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Volume 2, No. 1 February 2001
Discovery as Basic Methodology of Qualitative and Quantitative Research1)
Gerhard Kleining & Harald Witt
Abstract: The paper argues 1. that methodologies
of qualitative research in psychology and the social sciences
should be directed toward discoveries rather than
reflexive interpretations. It gives a critical account of
hermeneutics and the "interpretative paradigm" pointing to
three drawbacks: inherent subjectivity of interpretations,
restriction to Geisteswissenschaft or the
qualitative form of data and a recent tendency of
dissolution of rules in what is said to be a crisis of
qualitative research (DENZIN & LINCOLN 1994, pp.577f.).
(2.) A number of classical studies in psychology and
sociology show that problems associated with hermeneutics can be
overcome using discovery or explorative research
strategies. (3.) The authors present the Hamburg qualitative
heuristic methodology which is in line with various classical
studies but makes its methodological decisions explicit. It
describes four basic rules of data collection and data
analysis, the process of heuristic research and
verification of its results. (4.) It gives an example of
explorative research with qualitative data using the
methods of the qualitative experiment and
group-controlled "dialogic" introspection and evaluates these
techniques. (5.) It shows how quantitative data can
be handled in an explorative approach. An example is the
exploration of the present structure of German society. (6.)
It claims that there is no inherent relationship between the form
of the dataqualitative or quantitativeand a certain
research methodologyheuristic, deductive,
hermeneuticthough heuristic research in psychology and the
social sciences can be handled more easily with qualitative data
as they carry meaning. (7.- 8.) After a look at discovering
methods in the natural sciences the authors conclude that
discoveries should be a basic guideline for psychological and
social research in general, which could bridge the gap between
qualitative and quantitative research methodologies and establish
a new relationship toward the natural sciences which owe their
success mainly to the development of their explorative
capacities.
Key words: hermeneutics, heuristics, qualitative
methodology, quantitative research, qualitative experiment,
introspection
1. |
A Critical Appraisal of Hermeneutics as a Research Methodology |
2. |
Heuristics as a Method of Discovery in Psychology and the Social Sciences |
3. |
The Hamburg Approach to Qualitative Heuristic Research |
4. |
An Example of Qualitative Heuristic Research: Introspection |
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4.1 |
Methodology, methods and design |
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4.2 |
Findings concerning the topic |
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4.3 |
Findings concerning methodology |
5. |
An Example of Heuristic Research with Quantitative Data: Social Structure |
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5.1 |
Methodology, methods and design |
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5.2 |
Results |
6. |
The Heuristic Potential of Qualitative and Quantitative Research |
7. |
A Look at Discoveries in the Sciences |
8. |
An Appeal to Use Heuristic Methodology in
Qualitative and Quantitative Research |
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A Critical Appraisal of Hermeneutics as a
Research Methodology
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Hermeneutics, according to Wilhelm DILTHEY, is "the art of
interpretation of written documents" ["Die Kunstlehre der Auslegung von Schriftdenkmalen"] (1900, p.320). The name comes from
Hermes, son of Zeus, otherwise known as the God of travellers,
traders and thieves who because of his slyness was taken as
competent to interpret intentions of the Gods to human beings.
The art of interpretation became a major activity in literature,
philosophy, theology and jurisprudence during a long and diverse
development (GADAMER 1974) and may be seen as ranging from an
abstract "philosophical hermeneutic" culminating in HEIDEGGER's
belief in hermeneutics as the ontological foundation of human
existence to empirical interpretations of a juridical paragraph,
a biblical verse in a sermon or a poem. [1]
At the end of the nineteenth century hermeneutics had its most
dramatic impact on the development of the sciences when
Neo-Kantian philosophers Heinrich RICKERT and Wilhelm WINDELBAND
emphasized the differences between sciences concerned with
"nature" and "mind" and DILTHEY in his attempt to lay foundation
to what he called "Geisteswissenschaften" (1883) named
hermeneutics and Verstehen as its basic method ["Hauptbestandteil der Grundlegung der Geisteswissenschaften"] (1900, p.331). The final goal of the hermeneutic method would be
to "understand the author better than he understood himself"
(o.c., p.331). DILTHEY included history into
"Geisteswissenschaften", a field which John Stuart MILL had not
regarded as belonging to his "Moral Sciences". Their prominent
representative was (positive) psychology. DILTHEY however
suggested two types of psychology: "explaining psychology" based
on concepts of the natural sciences and a "descriptive and
analytic psychology" based on Erleben and Verstehen
(1894). The new "descriptive psychology" could use a wide variety
of methods e.g. experiencing the self, observation of other
persons, experiments, comparative approaches, studies of abnormal
behavior, of language, myths, literature, art, historical
achievementsaiming at "Verstehen" by description and
analysis ["zergliedern"]. [2]
The concept of "Verstehen" was highly successful in the
scientific market during a period when "philosophy of life" was
in vogue and there were many variations within the theoretical
literature. Most influential was Max WEBER's "Verstehende
Soziologie" accepting the split of "Verstehen" and
"Erklären" for sociology and suggesting the method of the
"ideal type"-construction for the analysis of "Verstehen".
[3]
The present classification of the sciencesNatur- versus
Geisteswissenschaften or physical sciences versus
humanities/social sciences etc.is more or less in line
with DILTHEY's suggestion more than a hundred years ago and the
present differentiation of "quantitative versus qualitative"
research can be seen as a repetition of his methodological split
under new headings. [4]
The second impact of hermeneutics upon the social sciences
occurred during the last third of the twentieth century. In
Germany Hans-Georg GADAMER's book on philosophical hermeneutics
was published in 1960 and some years later initiated a
controversial discourse on the "universality" of hermeneutics
(Theorie-Diskussion 1971). In 1967 Jürgen HABERMAS presented
a widely distributed publication on the status of methodology in
the social sciences in which hermeneutics, together with
phenomenology and linguistics, played the prominent part versus
analytical approaches. This again acknowledged the dualism
between natural sciences and Geisteswissenschaften. The
publication of textbooks, of research work and teaching of
research methodology at the universities during the following
years gave access to two opposing methodologies now under the
headings of "quantitative" versus "qualitative" research.
Non-academic political and commercial research had used both
approaches since the Thirties in the US and since 1945 in (West-)
Germany in a more or less continuous way. Universalistic academic
claims later came from both groups, analytic theorists defending
their research methodology as Karl POPPER or Hans ALBERT (in
ADORNO et al. 1969) but also "qualitative" researchers claiming
universality of their topic and method ("The World as Text": GARZ
& KRAIMER 1994. "The postmodern world can be read as a giant
text", DENZIN & LINCOLN 1994, p.359; phrases which KELLNER
1995, p.354 sees as a "parody of a bon mot of DERRIDA"). As
Jochen HÖRISCH states in a critical essay on hermeneutics, a
concept only known to a few specialists in 1960 was used as a
reference "to plainly everything: the world, life and death" in
1988. It did not stop then. The "fury ["Wut"] of Verstehen"a
metaphor Friedrich SCHLEIERMACHER coined (HÖRISCH
1988)became "universal". [5]
The turn in Anglo-American social science literature is
demonstrated by Thomas P. WILSON who invented the "interpretative
paradigm" by reinterpreting Herbert BLUMER's Symbolic
Interactionism in terms of interpretation (1970), disregarding
BLUMER's own statement on his methodology which is based on
"exploration" and "inspection" (description and analysis) within
the "empirical world", which has to be carefully explored and
related to analytic concepts (of the researcher) (BLUMER 1969,
p.128). Another example is that of Anthony GIDDENS who sees
sociology as a science which "reinterprets" the interpretation of
social actors thus generating a "double hermeneutic" (1976,
p.162). [6]
At its present state of development hermeneutics or
interpretative social research seems to dispense with all former
restrictions of topics, methods and research strategies. DENZIN
and LINCOLN refer to two recent forms: first "the
qualitative researcher as Bricoleur" (German "Bastler" but
also "Pfuscher"), who does and uses whatever he finds helpful and
second "qualitative research as a site of multiple
methodologies and research practices" or "as a set of
interpretative practices (which) privileges no single methodology
over any other" (1994, pp.2f.). There is a certain similarity
between DILTHEY's hermeneutic explainer and the present state of
hermeneutic development: interpretations depend on the nature,
capacity and genius of the interpreter. DILTHEY's
investigator-interpreter masters the "art of Verstehen" as
his "personal art and virtuosity" (1900, p.319) and has the
"interpreter's genius" ["Genialität des Auslegers"] (o.c., p.332). A present-day hermeneutical interpreter hasor
should havethe capacity to select whatever he/she thinks
to be appropriate from a multitude of techniques and theories.
However, if he/she ends up being a bricoleur instead of an
artist/expert/scientist in DILTHEY's sense something must have
gone wrong. Indeed DENZIN and LINCOLN diagnose a double
crisis of present-day qualitative research, a
representational and a legitimation crisis, the first
referring to the problematic use of the researcher's own
experience and the second to ways of proving his results (1994,
pp.10f., pp.577f.). DENZIN sees the "art of interpretation" as
being in an "interpretative crisis" (DENZIN 1994, pp.500-515).
[7]
The crisis of "qualitative research" in fact is a crisis of
hermeneutics. The problems which now emerge have been part
of hermeneutics since its beginning but stayed latent as long as
hermeneutics were regarded as an expression of slyness or a work
of art and the ability to interpret as a giftall personal
('subjective") characteristics. Now its basic problem of
subjectivity of results becomes obvious. Subjectivity is not
a new accusation and there were several attempts to cope with it.
In philosophy they rank under the heading of "truth theories"
["Wahrheitstheorien"]. Important for empirical research was
HABERMAS' consensus of experts as an indication of truth.
To find "real" experts may be difficult but possible. The second
demand is an "authority-free group" which should permit a free
exchange of rational arguments. This is a utopia. In real life
there is no authority-free discussion. Agreement of experts may
be better than the judgements of laymen in many fields but is no
certain criterion of truth for which the history of the natural
sciences has many examples. (By the way HABERMAS himself did not
reach agreement of fellow philosophers to his suggestion).
[8]
The three most profound problems of hermeneutics
are:
the inherent subjectivity of interpretations.
Subjectivity probably also is responsible for the "double crisis"
mentioned above;
the institutionalization of a method which used to be an art
as a particular method for Geisteswissenschaften thus
separating its research intentions and methods from research
within the natural sciences during a period when its success was
obvious (though not as overwhelming and threatening as today).
Legitimation of this separation was based on three reasons:
different topics as Natur- versus
Geisteswissenschaften, physical sciences versus humanities,
physical objects versus cultural manifestations etc.,
different intentions of research as Erklären
versus Verstehen, Erklären versus Beschreiben, causality
versus hermeneutics, measurement versus interpretation etc.,
different forms of data as quantitative versus
qualitative, physical objects versus text etc.;
the dissolution of any particular rules for doing research in these fields. [9]
Our suggestions to deal with those problems are:
to consider subjective interpretations as an everyday
technique of orientation within a lifeworld and a starting point
of research. But rather than adding another interpretation, to
apply research methodologies to discover the patterns,
structures and functions of it at the level of
intersubjectivity. This implies the abandonment of
universalistic claimsintersubjectivity always refers to a
certain societal and historical situation;
to disregard any need to separate methodologies on the grounds
of topics of research, supposed alternatives of intentions and/or
forms of data. It can be shown that discovery methodologies have
been successfully applied not only in the natural sciences but
also within psychology and the social sciences without accepting
any of DILTHEY's limitations and that their methodology has
become particularly successful and their results and authors
famous;
to avoid falling back to a pre-methodological stage or a
"trial-and-error" method and/or to give up any rules in
collecting research data or dealing with it. If research aims at
discovery there are always better and less suitable procedures.
[10]
In sum: to replace hermeneutic and/or interpretative
research by research aiming at exploration and
discoveries. The change would be from hermeneutic to
heuristic methodologies. [11]
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Heuristics as a Method of Discovery in
Psychology and the Social Sciences
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Similar to hermeneutics, heuristics have a somewhat mystical
origin. The Greek mathematician ARCHIMEDES, entering his bathtub
and causing a little catastrophe by spilling part of the water is
said to have had a sudden insight into what was happening. He
exclaimed "eureka!"- "I found it!"- (from Greek
heuriskeinto discover, to find). It is said he was the
first to discover what then was named after him, ARCHIMEDES'
Principle. Unlike hermeneutics associated with a God of somewhat
questionable character heuristics received its name in honor of a
real person, commemorates a quite human event and a discovery
which proved to be valid over centuries. [12]
The modern history of heuristics starts with the
re-establishment of the concept attributed to Joachim JUNGIUS
(Heuretica, 1622) who placed heuristic activities at the top of
all sciences because of its capacity "to solve unsolved problems,
find new paradigms and introduce new methods into science."
Heuristics became a topic of philosophy; considered and written
about by DESCARTES, LEIBNIZ, KANT, WOLFF, BAUMGARTEN, LAMBERT,
FRIES, BOLZANO and others who studied the conditions under which
scientific discoveries were made and identified rules to be
followed. There are several branches and fields of applications
which are discussed in Gerhard KLEINING (1995, pp.329-354) and
its history more generally in Heinrich SCHEPERS (1974). [13]
Heuristic techniques are refinements or variations of everyday
procedures. Quantitative methods range from LULLUS' discs
in the thirteenth century, which could be moved against each
other and suggested uncommon combinations of given concepts up to
the "General Problem Solver" of the late twentieth century and
"artificial intelligence" using computers. Studies of mental
processes encouraged qualitative techniques and brought
contributions from several schools of psychology in particular
the Würzburg cognitive psychology, Gestalt psychology, and
PIAGET's developmental psychology. FREUDian psychoanalysis also
may be seen as an activity to discover (and treat) emotional
conditions. [14]
An example is Karl BÜHLER's early work. He developed an
explorative technique to study the process of recalling everyday
knowledge and problem solving administering qualitative
experiments to his professor and his colleagues at
Würzburg Psychological Institute which got him into a
controversy with Wilhelm WUNDT, the originator of (quantitative)
experiments in psychology and founder of "experimental
psychology" (BÜHLER 1907, also in ZICHE 1999). BÜHLER's
"Aha-Erlebnis" reproduces "eureka". Other members of the group
also were experimenting exploratively with considerable findings
about cognitive processes (Oswald KÜLPE, Karl MARBE, Narziss
ACH). [15]
Gestalt psychologists made important contributions to analyze
mental processes applying variation as a heuristic
principle, finding common aspects within varied
perspectives (Karl DUNCKER 1935) or discovering the
reorganization of Gestalten in problem solutions (Max
WERTHEIMER 1956). Exploration of cognition supplemented earlier
work on perception where they also used qualitative experiments
to discover "Laws of Seeing" (Wolfgang METZGER 1936). [16]
Jean PIAGET's "clinical examination" is a variation and
combination of experiments, observation and questioning
adapting "diagnostic" methods used by psychiatrists in child
psychology and applied in many of the famous studies by PIAGET
and Barbara INHELDER for example in PIAGET's "Child's Conception
of the World" (1929, pp.7-32). [17]
Another splendid example of discovery was the
investigation of Paul LAZARSFELD's and his students'
research on unemployment in a village near Vienna (Maria JAHODA,
Paul LAZARSFELD & Hans ZEISEL 1933) in the Thirties. The
investigation used a wide variety of techniques to collect
information on individuals and families such as individual
biographies, time usage sheets, official complaints and
declarations, essays from school-children, an open competition,
inventories of meals, protocols about nearly everything
observable from themes discussed in pubs to Christmas presents to
small children, all sorts of statistics, official and private,
present and historical, demographic and personal such as
illnesses, all sorts of documents etc. The researchers started
initiatives such as a free consultation by an M.D., a free course
of gymnastics for girls, free educational consultation,
distribution of second-hand clothing which had been collected in
Vienna for this particular purpose. The result of the analysis of
this most diverse material was the diagnosis of a "tired,
exhausted community" ["Müde Gemeinschaft"] showing
continuing stages of destruction of individual's identities as a
result of long lasting unemploymenta finding which has been
confirmed in many unemployment studies to follow. [18]
The authors acknowledge the influence of American ethnographic
research, that of the LYND's in particular and it is quite clear
that the encouragement to collect as many different sorts of data
and analyze its totality to discover its pattern has been the
strategy of many of the classical sociological and ethnological
investigations. We would name as examples Friedrich ENGELS' "Die
Lage der arbeitenden Klasse in England" (1845), THOMAS and
ZNANIETZKI's work on the Polish Peasant (1919-21), William Foote
WHYTE's research on lower class gangs (1943), a number of
investigations famous under the heading of the "Chicago School",
W. Lloyd WARNER's community research, that of the LYNDs' of
course. We also would include empirical research by Anselm
STRAUSS, Barney GLASER and Erving GOFFMAN without excluding
others which have not been mentioned. [19]
The common denomination of these research activities which all
are explorative or carry strong elements of exploration
are:
The research findings show a rather complex picture of
the psychic or social topics under investigation and even seen
from a today's somewhat remote position, the findings seem to be
valid over a considerable time-span. The status of analysis moves
away from individual or subjective interpretations, e. g.
unemployment as a personal fault or offering a chance of personal
freedom and interesting selfdefined activities (the romantic idea
of marginality) to a more general intersubjective pattern
of the results of prolonged unemployment.
Psychological and sociological topics as different as problem
solving and social organization of street gangs were treated with
the same research strategies of discovery. Both studies used
variation and the search for common patterns.
Methodologies were not narrowed by predefined
alternatives"Erklären" versus "Verstehen",
"measurement" versus "hermeneutic interpretation". They were open
to learn from the "empirical world" (BLUMER 1969). There is a
unity of both effects: if the overall situation is cleared up one
might as well "understand" it or experience that it "explains
itself" or "explains it to me" or whatever metaphor may be used
to name the good figuration of the data or the relationship
between the data and myself. Finally methodologies are not
different for qualitative and quantitative dataENGELS or
LAZARSFELD analyze both qualitative and quantitative information.
There also is no indication of how to put them into a hierarchy
of more or less scientific character or into a sequence from
exploration to confirmation. What makes these classical research
pieces different from many others is their capacity to
discover and explore a field which up to then had not
been investigated in such a form and with such results.
All studies mentioned follow certain rules of
investigationnone is just proceeding by chance or
collecting "anything" on their way. This is not saying that they
follow a strict and narrow scheme decided at the beginning. All
of them collect varied data about their subjects and in
their analysis discover their relationship and internal
order. In manyif not allinvestigations it is clear
that the investigators themselves had to adjust their thinking
and evaluation to the situation they found entering the
fieldamong the studies mentioned WHYTE (in an appendix to
the second edition enlarged for the third) gives a more full
account of the changes of his preconceptions of a slum and the
research techniques appropriate to study it. [20]
Such famous studies, realizing discovery, should be studied as
examples that and how an explorative approach within
psychological and sociological empirical research can be executed
to overcome problems associated with hermeneutic
interpretations. [21]
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The Hamburg Approach to Qualitative
Heuristic Research
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Our own heuristic research methodology is based on extensive
research experience, both qualitative and quantitative,
commercial and academic, mainly in (Western) European and (Latin)
American countries and on academic teaching. It has been
developed by one of the authors (KLEINING 1982; for additional
literature see paragraph 38 of the present paper). Originally it
has been used in social research and empirical Humanities, e. g.
in criminology, literature, popular music, theology, education,
sick nursing and the study of national identities. Since 1996 the
research fields have been extended to studies of psychological
problems which resulted in an attempt to explore and re-establish
the method of introspection as a modern research technique. A
number of psychologists and sociologists have been involved in
this project at the University of Hamburg (Hamburger Tagung zur
Introspektion und Selbstbeobachtung 1999). [22]
The Hamburg approach tries to optimize the explorative
potential which various research methodologies also contain. It
is not a unique activity but related to those which have been
mentioned in section 2 above, among others. But rather than
copying certain research methodologies or condensing several
methodologies it is based on the study of explorative experience
in everyday life. For instance it makes use of the methods
of observation and experiment in qualitative researchnot
as a reference to the natural sciences but as a means of
everyday orientation and exploration. It systematizes
such everyday practices, and in this respect the methodology
offers a particular approach to the scientific study of
social and psychological topics and those in related fields.
[23]
The qualitative heuristic methodology applies four
rules which refer to the situation of the researcher, the
topic of research, data collection and data analysis. It also
describes the research process and methods of verification and
testing results. [24]
Rule One: "The researcher should be open to new
concepts and change his/her preconceptions if the data are
not in agreement with them".
Label: Openness of the research person
The researcher should be aware that his/her ideas about the
topic might have to be changed during the research process.
Obviously we do not start with a tabula rasa, are never
free of preoccupations and don't have to be. Ideas and concepts
however should be open for correction if data are inconsistent
with them. This is not as easy as it appears, as we usually have
psychic if not emotional "vested interests" and try to stick to
what we believe and take for granted. The rule asks the
researchers to keep their position flexible. How do we learn that
the data do not fit our ideas and concepts? Most frequently and
unfortunately for the researcher by an emotional
irritation or even crisis. The data looks very different from
what had been expected or doesn't seem relevant at all. If the
data are consistently different we should think about
changing our position, even if we have to give up a pet idea. We
will not be the first and only ones to be confronted with this
problem and may have the gratification that the history of
discoveries in the sciences wasand still is?full of
wrong assumptions and changes of concepts, some of which have
long been taken for granted in cosmology, physics or biology.
[25]
Rule Two: "The topic of research is preliminary
and may change during the research process." It is only
fully known after being successfully explored.
Label: Openness of the research topic
In explorative research neither the nature nor the dimensions
of the topic are well known. Its definition therefore will be
preliminary. The more "open" the demarcation, the better. We
should be aware that there may be all kinds of changes of the
topic during the research process but of course it also could
stay as it was at the beginning only to be better explored. We
may learn from physics: Ether as a topic of research
changed its function several times and finally turned out not to
exist at all. (EINSTEIN & INFELD 1938, p.112, pp.151f.)
[26]
Rule Three: "Data should be collected under the
paradigm of maximum structural variation of perspectives".
There should be a multitude of different points of view,
as different as possible: methods, respondents, data, time,
situation, researchers etc.
Label: Maximum variation of perspectives
Investigating and trying out objects from different angles is
what children do with new toys, young animals do with their
bodies, we all do with new things which we inspect. In serious
journalism one-sided reports are held in low
esteemcounter-investigation and "giving the other side"
are part of professional concern. The alternative to a one-sided
approach is not the one opposite or the negation of a
particular item or statement to form a dimension (yes-no,
good-bad, black-white etc.), but are several different
positions (maybe yes, maybe no, depending on ..., tending to ...,
if ..., cannot decide etc. or: both good and bad; not only
referring to black versus white but also to colors, or forms or
sounds etc. which might be of importance) thus opening up a
"closed" dimension which is so cherished in quantitative
research. At the start of the research the topic is not known,
and neither are the possible aspects of the topic. We therefore
try to gather aspects which are as different as possible. How do
we do it? By experimenting based on our judgement. If it is
suspected that a particular factor may have an influence upon the
results, that factor should be varied. Take observation as
an example. It is clear that results of observation are
influenced by the observing person, therefore different observers
may be helpful. If gender, age, race, nationality, religion,
attitudes etc. of the observers may play a role in the
observation, these attributes should be varied among observers.
If observational categories may exert an influence, observational
modes would be varied, e.g. site, time, seasonal conditions etc.
Samples may influence results. They should be made up by
respondents which differ in their relationship to the
topicif possible representing extreme groupings. This
doesn't imply we should use random samples. They repeat the
distribution of characteristics of the population from which they
are selected and may not sufficiently reflect extreme positions
in relation to the topic under study. Also methods
influence data to a certain degree and it follows that they
should be varied under rule three trying to reach maximum
differences of data. [27]
We prefer to use the phrase variation which is a common
concept in science and in experimental psychology and do not see
a need to invent a special term such as "triangulation". This
term is borrowed from trigonometry and describes improvement of
measurement from two different geographical points, which has
little in common with variation in qualitative research. If a
two-sided approach is replaced by a multi-sided one, as we
suggest, the term "variation" is a better description. In
sum: the heterogeneity of data should be increased as much as
possible but always related to the topic under study and the
particular research conditions. [28]
Rule Four: "The analysis directs itself toward
discovery of similarities". It looks for correspondence
similarities, accordance, analogies or homologies within these
most varied sets of data and ends up discovering its pattern or
structure. Completeness of analysis is required.
Label: Discovering similarities and integrating all
data
This activity also may not be easy for social scientists as
scientific training emphasizes the observation of differences and
not similarities or patterns. The wood may not be seen for the
trees. But in everyday life similarities are easily understood.
We would not recognize people, things or situations, if we did
not have the ability to see the similarities in our
differentiated and quickly changing experience and could not
comprehend stability and constancy. Again there is a process.
When starting the analysis we might find some data homogeneous or
coherent, other parts heterogeneous or incoherent. We ask a
question directed to the datamaybe which people interact
and in which way we can group "answers" or coherent "parts" and
try to grasp what it is which makes them similar. Further data
can show different similarities. In this way several "batches" of
data may become visible. The next step will be to find the common
similarities in different groups of data. It may become necessary
to re-organize the preliminaryclusters i.e. allow data
brought forward by a particular approach to become part of
another cluster or to belong to several of them. Finally an
overall pattern will emerge, integrating all details into the
total. Going back to the example: different plants, bushes, trees
and different animals under and above the ground and different
insects etc. may be seen as parts of a certain ecological milieu.
The different milieus may turn out also to be related to each
other in a specific way and in total will form what is
experienced as a "forest". A particular and real forest has to be
studied, not an ideal one, not the forest per se. We will find
that it has certain characteristics and is in a certain stage of
its development and will also be related to certain outside
factors etc. Rule four demands the full one hundred
percent: all data from different stages of the
research and different views of the topic must have a place in
the structural coherence of the total. There should be no
observation or test result related to the topic which does not
fit as part of a whole. The rule is not weakened when data are
incomplete or fragmentary, or when not all questions are
answered, then no information in the set of data should
contradict the analysis. [29]
The rule is in line with Georg SIMMEL's way of analysis
discussed in the methodological chapter of his "Sociology" which
has influenced early American sociology: The "equality (homology) will be abstracted from the complex phenomena as by a cross-cut, the differences (disparities) ... mutually paralyzed ["Aus den komplexen Erscheinungen wird das Gleichmäßige wie mit einem Querschnitt herausgehoben, das Ungleichmäßige an ihnen ... gegenseitig paralysiert"]" (1908, p.11). [30]
The research process itself is executed as a
dialogue between the research person and the topic of
research respectively the data; it is transformed into a dialogic
(or dialectic) process of question and answer and new question
based on the answer etc. until all aspects are explored and all
data structurally incorporated.
Label: Dialectical approach
The question-and answer-process is the means of
organizing and re-organizing the data by "interrogating" the text
and grouping it according to the "answers" it will give, in
particular which aspects belong together and which headings will
be appropriate. The effect of this procedure will be a gradual
move from a one-sided subjective view or evaluation of the
topic toward a multi-sided complex representation of many
different aspects but analysis searching for and finding
homologies might show a rather simple basic structure of
homologies as in WHYTE's diagrams of the social structure of
particular groups of Corner Boys (1981, p.49, p.95, p.156).
[31]
Testing the results uses "inner validity" and
differentiates validity, reliability, and range of
applicability ("Geltungsbereich")
Discussions on validating qualitative research reveal the
"dilemmata" of the interpretative or hermeneutic
paradigm (ALTHEIDE & JOHNSON 1994, p.485). In postmodernity,
the authors say, "research is no longer coupled with knowledge,
but has been given multiple choice (such as liberation,
emancipation, programmatic politics, expressive 'art')" (o.c.,
p.487) and
all knowledge and claims to knowledge are reflexive of the
process, assumptions, location, history, and context of knowing
and the knower. From this point of view validation depends on the
'interpretative communities', or the audiences ... and the goals
of the research (o.c., p.488). [32]
ALTHEIDE and JOHNSON discuss a long list of various types of
validity and, according to their own judgement, suggest
"interpretative validity" based on "reflexive accounting for
substance" (p.491) directed toward "researcher/design/academic
audience(s)"(p.499). We would like to mention that WHYTE had a
hard time having his dissertation passed by such an academic
audience (1955, pp.355f.). The basic problem with testing
interpretative research, again, seems to be the
subjectivity of interpretation which actually cannot be
tackled by reflection of the researcher. [33]
Explorative research also demands the verification of
findings but the results would be tested against existing (or
new) data and not against audiences or goals. Is there a social
organization within the particular slum which had been studied
or, as Louis WIRTH, who was one of the academic examiners of
WHYTE and was himself a student of social life in slums believed,
is its character that of "social disorganization" (WHYTE 1955,
p.356)? In terms of verification theory: is the description of
the slum valid, is there social structure among Street
Corner gangs, college boys, racketeers, politicians? In which
way? Disorganized? Is the information which WHYTE collected,
reliable, can it be repeated, will additional research find
the same? And: are the findings restricted to this particular
slum and what is their range of applicability? The
concepts validity, reliability and range of applicability in
heuristic research are linked to the four rules mentioned above.
[34]
Validity is "inner validity" and will be achieved
during the research process. The analysis starts by grouping
similar information units, e. g. meaningful sectors of a text
(rule four). The simplest form is that of two related
units. They will confirm each other as two different
observers or observations of an event producing comparable
descriptions will confirm each other. This is the qualitative
pattern of validation. Rule three requests the collection
of additional data and if similar will confirm the existing
analysis. Proceeding in this manner and changing the pattern if
necessary will add further data confirming each other, e. g. the
behavior of group members or their picking order or their way of
talking etc. confirming what is seen as their group structure.
Finally there will be no further information from new data, a
"saturation" will be reachedwe borrow the term from
STRAUSS' and GLASER's work (1967, p.61). If data collection and
integrative analysis is at its end, all data in one way or
another will be interrelated or all "parts" to the whole. This is
what we call inner validity. [35]
Reliability is established the same way. In
quantitative research it means for instance that a repeated
or different measurement will produce similar results.
Qualitative heuristic analysis groups different data
according to their similarities and thus starts establishing
reliability right from the beginning of the analysis. The more
varied the perspectives will be which can be integrated into the
finding, the higher its reliability. The method demands maximum
variation as well as complete integration of the data. An
analysis which can reach this status will be reliable. During the
process of analysis there will be a step by step integration and
thus a continuous increase of reliability. Saturation of the data
again will end the process. [36]
Range of applicability ("Geltungsbereich") corresponds
to range ("Reichweite") in deductive quantitative research but is
established via a reverse movement. Deductive survey research
defines the universe from which the sample is drawn which then
represents the presumed applicability. It is the researcher who
decides the range. Contrary to that explorative qualitative
research inductively finds out which range of
applicability might exist for a particular topic. It starts with
a preliminary idea about the area in which the topic might exist
or has been found (or in a situation, field, pattern, system,
organization, group, society, time-span etc.). It will "test the
limits" by trying to establish if the results may also be
applicable beyond the primary field of study. WHYTE's or
LAZARSFELD's studies might be repeated in other slums or villages
with high unemployment ratesbut also in different areas,
different stages of their developments and at different times.
LYND and LYND repeated their research in "Middletown" and found
the city had changed. WHYTE again visited the former slum area
which now is enjoying gentrification. Boston North Ender's social
organization certainly has changed. [37]
For further information about section three in German see:
KLEINING 1982; 1991; 1994; 1995; 1999; in English: KLEINING and WITT 2000 and a translation of KLEINING's paper from 1982 (KLEINING 2001). [38]
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An Example of Qualitative Heuristic
Research: Introspection
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The following discussion presents some results of a research
program which concerns itself with the investigation of a
particular methodintrospectionand its possible
improvements under the heading of the heuristic research
methodology. [39]
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Methodology, methods and design
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The topic was the study of very short stimuli upon
respondents mainly using the method of introspection. Our
questions were, among others: which internal processes are
induced by a short and sudden disturbing event? Can we manage to
study these inner processes or are they too elusive and
inconsistent? (A suspicion which DILTHEY already had). Which
words and concepts are used describing inner processes, which
psychic and physical dimensions are important, in which way
relate reactions to the stimuli which are causing the irritation?
Which differences and similarities exist between different
persons? In sum: we wanted to explore the effect of short
but strong personal irritations as fully as possible. [40]
Background: The study of brief stimulation has been of
mayor interest in psycho-physical research during the nineteenth
century and one of the topics which brought experimental
psychology into existence (Gustav Theodor FECHNER, Georg Elias
MÜLLER, WUNDT's laboratory). Theory was the
stimulus-response dependence, the research focused on reaction
time excluding inner processes. The data were mainly
quantitative. Ernst MACH was studying psycho-physiological
relations (1886). [41]
Methods: The research combines qualitative
experiments and introspection.
Qualitative experiments are those predominantly used
for the exploration of a topic. Together with qualitative
observation they are a prominent explorative technique and may be
applied to all sorts of data including text. Its methodology
differs from deductive testing of a particular and well defined
hypothesis. Qualitative experiments may be started with a rather
vague assumption of its outcome. They confront respondents with a
certain task or stimulus and observe what happens. Operations of
this sort, if varied, are used in combination with other
techniques of data collection and may be very effective
explorative tools. In psychology qualitative experimentation was
a basic method of the Würzburg School (e.g. MARBE 1901) and
also with the Gestalt psychologists as has been mentioned. PIAGET
made extensive and highly creative use of them. The method fell
out of fashion under the influence of deductionism with few
exceptions (Harold GARFINKEL 1959; for a more full discussion see
KLEINING 1986). Qualitative experiments mainly in the form of
thought experiments have been and still are highly important for
research in the sciences (MACH 1905; EINSTEIN & INFELD 1938;
GENZ 1999).
Introspection has been the main psychological
method at the end of the nineteenth and the beginning of the
twentieth century but has been ruled out as a scientific method
as subjective by behaviorism. We are using the technique again at
an advanced methodological level (Hamburger Tagung 1999; KLEINING
& WITT 2000). In our particular case introspection was both a
means of data collection and a means to study inner processes.
The application of the method differs strongly from the classical
setting. We use introspection in groups which includes the
presentation of private notes about personal experience and their
presentation to other participants to stimulate their recall to
broaden and supplement the information ("dialogic
introspection"). The setting also should inform us about the
suitability and applicability of the method of introspection as a
qualitative heuristic procedure and assist the rehabilitation of
the method. [42]
Design: We reformulated the abstract 'stimulus" into a
brief everyday event: the sudden ringing of an alarm clock
in a class of students and in a meeting of experts which just
happened to discuss qualitative methodology. Immediately after
the ringing participants were told to introspect and write down
what came to their minds. This period lasted about five minutes.
Participants were requested to read their protocols to the
audience and everybody could add whatever he/she had forgotten or
not taken seriously enough to make a note (verbal reports in
later studies were recorded). Respondents said that they could
more easily and more fully recall what was in their own minds
after listening to the experiences of other participants.
[43]
We were very aware of unwanted small-group effects and tried
to reduce them. We adopted the opposite strategy of ASCH's and
FESTINGER's cognitive experiments which showed that such
influences, under social pressure and with false information, can
be produced. We avoided social pressure and gave correct
information. Of course the ringing of the alarm clock was
surprising for all and in this respect it was similar to some
experiments in social psychology intentionally misleading
respondents. But the following phasesdocumentation of the
introspective experience and exchange in the groupwere
transparent for all participants, everybody knew what it was all
about and what would happen to the data. Regarding the group's
structure we tried to have it as "democratic" as possible,
avoided evaluation or critique, even discussion of the reports,
all of them were welcome and accepted. [44]
Analysis was executed separately from data collection, based
on the protocols and outside the group. [45]
The methodology followed heuristic rules. The same
stimulus (ringing) was experienced by different subjects,
differently recorded (written, verbal), during
different periods (immediately, during the presentation), in
different situations (class, experts) (rule three
on variation of perspectives). The analysis was looking for
similarities (rule four). During the research process
the topic changed (rule twoopenness to
change) and we think we learned something about it
(rule one, openness to data). Findings were of two kinds:
regarding the topic and regarding methodology. [46]
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Findings concerning the topic
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Although participants gave the impression of keenly following
the lesson, they were contemplating their own problems. For the
lecturer this was a rather irritating experience though not
completely unknown to him. [47]
The sudden sound was unexpected, frightening, scaring,
alarming causing strong emotional reactions. [48]
Reactions immediately started to cope with the irritation.
Techniques were: handling of shock / evaluating the situation /
thinking about immediate action / identifying the cause / naming
it / locating the alarm clock (behind a curtain) / recalling
former experience of clocks at school / recalling fire alarm /
speculating about the effects of the alarm / asking the lecturer
what to do / observing how other people reacted / evaluating the
experiment itself. [49]
Techniques of orientation and coping were both physiologic and
mental, psychic and social, behavioral and verbal, involving the
present situation, past experience and future action. All
participants tried to re-evaluate the situation, decide on
action, reduce the emotional shock and reconstruct equilibrium
and self-determination after it turned out to be "just an
experiment". [50]
The techniques contained a rather active and
explorative factor oriented toward finding out and reflecting
about necessary actions and were not only "reactions" following a
given or simple pattern. [51]
We observed strong personal differences in reactions ranging
from free expressions of emotional impact and feelings to
different coping techniques. [52]
There are similarities between behavior in the experiment and
the presentation of catastrophic events in mass media:
naming the event, putting it into a certain context, naming the
(probable) cause, naming the (probable) originator, ascribing
responsibility, showing control of the event or its results,
describing emotions, evaluating the event. These similarities
offer a chance to study media effects in a new way. [53]
The topic of the research broadened. At the start we were
mostly concerned with the question whether such a short event
could be studied at all via introspection and which content would
be perceived. The findings presented plenty of personal
experience covering a wide range of psychological dimensions also
including sociological and cultural aspects. If the research had
been continued we might as well have ended up with a general
model of interaction in a changing environment indicating coping,
the process of forming and stabilizing identities, the process of
exploration etc.a much wider range than ever thought about
before. [54]
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Findings concerning methodology
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Qualitative heuristic methodology did help to find out what
may be behind such stimuli. The results are considerably more
complex and rich in content than the analysis of reaction time or
the observation of behavior as a single method. [55]
Qualitative experiments were useful in combination with
observation, written and verbal recording. [56]
Individual introspection was highly useful and is very
suitable to study inner processes. The particular methodological
approach of introspection in a group ("dialogic introspection")
if carefully arranged and supervised may stimulate recall and can
make reporting of individual experience more complete and
realistic ("objective"). [57]
Psychological methods as introspection and small-group
experiments can be of general use for the social sciences if
placed into a heuristic context. [58]
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An Example of Heuristic Research with
Quantitative Data: Social Structure
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Explorative techniques also can be applied at the more
abstract level of quantitative data. An example is research on
lifeworlds in Germany 1990-2000 (KROTZ 1990; KLEINING
& PRESTER 1999; KLEINING 2001). [59]
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Methodology, methods and design
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The topic was the study of societal organization.
[60]
Background: In German sociology there has been a long
lasting discussion on the structure of the society and the state
of its development in general and the divisions or groupings
within society in particular. Since the end of World War II
leading questions have been shiftingin post-war Germany
re-organization of pre-war patterns of stratification versus a
melting-pot dissolution, during the "Wirtschaftswunder" the
upgrading of the society versus re-establishment of social
classes and during the past 25 years its complete transformation
into a patchwork- or whirlpool-society weakening traditional
bindings, dissociated and segmented into temporary life-styles
and milieus, characterized by individualization and pluralization
under the rule of "postmodernity". The "reflexive elite"
(SCHELSKY 1975, pp.98f.) offered hermeneutic interpretations with
strong ideological components as a "risk-society", following
Chernobyl (BECK 1986; BECK & BECK-GERNSHEIM 1994), "reflexive
modernity" (BECK, GIDDENS, LASCH & RANG 1996), "fun-society"
(commercial suggestion), "knowledge society"
["Wissensgesellschaft"] (government ideology). Census data or
large-scale surveys could not or maybe cannot confirm such
interpretations. Is there a new type of society? [61]
Design and methods: Effects of the social organization
of a society should somehow or other be present in the behavior
and the minds of its members and they should be able to talk
about it. There are many different ways to study social
organization, but this was the possibility the researchers had.
The basic techniques were person-to-person interviews with
questionnaires collecting quantitative information on
demographics, social environment, behavior and values with
"closed questions", lists, scales) and multivariate analysis of
the data. In a pretest more than 600 items possibly
related to lifestyles were designed, tested with several
smaller samples (up to 60 respondents each) and reduced to 436
variables by factor analyses excluding highly correlated or
redundant items. Thus we selected those items which were least
correlated or statistically most different from other items also
describing a certain manifestation of lifestyle, e. g. emotional
status or social and media contacts or leisure time activities.
Cluster analyses of those variables based on their ratings by a
national random sample of 602 respondents age 16 to 64 years
could identify eight clusters. They turned out to be
rather complex combinations of many different items and
characteristics and were re-named "lifeworlds"a
more meaningful label than behavioral "lifestyles" and
more dynamic than "milieus". This part of the research is
documented in KROTZ (1990). For the investigations to follow
those variables were selected which statistically had the
greatest effect on the formation of the clusters. They turned out
to be demographic and socio-economic ones.
Fortunately these measurements are part of the statistical
section of nearly all larger surveys and therefore the
statistical information could be combined in a way to
reproduce the segmentation established via cluster analysis.
Cluster analysis was repeated to check the formation of clusters
and measurements were taken to define their discriminative
effect. We happened to have access to quite a number of
(commercial) surveys, different in size and sample units, all
national and all probability selection. The samples were (a)
panel of individuals, n = 10.000/year, (b) panel of households or
families, n = 12.000/year, (c) survey of individuals, n =
14.000/year, (d) survey of individuals n = 55.000 in 1999/2000 .
The surveys were executed during the years 1997-2000. A further
"historical" random sample collected in 1978, n = 7.800 was
analyzed. Additionally two qualitative studies (n = 80 each,
quota samples) were done. Sponsors for the second part of the
research were GfK Gesellschaft für Konsumforschung
Nürnberg, Panel Services and TdW Intermedia / Burda
Offenburg. [62]
The methodology followed heuristic rules. The rules are
the same for qualitative and quantitative data. Maximum
variation of perspectives was reached by (a) very extended
variation of items and dimensions, the items and
dimensions tested to be different from the ones we already had,
the technique was factor analysis, (b) variation of
samples and time, the research covering several years and
included small quota and large probability samples, (c)
variation of cluster techniques and number of cluster
solutions (rule three on variation). Cluster analysis is a
heuristic technique, it groups persons or families according to
the similarity of their profiles (rule four on
similarities). We started testing individual lifestyles
expressed in leisure time, consumption and social activities and
ended up with the organization of complex lifeworlds both
for individuals and families and their relationship to each other
(rule two, change of topic). During the research the team
learned that we had a number of preconceptions which we had to
give up and a number of ideas which we had to change. As an
example: it turned out that demographic and economic variables
were much better at differentiating individual behavior than
constructs we had developed at the level of values or
behavioral and consumption styles and also better than had been
suggested in mainstream lifestyle research (rule
one). This also implied the change of the assumption that
demographics are of rather little importance in a "postmodern
society". The research procedure overall is well described as a
dialogue as preliminary results were taken into account in
later phases and a constant testing and retesting of our data was
performed in order to get our thinking in line with the data. The
research process was very similar to the one described by MACH in
1905: "Adjustment of thoughts to facts and to each other ["Anpassung der Gedanken an die Tatsachen und aneinander"]" (p.164). [63]
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The clusters could be plotted in a two dimensional diagram: the "horizontal" dimension reflects life-course or phases of the individual biography, or, for families, the family cycle. The "vertical" dimension shows different levels of social status or
social class. [64]
The phases of the individual life-course have not yet been systematically investigated and represent a new classification. Family phases are in line with family cycles, a concept of family research which goes back to the nineteenth century but was re-animated after World War II in US demography (GLICK 1947; 1955). The grouping in their sizes as well as their dynamics of change also have not been discussed in social research. They are characteristic of particular societies and the most interesting part of the research. [65]
As an example the Family Life Worlds in 2000 are the following (% of total German households)
Students and apprentices, living on their own (3%)
Young singles and double income households (12%)
Middle class families with children (16%)
Working class families with children (16%)
Middle aged employed persons, living on their own (5%)
Unemployed, out of work families (5%)
Middle class families, no children in household (5%)
Working class families, no children in household (4%)
Middle class retired families (12%)
Working class retired families (9%)
Elderly, living on their own (13%)
It can be seen that the clusters represent a time sequence
from training to various modes of work and family associations in
middle years to various forms of living in retirement, all at
different levels of prestige, social and economic gratification,
privileges or deprivations. [66]
Qualitative research showed that respondents are very aware of
the different phases of family life and can report on their own
and other people's experience with these life worlds. Family life
worlds have "normal" sequence and changes from one to another are
celebrated as happy eventse. g. first own household, final
school examination, first job, marriage, children born, end of
work careerbut there are also uncommon changes of life
worlds caused by failing exams, unemployment, divorce, illness or
legal problemsalso socially acknowledged but not to be
celebrated. [67]
Changing family life worlds results in changing patterns of
everyday responsibilities and behavioral patterns and is also
visible in different leisure time activities, different political
preferences, different consumption habits and media contacts even
different value systems. [68]
We found strong changes of lifeworlds over time
particularly regarding family forms. However we did not find
proof of a dissolution of family or work institutions or a
reduction of the importance of employment or of social privileges
and deprivations or signs of the disappearance of social classes.
On the contrary we discovered the existence and continuing
importance of societal institutions as family and work for the
organization of life and of vertical stratification ("social
class") for the life-patterns of individuals and families.
[69]
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The Heuristic Potential of Qualitative and
Quantitative Research
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Our two examples of explorative research showed how heuristic
methodology can employ both types of data, qualitative and
quantitative. Discoveries primarily depend on
methodologyto search and to find. There is no inherent
relationship between data form and a certain research
methodology. The data form defines the level of
abstraction in which the data is received. It screens
social reality and might blur or impede information as a pair of
unadjusted eyeglasses would not produce "good" sight. But this
applies to both formsqualitative data lack abstraction,
quantitative meaning. [70]
Both kinds of data also can be used in a deductive
methodology. POPPER (1934) in his Critical Rationalistic theory
proposed the application of hypothesis-testing to test knowledge.
His concept has been widely adopted by textbooks about
psychological and social research and always has been is
associated with quantitative data. But proof or disproof of a
hypothesis also may be achieved qualitatively. Popper himself
gives an example. The hypothesis that "swans are always white" is
rejected as soon as the first black swan is foundno
counting of numbers is necessary. [71]
Also hermeneutic interpretations are not subject to one
particular form of data. Though DILTHEY and many followers
thought that texts or qualitative information would
be best suitable for interpretation, quantitative data
also tend to be interpreted. For example: political researchers
interpret figures on voting behavior. Whether they are "high" or
"low" may already be controversial. The same is true for figures
on the economic status of a society or of changes in unemployment
rates, not to mention interpretations inherent in the
definition of "unemployment" itself. Figures from the stock
exchange are even more open to interpretation and speculation.
[72]
That both forms are rather independent of methodology does not
say that they are equally useful for any topics or intentions of
research. For psychological, social and cultural exploration
qualitative data, in general, are particularly
suitable as they reproduce complex relations and communicate
meaning. This is also why they are so successful in everyday
communication. [73]
Two possible restrictions may reduce their explorative
capacities: First: qualitative approaches might be better
suited for smaller samples, case-studies or ethnographic
observations within a limited area but not for large-scale
representative research. They also would tend to be time
consuming and expensive. Second: being more or less
subjective their findings may be taken as suggestive but
would have to be validated by more objective
quantification. [74]
We consider both reservations as unfounded. Regarding the
first: both qualitative and quantitative data may deal with
an individual, a single family or a limited number of people, the
range of applicability will be restricted by their respective
samples. In both cases its range can be extended by using larger
samples. Quantitative research in deductive theory is combined
with probability samples of a predefined population but also may
be a carrier of heuristic research as mentioned above.
Qualitative research might also use national samples but it may
be more sensible to rely on quota or extreme group sampling if
dominant structures of the topic have already been explored. The
strength of explorative qualitative sampling however is the
variation of samples and the design of more diverse "theoretical"
samples (STRAUSS). Cost in general is lower than that of
large-scale random surveys of sufficient sample size. Concerning
the second restriction, qualitative-heuristic methodology aims at
transformation of subjective into intersubjective
findings and employs techniques for verification of results.
Findings are developed to a stage where they reach inner
validity. There is no need for another form of data to validate
qualitative heuristic research and indeed it would not make sense
to compare complex qualitative findings with a more restricted
and abstracted quantitative data form. But qualitative research
of course can be repeated and validated by further qualitative
projects. [75]
Quantitative data operate at a higher level of
abstraction than qualitative or everyday information. In
empirical research quantification has many advantages, most
prominent is the reduction of complex data to aspects which are
regarded as important for a particular purpose and an easier
processing of larger volumes of data as a result of it. However
selection may also cause problems for exploration. First:
Reduction restricts data and excludes access to further relations
and characteristics of them. This difficulty can be counteracted
by adding a multitude of further variables, perspectives, methods
and approaches as has been done in our research on social
structure. The more different these dimensions will be the better
the chance for a successful exploration (Rule tree on
variation). Second: Reduction results in reduction of
meaning or in its disappearance. This problem is more difficult
to tackle. Within the sciences similarities and
analogies are an important support for discoveries
transforming some of its abstract problems into concrete and
meaningful relations (MACH 1905, pp.220f.). In psychological and
social research adding meaning to data which have lost their
meaning during the research process is difficult and speculative,
as anybody should know who has "interpreted" results from factor-
or cluster analysis. [76]
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A Look at Discoveries in the Sciences
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Investigating research methodologies in the sciences
shows that contrary to deductive-nomological theory most
important discoveries were not achieved by deduction but by
exploration. Neither the discovery of America nor of china
pottery were the results of hypothesis-testingif there
were "hypotheses" they were falsified by the findings. COLUMBUS
did not find the western sea passage to India and the alchemist
Johann Friedrich BÖTTGER did not find gold. MACH gives ample
examples of the explorative techniques in the development of
mechanics (1883), thermodynamics (1896), optics (1921) and
physics (1905) over centuries. EINSTEIN and INFELD (1938)
explicitly described the explorative use of cognitive
experiments, another qualitative method in the sciences, as did
other scientists. A more recent example is the research process
which led to the discovery of the Double Helix by James D. WATSON
(1968), Francis CRICK and others. Many activities reported by
WATSON favored a discovery. There was, for instance, a strong
variation of perspectives: of scientific
fieldsbiology, chemistry, physicsof individual
experts and research groups, of research designs, of observing
and experimental methods with changes over time. Analysis was
able to discover the overall pattern which even could be
reproduced as a general model in a three-dimensional artefact of
wire and plasticsdemonstrating the relationship of
everything to everything else. Change of
subjectWatson was a physicist and started with
X-ray-research. Change of preconceptionsthe
researchers had to change their initial ideas and as a result
changed the preconceptions of the scientific community. Most
important was a constant dialogue among the researchers
and with the data. [77]
In critical essays on method Paul FEYERABEND (1983) discusses
discovery processes which were used by eminent scientists and
their methodological reflection in philosophy with the intention
of opening up the narrow definition of research. His famous
phrase "anything goes" is an ironical comment ( ... "and not
my principle": p.12, more in detail: pp.376f.).
Openness and adjustment to new situations of course is
a pre-requisite to exploration and discoveries.
Again I stress that the concepts ... are not newthey
were self evident for physicists as Mach, Boltzmann, Einstein, Bohr. But the ideas of those great thinkers were distorted past
recognition by the gnawers of the Wiener Kreis and the re-gnawing
of critical-rationalistic gnawers. ["Aber die Ideen dieser großen Denker wurden von den Nagetieren des Wiener Kreises und den sie wieder benagenden kritisch-rationalistischen Nagetieren bis zur Unkenntlichkeit entstellt."]" (FEYERABEND 1983, p.12). [78]
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An Appeal to Use Heuristic Methodology in
Qualitative and Quantitative Research
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Explorative techniques common in the sciences are refinements
of everyday exploration techniques: experiment and observation.
Everyday practice is even more easily accessible to psychological
and social research as these sciences operates at a more concrete
level than, say, theoretical physics. [79]
Explorations can be executed both with qualitative and
with quantitative data though qualitative data are more
easily accessible and more substantial in their content. Their
explorative potential can be improved by extending the range of
methodsqualitative experiments, real and cognitive,
introspective techniques, larger qualitative
samples, new methods to analyze texts as the use of
qualitative experiments and qualitative observation in
addition to the more common methods such as observation,
interviewing, analysis of objects, artefact and documents.
[80]
Exploration as a basic methodology of qualitative as well
as quantitative psychological and social research would
narrow the gap between different approaches and methodologies in
both disciplines and reduce the tendency to divide its
methodologies into behavioristic, deductive, "quantitative"
activities on the one hand and interpretative "qualitative"
approaches on the other. It also could establish a new
relationship toward the research methodology of discovery within
the sciences which has been and still is so successfully applied.
The split between "Natur-" and "Geisteswissenschaften" which
DILTHEY and the Neo-Kantians executed on the basis of
methodologythe basic technique of "Geisteswissenschaften"
being hermeneuticsshould be obsolete. [81]
1) In methodology textbooks, the type of
research that will be presented here is usually described as
"exploratory". We have, however, deliberately decided against
this common usage and chosen the term "explorative" instead in
order to characterize our approach as active and
process-oriented. <back>
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Gerhard KLEINING is Professor of Sociology Emeritus at
the University of Hamburg , Germany. His publications include
contributions to social structure and stratification, social
images and stereotypes, qualitative methodologies and methods,
heuristic research, introspection.
Address: Institut für Soziologie, Universität
Hamburg, Allende-Platz 1, D - 20146 Hamburg, Germany
Private: Elbchaussee 159, D - 2206 Hamburg, Germany
Phone/Fax: +49 / 40 / 880 1977
E-mail:
kleining@sozialwiss.uni-hamburg.de
Harald WITT is Professor of Psychology at the
University of Hamburg, Germany. His fields of research and
publication include work and technique, qualitative research
methodologies and methods, introspection.
Address: Psychologisches Institut I, Universität Hamburg,
Von-Melle-Park 11, D - 20146 Hamburg, Germany
Phone: +49 / 40 / 428 38 - 3611
Fax: +49 / 40 / 428 38 - 2650
E-mail:
hwitt@uni-hamburg.de
Please cite this article as follows (and include paragraph numbers if necessary):
Kleining, Gerhard & Witt, Harald (2001, February).
Discovery as Basic Methodology of Qualitative and Quantitative
Research [81 paragraphs]. Forum Qualitative Sozialforschung /
Forum: Qualitative Social Research [On-line Journal],
2(1). Available at: http://www.qualitative-research.net/fqs-texte/1-01/1-01kleiningwitt-e.htm [Date of Access: Month Day, Year].
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