E Book Educational Research L R Gay Pearson 2012

EDUCATIONAL
RESEARCH

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EDUCATIONAL
RESEARCH

Competencies for Analysis and Applications

TENTH EDITION

L. R. Gay

Late of Florida International University

Geoffrey E. Mills

Southern Oregon University

Peter Airasian

Boston College

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Library of Congress Cataloging-in-Publication Data
Gay, L. R.

Educational research : competencies for analysis
and applications/L.R. Gay, Geoffrey E. Mills; Peter Airasian.—10th ed.

p. cm.
ISBN-13: 978-0-13-261317-0
ISBN-10: 0-13-261317-4
1. Education—Research. I. Mills, Geoffrey E. II. Airasian, Peter W. III. Title.
LB1028.G37 2012
370.72—dc22

2011013065
10 9 8 7 6 5 4 3 2 1

ISBN 10: 0-13-261317-4
ISBN 13: 978-0-13-261317-0

Preface

NEW TO THIS EDITION for identifying a research problem and
understanding the relationships between
Like the ninth edition, the tenth edition reflects a problem identification, hypothesis writing,
combination of both unsolicited and solicited in- and the development of research questions.
put. Positive feedback suggested aspects of the text ■ Chapter 3 has undergone significant revision
that should not be changed—the writing style and because of the way technology has affected
the focus on ethical practice, for example. Those the literature review process. Changes include
aspects remain. However, we wanted to provide a Digital Research Tools feature on Google
something unique for the readers of the tenth edi- Book and Google Scholar, a new section on
tion, so we created the new Digital Research the evaluation of Internet sources, and step-
Tools for the 21st Century feature. This recur- by-step directions for an ERIC EBSCO search
ring feature introduces novel tools and methods that maximizes the power of university library
researchers can use to make the process of doing consortium agreements to identify fully online
research easier or more efficient, such as using journal articles.
speech recognition programs to save time transcrib- ■ The chapters on Descriptive and Inferential
ing interviews (Chapter 15), using flip cameras and Statistics (12 and 13) have been updated to
Skype to collect qualitative data (Chapter 14), and reflect new versions of SPSS and Excel.
using management programs to organize citations
(Chapter 21). In addition, we have included sum- In addition, we have added new tables and
mary tables at the beginning of all the methods figures throughout the text. Every chapter has been
chapters that outline all of the important character- edited and updated. References have been updated.
istics of the method, such as steps in the process
and potential challenges associated with it. In ad- PHILOSOPHY AND PURPOSE
dition, users requested an update of some of the
journal articles contained in the text so you will see This text is designed primarily for use in the
new articles used in Chapters 1 and 22. introductory course in educational research that is
a basic requirement for many graduate programs.
Content changes reflect the inclusion of new Because the topic coverage of the text is relatively
topics and the expansion or clarification of exist- comprehensive, it may be easily adapted for use
ing topics. There are many improvements in this in either a senior-level undergraduate course or a
edition, and we describe the more significant high- more advanced graduate-level course.
lights here:
The philosophy that guided the development
■ A new section has been added to Chapter 1 of the current and previous editions of this text was
called “The Continuum of Research Philosophies” the conviction that an introductory research course
that addresses the context, history, and should be more oriented toward skill and applica-
philosophy behind research and how it connects tion than toward theory. Thus, the purpose of this
to current research practices. text is for students to become familiar with research
mainly at a “how-to” skill and application level.
■ In Chapter 1, the discussion of ethical The authors do not mystify students with theoreti-
guidelines for qualitative researchers has been cal and statistical jargon. They strive to provide a
updated and expanded to help qualitative down-to-earth approach that helps students acquire
researchers prepare for potential ethical the skills and knowledge required of a competent
dilemmas encountered in conducting intimate, consumer and producer of educational research.
field-based research. The emphasis is not just on what the student knows
but also on what the student can do with what
■ Chapter 2 includes a new section and figure he or she knows. It is recognized that being a
on conceptualizing research questions that
provides researchers with improved guidelines v

vi PREFACE

“good” researcher involves more than the acquisi- skills needed to conduct a comprehensive review
tion of skills and knowledge; in any field, important of related literature, allows the student to see the
research is usually produced by those who through similarities and differences in research approaches
experience have acquired insights, intuitions, and and to understand more fully how the nature of
strategies related to the research process. Research the research question influences the selection of a
of any worth, however, is rarely conducted in the research method. Part II includes description and
absence of basic research skills and knowledge. discussion of different quantitative research meth-
A fundamental assumption of this text is that the ods and the data collection and analysis needs of
competencies required of a competent consumer of each. Part III includes two chapters devoted to the
research overlap considerably with those required statistical approaches and the analysis and interpre-
of a competent producer of research. A person is tation of quantitative data. Part IV includes quali-
in a much better position to evaluate the work of tative research methods, differentiating between
others after she or he has performed the major approaches and describing the collection, analysis,
tasks involved in the research process. and interpretation of qualitative data. Part V is dedi-
cated to the discussion, application, and analysis of
ORGANIZATION AND STRATEGY mixed methods research designs. Part VI focuses
on the design and implementation of action re-
The overall strategy of the text is to promote search and presents the dialectic action research
students’ attainment of a degree of expertise in spiral as a model for conducting such research.
research through the acquisition of knowledge and Part VII focuses on helping the student prepare
by involvement in the research process. a research report, either for the completion of a
degree requirement or for publication in a refereed
Organization journal. Finally, in Part VIII, the student applies the
skills and knowledge acquired in Parts I through
In the tenth edition, Part I includes discussion of VII and critiques a research report.
the scientific and disciplined inquiry approach and
its application in education. The main steps in the Strategy
research process and the purpose and methods of
the various approaches to research are discussed. This text represents more than just a textbook
In Part I, each student selects and delineates a re- to be incorporated into a course; it is a total in-
search problem of interest that has relevance to his structional system that includes stated learning
or her professional area. Throughout the rest of the outcomes, instruction, and procedures for evalu-
text, the student then simulates the procedures that ating each outcome. The instructional strategy of
would be followed in conducting a study designed the system emphasizes the demonstration of skills
to investigate the problem; each chapter develops and individualization within this structure. Each
a specific skill or set of skills required for the ex- chapter begins with a list of learning outcomes
ecution of such a research study. Specifically, the that describes the knowledge and skills that the
student learns about the application of the scientific student should gain from the chapter. In many
method in education and the ethical considerations instances, learning outcomes may be assessed ei-
that affect the conduct of any educational research ther as written exercises submitted by students or
(Chapter 1), identifies a research topic and formu- by tests, whichever the instructor prefers. In most
lates hypotheses (Chapter 2), conducts a review chapters, a task to be performed is described next.
of the related literature (Chapter 3), develops a Tasks require students to demonstrate that they
research plan (Chapter 4), selects and defines sam- can perform particular research functions. Because
ples (Chapter 5), and evaluates and selects mea- each student works with a different research prob-
suring instruments (Chapter 6). Throughout these lem, each student demonstrates the competency
chapters are parallel discussions of quantitative and required by a task as it applies to his or her own
qualitative research constructs. This organization, problem. With the exception of Chapter 1, an indi-
with increased emphasis on ethical considerations vidual chapter is directed toward the attainment of
in the conduct of educational research and the only one task (occasionally, students have a choice
between a quantitative and qualitative task).

PREFACE vii

Text discussion is intended to be as simple in class and save instructors preparation and
and straightforward as possible. Whenever feasible, grading time, these assignable exercises give
procedures are presented as a series of steps, and students opportunities to apply class content to
concepts are explained in terms of illustrative ex- research scenarios. (Correct answers for these
amples. In a number of cases, relatively complex assignments are available to the instructor only.)
topics or topics beyond the scope of the text are Building Skills for Reading Research These exercises
presented at a very elementary level, and students help students develop skills that are essential for
are directed to other sources for additional, in-depth understanding and carrying out research.
discussion. There is also a degree of intentional Study Plan A MyEducationLab Study Plan consists
repetition; a number of concepts are discussed in of multiple-choice assessments tied to learning
different contexts and from different perspectives. outcomes, supported by study material. A well-
Also, at the risk of eliciting more than a few groans, designed Study Plan offers multiple opportunities
an attempt has been made to sprinkle the text with to fully master required course content as
touches of humor—a hallmark of this text spanning identified by learning outcomes:
three decades—and perhaps best captured by the • Learning Outcomes for each topic give students
pictures and quotes that open each chapter. Each
chapter includes a detailed, often lengthy summary targets to shoot for as they read and study.
with headings and subheadings directly parallel to • Multiple Choice Assessments assess mastery of
those in the chapter. The summaries are designed to
facilitate both the review and location of related text the content. These assessments are mapped
discussion. Finally, each chapter (or part) concludes to learning outcomes, and students can take
with suggested criteria for evaluating the associated the multiple-choice posttests as many times
task and with an example of the task produced by as they want. Not only do these assessments
a former introductory educational research student. provide overall scores for each outcome, but
Full-length articles, reprinted from the educational they also explain why responses to particular
research literature, appear at the ends of all chapters items are correct or incorrect.
presenting research methods and serve as illustra- • Study Material: Review, Practice, and
tions of “real-life” research using that methodology. Enrichment give students a deeper
understanding of what they do and do not
SUPPLEMENTARY MATERIALS know related to topic content. This material
includes activities that include hints and
A number of supplementary materials are available feedback.
to complement the text:
Visit www.myeducationlab.com for a demonstra-
MyEducationLab tion of this exciting new online teaching resource.

Prepare with the Power of Practice The following resources are available for in-
structors to download at www.pearsonhighered
MyEducationLab is an online learning tool that pro- .com/educators:
vides contextualized interactive exercises and other
resources designed to help develop the knowledge Online Instructor’s Manual
and skills researchers need. All of the activities and with Test Bank and MyTest
exercises in MyEducationLab are built around essen-
tial learning outcomes. The website provides opportu- The Instructor’s Manual with Test Bank contains
nities to both study course content and to practice the suggested activities, strategies for teaching each
skills needed to understand and carry out research. chapter, selected resources, and test items. Sug-
gestions are based on personal experience with
For each topic covered in the course, students teaching the course and conducting research. In
will find most or all of the following features and addition, the more than 700 test items represent a
resources: variety of levels of multiple-choice items. New test
Assignments and Activities Designed to enhance items have been added to reflect text additions. Of-
fered along with the Instructor’s Manual with Test
student understanding of concepts covered Bank is the Pearson MyTest, a powerful assessment

viii PREFACE

generation program that helps instructors easily A few words of thanks are in order here. For the
create and print quizzes and exams. Questions and past 15 years I have been fortunate to work with
tests are authored online, allowing flexibility and Kevin Davis, Vice President and Publisher at Pear-
the ability to efficiently create and print assessments son. Kevin gave me my textbook start in 1997 when
anytime, anywhere. Instructors can access Pearson he offered me a contract to write Action Research:
MyTest and their test bank files by going to www. A  Guide for the Teacher Researcher (now in its
pearsonmytest.com to log in, register, or request fourth edition). Kevin has taught me a great deal
access. MyTest also enables instructors to easily about writing, and I will always be indebted to him
convert the test bank into BlackBoard and WebCT for trusting me with stewardship of this wonderful
formats. text. I am particularly thankful to Kevin for step-
ping in to take over the production of the text late
Online PowerPoint Slides in the process, and as usual, will benefit from his
selection of a cover for the text!
PowerPoint® slides include key concept summaries
and other graphic aids to help students understand, Also at Pearson, Christina Robb ably shepherded
organize, and remember core concepts and ideas. the manuscript through development and produc-
tion, kept me from falling behind, pushed me to
Computer Simulation Software think critically about Digital Research Tools for the
21st Century, and helped me see the light at the end of
Simulations in Educational Psychology and Research, the tunnel. An author does not take on the task of a
version 2.1 (0-13-113717-4), features five psycholog- major revision of a text of this magnitude without the
ical/educational interactive experiments on a CD- commitment and support of excellent editors. Kevin
ROM. Exercises and readings help students explore and Christie were instrumental in the development of
the research concepts and procedures connected to this edition and I sincerely thank them for their pro-
these experiments. Qualitative and quantitative de- fessionalism, patience, caring, and sense of humor.
signs are included. Instructors should contact their
local Pearson sales representatives to order a copy I believe that I have made a positive contribu-
of these simulations. tion to this text, now my third edition, and added
to the wisdom of earlier editions by L. R. Gay and
ACKNOWLEDGMENTS Peter Airasian. Long-time users of the text will still
“hear” Lorrie Gay’s voice throughout the text, but
I sincerely thank everyone who provided input increasingly there is an Aussie accent and sense of
for the development of this edition. The following humor creeping its way into the pages!
individuals made thoughtful and detailed sugges-
tions and comments for improving the tenth edition: I wish to thank my friend and colleague
Anne E. Cook, University of Utah; Steven Harris, Dr.  Ken Kempner (Southern Oregon University)
Tarleton State University; Beverly M. Klecker, More- for his thoughtful work on revising the descriptive
head State University; Larry R. Price, Texas State and inferential statistics chapters and feedback on
University; Graham B. Stead, Cleveland State Univer- other quantitative chapters in the text.
sity. These reviewers contributed greatly to the tenth
edition and their efforts are very much appreciated. Finally, I want to thank my best friend and wife,
Dr. Donna Mills, and my son, Jonathan, for their
This edition benefited from the efforts of two love, support, and patience. Their commitment to
editors: Kevin Davis and Paul Smith. Paul Smith my work is always appreciated and never taken for
(Vice President/Editor-in-Chief, Pearson Teacher granted. The completion of this edition signals a new
Education) took over the editor’s role from Kevin, era in my life as my son Jonathan starts his college
and then relinquished the role when he changed career and Donna and I consider an “empty nest.” I
jobs late in the development process. Fortunately suggested to Jonathan that one day he may want to
for me, Kevin was waiting in the wings to finish the take over my books. It is safe to say that he was less
development and production of the tenth edition. than excited by the prospect—perhaps I should try
again once he completes his undergraduate degree!

Geoff Mills
Southern Oregon University

Brief Contents

Part I INTRODUCTION Part IV QUALITATIVE METHODS

CHAPTER 1 INTRODUCTION 3 CHAPTER 14 QUALITATIVE DATA 381
TO EDUCATIONAL RESEARCH COLLECTION 399
61 421
CHAPTER 2 SELECTING AND DEFINING 79 CHAPTER 15 NARRATIVE RESEARCH 443
A RESEARCH TOPIC
111 CHAPTER 16 ETHNOGRAPHIC RESEARCH 465
CHAPTER 3 REVIEWING THE LITERATURE 129
CHAPTER 17 CASE STUDY RESEARCH
CHAPTER 4 PREPARING AND 149
EVALUATING A RESEARCH PLAN CHAPTER 18 QUALITATIVE RESEARCH:
DATA ANALYSIS AND INTERPRETATION
CHAPTER 5 SELECTING A SAMPLE
Part V MIXED METHODS
CHAPTER 6 SELECTING MEASURING
INSTRUMENTS CHAPTER 19 MIXED METHODS RESEARCH:

Part II QUANTITATIVE METHODS INTEGRATING QUALITATIVE AND

CHAPTER 7 SURVEY RESEARCH QUANTITATIVE METHODS 481
CHAPTER 8 CORRELATIONAL RESEARCH
CHAPTER 9 CAUSAL–COMPARATIVE 183 Part VI ACTION RESEARCH 507
RESEARCH 203 CHAPTER 20 ACTION RESEARCH
CHAPTER 10 EXPERIMENTAL RESEARCH
CHAPTER 11 SINGLE-SUBJECT 227 Part VII REPORTING RESEARCH 531
EXPERIMENTAL RESEARCH 249
CHAPTER 21 PREPARING A RESEARCH
293 REPORT

Part III QUANTITATIVE DATA ANALYSIS 319 Part VIII CRITIQUING RESEARCH 555
341
CHAPTER 12 DESCRIPTIVE STATISTICS CHAPTER 22 EVALUATING A RESEARCH
CHAPTER 13 INFERENTIAL STATISTICS REPORT

ix

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Contents

PART I INTRODUCTION Sources of Research Topics 62
Narrowing the Topic 65
CHAPTER 1 INTRODUCTION 3 Characteristics of Good Topics 65
TO EDUCATIONAL RESEARCH Stating the Research Topic 66
3 Developing Research Questions 67
Tasks 1A, 1B 3 Formulating and Stating a Hypothesis 69
Task 1C 3 Definition and Purpose of Hypotheses
Welcome! 4 in Quantitative Studies 70
The Scientific Method 5 Types of Hypotheses 71
5 Stating the Hypothesis 72
Limitations of the Scientific Method 6 Testing the Hypothesis 73
Application of the Scientific Method in Education 6 Definition and Purpose of Hypotheses
Different Approaches to Educational Research 7 in Qualitative Studies 73
The Continuum of Research Philosophies 7 Summary 75
Quantitative Research 9
Qualitative Research 9 CHAPTER 3 REVIEWING THE LITERATURE 79
Classification of Research by Method 12
Quantitative Approaches 15 Task 2A 79
Qualitative Approaches 16 Task 2B 79
The Qualitative Research Process 16 Review of Related Literature: Purpose
Characteristics of Qualitative Research 16 and Scope 79
Classification of Research by Purpose 17 Qualitative Research and the Review
Basic and Applied Research 17 of Related Literature 81
Evaluation Research 18 Identifying Keywords, and Identifying, Evaluating,
Research and Development (R&D) 18 and Annotating Sources 82
Action Research 19 82
Guidelines for Classification 21 Identifying Keywords 82
The Ethics of Educational Research 22 Identifying Your Sources 93
Informed Consent and Protection from Harm 22 Evaluating Your Sources 96
Deception 23 Annotating Your Sources 99
Ethical Issues in Qualitative Research 25 Analyzing, Organizing, and Reporting the Literature 100
Ethical Guideposts 28 Meta-Analysis 102
Gaining Entry to the Research Site 32 Summary 105
Summary 32 Performance Criteria Task 2 (A and B) 106
Performance Criteria Task 1 32 Task 2 Example
Tasks 1A and 1B 33
Task 1C 51 CHAPTER 4 PREPARING AND EVALUATING
Task 1A Quantitative Example
Task 1B Qualitative Example A RESEARCH PLAN 111

CHAPTER 2 SELECTING AND DEFINING 61 Task 3A 111
A RESEARCH TOPIC Task 3B 111
61 Definition and Purpose of a Research Plan 111
The Research Topic 62 Components of the Quantitative Research Plan 112
Identifying a Research Topic 113
Introduction Section 113
Method Section 115
Data Analysis
xi

xii CONTENTS 115 Test Selection, Construction, and Administration 169
116 Selecting a Test 169
Time Schedule 116 Sources of Test Information 170
Budget 116 Selecting from Alternatives 172
Components of the Qualitative Research Plan 116 Constructing Tests 173
Prior Fieldwork 117 Test Administration 174
Title 118 Summary 176
Introduction Section 121 Performance Criteria Task 5 179
Research Procedures Section 121 Task 5 Example 180
Appendixes 122
Revising and Improving the Research Plan 124
Summary 125 PART II QUANTITATIVE METHODS
Performance Criteria Task 3
Task 3 Example 129 CHAPTER 7 SURVEY RESEARCH 183

CHAPTER 5 SELECTING A SAMPLE 129 Task 6A 184
129 Survey Research: Definition and Purpose 184
Task 4A 130 Survey Research Design 184
Task 4B 130 Cross-Sectional Surveys 184
Sampling in Quantitative Research 131 Longitudinal Surveys 185
138 Conducting Survey Research 185
Defining a Population 139 Conducting a Questionnaire Study 186
Selecting a Random Sample 140 Administering the Questionnaire 190
Determining Sample Size 142 Summary 196
Avoiding Sampling Error and Bias
Selecting a Nonrandom Sample Task 7A Quantitative Example 198
Sampling in Qualitative Research 142
Selecting Research Participants: Purposive
Sampling Approaches 142 CHAPTER 8 CORRELATIONAL RESEARCH 203
Determining Sample Size 144
Summary
Performance Criteria Task 4 146 Task 6B 203
Task 4A Example
147 Correlational Research: Definition and Purpose 204
CHAPTER 6 SELECTING MEASURING
INSTRUMENTS The Correlational Research Process 205

Task 5 Problem Selection 205
Vignette
149 Participant and Instrument Selection 205
Constructs
Variables 149 Design and Procedure 205
150 Data Analysis and Interpretation 206
Measurement Scales and Variables 150 Relationship Studies 209
Quantitative and Qualitative Variables 150 Data Collection 209
Dependent and Independent Variables 151 Data Analysis and Interpretation 210
Characteristics of Measuring Instruments 152 Prediction Studies 212
Instrument Terminology 152 Data Collection 213
Quantitative and Qualitative Data 153 Data Analysis and Interpretation 213
Collection Methods 154 Other Correlation-Based Analyses 214
Interpreting Instrument Data
Types of Measuring Instruments Problems to Consider in Interpreting 215
Cognitive Tests 154 Correlation Coefficients 216
Affective Tests 154 Summary 219
Projective Tests 155 Task 8A Quantitative Example
Criteria for Good Measuring Instruments
Validity of Measuring Instruments 155 227
Reliability of Measuring Instruments
156 CHAPTER 9 CAUSAL–COMPARATIVE
159 RESEARCH

160 Task 6C 227
160 Causal–Comparative Research: Definition 228
164 and Purpose

The Causal–Comparative Research Process 231 CONTENTS xiii
Design and Procedure 231
Control Procedures 232 The Mean 323
Data Analysis and Interpretation 233 The Median 323
235 The Mode 324
Summary Deciding Among Mean, Median, and Mode 324
Measures of Variability 325
CHAPTER 10 EXPERIMENTAL RESEARCH 249 The Range 325
The Quartile Deviation 325
Task 6D 249 Variance 325
Experimental Research: Definition and Purpose 250 The Standard Deviation 326
251 The Normal Curve 326
The Experimental Process 252 Measures of Relative Position 329
Manipulation and Control 253 Measures of Relationship 332
Threats to Experimental Validity 254 Graphing Data 334
Threats to Internal Validity 257 Postscript 335
Threats to External Validity 262 Summary 336
Group Experimental Designs 262
Control of Extraneous Variables 264 CHAPTER 13 INFERENTIAL STATISTICS 341
Types of Group Designs 264
Single-Variable Designs 272 Task 7 341
Factorial Designs 275 Concepts Underlying Inferential Statistics 341
Summary 342
Standard Error 344
CHAPTER 11 SINGLE-SUBJECT 293 Hypothesis Testing 344
EXPERIMENTAL RESEARCH Tests of Significance 345
293 Two-Tailed and One-Tailed Tests 347
Task 6E 294 Type I and Type II Errors 349
Single-Subject Experimental Designs 294 Degrees of Freedom 350
295 Selecting Among Tests of Significance 351
Single-Subject Versus Group Designs 295 The t Test 357
The Single-Variable Rule 300 Analysis of Variance 361
Types of Single-Subject Designs 300 Multiple Regression 364
Data Analysis and Interpretation 300 Chi Square
Threats to Validity 301 Other Investigative Techniques: Data Mining, 367
External Validity 302 Factor Analysis, and Structural Equation
Internal Validity 303 Modeling 368
Replication 305 Types of Parametric and Nonparametric 370
Summary 306 Statistical Tests 374
Performance Criteria Task 6 Summary 375
Task 6 Examples Performance Criteria Task 7
Task 7 Example 381
PART III QUANTITATIVE DATA ANALYSIS
PART IV QUALITATIVE METHODS 381
CHAPTER 12 DESCRIPTIVE STATISTICS 319 381
CHAPTER 14 QUALITATIVE DATA 386
The Word Is “Statistics,” not “Sadistics” 319 COLLECTION 388
The Language of Statistics 320 389
320 Data Collection Sources and Techniques
Preparing Data for Analysis 320 Observing
Scoring Procedures 320 Interviewing
Tabulation and Coding Procedures 322 Questionnaires
322 Examining Records
Types of Descriptive Statistics 323
Frequencies
Measures of Central Tendency

xiv CONTENTS

Validity and Reliability in Qualitative Research 391 Characteristics of Case Study Research 445
Validity in Qualitative Research 391 Case Study Research Design 446
Reliability in Qualitative Research 395 Sample Selection in Case Study Research 448
395 448
Getting Started 396 Data Collection Techniques 449
Summary Conducting and Analyzing Multiple Case Studies 452
Summary 454

Task 8-C Qualitative Example

CHAPTER 15 NARRATIVE RESEARCH 399 CHAPTER 18 QUALITATIVE RESEARCH: 465
DATA ANALYSIS
Task 8A 399 AND INTERPRETATION 465
Narrative Research: Definition and Purpose 400 466
401 Data Analysis and Interpretation: Definition 466
Types of Narrative Research 402 and Purpose 467
Narrative Analysis and the Analysis of Narrative 402 468
The Narrative Research Process 404 Data Analysis During Data Collection 468
Key Characteristics of Narrative Research 404 Data Analysis After Data Collection 468
Narrative Research Techniques 405 Steps in Analyzing Qualitative Research Data 468
Restorying 406 Reading/Memoing 470
Oral History Describing 472
Examining Photographs, Memory Boxes, 406 Classifying 473
and Other Artifacts 406 Data Analysis Strategies 476
Storytelling 406 Example of Coding an Interview 477
Letter Writing 407 Developing a Concept Map 478
Autobiographical and Biographical Writing 407 Qualitative Data Analysis: An Example
Other Narrative Data Sources 407 Data Interpretation Strategies
Writing the Narrative 408 Ensuring Credibility in Your Study
Summary 410 Summary
Task 8-A Qualitative Example

CHAPTER 16 ETHNOGRAPHIC RESEARCH 421 PART V MIXED METHODS

Task 8B 421 CHAPTER 19 MIXED METHODS RESEARCH:
Ethnographic Research: Definition and Purpose 423
The Ethnographic Research Process 423 INTEGRATING QUALITATIVE
Key Characteristics of Ethnographic Research 425
Types of Ethnographic Research 426 AND QUANTITATIVE
Ethnographic Research Techniques 426
427 METHODS 481
Triangulation 427
Participant Observation 429 Task 8D 481
Field Notes Mixed Methods Research: Definition and Purpose 483
Observing and Recording Everything 431 Types of Mixed Methods Research Designs 484
You Possibly Can 484
Looking for Nothing in Particular; Looking 432 The QUAL–Quan Model 485
for Bumps and Paradoxes 434 The QUAN–Qual Model 486
Summary 436 The QUAN–QUAL Model 486
Task 8B Qualitative Example Data Analysis in Mixed Methods Designs 488
Identifying Studies Using Mixed Method Designs 489
CHAPTER 17 CASE STUDY RESEARCH 443 Evaluating a Mixed Methods Study 490
Summary 492
Task 8C 443 Performance Criteria Task 8 493
Case Study Research: Definition and Purpose 444 Task 8 Example 496
445 Task 8D Mixed Methods Example
When to Use the Case Study Research Approach

CONTENTS xv

PART VI ACTION RESEARCH Formatting Theses and Dissertations 534
Preliminary Pages 535
CHAPTER 20 ACTION RESEARCH 507 The Main Body 536
538
Task 9 507 Writing for Journal Publication 540
Action Research: Definition and Purpose 508 Summary 542
Key Characteristics of Action Research 508 543
509 Performance Criteria Task 10
Action Research Is Persuasive and Authoritative 509 Task 10 Example
Action Research Is Relevant 509
Action Research Is Accessible PART VIII CRITIQUING RESEARCH
Action Research Challenges the Intractability 509
of Reform of the Educational System 510 CHAPTER 22 EVALUATING A RESEARCH 555
Action Research Is Not a Fad 510 REPORT
Types of Action Research 510 555
Critical Action Research 511 Tasks 11 555
Practical Action Research 511 General Evaluation Criteria 556
Levels of Action Research 512 557
The Action Research Process Introduction 557
Identifying and Gaining Insight into an Area 513 Method 558
of Focus 514 Results 558
Collecting, Analyzing, and Interpreting Data 515 Discussion (Conclusions and Recommendations) 558
Action Planning 516 Abstract or Summary 558
Summary 518 Type-Specific Evaluation Criteria 558
Performance Criteria and Examples Task 9 518 Survey Research 559
Write an Area-of-Focus Statement 518 Correlational Research 559
Define the Variables 518 Causal–Comparative Research 559
Develop Research Questions 518 Experimental Research 559
Describe the Intervention or Innovation Single-Subject Research
Describe the Membership of the Action 519 Qualitative Research (In General) 560
Research Group Evaluating Validity and Reliability 560
Describe Negotiations That Need 519 in Qualitative Studies 560
to Be Undertaken 519 Narrative Research 561
Develop a Timeline 519 Ethnographic Research 561
Develop a Statement of Resources 519 Case Study Research 561
Develop Data Collection Ideas 521 Mixed Methods Research 562
Task 9 Action Research Example Action Research 564
Summary 565
PART VII REPORTING RESEARCH 531 Performance Criteria Task 11
Task 11 Example 577
CHAPTER 21 PREPARING A RESEARCH 531 593
REPORT 532 Appendix A Reference Tables 617
533
Task 10 Appendix B Statistical References 623
Guidelines for Writing a Research Report
Format and Style Appendix C Suggested Responses 635

Glossary 637

Name Index

Subject Index

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Research Articles

CHAPTER 1 51

Can Instructional and Emotional Support in the First-Grade Classroom Make a Difference
for Children at Risk of School Failure? 33
Developing Teacher Epistemological Sophistication About Multicultural Curriculum: A Case Study

CHAPTER 7

To What Extent Are Literacy Initiatives Being Supported: Important Questions for
Administrators 198

CHAPTER 8

Parental Involvement and Its Influence on the Reading Achievement of 6th Grade Students 219

CHAPTER 9

Comparing Longitudinal Academic Achievement of Full-Day and Half-Day Kindergarten
Students 237

CHAPTER 10

Effects of Mathematical Word Problem–Solving Instruction on Middle School Students with Learning
Problems 279

CHAPTER 11

Effects of Functional Mobility Skills Training for Young Students with Physical Disabilities 308

CHAPTER 15

For Whom the School Bell Tolls: Conflicting Voices Inside an Alternative High School 410

CHAPTER 16

Preparing Preservice Teachers in a Diverse World 436

CHAPTER 17

Using Community as a Resource for Teacher Education: A Case Study 454

CHAPTER 19

How Should Middle-School Students with LD Approach Online Note Taking? A Mixed-Methods
Study 496

CHAPTER 20

“Let’s Talk”: Discussions in a Biology Classroom: An Action Research Project 521

CHAPTER 22

Gender and Race as Variables in Psychosocial Adjustment to Middle and High School 565

xvii

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EDUCATIONAL
RESEARCH

CHAPTER ONE

Back to the Future Part III, 1990

“Despite a popular stereotype that depicts
researchers as spectacled, stoop-shouldered,
elderly gentlemen who endlessly add chemicals to test
tubes, every day thousands of men and women of all
ages, shapes, and sizes conduct educational research in

a wide variety of settings.” (p. 4)

Introduction
to Educational
Research

LEARNING OUTCOMES

After reading Chapter 1, you should be able to do the following:

1. Briefly describe the reasoning involved in the scientific method.
2. Describe the different approaches to educational research.
3. Briefly define and state the major characteristics of these research approaches:

survey, correlational, causal–comparative, experimental, single-subject,
narrative, ethnographic, and case study.
4. Identify and differentiate among research purposes, including basic research,
applied research, evaluation research, research and development (R&D), and
action research.
5. Recognize the ethical obligations that educational researchers have and
describe the codes and procedures they follow to ensure they adhere to them.

Completing Chapter 1 should enable you to perform the following tasks:

TASKS 1A, 1B

Identify and briefly state the following for both research studies at the end of this
chapter:

1. The topic (purpose of the study)
2. The procedures
3. The method of analysis
4. The major conclusions

(See Performance Criteria, p. 32.)

TASK 1C

Classify given research studies based on their characteristics and purposes. (See
Performance Criteria, p. 32.)

WELCOME!

If you are taking a research course because it is required in your program of studies,
raise your right hand. If you are taking a research course because it seems like it will be
a really fun elective, raise your left hand. We thought you may not be here of your own
free will. Although you may be required to take this course, you are not the innocent

3

4 CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH

victim of one or more sadists. Your professors have understand our world. For example, a child who
several legitimate reasons for believing this research touches something hot learns that high heat hurts.
course is an essential component of your education. We know other things because a trusted authority,
such as a parent or a teacher, told us about them.
First, educational research findings significantly Most likely, much of your knowledge of current
contribute to both educational theory and educational world events comes secondhand, from things you
practice. As a professional, you need to know how have read or heard from a source you trust.
to find, understand, and evaluate these findings. And
when you encounter research findings in professional Another way we come to know something is
publications or in the media, you have a responsibil- through thinking, through reasoning. Reasoning re-
ity, as a professional, to distinguish between legitimate fers to the process of using logical thought to reach
and ill-founded research claims. Second, although a conclusion. We can reason inductively or deduc-
many of you will be primarily critical consumers of re- tively. Inductive reasoning involves developing
search, some of you will decide to become educational generalizations based on observation of a limited
researchers. A career in research opens the door to a number of related events or experiences. Consider
variety of employment opportunities in universities, in the following example of inductive reasoning:
research centers, and in business and industry.
Observation: An instructor examines five research
Despite a popular stereotype that depicts re- textbooks. Each contains a chapter about
searchers as spectacled, stoop-shouldered, elderly sampling.
gentlemen (a stereotype I am rapidly approaching!)
who endlessly add chemicals to test tubes, every Generalization: The instructor concludes that
day thousands of men and women of all ages and all research textbooks contain a chapter about
postures conduct educational research in a wide sampling.
variety of settings. Every year many millions of dol-
lars are spent in the quest for knowledge related Deductive reasoning involves essentially the
to teaching and learning. For example, in 2009 the reverse process—arriving at specific conclusions
federal government allocated $100 billion dollars based on general principles, observations, or ex-
to be spent on education (including educational re- periences (i.e., generalizations)—as shown in the
search and evaluation) as part of the American Re- next example.
investment and Recovery Act (ARRA). Educational
research has contributed many findings concerning Observations: All research textbooks contain a
principles of behavior, learning, and retention of chapter on sampling. The book you are reading
knowledge—many of which can also be applied to is a research text.
curriculum, instruction, instructional materials, and
assessment techniques. Both the quantity and the Generalization: This book must contain a chapter
quality of research are increasing, partly because on sampling. (Does it?)
researchers are better trained. Educational research
classes have become core components of preser- Although people commonly use experience,
vice teacher education programs, as well as the authority, inductive reasoning, and deductive rea-
cornerstone of advanced degree programs. soning to learn new things and draw new con-
clusions from that knowledge, each of these
We recognize that educational research is a rel- approaches to understanding has limitations when
atively unfamiliar discipline for many of you. Our used in isolation. Some problems associated with
first goals, then, are to help you acquire a general experience and authority as sources of knowledge
understanding of research processes and to help are graphically illustrated in a story told about
you develop the perspective of a researcher. We Aristotle. According to the story, one day Aristotle
begin by examining the scientific method. caught a fly and carefully counted and recounted
the legs. He then announced that flies have five
THE SCIENTIFIC METHOD legs. No one questioned the word of Aristotle. For
years his finding was accepted uncritically. Unfor-
What is knowledge? And how do we come to tunately, the fly that Aristotle caught just happened
“know” something? Experience is certainly one of to be missing a leg! Whether or not you believe
the fundamental ways we come to know about and the story, it illustrates the limitations of relying on
personal experience and authority as sources of
knowledge.

CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH 5

The story also points out a potential problem the environments under study. Although some appli-
with inductive reasoning: Generalizing from a small cations of the method lead to deeper understanding
sample, especially one that is atypical, can lead to er- of the research context than others, no application
rors. Deductive reasoning, too, is limited by the evi- and in fact no research approach provides full com-
dence in the original observations. If every research prehension of a site and its inhabitants. No matter
text really does have a chapter on sampling, and if how many variables one studies or how long one is
this book really is a research text, then it follows immersed in a research context, other variables and
that this book must have a chapter on sampling. aspects of context will remain unexamined. Thus,
However, if one or more of the premises is false the scientific method and, indeed, all types of in-
(perhaps some research texts do not have a chapter quiry give us a simplified version of reality.
on sampling), your conclusion may also be wrong.
Third, our measuring instruments always have
When we rely exclusively on these common some degree of error. The variables we study are
approaches to knowing, the resulting knowledge often proxies for the real behavior we seek to ex-
is susceptible to error and may be of limited value amine. For example, even if we use a very precisely
to understanding the world beyond our immediate constructed multiple-choice test to assess a person’s
experience. However, experience, authority, and values, we will likely gather information that gives
inductive and deductive reasoning are very effec- us a picture of that person’s beliefs about his or her
tive when used together as integral components of values. However, we aren’t likely to have an ad-
the scientific method. The scientific method is an equate picture of how that person acts, which may
orderly process entailing a number of steps: rec- be the better reflection of the person’s real values.
ognition and definition of a problem; formulation
of hypotheses; collection of data; analysis of data; More broadly, all educational inquiry, not
and statement of conclusions regarding confirma- just the scientific method, is carried out with the
tion or disconfirmation of the hypotheses (i.e., a cooperation of participants who agree to pro-
researcher forms a hypothesis—an explanation for vide researchers with data. Because educational
the occurrence of certain behaviors, phenomena, researchers deal with human beings, they must
or events—as a way of predicting the results of a consider a number of ethical concerns and respon-
research study and then collects data to test that sibilities to the participants. For example, they must
prediction). These steps can be applied informally shelter participants from real or potential harm.
to solve such everyday problems as the most ef- They must inform participants about the nature of
ficient route to take from home to work or school, the planned research and address the expectations
the best time to go to the bank, or the best kind of of the participants. These things can limit and skew
computer to purchase. The more formal application results. All these limitations will be addressed in
of the scientific method is standard in research; it is later sections of this book.
more efficient and more reliable than relying solely
on experience, authority, inductive reasoning, and Application of the Scientific
deductive reasoning as sources of knowledge. Method in Education

Limitations of the Scientific Method Research is the formal, systematic application of
the scientific method to the study of problems;
The steps in the scientific method guide researchers educational research is the formal, systematic ap-
in planning, conducting, and interpreting research plication of the scientific method to the study of
studies. However, it is important to recognize educational problems. The goal of educational re-
some limitations of the method. First, the scientific search is essentially the same as the goal of all
method cannot answer all questions. For example, science: to describe, explain, predict, or control
applying the scientific method will not resolve the phenomena—in this case, educational phenomena.
question “Should we legalize euthanasia?” The an- As we mentioned previously, it can be quite difficult
swers to questions like this one are influenced by to describe, explain, predict, and control situations
personal philosophy, values, and ethics. involving human beings, who are by far the most
complex of all organisms. So many factors, known
Second, application of the scientific method can and unknown, operate in any educational environ-
never capture the full richness of the individuals and ment that it can be extremely difficult to identify

6 CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH

specific causes of behaviors or to generalize or rep- research hypothesis was supported or not. For
licate findings. The kinds of rigid controls that can studies involving verbal synthesis, conclusions
be established and maintained in a biochemistry are much more tentative.
laboratory, for instance, are impossible in an edu-
cational setting. Even describing behaviors, based DIFFERENT APPROACHES
on observing people, has limits. Observers may be TO EDUCATIONAL RESEARCH
subjective in recording behaviors, and people who
are observed may behave atypically just because All educational inquiry ultimately involves a deci-
they are being watched. Chemical reactions, on sion to study or describe something—to ask some
the other hand, are certainly not aware of being question and seek an answer. All educational in-
observed! Nevertheless, behavioral research should quiry necessitates that data of some kind be col-
not be viewed as less scientific than natural science lected, that the data be analyzed in some way,
research conducted in a lab. and that the researcher come to some conclusion
or interpretation. In other words, all educational
Despite the difficulty and complexity of apply- inquiry shares the same four basic actions we find
ing the scientific method in educational settings, in the scientific method. However, it is not accurate
the steps of the scientific method used by educa- to say that all educational research is an application
tional researchers are the same as those used by of the scientific method. Important differences exist
researchers in other more easily controlled settings: between the types of questions researchers ask, the
types of data they collect, the form of data analysis,
1. Selection and definition of a problem. A and the conclusions that the researcher can draw
problem is a question of interest that can be meaningfully and with validity.
tested or answered through the collection and
analysis of data. Upon identifying a research The Continuum
question, researchers typically review previously of Research Philosophies
published research on the same topic and
use that information to hypothesize about the Historically, educational researchers used ap-
results. In other words, they make an educated proaches that involved the use of the scientific
guess as to the answer to the question. method. However, over the last three decades,
researchers have adopted diverse philosophies to-
2. Execution of research procedures. The ward their research. Now, there are certain philo-
procedures reflect all the activities involved sophical assumptions that underpin an educational
in collecting data related to the problem researcher’s decision to conduct research. These
(e.g., how data are collected and from whom). philosophical assumptions address issues related
To a great extent, the specific procedures to the nature of reality (ontology), how research-
are dictated by the research question and the ers know what they know (epistemology), and the
variables involved in the study. methods used to study a particular phenomenon
(methodology). As Creswell1 notes, historically,
3. Analysis of data. Data are analyzed in a way researchers compared the philosophical assump-
that permits the researcher to test the research tions that underpinned qualitative and quantita-
hypothesis or answer the research question. tive research approaches in order to establish the
Analysis usually involves application of one or legitimacy of qualitative research, but given the
more statistical technique. For some studies, data evolution of qualitative and quantitative research
analysis involves verbal synthesis of narrative over the past three decades, there is no longer any
data; these studies typically involve new insights need to justify one set of philosophical assumptions
about the phenomena in question, generate over another set of assumptions.
hypotheses for future research, or both.
1 Creswell, J. W. (2007). Qualitative Inquiry & Research Design:
4. Drawing and stating conclusions. The Choosing Among Five Approaches (2nd ed.). Thousand Oaks,
conclusions, which should advance our CA: Sage.
general knowledge of the topic in question,
are based on the results of data analysis.
They should be stated in terms of the original
hypothesis or research question. Conclusions
should indicate, for example, whether the

CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH 7

Educational researchers have also followed In the last 20 to 30 years, however, nonquan-
well-defined, widely accepted procedures for stat- titative approaches to educational research have
ing research topics, carrying out the research pro- emerged. Qualitative research now has as many
cess, analyzing the resulting data, and verifying research practitioners as quantitative research. At
the quality of the study and its conclusions. Often, the end of this chapter you will find an example of
these research procedures are based on what has qualitative research published in Action in Teacher
come to be known as a quantitative approach to Education (a refereed journal): “Developing Teacher
conducting and obtaining educational understand- Epistemological Sophistication About Multicultural
ings. The quantitative framework in educational Curriculum: A Case Study” (Sleeter, 2009). This re-
research involves the application of the scientific search investigates how teachers’ thinking about
method to try to answer questions about educa- curriculum develops during a teacher preparation
tion. At the end of this chapter you will find an ex- program and how the lessons from the case study
ample of quantitative research published in Child might inform teacher education pedagogy. And of
Development (a refereed journal): “Can Instruc- course, the use of the word “epistemological” in the
tional and Emotional Support in the First-Grade title introduces you to the language of educational
Classroom Make a Difference for Children at Risk research!
of School Failure?” (Hamre & Pianta, 2005). As this
title suggests, this research investigates the ways Qualitative Research
in which children’s risk of school failure may be
moderated by instructional and emotional support Qualitative research is the collection, analysis,
from teachers. and interpretation of comprehensive narrative and
visual (i.e., nonnumerical) data to gain insights into
Quantitative Research a particular phenomenon of interest. Qualitative
research methods are based on different beliefs
Quantitative research is the collection and analy- and designed for different purposes than quanti-
sis of numerical data to describe, explain, pre- tative research methods. For example, qualitative
dict, or control phenomena of interest. However, researchers do not necessarily accept the view of
a quantitative research approach entails more than a stable, coherent, uniform world. They argue that
just the use of numerical data. At the outset of a all meaning is situated in a particular perspective or
study, quantitative researchers state the hypotheses context, and because different people and groups
to be examined and specify the research proce- often have different perspectives and contexts, the
dures that will be used to carry out the study. They world has many different meanings, none of which
also maintain control over contextual factors that is necessarily more valid or true than another.
may interfere with the data collection and identify
a sample of participants large enough to provide Qualitative research problems and methods tend
statistically meaningful data. Many quantitative re- to evolve as understanding of the research context
searchers have little personal interaction with the and participants deepens (think back to the discus-
participants they study because they frequently sion of inductive reasoning). As a result, qualitative
collect data using paper-and-pencil, noninteractive researchers often avoid stating hypotheses before
instruments. data are collected, and they may examine a particu-
lar phenomenon without a guiding statement about
Underlying quantitative research methods is what may or may not be true about that phenome-
the philosophical belief or assumption that we non or its context. However, qualitative researchers
inhabit a relatively stable, uniform, and coherent do not enter a research setting without any idea of
world that we can measure, understand, and gen- what they intend to study. Rather, they commence
eralize about. This view, adopted from the natural their research with “foreshadowed problems.”2 This
sciences, implies that the world and the laws that difference is important—quantitative research usu-
govern it are somewhat predictable and can be ally tests a specific hypothesis; qualitative research
understood by scientific research and examination. often does not.
In this quantitative perspective, claims about the
world are not considered meaningful unless they 2 Argonauts of the Western Pacific (p. 9), by B. Malinowski, 1922,
can be verified through direct observation. London: Routledge.

8 CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH

Additionally, in qualitative research, context is exist naturally, help in part to explain the growing
not controlled or manipulated by the researcher. enthusiasm for qualitative research in education.
The effort to understand the participants’ perspec- Some researchers and educators feel that certain
tive requires researchers using qualitative methods kinds of educational problems and questions do
to interact extensively and intimately with partici- not lend themselves well to quantitative methods,
pants during the study, using time-intensive data which use principally numerical analysis and try to
collection methods such as interviews and observa- control variables in very complex environments. As
tions. As a result, the number of participants tends qualitative researchers point out, findings should
to be small, and qualitative researchers analyze the be derived from research conducted in real-world
data inductively by categorizing and organizing it settings to have relevance to real-world settings.
into patterns that produce a descriptive, narrative
synthesis. Table 1.1 provides an overview of quantita-
tive and qualitative research characteristics. De-
Qualitative research differs from quantitative spite the differences between them, you should
research in two additional ways: (1) Qualitative not consider quantitative and qualitative research
research often involves the simultaneous collec- to be oppositional. Taken together, they represent
tion of a wealth of narrative and visual data over the full range of educational research methods.
an extended period of time, and (2) as much as is The terms quantitative and qualitative are used
possible, data collection occurs in a naturalistic set- to differentiate one approach from the other con-
ting. In quantitative studies, in contrast, research veniently. If you see yourself as a positivist—the
is most often conducted in researcher-controlled belief that qualities of natural phenomena must be
environments under researcher-controlled condi- verified by evidence before they can be considered
tions, and the activities of data collection, analysis, knowledge—that does not mean you cannot use
and writing are separate, discrete activities. Be- or learn from qualitative research methods. The
cause qualitative researchers strive to study things same holds true for nonpositivist, phenomenologist
in their naturalistic settings, qualitative research is qualitative researchers. Depending on the nature of
sometimes referred to as naturalistic research, natu- the question, topic, or problem to be investigated,
ralistic inquiry, or field-oriented research. one of these approaches will generally be more ap-
propriate than the other, although selecting a pri-
These two characteristics of qualitative research, mary approach does not preclude borrowing from
the simultaneous study of many aspects of a phe- the other. In fact, both may be utilized in the same
nomenon and the attempt to study things as they

TABLE 1.1 • Overview of qualitative and quantitative research characteristics

Type of data collected Quantitative Research Qualitative Research
Research problem Numerical data
Hypothesis and research procedures stated Nonnumerical narrative and visual data
Manipulation of context before beginning the study
Sample size Yes Research problems and methods evolve
Research procedures Larger as understanding of topic deepens
Relies on statistical procedures
Participant interaction No
Underlying belief Little interaction
We live in a stable and predictable world that Smaller
we can measure, understand, and generalize
about. Relies on categorizing and organizing
data into patterns to produce a
descriptive, narrative synthesis

Extensive interaction

Meaning is situated in a particular
perspective or context that is different
for people and groups; therefore,
the world has many meanings.

CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH 9

studies, as when the administration of a (quantita- own measuring instrument for each survey study.
tive) questionnaire is followed by a small number Constructing questions for the intended respon-
of detailed (qualitative) interviews to obtain deeper dents requires clarity, consistency, and tact. Other
explanations for the numerical data. major challenges facing survey researchers are
participants’ failure to return questionnaires, their
CLASSIFICATION OF RESEARCH willingness to be surveyed over the phone, and
BY METHOD their ability to attend scheduled interviews. If the
response rate is low, then valid, trustworthy con-
A research method comprises the overall strategy clusions cannot be drawn. For example, suppose
followed in collecting and analyzing data. Although you are doing a study to determine attitudes of
there is some overlap, most research studies follow principals toward research in their schools. You
a readily identifiable strategy. The largest distinc- send a questionnaire to 100 principals and include
tion we can make in classifying research by method the question “Do you usually cooperate if your
is the distinction between quantitative and qualita- school is asked to participate in a research study?”
tive research. Quantitative and qualitative research, Forty principals respond, and they all answer “Yes.”
in turn, include several distinct types or methods, It’s certainly a mistake to conclude that principals
each designed to answer a different kind of re- in general cooperate. Although all those who re-
search question. sponded said yes, those 60 principals who did not
respond may never cooperate with researchers.
Quantitative Approaches After all, they didn’t cooperate with you! Without
more responses, it is not possible to make gener-
Quantitative research approaches are applied to de- alizations about how principals feel about research
scribe current conditions, investigate relations, and in their schools.
study cause–effect phenomena. Survey research
is often designed to describe current conditions. Following are examples of questions that can
Studies that investigate the relations between two be investigated in survey research studies, along
or more variables are correlational research. Ex- with typical research designs.
perimental studies and causal–comparative studies
provide information about cause–effect outcomes. ■ How do second-grade teachers spend their
Studies that focus on the behavior change an indi- teaching time? Second-grade teachers are
vidual exhibits as a result of some intervention fall asked to fill out questionnaires, and results
under the heading of single-subject research. are presented as percentages (e.g., teachers
spent 50% of their time lecturing, 20% asking
Survey Research or answering questions, 20% in discussion,
and 10% providing individual student help).
Survey research determines and reports the way
things are; it involves collecting numerical data to ■ How will citizens of Yourtown vote in the next
test hypotheses or answer questions about the cur- school board election? A sample of Yourtown
rent status of the subject of study. One common citizens complete a questionnaire or interview,
type of survey research involves assessing the pref- and results are presented as percentages
erences, attitudes, practices, concerns, or interests (e.g., 70% said they will vote for Peter Pure, 20%
of a group of people. A preelection political poll named George Graft, and 10% are undecided).
and a survey about community members’ percep-
tion of the quality of the local schools are examples. Correlational Research
Survey research data are mainly collected through
questionnaires, interviews, and observations. Correlational research involves collecting data to
determine whether, and to what degree, a relation
Although survey research sounds very simple, exists between two or more quantifiable variables.
there is considerably more to it than just ask- A variable is a placeholder that can assume any
ing questions and reporting answers. Because re- one of a range of values; for example, intelligence,
searchers often ask questions that have not been height, and test score are variables. At a minimum,
asked before, they usually have to develop their correlation research requires information about at
least two variables obtained from a single group of
participants.

10 CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH

The purpose of a correlational study may be ■ Does an algebra aptitude test predict success
to establish relations or use existing relations to in an algebra course? Scores on the algebra
make predictions. For example, a college admis- aptitude test are correlated with final exam
sions director may be interested in answering the scores in the algebra course. If the correlation
question “How do the SAT scores of high school is high, the aptitude test is a good predictor of
seniors correspond to the students’ first-semester success in algebra.
college grades?” If students’ SAT scores are strongly
related to their first-semester grades, SAT scores Causal–Comparative Research
may be useful in predicting how students will
perform in their first year of college. On the other Causal–comparative research attempts to deter-
hand, if there is little or no correlation between the mine the cause, or reason, for existing differences
two variables, SAT scores likely will not be useful in the behavior or status of groups of individuals.
as predictors. The cause is a behavior or characteristic believed
to influence some other behavior or characteris-
Correlation refers to a quantitative measure tic, and is known as the grouping variable. The
of the degree of correspondence. The degree to change or difference in a behavior or character-
which two variables are related is expressed as istic that occurs as a result—that is, the effect—is
a correlation coefficient, which is a number be- known as the dependent variable. Put simply,
tween ϩ1.00 and Ϫ1.00. Two variables that are not causal–comparative research attempts to establish
related have a correlation coefficient near 0.00. Two cause–effect relations among groups.
variables that are highly correlated will have a cor-
relation coefficient near ϩ1.00 or Ϫ1.00. A number Following are examples of research questions
near ϩ1.00 indicates a positive correlation: As one tested with causal–comparative studies (note that
variable increases, the other variable also increases the word is causal, not casual).
(e.g., students with high SAT scores may also have
high GPAs). A number near Ϫ1.00 indicates a nega- ■ How does preschool attendance affect social
tive correlation: As one variable increases, the other maturity at the end of the first grade? The
variable decreases (e.g., high GPA may correlate grouping variable is preschool attendance
negatively with likelihood of dropping out). Because (i.e., the variable can take one of two values—
very few pairs of variables are perfectly correlated, students attending preschool and students not
predictions based on them are rarely ϩ1.0 or Ϫ1.0. attending); the dependent variable, or effect, is
social maturity at the end of the first grade. The
It is very important to note that the results of researcher identifies a group of first graders
correlational studies do not suggest cause–effect re- who attended preschool and a group who did
lations among variables. Thus, a positive correlation not, gathers data about their social maturity,
between, for example, self-concept and achievement and then compares the two groups.
does not imply that self-concept causes achieve-
ment or that achievement causes self-concept. The ■ How does having a working mother affect
correlation indicates only that students with higher a child’s school absenteeism? The grouping
self-concepts tend to have higher levels of achieve- variable is the employment status of the mother
ment and that students with lower self-concepts (again with two possible values—the mother
tend to have lower levels of achievement. We can- works or does not work); the dependent
not conclude that one variable is the cause of the variable is absenteeism, measured as number
other. of days absent. The researcher identifies a
group of students who have working mothers
Following are examples of research questions and a group whose mothers do not work,
tested with correlational studies. gathers information about their absenteeism,
and compares the groups.
■ What is the relation between intelligence and
self-esteem? Scores on an intelligence test A weakness of causal–comparative studies is
and a measure of self-esteem are acquired that, because the cause under study has already
from each member of a given group. The two occurred, the researcher has no control over it. For
sets of scores are analyzed, and the resulting example, suppose a researcher wanted to investi-
coefficient indicates the degree of correlation. gate the effect of heavy smoking on lung cancer

CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH 11

and designs a study comparing the frequency of of the quantitative research approaches because it
lung cancer diagnoses in two groups, long-time provides clear evidence for linking variables. As a
smokers and nonsmokers. Because the groups are result, it also offers generalizability, or applicabil-
preexisting, the researcher did not control the con- ity of findings to settings and contexts different
ditions under which the participants smoked or from the one in which they were obtained.
did not smoke (this lack of researcher control is
why the variable is known as a grouping variable, Unlike causal–comparative researchers, re-
rather than an independent variable). Perhaps a searchers conducting an experimental study can
large number of the long-time smokers lived in a control an independent variable. They can select
smoggy, urban environment, whereas only a few the participants for the study, divide the partici-
of the nonsmokers were exposed to those condi- pants into two or more groups that have similar
tions. In that case, attempts to draw cause–effect characteristics at the start of the research experi-
conclusions in the study would be tenuous and ment, and then apply different treatments to the se-
tentative at best. Is it smoking that causes higher lected groups. They can also control the conditions
rates of lung cancer? Is it living in a smoggy, urban in the research setting, such as when the treatments
environment? Or is it some unknown combination will be applied, by whom, for how long, and under
of smoking and environment? A clear cause–effect what circumstances. Finally, the researchers can
link cannot be obtained. select tests or measurements to collect data about
any changes in the research groups. The selection
Although causal–comparative research pro- of participants from a single pool of participants
duces limited cause–effect information, it is an and the ability to apply different treatments or
important form of educational research. True cause– programs to participants with similar initial char-
effect relations can be determined only through ex- acteristics permit experimental researchers to draw
perimental research (discussed in the next section), conclusions about cause and effect. The essence
in which the researcher maintains control of an of experimentation is control, although in many
independent variable; but in many cases, an ex- education settings it is not possible or feasible to
perimental study is inappropriate or unethical. The meet the stringent control conditions required by
causal–comparative approach is chosen precisely experimental research.
because the grouping variable either cannot be
manipulated (e.g., as with gender, height, or year in Following are examples of research questions
school) or should not be manipulated (e.g., as with that are explored with experimental studies.
smoking or prenatal care). For example, to conduct
the smoking study as an experiment, a researcher ■ Is personalized instruction from a teacher
would need to select a large number of participants more effective for increasing students’
who had never smoked and divide them into two computational skills than computer
groups, one directed to smoke heavily and one for- instruction? The independent variable is type
bidden to smoke. Obviously, such a study is unethi- of instruction (with two values: personalized
cal because of the potential harm to those forced instruction and computer instruction);
to smoke. A causal–comparative study, which ap- the dependent variable is computational
proximates cause–effect results without harming skills. A group of students who have never
the participants, is the only reasonable approach. experienced either personalized teacher
Like descriptive and correlational studies, however, instruction or computer instruction are
causal–comparative research does not produce true selected and randomly divided into two
experimental research outcomes. groups, each taught by one of the methods.
After a predetermined time, the students’
Experimental Research computational skills are measured and
compared to determine which treatment,
In experimental research, at least one indepen- if either, produced higher skill levels.
dent variable is manipulated, other relevant vari-
ables are controlled, and the effect on one or more ■ Is there an effect of reinforcement on students’
dependent variables is observed. True experimen- attitude toward school? The independent
tal research provides the strongest results of any variable is type of reinforcement (with three
values: positive, negative, or no reinforcement);
the dependent variable is attitude toward

12 CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH

school. The researcher randomly forms three affected the quality of homework and the

groups from a single large group of students. homework completion rate of eight students

One group receives positive reinforcement, with learning disabilities.4

another negative reinforcement, and the third

no reinforcement. After the treatments are Qualitative Approaches
applied for a predetermined time, student
attitudes toward school are measured and Qualitative research seeks to probe deeply into
compared for each of the three groups. the research setting to obtain in-depth understand-
ings about the way things are, why they are that

Single-Subject Research way, and how the participants in the context per-
ceive them. To achieve the detailed understandings
Rather than compare the effects of different treat- they seek, qualitative researchers must undertake
ments (or treatment versus no treatment) on two sustained in-depth, in-context research that allows
or more groups of people, experimental research- them to uncover subtle, less overt, personal under-
ers sometimes compare a single person’s behavior standings.
before treatment to behavior exhibited during the
course of the experiment. They may also study a Table 1.2 provides a brief description of some of
number of people together as one group, rather the most common qualitative research approaches.
than as individuals. Single-subject experimen- Examining the table shows that the primary differ-
tal designs are those used to study the behavior ence among the approaches is in the particulars of
change that an individual or group exhibits as a the social context examined and the participants
result of some intervention or treatment. In these selected. For example, some qualitative researchers

designs, the size of the sample—the

individuals selected from a popula- TABLE 1.2 • Common qualitative research approaches
tion for a study—is said to be one.

Following are examples of Approach Key Question

published studies that used single- case study What are the characteristics of this particular entity,
subject designs. phenomenon, or person?

■ The effects of a training program ethnography What are the cultural patterns and perspectives
with and without reinforced ethology of this group in its natural setting?
directed rehearsal as a ethnomethodology
correction procedure in teaching grounded theory How do the origins, characteristics, and culture
expressive sign language to of different societies compare to one another?
nonverbal students with mental phenomenology
retardation. Ten students with symbolic interaction How do people make sense of their everyday activities
moderate to severe mental historical research in order to behave in socially accepted ways?
retardation were studied.3
How is an inductively derived theory about a
■ The effects of instruction focused phenomenon grounded in the data in a particular
on assignment completion on setting?
the homework performance
of students with learning What is the experience of an activity or concept
disabilities. A single-subject from these particular participants’ perspective?
experiment design was used to
determine how instruction in How do people construct meanings and shared
a comprehensive, independent perspectives by interacting with others?
assignment completion strategy
How does one systematically collect and evaluate
data to understand and interpret past events?

Source: M. Q. Patton, Qualitative Evaluation and Research Methods, copyright © 1990,
by Sage Publications, Inc. Adapted by permission of Sage Publications, Inc.

3 “Effects of Reinforced Directed Rehearsal on Expressive Sign 4 Effects of Instruction in an Assignment Completion Strategy
Language Learning by Persons with Mental Retardation,” by on the Homework Performance of Students with Learning
A. J. Dalrymple and M. A. Feldman, 1992, Journal of Behavioral Disabilities in General Education Classes,” by C. A. Hughes,
Education, 2(1), pp. 1–16. K. L. Ruhl, J. B. Schumaker, and D. D. Deshler, 2002, Learning
Disabilities Research and Practice, 17(1), pp. 1–18.

CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH 13

focus on the exploration of phenomena that occur teaching and learning through the telling and retell-
within a bounded system (e.g., a person, event, ing of teachers’ stories.
program, life cycle; in a case study); some focus in
depth on a group’s cultural patterns and perspec- Following is an example of the narrative re-
tives to understand participants’ behavior and their search approach.
context (i.e., using ethnography); some examine
how multiple cultures compare to one another (i.e., Kristy, an assistant professor of education, is
ethology); some examine people’s understanding of frustrated by what she perceives as the gender-
their daily activities (i.e., ethnomethodology); some biased distribution of resources within the
derive theory using multiple steps of data collection School of Education (SOE). Kristy shares her
and interpretation that link actions of participants story with Winston, a colleague and researcher.
to general social science theories or work induc- In the course of their lengthy tape-recorded
tively to arrive at a theory that explains a particu- conversations, Kristy describes in great
lar phenomenon (i.e., grounded theory); some ask detail her view that the SOE dean, George,
about the meaning of this experience for these is allocating more resources for technology
participants (i.e., phenomenology); some look for upgrades, curriculum materials, and conference
common understandings that have emerged to give travel to her male colleagues. Kristy also shares
meaning to participants’ interactions (i.e., symbolic with Winston her detailed journals, which
interaction); some seek to understand the past by capture her experiences with George and
studying documents, relics, and interviews (i.e., other faculty members in interactions dealing
historical research); and some describe the lives of with the allocation of resources. In addition,
individuals (i.e., narrative). Overall, a collective, Winston collects artifacts—including minutes
generic name for these qualitative approaches is of faculty meetings, technology orders, and
interpretive research.5 lists of curriculum materials ordered for the
library at the university—that relate to resource
Narrative Research allocation.

Narrative research is the study of how differ- After collecting all the data that will
ent humans experience the world around them; it influence the story, Winston reviews the
involves a methodology that allows people to tell information, identifies important elements
the stories of their “storied lives.”6 The researcher and themes, and retells Kristy’s story in a
typically focuses on a single person and gathers narrative form. After constructing the story
data by collecting stories about the person’s life. with attention given to time, place, plot, and
The researcher and participant then construct a scene, he shares the story with Kristy, who
written account, known as a narrative, about the collaborates on establishing its accuracy. In
individual’s experiences and the meanings the in- his interpretation of Kristy’s unique story of
dividual attributes to the experiences. Because of gender bias, Winston describes themes related
the collaborative nature of narrative research, it to power and influence in a hierarchical
is important for the researcher and participant to school of education and the struggles faced by
establish a trusting and respectful relationship. An- beginning professors to establish their career
other way to think of narrative research is that paths in a culture that is remarkably resistant
the narrative is the story of the phenomenon be- to change.
ing investigated, and narrative is also the method
of inquiry being used by the researcher.7 One of Ethnographic Research
the goals of narrative research in education is to
increase understanding of central issues related to Ethnographic research, or ethnography, is the
study of the cultural patterns and perspectives of
5 For a discussion, see Qualitative Evaluation and Research Meth- participants in their natural settings. Ethnography
ods (3rd ed), by M. Q. Patton, 2002, Thousand Oaks, CA: Sage. focuses on a particular site or sites that provide the
6 “Stories of Experience and Narrative Inquiry,” by F. M. Connelly researcher with a context in which to study both
and D. J. Clandinin, 1990, Educational Research, 19(5), p. 2. the setting and the participants who inhabit it. An
7 “Stories,” Connelly and Clandinin, pp. 2–14. ethnographic setting can be defined as anything
from a bowling alley to a neighborhood, from a
nomadic group’s traveling range to an elementary

14 CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH

principal’s office. The participants are observed The research report includes a holistic description
as they take part in naturally occurring activities of the culture, the common understandings and
within the setting. beliefs shared by participants, a discussion of how
these beliefs relate to life in the culture, and dis-
The ethnographic researcher avoids making cussion of how the findings compare to literature
interpretations and drawing conclusions too early already published about similar groups. In a sense,
in the study. Instead, the researcher enters the set- the successful researcher provides guidelines that
ting slowly, learning how to become accepted by enable someone not in the culture to know how to
the participants and gaining rapport with them. think and behave in the culture.
Then, over time, the researcher collects data in
waves, making initial observations and interpre- Case Study Research
tations about the context and participants, then
collecting and examining more data in a second Case study research is a qualitative research ap-
wave of refining the initial interpretation, then proach to conducting research on a unit of study
collecting another wave of data to further refine or bounded system (e.g., an individual teacher, a
observations and interpretation, and so on, until classroom, or a school can be a case). Case study
the researcher has obtained a deep understanding research is an all-encompassing method covering
of both the context and its participants’ roles in it. design, data collection techniques, and specific ap-
Lengthy engagement in the setting is a key facet of proaches to data analysis.8 A case study is also the
ethnographic research. The researcher organizes name for the product of case study research, which
the data and undertakes a cultural interpretation. is different from other field-oriented research ap-
The result of the ethnographic study is a holistic proaches such as narrative research and ethno-
description and cultural interpretation that repre- graphic research.
sents the participants’ everyday activities, values,
and events. The study is written and presented Following is an example of a study that used
as a narrative, which, like the study from which the case study research approach.
it was produced, may also be referred to as an
ethnography. Mills (1988)9 asked, “How do central office
personnel, principals, and teachers manage and
Following is an example of an ethnographic cope with multiple innovations?” and studied
approach to a research question. educational change in one American school
district. Mills described and analyzed how
■ What is the Hispanic student culture in an change functioned and what functions it served
urban community college? After selecting a in this district. The function of change was
general research question and a research site viewed from the perspectives of central office
in a community college that enrolls many personnel (e.g., superintendent, director of
Hispanic students, the researcher first gains research and evaluation, program coordinators),
entry to the college and establishes rapport principals, and teachers as they coped with
with the participants of the study. Building and managed multiple innovations, including
rapport can be a lengthy process, depending the introduction of kindergartens to elementary
on the characteristics of the researcher schools, the continuation of a program for
(e.g., non-Hispanic vs. Hispanic; Spanish at-risk students, and the use of the California
speaking vs. non-Spanish speaking). As Achievement Test (CAT) scores to drive school
is common in qualitative approaches, the improvement efforts. Mills used qualitative
researcher simultaneously collects and data collection techniques including participant
interprets data to help focus the general observation, interviewing, written sources of
research question initially posed. data, and nonwritten sources of data.

Throughout data collection, the ethnographic re- 8 Yin, R. K. (2003). Case Study Research: Design and Methods
searcher identifies recurrent themes, integrates (3rd ed.). Thousand Oaks, CA: Sage.
them into existing categories, and adds new cat- 9 Mills, G. E. (1988). Managing and Coping with Multiple Edu-
egories as new themes or topics arise. The suc- cational Changes: A Case Study. Unpublished doctoral disserta-
cess of the study relies heavily on the researcher’s tion, University of Oregon, Eugene.
skills in analyzing and synthesizing the qualitative
data into coherent and meaningful descriptions.

CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH 15

THE QUALITATIVE example, the research procedures in qualitative
RESEARCH PROCESS research are often less rigid than those in quanti-
tative research. Similarly, although both quantita-
Earlier in this chapter we presented four general, tive and qualitative researchers collect data, the
conceptual research steps. In this section we nature of the data differs. Figure 1.1 compares
expand the steps to six, which are followed by the six steps of qualitative and quantitative re-
both quantitative researchers and qualitative re- search and lists traits that characterize each ap-
searchers. However, as we discuss in subsequent proach at every step.
chapters, the application of the steps differs de-
pending on the type of research conducted. For For the most part, the research process is simi-
lar for the three qualitative methods discussed in

FIGURE 1.1 • Characteristics of quantitative and qualitative research

Quantitative Steps in the Process Qualitative
Characteristics of Research Characteristics

• Description and Identifying a • Exploratory and
explanation-oriented Research Problem understanding-oriented

• Major role Reviewing the • Minor role
• Justification for the Literature • Justification for the

research problem and research problem
specification for the need
for the study • General and broad
• Participants'
• Specific and narrow Selecting
• Measurable, Participants/Sample experiences

observable data • Emerging protocols
• Text or image data
• Predetermined Collecting • Small number of
instruments Data
individuals or sites
• Numeric (numbered) data
• Large number of individuals • Text analysis
• Description, analysis,
• Statistical analysis Analyzing and
• Description of trends, Interpreting Data and thematic development
• The larger meaning
comparison of groups, or
relationships among variables of findings
• A comparison of results with
predictions and past studies

• Standard and fixed Reporting and • Flexible and emerging
• Objective and unbiased Evaluating Research • Reflexive and biased

Source: Educational Research: Planning, Conducting, and Evaluating Quantitative and Qualitative Research
(4th ed.), (pp. 20, 464, 504, 541), by Creswell, John W., © 2012. Reprinted by permission of Pearson
Education, Inc., Upper Saddle River, NJ.

16 CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH

this chapter (i.e., ethnographic research, narrative researcher focuses on discovery and understanding,
research, and case study): which requires flexibility in the research design.

1. Identifying a research topic. Often the initial Third, qualitative researchers avoid making pre-
topic is narrowed to be more manageable. mature decisions or assumptions about the study
and remain open to alternative explanations. They
2. Reviewing the literature. The researcher typically wait until they are in the research context
examines existing research to identify useful before making tentative decisions based on initial
information and strategies for carrying out data analysis. As the data are analyzed, the re-
the study. searcher seeks to find patterns, relations, or common
themes among the data. The more data collected, the
3. Selecting participants. Participants are stronger the foundation for the inductive analysis.
purposefully selected (i.e., not randomly
selected) and are usually fewer in number Qualitative research reports include clear and
than in quantitative samples. detailed descriptions of the study that include the
voices of the participants. The report also includes
4. Collecting data. Qualitative data tend to a description of the role of the researcher and his or
be gathered from interviews, observations, her biases or preferences concerning the research
and artifacts. topic or research processes. Qualitative researchers
must also remain vigilant to their responsibility to
5. Analyzing and interpreting data. The researcher obtain ongoing informed consent from participants
analyzes the themes and general tendencies and and to ensure their ethical treatment.
provides interpretations of the data.
CLASSIFICATION OF RESEARCH
6. Reporting and evaluating the research. The BY PURPOSE
researcher summarizes and integrates the
qualitative data in narrative and visual form. Research designs can also be classified by the
degree of direct applicability of the research to
Characteristics educational practice or settings. When purpose is
of Qualitative Research the classification criterion, all research studies fall
into one of two categories: basic research and ap-
The central focus of qualitative research is to pro- plied research. Applied research can be subdivided
vide an understanding of a social setting or activity into evaluation research, research and development
as viewed from the perspective of the research par- (R&D), and action research.
ticipants. As noted previously, the two key charac-
teristics of qualitative research include the collection Basic and Applied Research
of narrative and visual data over a period of time in
a natural, nonmanipulated setting, but qualitative It is difficult to discuss basic and applied research
studies also share several other characteristics. separately, as they are on a single continuum. In
its purest form, basic research is conducted solely
First, qualitative research includes individual, for the purpose of developing or refining a theory.
person-to-person interactions. The researcher strives Theory development is a conceptual process that
to describe the meaning of the findings from the requires many research studies conducted over
perspective of the research participants. To achieve time. Basic researchers may not be concerned with
this focus, the researcher gathers data directly from the immediate utility of their findings because it
the participants. may be years before basic research leads to a practi-
cal educational application.
Qualitative researchers spend a great deal of time
with participants and are immersed in the research Applied research, as the name implies, is con-
setting. The detailed recording of the processes oc- ducted for the purpose of applying or testing a theory
curring in the natural setting provides the basis for to determine its usefulness in solving practical prob-
understanding the setting, the participants, and their lems. A teacher who asks, “Will the theory of multiple
interactions. Without this immersion, the search for intelligences help improve my students’ learning?” is
understanding would elude the qualitative researcher. seeking an answer to a practical classroom question.

Second, qualitative data are analyzed induc-
tively. The qualitative researcher does not impose
an organizing structure or make assumptions about
the findings before collecting evidence. Rather, the

CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH 17

FIGURE 1.2 • The educational research continuum

Basic Applied Evaluation
Research Research Research

Data

Develop and Solve Educational Monitor Progress
Refine Theory Problems Judge Impact

Quantitative Make Decisions
and

Qualitative Methods

This teacher is not interested in building a new theory about those programs, products, and practices. For
or even generalizing beyond her classroom; instead, example, following evaluation, administrators may
she is seeking specific helpful information about the decide to continue a program or to abandon it, to
impact of a promising practice (i.e., a teaching strat- adopt a new curriculum or to keep the current one.
egy based on the theory of multiple intelligences) on Some typical evaluation research questions are, “Is
student learning. this special science program worth its costs?” “Is the
new reading curriculum better than the old one?”
Educators and researchers sometimes disagree “Did students reach the objectives of the diversity
about which end of the basic–applied research con- sensitivity program?” and “Is the new geography
tinuum should be emphasized. Many educational curriculum meeting the teachers’ needs?”
research studies are located on the applied end of the
continuum; they are more focused on what works Evaluations come in various forms and serve dif-
best than on finding out why it works as it does. How- ferent functions.10 An evaluation may be either forma-
ever, both basic and applied research are necessary. tive or summative, for example. Formative evaluation
Basic research provides the theory that produces the occurs during the design phase when a program or
concepts for solving educational problems. Applied product is under development and is conducted dur-
research provides data that can help support, guide, ing implementation so that weaknesses can be rem-
and revise the development of theory. Studies lo- edied. Summative evaluation focuses on the overall
cated in the middle of the basic–applied continuum quality or worth of a completed program or product.
seek to integrate both purposes. Figure 1.2 illustrates
the educational research continuum. Research and Development (R&D)

Evaluation Research Research and development (R&D) is the process
of researching consumer needs and then develop-
At the applied end of the research continuum is ing products to fulfill those needs. The purpose of
evaluation research, an important, widely used, and R&D efforts in education is not to formulate or test
explicitly practical form of research. Evaluation
research is the systematic process of collecting 10 See Evaluation Models: Viewpoints on Educational and Hu-
and analyzing data about the quality, effectiveness, man Services Evaluation, by D. Stufflebeam, G. Madaus, and
merit, or value of programs, products, or prac- T. Kellaghan, 2000, Norwell, MA: Kluwer Academic; Program
tices. Unlike other forms of research that seek new Evaluation, by M. Gridler, 1996, Upper Saddle River, NJ: Prentice
knowledge or understanding, evaluation research Hall; The Program Evaluation Standards: How to Assess Evalua-
focuses mainly on making decisions—decisions tion of Education Programs (2nd ed.), by Joint Committee on Stan-
dards for Educational Evaluation, 1994, Thousand Oaks, CA: Sage.

18 CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH

theory but to develop effective products for use to problem solving that is considerably better
in schools. Such products include teacher-training than change based on the alleged effectiveness of
materials, learning materials, sets of behavioral ob- untried procedures and infinitely better than no
jectives, media materials, and management systems. change at all. It is a means by which concerned
R&D efforts are generally quite extensive in terms of school personnel can attempt to improve the edu-
objectives, personnel, and time to completion. Prod- cational process, at least within their environment.
ucts are developed according to detailed specifica-
tions. Once completed, products are field-tested and GUIDELINES FOR
revised until a prespecified level of effectiveness is CLASSIFICATION
achieved. Although the R&D cycle is expensive, it
results in quality products designed to meet specific Determining which approach to research is ap-
educational needs. School personnel who are the propriate for a given study depends on the way
consumers of R&D endeavors may for the first time the research problem is defined. The same general
really see the value of educational research. problem can often be investigated through several
different types of research. For example, suppose
Action Research you wanted to do a study in the general area of
anxiety and achievement. You could conduct any
Action research in education is any systematic one of the following studies:
inquiry conducted by teachers, principals, school
counselors, or other stakeholders in the teaching– ■ A study of whether teachers believe anxiety
learning environment to gather information about affects achievement (i.e., survey).
the ways in which their particular schools operate,
the teachers teach, and the students learn. Its pur- ■ A study to determine the relations between
pose is to provide teacher-researchers with a method students’ scores on an anxiety scale and their
for solving everyday problems in their own settings. scores on an achievement measure
Because the research is not characterized by the (i.e., correlational).
same kind of control evident in other categories of
research, however, study results cannot be applied ■ A study to compare the achievement of a group
to other settings. The primary goal of action research of students with high anxiety to that of students
is the solution of a given problem, not contribution with low anxiety (i.e., causal–comparative).
to science. Whether the research is conducted in one
classroom or in many classrooms, the teacher is very ■ A study to compare the achievement of two
much a part of the process. The more research train- groups, one group taught in an anxiety-producing
ing the teachers have had, the more likely it is that environment and another group taught in an
the research will produce valid results. anxiety-reducing environment (i.e., experimental).

Following are examples of action research. ■ A study of the cultural patterns and
perspectives related to how parents view the
■ A study to determine how mathematics problem- link between anxiety and achievement
solving strategies are integrated into student (i.e., ethnographic research).
learning and transferred to real-life settings
outside the classroom. An elementary teacher ■ A study of a first-year teacher in a rural
conducts the study in his own school. elementary school who struggles with
establishing his teaching credibility on a
■ A study on how a school grading policy change teaching faculty dominated by female teachers
affects student learning. A team of high school and a female principal (i.e., narrative research).
teachers works collaboratively to determine
how replacing number and letter grades with ■ A study of how the central office personnel,
narrative feedback affects student learning and principals, and teachers in one district manage
attitudes toward learning. and cope with the anxiety of implementing
multiple educational change initiatives
The value of action research is confined primar- (i.e., case study research).
ily to those conducting it. Despite this limitation,
action research represents a scientific approach Note that a research method should be chosen af-
ter, not before, the topic or question to be studied. The
problem determines which approach is appropriate,
and as you can see in the preceding examples, clarify-
ing the problem helps to narrow the choices.

CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH 19

Classifying a study by its method will also help studies. In research the ends do not justify the
you when you review and evaluate others’ research. means, and researchers must not put the need or
If you identify a study as correlational, for instance, desire to carry out a study above the responsibility
you’ll be reminded to avoid making conclusions to maintain the well-being of the study participants.
about cause and effect. Clearly, the more informa- Research studies are built on trust between the
tion you have about a study, the easier it’ll be to researcher and the participants, and researchers
categorize it. If you have only the title, you may have a responsibility to behave in a trustworthy
determine the research approach from words such manner, just as they expect participants to behave
as survey, comparison, relation, historical, descrip- in the same manner (e.g., by providing responses
tive, effect, and qualitative. If you have a descrip- that can be trusted). The two overriding rules of
tion of the research strategy, you’ll often be able ethics are that participants should not be harmed
to classify the study based on features such as the in any way—physically, mentally, or socially—and
number of participants, qualitative or quantitative that researchers obtain the participants’ informed
data, and statistical (e.g., correlational, descriptive, consent, as discussed in the following sections.
comparative) or nonstatistical (e.g., interpretive,
participants’ viewpoint) analysis. To remind researchers of their responsibilities,
professional organizations have developed codes
The following examples should further clarify of ethical conduct for their members. Figure 1.3
the differences among the various types of re- presents the general principles from the Ethical
search. Can you label the research approach for Principles of Psychologists and Code of Conduct
each example? Can you state one characteristic that adopted by the American Psychological Associa-
defines the design? tion. The code provides guidelines and contains
specific ethical standards in 10 categories, which
■ A study determining the teachers’ current are not limited to research: (1) Resolving Ethical
attitudes toward unions. Data are collected Issues, (2) Competence, (3) Human Relations, (4) Pri-
with a questionnaire or an interview. vacy and Confidentiality, (5) Advertising and Other
Public Statements, (6) Record Keeping and Fees,
■ A study focusing on the personal and (7) Education and Training, (8) Research and
educational interactions in a group of teachers Publication, (9) Assessment, and (10) Therapy. You
developing social studies standards for a high may read the full text online at the website for the
school curriculum. Teachers’ interactions American Psychological Association (http://www
during the development of the standards are .apa.org/ethics/code2002.html). Most other profes-
observed over time. sional organizations for behavioral scientists, such
as the American Educational Research Association
■ A study to test a possible relation between and the American Sociological Society, have similar
Graduate Record Examination (GRE) scores and codes for ethical research.
graduate student performance. Participants’ GRE
scores are compared to their grade point averages. The similarity among the ethical codes is not
coincidental; they are based in the same history.
■ A study characterizing the drama–music In 1974 the U.S. Congress passed the National
clique in a suburban high school. The Research Act of 1974, which authorized the cre-
researcher interviews and observes members ation of the National Commission for the Protection
and nonmembers of the clique to gather of Human Subjects of Biomedical and Behavioral
information about the beliefs and activities of Research. This commission was charged with de-
those in the drama–music group. Participants veloping an ethical code and guidelines for re-
are interviewed a number of times over the searchers. The need for a standard set of guidelines
school year, and their behavior is periodically was prompted by a number of studies in which
observed over the same time. researchers lied to research participants or put
them in harm’s way to carry out their studies. For
THE ETHICS OF EDUCATIONAL example, in a study on the effects of group pres-
RESEARCH sure conducted in the 1960s, researchers lied to
participants, telling them to apply high levels of
Ethical considerations play a role in all research electric shock to another (unseen) person who
studies, and all researchers must be aware of and
attend to the ethical considerations related to their

20 CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH

FIGURE 1.3 • General ethical principles

PRINCIPLE A: BENEFICENCE cheat, or engage in fraud, subterfuge, or intentional
AND NONMALEFICENCE misrepresentation of fact. Psychologists strive to keep their
promises and to avoid unwise or unclear commitments. In
Psychologists strive to benefit those with whom they work and situations in which deception may be ethically justifiable to
take care to do no harm. In their professional actions, maximize benefits and minimize harm, psychologists have a
psychologists seek to safeguard the welfare and rights of those serious obligation to consider the need for, the possible
with whom they interact professionally and other affected consequences of, and their responsibility to correct any
persons, and the welfare of animal subjects of research. When resulting mistrust or other harmful effects that arise from the
conflicts occur among psychologists’ obligations or concerns, use of such techniques.
they attempt to resolve these conflicts in a responsible fashion
that avoids or minimizes harm. Because psychologists’ scientific PRINCIPLE D: JUSTICE
and professional judgments and actions may affect the lives of
others, they are alert to and guard against personal, financial, Psychologists recognize that fairness and justice entitle all
social, organizational, or political factors that might lead to persons to access to and benefit from the contributions of
misuse of their influence. Psychologists strive to be aware of psychology and to equal quality in the processes, procedures,
the possible effect of their own physical and mental health on and services being conducted by psychologists. Psychologists
their ability to help those with whom they work. exercise reasonable judgment and take precautions to ensure
that their potential biases, the boundaries of their
PRINCIPLE B: FIDELITY AND RESPONSIBILITY competence, and the limitations of their expertise do not lead
to or condone unjust practices.
Psychologists establish relationships of trust with those with
whom they work. They are aware of their professional and PRINCIPLE E: RESPECT FOR PEOPLE’S
scientific responsibilities to society and to the specific RIGHTS AND DIGNITY
communities in which they work. Psychologists uphold
professional standards of conduct, clarify their professional Psychologists respect the dignity and worth of all people, and
roles and obligations, accept appropriate responsibility for their the rights of individuals to privacy, confidentiality, and self-
behavior, and seek to manage conflicts of interest that could determination. Psychologists are aware that special
lead to exploitation or harm. Psychologists consult with, refer safeguards may be necessary to protect the rights and welfare
to, or cooperate with other professionals and institutions to the of persons or communities whose vulnerabilities impair
extent needed to serve the best interests of those with whom autonomous decision making. Psychologists are aware of and
they work. They are concerned about the ethical compliance of respect cultural, individual, and role differences, including
their colleagues’ scientific and professional conduct. those based on age, gender, gender identity, race, ethnicity,
Psychologists strive to contribute a portion of their professional culture, national origin, religion, sexual orientation, disability,
time for little or no compensation or personal advantage. language, and socioeconomic status and consider these
factors when working with members of such groups.
PRINCIPLE C: INTEGRITY Psychologists try to eliminate the effect on their work of
biases based on those factors, and they do not knowingly
Psychologists seek to promote accuracy, honesty, and participate in or condone activities of others based upon such
truthfulness in the science, teaching, and practice of prejudices.
psychology. In these activities psychologists do not steal,

Source: From “Ethical Principles of Psychologists and Code of Conduct,” by American Psychological Association, 2010a (2002, amended
June 1, 2010). Copyright © 2010 by the American Psychological Association. Reprinted with permission. Retrieved from
http://www.apa.org/ethics/code/index.aspx

was apparently in agony, although no shock was universities, research institutes, and medical cen-
really applied and the unseen person was simply ters that adhere to the current ethical guidelines.
pretending.11 In another study lasting four decades, Most hospitals, colleges, and universities have a
men known to be infected with syphilis were not review group, usually called the Human Subjects
treated for their illness because they were part of a Review Committee (HSRC) or Institutional Review
control group in a comparative study.12 Board (IRB). This board should consist of at least
five members, not all of one gender; include one
Today, studies such as these would not be nonscientist; and include at least one member who
federally funded and could not be conducted at is mainly concerned with the welfare of the partici-
pants. People who may have a conflict of interest
11 “Group Pressure and Action Against a Person,” by S. Milgram, (e.g., the researcher of a particular study, a member
1964, Journal of Abnormal and Social Psychology, 69, 137–143. of the funding organization) are excluded.
12 The Tuskegee Syphilis Experiment, by J. H. Jones, 1998, New
York: Free Press.

CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH 21

Typically, a researcher must submit a proposal requirement involves issues related to personal
to the chair of the board, who distributes copies privacy and confidentiality (i.e., protecting partici-
to all members. Individually the members evaluate pants from embarrassment or ridicule). Collecting
the proposed treatment of participants and then information about participants or observing them
meet as a group to discuss their evaluations. If any without their knowledge or without appropriate
question arises as to whether participants may be permission is not ethical. Furthermore, any informa-
harmed in any way, the review group meets with the tion or data that are collected, either from or about
researcher to clarify the procedures and purposes a person, should be strictly confidential, especially
of the study. When the review group is satisfied if it is personal. In other words, access to data
that participants will not be placed at risk or that should be limited to people directly involved in
potential risk is minimal compared to the potential conducting the research. An individual participant’s
benefits of the study, the committee members sign performance should not be reported or made public
the approval forms, signifying that the proposal is using the participant’s name, even for a seemingly
acceptable with respect to participant protection. innocuous measure such as an arithmetic test.
We recommend that you contact the IRB at your
institution to learn its guidelines for the protection The use of anonymity to ensure confiden-
of human subjects. You should obtain any forms tiality and avoid privacy invasion and potential
required for research with humans and consider harm is common. Study participants have com-
how you would complete the paperwork given the plete anonymity when their identities are kept hid-
ethical guidelines presented in this chapter. den from the researcher. It is often confused with
confidentiality; researchers protect confidentiality
Informed Consent and Protection when they know the identities of study partici-
from Harm pants but do not disclose that information. If the
researcher knows participants’ identities, the par-
Perhaps the most basic and important ethical is- ticipants should be assured of confidentiality but
sues in research are concerned with protection not anonymity. Removing names from data sheets
of participants, broadly defined, which requires or coding records is one common way to maintain
that research participants not be harmed in any anonymity. When planning a study, researchers tell
way (i.e., physically, mentally, or socially) and that participants whether they will provide confidenti-
they participate only if they freely agree to do so ality (i.e., the researcher knows but won’t tell) or
(i.e., give informed consent). anonymity (i.e., researcher will not know the par-
ticipants’ names); good researchers make sure they
Researchers obtain informed consent by making know the difference. Sometimes researchers seek
sure that research participants enter the research of access to data from a previous study to examine
their free will and with understanding of the nature new questions based on the old data. In such cases,
of the study and any possible dangers that may the original researcher has the responsibility to
arise as a result of participation. This requirement maintain the confidentiality or anonymity promised
is intended to reduce the likelihood that partici- the participants of the original study.
pants will be exploited by a researcher persuading
them to participate when they do not fully know When research is conducted in the classroom,
the requirements of the study. Participants who are concerns about confidentiality and anonymity are
not of legal age or are not mentally capable cannot frequently raised. The Family Educational Rights
give informed consent; in these cases, permission and Privacy Act of 1974, usually referred to as the
must be given by parents or legal guardian. Even if Buckley Amendment, was designed to protect the
permission is granted from a guardian, all partici- privacy of students’ educational records. Among its
pants still retain the right to decline to participate— provisions is the specification that data that identify
the researcher must provide to each participant, in a student may not be made available unless written
language appropriate to the individual’s develop- permission is acquired from the student (if of legal
mental level, basic information about the task, and age) or a parent or legal guardian. The permission
the participant must agree to participate. form must indicate what data may be disclosed, for
what purposes, and to whom. If a study requires
Researchers ensure freedom from harm first obtaining information from individual elementary
by not exposing participants to undue risks. This students’ school record files, the researcher must

22 CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH

obtain written permission from each student’s par- even student researchers, are responsible for main-
ent or guardian, not a blanket approval from the taining ethical standards in the research.
school principal or classroom teacher. In contrast,
researchers interested in using class averages (in Ethical Issues in Qualitative Research
which no individual student was identified) can
usually seek permission only from the principal. The ethical issues and responsibilities discussed
However, if a researcher planned to calculate the thus far pertain to both quantitative and qualitative
class average him- or herself, using information research plans. However, some features of qualita-
provided in individual student records, permission tive research raise additional issues not typically
from each student is required. encountered in quantitative research.

There are some exceptions to this requirement Qualitative research differs from quantitative
for written consent. For example, school personnel research in at least two major ways that produce
with a legitimate educational interest in a student additional ethical concerns. First, qualitative re-
would not need written consent to examine student search plans typically evolve and change as the
records (e.g., a teacher conducting action research researcher’s immersion in and understanding of
in his or her own classroom). In other cases, the the research setting grow. In a real sense, the
researcher could request that a teacher or guid- research plan is only generally formed when pre-
ance counselor either remove names from students’ sented to the Human Subjects Review Committee.
records completely or replace them with a coded As the plan evolves with added understanding of
number or letter. The researcher could then use the context and participants, unanticipated and un-
the records without knowing the names of the in- reviewed ethical issues can arise and need to be
dividual students. resolved on the spot. For example, as participants
become more comfortable with the researcher, they
Deception often ask to see what has been written about them.
They feel entitled to this information, even though
Another ethical dilemma occurs when a researcher seeing what has been written may cause personal
poses a topic that, if disclosed completely to poten- distress for them or data collection problems for the
tial participants, would likely influence or change researcher. Second, qualitative researchers typically
their responses. For example, studies concerned are personally engaged in the research context.
with participants’ racial, gender, cultural, or medi- Interviews, observations, and debriefings bring
cal orientation or attitudes are especially suscep- the researcher and participants in close, personal
tible to such influences, and researchers often hide contact. The closeness between participants and
the true nature of the topic of study. As another researcher helps to provide deep and rich data, but
example, research on how teachers interact with it may also create unintended influences on objec-
students may be affected if the teachers know the tivity and data interpretation.
aim of the study and change their normal behaviors
as a result. When deception occurs, participants The focus on immersion and detailed knowl-
cannot truly give informed consent. edge of the research context, more common in
qualitative than quantitative research, may result
This type of deception is a form of lying, and in the researcher observing behavior that may oth-
studies in which the researcher plans to deceive erwise be hidden, such as illegal or unprofessional
participants must be carefully scrutinized on ethi- activities. The qualitative researcher may observe
cal grounds. Some researchers believe that any theft, emotional cruelty and ridicule, or narcotics
study that requires deceitful practice should not be use, for example. In these and other similar situa-
carried out. Others recognize that some important tions, the researcher must make a choice—report
studies cannot be undertaken without deception. the observations, knowing that to do so likely will
We recommend that you do your initial research end the study because participants will no longer
studies on topics that do not require deception. If be certain of the researcher’s promise of confi-
you choose a topic that involves deception, your dentiality, or keep silent on the assumption that
advisor and the HSRC or IRB at your institution will the system will eventually identify and correct the
provide suggestions for ethical ways to carry out problems. In educational research, if the researcher
your research plan. Remember that all researchers, perceives physical or psychological danger, he or

CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH 23

she has a strong mandate to inform the school A researcher should have an ethical perspec-
authorities. tive with regard to the research that is very close
to his or her personal ethical position. Qualitative
Unfortunately, not all situations present ethi- researchers may find themselves in situations that
cally clear actions. To respond appropriately and to seem foreign. For example, consider a collabora-
make ethical decisions, qualitative researchers must tive action research project focused on how a new
ensure that their professional ethical perspectives math problem-solving curriculum affects student
are closely aligned with their personal ethical per- achievement and attitude. Teachers distribute stu-
spectives. This statement may seem obvious, except dent attitude surveys in their classrooms, which are
for this caveat: Qualitative researchers may find later analyzed by a team of teacher researchers rep-
themselves in situations that require an immediate resenting different grades in the school. During the
response—the very essence of which may threaten analysis it becomes clear that students in one of the
the success of the research. If your personal and groups are very unhappy with their math instruction
research ethical perspectives are aligned, you will and have supported their assertions with negative
in all likelihood respond to ethical challenges in comments about the teacher. What will you do with
an appropriate, professional fashion that will not the data? Should they be shared in an unedited form
threaten the ongoing conduct of your research. with the teacher? Who stands to be hurt in the pro-
cess? What potential good can come from sharing
Considering ethics before commencing qualita- the data? What assurances of confidentiality were
tive research is one way to ensure that you will be given to the participants before collecting the data?
prepared to respond in an ethical, caring manner if
difficult situations arise. The role of ethics in quali- This scenario is not meant to scare you away
tative research can be considered in terms of how from doing qualitative research but rather to illustrate
we treat the individuals with whom we interact in the unexpected outcomes that occasionally face qual-
research settings. The nature of the qualitative re- itative researchers. Smith’s guidepost is an important
search enterprise provides the potential for conflict one. You will more likely avoid such awkward situ-
and harm, and it is critical that everyone involved ations if you clarify your ethical perspectives at the
has a clear understanding of the intimate and open- outset. A values clarification activity that can be un-
ended nature of the research process so that par- dertaken individually or collectively may be helpful.
ticipants are not injured in the name of research. It is worthwhile to reflect on how you would want
to be treated as a participant in a research study.
To summarize, qualitative research is intimate How would you feel if you were deceived by the re-
because there is little distance between researchers searchers? What action would you take? How can you
and their study participants. Qualitative research is prevent research participants from feeling exploited?
open-ended because the direction of the research Again, there are no simple answers to these ethical
often unfolds during the course of the study. As a questions. The point is this: Be prepared to respond
result, qualitative researchers often cannot obtain in a manner that is comfortable and natural for you.
participants’ informed consent, the principle that
seeks to ensure that all human research partici- Informed consent should take the form of a
pants retain autonomy and the ability to judge for dialogue that mutually shapes the research and
themselves whether risks are worth taking for the the results. Be clear about whether you need to
purpose of furthering scientific knowledge. seek permission from participants in the study by
discussing the research project with a school ad-
Ethical Guideposts ministrator or central office person who can de-
scribe instances that require written permission,
The following commonsense ethical guideposts, and check the requirements of your Institutional
adapted from Smith,13 may help qualitative re- Review Board. For example, if you are collecting
searchers respond appropriately when faced with photographs or videotapes as data and intend to
ethical decisions before, during, and after a qualita- use these artifacts in a public forum, such as a pre-
tive research inquiry. sentation at a conference, make sure that you know
whether written permission is necessary.
13 “Ethics in Qualitative Field Research,” by L. M. Smith, 1990,
in Qualitative Inquiry in Education: The Continuing Debate, Thinking about the relation between confidenti-
by E. W. Eisner and A. P. Peshkin (Eds.), New York: Teachers ality and informed consent helps to clarify some of
College Press.

24 CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH

these issues. Confidentiality is important for protect- reciprocity, and collaboration and to be sensitive
ing research informants from stress, embarrassment, to how these processes are viewed by other par-
or unwanted publicity as well as for protecting ticipants in the research. Again, this perspective
participants should they reveal something to a re- forces us to confront the socially responsive charac-
searcher that could be used against them by others teristics of our research efforts as being democratic,
interested in the outcomes of the research. In some equitable, liberating, and life enhancing.
qualitative research efforts, assigning pseudonyms
to conceal identities is not enough because other The purpose of this discussion on ethics in
details can lead to identification of the individuals qualitative research has been to prepare you to
or specific research settings. Researchers must con- think about a range of issues that face any re-
sider whether participants would have consented searcher. Carefully consider how you will respond
to the study had they known about the type of when confronted with difficult questions from
data collected and the way in which results would colleagues, parents, students, and administrators.
be distributed, and they must take steps to ensure Taking time to clarify your values and ethical per-
that participants’ right to privacy is not violated. In- spectives will help you respond in a professional,
formed consent should take the form of an ongoing personal, and caring fashion.
dialogue that shapes the research and the results.
As you embark on your qualitative research
Researchers should also think beyond the meth- journey, remember that, in matters of ethics, there
ods they plan to use; they must identify broader are few absolutes. Working through issues related
social principles that are integral parts of who they to confidentiality, anonymity, informed consent,
are as researchers and as contributing members of and rational judgment before you begin will help
the communities in which they live. These broader you to avoid or resolve potentially difficult situa-
social principles dictate one’s ethical stance. For ex- tions that may arise in implementing a qualitative
ample, democratic processes, social justice, equal- research effort. See Figure 1.4 for a summary of
ity, and emancipation may be the principles that ethical guidelines for qualitative researchers.
guide ethical behavior in a given situation.
The sources and advice noted in this chapter
Qualitative researchers are morally bound to will help you conceive and conduct ethical stud-
conduct their research in a manner that minimizes ies. The suggestions do not cover all the ethical
potential harm to those involved in the study. A issues you are likely to encounter in your research.
broader view of this concept suggests that qualita- Perhaps the fundamental ethical rule is that par-
tive researchers need to convey with confidence ticipants should not be harmed in any way, real
that research participants will not suffer harm as the or possible, in the name of science. Respect and
result of their involvement in the research effort. concern for your own integrity and for your partici-
pants’ dignity and welfare are the bottom lines of
Even though an action may bring about good re- ethical research.
sults, it is not ethical unless that action also conforms
to ethical standards such as honesty and justice. FIGURE 1.4 • Ethical guidelines
From this perspective, acting ethically may be viewed for qualitative researchers
in terms of doing unto others as you would have
them do unto you. For example, it is unethical to treat _____ Develop an ethical perspective that is close to
participants as research pawns or as means to an end. your personal, ethical position.

The qualitative researcher must remain at- _____ Seek research participants’ informed consent.
tentive to the relationship between the researcher
and the participants, a relationship determined _____ Determine the broader social principles that
by “roles, status, language, and cultural norms.”14 affect your ethical stance.
The lesson for qualitative researchers who are pro-
ponents of this perspective is to pay attention _____ Consider confidentiality to avoid harm.
to the research processes of giving information,
_____ There is no room for deception!
14 “In Search of Ethical Guidance: Constructing a Basis for Dia-
logue,” by D. J. Flinders, 1992, Qualitative Studies in Education, Source: Mills, Geoffrey, Action Research: A Guide for the Teacher
5(2), p. 108. Researcher, 4th Edition, © 2011. Reprinted by permission of
Pearson Education, Inc., Upper Saddle River, NJ.

CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH 25

Gaining Entry to the Research Site designed, and that you will work with teachers to
minimize inconvenience.
Very rarely is it possible to conduct educational re-
search without the cooperation of other people. An Achieving full cooperation, beyond approval
initial step in acquiring the needed cooperation is to on paper, requires that you invest as much time as
identify and follow required procedures for gaining is necessary to discuss your study with the princi-
approval to conduct the study in the chosen site. pals, the teachers, and perhaps even parents. These
In schools, research approval is usually granted by groups have varying levels of knowledge and un-
the superintendent, school board, or some other derstanding regarding the research process. Their
high-level administrator, such as the associate su- concerns will focus mainly on the perceived value
perintendent for instruction. In other settings, such of the study, its potential impact on participants,
as hospitals or industry, an individual or a com- and the logistics of carrying it out. The principal,
mittee is typically charged with examining and for example, will probably be more concerned with
then approving or denying requests to do research whether you are collecting any data that may be
at the site. Regardless of the site, the researcher viewed as objectionable by the community than
must complete one or more forms that describe the with the specific design you will be using. All
nature of the research, the specific request being groups will be interested in what you may be able
made of the site personnel, and the benefits to the to do for them. You should fully explain any poten-
site. Before the request is approved, the researcher tial benefits to the students, teachers, or principals
may need to obtain permission from others as well; as a result of your study. Your study, for example,
for example, a superintendent or school board may may involve special instructional materials that are
require that permission be granted from the prin- given to the teachers after the data collection ends.
cipal or principals whose schools will be involved. Even if all parties are favorably impressed, how-
Even if such approval is not required, it should be ever, the spirit of cooperation will quickly dwindle
sought, both as a courtesy and for the sake of a if your study involves considerable extra work or
smoothly executed study. Of course, as discussed inconvenience on their part. Bear in mind that
earlier, all participants must agree to be part of the principals and teachers are accommodating you;
study. Depending on the nature of the study, per- they are helping you complete your study without
mission, or at least acceptance, should be obtained relief from their normal responsibilities. If asked,
from the teachers who will participate in the study. you should make any changes you can in the study
If students under 18 are to be involved, written to better preserve participants’ normal routines, as
parental permission will be needed. long as you do not adversely affect your work or
its results. No change should be made solely for
Given the potential complexity of obtaining the sake of the compromise, without considering
permission to conduct your research at the chosen its impact on the study as a whole.
site or sites, you should not assume that permis-
sion will be granted easily (e.g., often researchers It is not unusual for principals or teachers to
hear, “we’re too busy”) or quickly (i.e., bureaucra- want something in return for their participation.
cies move slowly). Thus, you should think care- The request may be related to your study, as when
fully about how to explain your study to all those a principal asks to review your final report for ac-
who must provide permission and approval. The curacy, asks you to return to the school to describe
key to gaining approval and cooperation is good your findings to teachers, or requests that your re-
planning, and the key to good planning is a well- sults not be disseminated without the principal’s ap-
designed, carefully thought-out study and research proval. The first two requests are more easily agreed
plan. Some superintendents and principals are to than the third, which probably should be refused
hesitant about research in their schools because in favor of an offer to discuss the principal’s con-
of previous bad experiences. They don’t want any- cerns, if any. It is also common for principals to ask
one else running around their schools, disrupting the researcher to provide a session or two of profes-
classes, administering poorly constructed ques- sional development for teachers in the school.
tionnaires, or finding problems. It is up to you
to convince school personnel that what you are Figure 1.5 presents a letter written by a principal
proposing is of value, that your study is carefully to inform parents of a doctoral student’s proposed
study. The student appears to have shared the
potential benefits of the study with the principal

26 CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH

FIGURE 1.5 • Principal’s letter to parents concerning a proposed research study

THE SCHOOL BOARD OF KNOX COUNTY, MASSACHUSETTS

Oak Street Elementary School
Gwen Gregory, Principal
113 Oak Street
Clover, Massachusetts
555-555-5555

January 23, 2005
Dear Parent/Guardian:
Oak Street Elementary School has been chosen to participate in a research study.
Our school was selected out of the entire country as a result of our outstanding
students and computer program. All third- and fifth-grade students will be able to
participate. The results of this study will enable our teachers and parents to discover
and understand the learning styles of our students. This knowledge will enable
teachers and parents to provide special instruction and materials to improve student
learning. It will also provide valuable information for the future development of
effective professional computer software.
This study will take place from January 29 to March 30, 2005. It will be conducted by
Mrs. Joleen Levine, a recognized and experienced computer educator. She has
been Director of Computer Education at Northern University for six years. During
that time she has participated in many projects in Knox County that involved teacher
training, computer curriculum development, and computer assisted instruction
implementation.
I have reviewed this research study and feel that it is a very worthwhile endeavor for
our students and school. Please review the information on the following page in
order to make a decision concerning permission consent for your child to participate
in this study.
Sincerely,

Gwen Gregory
Principal

and, as a result, secured not only the principal’s you are dealing with sincere, concerned educators
permission but also her strong support and coop- who may not have your level of research expertise.
eration. The parental permission form that accom- Therefore, you must make a special effort to dis-
panied the letter, shown in Figure 1.6, addresses cuss your study in plain English (it is possible!) and
many of the ethical and legal concerns discussed never give school personnel the impression that
in this chapter. you are talking down to them. Also, your task is
not over once the study begins. The feelings of in-
Clearly, human relations are an important volved persons must be monitored and responded
factor in conducting research in applied settings. to throughout the duration of the study if the initial
That you should be your usual charming self goes level of cooperation is to be maintained.
without saying, but you should keep in mind that

CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH 27

FIGURE 1.6 • Parental permission form for a proposed research study

PARENTAL PERMISSION FORM

The information provided on this form and the accompanying cover letter is presented
to you in order to fulfill legal and ethical requirements for Northwest Eaton College (the
institution sponsoring this doctoral dissertation study) and the Department of Health and
Human Services (HHS) regulations for the Protection of Human Research Subjects as
amended on March 26, 1989. The wording used in this form is utilized for all types of
studies and should not be misinterpreted for this particular study.

The dissertation committee at Northern University and the Research Review
Committee of Knox County Public Schools have both given approval to conduct this study,
“The Relationships Between the Modality Preferences of Elementary Students and
Selected Instructional Styles of CAI as They Affect Verbal Learning of Facts.” The purpose
of this study is to determine the effect on achievement scores when the identified learning
styles (visual, audio, tactile/kinesthetic) of elementary students in grades 3 and 5 are
matched or mismatched to the instructional methods of specifically selected computer
assisted instruction (CAI).

Your child will be involved in this study by way of the following:

1. Pretest on animal facts.
2. Posttest on animal facts.
3. Test on learning styles.
4. Interaction with computer-assisted instruction (CAI-software on the computer)—

visual, audio, tactile CAI matching the student’s own learning style.

All of these activities should not take more than two hours per student. There are no
foreseeable risks to the students involved. In addition, the parent or researcher may
remove the student from the study at any time with just cause. Specific information about
individual students will be kept strictly confidential and will be obtainable from the school
principal if desired. The results that are published publicly will not reference any individual
students since the study will only analyze relationships among groups of data.

The purpose of this form is to allow your child to participate in the study, and to allow
the researcher to use the information already available at the school or information
obtained from the actual study to analyze the outcomes of the study. Parental consent for
this research study is strictly voluntary without undue influence or penalty. The parent
signature below also assumes that the child understands and agrees to participate
cooperatively.

If you have additional questions regarding the study, the rights of subjects, or potential
problems, please call the principal, Ms. Gwen Gregory, or the researcher, Ms. Joleen
Levine (Director of Computer Education, Northern University, 555-5554).

Student’s Name Date
Signature of Parent/Guardian

This chapter has provided a general introduc- If the number of new terms and definitions seems
tion to fundamental aspects of the scientific method, overwhelming, remember that most will be revis-
along with examples of both quantitative and quali- ited and reviewed in succeeding chapters. In those
tative approaches. Included are overviews of educa- chapters we present more specific and detailed fea-
tional research methods, research purposes, and the tures needed to carry out, understand, and conduct
ethical dilemmas faced by educational researchers. useful educational research.

28 CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH

SUMMARY

THE SCIENTIFIC METHOD DIFFERENT APPROACHES
TO EDUCATIONAL RESEARCH
1. The goal of all scientific endeavors is to describe,
explain, predict, and/or control phenomena. The Continuum of Research Philosophies

2. Compared to other sources of knowledge, 8. There are certain philosophical assumptions
such as experience, authority, inductive that underpin an educational researcher’s
reasoning, and deductive reasoning, decision to conduct research. These
application of the scientific method is the philosophical assumptions address issues
most efficient and reliable. related to the nature of reality (ontology),
how researchers know what they know
3. The scientific method is an orderly process (epistemology), and the methods used to study
that entails recognition and definition of a particular phenomenon (methodology).
a problem, formulation of hypotheses,
collection and analysis of data, and statement Quantitative Research
of conclusions regarding confirmation or
disconfirmation of the hypotheses. 9. Quantitative research is the collection and
analysis of numerical data to explain, predict,
Limitations of the Scientific Method and/or control phenomena of interest.

4. Four main factors put limitations on the use of 10. Key features of quantitative research are
a scientific and disciplined inquiry approach: hypotheses that predict the results of the
inability to answer some types of questions, research before the study begins; control of
inability to capture the full richness of the contextual factors that may influence the study;
research site and the complexity of the partici- collection of data from sufficient samples of
pants, limitations of measuring instruments, participants; and use of numerical, statistical
and the need to address participants’ needs approaches to analyze the collected data.
in ethical and responsible ways.
11. The quantitative approach assumes the world
Application of the Scientific Method is relatively stable, uniform, and coherent.
in Education
Qualitative Research
5. Research is the formal, systematic application
of the scientific method to the study of 12. Qualitative research is the collection, analysis,
problems; educational research is the formal, and interpretation of comprehensive narrative
systematic application of the scientific method and visual (nonnumeric) data to gain insights
to the study of educational problems. into a particular phenomenon of interest.

6. The major difference between educational 13. Key features of qualitative research include
research and some other types of scientific defining the problem, but not necessarily at
research is the nature of the phenomena studied. the start of the study; studying contextual
It can be quite difficult to explain, predict, and factors in the participants’ natural settings;
control situations involving human beings, by far collecting data from a small number of
the most complex of all organisms. purposely selected participants; and using
nonnumeric, interpretive approaches
7. The research process usually comprises four to provide narrative descriptions of the
general steps: participants and their contexts.
a. Selection and definition of a problem
b. Execution of research procedures 14. An important belief that underlies qualitative
c. Analysis of data research is that the world is not stable,
d. Drawing and stating conclusions coherent, nor uniform, and, therefore, there
are many truths.

CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH 29

CLASSIFICATION OF RESEARCH assigned to different treatments, experimental
BY METHOD research permits researchers to make true
cause–effect statements.
15. A research method comprises the overall 24. Single-subject experimental designs are a type
strategy followed in collecting and analyzing of experimental research that can be applied
data. All educational research ultimately when the sample is one individual or group.
involves the decision to study and/or describe This type of design is often used to study the
something—to ask questions and seek an behavior change an individual or group exhibits
answer. However, the approaches used as a result of some intervention or treatment.
to answer these questions can be broadly
classified as quantitative or qualitative Qualitative Approaches
research.
25. Qualitative approaches include narrative
Quantitative Approaches research, ethnographic research, and case
study research. The focus of these methods
16. Quantitative research approaches are intended is on deep description of aspects of people’s
to describe current conditions, investigate everyday perspectives and context.
relations, and study cause–effect phenomena.
26. Narrative research is the study of how
17. Survey research involves collecting numerical individuals experience the world. The researcher
data to answer questions about the current typically focuses on a single person and gathers
status of the subject of study. data through the collection of stories.

18. Correlational research examines the relation 27. Ethnographic research is the study of
between two or more variables. A variable is a the cultural patterns and perspectives
placeholder—such as age, IQ, or height—that of participants in their natural setting.
can take on different values. Ethnography focuses on a particular site
or sites that provide the researcher with a
19. In correlational research, the degree of context in which to study both the setting
relation is measured by a correlation and the participants who inhabit it.
coefficient. If two variables are highly related,
one is not necessarily the cause of the other. 28. Case study research is a qualitative research
approach to conducting research on a unit
20. Causal–comparative research seeks to of study or bounded system (e.g., classroom,
investigate differences between two or more school).
different programs, methods, or groups. The
activity thought to make a difference (e.g., THE QUALITATIVE RESEARCH PROCESS
the program, method, or group) is called the
grouping variable. The effect is called the 29. Qualitative research generally involves six
dependent variable. steps: Identifying a research topic, reviewing
the literature, selecting participants, collecting
21. In most causal–comparative research studies, data, analyzing and interpreting data, and
the researcher does not have control over reporting and evaluating the research.
the grouping variable because it already has
occurred or cannot be manipulated. Causal– Characteristics of Qualitative Research
comparative research is useful in those
circumstances when it is impossible or unethical 30. Qualitative data are gathered directly from
to manipulate an independent variable. participants, and qualitative researchers spend
a great deal of time with participants as they
22. True experimental research investigates causal consider alternative explanations for the
relations among variables. behavior they see.

23. The experimental researcher controls the 31. Qualitative research reports include detailed
selection of participants by choosing them descriptions that include the voices of
from a single pool and assigning them at the participants as well as the biases and
random to different causal treatments. The perspective of the researcher.
researcher also controls contextual variables
that may interfere with the study. Because
participants are randomly selected and

30 CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH

CLASSIFICATION OF RESEARCH and approved by an Institutional Review
BY PURPOSE Board prior to the execution of the research,
to ensure protection of the participants.
Basic and Applied Research 42. Researchers obtain informed consent by
making sure that research participants enter
32. Basic research is conducted to develop or the research of their free will and with
refine theory, not to solve immediate practical understanding of the nature of the study and
problems. Applied research is conducted to any possible dangers that may arise as a result
find solutions to current practical problems. of participation.
43. Study participants are assured of
Evaluation Research confidentiality; researchers promise not to
disclose participants’ identities or information
33. The purpose of evaluation research is to that could lead to discovery of those identities.
inform decision making about educational Confidentiality differs from anonymity; the
programs and practices. identities of anonymous participants are
hidden from the researcher as well.
Research & Development 44. The Family Educational Rights and Privacy
Act of 1974, referred to as the Buckley
34. The major purpose of R&D efforts is to Amendment, protects the privacy of the
develop effective products for use in schools. educational records of students. It stipulates
that data that identify participants by name
Action Research may not be made available to the researcher
unless written permission is granted by the
35. The purpose of action research is to provide participants.
teacher researchers with a method for solving 45. Studies involving deception of participants
everyday problems in their own settings. are sometimes unavoidable but should be
examined critically for unethical practices.
THE ETHICS OF EDUCATIONAL RESEARCH 46. Qualitative researchers, because of their
closeness to participants, must pay special
36. Ethical considerations play a role in all attention to ethical issues and view informed
research studies, and all researchers must be consent as a process that evolves and changes
aware of and attend to ethical considerations throughout the study. Qualitative researchers
in their research. may witness dangerous or illegal behavior and
may have to make ethical decisions on the spot.
37. The two overriding rules of ethics are that
participants should not be harmed in any Gaining Entry to the Research Site
way—physically, mentally, or socially—and
that researchers must obtain the participants’ 47. It is rarely possible to conduct research
informed consent. without the cooperation of other people. The
first step in acquiring needed cooperation is to
38. Professional organizations develop ethical follow required procedures in the chosen site.
principles for their members, and the federal
government has enacted laws to protect 48. A formal approval process usually involves the
research participants from harm and invasion completion of one or more forms describing the
of privacy. nature of the research and the specific request
being made of the school or other system.
39. Probably the most definitive source of ethical
guidelines for researchers is the Ethical 49. The key to gaining approval and cooperation
Principles of Psychologists and Code of is good planning and a well-designed,
Conduct, prepared for and published by the carefully constructed study.
American Psychological Association (APA).
50. After formal approval for the study is
40. The National Research Act of 1974 led to the granted, you should invest the time necessary
creation of a standard set of federal guidelines to explain the study to the principal, the
for the protection of human research teachers, and perhaps even parents. If these
participants.

41. Most hospitals, colleges, and universities
require that proposed research activities
involving human participants be reviewed

CHAPTER 1 • INTRODUCTION TO EDUCATIONAL RESEARCH 31

groups do not cooperate, you likely will not 52. The feelings of participants should be
be able to do your study. monitored and responded to throughout the
51. If changes in the study are requested and can study if the initial level of cooperation is to
be made to accommodate the normal routine be maintained. Human relations are important
of the participants, these changes should when conducting research in applied research
be made unless the research will suffer settings.
as a consequence.

Go to the topic “Introduction to Educational Research” in the MyEducationLab (www.myeducationlab.com) for
your course, where you can:

◆ Find learning outcomes.
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