
Normalizing Social Research. A field re- one membermay haveto be broken in order to
searchernot only observesand investigates forgetieswith othersor to exploreother aspects
membersin the field but is observedand inves- of the setting.As with the end of any friendly re-
tigated by members as well. In overt field lationship,the emotionalpain of socialwith-
research,members are usually initially un- drawal can affect both the researcherand the
comfortablewith the presenceof a researcher. member. The researchermust balancesocial
Most are unfamiliar with field researchand fail sensitivityand the researchgoals.
to distinguishbetweensociologists, psycholo-
gists,counselors,and socialworkers.They may Small Favors. Fscchange relationshipsdevelop
seethe researcherasan outsidecritic or spy,or in the field, in which smalltokensor favors,in-
asa savioror all-knowingexpert. cluding deferenceand respect,areexchanged. A
An overt field researchermust normalizeso- researchermay gain acceptance by helping out
cial research-that is, help membersredefineso- in small ways.Exchangehelps when accessto
cial researchfrom something unknown and sensitiveissuesis limited. A researcher may offer
threateningto somethingnormal andpredictable. smallfavorsbut not burden membersby asking
He or shecanhelp membersmanageresearchby for return favors.As the researcherand mem-
presentinghis or her own biography,explaining bersshareexperiences and seeeachother again,
field researcha little at a time, appearingnon- membersrecallthe favorsand reciprocateby al-
threatening,or acceptingminor deviancein the lowing access. For example,Duneier(1999)used
setting(e.9.,minor violationsof officialrules). the small favor of watchingthe tablesof street
vendorswhenthey had to leavefor a short time,
suchasto usethe bathroom.
MaintainingRelations
SocinlRelations, With time, a field researcher Conflictsin theFielil. Fights,conflict,and dis-
develops and modifies social relationships. agreements canerupt in the field, or a researcher
 CHAPTERIl / FIELDRE5EARCH ? '8 7

may study groupswith opposingpositions.In senses,noticing what is seen,heard, smelled,

suchsituations,the researcher will feelpressure tasted,or touched.Theresearcherbecomesan in-
to takesidesand will be testedto seeif he or she strumentthat absorbsall sourcesof information
can be trusted.In such occasions,a researcher A field researchercarefully scrutinizesthe
usuallystayson the neutralsidelinesandwalksa physicalsettingto captureits atmosphere.He or
tightropebetweenopposingsides.This is be- she asks:What is the color of the floor, walls,
causeoncehe or shebecomesalignedwith one ceiling?How large is the room? Where are the
side, the researcherwill cut off accessto the windows and doors? How is the furniture
other side.In addition,he or shewill seethe sit- arranged,and what is its condition (e.g.,new or
uation from onlyone point of view. old and worn, dirty or clean)?What type of
lighting is there? Are there signs, painiings,
AppearingInterested. Fieldresearchers main- plants?What arethe soundsor smels?
tain an appearance of interestinthe field. An ex- Why bother with such details?you may
periencedresearcherappearsto be interestedin have noticed that storesand restaurantsoften
and involved with field eventsby statementsand plan lighting, colors,and piped-in musicto cre-
behaviors(e.g.,facialexpression,going for cof- atea certainatmosphere.Muyb. you know that
fee,organizingaparty, etc.) evenif he or sheis used-carsalespeoplespraya new-carscentinto
not truly interested.This is becausefield rela- carsor that shopsin shoppingmalls intention-
tions may be disruptedif the researcher appears ally sendout the odor of freshlymadecookies.
to be boredor distracted.Putting up sucha tem- Thesesubtle,unconscioussignalsinfluencehu-
pora'ryfront of involvementis a common small man behavior.
deceptionin dailylife and is part of beingpolite. Observingin field researchis often detailed,
Of course,selectiveinattention (i.e., not tediouswork. Insteadof the quick flash,motiva-
staringor appearingnot to notice)is alsopart of tion arisesout ofa deepcuriosityabout the de-
actingpolite. If a personmakesa socialmistake tails.Good field researchers areintrigued about
(e.g.,accidentallyusesan incorrectword, passes details that reveal "what's going
on here"
gas,etc.),the polite thing to do is to ignoreit. Se- throughcarefrrllisteningandwatching.Field
re-
lectiveinattentionis usedin fieldwork,aswell. It searchersbelievethat the core of soiial life i,
givesan alertresearcher an opportunity to learn communicated through the mundane, trival,
by casuallyeavesdroppingon conversationsor everydayminutia. This is what people often
obsen'ingeventsnot meantto be public. overlook,but field researchers needto learnhow
to notice.
In additionto physicalsurroundings,a field
OBSERVINGAND COLLECTING researcher observespeopleandtheir actions,not-
DATA ing eachperson's observable physicalcharacter-
istics:age,sex,race,and stature.peoplesociahy
This sectionlooksat how to getgoodqualitative interact differently dependingon whether
an-
field data.Fielddataarewhat the researcher ex- otherpersonis 18,40,or 70yearsold; maleor fe-
periences and remembers, and what are male;White or non-White;shortandfrail or tall.
recordedin field notesand becomeavailablefor heavyset, andmuscular.When noting suchchar-
systematicanalysis. acteristics,the researcher is included.For exam-
ple, an attitude of strangenessheightens
Watching and Listening sensitivityto a group'sracialcomposition.A re-
searcherwho ignoresthe racialcompositionof a
Observing. In the field, researcherspay atten- group of Whites in a multiracialsocietybecause
tion, watch, and listen carefully.They useall the he or shetoo is White isbeingraciallyinsensitive.
28 8 PART TH REE / c oNDUc r lNc Q UALI T A T I v ER E S E A R c H

The researcherrecordssuchdetailsbecause relevanceof what he or she is observinguntil

somethingof significancemightberevealed.It is later. This hastwo implications.First is the im-
betterto err by including everythingthan to ig- portanceofkeenobservationandexcellentnotes
nore potentiallysignificantdetails.For example, at all times, evenwhen "nothing seemsto be
"The tall, White muscular l9-year-old male happening."Secondis the importanceof look-
sprintedinto the brightly lit room just as the ing back over time and learning to appreciate
short, overweight Black woman in her sixties wait time. Most field researchers saythat they
easedinto a batteredchair" saysmuch more spenda lot of time "waiting." Novice field re-
than "One personentered,anothersatdown." searchers get frustrated with the amount of time
A fietd researchernotesaspectsofphysical they seem to "waste," either waiting for other
appearance suchasneatness, dress'and hairstyle peopleor waiting for events to occur.
becausetheyexpressmessages that canaffectso- A field researcher needsmust be attunedto
cial interactions.Peoplespenda greatdeal of the rhythms of the setting, operateon otherpeo-
time and money selectingclothes,styling and ple's schedules, and observe how eventsoccur
combinghair, groomingwith make-up,shaving, within their own flow of time. Wait time is not
ironing clothes,and using deodorantor per- alwayswasted time. Wait time is time for reflec-
fumes.Theseare part of their presentationof tion, for observing details, for developing social
self.Evenpeoplewho do not groom, shave,or relations,for building rapport, and for becom-
wear deodorantpresentthemselvesand senda ing a familiar sightto peoplein the field setting.
symbolicmessage by their appearance. No one Wait time alsodisplaysthat a researcher is com-
dresses or looks"normal." Sucha statementsug- mitted and serious; perseverance is a significant
geststhat a researcher is not seeingthe social trait field researchers needto cultivate.The re-
world through the eyesof a strangeror is insen- searchermay be impatient to get in, get the re-
sitiveto socialsignals. searchover,and get on with his or her "real life"
Behavior is also significant. A field re- but for the people in the field site,this is reallife.
searchernoticeswhere peoplesit or stand,the The researchershould subordinate his or her
pace at which they walk, and their nonverbal personalwants to the demands of the field site.
communication.Peopleexpresssocialinforma-
tion, feelings,and attitudesthrough nonverbal Listming. A field researcherlistenscarefiilly to
communication, including gestures,facial ex- phrases,accents,and incorrectgrammar,listen-
pressions,and how one standsor sits (standing ing both to what issaidand howit is saidorwhat
stiffly,sittingin a slouchedposition,etc.).People was implied. For example,people often use
express relationshipsby how theypositionthem- phrasessuchas"you know" or "ofcourse" or "et
selvesin a group and through eyecontact.A re- cetera."A field researcherknows the meaning
searchermay readthe socialcommunicationof behind suchphrases.He or shecan try to hear
peopleby noting that they arestandingcloseto- everything,but listeningis difficult when many
gether,looking relaxed,and makingeyecontact. conversations occurat onceor when eavesdrop-
A field researcher alsonoticesthe contextin ping.Luckily,significanteventsandthemesusu-
which eventsoccur:Who waspresent?Who just ally recur.
arrivedor left the scene? Was the room hot and
stuffy?Suchdetailsmay help the researcheras- Taking Notes
sign meaningand understandwhy an eventoc-
curred. If they are not noticed, the details are Most field researchdataarc in the form of field
lost, asis a full understandingof the event. notes.Full field notescan contain maps,dia-
Serendipityis important in field research. grams,photographs,interviews,taperecordings,
Many times,a field researcher doesnot know the videotapes, memoq artifactsor objectsfrom the
 .I
CHAPTER 1 / F I E L DR E S E A R C H 289

field, notesjotted in the field, and detailednotes in a public setting looks strangewhen furiously
written awayfromthefield.A field researcher ex- writing. More important, when looking down
pectsto fill manynotebooks,or the equivalentin and writing, the researchercannotseeand hear
computermemory.He or shemay spendmore what is happening.The attentiongivento note
time writing notesthan beingin the field. Some writing is taken from field observationwhere it
researchers produce40 single-spaced pagesof belongs.Thespecificsettingdetermineswhether
notesfor threehours of observation.With prac- any notes in the field can be taken. The re-
tice,evena newfield researcher canproducesev- searchermaybeableto write, andmembersmay
eralpagesofnotes for eachhour in the field. expectit, or he or shemay haveto be secretive
Writing notesis often boring, tediouswork (e.g.,go to the restroom).
that requiresself-discipline.The notescontain Jottednotesarewritten in the field.They are
extensivedescriptivedetail drawn from mem- short, temporary memory triggers such as
ory. A researchermakesit a daily habit or com- words, phrases,or drawingstaken inconspicu-
pulsion to write notesimmediatelyafterleaving ously, often scribbledon any convenientitem
the field. The notesmust be neatand organized (e.g.,napkin, matchbook).They are incorpo-
becausethe researcherwill return to them over ratedinto directobservationnotesbut arenever
arld over again.Oncewritten, the notesarepri- substitutedfor them.
vateand valuable.A researcher treatsthem with
care and protectsconfidentiality.Field notes Direct ObservationNotes. The basicsourceof
may be of interestto hostileparties,blackmail- field dataare notesa researcher writes immedi-
ers,or legalofficials,so someresearchers write ately after leaving the field, which he or shecan
field notesin code. add to later. The notes should be ordered
A researcher's stateof mind, levelof atten- chronologicallywith the date,time, andplaceon
tion, and conditionsin the field affectnote tak- eachentry. They serveas a detaileddescription
ing. He or shewill usuallybegin with relatively ofwhat the researcher heard and sawin con-
short one- to three-hourperiodsin the field be- crete,specificterms.To the extentpossible,they
fore writing notes. are an exactrecordingofthe particular words,
phrases,or actions.
Typesof Field Notes. Field researcherstake A researcher's memoryimproveswith prac-
notesin many ways.l0The recommendations tice.A new researcher cansoonrememberexact
here (alsoseeBox 11.4)are suggestions. Full phrasesfrom the field. Verbatim statements
field noteshaveseveraltlpes or levels.Fivelevels should be written with double quote marks to
will be described.It is usuallybestto keepall the distinguishthem from paraphrases. Dialogue
notesfor an observationperiod togetherand to accessories (nonverbalcommunication,props,
distinguishtypes of notes by separatepages. tone, speed, yolume, gestures) should be
Someresearchers includeinferenceswith direct recordedaswell. A researcher recordswhat was
observationsif they aresetoffby a visibledevice actuallysaidand doesnot cleanit up; notesin-
suchasbracketsor coloredink. The quantity of clude ungrammaticalspeech,slang,and mis-
notesvariesacrosstypes.For example,six hours statements(e.g.,write, "IJh, I'm goin' home,
in the field might resultin 1 pageofjoued notes, Sal,"not "I am goinghome,Sally'').
40 pagesof direct observation,5 pagesof re- A researcherputs concretedetailsin notes,
searcherinference,and2pagestotal for method- not summaries.For example,insteadof, "We
ological,theoretical,and personalnotes. talkedaboutsports,"he or shewrites,"Anthony
arguedwith Sam and |ason.He said that the
lotted Notes. It is nearly impossible to take Cubswould win next weekbecausethey traded
good notesin the field. Evena known observer for a new shortstop,Chiappetta.He alsosaid
290 PAR T THREE , / CO NDUCTI NG Q UA L I T A T I V ER E S E A R C H
Recordnotesassoonas possibleaftereachpe-
riodin the field,anddo not talkwithothersun-
til observationsare recorded.
2. Beginthe recordof eachfield visit with a new
page,with the date andtime noted.
3. Usejotted notesonly as a temporarymemory
aid,with keywordsor terms,or the first and last
thingssaid.
4. Use wide marginsto makeit easyto add to
notesat anytime.Co backandaddto the notes
if you remembersomethinglater.
5. Planto type notesand keepeachlevelof notes
separateso it will be easyto go backto them
later.
6. Recordeventsin the order in whichthey oc-
curred,and note how longthey last (e.g.,a 1 5-
minutewait,a one-hourride).
7. Makenotesasconcrete,complete,andcompre-
hensible
as oossible.
8. Usefrequentparagraphs
and quotationmarks.
Exactrecallof phrasesis best, with double
quotes;usesinglequotesfor paraphrasing.
9. Recordsmalltalkor routinesthat do not appear
to be significantat the time;they may become
imoortantlater.
that the team was better than the Mets, who he
thought had inferior infielders. He cited last
week's game where the Cubs won againstBoston
by 8 to 3." A researchernotes who was present)
what happened, where it occurred, when, and
under what circumstances.New researchersmay
not take notesbecause"nothing important hap-
pened." An experiencedresearcherknows that
events when "nothing happened" can reveal a
lot. For example, members may expressfeelings
and organize experience into folk categories
evenin trivial conversations.
1 0. "Let your feelingsflow" and write quicklywith-
out worryingaboutspellingor "wildideas."As-
sumethat no oneelsewillseethe notes.but use
pseudonyms.
I 'l . Neversubstitutetaperecordings completelyfor
field notes.
I 2. Includediagramsor mapsof the setting,and
outlineyour own movements andthoseofoth-
ersduringthe periodof observation.
1 3. Includethe researcher's own wordsand behav-
ior in the notes.Also recordemotionalfeelings
and privatethoughtsin a separatesection.
14. Avoidevaluative summarizing words.Insteadof
"Thesinklookeddisgusting," say,"Thesinkwas
rust-stained and lookedas if it had not been
cleanedin a longtime.Piecesof food and dirty
disheslookedas if they had beenpiledin it for
severaldays."
I 5. Rereadnotesperiodicallyand recordideasgen-
eratedby the rereading.
I 6. Alwaysmakeone or more backupcopies,keep
them in a lockedlocation,and storethe copies
in differentplacesin caseof fire.
ResearcherInference Notes. A field researcher
listens to members in order to "climb into their
skin" or "walk in their shoes." This involves a
three-step process. The researcher listens with-
out applying analytical categories; he or she
compares what is heard to what was heard at
other times and to what others say; then the re-
searcherapplies his or her own interpretation to
infer or figure out what it means. In ordinary in-
teraction, we do all three steps simultaneously
and jump quickly to our own inferences.A field
researcherlearns to look and listen without in-

ferringor imposingan interpretation.His or her
observationswithout inferencesgo into direct
observation notes.
A researcher
recordsinferencesin a separate
sectionthat is keyedto directobservations. Peo-
ple never seesocialrelationships,emotions,or
meaning.They seespecificphysicalactionsand
hear words, then use background cultural
knowledge,cluesfrom the context,and what is
doneor saidto assignsocialmeaning.For exam-
ple, one doesnot seeloveor anger;one seesand
hearsspecificactions(red face,loud voice,wild
gestures,obscenities)and draw inferencesfrom
them (the personis angry).
Peopleconstantlyinfer socialmeaningon
the basisof what they seeand hear,but not al-
wayscorrectly.For example,my niecevisitedme
andaccompanied me to a storeto buy a kite. The
clerk at the cashregistersmiled and askedher
whether she and her "Daddy'' (looking at me)
weregoingto fly the kite that day.The clerk ob-
served our interaction, then inferred a
father/daughter,not an uncle/niecerelationship.
She saw and heard a male adult and a female
child, but she inferred the social meaning
incorrectly.
A researcherkeepsinferred meaningsepa-
rate from direct observationbecausethe mean-
ing of actions is not always self-evident.
Sometimes,peopletry to deceiveothers.For ex-
ample,an unrelatedcoupleregisterat a motel as
Mr. and Mrs. Smith.More frequently,socialbe-
havior is ambiguousor multiple meaningsare
possible.For example,I seea White maleand fe-
male,both in their late twenties,getout of a car
and enter a restauranttogether.They sit at a
table,order a meal,and talkwith seriousexpres-
sions in hushedtones,sometimesleaning for-
ward to heareachother.As they getup to leave,
the woman,who hasa sadfacialexpressionand
appearsready to cry, is briefly huggedby the
male.They then leavetogether.Did I witnessa
couplebreakingup, two friends discussinga
third, two peopletrying to decidewhat to do be-
causetheyhavediscoveredthat their spouses are
C H A P T E R1 . I / F I E L DR E S E A R C H 291
having an affair with eachother, or a brother
and sisterwhosefatherjust died?
Analytic Notes. Researchers make many deci-
sions about how to proceedwhile in the field.
Someactsareplanned(e.g.,to conductan inter-
view, to observea particular activity, etc.) and
othersseemto occuralmostout ofthin air. Field
researchers keep methodologicalideasin ana-
lytic notesto record their plans,tactics,ethical
and proceduraldecisions,and self-critiquesof
tactics.
Theory emergesin field researchduring
datacollectionand is clarifiedwhen a researcher
reviewsfield notes.Analytic noteshave a run-
ning accountof a researcher's attemptsto give
meaning to field events.He or she thinks out
loud in the notes by suggestinglinks between
ideas,creatinghypotheses, proposingconjec-
tures,and developingnew concepts.
Analytic memosare part of the theoretical
notes.They are systematicdigressionsinto the-
ory, where a researcherelaborateson ideasin
depth, expandson ideaswhile still in the field,
and modifiesor developsmore complextheory
by rereadingand thinking aboutthe memos.
PersonalNotes. As discussedearlier,personal
feelingsand emotionalreactionsbecomepart of
the data and color what a researcherseesor
hearsin the field.A researcherkeepsa sectionof
notes that is like a personal diary. He or she
records personallife eventsand feelingsin it
("I'm tensetoday.I wonder if it's becauseof the
fight I had yesterdaywith Chris," "I've got a
headacheon this gloomy,overcastday'').
Personalnotes servethree functions:They
provide an outlet for a researcherand a way to
copewith stress;they area sourceof dataabout
personalreactions;and they give him or her a
way to evaluatedirect observationor inference
noteswhenthe notesarelaterreread.For exam-
ple, if the researcher
wasin a goodmood during
observations,it might color what he or sheob-
served(seeFigure11.2).
292 PART THR EE / CO NDUCTI NG Q UALI TA T I V ER E S E A R C H

FIcURE 1 1.2 TYPesofFieldNotes

lnference Analytic PersonalJournal
DirectObservation
Kay seems Womenare It is raining.
Sunday,October4. KaY's
friendlytoday, afraidof men I am feeling
Kafe3:00pm.Large
humming. She who comein comfortable
Whitemalein mid-4Os,
becomessolemn alonesincethe with Kay but
overweight, enters.He
and watchful.I robbery. am boredtoday.
wearswornbrownsuit.
He is alone;sitsat booth thinksheputson
#2.KaycomesbY,asks, the radiowhen
"What'llit be?"Man nervous.
says,"Coffee,blackfor
now."She leavesand he
lightscigaretteand reads
menu.3:15Pm.KaY
turnson radio.

Maps and Diagrams. Field researchers the field. They cannot be introduced into all field
often
makemapsand draw diagrams or picturesof sites,and can be used only aftet a researcherde-
the
featuresof a field site.This servestlvo velops rapport. Recordersand videotapesprovide
purposes:
It helpsa researcherotganizeeventsin the fielda close approximation to what occurred and a
p.r-un.rrt record that others can review' They
and it helpsconveya field siteto others.For ex-
ample, a researcherobservinga bar with. 15 ,a-a ut "jotted notes" to help a researcherrecall
stoolsmay draw and number 15 circlesto sim- events and observe what is easy to miss' Never-
pliS' recording(e.8.'"Yosukecamein and saton theless,these items can create disruption and an
itool 12;Phoebewasalreadyon stool10").Field increased awarenessof surveillance' Researchers
researchers find threetypesof mapshelpful:spa-who rely on them must addressassociatedprob-
tial, social,and temporal.The first helpsorientlems (e.g.,ensurethat batteriesare fresh and there
the data;the latter two arepreliminaryforms ofare enough blank tapes). Also' relistening to or
data analysis.A spatial map locatespeople, viewing tapes can be time consuming' For exam-
ple, it may take over 100 hours to listen to 50
equipment,andthe like in termsof geographical
physical spaceto show where activities occur iro,rr, ,".orded in the field. Transcriptions of tape
are expensive and not always accurate; they do
inig"t. 11.3A).Asocialmapshowsthe number
or variety of people and the arrangements not always convey subtle contextual meanings or
amongthem of power,influence,friendship,di- mumbled words. Duneier (1999) had a tape
vision of labor, and so on (Figure11'3B)'A recorder on all the time in his study of New York
temporalmap showstheebband flow of people, City streetvendors. He made others aware of the
goodr,services,and communications,or sched- machine and took reponsibility for what behav-
ules(Figure11.3C). iors he focusedon, and he left the machine visible'
The taping mayhave createdsome distortion but
Machine Recordingsto SupplementMeffiory' it also provided a record of everydayroutines' He
Tape recordersand videotapescan be hetpful also had a collaborator who took a large collection
supplements Theyneversubsti- of photographs of his field site and informants'
in field research.
presencein
notesor a researcher's
t"ta fot field which heiped him to seethings differently'
F I G URE 11. 3 Typesof MapsUsedin FieldResearch
A SpatialMap

lwong 6 EmPtY
\-/ \_/ Chair

Sampson

o
oo
De Onis Harris

Window

B Social Map

ApartmentA

FriendshipPatternof 'l 1 People

O t","" @Mr"r"t"" ApartmentB

C Temporal Map
Day of Week, Buzz's Bar

Open10:00

Neighbors
ano
Bridge
Players
294 PART THREE / CO NDUCTI NG Q UALI TATI V ER E S E A R C H

InterviewNotes, Ifa researcher conductsfield saylngthat to pleaseme?Is there anythingthat

interviews(to be discussed),
he or shekeepsthe might limit his spontaneity?
interviewnotesseparate. Field researchers take subjectivityand con-
text into account they evaluatecredibility'
as
Theyknow that a person'sstatementsor actions
Data Quality are affectedby subjectiveperceptions.State-
Reliability in FieldResearch. The reliabilityof mentsaremadefrom a particularpoint of view
field dataaddresses the question:Are researcher and coloredby an individual's experiences. In-
observationsabout a memberor field eventin- steadof evaluating each statement to see if it is
ternally and externallyconsistent? Internal con- true. a field researcher finds statements useful in
sistencyrefersto whetherthe data are plausible themselves. Eveninaccuratestatementsand ac-
givenall that is known about a personor event, tions can be revealingfrom a researcher's
eliminatingcommon forms of human decep- perspective.
tion. In other words, do the piecesfit together As mentionedbefore, actions and state-
into a coherentpicture?For example,are a ments are shapedby the context in which they
member'sactionsconsistentover time and in appear.What is saidin one settingmay differ in
different socialcontexts?Externalconsistency is other contexts.For example,when asked"Do
achievedby verifyingor cross-checking observa- you dance?"a membermay sayno in a public
tions with other, divergentsourcesof data. In setting full of excellentdancers,but yes in a
other words, doesit all fit into the overallcon- semiprivatesettingwith few good dancersand
text?For example,can othersverifr what a re- differentmusic.It is not that the memberis lying
searcherobservedabout a person?Does other but that the answeris shapedby the context.
evidenceconfirm the researcher's observations? Duneier (1999)haswarnedus to avoid the
Reliability in field researchalso includes ethnographic fallacy.It occurswhen a field re-
what is not said or done,but is expected.Such searchertakeswhat he or she obervesat face
omissionscan be significantbut are difficult to value,doesnot questionwhat peoplein a field
detect.For example,when observinga cashier site say, and focusessolely on the immediate
end her shift, a researchernotices that the concretedetailsof a field settingwhile ignoring
moneyin the cashdraweris not counted.He or largersocialforces.Duneiernoted that he tried
she may notice the omission only if other to avoid the fallacyby being awareof largerso-
cashiersalwayscount the money at the end of cial contextand forces.Thus,he studiedpeople
the shift. who took responsibilty for their own failures
Reliabilityin field researchdependson a re- (such as dropping out of schoolin the ninth
searcher'sinsight, awareness, suspicions,and grade) and blamed themselves.Duneier was
questions.He or she looks at membersand firlly awarefiom many other studiesof the larger
eventsfrom different angles(legal,economic, forces (e.g., family situation, violence,poor
political,personal)and mentallyasksquestions: quality school,racialprejudice,joblessness) that
Where doesthe money come from for that? oftencontributedto their experience offailure'l1
What do thosepeopledo alt day?
Field researchers dependon what members Valiility in Field Research. Validityin field re-
tell them.This makesthe credibilityof members searchis the confidenceplacedin a researcher's
and their statementspart of reliability.To check analysisand dataas accuratelyrepresentingthe
membercredibility,a researcherasks:Doesthe socialworld in the field.Replicabilityis not a cri-
personhavea reasonto lie?Is shein a positionto terion because field researchis virtually impossi-
know that?What are the person'svaluesand ble to replicate.Essentialaspectsof the field
how might that shapewhat shesays?Is he just change:The socialeventsand context change,

the members are different, the individual re-
searcherdiffers,and so on. Therearefour kinds
ecologi-
of validity or testsof researchaccutaclr:
calvalidity, natural history, member validation,
and competentinsiderperformance.
t Ecologicalvalidity' Validity is achievedby
describingthe studied social world in a
mannerthat matcheswhat itwouldbe with-
out a researchpresence.Ecologicalvalidity
i suggests that eventsand interactionswould
occur the samewithout a researcherthere
T and without beingpart of a researchstudy'
t Natural history.Validity is achievedby of-
fering a highly detaileddescriptionof how
the risearchwasconducted.Natural history
offers readers a close-up view of a re-
searcher's actions,assumptions,and proce-
duresfor evaluation.
t Membervalidation.Validity is achievedby
askingmembersof a field siteto reviewand
verifr the accuraryof the descriptionof
their intimate socialworld. Possiblelimita-
tions of member validation are that dif-
ferent members may have conflicting
perspectives, membersmay objectto 11un-
lavoiable portrayal their social world, or
membersmay not recognizeparts of a de-
scription that go beyondtheir own narrow
perspective.l2
t Competentinsiderperformance.Validity is
achievedby a researcherinteractingidenti-
cally to or "passing" as an insider or mem-
ber of the field site.This form of validity is
reachedwhen a researchertruly under-
standsinsider assumptions, knows and acts
basedon tacit local socialrules or knowl-
edge,and cantell and getinsiderjokes'
Focusingand SamPling
Focusing. The field researcherfirst getsa gen-
eralpicture,then focuseson a few specificprob-
lemsor issues(seeFigure11.4).A researcher searchers
decideson specificresearchquestionsanddevel- field locations.
C H AP TE R l l / FIELD R E S E A R C H 295
tI
I
All Details
in the
Field
I
+
-+Amount of Timein the FieldSite+
ops hlpothesesonly afterbeing in the field and
experiencingit firsthand. At first, everything
seemsrelevant;later, however,selectiveatten-
tion focuseson specificquestionsand themes.
Sampling. Field researchersoften use non-
probabilitysamples,suchassnowballsampling.
Manytimes the field researchis samplingdiffer-
ent tfpes of units. A field researchermay takea
smaller. selectiveset of observationsfrom all
possibleobservations, or sampletimes, situa-
tions, typesofevents,locations,typesofpeople,
or contextsof interest.For example,a researcher
samplestime by observinga settingat different
times.He or sheobservesat all times of the day,
on everydayof theweek,and in all seasons to get
a full senseof how the field sitestaysthe same or
changes.It is often best to overlap when sam-
pling (e.g.,to havesamplingtimesfrom 7:00e.u.
from 8:00,t.lr. to 10:00e'vt.,from
to 9:00.t.ir,t.,
to I l:00n.tvn.,
9:00n.rvr. etc.).
A researcher often sampleslocationsbe-
causeonelocationmay givedepth'but a narrow
perspective. Sittingor standingin differentloca-
iioni h"lps the researcherget a senseof the
wholesite.For example,the peer-to-peerbehav-
ior ofschool teachersusuallyoccursin a faculty
lounge,but it also occursat a local bar when
teachersgatheror in a classroomtemporarily
used for a teachermeeting.In addition, re-
tracethe pathsof membersto various
 P A R T T H R E E ,/ CONDUCT INC QUAL IT AT IVE R E 5E A K C I-I

Fieldresearchers samplepeopleby focusing ended,informal, and long. Generally,they in-

their attentionon differentkinds of people(olo- volveoneor morepeoplebeingpresent,occurin
timers and newcomers,old and young, males the field,and areinformal andnondirective(i.e.,
and females,leadersand followers).As a re- the respondentmaytakethe interviewin various
searcheridentifiestypesof people,or people directions).
with opposingoutlooks,he or shetriesto inter- A field interview involves a rnutual sharing
act with and learn about all types.A field re- of experiences. A researchermight sharehis or
searcheralso samplesvarious kinds of events, her backgroundto build trust and encouragethe
suchasroutine,special,andunanticipated.Rou- informant to open up, but doesnot force an-
tine events(e.g.,openingup a storefor business) swersor useleadingquestions.Sheor he en-
happeneveryday and shouldnot be considered couragesand guides a process of mutual
unimportant simply becausethey are routine. discovery.
Specialevents(e.g.,annualoffice parry) zre an- In field interviews,membersexpressthem-
nouncedand plannedin advance.They focus selvesin the forms in which they normally speak,
member attention and revealaspectsof social think, and organizereality.A researcherretains
life not otherwisevisible.Unanticipatedevents members'jokes and narrativestoriesin their
are thosethat just happento occur while a re- natural form and doesnot repackagethem into
searcheris present(e.g.,unsupervisedworkers a standardizedformat.Thefocusis on the mem-
when the managergetssick and cannotoversee bers'perspectives and experiences. In order to
workersat a storefor a day).In this case,the re-stay close to a member's experience,the re-
searcherseessomethingunusual,unplanned,or searcherasksquestionsin termsof concreteex-
rareby chance. amplesor situations-for example,"Could you
tell me things that led up to your quitting in
fune?"insteadof "Why did you quit your job?"
Field interviewscan occur in a seriesover
THE FIELD RESEARCHINTERVIEW
time. A researcherbeginsby building rapport
So far, you havelearnedhow field researchers and steeringconversationawayfrom evaluative
observeand take notes. They also interview or highlysensitivetopics.He or sheavoidsprob-
members,but field interviewsdiffer from survey ing inner feelingsuntil intimary is established,
researchinterviews.This sectionintroducesthe and eventhen,the researcher expectsapprehen-
field interview. sion. After severalmeetings,he or shemay be
ableto probe more deeplyinto sensitiveissues
and seekclarificationof lesssensitiveissues.In
The Field Interview
later interviews,he or shemay return to topics
Fieldresearchers useunstructured,nondirective, and checkpast answersby restatingthem in a
in-depth interviews,which differ from formal nonjudgmental tone and asking for verifica-
survey researchinterviews in many ways (see tion-for example,"The lasttime we talked,you
Table 11.1).The field interviewinvolvesasking saidthat you startedtakingthingsfrom the store
questions,listening, expressinginterest,and afterthey reducedyour pay.Is that right?"
recordingwhat wassaid.It is a joint production The field interview is closer to a friendly
of a researcherand a member.Membersareac- conversationthan the stimulus/response model
tive participantswhoseinsights,feelings,and co- found in a surveyresearchinterview.You arefa-
operation are essentialparts of a discussion miliar with a friendlyconversation. It hasits own
processthat revealssubjectivemeanings. informal rulesand the following elements:(1) a
Field research interviews go by many greeting("Hi, it's good to seeyou again");(2)
names:unstructured,depth,ethnographic,open the absenceof an explicit goal or purpose (we

don't say,"Let's now discusswhat we did last
weekend"); (3) avoidanceof repetition (we
don't say, "Could you clarifr what you said
about"); (4) questionasking("Did you seethe
race yesterday?");(5) expressionsof interest
("Really?I wish I could havebeenthere!"); (6)
expressions ofignorance("No, I missedit. What
happened?");(7) turn taking,sothe encounteris
balanced(one persondoesnot alwaysaskques-
tions and the other only answer);(8) abbrevia-
tions ("I missedthe Derby,but I'm goingto the
Indy," not "I missedthe KentuckyDerby horse
racebut I will go to the Indianapolis500 auto-
SurveyInterviewsversusField ResearchInterviews
l . It hasa clearbeginning
andend.
2. The samestandardquestionsareaskedofall
respondentsin the samesequence.
3. The interviewerappearsneutralat all times.
4. The interviewerasksquestions,and the
respondentanswers.
It is almostalwayswith one respondentalone.
6. It hasa professional
tone and businesslike
focus;
diversionsare ignored.
7. Closed-ended
questionsare common,with rare
probes.
8 . The intervieweralonecontrolsthe paceand
directionof interview.
9. The socialcontextin whichthe interviewoccurs
is ignoredand assumedto makelittle difference.
10. The interviewerattemptsto moldthe framework 1 0. The intervieweradjuststo the member's
communication pattern into a standard.
Source:Adapted
fromBriggs(l 986), Denzin(1 989), Douglas
(l 985), Misher(1 9g6), spradley(1979a).
CHAPTERll / F I E L DR E S E A R C H 297
motive race"); (9) a pauseor brief silencewhen
neitherpersontalksis acceptable; (10) a closing
(we don't say,"Let's end this conversation";in-
stead,we givea verbalindicator beforephysically
leaving:"I've got to get backto work now-see
ya tomorrow").
The field interview differs from a friendlv
conversation.It has an explicit purpose-to
learn about the informant and setting.A re-
searcherincludesexplanationsor requeststhat
divergefrom friendly conversations. For exam-
ple,he or shemay say,"I'dlike to askyou about
. . ." or "Could you look at this and seeif I've
1. The beginning andend arenot clear.The
interviewcan be pickedup later.
2. The questionsand the order in whichthev
are askedare tailoredto specificpeopleand
situations.
3. The interviewershowsinterestin responses,
encourages elaboration.
4. It is likea friendlyconversational
exchange,
but with more interviewerquestions.
5. lt canoccurin group settingor with othersin
area,but varies.
5. lt is interspersed
with jokes,asides,stories,
diversions, and anecdotes,whichare recorded.
7. Open-ended questionsarecommon,and
probesare frequent.
8. The interviewerand memberjointly control
the paceand directionof the interview.
9. The socialcontextof the interviewis noted
and seenas importantfor interpretingthe
meaningof responses.
normsand languageusage.
298 PART THREE / CO NDUCTI NC Q UALI TATI V ER E S E A R C H
written it down right?"The field interviewis less
balanced.A higher proportion of questions
comefrom the researcher, who expresses more
ignoranceand interest.Also, it includes repeti
tion. and a researcherasksthe memberto elabo-
rateon unclearabbreviations.
Kissane(2003)useddepthinterviewsin her
field study of low-income women in Philadel-
phia (discussed in Chapter6). Interviewslasted
from 30 minutesto three hours. Kissanenoted
that she askedthe women what servicesthey
used,and then namedspecificagencies. Often a
woman would then say she was aware of the
namedagency.Sheaskedthe women to describe
their experienceswith various agencies,when
they had usedthem or if theywould useservices
of various agencies,and what other socialser-
vicesthey used.Open-endedinterviewingal-
lowed her to seethe women'sdecision-making
process.
Types of Questions in Field Interviews
Many field researchers askthree tlpes of ques-
tions in a field interview:descriptive,structural,
and contrastquestions.All are askedconcur-
rently,but eachtypeis more frequentat a differ-
ent stagein the researchprocess(seeFigure
11.5).During the earlystage,a researcher pri-
marily asksdescriptive questions,then gradually
FIcURE 1 1.5 TypesofQuestionsin
FieldResearchlnterviews
Numberof
Questions
Time in the Field
adds structural questionsuntil, in the middle
stageafter analysishas begun,they make up a
majority of the questions.Contrast questions
beginto appearin the middle of a field research
study and increaseuntil, by the end, they are
askedmore than any other type.l3
A descriptitequestionis usedto explorethe
setting and learn about members.Descriptive
questionscanbe abouttime and space-for ex-
ample,"Where is the bathroom?""When does
the delivery truck arrive?" "What happened
Monday night?" They can alsobe about people
and activities:"\,Vhois sitting by the window?"
"What is your unclelike?""What happensdur-
ing the initiation ceremony?"They canbe about
objects:"When do you usea sabersaw?""Which
tools do you carry with you on an emergency
water leakjob?" Questionsaskingfor examples
aredescriptive:.questions-for example,"Could
you giveme an exampleof a greatdate?""What
were your experiences as a postalclerk?"De-
scriptivequestionsmay ask about hypothetical
situations:"If a studentopenedher book during
the exam,how would you deal with it?" They
alsoaskmembersabout the argotof the setting:
"What do you call a deputy sherif,R"(The an-
sweris a "county Mountie.")
A researcher introducesa structuralquestion
after spendingtime in the field and starting to
analyzedata. It begins after a researcherorga-
nizesspecificfield events,situations,and con-
versations into conceptual categories.For
example,a researcher's observationsof a high-
way truck-stoprestaurantrevealedthat the em-
ployees informally classify customers who
patronizethe truck stop.In a preliminary analy-
sis, he or she createsa conceptualcategoryof
kinds of customersand hasmembersveriff the
categories with structuralquestions.A common
way to posea structural questionis to ask the
memberswhethera categoryincludeselements
in addition to those aheadyidentified-for ex-
ample,"Are there any typesof customersother
than regulars,greasers,pit stoppers,and long
haulers?"In addition, a researcher asksfor con-
firmation: "Is a greasera type of customerthat

you serve?""Would a pit stopper ever eat a
three-coursedinner?"
The contrastquestionbuilds on the analysis
alreadyverifiedby structuralquestions.Contrast
questionsfocuson similaritiesor differencesbe-
tween elementsin categoriesor betweencate-
gories.The researcherasksmembersto verifii
the similarities and differences:"You seemto
hayea number of different kinds of customers
come in here. I've heard you call some cus-
tomers'regulars'and others'pit stoppers.'How
are a regularand a pit stopperalike?"or "Is the
differencebetweena long hauler and a greaser
that the greaserdoesn'ttip?" or "Two typesof
Customers iust stopto usethe restroom-entire
families and a lone male. Do you call both pit
stoppers?"
Informants
An informant or key actor in field researchis a
memberwith whom a field researcherdevelopsa
relationshipand who tellsabout,or informs on,
the field.la Who makesa good informant?The
idealinformant hasfour characteristics:
1. The informant is totally familiar with the
culture and is in position to witnesssignifi-
canteyents.He or shelivesandbreathesthe
culture and engagesin routines in the set-
ting without thinking aboutthem.
2. The individual is currently involvedin the
field. Ex-memberswho have reflectedon
the field mayprovideusefulinsights,but the
longerthey havebeenawayfrom direct in-
volvement, the more likely it is that they
havereconstructedtheir recollections.
3. The person can spend time with the re-
searcher. Interviewing may take many
hours, and somemembersare simply not
availablefor extensiveinterviewing.
4. Nonana\tic individualsmakebetter infor-
mants.A nonanalyticinformant is familiar
with and usesnative folk theory or prag-
matic common sense.This is in contrastto
the analyticmember,who preanalyzesthe
C H A P T E RI 1 , / F I E L DR E S E A R C H 299
setting, using categoriesfrom the media or
education.
A field researchermay interview several
typesof informants.Contrastingtypesof infor-
mants who provide usefulperspectives include
rookiesand old-timers,peoplein the centerof
eyentsand thoseon the fringesof activiry peo-
ple who recentlychangedstatus(e.g.,through
promotion) and thosewho are static,frustrated
or needypeopleand happyor securepeople,the
leaderin chargeand the subordinatewho fol-
lows.A field researcherexpectsmixed messages
whenhe or sheinterviewsa rangeof informants.
lnterview Context
Field researchersrecognizethat a conversation
in a private office may not occur in a crowded
lunchroom. Often, interviewstake placein the
member'shomeenvironmentsothat he or sheis
comfortable.This is not alwaysbest.If a member
is preoccupied or there is no privacy, a re-
searcherwill move to another setting (e.g.,
restaurantor universityoffice).
The interview's meaning is shapedby its
Gestaltor whole interactionof a researcher and
a memberin a specificcontext.For example,a
researchernotesnonverbalforms of communi-
cationthat add meaning,suchasa shrug,a ges-
ture, and so on.
LEAVING THE FIELD
Work in the field can last for a few weeksto a
dozenyears.In either case,at somepoint work
in the field ends.Someresearchers (e.g.,Schatz-
man and Strauss,1973)suggestthat the end
comesnaturallywhen theorybuilding ceases or
reachesa closure; others feel that fieldwork
could go on without end and that a firm decision
to cut offrelationsis needed.
Experiencedfield researchersanticipate a
processof disengaging and exitingthe field. De-
pendingon the intensityof involyementand the
300 pA RTT HREE,/ c o N D U c rrN c e u A L trAT tvER E S E A R cH
lengthof time in the field,the processcanbe dis-
ruptive or emotionallypainful for both the re-
searcherand the members.A researchermay
experiencethe emotionalpain of breakinginti-
mate friendshipswhen leavingthe field. He or
shemay feel guilty and depressedimmediately
beforeand after leaving.He or shemay find it
difficult to let go becauseof personaland emo-
tional entanglements. If the involvementin the
field wasintenseand long, and the field sitedif-
fered from his or her native culture. the re-
searchermay needmonthsof adjustmentbefore
feelingat home with his or her original cultural
surroundings.
Once a researcherdecidesto leave-be-
causethe projectreachesa natural end and little
new is beinglearned,or becauseexternalfactors
forceit to end (e.g.,endofajob, gatekeepers or-
der the researcher out, etc.)-he or shechooses
a methodof exiting.The researchercanleaveby
a quick exit (simply not return one day) or
slowly withdraw, reducing his or her involve-
ment overweeks.He or shealsoneedsto decide
how to tell membersand how much advance
warning to give.
The exit processdependson the specific
field settingand the relationshipsdeveloped.In
general,a researcher letsmembersknow a short
period aheadof time. He or shefulfills any bar-
gains or commitments that were made and
leaveswith a cleanslate.Sometimes,a ritual or
ceremony,suchasagoing-awayparryorshaking
handswith everyone,helpssignalthe break for
members.Maintaining friendshipswith mem-
bersis alsopossibleand is preferredby feminist
researchers.
A field researcheris awarethat leavingaf-
fectsmembers.Somemembersmay feelhurt or
rejectedbecausea closesocialrelationshipis
ending. They may reactby trying to pull a re-
searcherbackinto the field and makehim or her
more of a member,or they may becomeangry
and resentful.They may grow cool and distant
becauseofan awareness that the researcher
is re-
ally an outsider.In anycase,fieldworkis not fin-
ished until the processof disengagementand ex-
iting is complete.
FOCUS GROUPS
Thefocusgroup is a specialqualitativeresearch
techniquein which peopleareinformally "inter-
viewed"in a group-discussion setting.lsFocus
group researchhasgrown overthe past20years.
The procedureis that a researchergathersto-
gether6 to 12peoplein a room with a modera-
tor to discussa fewissues.Most focusgroupslast
about 90 minutes.The moderatoris trained to
be nondirectiveand to facilitatefree,open dis-
cussionby all group members(i.e.,not let one
persondominatethe discussion).Group mem-
bers shouldbe homogenous,but not include
closefriendsor relatives.In a tlpical study,a re-
searcherusesfour to six separategroups.Focus
grouptopicsmight includepublic attitudes(e.g.,
racerelations,workplaceequalrty),personalbe-
haviors(e.g.,dealingwith AIDS), a new product
(e.g.,breakfastcereal),a political candidate,or a
number of other topics.Researchers often com-
bine focus groups with quantitative research,
and the procedurehasits own specificstrengths
andweaknesses (seeBox 11.5).
Severalyearsago, I conductedan applied
study on why parentsand studentschoseto at-
tend a private high school.In addition to col-
lecting quantitative survey data, I formed six
focus groups,eachwith 8 to 10 studentsfrom
the high school.A trainedcollege-student mod-
eratoraskedquestions,elicitedcommentsfrom
groupmembers,andpreventedonepersonfrom
dominatingdiscussions. The six groupswereco-
ed and containedmembersof either one grade
levelor two adjacentgrades(e.g.,freshmenand
sophomores).Studentsdiscussedtheir reasons
for attendingthe high schooland whetherspe-
cific factorswereimportant. I tape-recordedthe
discussions, which lastedabout45 minutes,then
analyzedthe tapesto understandwhat the stu-
dentssawasimportant to their decisions.In ad-

Advantages
r The naturalsettingallowspeopleto expressopin-
ions/ideasfreely.
r Openexpression amongmembersof marginalized research: deception, confidentiality, involve_
socialgroupsis encouraged.
r Peopletend to feelempowered, especiallyin ac_
tion-orientedresearchprojects.
r Surveyresearchers are provideda windowinto
how peopletalk about surveytopics.
r The interpretation of quantitative
surveyresultsis The researchmay be coveru it may assumea
facilitated.
r Participants
may query one anotherand explain
their answersto eachother.
Limitations
r A "polarizationeffect" exists(attitudesbecome
moreextremeaftergroupdiscussion).
r Only one or a fewtopicscanbe discussed in a fo-
cusgroupsession.
r A moderatormayunknowingly limitopen,freeex_
pressionof group members.
I Focusgroup participantsproducefewer ideas
than in individualinterviews.
I Focusgroupstudiesrarelyreportallthe detailsof
study design,/procedure.
: Researchers cannotreconcilethe differences that
arisebetweenindividual-onlyand focus group_
contextresponses.
dition, the data helped when interpreting the
surveydata.
ETHICAL DITEMMAS OF FIELD
RESEARCH
The direct personalinvolvement of a field re-
searcherin the sociallivesof other peopleraises
C H A P TE R Il / FIE LDR E S E A R C H 3OI
many ethical dilemmas. The dilemmas arise
when a researcheris alone in the field and has lit_
tle time to make a moral decision. Althoueh he
or she may be aware of general ethical issuJsbe_
fore entering the field, they arise unexpectedly in
the course of observing and interacting in the
field. We will look at four ethical issueJin field
ment with deviants,and publishing reports.r6
Deception
Deception arisesin several waysin fieldresearch:
falserole, name, or identity; or it may mislead
membersin someway. The most hotly debated
of the ethicalissuesarisingfrom deceptionis
that ofcovert versusovert field r.r"ur.i. So-.
support it and seeit as necessaryfor entering
into and gaininga full knowledgeof many areas
of sociallife. Othersopposeit ind arguethat it
underminesa trust betweenresearcheis and so_
ciety.Although its moral statusis questionable,
there are somefield sitesor activiiiesthat can
onlybe studiedcovertly.Covertresearchis never
preferableand never easierthan overt research
becauseof the difficultiesof maintaininga front
and the constantfearofgetting caught.
Confidentiality
A researcherlearnsintimate knowledgethat is
given in confidence.He or she hasl moral
obligationto uphold the confidentialiwof data.
This includeskeepinginformation confidential
from othersin the field and disguisingmem_
bers'namesin field notes.Sometimes a"fieldre_
searchercannot directly quote a person.One
strategyis insteadofreporting the sourceasan
informant, the researcher canfind documentary
evidencethat saysthe samething and use the
document (e.g.,an old memo, u ,ra*rpup",
article, etc.) as if it were the source of ifr.
information.
3O2 pA RTT H R EE,/ c o N D U c l N c e u A L rr A TrvER E S E A R cH

Involvement with Deviants You can now appreciateimplications of say-

ing that in field research,the researcheris di-
Researcherswho conduct field research on de-
rectly involved with those being studied and is
viants who engagein illegal behavior face addi-
immersed in a natural setting. Doing field re-
tional dilemmas. They know of and may
search usually has a greater impact on the re-
sometimes be involved in illegal activity. This
searcher's emotions, personal life, and senseof
guilty knowledgeis of interest not only to law-
selfthan doing other types ofresearch. Field re-
enforcement officials but also to other de-
search is difficult to conduct, but it is a way to
viants.lT The researcher faces a dilemma of
study parts of the social world that otherwise
building trust and rapport with the deviants, yet
could not be studied.
not becoming so involved asto violate his or her
Good field researchrequires a combination
basic personal moral standards. Usually, the re-
of skills. In addition to a strong senseof self, the
searcher makes an explicit arrangement with
best field researcherspossessan incredible ability
the deviant members.
to listen and absorb details, tremendous pa-
tience, sensitivity and empathy for others, su-
Publishing FieldReports perb social skills, a talent to think very quickly
"on one's feet," the ability see subtle intercon-
The intimate knowledgethat a researcherob-
nections among people and/or events,and a su-
tainsand reportscreatesa dilemmabetweenthe
perior ability to expressoneself in writing.
right of privacy and the right to know. A re-
Field researchis strongestwhen a researcher
searcherdoesnot publicizemembersecrets, vio-
studies a small group of people interacting in the
Iate privacy, or harm reputations.Yet, if he or
present. It is valuable for micro-level or small-
she cannotpublish anything that might offend
group face-to-face interaction. It is lesseffective
or harm someone,part of what the researcher
when the concern is macro-level processesand
learnedwill remain hidden,and it may be diffi-
social structures. It is nearly uselessfor events
cult for others to believethe report if a re-
that occurred in the distant past or processes
searcheromits critical details.Someresearchers
that stretch acrossdecades.Historical-compara-
askmembersto look at a report to verifr its ac-
tive research, discussed in the next ch4pter, is
curaryandto approveoftheir portrayalin print.
better suited to investigating these types of
For marginalgroups(e.g.,addicts,prostitutes,
concerns.
crackusers),this may not be possible,but re-
searchers must respectmemberprivacy.On the
otherhand,censorshipor self-censorship canbe
K e y T e rms
a danger.A compromiseposition is for a re-
searcherto publishtruthful but unflatteringma-
analytic memos
terialafterconsiderationand only ifit is essential
appearanceofinterest
to the researcher's
arguments.
attitude of strangeness
contrast question
descriptive question
CONCLUSION
direct observation notes
In this chapter,you learnedaboutfield research ecologicalvalidity
and the field researchprocess(choosinga site ethnography
and gainingaccess, relationsin the field, observ- ethnographic fallary
ing and collectingdata,and the field interview). ethnomethodology
Field researchers begin data analysisand theo- external consistenry
rizing during the datacollectionphase. field site

focus group
go native
guiltyknowledge
internal consistency
jotted notes
member validation
naturalism
normalize social research
structural question
E ndnotes
l. For studies of these sites or topics, see Neuman
(2000, 2003). On studies of chidren or schools,
seeCorsaro (1994), Corsaro and Molinari (2000).
Eder (1995), Eder and Kinney (1995), Kelle
(2000),and Merten (1999).On studiesof home_
lesspeople, seeLankenau (1999), and on studies
of female strippers, seeWood (2000).
2. Ethnography is described in Agar ( I 9g6), Franke
(1983), Hammersley and Atkinson (19S3), San_
day ( 1983), and Spradley (1979a:3-12, 1979b:3_
l6 ).
3. For a general discussionoffield researchand nat_
uralism, seeAdler and Adler (1994), Georgesand
lones (1980), Holy (1984), and pearsall (Ig7U.
For discussions of contrasting tFpes of field re_
search,seeClammer (1994), Gonor (1977), Hol_
stein and Gubrium (1994), Morse (1994),
Schwandt (1994), and Straussand Corbin (l9g 4).
4. SeeLofland (1976:13-23) and Shaffir and col-
leagues( 1980:18-20) on feeling marginal.
5. SeeAdler and Adler (1987:67_78).
6. SeeHammersley and Atkinson (19g3:42*45) and
Lofland and Lofland (1995:16-30).
CHAPTERll / F I E L DR E S E A R C H 3O3
7. For more on gatekeepers and access,see Beck
(1970:1119), Bogdan and Taylor (1975:30_32),
and Wax (t97t:367).
8. Negotiation in the field is discussed in Gans
( I 982), Johnson (1975:58_59,76_7T
),and Schaz_
man and Strauss(1973:22-23).
9. See Douglas (1976), Emerson (1981:367_36g),
and fohnson (1975:124_129)on the question of
whether the researchershould alwayste patient,
polite, and considerate.
10. For more on ways to record and organize field
data, seeBogdan and Taylor (1975:AO_23),Ham_
mersley and Atkinson (1983144_173), and Kirk
and Miller (1986: 49-59).
11. SeeDuneier (1999:342_343)for detailed discus_
sion.
12. Fo_r-moreon validity in field research,seeBriggs
(.1986:24),Bogdan and Taylor (1975), Oouglas
(1976), Emerson (1981:361-363), and
Sariiek
(1eeo).
I 3. Thetypesof questionsareadaptedfrom Spradley
(r979a,r979b).
14. Field researchinformantsare discussedin Dean
and associates(1969),Kemp and Ellen (1984),
Schatzman and Strauss (1973), Spradley
(1979a:46-54),
andWhyte ( 1982).
15. For a discussionoffocus groups,seeBischoping
and Dykema(1999),Churchill (1983:179_i84),
Krueger(1988),Labaw(1980:54_58), and Mor_
gan(1996).
16. See Lofland and Lofland (1995:26, 63, 75,
168-177),Miles and Huberman(1994:2g8197),
andPunch(1986).
17. Fetterman(1989) discusses the idea of guilty
knowledge.
 Historica|-Comparative
Research

Introduction
Research
QuestionsAppropriatefor Historical-Comparative
Research
The Logic of Historical-Comparative Research
The Logicof Historical-Comparative
Research
and Quantitative
Research
The Logicof Historical-Comparative
Research
and Interpretive
Research
A DistinctHistorical-Comparative
Approach
Steps in a Historical-Comparative Research Project
Conceptualizing the Objectof Inquiry
LocatingEvidence
Evaluating
Qualityof Evidence
Organizing
Evidence
Synthesizing
Writing a Report
Data and Evidence in Historical Context
Typesof HistoricalEvidence
Researchwith SecondarySources
Researchwith PrimarySources
Comparative Research
Types of ComparativeResearch
The UnitsBeingCompared
Datain Cross-Cultural
Research
Equivalence in Historical-Comparative Research
The lmportanceof Equivalence
Types of Equivalence
Ethics
Conclusion

304
 CHAPTER1 2 , / H I S T O R I C A L - C O M P A R A T I VREE S E A R C H 305

INTRODUCTION Why did current social arrangements take a cer-

tain form in some societies but not in others?
Somestudentsfind historical-comparativere- For example, historical-comparative researchers
searchdifficult and uninterestingbecausethey have addressedthe questions ofwhat causedso-
do not know much about various countriesor cietal revolutions in China, France, and Russia
history which is often necessaryto appreciate (Skocpol, 1979); how major social institutions,
this typeofresearchand studiesthat useit. They such as medicine, have developed and changed
may feelthat historical-comparative studiesare over two centuries (Starr, 1982);how basic social
beyond their immediate daily experiencesand relationships, such as feelings about the value of
not relevant.Yet, explainingand understanding children, change (Zelizer, 1985); how recent
major eventsin the world around them-an at- changesin major cities, such as Newyork, Lon-
tack by terrorists,a nation going to war, the don, and Tokyo, reveal the rise ofa new global
sourceof racism,large-scaleimmigration, vio- urban system (Sassen,2001), and, as the study
lencebasedon religioushatred,urban decay- discussedin Chapter 2 by Marx (1998) asked,
dependon historical-comparative research. why Brazi, South Africa, and the United States
The classicsocialthinkersin the nineteenth developed different racial relations. I
century such as Emile Durkheim, Karl Marx, Historical-comparative research is suited
and Max Weber,who founded the socialsci- for examining the combinations of social factors
ences, used a historical and comparative that produce a specific outcome (e.g., civil war).
method.This methodis usedextensively in a few It is also appropriate for comparing entire social
areasof sociology(e.g.,socialchange,political systems to seewhat is common across societies
sociology,socialmovements,and socialstratifi- and what is unique. An H-C researchermay ap-
cation) and hasbeenappliedin many others,as ply a theory to specific casesto illustrate its'use-
well (e.g.,religion, criminology, sexroles,race fulness. He or she brings out or reveals the
relations,and family). Although much socialre- connections between divergent social factors or
searchfocuseson currentsociallife in onecoun- groups. And, he or she compares the same social
try, historical and/or comparativestudieshave processesand concepts in different cultural or
becomemore common in recentyears. historical contexts. For example, Switzerland
Historical-comparativesocialresearchis a and United Stateshave been compared in terms
collectionof techniquesand approaches.Some of the use of direct democracy and women's
blend into traditional history, others extend right to vote. Similar forms of lcoal government
quantitativesocialresearch.The focus of this allowed direct democracy to spread in parts of
chapteris on the distinct type ofsocial research both countries (Kriesi and Wisler, 1999). Al-
that puts historical time and/or cross-cultural though some U.S. statesgranted women to right
variation at the centerof research-that is, the to vote in the 1800s,the Swisswomen did not eet
tlpe of researchthat treatswhat is studiedaspart the right to vote until 1990 because,unlike ihe
of the flow of history and situatedin a cultural U.S. movement, the Swiss suffrage movement
context. believed in consensuspolitics and local auton-
omy and relied on government parties for direc-
tion (Banaszak,1996).
ResearchQuestions Appropriate for
Researchersalso use the H-C method to
H istorical-Com parative Research
reinterpret data or challenge old explanations.
Historical-comparative researchis a powerful By asking different questions, finding new evi-
method for addressingbig questions:How did dence,or assemblingevidencein a different way,
major societalchangetake place?What funda- the H-C researcherraisesquestions about oid
mental featuresare common to most societies? explanations and finds support for new ones by
306 PART THRE E / CO NDUCTI NC Q UALI TATI V ER E S E A R C H
interpreting the data in its cultural-historical
context.
Historical-comparativeresearchcan stren-
gthenconceptualization and theorybuilding. By
looking at historical eventsor diversecultural
contexts,a researcher cangeneratenew concepts
and broadenhis or her perspectives. Concepts
arelesslikely to be restrictedto a singlehistorical
time or to a singleculture;they canbe grounded
in the experiences of peopleliving in specificcul-
tural and historicalcontexts.2
A difficulty in readingH-C studiesis that
one needsa knowledgeof the pastor other cul-
turesto firlly understandthem. Readerswho are
familiarwith onlytheir own culturesor contem-
porarytimes may find it difficult to understand
the H-C studiesor classicaltheorists.For exam-
ple, it is difficult to understandKarl Marx's The
CommunistManifestowithout a knowledgeof
the conditionsof feudalEuropeandthe world in
which Marx waswriting. In that time and place,
serfslived under severeoppression.Feudalsoci-
etyincludedcaste-based dresscodesin citiesand
a systemof peonagethat forced serfsto give a
largepercentoftheir product to landlords.The
one and only Church had extensivelandhold-
ings, and tight familial ties existedamong the
aristocracy,landlords, and Church. Modern
readersmight ask,Why did the serfsnot flee if
conditionsweresobad?The answerrequiresan
understandingof the conditionsat the time. The
serfshad little chanceto survive in European
forestsliving on roots, berries,and hunting.
Also,no one would aid a fleeingserfrefugeebe-
causethe traditional societiesdid not embrace
strangers,but fearedthem.
THE LOGIC OF HISTORICAL-
COMPARATIVERESEARCH
The termsusedfor H-C researchcanbe confus-
ing. Researchersmay mean different things
when they say historical, comparative, and
The key questionis: Is
historical-comparative.
there a distinct historical-comparativemethod
and logic?
The Logic of Historical-Comparative
Researchand Quantitative Research
Quantitativ e versusHistorical-Comp arative
Research. One sourceof the confusionis that
both positivist quantitativelyoriented and in-
terpretive(or critical) qualitativelyorientedre-
searchers studyhistoricalor comparativeissues.
Positivistresearchers rejectthe ideathat thereis
a distinct H-C method.Theymeasurevariables,
test hypotheses,analyzequantitativedata, and
replicateresearchto discovergeneralizable laws
that hold across time and societies. They see
no fundamental difference between quantita-
tive socialresearchand historical-comparative
research.
Most socialresearchexaminessociallife in
the present in a singlenation-that of the re-
searcher. Historical-comparative researchcanbe
organizedalong three dimensions: Is the focus
on what occurs in one nation, a small setof na-
tions, or many nations? Is the focus on a sin$e
time period in the past, across many years, or a
recenttime period? Is the analysis based primar-
ily on quantitative or qualitative data?
The Logic of Historical-Comparative
Researchand Interpretive Research
A distinct, qualitative historical-comparative
type of socialresearchdiffersfrom the positivist
approachand from an extremeinterpretiveap-
proach.Historical-comparative researchers
who
usecasestudiesand qualitative datamay depart
from positivist principles.Their researchis an
intensiveexamination of a liriiited number of
casesin which socialmeaningand context are
critical.Casestudies,evenon one nation,canbe
very important. Casestudiescan elaboratehis-
torical processesand specifyconcretehistorical
details(seeBox 12.1).
Scholarswho adoptthe positivistapproach
to socialsciencecriticizethe historical-compar-
 CHAPTERI 2 / H I S T O R I C A L - C O M P A R A T I VREE S E A R C H
ln Womenof the Klan,KathleenBlee(1 99't) noted
that, prior to her research,no one had studiedthe
estimated500,000 womenin the largestracist,
right-wingmovementin the UnitedStates.Shesug-
gestedthat this mayhavebeendueto an assumption
that womenwereapoliticaland passive. Hersixyears
of researchinto the unknownmembersof a secret
society over 60 years ago showsthe ingenuity
neededin historical-sociological research.
Bleefocusedon the state of Indiana,whereas
manyas 32 percentof White Protestantwomen
weremembersof the Ku KluxKlanat its oeakin the
1 920s. In additionto reviewing publishedstudieson
the Klan,her documentaryinvestigation included
newspapers, pamphlets,and unpublished reports.
Sheconductedlibraryresearchon primaryand sec-
ondary materialsat over half a dozencollege,gov-
ernment,and historicallibraries.The historical
photographs,sketches,and mapsin the book give
readersa feelfor the tooic.
Findinginformation wasdifficult.Bleedid not have
accessto membershiplists. She identifiedKlan
womenby piecingtogethera few survivingrosters,
locatingnewspaper obituariesthat identifiedwomen
as Klanmembers, scrutinizing
publicnoticesor anti-
Klandocuments for the namesof Klanwomen,and
interviewing survivingwomenof the Klan.
ative approachfor using a small number of
cases.They believethat historical-comparative
researchis inadequatebecauseit rarelyproduces
probabilisticcausalgeneralizations that they
take as indicating a "true" (i.e., positivist)
science.
Like interpretivefield researchers,H-C re-
searchers focuson culture,try to seethroughthe
eyesofthose beingstudied,reconstructthe lives
of the peoplestudied,and examineparticularin-
dividuals or groups.An extremistinterpretive
positionsaysthat an empathicunderstandingof
the peoplebeingstudiedis the solegoalof social
research.It takesa strict,idiographic,descriptive
3O7
To locatesuryivors50 yearsafter the Klanwas
active,Bleehad to be persistentand ingenious. She
maileda noticeabout her researchto everylocal
newspaper, churchbulletin,advertisingsupplement,
historicalsociety,and publiclibraryin Indiana. She
obtained3 written recollections, i unrecordedin-
terviews,and I 5 recordedinterviews. Most of herin-
formantswereoverage80. Theyrecalledthe Klanas
an importantpart of their lives.Bleeverifiedpartsof
theirmemories throughnewspaper andotherdocu-
mentaryevidence.
Membership in the Klanremains controversial.
In
the interviews, Bleedid not revealheropinionsabout
the Klan.Althoughshe wastested,Bleeremained
neutraland did not denounce the Klan.Shestated,
"My own backgroundin Indiana(whereI livedfrom
primaryschoolthroughcollege)and white skin led
informantsto assume-lackingspokenevidenceto
the contrary-that I sharedtheir worldview"(p. S).
She did not find Klanwomenbrutal,ignorant,and
full of hatred.Bleegot an unexpectedresponseto a
questionon why the womenhad joined the Klan.
Most were puzzledby the question.To them it
neededno explanation-it wasjust "a way of grow-
ing up" and "to get togetherand enjoy."
approachand rejectscausalstatements,system-
atic concepts,or abstracttheoreticalmodels.In
the extremistinterpretiveapproach,eachsocial
settingis unique and comparisonsare impossi-
ble.
A Distinct Historical-
Comparative Approach
The distinct historical-comparativeresearch
method avoidsthe excesses of the positivistand
extremeinterpretiveapproaches. It combinesa
sensitivityto specifichistoricalor cultural con-
texts with theoreticalgeneralization.The logic
 308 pA RTT HR EE,/ c o N D U C T tN c
e u A L trATtvER E sE A R cH

and goalsof H-C researcharecloserto thoseof research.Both involveinterpretation,which in-

field researchthan to positivistapproaches.
The
following discussiondescribessimilaritiesbe-
tweenH-C researchand field research,and six
more unique featuresof historical-comparative
research (seeTable12.1).
Similoritiesto Field Research. First,both H-C
researchand field researchrecognizethat the re-
searcher'spoint ofview is an unavoidablepart of
troducesthe interpreter'slocationin time, place,
andworldview.Historical-comparative research
doesnot try to producea single,unequivocalset
ofobjectivefacts.Rather,it is a confrontationof
old with new or of differentworldviews.It rec-
ognizesthat a researcher's readingof historical
or comparative evidenceis influenced by an
awarenessof the past and by living in the
present.

summaryof a comparison of Approachesto Research:The euaritative

versusQuantitativeDistinction

Researcher's Includeas an intergralpart ofthe Removefrom researchprocess

perspective researchprocess
Approachto data lmmersedin manydetailsto acquire Preciselyoperationalize
variables
understanding
Theoryand data Groundedtheory,dialoguebetween Deductivetheory comparedwith
data and concepts empirical
data
Presentfindings Translatea meaningsystem Test hypotheses
Action,/structure Peopleconstructmeaningbut within Socialforcesshapebehavior
structures
Laws,/generalization
Limitedgeneralizationsthatdepend
on Discoveruniversal,
context-freelaws
context

Featuresof Distinct H-C ResearchApproach

Evidence Reconstructs
from fragmentsand incompleteevidence
Distortion cuards againstusingown awareness
of factorsoutsidethe socialor historical
context
Humanrole Includesthe consciousness
of peoplein a contextand usestheirmotivesas causal
factors
Causes Seescauseas contingenton conditions,
beneaththe surface,
and dueto a
combination
of elements
Micro./macro Compareswholecasesand linksthe microto macrolevelsor layersof socialreality
Cross-contexts Movesbetweenconcretespecificsin a contextand acrosscontextsfor more
abstractcomparisons
 CHAPTER12 , / H IS TOR IC A L-C OMP A R AR
Second, both field and H-C researchexam-
ine a great diversity of data. In both, the re-
searcher becomes immersed in data to gain an
empathic understanding of events and people.
Both capture subjective feelings and note how
everyday, ordinary activities signif important
social meaning.
The researcherinquires, selects,and focuses
on specific aspectsof social life from the vast ar-
ray of events, actions, symbols, and words. An
H-C researcher organizes data and focuses at-
tention on the basis of evolving concepts. He or
she examines rituals and s).rnbolsthat dramatize
culture (e.g.,parades,clothing, placement of ob-
jects, etc.) and investigatesthe motives, reasons,
and justifications for behaviors.
Third, both field and H-C researchersuse
grounded theory. Theory usually emergesduring
the processofdata collection.
Next, in both field and H-C researchthe re-
searcher's meaning system frequently differs
from that ofthe people he or she studies, but he
or she tries to penetrate and understand their
point of view. Once the life, language, and per-
spective of the people being studied have been
mastered,the researcher"translates" it for others
who read his or her report.
Fifth, both field and H-C researchersfocus
on processand sequence.Theyseethe passageof
time and processas essentialto how people con-
struct social reality. This is related to how both
are sensitive to an ever-present tension between
agency-the active moving fluid side of people
changing social reality-and r1t.161u1s-fhs
fixed regularities and patterns that shape social
life. For both qpes of research social reality si-
multaneously is what people create and some-
thing that imposes restrictions on human
choice.3
Sixth, generalization and theory are limited
in field and H-C research.Historical and cross-
cultural knowledge is incomplete and provi-
sional, based on selective facts and limited
questions. Neither deducespropositions or tests
hypothesesin order to uncover fixed laws. Like-
wise, replication is unrealistic because each re-
TIV
E SEE A R C H 309
searcherhas a unique perspective and assembles
a unique body ofevidence. Instead, researchers
offer plausible accounts and limited generaliza-
tions.
Unique Features of Historical-Comparative
Research. Despite its many similarities to field
research,some important differencesdistinguish
H-C research. Researchon the past and on an
alien culture share much in common, and what
they share distinguishes them from other
approaches.
First, H-C researchusually relies on limited
and indirect evidence. Direct observation or in-
volvement by a researcher is often impossible.
An H-C researcher reconstructs what occurred
from the evidence, but cannot have absolute
confidence in the reconstruction. Historical evi-
dence depends on the survival of data from the
past, usually in the form of documents (e.g.,let-
ters and newspapers). The researcheris limited
to what has not been destroyed and what leaves
a trace, record, or other evidencebehind.
Historical-comparative researchers must
also interpret the evidence. Different people
looking at the same evidence often ascribe dif-
ferent meanings to it, so a researcher must re-
flect on evidence. An understanding of it based
on a first glance is rarely possible. To do this, a
researcherbecomes immersed in and absorbs
details about a context. For example, a re-
searcher examining the family in the past or a
distant country needs to be aware of the full so-
cial context (e.g., the nature of work, forms of
communication, transportation technology,
etc.). He or she looks at maps and gets a feel for
the laws in effect, the condition of medical care,
and common social practices. For example, the
meaning of "a visit by a family member,, is af-
fected by conditions such as roads of dirt and
mud, the inability to call ahead of time, and the
lives of people who work on a farm with animals
that need constant watching.
A reconstruction ofthe past or another cul-
ture is easily distorted. Compared to the people
being studied, a researcheris usuallymo.. ur"ur.
310 PART THREE / c oNDUc r lNG Q UALI TATI v ER E S E A R c H
of eventsoccurringprior to the time studied,
eventsoccurring in placesother than the loca-
tion studied,and eventsthat occurredafter the
period studied.This awarenessgivesthe re-
searchera greatersenseof coherencethan was
experiencedby thoseliving in the pastor in an
isolated social setting that he or she guards
againstin a reconstruction.
Historical-comparativeresearchersrecog-
nize the capacityof peopleto learn,make deci-
sions,and act on what they learn to modiff the
courseofevents.For example,ifa group ofpeo-
ple are awareof or gain consciousness of their
own pasthistory and avoid the mistakesof the
past,theymay actconsciouslyto alterthe course
of events.Of course,peoplewill not necessarily
learn or act on what they havelearned,and if
they do act they will not necessarilybe suc-
cessfirl.Nevertheless, people'scapacityto learn
introduces indeterminacy into historical-
comparativeexplanations.
An H-C researcherwants to find out
whetherpeopleviewedvariouscoursesof action
asplausible.Thus,the worldviewandknowledge
ofthe peopleunder studyshapedwhat they saw
aspossibleor impossiblewaysto achievegoals.
The researcheraskswhether peoplewere con-
sciousof certainthings.For example,if an army
knew an enemyattackwas coming and so de-
cidedto crossa river in the middle of the night,
the action"crossingthe river" would havea dif-
ferent meaningthan in the situationwhere the
army did not know the enemywasapproaching.
A historical-comparative researcherinte-
gratesthe micro (small-scale, face-to-faceinter-
action)and macro (large-scale socialstructures)
levels.The H-C researcherdescribesboth levels
or layersofreality and links them to eachother.
For example,an H-C researcherexaminesthe
detailsof individual biographiesby readingdi-
ariesor lettersto get a feel for the individuals:
the food they ate, their recreationalpursuits,
their clothing, their sicknesses, their relations
with friends, and so on. He or she links this
micro-levelview to macro-levelprocesses: in-
creasedimmigration, mechanization of produc-
tion, proletarianization, tightened labor mar-
kets, and the like.
Historical-comparative researchersshift be-
tween details of specific context and making a
general comparison. A researcherexamines spe-
cific contexts, notes similarities and differences,
then generalizes.Comparative researcherscom-
pare acrosscultural-geographic units (e.9., ur-
Lun ur.ur, nations, societies,etc.).4 Historical
researchersinvestigate past contexts, usually in
one culture (e.g., periods, epochs, ages' eras'
etc.), for sequenceand comparison. Of course' a
researchercan combine both to investigate mul-
tiple cultural contexts in one or more historical
contexts. Yet, each period or society has its
unique causal processes,meaning systems,and
social relations, which may lack equivalent ele-
ments acrossthe units. This produces a creative
tension between the concrete specifics in a con-
text and the abstract ideas a researcher uses to
make links acrosscontexts'
The use of transcultural concepts in com-
parative analysisis analogous to the use of tran-
shistorical ones in historical research.) In
comparative research,a researchertranslatesthe
specificsof a context into a common, theoretical
language.In historical research,theoretical con-
ceptsare applied acrosstime.
STEPSIN A HISTORICAL-
COMPARATIVERESEARCH
PROfECT
In this section,we turn to the processof doing
H-C research.Conductinghistorical-compara-
tive researchdoesnot involvea rigid setofsteps
and,with only a few exceptions,it doesnot use
complexor specialized techniques.
Conceptualizing the Object of Inquiry
An H-C researcher beginsby becomingfamiliar
with the settingand conceptualizingwhatis be-
ing studied.He or shemay start with a loose
modelor a setof preliminaryconceptsand apply
 CHAPTER1 2 , / H I S T O R I C A L . C O M P A R A T I V E R E S E A R C H 3 1 I
them to a specificsetting.The provisionalcon-
ceptscontain implicit assumptionsor organiz-
ing categoriesto "package"observationsand
guidea searchthrough evidence.
If a researcheris not alreadyfamiliar with
the historicalera or comparativesettings,he or
she conductsan orientationreading(reading
severalgeneralworks). This will help the re-
searchergraspthe specificsetting,assembleor-
ganizingconcepts,subdividethe main issue,and
developlists of questionsto ask.It is impossible
to begin seriousresearchwithout a framework
of assumptions,concepts,and theory.Concepts
and evidenceinteractto stimulateresearch.For
example,Skocpol(1979)beganher studyofrev-
olution with puzzlesin macro-sociological the-
ory and the historiesof specificrevolutions.The
lack of fit betweenhistoriesof revolutionsand
existingtheoriesstimulatedher research.
Locating Evidence
Next, a researcherlocatesand gathersevidence
through extensivebibliographic work. A re-
searcherusesmany indexes,catalogs,and refer-
enceworks that list what librariescontain. For
comparativeresearch,this meansfocusing on
specificnationsor units and on particularkinds
of evidencewithin each.The researcherfre-
quently spends many weeks searching for
sourcesin libraries,travelsto severaldifferent
specializedresearchlibraries,and readsdozens
(if not hundreds) of books and articles.Com-
parativeresearchoften involveslearningone or
more foreignlanguages.
As the researcher
mastersthe literatureand
takesnumerousdetailednotes,he or shecom-
pletesmany specifictasks:creatinga bibliogra-
phy list (on cardsor computer) with complete
citations, taking notes that are neither too
skimpy nor too extensive(i.e., more than one
sentencebut less than dozens of pages of
quotes), leaving margins on note cards for
adding themeslater on, taking all notes in the
sameformat (e.g.,on cards,paper,etc.),andde-
velopinga file on themesor workinghypotheses.
A researcheradjusts initial concepts, questions,
or focus on the basis of what he or she discovers
in the evidenceand considers a range ofresearch
reports at different levelsofanalysis (e.g.,general
context and detailed narratives on specific
topics).
Evaluating Quality of Evidence
The H-C researcher gathers evidence with two
questions in mind: How relevant is the evidence
to emerging research questions and evolving
concepts? How accurate and strong is the
evidence?
As the focus of researchshifts, evidencethat
was not relevant can become relevant. Likewise,
some evidencemaystimulate newavenues ofin-
quiryand a searchfor additional confirming ev-
idence. An H-C researcherreads evidenci for
three things: the implicit conceptual frame-
works, particular details, and empirical general-
izations. He or she evaluates alternative
interpretations of evidence and looks for ,.si-
lences," or caseswhere the evidence fails to ad-
dress an event, topic, or issue. For example,
when examining a group of leading male mer-
chants in the 1890s, a researcher finds that tne
evidence and documents about them ignore
their wives and many servants.
Organizing Evidence
As a researchergathersevidenceand locatesnew
sources, he or she begins to organize the data.
Obviously, it is unwise to take notes madly and
let them pile up haphazardly. A researcher be-
gins a preliminary analysis by noting low-level
generalizationsor themes. Next, a researcheror-
ganizes evidence, using theoretical insights to
stimulate newways to organize data and for new
questions to ask ofevidence.
The interaction of data and theory means
that a researchergoesbeyond a surfaceexamina-
tion ofthe evidence to develop new concepts by
critically evaluating the evidence based on the-
ory. For example, a researcher reads a mass of
 3' 12 pA R TT H R EE/ c o N D U c l N c e u A LtrA TtvER E sE A R cH
evidence about a protest movement. The pre-
liminary analysis organizes the evidence into a
theme: People who are active in protest interact
with each other and develop shared cultural
meanings. He or she examines theories of cul-
ture and movements, then formulates a new
concept: "oppositional movement subculture. "
The researcherthen usesthis concept to reexun-
ine the evidence.
Synthesizing
Thenextstepis is to synthesize
evidence.
Once
most of the evidenceis in, the researcherrefines
concepts,createsnew ones,and movestoward a
generalexplanatorymodel. Concreteeventsin
the evidencegivemeaningto new concepts.The
researcherlooks for patterns acrosstime or
units, and drawsout similaritiesand differences
with analogies.He or she organizesdivergent
eventsinto sequences and groupsthem together
to createa largerpicture.Plausibleexplanations
arethen developedthat subsumeboth concepts
and evidenceinto a coherentwhole. The re-
searcherthen readsand rereadsnotesand sorts
and resortsthem into pilesor fileson the basisof
organizingschemes. He or shelooks for links or
connectionswhile looking at the evidencein dif-
ferentways.
Synthesislinks specificevidencewith an ab-
stract model of underlying relations or causal
mechanisms. Researchers may usemetaphors.
For example,massfrustrationleadingto a revo-
lution is "like an emotionalroller coasterdrop"
in which things seemto be getting better, and
then thereis a suddenletdownafterexpectations
haverisen very fast.The modelsare sensitizing
devices.
Writing a Report
Assemblingevidence,arguments,and conclu-
sionsinto a report is alwaysa crucial step,but
more than in quantitativeapproaches, the care-
ful crafting of evidenceand explanationmakes
or breaksH-C research.A researcherdistills
mountains of evidence into exposition and pre-
pares extensive footnotes. She or he must also
weave together the evidence and arguments to
communicate a coherent, convincing picture or
"tell a story''to readers.
DATA AND EVIDENCEIN
HISTORICAL CONTEXT
Types of Historical Evidence
First, some terms need clarification.History
meansthe eventsof the past(e.g.,it is historythat
the Frenchwithdrew troops from Vietnam), a
record of the past (e.g.,a historyof Frenchin-
volyement in Vietnam), and a discipline that
studiesthe past (e.g.,a departmentof history).
Historiographyis the method of doing historical
researchor of gathering and analyzinghistorical
evidence.Historicalsociologyis a part of histor-
ical-comparativeresearch.
Researchers draw on four typesofhistori-
calevidenceor data:primary sources,secondary
sources,running records,and recollections.6
Traditional historians rely heavily on primary
sources.H-C researchersoften use second-
ary sources or the different data types in
combination.
Primary Sources. The letters,diaries,newspa-
pers, movies,novels,articlesof clothing, pho-
tographs,and so forth of thosewho lived in the
past and have survived to the present are
primary sources.They are found in archives(a
placewhere documentsare stored), in private
collections,in family closets,and in museums
(seeBox 12.2).Today'sdocumentsand objects
(our letters,televisionprograms,commercials,
clothing, automobiles)will be primary sources
for future historians.An exampleof a classicpri-
mary sourceis a bundle of yellowedletterswrit-
ten by a husband awayat war to his wife and
found in an attic by a researcher.
Publishedand unpublishedwritten docu-
ments are the most important type of primary
 CHAPTER12 / H I S T O R I C A L - C O M P A R A T I VREE S E A R C H
313

The archiveis the mainsourcefor primaryhistorical

Technolory and Control
materials. Archivesareaccumulations oidocumen_ Archivalmaterialsmay be in their originalform,
tary materials(papers,photos,letters,etc.) in pri_ on
v at e c ollec t ion s m mrcrotorms, or, morerarely,in an electronicform.Re_
, u s e u msl,i b ra ri e s ,o r' fo rmal
archives. searchersmay be allowedonly to take notes,
not
makecopies,or they maybe aliowedonly to see
se_
Locationand Access lect parts of the wholecollection.Reselrchers
be_
Findingwhethera collectionexistson a topic, orga_ comefrustratedwiththe limitationsof havingto
read
nization, dusty papersin one specificroomand being"allowed
or individualcanbe a long,frustratingtisk
only to.take notesby pencilfor the few ho-urs
of manyletters,phonecalls,and referrals.lf thi ma_ a oay
the archiveis opento the public.
terialon a personor topic doesexist,it mavbe scat_
tered in multiplelocations.Caining..1"r, ,uy Tracking and Tracing
dependon an appealto a family,"r-b"r', kindness
for privatecollectionsor travelingto distantlibraries One of the mostdifiiculttasksin archivalresearchis
tracingcommoneventsor personsthroughthe
andverifyingone'sreasonfor examining manydusty ma_
boxesof old letters.Also,the ,"r"..J", mav dis_ terials.Evenif all materialis in one location,the same
coverlimitedhours(e.g.,an archiveis openonly four eventor relationship mayappearin several placesin
manytorms.Researchers sort throughmoundsofpa_
days a week from I 0 n.v. to 5 e.v.,but the re_
per to find bits of evidencehereanJ there.
searcherneeds to inspect the material for 40
hours). Drudgery, Luck,and Serendipity

Sorting and Organization Archivalresearchis often painstaking slow.Spending

manyhourspouringoverpartiallylegibledocuments
Archivematerialmay be unsortedor organizedin a
can be very tedious.Also,researchers will often dis_
varietyof ways.The organization mayreflectcriteria coverholesin collections,gapsin a seriesof papers,
that are unrelatedto the researcherls or
interests.For destroyeddocuments.yet, carefulreadingand
exa.mple,lettersand papersmay be in chronological spection in_
of previouslyuntouchedmaterial-can yield
order,but the researcher is interestedonly in let--ters startlingnewconnections
to four professional or ideas.The researcher"may
colleagues over three decades, discoverunexpected evidence that opensnewlinesof
not dailybills,familycorrespondence, and so on. inquiry(seeElderet al.,1 993, and Hill,1 9g3\.

source.Researchers find them in their original
form or preservedin microficheor on film. ihey
areoften the only survivingrecordof the words,
and feelings of people in the past.
th_oughts,
Written documentsarehelpful for studyingso_
cietiesand historical periods with writing and
Iiteratepeople.A frequent criticism ofliitten
sourcesis that they werelargelywritten by elites
or thosein official organizations;thus,the views
of the illiterate,thepoor, or thoseoutsideofficial
socialinstitutionsmaybeoverlooked.For exam_
ple,it wasillegalfor slavesin the United Statesto
read or write, and thus written sourceson the
experienceof slaveryhavebeenindirect or diffi_
cult to find.
The written word on paper was the main
medium of communicationprior to the wide_
spreaduseof telecommunications,computers,
and video technologyto record evenis and
ideas.In fact,the spreadof forms of communi_
cation that do not leavea permanentphysical
record(e.g.,telephoneconversations, co-mputer
3' 14 PART THRE E , / c oNDUc r lNc Q UALI TATI v ER E S E A R c H

records,andtelevisionor radio broadcasts)'and Limitationsof secondaryhistoricalevidence

which have largely replaced letters, written include problems of inaccuratehistorical ac-
ledgers,and newipapers,may makethe work of countsand a lack ofstudies in areasofinterest'
future historiansmore difficult. Suchsourcescannotbe usedto testhypotheses'
Post facto (after-the-fact)explanationscannot
SecondarySources. Primary sourceshave re- meet positivist criteria of falsifiability,because
alism and authenticity, but the practical limita- few statisticalcontrolscanbe usedand replica-
tion of time can restrict researchon many tion is impossible'Yet' historical researchby
primary sourcesto a narrow time frameor loca- others plays an important role in developing
iion. To get a broaderpicture,many H-C re- eeneralixplanations'amongits other uses'For
!"u-pl., iuch researchsubstantiates the emer-
searchersuse secondary sources'the writings of
historians
specialist who havespentyearsstudy- genceand evolutionof tendenciesovertime'
ing primary sources.
Potential Problems. The many volumes of
Running Recorils. Running recordsconsistof secondarysourcespresentamau,eof detailsand
interpretationsfor an H-C researcher' He or she
filesor eixistingstatisticaldocumentsmaintained studies
musi transform the mass of descriptive
by organizations'An example of a running with
into an intelligible picture that is consistent
,"cotd is a file in a country churchthat contains must bridge
the richness of the evidence. It also
a recordof everymarriageand everydeathfrom
1910to the Present. the manyspecifictime periodsor locales'There-
searcherfacespotential problems with sec-
Recollections.The words or writings of indi- ondarysources.
viduals about their past lives or experiences One problem is that historiansrarely pre-
basedon memory arc recollections' Thesecanbe senttheory-free,objective"facts'" They implic-
or in- itly frameraw data, categorize information,.and
in the form of memoirs, autobiographies,
recollec- shape evidence using concepts' The historian's
terviews. Because memory is imperfect,
concepts are a mixture drawn from journalism'
tions are often distorted in waysthat primary
sourcesarenot. For example,Blee(1991)inter- the languageofhistorical actors,ideologies,phi-
vieweda woman in her late eightiesaboutbeing losoph!, eierydaylanguagein the-present'and
in theKu Klux Klan (seeBox 12'l). socialscience.Most arevague,appliedinconsis-
In gatheringoral history,a type of recollec- tently, and not mutually exclusivenor exhaus-
tion, a iesearcherconductsunstructuredinter- tive. For example,a historian describesa group
viewswith peopleabout their livesor eventsin of peoplein a nineteenth-centurytownasupper
the past.This approachis especially valuablefor .luir, brrt n"rr"r definesthe term and failsto link
The oral history it to any theory of socialclasses' The historian's
ttottilit. groups or the illiterate.
implicii theories constrain the evidence and the
technique began in the 1930s and now hasa pro-
soc^ial researcher may be looking for evidence for
fessional association and scholarlyjournal de-
explanations that are contrary to ones implicitly
votedto it.
beingusedby historiansin secondarysources'
ilistorians also select some information
Researchwith Secondary Sources from all possibleevidence.Yet, the H-C re-
lJsesand.Limitations, Socialresearchers often searcherdoes not know how this was done'
use secondary sources) the books and articles Without knowingthe selectionprocess,a histor-
written by historians,asevidenceof pastcondi- ical-comparativeresearchermust rely on the
tions.TSecondarysourceshavelimitations and historian's judgments, which can contain bi-
needto be usedwith caution. ases.8For example,a historian reads 10'000
 CHAPTER1 2 , / H I S T O R I C A L - C O M P A R A T I V E R E S E A R C H 3 1 5
pages of newspapers, letters, and diaries, then
boils down this information into summaries and
selectedquotes in a 100-pagebook. An H-C re-
searcher does not know whether information
that the historian left out is relevant for his or
her purposes.
The typical historian's researchpractice also
introduces an individualist bias.A heary reliance
on primary sourcesand surviving artifacts com-
bines with an atheoretical orientation to pro-
duce a narrow focus on the actions of snecific
people. This particularistic, micro-level view di-
rects attention away from integrating themes or
patterns. This emphasis on the documented ac-
tivities of specific individuals is a tlpe of theoret-
ical orientation.e
Another problem is in the organization of
the evidence. Tradional historians organize evi-
dence as a narrative history. This compounds
problems of undefined concepts and the selec-
tion of evidence. In the historiial narrative. ma-
terial is chronologically organized around a
single coherent "story." Each part of the story is
connected to each other part by its place in the
time order of events.Together, all the parts form
a unity or whole. Conjuncture and contingency
are key elements of the narrative form-that is.
if X (or X plus Z) occurred, then ywould occur,
and if X (or X plus Z) had not occurred, some-
thing elsewould have followed. The contingency
creates a logical interdependenry between ear-
lier and later events.
A difficulty of the narrative is that the pri-
mary organizing tool-time order or position in
a sequenceof events-does not denote theoreti-
cal or historical causality. In other words, the
narrative meets only one of the three criteria for
establishing causality-that of temporal order.
Moreover, narrative writing frequently obscures
causalprocesses.This occurs when a historian in-
cludes eventsin the narrative to enrich the back-
ground or context, to add color, but that have no
causal significance. Likewise, he or she presents
events with a delayed causal impact, or events
that are temporarily "on hold" with a causalim-
pact occuring at some unspecified later time.
Also, narratives rarely explicitly indicate
how combinationor interactionefiecisoperate,
or the relativesizeof differentfactors.Foi am-
ple, the historian discusses three conditions as
causingan event.Yet, rarely do readersknow
which is most important or whether all three
conditions must operatetogether to have a
causalimpact, but no two conditionsalone.or
no single condition alone, createsthe same
impact.io
The narrativeorganizationcreatesdifficul-
ties for the researcherusing secondarysources
and createsconflictingfindings.The H-C re-
searchermust read though weak concepts,un-
known selectioncriteria, and uncleai casual
' logic. Theory may residebeneaththe narrative
but it remainimplicit and hidden.
Two last problemsare that a historian is
influencedby when he or she is writing and
historiographicschools.Various schoolsof frir_
toriography (e.g., diplomatic, demographic,
ecological,psychological,Marxist, intelleitual,
etc.) havetheir own rules for seekingevidence
and askingquestions,and they give priority to
certaintypesof explanatoryfactors.Likewise,a
historian writing today will examineprimary
materialsdifferentlyfrom how thosewriting in
thepast,suchas 1920s, did.
Researchwith Primary Sources
The historianis the major issuewhen usingsec-
ondary sources.When using primary ro.r...r,
the biggestconcernis that only a fraction of
everythingwritten or usedin the past has sur-
vivedinto the present.Moreover,what survived
is a nonrandomsampleof what onceexisted.
Historical-comparative researchers attempt
to readprimary sourceswith the eyesand as-
sumptionsof a contemporarywho lived in the
past.This means"bracketing,"or holding back
knowledgeof subsequenteventsand modern
v-alues. For example,whenreadinga sourcepro-
ducedby a slaveholder,moralizingagainstslav-
ery or faultingthe author for not seeingits evil is
not worthwhile.The H-C researcher holdsback
3' 16 PART THREE / c oNDUc r lNc Q UALI TATI vER E S E A R c H

moral judgmentsandbecomesa moral relativist events,sources,or peoplementionedin the doc-

while readingprimary sources' ument and askswhetherthey canbeverified'He
Another problem is that locating primary or sheexaminesimplicit assumptionsor value
documentsis a time-consumingtask. A re- positions, and the relevant conditions under
searchermust searchthrough specializedin- *tri.tt the document was produced is noted
dexes and travel to archives or specialized (e.g.,during wartime or under a totalitarian
libraries.Primary sourcesare often locatedin a reglme).The researcheralsoconsiderslanguage
dusty,out-of-the*wayroom fulI of stackedcard- usageat the time and the contextof statements
board boxescontainingmassesof fading docu- within the documentto distill a meaning'
ments.Thesemay be incomplete,unorganized, In an H-C study of Chinesemigrant net-
and in variousstagesof decay.Oncethe docu- works in Peru,Chicago,and Hawaii earlyin the
mentsor other primary sourcesarelocated,the twentieth century,McKeown (2001)usedboth
researcher evaluates them by subjectingthem to primary and secondaryhistoricalsourcesand
externaland internal criticism(seeFigure12'1)' running records.He consideredeventsover
External criticism meansevaluatingthe au- nearlya centuryof history and in threenations,
thenticity of a document itselfto be certainthat and everythingfrom major internationalevents
it is not a fake or a fotgery- Criticism involves and national laws to individual family biogra-
asking:Was the document created when it is phies.He reliedon secondarysources.formajor
claimedto have been, in the place where it was national or international events'Although his
supposedto be, and by the person who claims to studywasprimarily historicaland qualitative,he
be iis author? Why was the document produced also examinedquantitativedata from running
to begin with, and how did it survive? recordsand provided graphs,charts,and tables
Oncethe documentpasses asbeingauthen- of statistics.His evidencealso included geo-
tic, a researcher uses internal criticism,an exam- graphic maps and photogra-phs,quotes from
ination of the document's contents to establish 1gg-ysar-oldtelegrams'official government
credibility.A researcher evaluates whether what documents,original newspaperreports'and se-
is recordedwas based on what the author di- lectionsfrom personallettersin threelanguages'
rectly witnessed or is secondhand information' By comparingChinesemigrantsovera-long his-
This requiresexaminingboth the literal mean- torical period and in divergent social-cultural
ing of what is recordedand the subtleconnota- settings, he could tracethe formation and oper-
-of
tions or intentions.The researchernotesother ation transnationalcommunitiesand social

FIcURE 1 2.1 InternalandExternalCriticism

ExternalCriticism lnternalCriticism
or
Eyewitness

o
When
Written?
WhereWas
ItWritten?
o SecondhandAccount?
WhyWas
It Written?
Literal
Why Did lt Meaning?

^rJ"","q
Survive?
t"u?n,"nffi
in Context
lnternal
Consistency?
Connotations?
WhoWasthe RealAuthor?
 CHAPTER12 , / H IS TOR IC A L-C OMP A R AR
identities. He learned that networks with links
backto villagesin China and crossing severalna-
tional borders helped to sustain a vibrant, inter-
acting community. The network was held
together by social relations from the village of
origin, clan, family, business transactions, and
shared language and customs. One of McKe-
own's major arguments is that a perspective
based solely on nations can limit a researcher,s
ability to seea social communitythat is transna-
tional and the hybrid of multiple cultures. Many
aspectsof the transnational community devel-
oped in reaction to specific interactions that oc-
curred locally.
C O M P A RA T I V E R ES EA R C H
Types of Comparative Research
A Comparative Method. Comparative re-
search is more of a perspective or orientation
than a separate research technique. In this sec-
tion, we consider its strengths.
Problems in other tlpes of research are
magnified in a comparative study.il Holt and
Turner (1970:6) said, "In principle, there is no
difference between comparative cross-cultural
researchand researchconducted in a single soci-
ety. The differences lie, rather, in the masnitude
of certain tlpes of problems." A comparative
perspective exposesweaknessesin research de-
sign and helps a researcherimprove the quality
of research.The focus of comparative researchis
on similarities and differences between units.
Comparative research helps a researcher
identift aspectsof social life that are general
acrossunits (e.g.,cultures), as opposedto being
limited to one unit alone. AII researcherswant to
generalizeto some degree.Positivist researchers
are interested in discovering general laws or pat-
terns ofsocial behavior that hold acrosssocieties.
But most positivist researchis not comparative.
The comparative orientation i^mproves
measurement and conceptualization. Concepts
developed by researcherswho conduct research
TIV
E SEE A R C H 3' 17
across several social units or settings are less
likely to apply only to a specific culture or set-
ting. It is difficult for a researcherto detect hid_
den biases,assumptions, and values until he or
she applies a concept in different cultures or ser_
tings. Different social settings provide a wider
range ofevents or behavior, and the range in one
culture is usually narrower than for huinan be-
havior in general. Thus, researchin a single cul_
ture or setting focuses on a restricted range of
possible social activity. For example, twi re-
searchers,Hsi-Ping and Abdul, examine the re-
lationship between the age at which a child is
weaned and the onset of emotional problems.
Hsi-Ping looks only at U.S. data, which show a
range from 5 to 15 months at weaning, and indi_
catethat emotional problems increasesteadily as
ageofweaning increases.Sheconcludesthat iate
weaning causes emotional problems. Abdul
looks at data from 10 cultures and discovers a
range from 5 to 36 months at weaning. He finds
that the rate of emotional problems rises with
age-of weaning until 18 months; it then peaks
and falls to a lower level. Abdul arrives at more
accurate conclusions: Emotional problems are
likely for weaning between the agei of 6 and,24
months, but weaning either earlier or later re-
duces the chances of emotional problems. Hsi-
Ping reached false conclusions about tne
relationship because of the narrow range of
weaning age in the United States.
The way comparative research raises new
questions and stimulates theory building is a
major strength. For example, Lamont (ZOOO)
compared samples of blue-collar and lower_
white-collar workers in France and the United
Statesfortheir justifications and forms of argu_
ment used to explain racial differences.Shedrew
random samples from telephone directories of
Whites and Blacks in the suburbs of paris and
NewYork City and interviewed respondents for
two hours. Lamont found that the arguments of
racists and antiracists alike differed widely be-
tween France and the United States.people use
arguments and rationales closely tied to the
dominant cultural themes of their society. For
318 PART THRE E / c oNDUc r lNc Q UALI TAT I v ER E S E A R c H
example,in the United States,thereis a long his-
tory of using biological inferiority to explain
racialdifferences. This declinedgreatlybutit still
exists,yet sucha rationaleis absentin France'In
the United States,the market has near-sacred
statusand both racistand antiracistsfrequently
usedthe marketand personaleconomicsuccess
in their arguments,but the market factor was
absentin Fiancebecauseit is not viewedasa fair
and efficient mechanism for allocating re-
sources.The French use cultural arguments'
egalitarianism,and the universality of-all hu-
rians much more than Americans.In fact, the
ideaof a fundamentalequality amongall human
beingswas nearly absentamong the justifica-
tions givenin the United States.Sucha discrep-
ancysiimulatesresearchers to seekexplanations
for ihe relationshipandto developnew research
questions.
Comparativeresearchalsohas limitations'
It is more difficult, more costly,and more time
consumingthan researchthat is not compara-
tive. The typesofdata that canbe collectedand
problemswith equivalence(to be discussed)are
alsofrequentProblems.
Another limitation is the number of cases'
Comparativeresearchers canrarelyuserandom
,u*piittg. Sufficientinformation is not available
for att oi the approximately150 nations in the
world. It is unavailablefor a nonrandomsubset
(poor countries,nondemocraticcountries,etc')'
in addition, can a researcher treat all nationsas
eaualunits when somehaveover a billion peo-
ple and othersonly 100,000? The smallnumber
of""tat createsa tendenryfor researchers to par-
ticularizeand seeeachcaseas unique, limiting
generalization.For example,a researcher exam-
inesfirrecases(e.g.,countries),but the units dif-
fer from eachother in 20 ways.It is difficult to
test theory or determine relationships when
there are more different characteristicsthan
units.
A third limitation is that comparativere-
searcherscan apply, not test, theory' and can
make only limited generalizations.Despite the
abilitv to use and considercasesas wholesin
H-C research,rigoroustheorytestingor exp€ri-
mentalresearchis rarelypossible'For example'a
researcherinterestedin the effectsof economic
recessionscannot causeone group ofcountries
to havea recessionwhile othersdo not' Instead'
the researcherwaitsuntil a recessionoccursand
ofthe country
then looksat other characteristics
or unit.
The Units Being ComPared
com-
CultureversusNation. For convenience'
parativeresearchers oftenusethe nation-state as
is the ma-
iheir unit of analysis.The nation-state
ior unit usedin ittittkittg about the divisionsof
peopleacrossthe globetoday. Although-it is a
dominant unit in current times,it is neither an
inevitablenor a permanentone; in fact' it has
beenaroundfor only about 300years'
The nation-stateis a sociallyand politically
defined unit. In it, oni: governmenthas sover-
eignty(i.e',military control andpoliticalauthor-
itil *t populatedterritory.Economicrelations
(e.g., currency, ttade, etc'), transportation
routes, and communication systemsare lnte-
sratedwithin territorial boundaries'The people
6f tn" territory usually share a common lan-
guageand customs,and there is usuallya com-
iroi system,legalsystem,and setof
"ducutional
political symbols (e.g.,flag' national anthem'
it..). fn. governmentclaimsto representthe in-
terestsof all people in the territory under its
control.
The nation-state is not the only unit for
comparativeresearch'It is frequentlyasulrogate
for ci.rlture,which is more difficult to define asa
concrete,observableunit. Culture refers to a
common identity among people based on
sharedsocialrelations,beliefs,and technology'
Cultural differencesin language,customs,tradi-
tions, and norms often follow nationallines' In
fact,sharinga common cultureis a major factor
causingthe formation of distinct nation-states'
The boundariesof a nation-statemay not
match thoseof a culture. In somesituations'a
singleculture is divided into severalnations;in
 I 2 / HlsroRrcAL-coMpARATtvE
C H AP T ER
other cases,a nation-state contains more than
one culture. Over the past centuries, boundaries
between cultures and distinct vibrant cultures
have been destroyed, rearranged, or diffr-rsedas
territory around the world was carved into
colonies or nation-states by wars and conquest.
For instance, European empires imposed arbi-
trary boundaries over severalcultural groups in
nations that were once colonies. Likewise, new
immigrants or ethnic minorities are not always
assimilated into the dominant culture in a na-
tion. For example, one region of a nation may
have people with a distinct ethnic backgrounds,
languages,customs, religions, social institutions,
and identities (e.g., the province of Quebec in
Canada). Such intranational cultures can create
regional conflict, since ethnic and cultural iden-
tities are the basis for nationalism.
The nation-state is not always the best unit
for comparative research. A researcher should
ask What is the relevant comparative unit for my
research question-the nation, the culture, a
small region, or a subculture? For example, a re-
searchquestion is: Are income level and divorce
related (i.e., are higher-income people lesslikely
to divorce?)?A group of people with a distinct
culture, language,and religion live in one region
of a nation. Among them, income and divorce
are not related; elsewherein the nation, however,
where a different culture prevails,income and di-
vorce are related. Ifa researcherusesthe nation-
state as his or her unit, the findings could be
ambiguous and the explanation weak. Instead of
assuming that each nation-state has a common
culture, a researchermay find that a unit smaller
than the nation-state is more appropriate.
Galton's Problem. The issue of the units of
comparison is related to a problem named after
Sir Francis Galton (1822-l9Il). When re-
searcherscompare units or their characteristics,
they want the units to be distinct and separate
from each other. If the units are not different but
are actually the subparts ofa larger unit, then re-
searcherswill find spurious relationships. For
example, the units are the statesand provinces in
RESEARcH 319
Canada,France,and the United States;a re-
searcherdiscoversa strongassociationbetween
speakingEnglishand having the dollar as cur-
renry, or speakingFrenchand usingthe franc as
currency.Obviously,the associationexistsbe-
cause the units of analysis (i.e., states or
provinces)are subpartsof larger units (i.e.,na-
tions). The featuresof the units aredue to their
being parts oflarger units and not to any rela-
tionship amongthe features.Socialgeographers
alsoencounterthis because manysocialand cul-
tural featuresdiffuseacrossgeographicspace.
Galton'sproblemis an important issuein
comparativeresearchbecauseculturesrarelyhave
clear,fixedboundaries.It is hardto saywhereone
culture ends and another begins,whether one
culture is distinct from another,or whetherthe
featuresof one culture have diffirsed to another
overtime. Galton'sproblemoccurswhenthe re-
lationship betweentwo variablesin two different
unitsis actuallydueto a commonorigin,andthey
arenot truly distinctunits (seeFigare12.2).
Galton'sproblem originatedwith regardto
comparisonsacrosscultures,but it appliesto
historicalcomparisonsalso.It ariseswhen a re-
searcherasls whetherunits are really the same
or different in different historical periods.For
example,is the Cuba of 1875the samecountry
asthe Cubaof 2005?Do 130yearssincethe end
of Spanishcolonialism,the riseof U.S.influence,
independence,dictatorship,and a communist
revolution fundamentallychangethe unit?
Data in Cross-Cultural Research
ComparativeField Research. Comparativere-
searchers usefield researchand participantob-
servationin cultures other than their own.
Anthropologistsare speciallytrained and pre-
paredfor this type ofresearch.The exchangeof
methodsbetweenanthropologicaland field re-
searchsuggeststhat there are small differences
betweenfield researchin one'sown societyand
in anotherculture. Field researchin a different
cultureis usuallymore difficult and placesmore
requirementson the researcher.
320 PART THR EE / CO NDUCTI NC Q UALI TAT I V ER E S E A R C H
Galton'sproblemoccurswhena researcher
observesthe samesocialrelationship(represented
by X) in differentsettingsor societies
(represented as A, B, andC) andfalselyconcludes
that the socialrelationship aroseindependently in
thesedifferentplaces.The researcher may believe
he or shehasdiscovereda relationshipin three
separatecases.But the actualreasonfor the
occurrenceofthe socialrelationmay be a shared
or commonoriginthat hasdiffusedfrom one
settingto others.This is a problembecausethe
researcher who findsa relationship (e.g.,a marriage grouped with that from other studies.This
pattern)in distinctsettingsor unitsof analysis
(e.g.,societies)maybelieveit aroseindependently
in differentunits.This beliefsuggeststhat the
relationship is a humanuniversal.The researcher
may be unawarethat in fact it existsbecause
peoplehavesharedthe relationship
acrossunits.
Existing Sources of Qualitative Datq. Com-
parative researcherscan use secondary sources.
For example, a researcherwho conducts a com-
parative study of the Brazilian, Canadian, and
fapaneseeducational systemscan read studiesby
researchers from many countries, including
Brazil, Canada, and |apan, which describe the
education systemsin the three nations.
There may have been 5,000 different cui-
tures throughout human historyi about 1,000 of
them havebeenstudiedby socialresearchers. A
valuablesourceof ethnographicdataon differ-
ent culturesis the Human RelationsArea Files
(HRAF) and the relatedEthnographic Atlas.tz
The HRAF is a collectionof field research re-
ports that bring together information from
ethnographicstudieson variouscultures,most
of which areprimitive or smalltribal groupings.
Extensiveinformation on nearly 300 cultures
has been organizedby socialcharacteristicsor
practices(e.g.,infant feeding,suicide,childbirth,
etc.).A study on a particular culture is divided
up, and its information on a characteristicis
makesit easyto comparemany cultureson the
samecharacteristic. For example,a researcher
interestedin inheritancecan learn that of 159
different culturesin which it hasbeen studied,
119havea patrilinealform (fatherto son), 27
matrilineal(mother to daughter),and 13mixed
inheritance.
Researchers canusethe HRAFto studyrela-
tionshipsamongseveralcharacteristics of differ-
ent cultures.For example,to find out whether
sexualassaultagainstwomen,or rape,is associ-
atedwith patriarchy(i.e.,the holding of power
and authorityby males),a researcher canexam-
ine the presenceof sexual assaultand the
strengthof patriarchyin many cultures.
Using the HRAF does have limitations,
however.First, the quality of the original re-
searchreportsdependson the initial researcher's
length of time in the field, familiarity with the
language,and prior experience, aswell ason the
explicitnessof the researchreport. Also, the
range of behaviorobservedby the initial re-
searcherand the depth of inquiry can vary. In
addition,the categorizationof characteristics in
the HRAF can be crude.Another limitation in-
volvesthe culturesthat havebeenstudied.West-
ern researchers have made contact with and
conducted field research on a limited number of
cultures prior to thesecultures'contactwith the
outsideworld. The culturesstudiedare not a
representative sampleof all the human cultures
 CHAPTER1 2 /
that existed.In addition,Galton'sproblem (dis-
cussedearlier)canbe an issue.
Cross-NationalSurveyResearch. Surveyre-
searchwasdiscussed in a previouschapter.This
sectionexaminesissuesthat arisewhen a re-
searcherusesthe surveytechniquein other cul-
tures.The limitations of a cross-culturalsurvey
arenot differentin principlefrom thoseof a sur-
vey within one culture. Nevertheless,they are
usuallymuch greaterin magnitudeand severity.
Surveyresearchin a different culture re-
quiresthat the researcher possess an in-depth
knowledgeof its norms,practices, customs.
and
Without suchan in-depth knowledge,it is easy
to make seriouserrors in procedureand inter-
pretation. Knowing another languageis not
enough.A researcherneedsto be multicultural
and thoroughlyknow the culturein addition to
beingfamiliar with the surveymethod.Substan-
tial advanceknowledgeabout the other culture
is neededprior to enteringit or planning the
survey.Closecooperationwith the nativepeople
ofthe other cultureis alsoessential.
A researcher's choiceof the culturesor na-
tions to includein a cross-culturalsurveyshould
be made on both substantive(e.g.,theoretical'
researchquestion)and practicalgrounds.Each
stepofsurvey research(questionwording, data
collection,sampling,interviewing,etc.)must be
tailored to the culture in which it is conducted.
One critical issueis how the people from the
othercultureexperience the survey.In somecul-
tures,the surveyand interviewingitselfmaybe a
strange,frightening experience,analogousto a
policeinterrogation.
Samplingfor a surveyis alsoaffectedby the
cultural context. Comparative survey re-
searchers must considerwhetheraccuratesam-
pling framesareavailable,the quality of mail or
telephoneservice,and transportationto remote
rural areas.Theyneedto be awareof suchfactors
ashow oftenpeoplemove,the tipes of dwellings
in which peoplelive, the number of peoplein a
dwelling,the telephonecoverage, or typicalrates
H I S T O R I C A L . C O M P A R A T I VREE S E A R C H 321
of refusal.Researchers must tailor the sampling
unit to the cultureand considerhowbasicunits,
such as the family, are defined in that culture.
Specialsamplesor methodsfor locatingpeople
for a samplemaybe required.
Questionnairewriting problemsin the re-
searcher'sown culture are greatlymagnified
when studyinga different culture.A researche
needsto be especially sensitiveto questionword-
ing, questionnairelength, introductions,and
topicsincluded.He or shemustbe awareof local
norms and of the topicsthat can and cannotbe
addressed by surveyresearch. For example,open
questionsaboutpoliticalissues,alcoholuse,reli-
gion, or sexualitymay be taboo. In addition to
thesecultural issues,translation and language
equivalencyoften poseseriousproblems(see
Equivalencein Historical-ComparativeRe-
search).Techniquessuchasbacktranslation(to
be discussed)and the useof bilingualpeopleare
helpfi:I,but often it is impossibleto askthe exac
samequestionin a differentlanguage.
Interviewing requires specialattention in
cross-culturalsituations.Selectionand training
of interviewersdepends on the education
norns, and etiquetteof the other culture. The
interviewsituationraisesissuessuchasnorms of
privacy,waysto gain trust, beliefsabout confi-
dentiality,and differencesin dialect.For exam
ple,in somecultures,an interviewermust spend
a dayin informal discussionbeforeachievingthe
rapport neededfor a short formal interview.
ExistingSourcesof QuantitativeData. Quan-
titative datafor many variablesare availablefor
different nations.In addition, large collection
of quantitativedatahavebeenassembled. They
gather information on many variables from
other sources(e.g.,newspaperarticles,officia
governmentstatistics,United Nationsreports).
Therearesignificantlimitations on existing
cross-nationaldata, many of which are share
byother existingstatistics.The theoreticaldefin-
ition of variablesand the reliability of data col-
lection can vary dramaticallyacrossnations
322 PART THREE / c oNDUc r lNc Q UALI TATIv ER E S E A R c H
Missinginformation is a frequentlimitation. In-
tentional misinformation in the official data
from somegovernmentscanbe a problem.An-
other limitation involvesthe nations on which
dataarecollected. For example,during a 35-year
period, new nations come into existenceand
otherschangetheir namesor changetheir bor-
ders.
The existingdataareavailablein major na-
tional data archivesin a form that computers
canread,andresearchers canconductsecondary
analysison internationalexistingstatisticsdata.
For example,Sutton(2004)conducteda quanti-
tative, statisticalstudy on 15 nations between
1960and 1990.Researchers havelong observed
that imprisonment ratesdo not closelyfollow
changesin crime rates.Suttontestedthe Rusche
and Kirchheimerthesis.It saysthat unemploy-
ment ratescausea risein imprisonmentratesbe-
causeimprisonmentis a governmentattemptto
control a surplusof unemployedworking-class
malesin the populationwho could becomeun-
ruly and dangerousto the socialorder.Basically,
it predictsthat prisonswill be filled when many
workers are out of work and will empty out
when the economyis booming.Suttongathered
data from governmentstatisticalyearbooksof
the 15 countries,from publicationsby interna-
tional organizationssuch as the World Health
Organizationand the InternationalLaborOrga-
nization, and from prior socialsciencestudies
that identifiedfeaturesofseveralnations,suchas
their unionizationpattern,political party struc-
ture, and so forth. Sutton found only limited
support for the original thesis,but he docu-
mented a strong effectfrom severalother fac-
tors.He arguedthat the effectof unemployment
on imprisonmentwas probablyspurious(see
the discussionof a spurious relationshipin
Chapters 2,4,and 10ofthisbook).Suttonfound
that specificfeaturesof the nation'spolitical or-
ganizationandlabor marketstructureappeared
to causeboth specificunemployrnentpatterns
and different imprisonment policies.In short,
when low-incomepeopleand workerswerepo-
litically weak comparedto wealthypeopleand
corporation owners' both unemployment and
imprisonment rates rise comparedto times
when low-income people and workers have
greaterpolitical power and influence'
EQUIVALENCEIN HISTORICAL-
COMPARATIVE RESEARCH
The lmportance of Equivalence
Equivalenceis a critical issuein all research.It is
the issueof making comparisonsacrossdiver-
gent contexts,or whethera researcher, living in
i specific time period and culture, correctly
reads,understands, or conceptualizes dataabout
peoplefrom a differenthistoricaleraor culture.
Without equivalence, a researchercannotuse
the sameconceptsor measuresin different cul-
turesor historicalperiods,and this makescom-
parisondifficult, if not impossible.It is similarto
the problemsthat arisewith measurement valid-
ity in quantitativeresearch.
Types of Equivalence
The equivalenceissuehasimplicationsfor H-C
research.A researchermight misunderstandor
misinterpreteventsin a differenteraor culture.
Assumingthat the interpretationis correct,a re-
searchermay find it difficult to conceptualize
and organizethe eventsto make comparisons
acrosstimes or places.If he or shefrrlly $asps
anotherculture,a researcher may still find it dif-
ficult to communicatewith othersfrom his or
her own time and culture'The equivalence issue
canbe dividedinto four subtypes:lexiconequiv-
alence, contextual equivalence, conceptual
equivalence, and measurementequivalence.
Lexicon Equivalence. Lexicon equivalenceis
the correcttranslationofwords and phrases, or
finding a word that meansthe samething asan-
other word. This is clearestbetweentwo lan-
guages.For example,in many languagesand
iultures therearedifferentforms of addressand
 12 / H IS TOR IC A L-C OMP A R AR
CHAPTER
pronounsfor intimates(e.g.,closefriendsand
family members) and subordinates (e.g.,
youngerpersonsand lower-statuspeople)from
thoseusedin unknown or public settingsor for
personsofhigher socialstatus.Thereare no di-
rectlyequallinguisticformsof speechin English,
althoughthe ideaofclosepersonalversuspublic
relationsexistsin English-speaking cultures.In
suchlanguages,switchingpronouns when say-
ing, "How are you today?"might indicate a
changein statusor in the socialrelationship.
One would haveto indicate it in another,per-
haps nonverbal,way if speakingin English.In
cultureswhere ageis an important status(e.9.,
|apan), many status-based words exist that are
absentin English.One cannotsay,for example,
"my brother" without indicatingwhetherone is
speakingof an older or youngerbrother, and
separatewords are used for "my younger
brother" or "my older brother."
Comparativeresearchers often use a tech-
nique calledbacktranslationto achievelexicon
equivalence.In back translation,a phraseor
questionis translatedfrom one languageto an-
other and then back again. For example,a
phrasein Englishis translatedinto Koreanand
then independentlytranslatedfrom Korean
back into English.A researcherthen compares
the first and secondEnglishversions.For exam-
ple, in a study to compareknowledgeof inter-
national issuesby U.S. and |apanesecollege
students,the researchers developeda question-
nairein English.Theynext had a teamof |apan-
esecollegefaculty translatethe questionnaire
into Japanese. Somechangeswere madein the
questionnaire.When they usedback transla-
tion, they discovered"30 translatingerrors,in-
cludingsomemajor ones"(Coganet al., 1988:
28s).
Backtranslationdoesnot help when words
for a conceptdo not existin a differentlanguage
(e.g.,there is no word for trust in Hindi, for
loyaltyin Turkish, for privacyin Chinese,or for
goodquarrelin Thai). Thus,translationmay re-
quire complexexplanations,or a researcher may
not be ableto usecertainconcepts.
E SEE A R C H 525
TIV
Lexicon equivalence can be significant in
historical researchbecausethe meaning ofwords
changes over time, even in the same language.
The greater the distance in time, the greater the
chance that an expression will have a different
meaning or connotation. For example, todaythe
wordweed refers to unwanted plants or to mar-
ijuana, but in Shakespeare'sera, the word meant
clothing (seeBox 12.3).
Contextual Equivalence. Contextual equiva-
lenceis the correct application of terms or con-
cepts in different social or historical contexts. It
is an attempt to achieveequivalencewithin spe-
cific contexts. For example, in cultures with dif-
ferent dominant religions, a religious leader
(e.g., priest, minister, or rabbi) can have differ-
ent roles, training, and authority. In some con-
texts, priests are full-time male professionals
who are wealthy, highly esteemed,well-educated
community leaders and also wield political
power. In other contexts, a priest is anyone who
risesabove others in a congregation on a tempo-
rary basis but is without power or standing in
The meaningof a statementor answerto a questio
oftendependson the customsof a culture,the socia
andthe mannerin whichthe answerisspo
situation,
ken.The mannerofansweringcan reversethe differ
ent meaningsof the sameanswerbasedon the
mannerin whichthe answerwasspoken.
Polite No
Emphatic Yes
Adaptedfrom Hymes(1970:329).
Soarce;
 J ZT T A K I I H K E . t. / L ONIJUCT INC QUAL IT AT IVE R E S E A R C H

the community.Priestsin sucha contextmaybe tions ofbeing in a particularclass,and classcat-

lesswell educated,have low incomes,and be egoriesor boundariesdiffer acrosssocieties,
viewed as foolish but harmlesspeople.A re- making the study of socialclassacrosssocieties
searcherwhoasksabout"priests"without notic- difficult.
ing the context could make seriouserrors in At times,the sameor a very similar concept
interpretations. existsacrossculturesbut in different forms or
Context also appliesacrosshistorical eras. degreesof strength.For example,in manyAsian
For example,attendingcollegehas a different societies,there is a marked differencebetween
meaning today than in a historical context in the outward,public presentationand definition
which only the richest 1 percentof the popula- ofselfand theprivate,personalpresentationand
tion attendedcollege,most collegeshad fewer the definition of self. What one revealsand
than 500students,all wereprivateall-maleinsti- shows externally is often culturally detached
tutions that did not require a high school from true, internal feelings.Some languages
diplomafor entry anda collegecurriculumcon- mark this linguistically,aswell.The ideaof a dis-
sistedof classicallanguagesand moral training. tinct self for public, nonfamily, or nonprivate
Attending college100 yearsago was not the situationsexistsin Westerncultures,aswell,but
sameasit is today;the historicalcontexthasal- it is much weakerand lesssociallysignificant.In
teredthe meaningof attendingcollege. addition, many Western cultures assumethat
the inner selfis"real" and shouldbe revealed,an
ConceptualEquivalence. Theability to usethe assumption that is not always shared cross-
sameconceptacrossdivergentculturesor his- culturally.
torical erasis conceptual equivalence.Researchers At other times, there is no direct cultural
live within specificculturesand historical eras. equivalent.For example,thereis no directWest-
Their conceptsare basedon their experiences ern conceptualequivalentfor the lapaneseie. It
and knowledgefiom their own culture and era. is translatedasfamily system,but this ideawas
Researchers may try to stretchtheir conceptsby createdby outsidersto explainlapanesebehav-
learning about other culturesor eras,but their ior. The le includesa continuingline of familial
views of other cultures or erasare colored by descentgoing back generationsand continuing
their currentlife situations.This createsa persis- into the future. Its meaningis closerto a Euro-
tent tension and raisesthe question:Can a re- peanlineage"house"amongthe feudalnobility
searchercreateconceptsthat aresimultaneously than the modernhouseholdor evenan extended
true reflectionsof life experiencesin different family. It includesancestors,going back many
culturesor erasand that alsomakesenseto him generations,and future descendants,with
or her? branches createdby noninheriting male off-
The issueofa researcher's conceptis a spe- spring (or adoptedsons).It can also include a
cial caseof a larger issue,becauseconceptscan religiousidentity and property-holdingdimen-
be incompatibleacrossdifferenttime periodsor sions(asland or a businesspasseddown for gen-
cultures.Is it possibleto createconceptsthat are erations).It canincludefeelingsofobligation to
true, accurate,and valid representationsof so- one'sancestorsand feelingsto uphold anycom-
cial life in two or more cultural or historicalset- mitments they may have made. The ie is also
tings that arevery different?For example,the embeddedin a web of hierarchicalrelationships
word classexistsin many societies,but the sys- with other le and suggests socialposition or sta-
tem of classes(i.e., the role of income,wealth, tus in a community.
job, education,status,relationto meansof pro- Conceptualequivalencealso appliesto the
duction), the number of classes, the connota- study of different historical eras.For example,
 CHAPTER1 2 /
measuringincomeis verydifferentin a historica]
erawith a largelynoncashsocietyin which most
people grow their own food, make their own
furniture and clothing,or barter goods.Where
moneyis rarelyused,it makesno senseto mea-
sure income by number of dollars earned.
Countinghogs,acresofland, pairsofshoes,ser-
vants,horsecarriages,and the like may be more
appropriate.
MeasurementEquivalence. Measurement equiv-
alencemeansmeasuringthe sameconceptin dif-
ferentsettings.Ifa researcher
developsa concept
appropriateto dif[erent contexts,the question
remains:Are differentmeasures necessary in dif-
ferentcontextsfor the sameconcept?The mea-
surementequivalence issuesuggests
that an H-C
researcher must examinemanysourcesof partial
evidencein order to measureor identifr a theo-
retical construct.When evidenceexistsin frag-
mentary forms, he or she must examine
extensivequantitiesof indirect evidencein or-
der to identifirconstructs.
ETHICS
Historical-comparative researchsharesthe ethi-
calconcernsfound in othernonreactiveresearch
techniques.The use of primary historical
sourcesoccasionallyraisesspecialethicalissues.
First,it is difficult to replicateresearchbasedon
primary material.The researcher's selectioncri-
teria for use of evidenceand externalcriticism
of documentsplacesa burdenon the integrityof
the individual researcher.
Second,the right to protect one's privacy
may interferewith the right to gatherevidence.A
person'sdescendants maywantto destroyor hide
privatepapersor eyidenceof scandalous behav-
ior. Evenmajor politicalfigures(e.g.,presidents)
want to hide embarrassingofficial documents.
Comparativeresearchers mustbesensitiveto cul-
tural andpoliticalissuesofcross-culturalinterac-
tion. They need to learn what is considered
HISTORICAL-COMPARATIVE
RESEARCH 325
offensive within a culture. Sensitivity mean
showingrespectfor the traditions,customs,and
meaningof privary in a host country. For exam
ple,it maybetaboofor a man to interviewa mar-
ried womanwithout her husbandpresent.
In general,a researcherwho visits anothe
culturewantsto establishgoodrelationswith the
host country's government.He or shewill not
take data out of the country without giving
something(e.g.,results)in return. The military
or politicalinterestsof the researcher's
homena-
tion or the researcher's personalvaluesmay con-
flict with official policy in the host nation. A
researchermay be suspectedof being a spy or
may be under pressurefrom his or her home
country to gathercovertinformation.
Sometimes,the researcher's presenceor
findings may causediplomaticproblems.For
example,a researcher who examineshealthcare
practicesin a country then declaresthat officia
governmentpoliry is to ignoretreatinga seriou
illnesscan expectseriouscontroversy.Likewise
a researcherwho is si.mpatheticto the causeof
groups who opposethe governmentmay be
threatenedwith imprisonmentor askedto leave
the country.Socialresearchers who conductre-
searchin anycountryshouldbe awareof suchis-
suesand the potential consequences of their
actions.
c o Nc L u s lo N
In this chapter, you have learned methodologi-
cal principles for an inquiry into historical and
comparative materials. The H-C approach is ap-
propriate when asking big questions about
macro-level change, or for understanding social
processesthat operate acrosstime or are univer-
sal across several societies.Historical-comDara-
tive research can be carried out in severalways,
but a distinct qualitative H-C approach is similar
to that of field researchin important respects.
Historical-comparative research involves a
different orientation toward researchmore than
326 pART TH REE / c oNDUc r t Nc Q UALI T A T I v ER E S E A R c H

it meansapplylngspecializedtechniques.Some Endnotes
specializedtechniquesare used,suchasthe ex-
ternal criticism of primary documents,but the 1. SeeMahoney (1999) for major works of histori-
mostvital featureis how a researcher
approaches cal-comparative research.
2. See Calhoun (1996), McDaniel (1978), Prze'
a question,probes data, and moves toward
worski and Teune (1970), and Stinchcombe
explanations. (1978) for additional discussion.
Historical-comparativeresearchis more 3. For additional discussion,seeSewell( 1987)'
difficult to conductthan researchthat is neither 4. SeeNaroll (1968) for a discussion of difficulties in
historical nor comparative,but the difficulties creating distinctions. Also seeWhiting (1968).
arepresentto a lesserdegreein othertypesofso- 5. Transhistorical concepts are discussedby others,
cial research.For example,issuesof equivalence such as Bendix (1963)' Przeworski and Teune
existto somedegreein all socialresearch. In H-C ( 1970),and Smelser(1976).
research,however,the problems cannot be 6. SeeLowenthal (1985:187).
treatedas secondaryconcerns.They are at the 7. Bendix (1978:16) distinguished between the
judgments of historians and the selectionsof soci
forefront ofhow researchis conductedand de-
ologists.
terminewhethera researchquestioncanbe an-
8. Bonnell (1980:161), Finley (L977:132), and
swered.
Goldthorpe (1977:189-l9O) discussedhow histo-
rians use concepts.Selectionin this context is dis-
cussed by Abrams (1982:194) and Ben-Yehuda
Key T e r m s ( 1983).
9. For introductions to how historians see their
back translation method, see Barzun and Graff (1970), Braudel
conceptual equivalence (1980), Cantor and Schneider (1967), Novick
contextual equivalence (1988),or Shafer(1980).
external criticism 10. The narrative is discussedin Abbott ( 1992)' Gallie
(1963), Gotham and Staples (1996), Griffin
Galton's problem
(1993), Mclennan (198I:76-87), Runciman
Human RelationsArea Files (HRAF)
(1980),and Stone(1987:74-96).
internal criticism
I 1. For more on the strengthsand limitations of com-
lexicon equivalence
parative research,seeAnderson (1973), Holt and
measurement equivalence Turner (1970), Kohn (1987), Ragin (1987)'
oralhistory Smelser(1976), Vallier (1971a, 1971b),Walton
primary sources (1973), and Whiting ( 1968).
recollections 12. For more on the Human RelationsArea File and
running records the EthnographicAtlas,see Murdock (I9 67, 197l)
secondarysources andWhiting (i968).
 'ry
Analysisof QualitativeData

Introduction
Comparing Methods of Data Analysis
Similarities
Differences
Explanations
and QualitativeData
Coding and Concept Formation
Conceptualization
CodingQualitativeData
AnalyticMemoWriting
Analytic Strategies for Qualitative Data
The Narrative
ldealTypes
Successive
Approximation
The lllustrative
Method
Other Techniques
NetworkAnalysis
TimeAllocationAnalysis
Flowchartand TimeSequence
M ultipleSortingProcedure
Diagrams
Software for Qualitative Data
Conclusion
328 PART THREE / CO NDUCTI NC Q UALI TATI V ER E S E A R C H
INTRODUCT I O N
Qualitative data come in the form of photos,
written words, phrases,or qrnbols describing or
representing people, actions, and events in so-
cial life. Qualitative researchersrarely use statis-
tical analysis.This doesnot mean that qualitative
data analysisis based on vague impressions.It
can be systematic and logically rigorous, al-
though in a different way from quantitative or
statistical analysis. Over time qualitative data
analysis has become more explicit, although no
single qualitative data analysis approach is
widely accepted.
This chapter is divided into four parts. First,
the similarities and differences between qualita-
tive and quantitative data analysisare discussed'
Next is a look at how researchersuse coding and
concept/theory building in the process of ana-
lyzing qualitative data. Third is a review of some
of the major analltic strategies researchersde-
ploy and ways they think about linking qualita-
tive data with theory. Last is a brief review of
other techniques researchersuse to manage and
examine patterns in the qualitative data they
have collected.
COMPA RI NG M E T H OD S OF D AT A
AN AL Y S I S
Similarities
Both stylesofresearch involve researchersinfer-
ring from the empirical details of social life. To
infer meansto passa judgment, to use reasoning,
and to reach a conclusionbasedon evidence'In
both forms of data analysis,the researchet care-
fully examines empirical information to reach a
conclusion. The conclusion is reached by rea-
soning, simpli$'ing the complexity in the data,
and abstracting from the data, but this varies by
the style of research.Both forms of data analysis
anchor statements about the social world and
are faithful to the data.
Qualitative as well as quantitative analysis
involves a public method or process.Researchers
systematically record or gather data and in so
doing make accessibleto others what they did-
Both types of researcherscollect large amounts
of data, describe the data, and document how
they collected and examined it. The degree to
which the method is standardized and visible
may vary>but all researchersreveal their study
designin some way.
All data analysis is based on comparison'
Social researcherscompare features of the evi-
dence they have gathered internally or with re-
lated evidence. Researchersidentifr multiple
processes,causes,properties, or mechanisms
within the evidence. They then look for pat-
terns-similarities and differences, aspectsthat
are alike and unlike. Both qualitative and quan-
titative researchers strive to avoid errors, false
conclusions, and misleading inferences. Re-
searchersare also alert for possible fallaciesor il-
lusions. They sort through various explanations,
discussions,and descriptions, and evaluatemer-
its of rivals, seeking the more authentic, valid'
true, or worthy among them.
Differences
Qualitative data analysis differs from quantita-
tive analysis in four ways. First, quantitative
researcherschoosefrom a specialized,standard-
ized set of data analysis techniques. Hypothesis
testing and statistical methods vary little across
different social research projects' Quantitative
analysis is highly developed and builds on ap-
plied mathematics. By contrast, qualitative data
analysisis less standardized. The wide variety in
qualitative researchis matched by the many ap-
proaches to data analysis.
A second difference is that quantitative re-
searchersdo not begin data analysis until they
have collected all of the data and condensed
them into numbers. They then manipulate the
numbers in order to see patterns or relation-
ships. Qualitative researcherscan look for pat-
 CHAPT E R1 3 , / A N A L Y S I SO F Q U A L I T A T I V ED A T A
terns or relationships,but they begin analysis
earlyin a researchproject,whiletheyarestill col-
lecting data. The results of early data analysis
guidesubsequentdatacollection.Thus,analysis
is lessa distinct final stageofresearchthan a di-
mension of researchthat stretchesacrossall
stages.
Another differenceis the relationship be-
tween data and socialtheory. Quantitative re-
searchersmanipulatenumbersthat represent
empiricalfactsto testtheoreticalhypotheses. By
contrast, qualitativeresearchers createnew con-
ceptsand theoryby blendingtogetherempirical
evidenceand abstractconcepts.Insteadoftest-
ing a hypothesis,a qualitativeanalystmay illus-
trate or color in evidenceshowingthat a theory,
generalization, or interpretationis plausible.
The fourth differenceis the degreeof ab-
straction or distancefrom the detailsof social
life. In all data analysis,a researcherplacesraw
data into categoriesthat he or shemanipulates
in order to identifi patterns. Quantitative
researchers assumethat sociallife can be repre-
sentedby using numbers.When they manipu-
late the numbers according to the laws of
statistics,the numbers revealfeaturesof social
life. Qualitative analysisdoes not draw on a
large,well-established body of formal knowledge
from mathematicsand statistics.The dataarein
the form of words, which are relativelyimpre-
cise,diffuse, and context-based,and can have
more than one meaning.
Explanationsand Qualitative Data
Qualitativeexplanationstakemanyforms.A qual-
doesnot haveto choosebetween
itativeresearcher
a rigid idiographic/nomotheticdichotomy-
that is, betweendescribingspecificsand veriff-
ing universallaws.Instead,a researcherdevelops
explanationsor generalizationsthat are close
to concretedata and contexts but are more
than simpledescriptions.He or sheusuallyuses
a lower-level, less abstract theory, which is
groundedin concretedetails.He or she may
329
build new theory to createa realisticpicture of
sociallife and stimulateunderstandingmore
than to test a causalhypothesis.Explanations
tendto be rich in detail,sensitiveto context,and
capableof showingthe complexprocesses or se-
quencesof sociallife. The explanationsmay be
causal,but this is not alwaysthe case.The re-
searcher's goalis to organizespecificdetailsinto
a coherentpicture, model, or setof interlocked
concepts.
A qualitative researcherdivides explana-
tions into two categories:highly unlikely and
plausible.The researcher is satisfiedby building
a caseor supplyingsupportiveevidence.He or
shemay eliminatesometheoreticalexplanations
from considerationwhile increasingthe plausi-
bility of othersbecauseonly a few explanations
will be consistentwith a pattern in the data.
Qualitative analysiscan eliminate an explana-
tion by showingthat a wide arrayof evidence
contradictsit. The data might support more
than one explanation,b:ut all explanationswill
not be consistentwith it. In addition to elimi-
nating lessplausible explanations,qualitative
dataanalysishelpsto verif' a sequenceofevents
or the stepsof a process.This temporalordering
is the basisof finding associations amongvari-
ables,and it is useful in supporting causal
arguments.
CODING AND CONCEPT
FORMATION
Qualitativeresearchersoften use generalideas,
themes,or conceptsasanalytictools for making
generalizations.Qualitativeanalysisoften uses
nonvariableconceptsor simple nominal-level
variables.
Conceptualization
Quantitativeresearchers conceptualizeand re-
fine variablesin a processthat comesbeforedata
collectionor analysis.By contrast,qualitativere-
330 pART THRE E / c oNDUc r lNG Q UALI TATIv ER E S E A R c H

searchers form new conceptsor refine concepts
that are groundedin the data.Conceptforma-
tion is integralto dataanalysisandbeginsduring
datacollection.Conceptualization is how a qual-
itative researcher organizes and makes senseof
the data.
A qualitativeresearcherorganizesdatainto
categorieson the basisof themes,concepts,or
similar features.He or she developsnew con-
cepts,formulatesconceptualdefinitions,and ex-
amines the relationships among concepts.
Eventually, he or she links conceptsto each
otherin termsof a sequence, asoppositionalsets
(X is the oppositeof I) or assetsof similar cate-
goriesthat he or sheinterweaves into theoretical
statements.Qualitative researchers conceptual-
ize or form concepts as they read through and
askcritical questions of data (e.g., field notes,
historical documents,secondarysources,etc.)'
The questionscan come from the abstractvo-
cabularyof a disciplinesuch as sociology-for
example:Is this a caseof classconflict?Wasrole
conflict presentin that situation?Is this a social
movement?Questionscan alsobe logical-for
example:Whatwasthe sequence of events? How
doesthe way it happened here compare to over
there?Are thesethe same or different, general or
specificcases? Researchers often conceptualize as
they codequalitativedata.
In qualitativedata analysis,ideasand evi-
dencearemutually interdependent. This applies
particularlyto casestudy analysis. Cases arenot
givenpreestablished empirical units or theoreti-
calcategories apartfrom data;theyaredefinedby
data and theory. By analyzingasituation, the re-
searcherorganizesdataand appliesideassimul-
taneouslyto createor specifra case.Making or
creatinga case,calledcasingbringsthe dataand
theory together.Determiningwhat to treat as a
caseresolves a tensionor strainbetweenwhatthe
researcher observes and his or her ideasaboutit.
Coding Qualitative Data
codesafterall the data
A quantitativeresearcher
havebeen collected.He or shearrangesmea-
suresofvariables,which arein the form of num-
bers,into a machine-readable form for statistical
analysis.
Coding data has a different meaning in
qualitativeresearch. A researcher codesby orga-
nizing the raw data into conceptualcategories
and createsthemesor concepts.Insteadof a sim-
ple clericaltask,codingis an integralpart ofdata
analysisguidedby the researchquestion.Coding
encourages higherJevelthinking aboutthe data
and movesa researcher toward theoricalgener-
alizations.
Coding is two simultaneousactivities:me-
chanicaldata reduction and analyticdatac4te-
gorization.Coding data is the hard work of
reducingmountains of raw data into manage-
ablepiles.In addition to making a largemassof
datamanageable, it is how a researcher imposes
order on the data. Coding also allows a re-
searcherto quickly retrieverelevantpartsofthe
data.Betweenthe momentsof thrill andinspira-
tion, codingqualitativedata,or filework,canbe
wearisomeand tedious.
Open Coiling, Opencodingis performeddur-.
ing a first passthrough recentlycollecteddata.
The researcher locatesthemesand assignsinitial
codesor labelsin a first attemptto condensethe
massof data into categories.He or she slowly
readsfield notes,historical sources,or other
data, looking for critical terms, key events,or
themes,which are then noted. Next, he or she
writesa preliminaryconceptor labelat the edge
of a notecardor computerrecordandhighlights
it with brightly colored ink or in somesimilar
way. The researcheris open to creating new
themesand to changingtheseinitial codesin
subsequentanalysis.A theoretical framework
helpsif it is usedin a flexiblemanner.
Open coding brings themesto the surface
from deepinsidethe data.The themesareat a
low level of abstractionand comefrom the re-
searcher'sinitial researchquestion,conceptsin
the literature,termsusedby membersin the so-
cial setting,or new thoughtsstimulatedby im-
mersionin the data.
 c H A p rER1i ,/ A N A LystsoF euA Ll rA TtvED A TA
An example of this is found in LeMasters's
(1975) field research study of a working-class
tayern when he found that marriage came up in
many conversations. If he open coded field
notes, he might have coded a block of field notes
with the theme marriage. Following is an exam-
ple ofhypothetical field notes that can be open
coded with the theme marriage:
I wore a tie to the bar on ThursdaybecauseI
had been at a late meeting. Samnoticed it
immediately and said. "Damn it, Doc. I wore
one of them things once-when I got mar-
ried-and lookwhat happenedto me! By
God, the undertakerwill haveto put the next
one on." I ordered a beer,then askedhim,
"Why did you get married?" He replied,
"What the hell you goin' to do?You just can't
go on shackingup with girls all your life-I
did plenty of that when I was single" with a
smile and wink. He pausedto order another
beer and light a cigarette,then continued, "A
man, sooner or later, likes to have a home of
his own, and somekids, and to havethat, you
haveto get married. There's no way out of
it-they got you hooked." I said, "Helen [his
wife] seemslike a nice person." He returned,
"Oh, hell, she'snot a bad kid, but she'sa god-
damn woman and they get under my skin.
They piss me off. If you go to a parfy, just
when you start having fun, the wife says'let's
go home.' " (Adapted from LeMasters,
1975:36-37)
Historical-comparative researchersalso use
open coding. For example, a researcherstudying
the Knights of Labor, an American nineteenth-
century movement for economic and political
reform, reads a secondary source about the ac-
tivities of a local branch of the movement in a
specific town. When reading and taking notes,
the researchernotices that the Prohibition party
was important in local elections and that tem-
perance was debated by members of the local
branch. The researcher's primary interest is in
the internal structure, ideology, and growth of
331
the Knights movement. Temperance is a new
and unexpected category. The researchercodes
the notes with the label "temperance" and in-
cludes it as a possible theme.
Qualitative researchersvaryin the units they
code. Some code every line or every few words;
others code paragraphs and argue that much of
the data are not coded and are dross or left over.
The degree of detail in coding depends on the
researchquestion, the "richness" ofthe data, and
the researcher'spurposes.
Open-ended coding extends to analytic
notes or memos that a researcherwrites to him-
self or herself while collecting data. Researchers
should write memos on their codes (seethe later
discussion in Analytic Memo Writing).
Axial Coiling. This is a "second pass" through
the data. During open coding, a researcher fo-
cuseson the actual data and assignscode labels
for themes. There is no concern about making
connections among themes or elaborating the
concepts that the themes represent. By contrast,
in axial coding the researcherbegins with an or-
ganized set of initial codes or preliminary con-
cepts. In this second pass, he or she focuses on
the initial coded themes more than on the data.
Additional codes or new ideas may emerge dur-
ing this pass,and the researchernotes them; but
his or her primarytask is to review and examine
initial codes.He or she moves toward organizing
ideas or themes and identifies the axis of key
concepts in analysis.
During axial coding, a researcherasksabout
causesand consequences,conditions and inter-
actions, strategies and processes,and looks for
categoriesor concepts that cluster together. He
or she asksquestions such as: Can I divide exist-
ing concepts into subdimensions or subcate-
gories? Can I combine several closely related
concepts into one more general one?Can I orga-
nize categoriesinto a sequence(i.e., A, then B,
then C), or by their physical location (i.e., where
they occur), or their relationship to a major
topic of interest? For example, a field researcher
studyingworking-class life divides the general is-
332 PART THREE , / c oNDUc TI Nc Q UALI TATI V ER E S E A R C H
sueof marriageinto subparts(e.g.,engagement,
weddings).He or shemarks all notesinvolving
parts of marriageand then relatesmarriageto
themesof sexuality,division of labor in house-
hold tasks,viewson children,and so on. When
the theme reappearsin different places,the re-
searchermakescomparisonssohe or shecansee
new themes(e.g.,men and women havediffer-
ent attitudestoward marriage).
In the exampleof historicalresearchon the
Knightsof Labor,a researcherlooks for themes
relatedto temperance.He or shelooks for dis-
cussionsof saloons,drinking or drunkenness,
and relationsbetweenthe movementand polit-
ical partiesthat support or opposetemperance.
Themesthat cluster around temperancecould
also include drinking as a form of recreation,
drinking as part of ethnic culture, and differ-
ences between men and women regarding
drinking.
Axial coding not only stimulatesthinking
about linkagesbetweenconceptsor themesbut
it alsoraisesnew questions.It cansuggestdrop-
ping somethemesor examiningothersin more
depth.in addition, it reinforcesthe connections
betweenevidenceand concepts.As a researcher
consolidatescodesand locatesevidences, he or
she finds evidence in many places for core
themesand builds a denseweb of supportin the
qualitativedata for them. This is analogousto
the ideaof multiple indicatorsdescribedwithre-
gard to reliability and measuringvariables.The
connection between a theme and data is
strengthenedby multiple instancesof empirical
evidence.
SelectiveCoiling, By the time a researcheris
readyfor this last passthrough the data, he or
she has identified the major themesof the re-
searchproject.Selective coding involvesscanning
dataand previouscodes.Researchers look selec-
tively for casesthat illustratethemesand make
comparisonsand contrastsaftermost or all data
collectionis complete.They begin after they
havewell-developedconceptsand havestarted
to organizetheir overall analysisaround several
coregeneralizations or ideas.For example'a re-
searcherstudyingworking-classlife in a tavern
decidesto makegenderrelationsa major theme.
In selectivecoding,the researchergoesthrough
his or her field notes,looking for differencesin
how men andwomentalk aboutdattng,engage-
ments,weddings,divorce, extramaritalaffairs,
or husband/wiferelations.He or shethen com-
paresmale and femaleattitudeson eachpart of
the themeof marriage.
Likewise, the researcher studying the
Knights of Labor decidesto make the move-
ment'sfailureto form allianceswith other polit-
ical groupsa major theme.The researchergoes
through his or her notes looking for compro-
miseandconflictbetweenthe Knightsand other
political parties,including temperancegroups
and the Prohibitionparty.The arrayof concepts
and themesthat arerelatedto temperancein ax-
ial coding helps him or her discoverhow the
temperanceissue facilitated or inhibited al-
liances.
During selectivecoding, major themesor
concepts ultimately guide the researcher's.
search.He or she reorganizesspecificthemes
identified in earliercodingand elaboratesmore
than one major theme. For example, in the
working-classtavernstudy,the researcherexam-
ines opinions on marriageto understandboth
the theme of genderrelations and the theme of
different stagesof the life cycle.He or she does
this becausemarriage can be looked at both
ways.Likewise,in the Knights of Labor study,
the researchercan use temperanceto under-
stand the major theme of failed alliancesand
alsoto understandanothertheme,sourcesof di-
vision within the movementthat werebasedon
ethnic or religiousdifferencesamongmembers
(seeFigure13.1).
Analytic Memo Writing
arecompulsivenote-tak-
Qualitativeresearchers
ers.Their dataare recordedin notes,they write
commentson their researchstrategyin notes,
and so on. They keep their notesorganizedin
 .I
CHAPTE R 3 / A N A L Y S I SO F Q U A L I T A T I V ED A T A 333

FlcuRE 1 3.1 The coding processforeuaritative DataAnarysis

DataNotes

t---.=.-.-.-.-. 7
- -
-.-.-

Step 1: Open Coding

Carefully read and review all data notes, then create a cooe
that capturesthe idea,process,or theme in the data.

Organization of Codes

Step 2: Axial Coding

organize all the codes createdduringopen codinginto a structureby separating
them into majoror minor reversand showingrerationsamongthe codes.

Step 3: Selective Coding

Take the organizedcodes from the axial coding process and reviewthe codes
in the original
data notes to select the best illustrationsfor entering them into a final repon.
3 34 pA RTT HR EE,/ c o N D U c rtN c e u AL trA TtvER E sE A R cH

files, and often have many files with different
kinds of notes:a file on methodologicalissues
(e.g.,locationsofsourcesor ethicalissues), a file
of maps or diagrams,a file on possibleoverall
outlinesofa final report or chapter,a file on spe-
cific peopleor events,and so on.
The analyticmemois a specialtype of note.
It is a memo or discussionof thoughtsand ideas
aboutthe codingprocessthat a researcher writes
to himselfor herself.Eachcodedthemeor con-
ceptforms the basisof a separatememo,and the
memo containsa discussionof the conceptor
theme.The rough theoreticalnotesform the be-
ginning of analyticmemos.
The analytic memo forgesa link between
the concretedataor raw eyidenceand more ab-
stract,theoreticalthinking (seeFigure13.2).It
containsa researcher's reflectionson and think-
ing about the data and coding. The researcher
addsto the memo and usesit ashe or shepasses
through the datawith eachtype of coding.The
memosform the basisfor analyzingdatain the
researchreport. In fact,rewritten sectionsfrom
good-qualityanalyticmemos can becomesec-
tions of the final report.
The technologyinvolvedin writing analytic
memosis simple:pen and paper,a few note-
books,computerfiles,and photocopiesof notes.
There are many ways to write analytic memos;
eachresearcherdevelopshis or her own styleor
method.Someresearchers makemultiple copies
ofnotes,then cut them and placeselectionsinto
an analyticmemo file. This workswell if the data
files are large and the analyticmemosare kept
distinctwithin the file (e.g.,on different-colored
paper or placedat the beginning).Other re-
searchers link the analyticmemo file locationsto
the datanoteswherea themeappears.Then it is
easyto movebetweenthe analyticmemo and the
data.Because datanotescontainlinks or marked
themes,it is easytolocatespecificsectionsin the
data.An intermediatestrategyis to keepa run-
ning list of locationswhere a major theme ap-
pearsin the raw data.
As a researcherreviewsand modifies aner-
lytic memos,he or shediscusses ideaswith col-

FIcURE 1 3.2 AnalyticMemosand

OtherFiles

i
t:l
rl

ii
r!
lll-
Data
Notes i i-
i.
Analytic
Memos
Other
Files i-
Filed by Concept
orTheme Filed by Purpose
Organized by Date
or DataSource

Final
Report r
 CHAPTE R1 3 , / A N A L Y S I SO F Q U A L I T A T I V ED A T A
leagues,
and returnsto the literaturewith a focus
on newissues.Analyticmemosmayhelpto gen-
eratepotential hypotheses, which can be added
and dropped as needed,and to developnew
themesor codingsystems.
ANA LY T I C S T R AT E GIES F OR
Q UA LI T A T I V E D AT A
Techniques of coding and memo writing are ap-
proachesto the analysisof qualitative data. Most
qualitative researchers use these techniques to
some degree, often combined with a more spe-
cific strategy for the analysis ofqualitative dita.
In this section you will learn about four strate-
gies researchersuse to analyzequalitative data:
the narrative, ideal types, successiveapproxima-
tion, and the illustrative method.
Compared to the analysis of quantitative
data, strategiesfor qualitative data are more di-
verse, less standardized, and less explicitly out-
lined by researchers.Only in the past decade
have researchersstarted to explain and outline
exactly how they analyze qualitative data.
In general, data analysismeans a search for
patterns in data-recurrent behaviors, objects,
or a body of knowledge. Once a pattern is iden-
tified, it is interpreted in terms of a social theory
or the setting in which it occurred. The qualita-
tive researchermoves from the description of a
historical event or social setting to a more gen-
eral interpretation of its meaning.
The Narrative
You encountered the narrative in the last chap-
ter on historical-comparative research. In field
research, it is also called a natural history or
realist tale approach. The narrative is a laigely
atheoretical description. The researcher-author
"disappears" from the analysis and presents the
concrete details in chronological order as ifthey
were the product of a unique and "naturally un-
folding" sequenceof events.He or she simply
"tells a story" of what occurred.
335
Some argue that the narrative approach is a
presentation of data without analysis.There can
be analysis in a narrative, but it is ..light,' and
subtle. In the narrative method, a reseaicher ur_
semblesthe data into a descriptive picture or ac_
count ofwhat occurred, but he or she larselv
leavesthe data to "speak for themselves." H! oi
she interjects little in the form of new systematic
concepts, external theories, or abstraci models.
The explanation residesnot in abstract concepts
and theories, but in a combination of specific,
concrete details. The researcher presents or re_
veals the social reality as members in a field set_
ting experience it, or the worldview of specific
historical actors at a particular point in time. By
using little commentary a researcher tries to
convey an authentic feel for life's complexity as
experienced by particular people in specific cir-
cumstances,and does not derive abstract princi_
ples or identifr generalizableanalytic patterns.
In the narrative, data are"analyzed,, or..ex_
plained" in the terminology and concepts of the
people being studied. The analysis appears in
how a researcherorganizes the data f- p..r..r_
tation and tells the story. It appears in a greater
attention to particular people, events, oi fuctr,
and it relies on literary devices-the creative se-
lection of particular words to tell a story. de_
scribe a setting, show character development,
and present dramatic emphasis, intrigue, or
suspense.
Researchersdebate the usefulness of the
narrative strategy. On the one hand, it provides
rich concrete detail and clearly demonstiates the
temporal ordering of processes or specific
events. It captures a high degree of complexity
and.conveysa nuanced understanding ofho*
particular events or factors mutually affect each
other. The narrative allows the researcherto as-
semble very specific concrete details (i.e., the
names, actions, andwords of specific people and
the detailed descriptions of particulai evints at
specific times) that may be idiosyncratic but that
contribute to a complete explanation. On the
other hand, manyresearchers criticize the narra-
tive approach for being too complex, particular,
 336 pA RTT HR E E/ c o N D U c l N G e u A L trATtvER E S E A R cH

and idiosyncratic.It doesnot provide general- or "reality" can be compared.An idealtype is a

izations.The narrativemay presentan over-
whelming array of particular details,but not
provide a generalexplanationthat researchers developsa mentalmodel of the idealdemocracy
canapplyto otherpeople,situations,or time pe-
riods(seeBox 13.1).
ldealTypes
Max Weber'sidealtypeis usedby many qualita-
tive researchers.
Idealtlpes aremodelsor men-
tal abstractionsof socialrelationsor processes.
They arepure standardsagainstwhich the data
deviceusedfor comparison,becauseno reality
everfits an idealtype.For example,a researcher
or an idealcollegebeerparty.Theseabstractions,
with lists of characteristics,
do not describeany
specificdemocracyor beer parry; nevertheless,
they are usefi,rlwhen applied to many specific
casesto seehow well eachcasemeasuresup to
the ideal.This stagecan be usedwith the illus-
trative methoddescribedearlier.
Weber'smethod of idealtypesalsocomple-
ments|ohn StuartMill's method of agreement.

Many qualitativeresearchers, especiallyfeministre- The narrativeis found in literature,artistic ex-

searchers, usethe narrativebecausethey believeit pressions, types of therapy,judicialinquiries,social
best enablesthem to retaina richnessand authen- or politicalhistories,biographyand autobiography,
ticity from their originaldata sources(i.e.,individual medicalcasehistories,andjournalisticaccounts. As a
personalstoriesor eventsin ethnographies, or spe- wayto organize, analyze, and presentqualitativeso-
cifichistoricalevents).In simpleterms,the narrative cialsciencedata,the narrativesharesmanyfeatures
is story telling.In it, an authorpresentstwo or more with other academicand culturalcommunication
eventsin temporaland causalsequences. Somenar- forms,but it differsfrom the positivistmodelfor or-
rativesarecomplex,with elementssuchas (1 a sum- ganizingand reportingon data.The positivistmodel
)
mary statement of the entire story; (2) an emphasizes usingimpersonal, abstract,"neutral"lan-
orientationthat identifiesspecifictimes,places,per- guageand a standardized analyticapproach.
sons,and situations;(3) complicatingactionsor Many qualitativeresearchersargue that re-
twistsin the plot of "whathappened";(4) an evalua- searchers who adopt the positivistmodelare sim-
tion or emotionalassessment of the narrative's ply usingan alternative form of narrative,
one with
meaningor signifigance; (5) a resolutionor whatoc- specializedconventions.These conventionsen-
curedaftera dramatichighpoint that resolvesa sus- courageformalanalyticmodelsand abstracttheo-
pensefulclimaticevent;and (6) a codaor signalthat ries,but suchmodelsor theoriesare not necessarily
the narrativeis ending. superiorto a story-tellingnarrative. Positivist
data
Peoplefrequentlytell one anotherstoriesin daily analysis and reportingconventions havetwo nega-
life.They usuallystructureor organizetheir narra- tive effects.First,they makeit easierforresearchers
tives into one of"severalrecognizedpatterns,often to losesightofthe concreteactualeventsand per-
recountingit with visualclues,gestures,or voicein- sonalexperiences that comprisesocialsciencedata.
tonationsfor dramaticemphasis. The structuremay Second,they makeit moredifficultfor researchers
includeplot lines,coremetaphors, and rhetoricalde- to expressideasand buildsocialtheoriesin a for-
vicesthat drawon familiarculturalandpersonalmod- mat that most peoplefind to be familiarand com-
elsto effectivelycommunicate meanings to others. fortable.
 CHAPTE R1 3 / A N A L Y S I SO F Q U A L I T A T I V ED A T A 337

With the methodof agreement, a researcher's

at- about patterns in data by referring to something
tention is focusedon what is common across that is already known or an experience familiar
cases,
and he or shelooksfor commoncausesin to the reader. They can describe relationships
caseswith a common outcome.By itself, the buried deep within many details and are a short-
method of agreementimplies a comparison hand method for seeingpatterns in a maze of
againstactualcases.This comparisonof cases specific events.They also make it easierto com-
could alsobe madeagainstan idealizedmodel.A pare social processesacrossdiflerent casesor set-
researcher could developan idealtypeofa social tings. For example, a researchersaysthat a room
processor relationship,then comparespecific went silent after person X spoke: "A chill like a
casesto it. cold gust of air" spread through the room. This
Qualitativeresearchers
haveusedidealtypes does not mean that the room temperature
in two ways:to contrastthe impact of cotrie"ts dropped or that a breeze was felt, but it suc-
and asanalogy. cinctly expressesa rapid change in emotional
tone. Likewise, a researcherreports that gender
Contrast Contexts. Researchers who adopt a relations in society Y were such that women
strongly interpretive approach may use ideal were "viewed like property and treated like
t)?esto interpretdatain a waythat is sensitiveto slaves."This does not mean that the legal and so-
rI the contextand cultural meaningsof members. cial relations between genders were identical to
They do not testhypothesesor createa general- those of slaveowner and slave.It implies that an
izabletheory,but usethe idealtFpeto bring out ideal type of a slave-and-master relationship
the specificsof eachcaseand to emphasizethe would show major similarities to the evidence
impact of the unique context. on relations between men and women if applied
Researchers makingcontrastsbetweencon- to society Y.
textsoften choosecaseswith dramaticcontrasts The use of analogies to analyze qualitative
or distinctivefeatures.For example,inWork and data servesas a heuristic device (i.e., a devicethat
Authority in Industry,ReinhardBendix (1956) helps one learn or see).It can representsome-
comparedmanagementrelationsin very difier- thing that is unknown and is especiallyvaluable
ent contexts:CzaristRussiaand industrializins. when researchersattempt to make sense of or
England. explain data by referring to a deep structure or
When comparing contexts,researchers do an underlying mechanism. Ideal types do not
not usethe idealtFpeto illustratea theoryin dif- provide a definitive test of an explanation.
ferent casesor to discoverregularities.Instead, Rather, they guide the conceptual reconstruc-
they accentuatethe specificand the unique. tion of the mass of details into a systematic
Other methodsof analysisfocuson the general format.
and ignore peculiarities.By contrast, a re-
searcherwho usesideal types can show how
unique featuresshapethe operationof general Successive
Approximation
processes. Successiveapproximation involves repeated it-
erations or cycling through steps, moving to-
Analogies. Idealtypesare usedasanalogiesto ward a final analysis.Over time, or after several
organizequalitativedata.An analogtis a state- iterations, a researchermoves from vague ideas
ment that two objects,processes,
or eventsare and concrete details in the data toward a com-
similar to eachother. Researchers
useanalogies prehensive analysiswith generalizations. This is
to communicateideasand to facilitate logical similar to the three kinds of codins discussed
comparisons.Analogiestransmit information earlier.
338 pA RTT HRE E,/ c o N D U C T tN ce u A L trAT tvER E S E A R C H

A researcherbegins with researchquestions The lllustrative Method

and a framework of assumptions and concepts.
Another method of analysisusesempirical evi-
He or shethen probes into the data, asking ques-
dence to illustrate or anchor a theory. With the
tions of the evidenceto seehow well the con-
illustrative method, a researcherapplies theory to
cepts fit the evidence and reveal features ofthe
a concrete historical situation or social setting,
data. He or she also createsnew conceptsby ab-
or organizesdata on the basis of prior theory.
stracting from the evidenceand adjusts concepts
Preexisting theory provide s the empty boxes.The
to fit the evidencebetter. The researcherthen
researcherseeswhether evidence can be gath-
collects additional evidence to address unre-
ered to fill them. The evidence in the boxes con-
solvedissuesthat appearedin the first stage,and
firms or rejectsthe theory, which he or shetreats
repeatsthe process.At each stage,the evidence
as a useful device for interpreting the social
and the theory shape each other. This is called
world. The theory can be in the form of a general
successiveapproximatior because the modified
model, an analogy,or a sequenceof steps.
concepts and the model approximate the full ev-
There are two variations of the illustrative
idence and are modified over and over to be-
method. One is to show that the theoretical
come successively more accurate.
model illuminates or clarifies a specific case or
Each pass through the evidence is provi-
single situation. A second is the parallel demon-
sional or incomplete. The concepts are abstract,
stration of a model in which a researcherjuxta-
but they are rooted in the concrete evidence and
posesmultiple cases(i.e.,units or time periods)
reflect the context. As the analysismoves toward
to show that the theory can be applied in multi-
generalizations that are subject to conditions
ple cases.In other cases,the researcherillustrates
and contingencies,the researcherrefines gener-
theory with specific material from multiple
alizations and linkages to reflect the evidence
cases.An example of parallel demonstration is
better. For example, a historical-comparative re-
found in Paige's(1975) study ofrural classcon-
searcher believes that historical reality is not
flict. Paigefirst developed an elaborate model of
even or linear; rather, it has discontinuous stages
conditions that cause class conflict, and then
or steps.He or she may divide 100 years of his-
provided evidenceto illustrate it from Peru, An-
tory into periods by breaking continuous time
gola, and Vietnam. This demonstrated the ap-
into discreteunits or periods and define the pe-
plicability of the model in severalcases.(SeeBox
riods theoretically. Theory helps the researcher
13.2for a summary of qpes.)
identifrwhat is significant and what is common
within periods or between different periods.
The researchercannot determine the num-
ber and size ofperiods and the breaks between
them until after the evidencehas been examined.
He or she may begin with a generalidea of how Tell a detailedstory about a par-
1. Thenarrative.
many periods to create and what distinguishes ticularsliceof sociallife.
them but will adjust the number and size of the
2. ldealtypes.Comparequalitativedatawith a pure
periods and the location of the breaks after re-
modelof sociallife.
viewing the evidence.The researcherthen reex-
approximation
3. Successive Repeatedly moveback
amines the evidence with added data, readjusts
and forth betweendata and theory,until the
the periodization, and so forth. After severalcy-
gap betweenthemshrinksor disappears.
cles,he or she approximatesa set of periods in
100 yearson the basisofsuccessivelytheorizing method.Fillthe "emptyboxes"of
4. Theillustrative
and looking at evidence. theorywith qualitativedata.
 CHAPTE R1 3 , / A N A L Y S I SO F Q U A L I T A T I V ED A T A
oTHER TECHNTQUE S
Qualitativeresearchers usemany analvsistech-
niques.Hereis a brieflook at othertechniquesto
illustratethe variety.
Network Analysis
The idea of socialnetworkswas discussedwith
network theory and with snowball sampling.
Qualitativeresearchersoften "map" the connec-
tions among a set of people, organizations,
events,or places.Using sociogramsand similar
mappingtechniques,they candiscover,analyze,
and displaysetsof relations.For example,in a
company,Harry givesSueorders,Sueand Sam
consultand help one another.Samgetsmateri-
als from Sandra.Sandrasocializeswith Mary.
Researchers find that networks help them see
and understandthe structureof complexsocial
relations.
Time Allocation Analysis
Time is an important resource.Researchers
ex-
aminethe waypeopleor organizationsspendor
investtime to revealimplicit rulesof conductor
priorities. Researchers document the duration
or amount of time devotedto variousactivities.
Qualitativeresearchers examinethe duration or
amountof time deyotedto activities.An analysis
ofhow people,groups,or organizationsallocate
the valuable resourcesthey control (such as
time, space,money, prestige) can reveal a lot
abouttheir real,ascontrastedwith officiallypro-
fessed,priorities. Often, peopleare unawareof
or do not explicitlyacknowledge the importance
of an activity on which they spenttime. For ex-
ample,a researchernoticesthat certain people
are required to wait before seeinga person,
whereasothersdo not wait. The researcher may
analyzethe amount of time, who waits, what
they do while waiting, and whether they feel
waitingisjust. Or the researcher documentsthat
peoplesaythat a certaincelebrationin a corpo-
ration is not important. Yet, everyoneattends
339
and spendstwo hours at the event.The collective
allocationof two hours during a busyweekfor
the celebrationsignalsits latent or implicit im-
portancein the cultureof the corporation.
Flowchart and Time Sequence
In addition to the amount of time devotedto
various activities, researchersanalyzethe order
of eventsor decisions.Historici researchers
havetraditionally focusedon documentingthe
sequence of events,but comparativeand field re_
searchers alsolook at flow or sequence.In addi_
tion to when eventsoccur, researchers use the
ideaof a decisiontreeor flowchartto outline the
order ofdecisions,to understandhow oneevent
or decisionis relatedto others.For example,an
activity as simple asmaking a cakecan bi out_
lined (seeFigure13.3).Theideaof mappingout
steps,decisions,or eventsand looking at their
interrelationship has been applied to many
settings.
Multiple Sorting Procedure
Multiple sorting is a technique similar to do-
main analysisthat a researchercan use in field
researchor oral history. Its purpose is to dis-
coverhow peoplecategorize their experiences or
classifiitemsinto systemsof "similai', and ..dif-
ferent."Themultiple sortingprocedurehasbeen
alopted by cognitiveanthropologistsand psy-
chologists.It canbe usedto collect,verift, oian-
alyzedata.Here is how it works.The reiearcher
givesthosebeingstudieda list of terms,photos,
places,namesof people,and so on, and asks
them to organizethe listsinto categories or piles.
The subjectsor membersusecategoriesof their
own devising.Once sorted,the researcherasks
about the criteria used.The subjectsare then
giventhe items againand askedto sort them in
other ways.There is a similarity to Thurstone
scalingin that peoplesort itemi, but here,the
number of piles and type of items differ. More
significantly,the purposeof the sortingis not to
createa uniform scalebut to discoverthe variety
340 PART TH REE , / CO NDUCTI NG Q UALI T A T I V ER E S E A R C H
FIGURE 13. 3 Partial Flowchartof Cake Making
CheckTemp.of Oven
LowerTemp. Put Cake
in Oven
of ways people understand the world. For exam-
ple (Canter et al., 1985:90),a gambler sorts a list
of eight gambling establishments five times.
Each sort has three to four categories.One of the
sorts organized them based on "class ofcasino"
(high to low). Other sortswere basedon "frills,"
"size of stake," "make me money," and "per-
sonal preference." By examining the sorts, the
researcherseeshow others organize their worlds.
Diagrams
Qualitative researchershave moved toward pre-
senting their data analysis in the form of dia-
grams and charts. Diagrams and charts help
them organize ideas and systematically investi-
gate relations in the data, as well as communi-
cate results to readers.Researchersuse spatial or
temporal maps, typologies, or sociograms.
Quantitative researchershave developed
many graphs,tables,charts, and pictorial devices
to present information. Miles and Huberman
(1994) argued that data display is a critical part
Raise/Set
Temo
of qualitative analysis. In addition to tax-
onomies,maps,and lists,they suggested the use
of flowcharts,organizationalcharts,causaldia-
grams,and various lists and grids to illustrate
analysis(seeFigure13.4).
S O F T WA RE
F O RQ UA L I T A T I V E
DA T A
Quantitative researchershave used computers
for nearly40 yearsto generatetables,graphs, and
charts to analyzeand present numerical data. By
contrast, qualitative researchersmoved to com-
puters and diagrams only in the past decade.A
researcherwho enters notes in a word-process-
ing program may quickly search for words and
phrases that can be adapted to coding data and
linking codesto analytic memos. Word process-
ing can also help a researcher revise and move
codesand parts offield notes.
New computer programs are continuously
being developed or modified, and most come
 CHAPTER- I3 /
FIG URE 1 3. 4 Examplesof the Useof Diagramsin QualitativeAnalysis
John Yes
Mary Yes
Martin No
Yoshi Yes
DK d o n ' t k n o w , N /A = n o t a p p lica b le
with highly detailed and program-specific user
manuals. The reviewhere does not go into detail
about specific software. It covers only the major
approachesto qualitative data analysis at this
time.
Some programs perform searchesof text
documents. What they do is similar to the
searching function available in most word-pro-
cessingsoftware. The specializedtext retrieval
programs are faster and have the capability of
finding close matches, slight misspellings, simi-
lar-sounding words, and synonyrns. For exam-
ple, when a researcherlooks for the keyword
boat, the program might also tell whether any of
the following appeared: ship, battleship,frigate,
A N A L Y S I SO F Q U A L I T A T I V ED A T A 341
ti
ri
:t))11)),i::::::)t))::l
Yes N/A No
DK No Yes
Yes N/A Yes
No Yes Yes
rowboat, schooner, vessel,yacht, steamer, ocean
liner, tug, canoe, skffi cutter, aircraft carrier,
dinghy, scow, galley, ark, cruiser, destroyer, flag-
ship, and submarine. In addition, some pro-
grams permit the combination of words or
phasesusing logical terms (and, or, not) in rvhat
are called Boolean searches.For example, a re-
searchermay searchlong documents for rvhen
the keywords collegestudent and drinking and
smokingoccur within four sentencesof one an-
other, but only when the word fraterniq' is not
presentin the block oftext. This Boolean search
uses and to seek the intersection of collegestu-
dent with either of two behaviors that are con-
nected by the logical terr.rror, n'hereasthe logical
3 42 pA RTT HR E E,/ c o N D U c l N C e u AL l rATtvER E sE A R cH
searchword rof excludessituations in which the
term fr aternity appears.
Most programs show the keyword or phrase
and the surrounding text. The programs may
also permit a researcherto write separatememos
or add short notes to the text. Some programs
count the keywords found and give their loca-
tion. Most programs create a very specific index
for the text, based only on the terms of interest
to the researcher.
Textbase managers are similar to text re-
trieval programs. The key difference is their abil-
ity to organize or sort information about search
results. They allow researchersto sort notes by a
key idea or to add factual information. For ex-
ample, when the data are detailed notes on inter-
views, a researcher can add information about
the date and length ofthe interview, gender of in-
terviewee, location of interview, and so on. The
researchercan then sort and organizeeach inter-
view or part of the interview notes using a com-
bination of keywords and added information.
In addition, some programs have Hpertext
capability. Hypertext is a way of linking terms to
other information. It works such that clicking
the mouse on one term causesa new screen(one
that has related information) to appear.The re-
searchercan identifykeywords or topics and link
them together in the text. For example, a field
researcherwants to examine the person Susan
and the topic of hair (including haircuts, hair-
styles,hair coloring, and hats or hair covering).
The researchercan use Hypertext to connect all
places Susan'sname appears to discussionsof
hair. By the mouse clicking on Susan'sname,
one block of text quickly jumps to another in the
notes to seeall placeswhere Susan and the hair
topic appeartogether.
Code-and-retrieve programs allow a re-
searcherto attach codesto lines, sentences,para-
graphs, or blocks of text. The programs may
permit multiple codes for the same data. In ad-
dition to attaching codes,most programs also al-
low the researcherto organize the codes. For
example, a program can help a researchermake
outlines or "trees" of connections (e.g.,trunks,
&
A
branches, and twigs) among the codes, and
I
among the data to which the codes refer. The
qualitative data are rearranged in the program
basedon the researcher'scodesand the relations
among codesthat a researcherspecifies.
c o Nc t u s t o N
In this chapter, you have learned how re-
searchers analyze qualitative data. In many re-
spects,qualitative data aremore difficult to deal
with than data in the form of numbers. Num-
bers have mathematical properties that let a re-
searcheruse statistical procedures. Qualitative
analysisrequires more effort by an individual re-
searcherto read and reread data notes, reflect on
what is read, and make comparisons based on
logic and judgment.
Most forms of qualitative data analysis in-
volve coding and writing analltic memos. Both
are labor-intensive efforts by the researcher to
read over data carefully and think about them
seriously. In addition, you learned about meth-
ods that researchershave used for the analysisof
qualitative data. They are a sample of the many
methods of qualitative data analysis.You also
learned about the importance of thinking about
negative evidenceand events that are not pre-
sent in the data.
This chapterendsthe sectionofthe book on
researchdesign, data collection, and dataanaly-
sis. Social researchalso involves preparing re-
ports on a researchproject, which is addressedin
the next chapter.
Key Ter m s
axial coding
emptyboxes
illustrative method
narrative history
open coding
selectivecoding
successiveapproximation
Writing the Research
Report

Introduction
The Research Report
Why Write a Report?
The Writing Process
Stepsin Writing
The QuantitativeResearchReport
The QualitativeResearchReport
The Researchproposal
Conclusion

343
344 PART FOU R / W RI TI NG A RESEARCHRE P O R T
INTRODUCTION
Thepreviouschaptershavelookedat how to de-
sign studies,gatherdata, and analyzethe data'
Y!t, a researchproject is not completeuntil the
researchersharesthe resultswith others'Com-
municating results and how a study was con-
ducted wiih others is a critical last step in the
researchprocess.It is usually in the form of a
written report. Chapter1 discussed how the sci-
entific community emphasizes that researchers
makepublic how they conductedtheir research The Writing Process
and their findings'In this chapter,you will learn
aboutwriting a report on one'sresearch'
THE RESEARCHREPORT
Why Write a RePolt?
After a researchercompletesa project or a sig-
nificant phaseof alatge project, it is time-to
commun-icatethe findings to othersthrough a
researchreport. You canlearn a lot aboutwrit-
ing a researchreport by readingmany reports
t"kittg a coursein scientific and technical written.
"n?
writing.
A.-researchreportis a written document(or
oral presentationbasedon a written document)
thatiommunicatesthe methodsand findingsof
a researchproject to others.It is more than a
summaryof fittdittgt; it is a record of the re-
searchpio..tt. A researchercannot wait until
the researchis doneto think aboutthe report;he
or shemust think aheadto the report and keep port.
carefi.rlrecordswhile conductingresearch'In ad-
dition to findings, the report includesthe rea-
sonsfor initiating the project, a descriptionof
the project'ssteps,a presentationof data,and a
disclssionofhow the datarelateto the research with
questionor toPic.
The report tells otherswhat you, the re-
searcher,did, and what you discovered'In other
words, the researchreport is a way of dissemi-
nating knowledge.As you sawin Chapter.l,-the
..r.ui.h ,.port playsa significantrole in binding
togetherthe scientific community' Other rea-
sois fo, writing a rePort are to fulfill a classor
job assignment,to meetan obligationto an or-
to persuade
eanirat[n that paid for the research,
i professionalgroup about specific aspects of a
about find-
p-Ut.-, or to iell the generalpublic
ings.Communicatingwith the generalpublic is
raiely the primary method for communication
of scientificresults;it is usuallya secondstageof
dissemination.
Your Audience, Professionalwriters say:AI-
waysknow for whom you arewriting' This-isbe-
.uor. .o*rrrunication is more effectivewhen it
is tailored to a specificaudience'You should
write a researchreport differentlydependingon
whetherthe primary audienceis an instructor'
students,professionalsocialscientists,practi-
tioners, oi the generalpublic' It goeswithout
sayingthat the writing shouldbe clear,accurate'
and organized.
Initructors assigna report for differentrea-
sonsand may placerequirementson how rt rs
In geniral,instructorswant to seewrit-
ing and an6tganizationthat reflectclear'logical
thinking. Studentreportsshoulddemonstratea
solid gr"aspof substantiveand methodological
.orr..!tr. A goodwayto do this is to usetechni-
cal terms Jxpficitty when appropriate;.they
shouldnot be usedexcessively or incorrectly'
it is bestto de-
When writing for students,
fine technicaltermsandlabeleachpart of the re-
The discussionshouldproceedin a logical'
step-by-stepmannerwith many specificexam-
pl.t. Ut" siraight-forwardlanguageto explain
irow andwhy you conductedthevariousstepsof
the researchproject. One strategyis to begin
the reseaichquestion,then structurethe re-
port asan answer.
Scholarsdo not needdefinitionsoftechnical
terms or explanationsof why standard-ploce-
dures iandom sampling)were used'They
(e.g.,
areintere-stedin how the researchis linkedto ab-
stracttheory or previousfindings in the litera-
 C H A P T E R1 4 , / WR I T I N C T H E R E S E A R C HR E P O R T 345

I rea- ture. They want a condensed,detaileddescrip- A researchreport shouldbe objective,accu-

ES Or tion ofresearchdesign.Theypaycloseattention rate, and clear.Checkand recheckdetails(e.g.,
n or- to how variablesaremeasuredand the methods pagereferencesin citations) and fully disclose
pade of data collection. Scholarslike a compact, howyou conductedthe researchproject.If read-
lofa tightly written, but extensivesection on data ersdetectcarelessness in writing, theymay ques-
fnd- analysis,with a meticulousdiscussionof results. tion the researchitself.The detailsofa research
flic is Practitionersprefera shortsummaryof how project can be complex,and such complexity
rtion the studywasconductedandresultspresentedin means that confusion is always a danger. It
ge of a few simplechartsand graphs.They like to see makesclearwriting essential.Clearwriting can
an outline of alternativepathsof action implied be achievedby thinking and rethinking the re-
by resultswith the practicaloutcomesof pursu- searchproblem and design,explicitly defining
ing eachpath. Practitionersmust be cautioned terms,writing with short declarativesentences,
not to overgeneralize from the resultsof one andlimiting conclusionsto what is supportedby
c Al- study. It is best to placethe detailsof research the evidence.
b be- designand resultsin an appendix.
rn it When writing for the generalpublic, use Organizing Thoughts. Writing doesnot hap-
nuld simple language,provide concreteexamples, pen magicallyor simply flow out of a person
tg on and focuson the practicalimplicationsof find- when he or sheputs pen to paper (or fingersto
EtOr, ings for socialproblems.Do not include details keyboard)althoughmany peoplehavesuch an
acti- of researchdesignor of results,and be carefirl illusion. Rather,it is hard work, involving a se-
houl not to make unsupportedclaimswhen writing quenceofstepsand separateactivitiesthat result
trate, for the public.Informing the public is an impor- in a final product. Writing a researchreport is
tant service,which canhelpnonspecialists make not radicallydifferentfrom other typesof writ-
ttea- betterjudgmentsaboutpublic issues. ing. Although somestepsdiffer and the levelof
'it is complexitymay be greater,most of what a good
writ- Style and Tone. Researchreports are written writer doeswhenwriting a long letter,a poem,a
Fical in a narrow rangeof stylesand have a distinct set of instructions,or a short story appliesto
ate a tone. Their purposeis to communicateclearly writing a researchreport.
gical the researchmethod and findings. First,a writer needssomethingaboutwhich
Sni- Stylerefersto the typesofwords chosenby to write. The "something"in the researchreport
th.y the writer and the length and form of sentences includesthe topic, researchquestion,designand
F. or paragraphsused.Toneis the writer's attitude measures,data collectiontechniques,results,
r de- or relationtowardthe subjectmatter.For exam- and implications.With so many parts to write
E re- ple,an informal,conversational sryle(e.g.,collo- about,organizationis essential.The most basic
i,,l, quial words, idioms, clich6s,and incomplete tool for organizingwriting is the outline. Out-
lam- sentences) with a personaltone (e.g.,theseare lines help a writer ensurethat all ideasare in-
Fl"it my feelings)is appropriatefor writing a letter to cludedandthat the relationshipbetweenthem is
p6of a closefriend, but not for researchreports.Re- clear.Outlinesare madeup of topics (wordsor
rgin searchreportshavea formal and succinct(say- phrases)or sentences. Most of us are familiar
Ere- ing a lot in few words) style.The tone expresses with the basicform of an outline (seeFigure
distancefrom the subjectmatter; it is profes- r4.l).
nical sionaland serious.Fieid researchers sonietimes Outlines can help the writer, but they can
IrcE- use an informal style and a personaltone, but alsobecomea barrier if they are usedimprop-
lh.y this is the exception.Avoid moralizingandflow- erly.An outline is simplya tool to help thewriter
r ab- ery language.The goalis to inform, not to advo- organizeideas.It helps (1) put ideasin a se-
lera- catea position or to entertain. quence(e.g.,what will be saidfirst, second,and
346 PART FOUR / W RI TI NG A RESEARCHREPOR T

FIcU RE I 4. 1 F or m o fOu tl i n e
l. Firstmaiortopic One of the mostimPortant
A. Subtopicof topic I Secondlevelof imPortance
1 . Subtopicof A Thirdlevelof importance
a. SubtoPic of 1 Fourthlevelof imPortance
"l
b. SubtoPicof
(1) SubtoPic of b Fifthlevelof importance
(2) SubtoPic of b
(a) SubtoPicof (2) Sixthlevelof imPortance
(b) SubtoPicof (2)
i. Subtopicof (b) Seventhlevelof imPortance
ii. Subtopicof (b)
2. Subtopicof A Third levelof imPortance
B. Subtopicof toPicI Secondlevelof imPortance
ll. SecondmaiortoPic One of the mostimPortant

researchersfinish
third); (2) group relatedideastogether(e.g., Back to the Library. Few
their literature review before completing a re-
theseare similar to eachother but they differ
researcher shouldbe familiar
from those);and (3) separatethe more general' searchproject.The
beginning a project,
or higher-level,ideasfrom more specificideas, with the literature before
but will need to return to the literature after
and the specificideasfrom very specificdetails.
completingdatacollection and analysis, for sev-
Somestudentsfeel that they need a com-
eral reasons.First, time has passed between the
plete outline before writing, and that once an
beginningand the end ofa research project, and
outline is prepared,deviationsfrom it are im-
possible.Few writers begin with a complete out- nei studiesmay havebeenpublished'Second,
iine. The initial outline is sketchybecauseuntil after completinga researchproject,a researche
you write everythingdown, it is impossibleto will know better what is or is not centralto the
put all ideasin a sequence' group them together, study and may have new questions in mind
or separatethe generalfrom the specific.For when rereadingstudiesin the literature.Finally,
may find
most writers, new ideas develop or become when writing the report' researchers
that notesarenot complete enough or a detailis
clearerin the processof writing itself.
missingin the citation of a reference source (see
A beginningoutline may differ from the fi-
library after data col-
nal outline by more than degreeof complete- Box t+.t). The visit to the
more selective or fo-
ness.The processof writing may not only reveal lectionis lessextensiveand
cusedthan that conducted at the beginning of
or clarifr ideasfor thewriter but it will alsostim-
ulatenew ideas,new connectionsbetweenideas, research.
a different sequence,or new relationsbetween When writing a researchreport, researcher
the generaland the specific.In addition, the frequentlydiscardsomeof the notesand sources
processof writing may stimulatereanalysisor a thai were gatheredprior to completingthe re-
ieexaminationof the literatureor findings.This searchproject.This doesnot meanthat the ini-
review were a
doesnot meanbeginningall over again.Rather, tial library work and literature
expectthat
it meanskeepingan open mind to new insights wasteof time and effort.Researchers
someof the notes(e.g.,25 percent) taken before
and beingcandidaboutthe researchproject.
 CHAPT E R1 4 , / WR I T I N G T H E R E S E A R C HR E P O R T
347

Books VanTubergen,Frank.2OO5. ,,Self

Employment of lm_
migrants:A Cross-National Studyof I Z Western
First-EditionBooks
Societies."SocialForces
B4l 09 _32.
Efiasoph,Nina.1 9 9 8. Avoidingpolitics:HowAmericans
ProduceApathy in Everyday [Note:Omit issuenumberexceptwheneachissueis
Lrle.New york Cam_ renumberedbeginningwith page 1. Then give vol_
bridgeUniversityPress.
ume(issue):pages-for example, g4 (2)l O; 43.1
Glynn,CarrollJ., SusanHerbst,CarrettJ.O'Keefeand
RobertY.Shapiro.I 999 . pubticOpinion.Boulder, Articles from
Magazinesand Newspapers
CO: WestviewPress.
Janofsky, Michael."shortageof Housingfor poor
LaterEditionsof Books Crows in the U.S." Newyork Times\April29,
Portes,Alejandroand RubenG. Rumbaut.I 995. I 998), p. A 14.
lmmigrantAmerica: A portrait,2d ed. Berkelev:Uni_ Nichols, John.1998. "How Al Core Has lt Wired,,
versityof Californiapress. _
Nation267 Quly20, 1998): j t _t 6.
[Abbreviations are 2d ed.,3d ed.,Rev.ed.,2 vols.] |t is not alwaysnecessary to includepagenumbers
for newspapers].
OneVolume of Multivolume Book
Marx,Karl.[I 8 8 Z] 1 9 67 . Capital:Citique of potitical Book Reviews
Economy,VolumeI , The processof Capitatist pro_ Academic lournals
duction.Translatedby FrederickEngles.Reprint. Bergen,Raquel
Kennedy.1 99g. Reviewof AWoman
NewYork Internationalpublishers. Scorned:AcquaintanceRapeon Trial, by peggy
TranslatedBooks Sanday. Contemporary iorioiogy
l:I:t -
Durkheim,Emile.1 933.The Division 27:98-99.
of Laborin Soci_
ety. Translatedby GeorgeSimpson.New york: PopularMagazines
FreePress. Wolfe,Alan.200.|. Reviewof HeavenBelow: Earlvpen_
Weber,Max.1 9 5 8. TheprotestantEthicand the Soint tacostalsand AmeicanCulture,by Grant W'acker.
of Capitalism.Translatedby Talcott parsons.New NewRepublic,225 (September I 0):59_62.
York CharlesScribner'sSons.
GovernmentDocuments
EditedBooks
Danziger, U.S.Bureauof Census.2006. StatrsticalAbstract of
Sheldonand PeterCottschalk,eds.1 995.
UnevenTides: RisingInequalityin America.New theUnitedStates,l2Sth ed.WashingtonDC:U.S.
York RussellSageFoundation. CovernmentprintingOffice.

RepublishedBooks Doctoral Dissertationsand Theses

Mason,EdwardS. [1 952] 1964. Economic Concen_
tration and the Monopolyproblem.Reprint. New
York Atheneum.
Articles from Books or Scholarly
fournals
Wright,ErikOlin.1 992. "Rethinking,OnceAgain,the
Concept of Class Structure."pp. 4l_72 in
Reworking C/ass,edited by J. Hall.lthaca:Cornell
UniversitvPress.
King,AndrewJ.1976. "LawandLandUsein Chicago:
A Pre-Historyof ModernZoning."ph.D.disserta_
tion, Departmentof Sociology,Universityof Wis_
consin,Madison,Wl.
UnpublishedPapers,policy Reportsand
Presented Papers
Haines,HerbertH. 1 980. ,.ldeological
Distribution
andRacialFlankEffectsin SocialMovements"pre_
348 PART FOU R / W RI TI NC A RESEARCHRE P O R T
sentedat the annualmeetingofthe AmericanSo-
August,NewYorkCity.
ciologicalAssociation,
lnternet Sources
reader
[Note:The date retrievedis the datethat the
locatedand readthe work on the lnternet.]
Announcement or Personal HomePage
Association1999. Journals
AmericanSociological
and Newsletters. RetrievedJanuary16, 1999'
JournalAbstractor BookReview
http:,/www.asanet.orglPu bslpublicat.html
Stanbridge, Karen. 2005. Review of The
On-LineJournalArticle
Sosteric,Mike,Mike Cismondiand Gina Ratkovic'
and Mar-
1 998. "The University, Accountability,
ket Disciplinein the Late1 990s"' Electronic
Jour-
completingthe projectwill becomeirrelevantas
the project gainsfocus' They do not include
notesor references in a report that areno longer
relevant,for they distractfrom the flow of ideas
and reduceclarity.
Returning to the library to verifr and ex-
pandreferences focusesideas.It alsohelpsavoid
plagiarism.Plagiarismis a seriousform of cheat-
ing, and manyuniversitiesexpelstudentscaught
engagingin it. Ifa professionaleverplagiarizes in
a scholarlyjournal, it is treatedasa very serious
offense.Takecarefulnotesand identifrthe exact
sourceofphrasesor ideasto avoidunintentional
plagiarism.Cite the sourcesof both directly
quotedwords and paraphrased ideas.For direct
quotes,include the location of the quote with
pagenumbersin the citation.
Usinganother'swritten wordsandfailingto
give credit is wrong, but paraphrasingis less
clear.Paraphrasingisnot using another'sexact
words;it is restatinganother'sideasin your own
words,condensingat the sametime. Researchers
regularlyparaphrase, and goodparaphrasingre-
quiresa solid understandingof what is being
April 1 9 8 8, Vol. 3. Retrieved
nalof SociologSr Jan-
1
uary 1 5, 9 9 9. http:/ /www.sociology. org/ con-
tenVvol003.00 3/sosteric.html
NewspaperArticle
.l
Lee,Don. 999. "State'sJob Crowth Hits Unex-
pected Cold Spell." LosAngelesTimes()anuary
1 6). RetrievedJanuary16, 1999' http:/,/www'
latimes.comlHOM E/BUSINESS/topstory'html
NewTransnationalActivismby Sidney Tarrow'
CanadianJournalof SociologltOnline.Retrieved
January 12, 2006. http://www.cjsonline'ca,/
reviews/transnatl.html'
paraphrased.It meansmore than replacingan-
othei's words with q'nonyms; paraphrasingis
borrowingan idea,boiling it down to its essence,
and givingcredit to the source.
Steps in Writing
Writing is a process.The way to learn to write
is by writing. It takestime and effort, and it
improveswith practice.Thereis no singlecor-
rectwayto write, but somemethodsare asso-
ciated with good writing. The processhas
threestePs:
!. Prewriting.Prepareto write by arranging
noteson the literature,makinglistsof ideas'
outlining, completingbibliographiccita-
tions, and organizingcommentson data
analysis.
2. Composing. Get your ideasonto paper asa
first draft by freewriting' drawing up the
bibliographyand footnotes,preparingdata
for presentation'and forming an introduc-
tion and conclusion.
 CHAPT E R1 4 , / WR I T I N G T H E R E S E A R C HR E P O R T
3. Rewriting.Evaluateandpolishthe report by
improving coherence,proofreadingfor me-
chanicalerrors,checkingcitations,and re-
viewingvoiceand usage.
Manypeoplefind that gettingsrartedis dif-
ficult. Beginningwriters often jump to the sec-
ond step and end there, whicli results in
poor-quality writing. prewriting meansthat a
writer beginswith a file folder full of notes,out_
lines,andlists.You must think aboutthe form of
the report and audience.Thinking time is im-
portant.It often occursin spurtsovera periodof
time beforethe bulk of composingbegins.
.- Somepeoplebecomeafflictedwith a strange
ailment calledwriter'sblockwhenthey sit down
to composewriting. It is a temporaryinability to
write when the mind goesblank, the fingers
fr-eeze, andpanic setsin. Writers from beginiers
through expertsoccasionallyexperienceit. If
you experienceit, calmdown andwork on over-
comingit.
Numerous writers begin to composeby
freewriting-that is, they sit down and write
down everythingthey can asquickly asit enters
the mind. Freewritingestablishes a link between
a rapid flow of ideasin the mind and writing.
When you freewrite,you do not stop to reread
what you wrote, you do not ponder the best
word, you do notworryabout correctgrammar,
spelling,or punctuation.you just put ideason
paperasquickly aspossibleto get and keepthe
creativejuices or ideasflowing. you can later
cleanup what you wrote.
Writing and thinking are so intertwined
that it is impossibleto knowwhereoneendsand
the other begins.This meansthat if you plan to
sit and stareat the wall, the computer output,
the slqy,or whateveruntil all thoughtsbecome
totally clearbeforebeginning,you may not get
allthing written. Writing itself can ignite the
thinking process.
Rnwiting. Perhapsone in a million writers is a
creativegeniuswho canproducea first draft that
communicateswith astounding accuracyand
349
clarity.For the restof us mortals,writing mean
that rewriting-and rewriting again_ii neces
sary. For example,Ernest Hemingwayis re_
ported to haverewritten the end ol paieweltto
Arms 39 times.It is not unusualfor a profes
sional researcherto rewrite a report i d.or"n
times.Do not becomediscouragej.If anything
rewriting reducesthe pressure;it meansyou can
startwriting soonand getout a rough diaft that
you can polish later. plan to rewrite a draft at
leastthreeor four times.A draft is a completere_
port, from beginning to end, not a few rough
notesor an outline.
Rewritinghelpsa writer expresshimself or
h.erself with a greaterclarity,smlothness,preci_
sion, and economyof words. When rewriting,
the focus is on clear communication, not
pompous or complicatedlanguage.Rewriting
meansslowlyreadingwhat you havewritten and,
if necessaryreadingout loud to seeif it sounds
right. It is a goodideato shareyour writing with
others. Professionalwriters often have Jth.r,
readand criticizetheir writing. Newwriterssoon
learn.that_friendly, constructivecriticismis very
valuable.Sharingyour writing with othersmay
be difficult at first becauseii meansexposing
y_our written thoughtsandencouraging criiicism.
Yet,thepurposeof the criticismis to clarifrwrit_
ing,andthecriricis doingyou a favor.
Rewriting involvestwo processes: revising
and. - editing.
Revisingis inserting new ideas,
supportingevidence,deletingor chang_
SddtT
ing ideas,moving sentencesu.o.rrrd to clari!,
meaning,or strengtheningtransitionsand links
betweenideas.Editing meanscleaningup and
tighteningthe more mechanicalaspectiof writ_
ing, suchasspelling,grammar,usage,verbtense,
sentencelength, and paragraphorganization.
Whenyou rewrite,go over a draft and reviseit
brutallyto improveit. This is easierif sometime
passesbetweena draft and rewriting. phrases
that seemedsatisfactoryin a draft "mavlook
fuzzy or poorly connectedafter a weekor two
(seeBox 14.2).
if you havenot acquiredtyping skills,
it is a goodideato typeandprint out it le-ast one
350 PART FOUR / W RI TI NC A RESEARCHREPOR T

ls there a transitionbetweenparagraphs within

1. Mechanics. Checkgrammar,spelling,punctua-
tion,verbagreement, verbtense,andverb,/sub- the report?
ject separationwith eachrewrite'Remember 5. Repetition. Removerepeatedideas,wordiness,
that eachtime newtext is added,newerrorscan and unnecessary phrases.ldeasare best stated
creepin. Mistakesare not only distractingbut once,forcefully,insteadof repeatedlyin an un-
they alsoweakenthe confidencereadersplace clearway.When revising,eliminatedeadwood
in the ideasyou exPress. (wordsthat add nothing) and circumlocution
terms,especiallykey terms' (th" ,t" of several wordswhenone moreprecise
2. lJsage.Reexamine
word willdo). Directness is preferableto wordi-
whenrewritingto seewhetheryou areusingthe
your intendedmean- ness.The wordyphrase,To summarize theabove,
exactwordthat expresses
it is our conclusion in lightof thedata that X hasa
ing. Do not use technicalterms or long words
positive effectof considerable magnitude on theoc-
unnecessarily. Usethe plainword that best ex-
currenceof Y, notwithstanding fact the that Y oc-
pressesmeaning.Get a thesaurusand useit. A
cursonly on rare occasions, is better stated, h
thesaurus is an essentialreference tool, likea dic-
sum, wi conclude that X has a largepositiveeffect
tionary,that containswordsof similarmeaning
and can help you locatethe exactword for a onY, butY occursinfrequentlY.
meaningyou want to express.Precisethinking 6. Structure. Research reportsshouldhavea trans-
and expressionrequirespreciselanguage.Do parent organization.Move sectionsaroundas
not sayaverateif you use lhe mean.Do not say necessary to fit the organization better,anduse
mankindor policeman whenyou intendpeopleor headings and subheadings. A reader shouldbe
policeofficer.Do not useprincipalfor principle' ableto followthe logicalstructureof a report'
3. Voice.Writers of researchreports often make 7. AbstractionA good researchreport mixesab-
the mistakeof usingthe passiveinsteadof the stract ideasand concreteexamples'A long
activevoice.lt may appearmore authoritative, stringof abstractionswithout the specificsis dif-
but passivevoiceobscuresthe actor or subject a massof specificcon-
ficult to read' Likewise,
of action.Forexample, the passive, Therelation- cretedetailswithoutperiodicgeneralization also
shipbetween grade in schooland more definiteca- losesreaders.
reerplanswasconfirmedby the data is better 8. Metaphors. Many writersuse metaphorsto ex-
stated as the active,Thedata confirmthe rela- pressideas.Phraseslikethecuttingedge,thebot-
tionshipbetweengradein schooland moredefinite tom line, andpenetratingto the heartare usedto
careerpla ns.The passive,Res pondent attitude to- expressideasby borrowingimagesfrom other
wardabortionwasrecorded by an intewiewer reads contexts.Metaphorscanbe an effectivemethod
easierin the activevoice: An intewiewer recorded of communication,but they need to be used
respondentattitude towardabortion' Also avoid sparinglyand with care.A fewwell-chosen, con-
unnecessary qualifyinglanguage, suchas seems sistentlyused,fresh metaphors can communi-
to or apPearsto. cate ideasquicklyand effectively;however,the
4. Coherence. Sequence,steps, and transitions excessive useof metaphors, especially overused
shouldbe logicallytight. Try readingthe entire metaphors the
(e.g., bottom line),is a sloppy,
report one paragraphat a time.Doesthe para- unimaginative method of expression'
graphcontaina unifiedidea?A topic sentence?
 CHAP T E RI 4
draft beforethe final draft. This is becauseit is
easierto seeerrorsand organizationproblemsin
a clean,typed draft. Feelfree to cui and paste,
crossout words,or movephraseson the printed
copy.
Good keyboardingskills and the ability to
use a word processorare extremelyvaluable
when writing reportsand other documents.Se_
rious professionals find that the time theyinvest
into building keyboardskillsandlearningto use
word processorpays huge dividendi later.
1 an
Word processorsnot only make editing much
easierbut they alsocheckspellingand oFer syn_
olyms. In addition, there are programs that
checkgrammar.you cannot rely oi the com_
puter program to do all the work, but it makes
writing easier.The speedand easethat a word
processoroffers is so dramaticthat few people
who becomeskilledat usingone evergo backto
writing by hand or tlping.
One last suggestion:Rewritethe introduc_
tion and title aftercompletinga draft sothat they
accuratelyreflectwhat is said.Titles should be
short and descriptive.They should communi_
catethe topic and the major variablesto readers.
Theycandescribethe typeof research(e.g.,.,An
experimenton . . .") but shouldnot have.r.,rr.._
essarywords or phrases(e.g.,,.Artinvestigation
intothe...").
The Quantitative ResearchReport
The principles of good writing apply to all re_
portg but the parts of a report differ depending
on whetherthe researchis quantitativeor quall_
tative.Beforewritinganyreport,readrepori, on
the samekind of research for models.
We beginwith the quantitativeresearchre_
port. The sectionsof the report roughly follow
the sequence ofstepsofa researchp.:oject.
Abstractor ExecutiveSummary,
euantitative
researchreportsusuallybeginwith a short sum_
mary or abstract.Thesizeof an abstractvaries:it
canbe asfew as50 words (this paragraphhas90
words) or aslong asa full page.Most scholarly
, / WR I T I N C T H E R E S E A R C HR E P O R T
35I
journal articleshaveabstractsthat areprinted
on
the first pageof the article.The abstracthasrn_
formation on the topic, the researchprJl"-,
the basicfindings,and any unusualresearchde_
signor datacollectionfeatures.
Reportsofapplied researchthat arewritten
^
for practitionershavea longer summarycalled
the executiyesumffiary.It containsmore detail
than an articleabstractandincludesthe implica_
tions of researchand majoruecommendairon
madein the report.Although it is longerthan
abstract,an executivesummary rare-lyexceed
four or five pages.
Abstractsand executivesummariesserye
severalfunctions:For the lessinterestedreader,
they tell what is in a report; for readerslooking
for specificinformation,theyhelpthe reader
de_
terminewhetherthe full report containsimpor_
tant information. Readersusethe abstract
or
summary to screeninformation and decide
whetherthe entirereporrshouldbe reud.Iisirres
seriousreaderswho intend to read the frrI re_
port a quick mentalpicture of the report,
which
makesreadingthe reporteasierand faster.
P-resentingthe problem. The first section
of
the report definesthe researchproblem. It can
beplacedin oneor more sectionswith titlessuch
as "Introduction,""ProblemDefinition,,',.Lit-
eratureRgvier,-va"
"Hypotheses,,,or ..Background
Assumptions."Although the subheadirjr rrury
the contentsincludea statementof the rlsearch
problemand a rationalefor what is beingexam_
ined. Here, researchers explainthe sifficance
of and provide a backgroundto the"research
question.Theyexplainthe significanceof the re_
searchby showinghow diffeient solutionsto the
problem lead to different applicationsor theo_
reticalconclusions.Introductory sectionsfre_
qugntly include a contextliteraturereview
and
link the problem to theory. Introductory sec_
tions alsodefinekey conceptsand presentcon_
ceptualhypotheses.
Describingthe Methods. The next section
of
the report describes
howthe researcher
designed
352 P A RTF ouR / w R l rl N G A R E SE AR cR
HE PoR T
the study and collectedthe data.It goesby sev-
eralnames(e.g.,"Methods,""Research Design,"
or "Data") and may be subdivided into other
parts (e.g.,
"Measures," "Sampling," or "Manip-
ulations"). It is the most important sectionfor
evaluatingthe methodologyof the project.The
sectionanswersseveralquestionsfor the reader:
1. What type of study (e.g',experiment,sur-
vey) wasconducted?
2. Exactlyhow weredatacollected(e.g.'study
design,type of suwey,time and location of
datacollection,experimentaldesignusedX
3. How werevariablesmeasured? Are the mea-
sures reliableand valid?
4. What is the sample?How many subjectsor
respondentsareinvolvedin the study?How
werethey selected?
5. How were ethical issuesand specificcon-
cernsof the designdealtwith?
ResultsandTables. After describinghow data
were collected,methodsof sampling,and mea-
surement,you then presentthe data. This sec-
tion presents-it doesnot discuss,analyze,or
interpret-the data. Researcherssometimes
combinethe "Results"sectionwith the next sec-
tion, called"Discussion"or "Findings."
Researchers makechoicesin how to present
the data.When analyzing the data, they look at
dozensof univariate, bivariate, and multivariate
tablesand statistics to get a feelfor the data.This
doesnot mean that every statistic or tableis in a
final report. Rather, the researcher selectsthe
minimum number of charts or tables that firlly
inform the reader and rarely present the raw data
itself. Data analysistechniques should summa-
rizethedataand testhypotheses (e.g.,frequency
distributions,tableswith meansandstandardde-
viations,correlations,and other statistics).
A researcherwantsto give a completepic-
ture of the data without overwhelming the
reader-not provide datain excessive detailnor
Dresentirrelevantdata. Readers can make their
own interpretations.Detailedsummarystatistics
belongin appendixes.
Discussion, In the discussionsection, re-
searchersgive the reader a concise,unam-
biguous interpretation of its meaning. The
discussionis not a selectiveemphasisor partisan
interpretation;rather,it is a candiddiscussionof
what is in the "Results"section.The "Discus-
sion" sectionis separated from the resultssothat
a readercan examinethe dataand arriveat dif-
ferentinterPretations.
Beginningresearchers often find it difficult
to organizethe "Discussion"section'One ap-
proachis to organizethe discussionaccordingto
hypotheses,discussinghow the data relate to
eafh hypothesis.In addition,researchers should
discussunanticipatedfindings, possible alterna-
tive explanationsof results,and weaknesses or
limitations.
Drawing Conclusions. Researchers restatethe
researchquestion and summarize findings in the
conclusion.Its purposeis to summatize the re-
port, and it is sometimestitled "summary'"
The only sectionsafter the conclusionare
the references andappendixes. The "References
sectioncontainsonly sourcesthat werereferred
to in the text or notesof the report.Appendixes,
if used,usuallycontain additional information
on methodsof data collection(e.g.,question-
nairewording) or results(e.g''descriptivestatis-
tics). The footnotesor endnotesin quantitative
researchreports expandor elaborateon infor-
mation in the text. Researchers usethem spar-
ingly to provide secondaryinformation that
clarifiesthe textbut might distractfrom the flow
of the reading.
The Qualitative ResearchRePort
Comparedto quantitativeresearch,it is more
difficult to write a report on qualitativesocialre-
search.It hasfewerrulesandlessstructure.Nev-
ertheless,the purposeis the same:to clearly
 CHAPTE R1 4 / WR I T I N C T H E R E S E A R C HR E P O R T 353

communicatethe researchprocessand the data theoreticalgeneralizations and dataare not sep-

collectedthrough the process. aratedinto distinctsections.Generalizations are
Quantitativereportspresenthypotheses and intertwined with the evidence,which takesthe
evidencein a logicallytight and condensedsryle. form of detailed description with frequent
Bycontrast,qualitativereportstend to be longer, quotes.
and book-length reports are common. The Researchers balancethe presentationofdata
greaterlengthis for five reasons: and analysisto avoid an excessive separationof
datafrom analysis,calledthe errorof segregation.
1. The data in a qualitativereport are more This occurswhen researchers separatedatafrom
difficult to condense.
Dataarein the form of analysisso much that readerscannot seethe
words, pictures,or sentences and include connection.l
many quotesand examples. Thetoneoffield research reportsislessobjec-
2. Qualitativeresearchers try to createa sub- tive andformal, andmore personal.Fieldresearch
jectivesenseof empathyand understanding reportsmaybewritten in the first person(i.e.,us-
among readersin addition to presenting ing the pronoun 1)becausethe researcherwasdi-
factual evidenceand analytic interpreta- rectly involved in the setting,interactedwith the
tions. Detaileddescriptionsof specificset- peoplestudied,andwasthemeasurement "instru-
tings and situationshelp readersbetter ment." The decisionsor indecisions,feelings,re-
understandor get a feel for settings.Re- actions,andpersonalexperiences ofthe researcher
searchersattempt to transportthe reader arepartsofthe fieldresearch process.
into the subjectiveworld view and meaning Fieldresearchreportsoften facemore skep-
systemofa socialsetting. ticism than quantitativereportsdo. This makes
3. Qualitativeresearchers uselessstandardized it essentialto assess an audience'sdemandsfor
techniquesofgathering data,creatingana- evidenceand to establishcredibilitv.The kev is
lytic categories,and organizingevidence. to providereaderswith enoughevidenceso that
Thetechniquesappliedmaybeparticularto theybelievethe recountedeventsand acceptthe
individual researchersor unique settings. interpretationsasplausible.A degreeofselective
Thus,researchers explainwhat they did and observationis acceptedin field research,so the
why, becauseit hasnot beendonebefore. critical issueis whether other observerscould
4. Exploringnew settingsor constructingnew reachthe sameconclusionif they examinedthe
theory is a common goal in qualitativere- samedata.
search.The developmentof new concepts Field researchersface a data reduction
andthe examinationof relationshipsamong dilemma when presentingevidence.Most data
them addsto the length of reports.Theory arein the form of an enormousvolume of field
flows out of evidence,and detaileddescrip- notes,but a researchercannot directly shareall
tions demonstratehow the researchercre- the observationsor recordedconversations with
atedinterpretations. the readers.For example,in their studyof med-
5. Qualitativeresearchers may use more var- ical students,Boysin White, Beckerand col-
ied and literary writing styles,which in- leagues(1961) had about 5,000 pages of
creases length.Theyhavegreaterfreedomto single-spaced field notes.Field researchers in-
employliterary devicesto tell a story or re- cludeonly about 5 percentof their field notesin
count a tale. a report asquotes.The remaining95 percentis
not wasted;there is just no room for it. Thus,
Field Research. Field researchreports rarely writers selectquotesand indirectly conveythe
follow a fixedformat with standardsections.and restofthe datato readers.
354 pA RTF ou R / w R tl N G A R Es EA R c RE
H poR T

Thereis no fixed organizationfor a field re- setting,the meansof gainingaccess, the role of
searchreport, althougha literaturereyiewoften the researcher,and the subject-researcher rela-
appearsnearthe beginning.Therearemany ac- tionship into the discussionof evidenceand
ceptableorganizationalforms. Lofland (1976) analysis.This is intensifiedif the writer adopts
suggeststhe following: what Van Maanen(1988:73)calleda "confes-
sional"styleof writing.
1. Introduction A chronological,zoomlens,or theme-based
a. Most generalaspectsof situation organizationallowsplacing the data collection
b. Main contoursof the generalsituation methodnearthe beginningor the end.In book-
c. How materialswerecollected lengthreports,methodologicalissuesareusually
d. Detailsaboutthe setting discussed in a separateappendix.
e. How the report is organized Fieldresearchreportscancontaintranscrip-
2. The situation tions of taperecordings,maps,photographs,or
a. Analyticcategories chartsillustratinganalyticcategories. They sup-
b. Contrastbetweensituationand othersit- plementthe discussionand are placednear the
uations discussionthey complement.Qualitative field
c. Developmentof situationovertime researchcan use creative formats that differ
3. Strategies from the usualwritten text with examplesfrom
4. Summaryand implications field notes.Harper's(1982)book containsmany
photographswith text. The photographsgive a
Devicesfor organizingevidenceand analysis visual inventory of the settingsdescribedin the
alsovary a greatdeal.For example,writers can text and presentthe meaningsof settingsin the
organizethe report in termsof a naturalhistory, termsof thosebeingstudied.For example,field
an unfolding of eventsasyou discoveredthem, researcharticleshaveappearedin the form ofall
or asa chronologl/, following the developmental photographs,a script for aplay, or a documen-
cycleor careerofan aspectofthe settingor peo- taryfilm.3
ple in it. Anotherpossibilityis to organizethe re- Direct, personal involvement in the inti-
port asa zoomlens,beginningbroadlyand then mate detailsof a socialsettingheightensethical
focusing increasingly narrowly on a specific concerns.Researchers write in a manner that
topic. Statementscan move from universal protectsthe privacyof thosebeing studiedand
statementsabout all cultures,to generalstate- helpspreventthe publication of a report from
ments about a specificcultures,to statements harming thosewho were studied.They usually
about a specificcultural scene,to specificstate- changethe namesof membersand exactloca-
ments about an aspectof culture, to specific tions in field reports.Personalinvolvementin
statementsabout specificincidents. field researchleadsresearchers to includea short
Field researchersalso organizereports by autobiography.For example,in the appendixto
themes.A writer choosesbetweenusingabstract StreetCornerSociety,the author,William Foote
analyticthemesand usingthemesfrom the cate- Whyte (1955),gavea detailedaccountofthe oc-
goriesusedby the peoplewho werestudied.The cupationsofhis fatherand grandfather,his hob-
latter givesreadersa vivid descriptionofthe set- bies and interests,the jobs he held, how he
ting and displaysknowledgeof the language, endedup goingto graduateschool,and how his
concepts,categories,and beliefsof thosebeino researchwasaffectedby his gettingmarried.
wdtre; about.T
Field researchers discussthe methodsused Historical-ComparativeResearch, Thereis no
in the report,but its locationandform vary.One singleway to write a report on historical-com-
techniqueis to interweavea descriptionof the parativeresearch.Most frequently,researchers
 CHAPT E RI 4 , / WR I T I N C T H E R E S E A R C HR E P O R T 355

"tell a story'' or describedetailsin generalana- researchrather than adopt a distinct historical

lytic categories. Thewriting usuallygoesbeyond comparativeresearchmethod.Their reportsfol-
descriptionand includeslimited generalizations lowthe model of a quantitativeresearchreport.
and abstractconcepts. You learnedabout the narrativestrategyof
Historical-comparativeresearchersrarely qualitative data analysis in Chapter 13. Re-
describetheir methodsin greatdetail. Explicit searcherswho use this strategyoften adopt a
sectionsof the report or an appendix that narrative style of report writing. Researche
describesthe methodsusedare unusual.Occa- who use the narrativesryleorganizetheir
data
sionally,a bookJengthreport containsa biblio- chronologicallyand try to "tell a story,,around
graphicessaythat discusses major sourcesused. specificindividualsand events.
More often, numerousdetailedfootnotesor
endnotesdescribethe sourcesand evidence.For
example,a 2}-page report on quantitative or The ResearchProposal
field researchtypicallyhas5 to 10notes,whereas What Is the Proposali A research proposalis a
an H-C researchreport of equallengthmayhave documentthat presentsa plan for a pioject to
40 to 60 notes. reyiewersfor evaluation.It can be a supervised
Historical-comparative reportscan contain projectsubmittedto instructorsaspart of an ed_
photographs,maps,diagrams,charts,or tablesof ucationaldegree(e.g.,a master'sthesisor a
statisticsthroughoutthereportandin the section Ph.D.dissertation)or it canbe a researchproject
that discussesevidencethat relatesto them. The proposedto a funding agency.Itspurposeis to
charts,tables,and so forth supplementa discus- convincereyiewersthat you, the researcher,
are
sion or give the readera better feel for the places capableof successfully conductingthe proposed
andpeoplebeingdescribed.Theyareusedin con- researchproject. Reviewershave more confi-
junction with frequentquotesasone amongsev- dence_that a plannedprojectwill be successfirll
eral types of evidence.Historical-comparative completed if the proposal is well written
and
reportsrarely summarizedatato test specifichy- organized, and if you demonstrate careful
pothesesas quantitativeresearchdoes.Instead, planning.
the writer builds a web of meaningor descriptive The proposalis similar to a researchreport,
detail and organizesthe evidenceitself to convey but it is written beforethe researchproyect
be-
interpretationsand generalizations. gins.A proposaldescribesthe researchproblem
There are two basicmodesof organizing and its importance,and givesa detailedaccount
H-C researchreports:by topic and chronologi- of the methodsthat will be usedand why they
cally.Most writersmix the two types.For exam- areappropriate.
ple, information is organizedchronologically The proposalfor quantitativeresearchhas
within topics, or organizedby topic within most of the parts of a researchrepore a title, an
chronologicalperiods.Occasionallyother forms abstract, a problem statement, a literature
of organizationare used-by place,by individ- review,a methodsor designsection,and a bibli-
sal person,or by major events.If the report is ography.It lacksresults,discussion,and conclu-
truly comparative,the writer hasadditionalop- sion sections.The proposalhas a plan for data
tions, suchasmaking comparisonswithin top- collectionand analysis(e.g.,typesofstatistics).It
ics. Box 14.3 provides a sample of some frequentlyincludesa scheduleof the stepsto
be
techniquesusedby historical-comparativere- undertakenand an estimateof the time required
searchers to organizeevidenceand analysis. for eachstep.
SomeH-C researchers mimic the quantita- Proposalsfor qualitativeresearchare more
tive researchreport and use quantitative re- difficult to write becausethe researchDrocess it-
search techniques.They extend quantitative self is lessstructured and preplanrr"d.Th. ,.-
356 PART FOUR / WRIT ING A RESEARCH REP OR T
1. Sequence. Historical-comparative researchers
are sensitiveto the temporalorder of events
and placea seriesof eventsin orderto describe
a process.For example, a researcherstudying
the passage of a lawor the evolutionof a social
norm may breakthe processinto a set of se-
quentialsteps.
2. Comparison. Comparingsimilaritiesand differ-
encesliesat the heartof comparative-historical
Makecomparisons
research. explicitandidentify
and differences.
both similarities Forexample, a
researchercomparing the familyin two historical
periodsor countriesbeginsby listingsharedand
nonsharedtraits of the familyin eachsetting.
3. Contingency. Researchers often discoverthat
oneevent,action,or situationdependson or is
conditioned by others.Outliningthe linkages of
howone eventwascontingenton othersis crit-
ical.Forexample, a researcherexamining the rise
of localnewspapers notesthat it dependedon
the spreadofliteracy.
4. Oi ginsand consequences. -comparative
Historical
researchers tracethe originsofan event,action,
organization, or socialrelationship backin time,
or followits consequences into subsequent time
periods.Forexample, a researcher explainingthe
end of slaverytracesits originsto manymove-
ments,speeches, laws,and actionsin the pre-
cedingfifty years.
5. Sensitivityto incompatiblemeaning.Meanings
changeovertime and vary acrosscultures.His-
torical-comoarative researchers askthemselves
whethera word or socialcategoryhadthe same
meaning in the pastasin the presentor whether
a wordin oneculturehasa directtranslation in
anotherculture.For example,a collegedegree
had a differentmeaningin a historicalerawhen
it wasextremelyexpensive and lessthan 1 per-
cent of the I 8- to 22-year-oldpopulationre-
ceiveda degreecomparedto the latetwentieth
century,whencollegebecamerelativelyaccessi-
ble.
6. Limitedgeneralization. Overgeneralization is al-
waysa potentialproblemin historical-comPara-
tive research.Fewresearchers seekrigid,fixed
lawsin historical, comparative explanation. They
qualifystatementsor avoidstrictdetermination.
Forexample, insteadof a blanketstatementthat
the destructionof the nativeculturesin areas
settledby EuropeanWhiteswasthe inevitable
consequence of advanced technological culture,
a researchermay list the specificfactors that
combinedto explainthe destructionin particu-
lar social-historicalsettings.
7. Association The conceptof associationis used
in all formsof socialresearch. As in other areas,
historical-comparative researchers identifyfac-
tors that appeartogether in time and place.For
example, a researcher examining a city's nine-
teenth-centurycrimerateaskswhetheryearsof
greatermigrationinto the city are associated
with highercrimeratesand whetherthose ar-
restedtendedto be recentimmigrants.
8. Partandwhole.lt is importantto placeeventsin
their context.Writersof historical-comparative
researchsketchlinkagesbetweenparts of a
process,organization,or event and the larger
contextin whichit is found.For example,a re-
searcherstudyinga particularpoliticalritual in
an eighteenth-century settingdescribeshow
the ritualfit within the po-
eighteenth-century
system.
litical
9. Analog.Analogiescanbe useful.Theoveruseof
analogyor the useof an inappropriate analogy
is dangerous.For example,a researcher exam'
inesfeelingsaboutdivorcein countryX andde-
scribesthem as "likefeelingsabout death"in
countryY.Thisanalogyrequiresa descriptionof
"feelingsabout death"in countryY.
 CHAPTER1 4 , / WR I T I N C T H E R E S E A R C HR E P O R T 357

s. Historica|-comparativeresearchersof-
1 O. Synthesi
ten synthesize manyspecificeventsand details
into a comprehensive whole.Synthesisresults
fromweavingtogethermanysmallergeneraliza-
tions and interpretations into coherentmain
themes.Forexample,a researcher studyingthe
FrenchRevolutionsynthesizes specificgeneral-
izationsaboutchangesin socialstructure,inter-
national pressures,agriculturaldislocation,
shiftingpopularbeliefsand problemswith gov-
ernmentfinancesinto a compact,coherentex-
planation.Researchers usingthe narrativeform
summarize the argumentin an introductionor
conclusion.lt is a motif or themeembedded
withinthe description.Thus,theoreticalgener-
alizationsareintertwinedwith the evidenceand
appearto flow inductivelyout of the detailed
evidence.

searcherpreparesa problem statement,litera- results.The degreeof competition for a grant

ture review,andbibliography.He or shedemon- varies a great deal, depending on the source.
strates an ability to complete a proposed Somesourcesfund morethan 3 out of 4 propos-
qualitativeproject in two ways.First, the pro- alsthey receive,othersfund fewerthan i in 20.
posal is well written, with an extensivediscus- The researcher needsto investigatefunding
sion of the literature, significanceof the sourcesand ask questions:What typesof pro-
problem, and sources.This showsreviewersfa- jectsarefunded-applied versusbasicresearch,
miliarity with qualitative researchand the ap- specifictopics, or specificresearchtechniques?
propriatenessof the method for studying the What arethe deadlines? What kind (e.g.,length,
problem.Second,the proposaldescribesa qual- degreeof detail, etc.) of proposalis necessary?
itative pilot study. This demonstratesmotiva- How largeare most grants?What aspects(e.g.,
tion, familiarity with researchtechniques,and equipment,personnel,travel, etc.) of a project
ability to completea report about unstructured areor arenot funded?Therearemanysourcesof
research. information on funding sources.Librariansor
officialswho areresponsiblefor researchgrants
Proposalsto Fund Research. The purposeof a at a collegearegoodresourcepeople.For exam-
researchgrantis to providethe resources needed ple, private foundationsare listed in an annual
to help completea worthy project. Researchers publication, The Foundation Directory. The
whoseprimary goal is to use funding for per- Guideto FederalFundingfor SocialScientistslists
sonal benefit or prestige,to escape from other sources in the U.S. government.In the United
activities,or to build an "empire" are less suc- States, there are many newsletterson funding
cessful.The strategiesof proposalwriting and sourcesand two national computerizeddata-
getting grants has become an industry called bases,which subscriberscan searchfor funding
grantsmanship. sources. Some agenciesperiodically issue
There are many sourcesof funding for re- requests for proposals(RFP, that askfor propos-
search proposals. Colleges,private foundations, als to conduct researchon a specificissue.Re-
and government agencies have programs to searchers need to learn about funding sources
award grants to researchers. Funds may be used because it is essential to sendthe proposalto an
to purchase equipment, to pay your salary or appropriate source in order to be successfirl.
that of others, for research supplies,for travelto Researchers should show a track record of
collect data, or for help with the publication of past success in the proposal, ifthey are
especially
358 pA Rr F o u R / w R trtN GA R ES EA R CRHE poR r
going to be in chargeof the project. The re-
searcherin chargeof a researchproject is the
principal investigator(PI) or project director.
Proposalsusuallyinclude a curriculum vitae or
academicresum6,lettersof support from other
researchers, and a record of past research.Re-
viewersfeel safer investing funds in a project
headedby someonewho alreadyhasresearchex-
periencethan in a novice.One canbuild a track
recordwith smallresearchprojectsor by assist-
ing an experiencedresearcherbefore seeking
funding asa principal investigator.
The reviewers who evaluate a proposal
judgewhetherthe proposalproject is appropri-
ateto the funding source'sgoals.Most funding
sourceshaveguidelinesstatingthe kinds of pro-
jectstheyfund. For example,programsthat fund
basicresearchhavethe advancementof knowl-
edgeas a goal. Programsthat fund applied re-
searchoften haveimprovements in the delivery
of servicesas a goal. Instructions specifr page
length,numberof copies,deadlines, andthe like.
Follow all instructionsexactly.
Proposalsshould be neat and professional
looking. The instructions usually ask for a de-
tailedplan for the useof time, services,and per-
sonnel. These should be clearly stated and
realisticfor the project.Excessivelyhigh or low
estimates,unnecessary add-ons,or omitted es-
sentialswill lower how reviewersevaluatea pro-
posal.Creatinga budgetfor a proposedproject
is complicatedand usuallyrequirestechnicalas-
sistance.For example,pay rates,fringe bene{it
rates,and soon that must be chargedmay not be
easytoobtain. It is bestto consulta grantsoffi-
cer at a college or an experiencedproposal
writer. In addition, endorsements or clearances
of regulationsare often necessary (e.g.,IRB ap-
proval). Proposalsshould also include specific
plans for disseminatingresults(e.g.,publica-
tions, presentationsbeforeprofessionalgroups,
etc.)and a plan for evaluatingwhetherthe pro-
ject met its objectives.
The proposalis a kind of contractbetween
researcherand the funding source.Funding
agenciesoften require a final report, including
detailson how funds were spent,the findings,
and an evaluationof whetherthe projectmet its
objectives.Failure to spend funds properly,
completethe project describedin the proposal,
or file a final report may result in a researcher
being barred from receivingfuture funding or
facing legal action. A seriousmisuseof funds
may resultin the banning of othersat the same
institution from receivingfuture funding.
The processof reviewingproposalsafter
they are submitted to a funding sourcetakes
anywherefrom a fewweeksto almostayeat, de-
pending on the funding source.In most cases,
reviewersrank a large group ofproposals, and
only highly rankedproposalsreceivefunding.A
proposaloften undergoesa peerreviewin which
the reviewersknow the proposerfrom the vitae
in the proposal,but the proposerdoesnot know
the reviewers.Sometimesa proposalis reviewed
by nonspecialists or nonresearchers. Instruc-
tions on preparinga proposalindicatewhether
to write for specialistsin a field or for an edu-
catedgeneralaudience.
If a proposalis funded, celebrate,but only
for a shorttime. If theproposalis rejected,which
is more likely, do not despair.Most proposals
arerejectedthe first or secondtime they aresub-
mitted. Many funding sourcesprovide written
reviewerevaluationsof the proposal.Alwaysre-
questthem if they are provided. Sometimes,a
courteoustalk on the telephonewith a personat
the funding sourcewill revealthe reasonsfor re-
jection. Strengthenand resubmit a proposalon
the basis of the reviewer'scomments.Most
funding sourcesacceptrepeatedresubmissions
of revisedproposals,and proposalsthat have
been revisedmay be strongerin subsequent
competitions.
If a proposalhasbeensubmittedto an ap-
propriatefunding sourceand all instructionsare
followed,reviewersaremorelikelyto rateit high
when:
r It addressesan important researchquestion.
It buildson prior knowledgeand represents
a substantialadvanceofknowledgefor basic
 REPORT
CHAPTER1 4 , / WR I T I N G T H E R E S E A R C H 359

research.It documentsa major socialprob- searcher,to be self-aware.Be awareof the place

lem and holdspromisefor solutionsfor ap- of the researcherin societyand of the societal
plied research. context of social research itself. Social re-
It follows all instructions, is well written, searchers,and sociologistsin particular,bring a
and is easyto follow, with clearlystatedob- uniqueperspectiveto the largersociety.
jectives.
It completelydescribesresearchprocedures
that include high standards of research Key Ter m s
methodology,and it appliesresearchtech-
niquesthat are appropriateto the research editing
question. error ofsegregation
It includesspecificplans for disseminating executive summary
the resultsand evaluatingwhetherthe pro- grantsmanship
ject hasmet its objectives. paraphrasing
The projectis well designedand showsseri- plagiarism
bus planning. It has realisticbudgetsand prewriting
schedules. principal investigator
The researcher hasthe necessary experience requestfor proposals (RFPs)
or backgroundto completethe projectsuc- revising
cessfully. rewriting
zoom lens

CONCLUSION Endnotes
Clearlycommunicatingresultsis a vital part of
the larger scientificenterprise,as are the ethics
I
t. is discussedin Lofland
The error of segregation
andLofland(1984:146).
and politicsofsocial research.
2. SeeVan Maanen(1988:13).
I want to end this chapterby urgingyou, as (1989),Dabbs(1982),
3. SeeBeckerand associates
a consumerof socialresearchor a new socialre- and Iackson (1978).
Followingthe definition, the number in parentheses
indicatesthe chapterin which the term first appears
in the text and is in the KeyTerms section.Italicized
terms refer to terms defined elsewherein this glos-
sary.
Abstract A term with two meanings in literature
reviews:a short summaryof a scholarlyjournal
articlethat usuallyappearsat its beginning,and
a referencetool for locating scholarlyjournal
articles.(4)
Accretion measures Nonreactivemeasuresof the
residueof the activity of people or what they
leavebehind. (9)
Action research study A tFpe of applied social re-
searchin which a researchertreats knowledge
as a form of power and abolishesthe division
betweencreatingknowledgeand using knowl-
edgeto engagein political action. ( I )
Alternative hypothesis Afuipothesispaired with a
vari-
statingthat the independent
null hypothesi.s
ablehasan effectonadependentvaiable.(4)
Ana\tic memo The written notesa qualitativere-
searchertakesduring datacollectionand after-
wards to develop concepts, themes, or
preliminary generalizations.( 1I )
Anonymity Researchparticipantsremain anony-
(3)
mousor nameless.
Appearance of interest A technique in field re-
searchin which researchersmaintain relations
in afield siteby pretendingto be interestedand
excitedby the activitiesofthose studied, even
though they are actually uninterestedor very
bored.(11)
Applied research Researchthat attemptsto solvea
concrete problem or address a specificpolicy
question and that has a direct, practical appli-
cation.(1)
Association A co-occurrenceof two events,fac-
tors, characteristics,or activities, such that
when one happens,the other is likely to occur
aswell. Many statisticsmeasurethis. (2)
Assumption Parts of social theories that are not
tested,but act asstartingpoints or basicbeliefs
about the world. They are necessaryto make
other theoreticalstatementsand to build social
theory. (2)
Attitude of strangeness A technique in field re-
searchin which researchersstudy a field siteby
mentally adjustingto "see" it for the first time
or asan outsider.( I 1)
Attributes The categoriesor levelsof a yariable.
(4)
Axial coding A secondcoding of qualitatite data
afteropencoding.Theresearcherorganizesthe
codes,developslinks among them, and discov-
erskey analyticcategories.( 13)
Back translation A technique in comparativere-
searchfor checking lexiconequivalence. A rc-
searchertranslatesspokenor written text from
an original languageinto a secondlanguage,
then translatesthe sametext in the secondlan-
guage back into the original language,then
comparesthe two original languagetexts. (12)
Bar chart A display of quantitative data for one
variablein the form of rectangleswherelonger
rectanglesindicatemore casesin a variablecat-
egory. Usually, it is usedwith discretedata and
there is a small spacebetweenrectangles.They
can have a horizonal or vertical orientation.
Also calledbar graphs.(10)
 362 clossARy
Basic social research Researchdesignedto ad-
vancefundamentalknowledgeabout the social
world. (1)
Bivariate statistics Statistical measuresthat in-
volve two variablesonly. (10)
Blame analysis A counterfeitargumentpresented
as if it were a theoreticalexplanationthat sub-
stitutesattributing blame for a causalexplana-
tion and,implies an intention or negligence,or
responsibilityfor an eventor situation. (2)
Body of a table The center part of a contingency
table.It containsall the cells,but not the totals
or labels.(10)
Bogardussocial distancescale A scalethat mea-
suresthe distancebefiveentwo or more social
groups by having members of one group ex-
pressthe point at which they feel comfortable
with varioustypesofsocial interactionor close-
nesswith membersof the other group(s). (5)
Casestudy Research,usually qualitative, on one
or a small number of casesin which a re-
searchercarefiJly examinesa large number of
detailsabout eachcase.( 1)
Causal explanation A statementin social theory
about why events occur that is expressedin
terms of causesand effects.They correspondto
associationsin the empiricalworld. (2)
Cell of a table A part of the body of a table.ln a
contingencytable,it showsthe distribution of
casesinto categoriesof variablesas a specific
number or percentage.( 10)
Central limit theorem A lawlike mathematicalre-
lationship that states:Whenevermany random
samplesare drawn from a population and plot-
ted, a normal distributionis formed, and the
centerof such a distribution for a variableis
equalto its populationparameter.(6)
Citation Detailsof a scholarlyjournal article'slo-
cation that helpspeoplefind it quickly. (4)
Classicalexperimentaldesign An experimentalde-
sign that has random assignment,a control
group, an experimentalgroup, and pretestsand
posttests
for eachgroup. (8)
Classification Complex, multidimensional con-
ceptsthat havesubtypes.They are parts ofso-
cial theoriesbetweenone simple conceptand a
full theoreticalexplanation.(2)
Closed-endedquestions A|ype of surueyresearch
question in which respondentsmust choose
from a fixedsetofanswers.(7)
Cluster sampling A tFpe of random sample that
usesmultiple stagesand is often usedto cover
wide geographic areas in which aggregated
units are randomly selectedthen samplesare
drawn from the sampledaggregatedunits, or
clusters.(6)
Code sheets Paperwith a printed grid on which a
researcherrecordsinformation so that it canbe
{
easilyenteredinto a computer. It is an alterna-
tive to direct-entrymethodand using optical-
scansheets.(10)
Codebook A document that describesthe proce-
x
dure for codingvariablesand their location in a
format for computers.(10)
Coding The processof converting raw informa-
tion or data into another form for analysis.In
contentanalysis,it is a meansfor determining
how to convert syrnbolicmeaningsin text into
anotherform, usuallynumbers(seeCodingsys-
tem);in quantitathtedafa analysis,it is a means
for assigningnumbers; and in qualitativedata
analysis,it is a seriesof stepsfor reading raw
notesand assigningcodesor conceptualterms
(seeAxial coding Opencoding,Seleaivecoding).
(9)
Coding system A set ofinstructions or rules used
in contentanalysisto explainhow to systemati-
cally convert the symbolic content from text
into quantitativedata. (9)
Cohort study A type of longitudinal researchin
which a researcherfocuseson a categoryof
peoplewho sharea similar life experiencein a
specifiedtime period.(1)
Computer-assistedtelephoneinterviewing (CATI)
Surveyresearchin which the interviewersitsbe-
fore a computer screenand keyboardand uses
the computer to read questionsthat are asked

in a telephoneinterview, then enters answers
directly into the computer. (7)
Concept cluster A collection ofinterrelated ideas
that sharecommon assumptions, belong to the
samelarger socialtheory and refer to one an-
other.(2)
Conceptual definition A careful, systematicdefin-
ition of a construct that is explicitly written to
clarifr one'sthinking. It is often linked to other
conceptsor theoreticalstatements.(5)
Conceptualequivalence ln historical-comparative
the issueof whetherthe sameideasor
research, Contingenry question A tFpe of surveyresearch
conceptsoccur or canbe usedto representphe-
nomena acrossdivergentcultural or historical
settings.(12)
Conceptual hypothesis A tfpe of hypothesisin
which the researcherexpresses variablesin ab-
stract,conceptualterms and expresses the rela-
tionship among variablesin a theoreticalway'
( 5)
Conceptualization The process of developing
defrnitions
clear,rigorous,systematicconceptual
(5)
for abstractideas/concepts.
Concurrent validity Measurementvalidity that te-
lies on a preexisting and akeady acceptedmea-
sureto veriff the indicator of a construct.(5)
Confidence interval A range of values,usually a
little higher and lower than a specific value
found in a sample,within which a researcher
has a specifiedand high degreeof confidence
thatthe populationparameterlies. (6)
Confidentiality Information with participant
namesattached,but the researcherholds it in
confidenceor keepsit secretfrom the public.
( 3)
Content analysis Researchin which one examines
patterns of symbolic meaning within written
text, audio, visual, or other communication
medium. (9)
Content validity Measurementvalidity that re-
quires that a measurerepresentall the aspects
ofthe conceptualdefinition ofa construct.(5)
Context effect Arr effectin szrveyresearchwhenan
overalltone or settopicsheardby a respondent
cLossARY 363
affectshow he or sheinterpretsthe meaningof
subsequentquestions.(7)
Contextual equivalence The issue in historical-
comparativeresearchof whether social roles,
norms, or situationsacrossdifferentculturesor
historicalperiodsareequivalentor canbe com-
pared.(12)
Contingencycleaning Cleaningdatausinga com-
puter in which the researcherlooks at the com-
bination of categoriesfor two variables for
logicallyimpossiblecases.( 10)
questionin which the respondentnext goesto
one or another later question basedon his or
her answer.(7)
Contingenry table A table that showsthe cross-
tabulationof two or more variables.It usually
showsbivariate quantitativedata for variables
in the form ofpercentagesacrossrows or down
columnsfor the categoriesof onevariable.(10)
Continuous variable Variables measured on a
continuum in which an infinite number of
finer gradationsbetweenvariableattributesare
possible.(5)
Contrast question A tfpe of interview question
asked late in field researchin which the re-
searcherverifiesthe.correctnessof distinctions
found among categoriesin the meaningsystem
of peoplebeingstudied.(11)
Control group The group that does not get the
(8)
treatmentin experimentalresearch.
Control variable A "third" variable that shows
whether a bivariaterelationshipholds up to al-
ternative explanations.It can occur before or
betweenother variables.( 10)
Covariation The idea that two variables vary to-
gether, such that knowing the values in one
variable provides information about values
found in anothervariable.( 10)
Cover sheet One or more pagesat the beginning
of a questionnairewith information about an
interview or respondent.(7)
Criterion validity Measurementvalidity thattehes
on someindependent,outsideverification. (5)
364 c Los s A R Y
Crossoverdesign A designto reducecreatingin-
equality; it is when a study group that getsno
treatment in the first phaseof the experiment
becomesthe group with the treatment in the
secondphase,and vice versa.(3)
Cross-sectionalresearch Researchin which a re-
searcherexaminesa single point in time or
takesa one-time snapshotapproach.(l)
Cross-tabulation Placingdatafor two variablesin
a contingencytableto show the number or per-
centageofcasesat the intersectionofcategories
ofthe two variables.(10)
Curvilinear relationship A relationship betlveen
two variablessuchthat asthe valuesofone vari-
able increase,the valuesofthe secondshow a
changing pattern (e.g.,first decreasethen in-
creasethen decrease). It is not alinear relation-
ship.(10)
Data The empiricalevidenceor information that a
person gathers carefully according to estab-
lished rules or procedures;it can be qualitative
or quantitative.( 1)
Debrief When a researchergivesa true explana-
tion of the experiment to subjectsafter using
deception.(8)
Deception When an experimenterlies to subjects
about the true nature of an experimentor cre-
atesa falseimpressionthrough his or her ac-
tions or the setting.(8)
Deductive approach An approach to inquiry or
socialtheory in which one beginswith abstract
ideas and principles then works toward con-
crete,empiical evidencelotest the ideas.(2)
Demand characteristics A qpe of reactivity in
which the subjectsin experimentalresearchpick
up cluesabout the hypothesisandalter their be-
havior accordingly.(8)
Dependentvariable The effectvariablethat is last
and results from the causalvariable(s)in a
causal explanation. Nso the variable that is
measuredin the pretestandposttestand that is
the result of the treatmentin exqerimentalre-
search.(4)
Descriptive question A type of question asked
The researcherseeksbasic
earlyin field research.
information (e,g.,who, what, when, where)
about thefield site.(lI)
Descriptive research Research in which one
"paints a picture" with words or numbers,pre-
sents a profile, outlines stages,or classifies
types.(1)
Descriptivestatistics A generaltype of simple sta-
tisticsusedby researchersto describebasicpat-
ternsin the data.(10)
Design notation The name of a symbol system
usedto discussthe parts of an experimentand
to makediagramsof them. (8)
Deviant casesampling Atlpe of nonrandomsam-
ple, especiilTyusedby qualitative researchers,in
which a researcherselectsunusual or noncon-
forming casespurposely as a way to provide
greaterinsight into socialprocesses or a setting.
(6)
Diftrsionoftreatment Athreatto internalvalidity
that occurs when the treatment "spills over"
from the expeimentalgroup, and controlgroup
subjects modify their behavior becausethey
learn of the treatment.(8)
Direct-entry method A method of entering data
into a computerby typing datawithout codeor
opticalscansheets.(10)
Direct observationnotes Notes taken in field re-
searchthat attempt to include all details and
specificsofwhat the researcherheardor sawin
a field site.They are written in a way that per-
mits multiple interpretationslater. ( I 1)
Discretevariables Variablesin whichthe attibutes
canbe measuredonly with a limited number of
distinct, separatecategories.(5)
Double-barreledquestion Aproblemin surveyre-
searchquestion wording that occurs when two
ideasare combined into one question,and it is
unclearwhetherthe answeris for the combina-
tion ofboth or one or the other question.(7)
Double-blind experiment A tfpe of expeimental
researchin which neither the subjectsnor the
personwho direcdy dealswith the subjectsfor

the experimenterknows the specificsof the ex-
periment. (8)
Ecological fallacy Something that appearsto be a
causalexplanationbtfi is not. It occursbecause
of a confusion about units of analvsls.A re-
searcher has empirical eviience about an
associationfor large-scaleunits or huge aggre-
gates,but overgeneralizes to make theoretical
statementsabout an associationamong small-
scaleunits or individuals. (4)
Ecological validity A way to demonstrate the au-
thenticity and trustworthinessof afield research
study by showingthat the researcher's
descrip-
tions ofthe field sitematchesthoseofthe mem-
bers from the site and that the researcherwas
not a major disturbance.(11)
Editing A stepin the writing processthat is part of
rewriting in which a writer cleansup and tight-
ens the languageand checks grammar, verb
agreement,usage,sentencelength, and para-
graph organization to improve communica-
tion. (14)
Elaboration paradigm A system for describing
patternsevidentamong tableswhen a bivarinte
contingencytableis comparedwith partials after
the controlvariablehasbeenadded.( 10)
Empirical evidence The observationsthat people
experiencethrough their senses-touch, sight,
hearing,smell,and taste;thesecan be direct or
indirect.(1)
Empirical generalization A quasi-theoretical
statementthat summarizesfindings or regular-
ities in empirical evidence.It usesfew if any ab-
stract concepts and only makes a statement
about a recurring pattern that researchersob-
serve.(2)
Empirical hypothesis A type of hypothesisin
which the researcherexpresses
variablesin spe-
cific terms and expresses
the associationamong
the measured indicators of observable.
empiricalevidence.(5)
Empty boxes A name for conceptualcategoriesin
an explanationthat a researcherusesaspart of
the illustrative methodof qualitative data analv-
sis.(13)
cLossA R Y 355
Equivalenttime-seriesdesign Anexperimentalde_
srgzin which there areseverahepeatedpraestg
posttests,and treatmenfsfor one group often
over a period of time. (8)
Erosion measures Nonreactive measuresof the
wearor deteriorationon surfacesdue to the ac_
tivityofpeople. (9)
Error of segregation A mistake that can occur
when writing qualitative researchin which a
writer separatesconcreteempiricaldetailsfrom
abstractideastoo much. (14)
Ethnographic fallacy When a field researcher
takes what is observed at facevalue, fails to
questionwhat membersof a field site say,and
only focuseson the immediateconcretedetails
of a setting while ignoring larger social forces.
(11)
Ethnography An approach to field researchthat
emphasizesproviding a very detaileddescrip-
tion of a different culture from the viewpoint of
an insider in that culture in order to permit a
greaterunderstandingofit. 1t t,)
Ethnomethodogy An approach to social science
that combines philosophy, social theory, and
methodto study.(11)
Evaluation researchstudy A tfpe of applied re-
searchinwhichone tries to determinehowwell
a program or poliry is working or reachingits
goalsand objectives.(1)
Executivesummary A summaryof a researchpro-
ject's findings placedat the beginning ofa re-
port for an applied, nonspecialist audience.
Usuallya little longer than an abstract.(14)
Exhaustiveattributes The principle that response
categoriesin a scaleor other measureshould
provide a category for all possible responses
(i.e.,everypossibleresponsefits into somecat_
egory).
(s)
Existing statisticsresearch Researchin which one
examinesnumericalinformation frofn govern-
ment documentsor official reports to address
new researchquestions.( 1)
Experimentaldesign Arranging the partsof an ex-
periment and putting them together.(g)
3 66 c Los S A R Y
Experimental group The group that receivesthe
(8)
treatmentin experimentalresearch.
Experimental research Researchin which one in-
tervenesor does somethingto one group of
people but not to another, then comparesre-
sultsfor the two groups.( I )
Explanation pattern A pattern in the elaboration
paradigm in which the bivariate contingency
table showsa relationship, but thepartials show
no relationshipand the controlvariableoccttrs
prior to the independentvaiabla (10)
Explanatory research Researchthat focuseson
why eventsoccur or tries to testand build social
theory.(1)
Exploratory research Researchinto an area that
hasnot beenstudiedand in which a researcher
wants to develop initial ideasand a more fo-
cusedresearchquestion.(1)
External consistenry A way to achievereliabikty of
data in field researchin which the researcher
cross-checksand verifies qualitative data :using
multiple sourcesof information. (11)
External criticism In historical research,a way to
checkthe authenticityof primary sourcesbyac-
curatelylocating the place and time of its cre-
ation (e.g.,it is not a forgery).(12)
External validity The ability to generalizefrom
experimentalresearchto settingsor peoplethat
differ from the specific conditions of the study.
(s)
Facevalidity A tFpe of measurementvalidity in
which an indicator "makessense"asa measure
of a construct in the judgment of others,espe-
cially thosein the scientificcommunity. (5)
Factorialdesign Atype of experimentaldesignthat
considers the impact of several independent
variablessimultaneously.( 8)
Fallacyof misplacedconcreteness When a person
usestoo many digits in a quantitativemeasure
in an attempt to createthe impressionthat the
data are accurateor the researcheris highly ca-
pable.(9)
Field experiment Experimentalresearchthat takes
placein a natural setting.(8)
Field research A ffpe of qualitative researchin
which a researcherdirectly observesthe people
being studied in a natural setting for an ex-
tendedperiod. Often, the researchercombines
intenseobservingwith participationin the peo-
ple'ssocialactivities.( I )
Field site The one or more natural locationswhere
(l l)
a researchercondtctsfield research.
First-orderinterpretation In qualitativeresearch,
what the peoplewho arebeing studiedactually
feel and think. (4)
Floaters Respondentswho lack a belief or opin-
ion, but who grvean answeranyway if askedin
a surveyresearchquestion.Often, their answers
are inconsistent.(7)
Focusgroups A tJpe of group interview in which
an interviewerasksquestionsto the group, and
answersare givenin an open discussionamong
the groupmembers.(11)
Frequenry distribution A table that showsthe dis-
tribution of casesinto the categoriesof one
variable(i.e.,the number or percentof casesin
eachcategory).(10)
Frequencypolygon A graph of connectedpoints
showingthe distribution of how many casesfall
into each categoryof a variable.(10)
Full-filter question A.typeof sun eyresearchques-
tion in which respondents are first asked
whether they have an opinion or know about a
topic, then only the respondentswith an opin-
ion or knowledgeare askeda specificquestion
onthetopic.(7)
Functionaltheory A type of socialtheorybasedon
biological analogies,in which the socialworld
or its parts are seenas systems,with its parts
servingthe needsof the system.(2)
Funnel sequence A way to order surveyresearch
questionsin a questionnairefrom generalones
to specific.(7)
Galton's problem In comparative research,the
problem of finding correlationsor associations
among variablesor characteristicsin multiple
casesor units, when the characteristicsare ac-
tually diffused from a singleunit or havea com-
 mon origin. Thus, a researchercannot really
treat the multiple units (e.g.,countries,cul-
tures,etc.) asbeing wholly separate.(12)
GeneralSocialSurvey(GSS) Asuwey of arandom
sampleof about 1,500U.S.adultsthat hasbeen
conductedin most yearsbetween1972andthe
presentand is availablefor many researchers
to
analyze.(9)
Go native What happens when a researcherin
field researchgets overly involved and loses all
distance or objectivity and becomeslike the
peoplebeingstudied.(l 1)
Grantsmanship The strategiesand skills of locat-
ing appropriatefunding sourcesand preparing
high-quality proposalsfor researchfundino
( 14)
Grounded theory Socialtheory that is rooted in
observationsofspecific, concretedetails.(2)
Guilty knowledge When a researchern field re-
searchlearns of illegal, unethical, or immoral
actionsby the peoplein thefield sitethat is not
widelyknown.(11)
Guttman scaling A scalethat researchers useafter
dataarecollectedto revealwhethera hierarchi-
cal pattern existsamong responses,such that
people who give responsesat a "higher level"
alsotend to give "lowerJevel" ones.(5)
Halo effect An error often madewhen peopleuse
personalexperienceasan alternativeto science
for acquiring knowledge.It is when a person
overgeneralizes
fiom what he or sheacceptsas
being highly positiveor prestigiousand lets its
strong reputation or prestige "rub off' onto
otherareas.(1)
Haphazard sampling A type of nonrandomsam-
ple in which the researcherselectsanyonehe or
shehappensto come across.(6)
Hawthorne effect An effect of reactivity named af-
ter a famous casein which subjectsreactedto
the fact that they were in an experimentmore
than they reactedto the treatment.(8)
Hidden populations Peoplewho engagein clan-
destine, deviant, or concealedactivities and
who are difficult to locateand study. (6)
Historical-comparative research Research in
which one examinesdifferent culturesor peri-
ods to better understandthe socialworld. ( 1)
History effects A threat to internal validity dueto
somethingthat occursand affectsthedependen
variableduring an experiment,but which is un-
planned and outsidethe control ofthe experi-
menter.(8)
Human Relations Area Files (HRAF) An exten-
sive catalog and comprehensivecollection of
ethnographies on many cultures(mostly prelit-
erate) that permits a researcherto compare
acrosscultural units. (12)
Hlpothesis The statementfrom a causalexplnna-
tion or a propositionthat has at least one
independentand one dEendent variable,but it
hasyet to be empiricallytested.(4)
Idealtype Apuremodelaboutanidea,process, or
event. One developsit to think about it more
clearly and systematically.It is used both as a
method of 4zalitativedata analysisand in soclal
theorybutlding.(2)
Idiographic An approachthat focuseson creating
detaileddescriptionsofspecific eventsin par-
ticular time periods and settings.It rarely goes
beyondempiricalgeneralizations to abstractso-
cial theory or causallaws.(2)
Illustrative method A method of qualitativedata
analysisin which a researchertakes the con-
ceptsof a socialtheoryor explanationand treats
them as emptyboxesto be filled w.irthempirical
examplesand descriptions.(13)
Independence The absenceofa sfatisticalrelation-
shlpbetweentwo variables(i.e.,when knowing
the valueson one variable provides no infor-
mation about the valuesthat will be found on
anothervariable).There is no associationbe-
tweenthem. (10)
Independentvariable The first variablethat causes
or producesthe effect in a causalexplanation.
(4)
Index The summing or combining of many sepa-
rate measuresofa constructor variable.(5)
368 c Los s AR Y
Inductive approach An approachto inquiryor so-
cial theory in which one beginswith concrete
empirical details,then works toward abstract
ideasor generalprinciples.(2)
Inferential statistics A branch of applied mathe-
basedon arandomsample.It
maticsor statistics
lets a researchermakeprecisestatementsabout
the level ofconfidence he or shehas in the re-
sults of a samplebeing equal to the population
parameter.(6)
Informed consent An agreementby participants
stating they are willing to be in a study after
they learn somethingabout what the research
procedurewill involve. (3)
Institutional Review Board A committee of re-
searchersand community membersthat over-
sees,monitors, and reviews the impact of
researchprocedureson human participants
and appliesethical guidelinesby reviewingre-
searchproceduresat a preliminary stagewhen
first proposed.(3)
Interaction effect The effect of two independent
variablesthat operatesimultaneouslytogether.
The effect of the variablestogether is greater
than what would occur from a simple addition
ofthe effectsfrom each.The variablesoperate
together on one another to create an extra
"boost."(8)
Internal consistenry Awayto achievereliabilityof
datain field researchin which a researcherex-
amines the data for plausibility and sees
whetherthey form a coherentpicture, given all
that is known about a personor event,trying to
avoidcommon forms of deception.(11)
Internal criticism How historical researcherses-
tablish the authenticity and credibility of
primary sourcesand determine its accuracyas
an accountof what occurred.( 12)
Internal validity The ability of experimentersto
strengthena causalexplanation'slogical rigor
by eliminating potential alternative explana-
tions for an associationbetween the treatment
and the dependent variable through an
experimentaldesign.(5)
Interpretationpattern Apattern inthe elaboration
paradigm in which the bivariate contingency
tableshowsa relationship,but thepartialsshow
no relationshipand the controlvariableis inter-
vening in the causalexplanation.(10)
Interrupted time series An experimentaldesignin
which the dependentvariableis measuredperi-
odically acrossmany time points, and the
treatmentoccursin the midst of suchmeasures,
oftenonlyonce.(8)
Interval level of measurement A levelof measure-
ment that identifiesdifferencesamongvariable
attributes,ranks,and categories,and that mea-
suresdistancebefi,veencategories,but there is
no true zero.(5')
Intervening variable A variable that is betweenthe
initial causalvariableand the final effectvari-
ablein a causalexplanation.(4)
Interview schedule The name of a surveyresearch
questionnairewhen a telephoneor face-to-face
interview is used.(7)
what a researcherin-
Jottednotes Infield research,
conspicuouslywrites while rn the field site on
whateveris convenientin order to "jog the
memory" later.(tt)
Laboratoryexperiment Experimentalresearch that
takesplacein an artificial settingoverwhich the
experimenterhasgreatcontrol. (8)
Latent coding Ltlpe of contentanalysiscoding in
which a researcheridentifies subjectivemean-
ing such asgeneralthemesor motifs in a com-
municationmedium.(9)
Latin square desigrr An experimental designused
to examinewhether the order or sequencein
which subjectsreceivemultiple versionsof the
treatmenthas an effect.(8)
Level of analysis A way to talk about the scopeof
a socialtheory,causalexplanation,proposition,
hypothesis,or theoreticalstatement.The range
of phenomenait covers,or to which it applies,
goesfrom socialpsychological(micro level)to
organizational(mesolevel)to large-scalesocial
structure (macroleveD.@)

Levelofmeasurement A systemthat organizesthe
information in the measurementof variables
into four generallevels,from nominal levelto
ratio level.(5)
Level of statisticalsignificance A set of numbers
researchers useas a simple way to measurethe
degreeto which a statistical relationship rcsults
from random factorsrather than the existence
of a true relationshipamongvariables.( l0)
Lexicon equivalence Finding equivalent words or
phrasesto expressthe identicalmeaningin dif_
ferent languagesor in the translationfrlm o.re
languageto another (seeBacktranstation).(12)
Likert scale Ascaleoften usedinsurvey researchin
which people expressattitudes or other re-
sponsesin terms of severalordinal-level cate_
gories (e.g.,agree,disagree)that are ranked
along a continuum. (5)
Linear relationship An associationbetween two
variablesthat is positive or negativeacrossthe
attributesor levelsof the variables.When plot-
ted in a scattergram,the basic pattern of the
associationforms a straightline, not a curve or
otherpattern.(10)
Linear researchpath Researchthat proceedsin a
clear,logical, step-by-stepstraight line. It is
more characteristic of a quantitative than a
qualitativeapproachto socialresearch.(4)
Literature review A systematic examination of
previously published studies on a research
question,issue,or method that a researcherun_
dertakesand integratestogetherto preparefor
conducting a study or to bring together and
summarizethe "stateof the field." (4)
Longitudinal research Researchin which the re-
searcherexamines the features of people or
other units at multiple points in time. (l)
Macro-level theory Socialtheories and explana-
tions about more abstract,large-scale,and
broad-scopeaspectsofsocial reality,suchasso-
cial changein major institutions (e.g.,the fam-
ily, education,etc.) in a whole nation across
severaldecades.(2)
Manifest coding Atype of contentanalysiscoding
in which a researcherfirst developsa list ofspe-
GLOS S A R Y 369
cific words, phrases,or symbols, then finds
them in a communication medium. (9)
Marginals The totals in a contingencytable, out_
sidethe bodyof a table.(10)
Matrix question Atype of surveyresearchquestion
in which a setof questionsis listedin a compact
form together, all questionssharing the same
setofanswer categories.(7)
Maturation A threat to internal validity in
experimentalresearchdue to natural processes
of growth, boredom, and so on, that occur to
subjectsduring the experiment and affect the
dependentvariable.(g)
Mean A measureof centraltendencyfor one vari_
able that indicatesthe arithmetic average(i.e.,
the sum of all scoresdivided by the total num_
ber ofscores).(10)
Measurementequivalence In historical_comDara-
tive research,
creatingor locating th"t
will accuratelyrepresentthe same -.urrrr.',
constructor
variablein divergentcultural or historical set_
tings.(12)
Measurementvalidity Howwell an empiricalindi_
cator and the conceptualdefinitionbf th. .orr_
struct that the indicator is supposedto measure
"fit" together.(5)
Median A measureof central tendency for one
variableindicating the point or scoreat which
halfthe casesarehigher and halfare lower. ( l0)
Member validation A way to demonstratethe au_
thenticity and trustworthinessof afield research
study by having the people who were studied
(i.e.,members)read and confirm asbeing true
that which the researcherhas reported.(l i)
Meso-level theory Social theories and explana_
tions about the middle levelof socialrealitvbe_
tween a broad and narrow scope,such ai the
developmentand operation of social orsaniza._
tions, communities,or socialmovem"r-t, o,0..
a five-yearperiod.(2)
Microlevel theory Social theories and explana_
tions about the concrete,small-scale,urrd ,ru._
row level of reality, such as face_to_face
37O c Los s A R Y
interaction in small groups during a two-
month period.(2)
Mode A measureof centraltendencyfor one vari-
able that indicatesthe most frequent or com-
mon score.(10)
Mortality Threatsto internal validity due to sub-
jectsfailing to participatethrough the entire ex-
periment.(8)
Multiple indicators Many proceduresor instru-
mentsthat indicate,or provide evidenceof, the
presenceor level of a variable using empirical
evidence.Researchersuse the combination of
severaltogetherto measurea variable.(5)
Mutually exclusiveattributes The principle that
responsecategoriesin a scaleor other measure
should be organizedso that a person's re-
sponsesfit into only one category(i.e., cate-
goriesshould not overlap).(5)
Narrative history A type ofwriting about a histor-
ical settingin which the writer attemptsto "tell
a story" by following chronologicalorder, de-
scribing particular people and events,and fo-
cusingon many colorfi-rldetails.(13)
Naturalism The principle that researchers
should
examineeventsasthey occur in natural, every-
day ongoing socialsettings.( 11)
Negativerelationship An associationbefiveentwo
variablessuchthat asvalueson one variablein-
crease,valueson the other variablefall or de-
crease.(2)
Nominal-level measurement The lowest, least
preciselevelof measurement for which there is
only a differencein type among the categories
ofavariable.(5)
Nomothetic An approach basedon laws or one
that operatesaccordingto a systemoflaws. (2)
Nonlinear researchpath Researchthat proceeds
in a circular,back-and-forthmanner.It is more
characteristicof a qualitative than a quantita-
tive styleto socialresearch.(4)
Nonrandom sample A type of samplein which the
sampling elementsare selectedusing some-
thing other than a mathematically random
process.(6)
Nonreactive Measures in which people being
studiedareunawarethat they arein a study. (9)
Normal distribution A "bell-shaped" frequency
polgon for a distribution of cases,with a peak
in the centerand identicalcurving slopeson ei-
ther side ofthe center.It is the distribution of
many naturally occurring phenomenaand is a
basisof much statisticaltheory. ( l0)
Normalize social research Techniquesin field re-
searchusedby researchersto make the people
being studied feel more comfortable with the
researchprocessand to help them acceptthe
researcher'spresence. (11)
Null hypothesis A hlpothesisthat saysthere is no
relationship or associationbetween two vari-
ables,or no effect.(4)
One-shot casestudy An experimentaldesignwith
only an experimentalgroup and a posttest,no
pretest.(8)
Open coding A first coding of qualitativedata in
which a researcherexaminesthe data to con-
densethem into preliminary analyticcategories
or codesfor anallzing the data. ( I 3)
Open-ended question A tlpe of surveyresearch
questionin which respondentsare free to offer
any answerthey wish to the question.(7)
Operational definition The definition of a variable
in terms of the specificactivitiesto measureor
indicate itvnth empiricalevidence.(5)
Operationalization The processof moving from
the conceptualdefinition of a constructto a set
of specificactivitiesor measuresthat allow a re-
searcherto observe it empirically (i.e., its
operationaldefinition).(5)
Oral history A tFpe of recollectionin which a re-
searcherinterviewsa person about the events,
beliefs,or feelingsin the pastthat were directly
experienced. (12)
Order effects An effect in surveyresearchin which
respondentshear some specificquestionsbe-
fore others,and the earlierquestionsaffecttheir
answersto later questions.(7)
Ordinal-level measurement A level of measure-
ment thal identifies a difference among cate-
 goriesofa variableand allowsthe categoriesto
be rank ordered.(5)
Overgeneralization An error that people often
makewhen using personalexperienceas an al-
ternativeto sciencefor acquiringknowledge.It
occurs when some evidencesupports a beliel
but a person falselyassumesthat it appliesto
many other situations,too. ( 1)
Panel study A powerful tlpe of longitudinal re-
searchin which a researcherobservesexactly
the samepeople,group, or organizationacross
multiple time points. ( 1)
Paradigm A general organizing framework for
socialtheoryand empiricalresearch.It includes
basic assumptions,major questions to be an-
swered,models of good researchpractice and
theory, and methodsfor finding the answersto
questions.(2)
Parameter A characteristicof the entirepopulation
that is estimatedfrom a sample.(6)
Paraphrasing When a wdter restatesor rewords
the ideas of another person, giving proper
creditto the originalsource.(14)
Partially open question A tfpe of survey research
questionin which respondentsaregivena fixed
setof answersto choosefrom, but in addition,
an "other" categoryis offered so that they can
sPecifi'a different answer.(7)
Partials ln contingencytablesfor three variables,
tablesthat show the association betweenthe
independentand dependentvariablesfor each
categoryof a controlyariable.(10)
Percentile A measureof dispersionfor one vari-
ablethat indicatesthe percentageofcasesat or
belowa scoreor point. (10)
Pie chart A display of numerical information on
one variablethat divides a circle into fractions
by linesrepresenting the proportion ofcasesin
the variable'samibutes.(10\
Placebo Afalsetreatmentor ole that hasno effect
in an experiment. It is sometimescalled a
"sugar pill" that a subjectmistakesfor a true
treatment.(8)
Plagiarism A type of unethicalbehavior in rriich
one usesthe writings or ideasof anotherwith-
out giving proper credit. It is "stealingidea:."
(3, 14)
Population The name for the largegeneralgroup
of many casesfrom which a researcherdrans a
sampleandwhich is usuallystatedin theoretical
terms.(6)
Positive relationship An associationbetweentrr-o
variablessuch that as values on one increase,
valueson the other alsoincrease.(2)
Possiblecodecleaning Cleaningdatausinga com-
puter in which the researcherlooks for re-
sponsesor answercategoriesthat cannot have
cases. ( l0)
Posttest The measurementof the deDendent vari-
ablein experimentalresearchafter
the treatment.
(8)
Praxis An idea in critical socialsciencethat social
theory and everydaypracticeinteract or work
together,mutually aflbcting one another. This
interaction can promote socialchange.(2)
Prediction A statement about something that is
likely to occur in the future. (2)
Predictive validity Measurementvalidity that re-
lies on the occurrenceof a future event or be-
havior that is logically consistentto verift the
indicatorofa construct.(5)
Preexperimentaldesigns Experimentaldaslgnsthat
lack randomassignment or use shortcutsand
aremuch weakerthan the classicalexperimental
design.They may be substituted in situations
where an experimentercannot use all the fea-
turesof a classicalexperimentaldesign,but have
weakerinternalvalidity. (8)
Prematureclosure An error that is often made
when using personalexperienceas an alterna-
tive to sciencefor acquiring knowledge.It oc-
curs when a person feelshe or she has the
answersand doesnot needto iisten,seekinfor-
mation,or raisequestionsanylonger.( 1)
Prestigebias A problem in surveyresearchques-
tion writing that occurs when a highly re-
372 c Lo s s A R Y
spectedgroup or individual is linked to one of
the answers.(7)
Pretest The measurementof the dependentvari-
ableof an experimentprior t o the treatment.(8)
Prewriting A very earlystepin the writing process'
when one writes without worrying about word
choice,spelling,or grammar,but tries to let
"ideas flor,r/' as quickly as possibleto connect
thinking processes with writing. (14)
Primary sources Qualitative data or quantitative
data usedin historical research.It is evidence
about past sociallife or eventsthat was created
and used by the personswho actuallylived in
the historicalperiod.(12)
Principal investigator(PI) The personwho is pri-
marily in chargeof researchon a project that is
sponsoredor funded by an organization.(14)
Principle ofvoluntary consent An ethical princi-
ple of socialresearchthat people should never
participatein researchunlessthey first explic-
itlyagreetodoso.(3)
Probability proportionate to size (PPS) An ad-
justment made in clustersamplingwhen each
cluster does not have the same number of
samplingelements.(6)
Probe A follow-up questionor action in srrueyre-
searchtsedby an interviewerto havea respon-
dent clarifr or elaborateon an incomplete or
inappropriateanswer.(7)
Proposition A basicstatementin socialtheorythat
two ideas or variables are related to one an-
other. It can be true or false(e.g.,most sexof-
fenderswere themselvessexuallyabusedwhen
growing up), conditional (e.g.,if a foreign en-
emy threatens,then the peopleof a nation will
feel much stronger social solidarity), and/or
causal(e.g.,povertycauses crime)' (2)
Public sociology Socialsciencethat seeksto enrich
public debatesover moral and political issues
by infusing them with social theory and re-
searchand tries to generatea conversationbe-
tlveenresearchers and public. Often usesacttor
researchand a critical socialscienceapproach
with its main audiencebeing non-expertsand
practitioners.(3)
Purposivesampling Ltype of nonrandomsample
in which the researcherusesa wide range of
methodsto locateall possiblecasesof a highly
specificand difficult-t o-reachp opulation.(6)
Qualitative data Information in the form of
words, pictures, sounds,visual images,or ob-
iects.(1)
Quantitative data Information in the form of
numbers.(l)
Quasi-experimentaldesigns Experimentaldesigns
that are stronger than preexpeimentaldesigns.
experimental
They arevariationson the classical
designthatanexperimenterusesin specialsitu-
ations or when an experimenter has limited
control over the independentvariable.(8)
Quasi-filter questions A ffpe of surveyresearch
questionincluding the answerchoice"no opin-
ion" or "don't know." (7)
Quota sampling A tFpe of nonrandomsampletn
which the researcherfirst identifiesgeneralcat-
egoriesinto which casesor people will be se-
lected,then he or she selectsa predetermined
number of casesin eachcategory.(6)
Random assignment Dividing subjects' into
groups at the beginning of experimentalre-
searchusing a random process'so the experi-
menter can treat the groupsasequivalent'(8)
Random digit dialing (RDD) A method of ran-
domly selectingcasesfor telephoneinterviews
that usesall possibletelephonenumbers as a
samplingframe.(6)
Random number table A list of numbersthat has
no pattern in them and that is usedto createa
random processfor selectingcasesand other
randomizationPurPoses.(6)
Random sample Atype of samplein which the re-
searcherusesa randomnumbertableor similar
mathematicalrandom processso that each
samplingelementin thepopulntionwill havean
equalprobability ofbeing selected.(6)
Range A measureof dispersion for one variable
indicating the highestand lowestscores.( l0)
Ratio-levelmeasurement The highest' most pre-
ciselevel of measuremearfor which variable

attributescan be rank ordered,the distancebe-
tweenthe attributespreciselymeasured,and an
absolutezero exists.(5)
Reactivity The generalthreat to externalvalidity
that arisesbecausesubjectsare awarethat they
arein an experimentand being studied.(8)
Recollections The words or writings of people
about their life experiencesafter sometime has
passed.The writings arebasedon a memory of
the past,but may be stimulatedby a review of
pastobjects,photos,personalnotes,or belong-
ings.(12)
Recording sheet Pages on which a researcher
writes down what is coded in contentanalysis.
(e)
Reductionism Something that appears to be a
causalexplanation,butisnot, because ofa con-
A researcherhas
fusion about units of analyszs.
empiricalevidencefor an associationat the level
of individual behavioror very small-scaleunits,
but overgeneralizes Io make theoretical state-
mentsabout verylarge-scaleunits. (4)
Reliability Thedependabilityorconsistenryofthe
measureof avariable.(5)
must be
Replication The principle that researchers
able to repeat scientific findings in multiple
studiesto have a high level ofconfidence that
the findings aretrue. (2)
Replication pattern A pattern inthe elaboration
paradigm in which the partials show the same
relationship as in a bivariatecontingencytable
of the independent and dependentvariable
alone.(10)
Requestfor proposal (RFP) An announcementby
a funding organizationthat it is willing to fund
researchand it is soliciting written plans of re-
searchprojects.( 14)
Researchfraud A tlpe of unethical behavior in
which a researcherfakesor invents data that he
or shedid not really collect,or fails to honestly
and fully report how he or she conducted a
study.(3)
Responseset An effect rn surveyresearchwhen re-
spondentstend to agreewith everyquestionin
cLossA R Y 373
a seriesrather than thinking through their an-
swerto eachquestion.(7)
Revising A stepin the writing processthat is part
of rewritingin which a writer addsideasor evi-
dence,and deletes,rearranges,or changesideas
to improve clarity and better communicate
meaning.(14)
Rewriting A step in the writing processin which
the writer goesovera previousdraft to improve
communication of ideasand clarity of expres
sion,(14)
Running records A specialtype of existingstatistic
researchusedin historical researchbecausethe
files,records,or documentsaremaintainedin a
relatively consistentmanner over a period of
time.(12)
Sample A smaller set of casesa researcherselect
from a larger pool and generalizesto the
population.(6)
Sampling distribution A distribution createdby
drawing rnany random samplesfrom the same
populntion.(6)
Sampling element The name for a caseor single
unit to be selected.(6)
Sampling error How much a sampledeiates fiom
being representativeofthe population.(6)
Samplingframe A list of casesin a populntion,or
the bestapproximation of it. (6)
Samplinginterval The inverseof the samplingra-
,o, which is used in systematicsamplingto se
lect cases.(6)
Samplingratio Thenumberofcasesinthesampl
divided by the number of cases irr the
population or the samplingframe, or the pro-
portion of thepopulntionin the sample.(6)
Scale A type of quantitative data measttreoften
usedin surveyresearch that capturesthe inten-
sity, direction, level, or potengv of a variable
construct along a continuum. Most are at the
ordinallevelof measrtrement.(5)
Scattergram A diagram to display the sratisticalre-
lationshipbettreentwo variablesbasedon plot-
ting eachcase'svaluesfor both ofthe variables
( l 0)
374 c Los s AR Y
Scientificcommunity A collection of peoplewho
sharea systemofrules and attitudesthat sustain
the processof producing scientificknowledge.
( l)
Scientific method The process of creating new
knowledge using the ideas, techniques, and
rulesof the scienfficcommunity.(l)
Scientificmisconduct When someoneengagesin
researchfraud, plagiarism, or other unethical
conduct that significantly deviatesfrom the ac-
cepted practice for conducting and reporting
researchwithin the scientificcommunity.(3)
Secondary sources Qualitative data and
quantitativedafausedin historicalresearch.In-
formation about eventsor settingsare docu-
mented or written later by historiansor others
who did not directly participatein the eventsor
setting.(12)
Second-order interpretation In qualitative re-
search,what a researcherbelievesthe people
being studiedfeeland think. (4)
Selectionbias A threat Io internal validity when
groups in an experimentare not equivalentat
the beginningof the experiment.(8)
Selectivecoding A last passat coding qualitative
data in which a researcherexaminesprevious
codesto identiff and selectillustrativedatathat
will support the conceptualcoding categories
that he or shedeveloped.(13)
Selectiveobservation The tendencyto take notice
ofcertain peopleor eventsbasedon pastexpe-
rienceor attitudes.( I )
Semantic differential A scalein which people are
presentedwith a topic or object and a list of
many polar opposite adjectives or adverbs.
They are to indicate their feelings by marking
one ofseveralspacesbetweentwo adjectivesor
adverbs.(5)
Sequentialsampling Atype of nonrandomsample
in which a researchertries to find asmany rele-
vant casesas possible,until time, financial re-
sources,or his or her energyare exhausted,or
until there is no new information or diversity
fiom the cases.(6)
Simple random sampling Atype of randomsam-
ple in which a researchercreatesa sampling
frame andusesa pure random processto select
cases.Eachsamplingelementin the population
will havean equalprobability of being selected
(6)
Skewed distribution A distribution of cases
among the categoriesof a variable that is not
normal (i.e.,not a "bell shape").Insteadof an
equal number of caseson both ends,more are
at one of the extremes.(10)
Snowball sampling A tfpe of nonrandomsample
in which the researcherbeginswith one case
then. based on information about interrela-
tionshipsfrom that case,identifiesother cases
and then repeatsthe processagain and again.
(6)
Social desirability bias A bias in surveyresearchkt
which respondentsgivea "normative" response
or a sociallyacceptableanswerrather than give
a truthfi.rlanswer.(7)
Socialimpact assessment study Atype of applied
socialresearchin which a researcherestimates
the likely consequencesor outcome of a
planned intervention or intentional changeto
occur in the future. ( 1)
Social research A processin which a researche
combines a set of principles, outlooks, and
ideas with a collection of specific practices,
techniques,and strategiesto produce knowl-
edge.(l)
Sociogram A diagram or "map" that shows the
netlvork of social relationships,influence pat-
terns,or communication pathsamong a group
ofpeopleorunits. (6)
Solomon four-group design An experimentalde-
slgain which subjectsare randomly assignedto
two clntrll groupsandtwo experimental groups
Only one experimentalgroup and one control
group receivea pretest.All four groups receivea
posttest.(8)
Specialpopulations Peoplewho lack the necessar
cognitive competency to give real informed
consent or people in a weak position who

might comprisetheir freedomto refuseto par-
ticipate in a study. (3)
Specificationpattern A pattern inthe elaboration
paradigm in which the bivariate contingency
table showsa relationship. One of thepartial ta-
blesshowsthe relationship, but other tables do
not. (10)
Spuriousness A statement that appearsto be a
' causalexplanation,but is not becauseof a hid-
den, unmeasured,or initially unseenvariable,
The unseenvariable comesearlier in the tem-
poral order, and it hasa causalimpact on what
wasinitially positedto bethe independentvari-
ableas well.as the dependentvariable.(4)
Standard deviation A measureof dispersionfor
one variable that indicates an averagedistance
betweenthe scoresand the mean.(I0)
Standard-format question A tFpe of survey re-
searchqtestion in which the answer categories
tail to include "no opinion" or "don't know."
(7)
Standardization The procedure to statistically ad-
just measuresto permit making an honest com-
parisonby giving a common basisto measures
ofdifferent units. (5)
Static group comparison An experimental design
with two groups, no random assignment,and
only a posttest.(8)
Statistic A numerical estimateof a populationpa-
rametercomputedfrom a sample.(6)
Statistical Abstract of the United States A U.S.
government publication that appearsannually
and contains an extensivecompilation of sta-
tistical tablesand information. (9)
Statistical significance A way to discussthe likeli-
hood that a finding or statisticalrelntionshipin
a sampleis due to the random factors rather
than due to the existenceof an actualrelation-
ship in the entirepopulation.(10)
Stratified sampling A tfpe of random samplein
which the researcherfirst identifies a set of
mutually exclusiveand,exhaustivecategories,
then usesa random selectionmethod to select
casesfor eachcategory.(6)
GLOSSARY 375
Structural question A type of questionin field re-
searchintervtews in which the researcherat-
tempts to verift the correctnessof placing terms
or eventsinto the categoriesof the meaning sys-
tem usedby peoplebeing studied.( I 1)
Structured observation A method of watching
what is happening in a social setting that is
highly organized and that follows systematic
rulesfor observationand documentation.(9)
Subjects The name for peoplewho are studied and
(8)
participatein experimentalresearch.
Successiveapproximation A method of 4ualiutive
data analysisinwhich the researcherrepeatedly
moves back and forth between the empirical
data and the abstract concepts, theories, or
models.(13)
Suppressor variable pattern A pattern in the
elaborationparadigm in which no relationship
appearsin abivariate contingencytabbbutthe
partiak show a relationship between the vari-
ables.(10)
Survey research Quantitative social researchin
which one systematicallyasksmany people the
samequestions,then recordsand analyzestheir
answers.(1)
Systematic sampling A tfpe of random samplern
which a researcherselectseveryftth (e.g.,12th)
casein the samplingframe using a sampling in-
terval.(6)
Target population The name for the large general
group of many casesfrom which a sampleis
drawn and which is specified in very concrete
terms.(6)
Text A generalnamefor symbolicme"ning within
a communication medium m easurd,in contmt
analysis.(9)
Third-order interpretation In qualitative re-
search,what a researchertells the readerofa re-
searchreport that the people he or she sflrdied
felt and thought. (4)
Threatening questions A tfpe of survey research
question in which respondents are Likely to
cover up or lie about their tme behavior or be-
liefs becausethey fear a lossof self-imageor that
376 c Los s AR Y
they may appearto be undesirableor deviant.
( 7)
Time-series study Any researchthat takes place
over time, in which different people or cases
may be looked at in eachtime point. ( 1)
Treatment What the independent variable in
is called.(8)
experimentalresearch
Type I error The logical error offalsely rejecting
the null lrypothesls.( I 0)
Tlpe II error The logicalerror of falselyaccepting
( 10)
the null lrypothesls.
Unidimensionality The principle that when using
mubiple indicatorsto measurea construct, all
the indicators should consistentlyfit together
and indicatea singleconstruct.(5)
Unit of analysis The kind of empirical caseor unit
that a researcherobserves,measures,and ana-
lyzesin a study. (4)
Univariate statistics Statistical measuresthat deal
with one variableonly. (10)
Universe The broad classofunits that arecovered
in ahypothesis.All the units to which the find-
ingsof a specificstudymight be generalized.(4)
Unobtrusive measures Another name for
nonreactivemeasure* It emphasizesthat the
peoplebeing studiedarenot awareofit because
the measuresdo not intrude. (9)
Validity A term meaningtruth that canbe applied
to the logical tightnessof experimentaldesign,
the ability to generalize findings outside a
rf
study, the quality of measurement, and the
properuseofprocedures.(5)
Variable A concept or its empiricalmeasuiethat
can take on multiple values.(4)
Verstehen A German word that translatesas un-
derstanding;specifically,it meansan empathic
understandingof another'sworldview. (2)
Whistle-blower A personwho seesethicalwrong-
doing, tries to correct it internally but then in-
forms an external audience, agency, or the
media.(3)
Wording effects An effectthat occurswhen a spe-
cific term or word used in a survey research
question affectshow respondentsanswer the
question.(7)
Zoom lens An organizationalform often usedby
when writing reports that be-
field researchers
gin broadly then becomenarrow, focused,and
specific.(14)
Z-score A way to locatea scorein a distribution of
scoresby determining the number of standard
deviationsit is above or below the mean or
arithmetic average.(10)

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D M
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391
 392 NAMEtND,Ex

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T
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riliiiir
.iilfii
r,llh;
 D EX

A Authenticity, 120
Authority, as alternativeto science,3, 7
Abstract Available data(seeResearch,nonreactive)
ofarticleor report,73,77,80,351
Average(seeMean; Median;Mode)
aslocation tool for articles,T5-77
Axial coding (seeCoding, in qualitative research,
Abstraction, level of, 31, 45 axial)
Abuse (seeHarm to researchsubjects)
Accessto field site,280-283
Account, secondary(seeInterpretation, second- B
order)
Back translation, 32!, 323, 326
Accretion measures(seeMeasures,accretion)
Bad Blood, 50
Aggregates,24
Balance,in questionresponses, 173
Analysis
Bar chart (seeStatistics,univariate)
blame,25,45
Bell-shapedcurve (seeNormal distribution)
casestudy (seeResearch,casestudy)
Beta (seeRegression,multiple)
cohort, l8-I9,22
Bias(seealsoUnbiased)
content,20,227-236, 246
interviewer in surveys,194
data(seeD ataanalysis)
Galton'sproblem (seeGalton'sproblem)
Ievelof, 95-97,107
prestige,170-171,I98
network,339
random processto avoid, 203
scalogram,138
responseset(seeResponse, set)
secondary,239-241
selection,2I2-2I3, 223
time allocation,339
socialdesirabrlity, 176, L98
units of, 95-97, 107,228,231-232,240
Blind peer review, 9
Analltic memos (seeNotes, analytic
Body of table (seeT able,parts of cross-tabulation
notes/memos;Notes,field)
table)
Anonl.rnity, 57-58,66
BogardusSocialDistanceScale(seeScale,
Appearanceof interest,287
BogardusSocialDistance)
Archives,3l3
Bracketing,3l5
Associationof variables,36, 45,263
measuresof,263-264
requirement for causalry,36-37
C
Assumptions (seeTheory, assumptionsof)
Attitude of strangenes s, 284,302 Casing,330
Attributes (seeVariables,attributes o0 C ATI (seeComputer-assisted
telephone
Audience for researchreport, 344-345 interviewing)

393
394 s uB J E c r rN D EX

Causalor Causality(seealsoExplanation, causal; Confederates,20T(seealsoDeception)

Relationship,causal) Confidenceinterval, I5lI52, 164-165
mechanism,38 Confidentialitr, 58-59, 66, 30I (seealsoEthics)
temporal order, 35-36 Conflict theory $eeTheory, conflict)
Cell oftable (seeTable,parts ofcross-tabulation Consistenryin field research
table) external,294,302
Census,l4l,24l internal,294,303
Centrallimit theorem,I49, L5L,16I Constructs(seeConcepts)
Central tendencymeasures(seeMean; Median; Contamination in experiments(seeValidiry
Mode) internal)
Citation, 73-75,81, 107 Content,in contentanalysis(seeTextin content
Classification(seeConcepts,classifications) analysis)
Codebook, 248-249,273 Content analysis(seeAnalysis,content)
Code cleaning,possible(seeData,quantitative, Context in qualitative research,88-89 (seealso
cleaning) Effect,context, in surveyresearch;
Codeofethics,49,59-60 Equivalence, contextual)
Code sheets(seeData,quantitative entry) Contingency
Coding cleaning 250,273 (seealsoData, quantitative,
in content analysis cleaning)
form (seeRecordingsheet) question (seeQuestion, contingency)
1atent,229*230,246 table (seeCross-tabulation)
manifest,229,246 usedin writing (seeWriting, in historical-
system,228-229,246 comparativeresearch)
in qualitative research Contrast ofcontexts in ideal types(seeIdeal type,
aial,33l-333,342 contrastcontexts)
open,33I-333,342 Control
selective,33I-333,342 in causalstatement,3T
in quantitative research in experiments,206-207
precoding,248 group,204-206,222
procedure, 248-250 variables(seeVariables,control)
Cohort study or analysis(seeAnalysis,cohort) Correlation (seePearsonproduct moment
Comparative-historicalresearch(seeResearch, correlation coefficient)
historical-comparative) Correlation study (seeResearch,cross-sectional)
Composing (seeWriting, processof) Covariation (seeAssociationof variables)
Computer-assistedtelephoneinterviewing Cover sheetin surveyresearch,184, 198
(CATI), 194-195, t98 Covert research(seeResearch,covert)
Computer software (seealsoHypertext) Credibility of membersin field research,294
for qualitative data,340-342 Critical socialscience,44
for quantitative data,272 Criticism in historical research,external and
Concepts internal,3l6,326
building blocks of theory 26 Cross-overdesign (seeExperimental design,
classifications,27 , 45 cross-over)
clusters,27,45 Cross-sectional(seeResearch,cross-sectional)
cross-cultural(seeEquivalence,conceptual) Cross-tabulation,259-263,273
scope,28 Curvilinear relationship (seeRelationship,
Conceptualization,I I 1-1 15, 139,329-330 curvilinear)
 suB .fE cr IN D E X 395

D validity (seeValidity, in field research)

Editing (seeWriting, processof)
Data,7,22 Effect
qualitative, 7, 16,2L-22 context,in surveyresearch, 182-184'198
quantitative, 7, 16,2012 halo,6,22
cleaning,250 Hawthorne,217-218, 223
entry,248-250 history internal validity threat, 2I3, 218,
records,248-250 223
Data analysis instrumentation, internal validity threat' 207,
qualitative, 328-342 2lr
quantitative, 248-272 interaction,214
Debrief,206,2I9,222 LakeWobegon,6L
Deception,53,207,219,222,301 (seealsoEthics) mai n,210
Deductive maturation, internal validity threat, 214' 218,
reasoning(seeExplanation, deductive) 223
theory (seeExplanation, deductive) order ofsurveyquestions,182,198
Definition testing,internal validity threat, 214,218
conceptual,1i 1-1 i5, 139 wording of surveyquestions,181,198
operational, lI2-1I5, I39 Elaboration paradigm, 265-267, 273
theoretical111-1 15, 139 Empathy in field research(seeVerstehen)
Descriptive Empirical
question (seeQuestion, descriptive) evidence,7, 22, 25,35' I 15
research(seeResearch,descriptive) generalization,3 l-32, 46
statistics(seeStatistics,descriptive) hypothesis(seeHypothesis,empirical)
Design notation (seeExperimental design, Empty boxes (seeIllustrative method)
notation) Equivalence
Diagrams in qualitative data analysis in comparative r esearch, 322
flowchart, 339-340 conceptual,324-326
other,340 contextual,232-324, 326
Diffirsion of treatment as internal validity threat, lexicon, 322,326 (seealsoBacktranslation)
2t 5, 2t 8, 2 2 2 measurement,325-326
Direct-entry method (seeData, quantitative, Erosionmeasures(seeMeasures,erosion)
entry) Error (seealsoBias;Fallacy)
Direct-observationnotes (seeNotes, field) of reductionism (seeReductionism)
Direction of relationship (seeRelationship, sampling, 148-149, I5l, 164-165
negative,Positive) of segregation ,353, 359
Dissertations,Ph.D., 8, 74-7 5 TypeI, II,270-27I,273
Double-barreledquestion (seeQuestion, double- Ethics,2,13,48-65
barreled) in experimentalresearch,207,221--222
Double-blind experiment (seeExperiment' in field research,301-302
double-blind) in historical-comparativeresearch,325
Double-negative(seeQuestion, double-negative) in nonreactive r esearch,245
in survey resear ch, 196-197
E Ethnography, 276-27 8, 302
Ecological Ethnomethodology, 277-27 8, 302
falTaq (seeFallacy, ecological) Evaluation research(seeResearch,evaluationi
 396 s uB J E c r tN D E x

Evidence,empirical (seeEmpirical, evidence) Explanatoryresearch(seeResearch,

Exchangetheory(seeTheory exchange) explanatory)
Executivesummary 351, 359 Exploratory research(seeResearch,exploratory)
Existin g statistics,2 7--22 Externalconsistenry(seeConsistenryin field
Expectanry,experimenter,2 15 research,external)
Experiment, 20I-223 (seealsoExperimental, External criticism (seeCriticism in historical
research) research,external)
double-blind,2t5-216, 222 External validity (seeY alidity, external)
field,277-218,223
laboratory2I7,223
Experimental
group, 204J05,223 F
mortality, internal validity threat, 214, 2lg, Fallary
zzJ
ecological,97-98, I02, I07
posttest,205-209,223 ethnographic,294, 302
pretest,205-209,223 of misplacedconcreteness,240, 246
research,20, 22, 200-223 ofnonequivalence,99
treatment,205,208,2I2, 2lg, 223 Feminist research(seeResearch,feminist)
Experimental design,207 Field (seealsoField research)
classical,207-209, 222 experiment (seeExperiment, field)
cross-over,56,65 site,280-281,302
equivalenttime series,209- 210, 213,223 Field research , 2112,276-302
factorial, 210, 213, 223 comparative,319-320
interrupted time series,209, 213,223 comparedwith historical-comparative,
Latin square,2I0, 2I3, 223 307-309
not at ion,212,2 I3 ,2 2 2 focusingin,295196
one-group pretest-posttest,209_209,213 interviews (seeInterview, field)
one-shot casestudy, 208109, 213, 223 overinvolvement in, 282, 286, 303
preexperimental, 207-208, 223 presentationof self in, 283
quasi-experiment, 208-209, 223 rapport in,284-285
Solomon four-group, 2I0-2I3, 223 roles in. 285-287
static group comparison, 209109, 213 samplingin,295-296
two-group posttest-only,2 13 small favors in,286
Explanation, 34-35 Findings, suppressionof(see Sponsorsof
alternative,34-36 (seealsoHlpothesis, research,ethical concerns)
alternative) First-order interpretation (seeInterpretation,
causal,35-39,45 first-order)
deductive, 29-30,46 Floater in surveyresearch,180, l9g
idiographic,46 Focusgroups, 300, 303
inductive,30,46 Focusing(seeField research,focusing in)
interpretative, 40-41 Freewriting (seeWriting, processof)
nomothetic,4246 Frequenry
ordinary,35 distribution (seeStatistics,univariate)
pattern (seeElaboration paradigm) polygon (seeStatistics,univariate)
structural, 39-40 Functional theory $ee Theory, functional)
theoretical,35 Funnel sequencein questionnaires,182, l9g
 S U B JE CIN
T DEX 397

G Index
aslocation tool to find articles (seeAbstract, as
Galton's problem, 319-320, 326
location tool for articles)
Gamma (seeAssociationof variables,measures
asmethod of measuremenl,124-128,139
ofl
unweighted, 127
Gatekeeper,in field rcsearch,282
weighted,127
GeneralSocialSurvey(GSS),158,239-240,246 Indicator
"Go native" (seeField research,overinvolvement
multiple, 116-117,139
in)
socra7,237
Grantsmanship, 357, 359 Inductive
Grounded theory (seeTheory grounded) approachto theory (seeExplanation,inductive)
GSS(seeGeneralSocialSurvey) reasoning(seeExplanation, inductive)
Guilty knowl edge(seeKnowledge, guilty) Inference
Guttman Scale(seeScale,Guttman) in content analysis,236
fr om nonreactive data,244
H samples,162-164
separationof,29l
Halo effect (seeEffect,halo) Inferential statistics(seeStatistics,inferential)
Harm to researchsubjects,51-53 Informant in field research.299
Hawthorne effect (seeEffect, Hawthorne) Informed consent,5+-55, 66
Histogram (seeStatistics,univariate) Institutional ReviewBoard (IRB), 54, 59, 66, 358
Historical-comparativeresearch(seeResearch, Interaction effect (seeEffect,interaction)
historical-comparative) Intercoder reliability (seeReliability, intercoder)
Historiography, 312 Interlibrary loan service,73
History effect (seeEffect, history internal validity Internal
threat) consistency(seeConsistencyin field research,
HRAF (seeHuman Area RelationsFiles) internal)
Human Area RelationsFiles (HRAF),320,326 criticism (seeCriticism in historical research,
Hyper1.ert,342 internal)
Hlpothesis, 29,L07 validity (seeValidity, internal)
alternative,95,107 Internet (seealsoSurvey,web)
causal,92-93 usein literature search,80, 82-84
conceptual,113-115, 139 Interpretation
empirical,113-115, 139 first-order, 90, 107
null,93-95,107 second-order,90,L07
of secondarysources,historical-comparatite
research.314-315
I third-order, 90,107
Ideal type, 27-28, 46, 336-337 in trivariate data analysis (seeElaboration
analogiesin,337 paradigm)
contrast contexts,337 Interpretative socialscience(ISS),43-14
Idiographic explanation (seeExplanation, Interval-levelmeasures(seeMeasurement,ler"el<
ideographic) o0
Illustrative method, 338, 342 Interview
Independencein statisticalrelationship (see comparison of survey and ordinan-
Relationship,independence) conversation.190-191
 398 s uB J Ec r T N D EX

Interview (continued)
in cross-nationalsurveyresearch,32l
face-to-facesurvey,I 8g-1 90
field,296-299
postexperimental,2Ig
scheduleof, 168,198
stagesof, 192
survey, 190-194
telephone,188-189
training for,192-193
IRB (seeInstitutional ReviewBoard)
T Maturation effect(seeEffect,maturation, internal
/ournals
personal (seeNotes, field, personaljournal)
scholarlyarticles,9, 7 I-7 4, 76-7 9
K
Knowledge
explicit,277
guilty,301-302
questionsin surveys,176-177
tacit,277
L
Lake Wobegon effect (seeEffect,Lake Wobegon)
Lambda (Associationof variables,measuresof)
Latent coding (seeCoding, in content analysis,
latent)
Latin squaredesign(seeExperimental design,
Latin square)
Layout (seeQuestionnaire,layout of)
Level
of analysis(seeAnalysis,level of)
ot measurement(seeMeasurement,levelsofl
of significance(seeStatistical,significance)
Lexicon equivalent(seeEquivalence,lexicon)
Likert Scale(seeScale,Likert)
Literature (seealsoJournals,scholarlvarticles)
reviews,69-7 1, 79-80, 82, 107
Logic
of disconfirming hypothesis,g3-94 (seealso
Hypothesis,null)
of historical-comparativeresearch,306_3l0
M
Macro-level theory $ee Theory, macro-level)
Manifest coding (seeCoding in content analysis,
manifest)
Maps (seealsoDiagramsin qualitative data
analysis)
social,292193 (seealsoSociograms)
spatial,292-293
temporal, 292-293
Marginals (seeTable,parts of cross-tabulation
table)
Matching vs. random assignment,203-:204
validity threat)
Mean,25I-253, 273
Measurement,108-129
equivalence(seeEquivalence,measurement)
levelsof, 722-124, 139,264
validity (seeY alidity, measurement)
Measures
accretion,225-226. 246
of association(seeAssociationof variables,
measuresofl
of central tendency (seeMean;Median;Mode)
erosion,225-226,246
unobtrusive (seeResearch,nonreactive)
of variation (seeStandarddeviation)
Media m1ths, 4-7
Median, 251-253,273
Member
in field research,267
validation (seeYalidity,in field research)
Micro-level theory $ee Theory,microlevel)
Milgram Obediencestudy, 51, 53
Missing data
in existingstatisticsresearch,249
in index construction, 127
Mode,25I-253, 273
Mortality, experimental (seeExperimental
mortality, internal validity threat)
Multiple
indicators (seeIndicator, multiple)
regression(seeRegression,multiple)
sorting procedure, 339-340
Mutual exclusiveness(seeVariables,mutually
exclusive)
 Outlining (seeWriting, Processo0
N
Overgeneralization, 6, 22
Narrative
history,315
P
mode of qualitative data analysis335-336'342'
355 Panelstudy, I7-I9,22
National Opinion ResearchCenter (NORC)' 8' Paradigm,4142,46
239-240 Parameterof population , L47, l5l, 165
National ResearchAct, 59 Paraphrase,348,359
Natural history, 295, 335, 354 Partials,tablesin trivariate analysis'265-267,
Naturalism, 278,303 273
Negativerelationship (seeRelationship,negative) Participant observationin field teseatch,287
Notinal-level measures(seeMeasurement'levels Pearsonproduct moment correlation coefficient,
of) 37.264
Nonresponsein surveyresearch,186 Peerreview (seeBlind peer review)
NORC (seeNational Opinion ResearchCenter) Percentagedtable (seeCross-tabulation)
Normal distribution, 253 (seeako Skewed Percentile,254
distribution) Ph.D. (seeDissertations, Ph'D')
Normalize, in field research,286,303 Pie chart (see univariate)
Statistics'
Norming (seeStandardization) Pilot
Notes study,117
analytic notes/memos,291-292, 302,332-334 test,179,219
fie\d.289-294 Placebo,216-223
direct observati on, 289-292, 303 Plagiarism, 49, 66, 348,359
inference'291 Population, 146,165
jotted,289-290, 303 hidden,160-161,165
personaljournal, 29I-292 parameter (seeParameterof population)
personal,289-294 special,55-56,66
Nuremburg Code, 59-60 target,146,165
Positivism,42-43
Posttest(seeExperimental,posttest)
o PPS(seeSampling,probability proportionate to
size)
Objective,64-65
Prais,44,46
Observation
Precisionin statisticalrelationship,
in field research,287
258-259
selective,6,22
Precoding (seeCoding in quantitative
structured, 228,246
research,Precoding)
One-shot casestudy (seeExperimental design'
Prediction, 34-35,46
one-shot casestudY)
Preexperimentaldesigns(seeExperimental
Open coding (seeCoding, in qualitative research'
design,PreexPerimental)
open)
Premature closure, 6, 22
Ouerationalization'I 12-115' 139
Pretest,improving measures'll7 (seeako
Optical scansheets(seeData, quantitative'
ExPerimental,Pretest)
entry)
Principal investigator (PI)' 358-359
Oral history, 314,326
Principle ofvoluntary consent,53' 59,66
Ordinal-level measures(seeMeasurement'levels
Privacy,57
o0
400 s uB JEc r rN D E X

Probability,24 Range
proportionate to size(seeSampling,probability in statistics,253,273
proportionate to size) in theory (seeTheory, range)
theory (seeTheory, probability) Rates(seeStandardization)
Probes,179,192-193,1,98 Ratio-levelmeasures(seeMeasurement,
Proofreading (seeWriting, processof) levelsof)
Proposition (seeTheory,proposition in) RDD (seeRandom Digit Dialing)
Pseudosurvey(seeSurvey,pseudo) Reactive(seeReactivity)
Publicopinion (seeResearch, survey) Reactivity,54,2L7,223
Purposivesampling (seeSampling,purposive) Recall,aiding respondent, 173-174
Recollections, 3I4, 326
Recordingsheet
a
in contentanalysis,223-225,246
Qualitative data(seeData, qualitative) in quantitative data analysis,248--250
Quantitative data (seeData, quantitative) Reductionism,gS-99, I02, 107
Question Refusals,in surveyresearch(seeNonresponse,in
closed-ended,177-178,198 surveyresearch)
contingency,17l-172,198 Regression
contrast, 298,302 multiple, 266-267
descriptive,298,302 statistical(threat to internal validity),2ls
double-barreled,171,198 Relationship
double-negative,I73 bivariate,257-263
full-filter, 179, I98 causal,35-39
leading,lT2 curvilinear,258,262
loaded,lT2 direction,258
matrix, 185-186,198 form ol 258
open-ended,177-179,198 independence,257-258,273
order(seeEffect,orderofsurveyquestions) linear,37,258-259,262,273
partially open, 179, 198 negative,39, 46, 258
quasi-filter,180,198 nonlinear,258
research(seeResearch, question) positive,39,46,258
slop,77I-1.72, 198 precision in (seePrecisionin statistical
standardformat,180*181,i98 relationship)
structural, 298*299, 303 recursive,37
threatening, 175-L78, 198 theory,in,29
Questionnaire,169 Reliability, II5-117, LI9-120, 139
layout of, 181-185 in existingstatisticsresearch,243-244
length of, 18 1-182 in field research,294-295
mail, 186-188 intercoder,230
relation to validity, 120-I2l
Replication (seealsoElaboration paradigm)
R
of other'smeasures.117
Random ofresearchfindings,42,46
assignment,202-204,223 Requestfor Proposals(RFP),356,359
number table,148,153,165 Research
sampling,148*149,161,165 academic,IL-I3,2L
RandomDigit Dialing (RDD), 158-159,165 action,13,22
 suB JE C rTN D E X 4{tl

Research(continued) convenience,142-143, 165

applied,Ll-13,22 deviantcase,145,165
bas ic 11-
, 13, 2 1 distribution, 149-151,165
casestudy,l8-19,20, 22,306 element, L46, L65
covert, 54 error (seeError, sampling)
cross-section al, 17-18, 22 extremecase,145,165
descriptive,L5-L6,22 field research(seeField Research,sampling in)
evaluation, 12-13,22 frame,I46-L47, L5l-I52,155, 165
existingstatistics(seeExisting statistics) haphazard, | 42- | 43, | 65
experimental (seeExperimental,research) interval,l5l-154, 16l, 165
explanatory L5-16,22 judgmental,I42-I43, 165
exploratory 15-16,22 nonprobability, | 41, 765
feminist, 14,336 nonrandom,I4l, 765
field (seeField research) probability (seeRandom, sampling)
fraud in (seeScientific,fraud) probability proportionate to size (ppS),
historical-comparative,2I--22, 305-326 157-158,165
longitudinal, 17-I8, 22 purposive,I42-I43, 165
nonreactive,225-246 quota,742, 165
path ratio, 146,151,165
linear,85,107 sequential,I45,165
nonlinear,85,107 simple random (seeRandom, sampling)
problem,86-88, 101-103 size,I6L-I62
proposal, 355-359 snowball, 144-145,165
quantitative and qualitative comparcd, 7, 20, stratified, 152-154,161, 165
86-88 systematic, 151-154,161,165
question,86-88, 101-103 Scale,124-125, I28-I39
report, 344 (seeako Writing, organization of) BogardusSocialDistan ce,132-135, 139
secondaryanalysis(seeAnalysis,secondary) Guttman,135-139
social,2,22 Likert, 129-132,139
survey,20,22, 167-798 semanticdifferential,135-136,139
time series,L7-I8,22 Scalogramanalysis(seeAnalysis,scalogram)
Respondents,167 Scattergram,257-258, 273
Response, 130-131,181,198 Scholarlyjournals (see|ournals, scholarh
in surveyresearch,186 articles)
Revising(seeWriting, processof) Science,7
Rewriting (seeWriting, processofl Scientific
RFP (seeRequestfor Proposals) community, 7-9,22
Rho (seeAssociationof variables,measureso0 fraud,49,66
Running records,226,314,326(seea/soExisting method, S-9,22
statistics) misconduct, 4849,66
Secondary
account (seeInterpretation, second-orderI
S
analysis(seeAnalysis,secondary)
Sampling Selective
accidental,142-143,165 coding (seeCoding in qualitative researcb"
cluster,154-158,161,165 selective)
content analysis,233 observation(seeObservation,selecth-e
 4O 2 s uBJ Ec r T N D E X

Semanticdifferential (seeScale,semantic
suppression,196
differential)
web, 187-189
Separationof inference(seeInference,
separation Symbolic interactionism (seeTheory,symbolic
ofl
interactionism)
Skeweddistribution, 253_254,273
Systematicsample (seeSampling,systematic)
Social
impact assessment,14_15.22
indicator (seeIndicator,social) T
Sociograms,144,165
Table
Solomon four-group design (seeExperimental
in bivariate statistics(seeCross_tabulation)
design)
partsof cross-tabulationtable,260,273
Sourcesin historical research
trivariate,265-267
primary, 312-317, 326
Tau (seeAssociationof variables,measures
secondary314_316,326 ofl
Tearoom Trade study, 52_53,57
Specialpopulations (seepopulation,
special) Telephoneinterviewing (seeInterview, telephone)
Specificationpattern (seeElaborationparadigm)
Temporal order (seeCausal,temporal order)
Sponsorsof research,ethical.on...nr,
6 l_63" Text in content analysis,227, 246
Spuriousness , 37,99_102,I07, 263,322 Theoreticalframeworks,32_33
Standarddeviation,254_256,273
Theory
Standardization, !27 -129, I39
assumptionsof,2g,45
Standardizedscore(seeZ_score)
causal(seeExplanation, causal)
Statistic(contrastedwith parameter),
147,165 conflict,33
Statistical
exchange,33
regression(seey alidity, internal)
functional, 32-33, 40,46
significance,269-270,273
grounded, 3I, 46, gg, 309
validity (seey alidity,statistical)
, level of 33
StatisticalAbstractof the (Jnited States, _23g,
237 macro-level,34, 46
246
meso-level,34,46
Statistics
micro-level, 33, 46
bivariate,257J65, 269,273
middle-range,3l-32
descriptive,25lJ6g, 273
network,3g
inferential, 162, 765, 16g17 I
probabiliry 148_149
univariate,251157, 269,273
proposition in,29,46
Stepsin research,9-10
range,31
Structural
rational choice,33
explanation (seeExplanation, structural)
sequential,39
fu nctionalism (seeTheory,structural
social,7,24
functional)
structural functional, 32_33,40,46
question (seeeuestion, structural)
substantive,3l-32
Stylein writing, 345
symbolic interactionism, 33
Successive approximation, 337_33g,342
Threateningquestion (seeeuestion, threatening)
Suppressionof researchfindings,62_63
Time series
Survey
equivalentdesign(seeExperimental design)
cross-national,321
interrupted design (seeExperimental d.rrg"l
pseudo,196
research(seeResearch,time series)
research(seeResearch,survey)
Tone in writing, 345,353
 S U B JE CIN
T DEX 4O3

Tradition, asalternativeto science,4 dependent,I07,205

Treatment in experiments(seeExperimental discrete,122-123, I39
design) exhaustiveattributes, 125,139, 173, 314
Trivariatetables(seeTable,trivariate) independent, gI-92, 107(seealsoExperimental
Tlpe I, II error (seeError, Type I' II) design)
intervening, 92, I07
mutually exclusive,125, 139, 173, 314
suppressor(seeElaboration paradigm)
U Variance (seeStandarddeviation)
Unbiased,203 Variation, concomitant (seeAssociationof
Understanding (seeVerstehen) variables)
Unidimensio nality, L25,739 Verstehen(empatheticunderstanding) 44, 46,
Unit of analysis(seeAnalysis' units o0 285
Universal Declaration of Human Rights' 60 Voice, in writing, 350
Universe,87,107,146
Unobtrusive measures(seeResearch,nonreactive)
Unweighted index (seeIndex, asmethod of w
measurement,unweighted)
Web survey (seeSurvey, web)
Weighted index (seeIndex, as method of
measurement,weighted)
V Whistle-blower, 61,66 .
Validity, ll5-12r,139 Wording effects(seeEffect,wording of survey
concurrent,l18,139 questions)
content,118,139 Writer's block, 349
criterion, 118' 139 Writing, organization of, 345-354
external, l2L, 139,216-2L8 in field researchreports, 302, 352-355
face,118-120,139 in historical-comparativeresearch,354-355
in field research metaphor,350
competent insider' 295 outlines, 345-346
ecological,295,302 in quantitative researchreports, 35L-352
member valid ation, 295, 303 Writing, processof
natural history 295 composing, 348-349
internal, l2l, 139,212-216, 2I9 editing,349,359
measurement,115,i 18' 139,t64 freewriting,349
predictive,i 18-l 19, 139 prewriting, 348,359
relation of reliability to, lL9-120 revising, 349,359
statistical,12l rewriting, 349-351, 359
typesof, 121
Value freedom,42,64
Variables,107 Z
attributesof,91, 107
continuous, 122-123,139 Zimbardo Prison Experiment, 51, 53
control, 37, 263-268,273 Zoom lens, 302,352-355
defined,91 Z-scorc,255-256,273