Research design

Hill West Research Papers

A well - founded rationale for the design of at least one phase of a doctoral study

By Dr. Beth Clarke June 2011

A well - founded rationale for the design of at least one phase of a doctoral study

Introduction This paper will develop a well – founded rationale for the design of my doctoral research project that I hope to embark upon during the next academic year. In order to place this work in context I will identify my ontological and epistemological assumptions whilst summarising my particular field of interest and how this field of enquiry emerged. I will frame my research questions around the published literature and then I will explain the research design in detail, outlining the benefits of, in this instance, a multiple - case study approach. I will attempt to identify potential weaknesses in the research design and begin to consider ways in which these can be overcome.

Setting the Context My belief that schools can only be truly effective when the staff employed there are happy, well - motivated, valued and engaged in a form of life-long learning, derived from personal experience. Having completed an MA in Education during my early years as a teacher I then moved on to become an Assistant Head. I became increasingly aware that in order for me to carry out my role to the best of my ability I needed to be engaged in an on-going process of learning. In September 2004 I was appointed to a new school and became a Deputy Head Teacher. Within the first year of my Deputy Headship I found myself as the Acting Head Teacher. Having been Acting Head for 12 months I was appointed as the permanent Head Teacher in April 2006. The school to which I was appointed had just amalgamated and so one of my

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first tasks was to establish a senior leadership team made up of the identified school leaders from both key stages. Being comparatively small as separate schools, neither had previously operated with a senior leadership structure and so we started together on a journey of self – discovery, committed to developing an effective school.

I soon came to realise that if we wanted to maximise the effectiveness of our school then it was necessary for us not only to develop together as a team but also for us to develop individually as effective school leaders, engaging in an on-going and reflective learning process. Successful schools argued Sergiovanni (2001), build communities that are inclusive and value, above all, individual development and achievement. The main tenet therefore being, that if we are to fully prepare and equip ourselves as leaders, we have to concentrate on our own individual growth. Effective leadership is not just a job; it is a complex interaction between a range of personal and professional qualities and experiences (Burnham and Ireson, 2005). At the heart of effective leadership is a model of learning that is rooted in personal reflection to enable and enhance understanding and so inform all future practice.

My intended research therefore aims to explore how senior leaders in schools can embrace a model of learning which will help them to contribute to and impact on school effectiveness through their leadership. Before I begin the research however it is essential that I develop a greater understanding of my role as the researcher and the impact that this can have on my research design and research outcomes. I have come to realise that I must place myself within the context of that which I am researching.

As a Head Teacher and a committed life-long learner myself, I need to be mindful of my former understandings and already formed prejudices. My ontological position is

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that effective schools are those schools where staff actively participate in reflection and a continuous cycle of learning and so I bring to the research an already established bias that needs to be acknowledged. Acknowledging this means that I will need to build ample reflexivity into my research design.

My research will take on a hermeneutic/interpretive epistemology as it will take place in a social and educational setting focusing largely on social practices. It will assume that all human action is meaningful and hence has to be interpreted and understood.

To explain the social world we need to understand it, to make sense of it, and hence we need to understand the meanings that construct and are constructed by interactive human behaviour (Usher 1996). These social practices however have to be interpreted in a systematic and reflective manner and this will be particularly important in my chosen approach to the research, a multiple - case study.

A multiple case study will allow me, as the researcher, to gain a greater insight into the holistic relationships and processes in place that support and encourage ‘learning for leadership’. As the researcher using a case study approach I will hope to penetrate the settings chosen in ways that are not always susceptible to numerical analysis that will allow fellow practitioners to understand similar cases, phenomena or situations.

The research project will attempt to demonstrate that truly effective schools embrace a model of ‘lifelong learning,’ making it a central facet to all of their school improvement / development work. The overarching aim of the research will be to develop a typology of good practice in relation to ‘Learning for Leadership and School Effectiveness’ through a multiple case study approach.

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I propose to carry out my research in three successful schools, all in varying contexts.

Such an approach to the research, I hope, will allow generalisations to be made from the findings and a typology to be developed, based on thorough, systematic and reliable research which can then be used by different school settings and individual Head Teachers in their own school self evaluations. However, a key factor in the success of the typology for use in other primary schools will be the research questions around which the research is framed.

Research Questions This study will set out to discover the role on-going engagement by senior leaders in the learning process has on their leadership effectiveness and the impact of this on whole school success. As such, this study will be framed around three key research questions.

The first will ask – the extent to which the role of the Head Teacher should focus on developing senior leadership teams of lead learners? A lead learner being someone striving for self - improvement through engagement in an on-going learning process but also ‘a generative person’, looking to support the personal growth of others (Kenning, 2002). As a nation we are currently facing a leadership crisis.

Senior leadership positions in school are not attracting sufficient numbers of applicants. There is clearly a need for leaders to emerge committed to the development of our education system and confident enough to bring about significant changes to the way we deliver the learning for all of our pupils in our schools. Surely then, currently serving Head Teachers have a significant role to play not only in

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ensuring their own school effectiveness but also in the identification and encouragement of future school leaders? As explained by Stoll, Fink and Earl (2000) effective educational leaders are continuously open to new learning because the journey keeps changing. Leaders should therefore be focusing on helping staff to develop the skills for individual growth to take a greater responsibility for their own learning.

The second research question will ask - what are the key organisational characteristics that act as aids or barriers to developing senior leadership team members as lead learners? As the research is aiming to develop a typology of good practice in relation to the development of lead learners that can be generalised and used successfully in a range of schools it will be necessary to identify those influential factors that could act as aids or barriers to this process. Although some of these variables, it could be argued, are already known, this research will attempt to probe deeply into the organisations structures and processes in an attempt to uncover unique practices in three very successful schools (as identified by Ofsted).

The final research question will ask - what is the impact of on-going engagement in the learning process on leadership ability and school effectiveness? This is the ‘why bother’ question. In order to demonstrate the impact of lead learners on school effectiveness it will be necessary to undertake empirical research and summarise the research concisely.

Vail (1997) remarked that in a context of constant change

leadership is a process of ‘mainly learning’ and therefore a good leader needs to be a good learner – a person who lives and breathes learning. Therefore in order to maximise school effectiveness school leaders will have to be masters of learning able

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to keep abreast of developments and distinguish between those initiatives that will prove useful to their school and those initiatives that will simply get in the way of whole school development.

Research Design For this study I will be using a case study design.

“Case studies focus on one instance (or a few instances) of a particular phenomenon with a view to providing an in-depth account of events, relationships, experiences or processes occurring in that particular instance” (Denscombe, 2003 p.32).

There are several types of case study. Yin (1984) identified three such types in terms of their outcomes: exploratory (as a pilot to other studies or research questions); descriptive (providing narrative accounts); explanatory (testing theories). Exploratory case studies that act as a pilot can be used to generate hypotheses that are tested in larger scale surveys, experiments or other forms of research. However, case studies are not solely a preliminary tool to other studies and exist in their own right as a significant and legitimate research method.

Merriam (1988) also identified three types of case study: descriptive (narrative accounts); interpretative (developing conceptual categories inductively in order to examine initial assumptions) and evaluative (explaining and judging). In my research, the case study will be largely interpretative and attempt to develop a conceptual framework for the promotion of lead learners in practice. In essence it will attempt to develop a typology for ‘leadership for learning and school effectiveness’ that can be used by a wider audience than simply those schools included in the study.

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The use of a case study approach, argued Denscombe (2003) has become extremely widespread in social research, particularly with small – scale research such as mine.

Case studies focus on a specific instance or instances.

“The starting point, and arguably the defining characteristic of the case study approach, is the focus on just one instance of the thinking that is to be investigated. Occasionally, researchers use two or more instances [as in this case] but, in principle, the idea of a case study is that a spotlight is focused on individual instances rather than a wide spectrum” (Denscombe, 2003, p.30).

The case study approach therefore is quite the opposite of any mass study. The logic behind concentrating efforts on one or a limited number of cases rather than many is that there may be insights to be gained from looking at the individual case or cases that can have wider implications and, importantly, that would not have come to light through the use of a research strategy that tried to cover a large number of instances, a survey approach for example. ‘The aim is to illuminate the general by looking at the particular’ (Denscombe, 2003). The prospect of getting some valuable and unique insight depends on being able to investigate things in a way that is different from, and in some senses better than, what is possible using other approaches.

Therefore, because of the nature of social research where relationships and processes tend to be interconnected and interrelated, an in-depth study into particular cases will allow me the opportunity for in-depth enquiry. Taking the strategic decision to devote all of my efforts to researching a limited number of settings, there is far greater opportunity to delve into things in more detail and discover things that might not have become apparent through more superficial research.

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I also believe that a case study approach is best suited to answering my research questions. Specifically the second question which will ask about the organisational characteristics that help or prevent the growth of lead learners in schools and the third question which will attempt to evaluate the impact of on-going engagement in the learning process on leadership ability and school effectiveness. For these questions I feel that an in-depth analysis of whole school policies, practices and systems will be needed to gain a true insight into each schools approach.

Denscombe (2003) was keen to point out that case studies tend to emphasise the detailed workings of the relationships and social processes, rather than to restrict attention to the outcomes from these. The real value of a case study then is that it offers the opportunity to explain why certain outcomes might happen – more than just find out what those outcomes are. Cohen et al (2007) stated that case studies strive to portray ‘what it is like’ to be in a particular situation, to catch the close up reality and ‘thick description’ (Geertz 1973b) of participants lived experiences of, thoughts about and feelings for a situation. They involve looking at a case or phenomenon in its reallife context, usually employing many types of data. They are descriptive and detailed, with a narrow focus, combining subjective and objective data (Dyer, 1995).

Case studies argued Cohen et al (2007) make theoretical statements, but, like other forms of research and human sciences, any statements made must be supported with reliable and valid evidence. This requires the nature of generalisation in a case study to be clarified. Generalisation can take on a variety of forms, but in my research will take the form of a generalisation from features of three cases to a multiplicity of cases with the same features.

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Why a Multiple – Case Study?

Having understood the very essence of a case study approach and evaluated it against other research designs I then had to consider the type of case study I wished to carry out. With obvious constraints in terms of the time available to complete this research, the number of words the research will have to be written up in (50,000) and the feasibility of access, any decision about size of sample had to be considered very carefully. I had to make a conscious and explicit choice on the number of cases or schools to investigate and also on the number of people in each of the schools to include in the overall sample. I then needed to be able to justify my decisions in this regard.

“The concept of case study captures an important aspect of the decisions we face in research. It highlights, in particular, the choices that we have to make about how many cases to investigate and how these are to be selected” (Hammersley, 1992: pp.184-185).

I decided to frame my research around a multiple - case study by focusing my research in three distinct primary schools located in different contexts. The overriding similarity for selection however will be that all of these primary schools will have been inspected by Ofsted since September 2006 (when the renewed Ofsted Framework was last published) and all will have been graded during these inspections as ‘outstanding’ for ‘overall school effectiveness’. With all primary schools striving for ‘outstanding school effectiveness’ but with very few actually being graded as such, this seemed to me to be an ‘atypical sample’. Surely with outstanding ‘overall school effectiveness’ there are lessons to be learnt in each of these schools about the

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nature and role of the senior leaders and their approach to on-going, continuous learning.

The chosen sample of respondents in each of these schools will include the Head Teacher and all members of the senior leadership team (approximately 18 people in total). As a multiple - case study is in essence a comparative study, I will not observe one case, or one school as it is in this instance, in its entirety and in its complexity, but rather a multiplicity of cases / schools with regard to particular excerpts. For example I will compare a number of people in respect of their concrete experience of ‘lifelong learning’ and how this has impacted and is still impacting on the effectiveness of their schools. The rationale for choosing these particular schools and sample of respondents therefore is that they will be able to share experiences with me as the researcher that will prove especially significant in the development of a typology to support other schools and school leaders in relation to ‘learning for leadership and school effectiveness’.

As with any chosen research design however there are obvious strengths to be found in its approach and similarly identifiable limitations too. The next section will explore these in more detail.

Potential Strengths in Research Design There are many strengths in adopting a case study approach to research design other than simply gaining the ability to investigate one or a few cases in depth. One of these strengths is that ‘the case’ that forms the basis of the investigation is normally something that already exists and is not artificially created. A case study therefore is

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a naturally occurring phenomenon. It exists prior to the research project and continues to exist once the research has finished. The case study approach therefore tends to study things as they naturally occur, without introducing artificial changes or controls. This means that the reliability of the research findings is likely to be stronger.

However it must be acknowledged that inevitably the very presence of the researcher in the research setting can lead to changes in practices of the individuals or settings being studied. My role as the researcher therefore in this process is to ensure that my presence in each of the settings has the minimal impact or influence on the research outcomes.

Another strength of the case study approach is that it allows the researcher to use a variety of sources, a variety of types of data and a variety of research methods as part of the investigation. It not only allows this, it actually invites and encourages the researcher to do so (Denscombe, 2003). Observations of events within the case study setting can be combined with the collection of documents from official meetings and informal interviews with people involved. Questionnaires for example, might be used to provide information on a particular point of interest. Any method of data collection that is deemed appropriate can be used for investigating the relationships and processes that are of interest. This is particularly appealing for my proposed field of interest where it may be appropriate to collect a variety of data types from each of the settings in order to fully appreciate the mechanisms in place to promote life-long learning for all staff.

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The very fact that a case study focuses in-depth attention on one or a small number of cases means that case studies can establish cause and effect; indeed one of their strengths is that they observe effects in real contexts, recognising that context is a powerful determinant of both causes and effects (Cohen et al, 2007). As such then I will be able to develop a typology of ‘learning for leadership and school effectiveness’ that will identify the methods by which this can be adopted and used successfully in other primary school settings.

Potential Weaknesses in Research Design Along with the identified strengths of adopting a case study approach I was aware that there were obvious potential weaknesses that would also have to be considered. The very nature of focusing on one case or a small number of cases to identify the subtleties and intricacies of complex social situations will mean that the restriction of sample size could lead to scepticism about the findings; scepticism that would arise from doubts about how far it is reasonable to generalise from my findings.

The extent to which findings from the case study can be generalised to other examples in the class depends on how far the case study example is similar to others of its type, argued Denscombe (2003). Therefore, when reporting the case study findings, I know that I need to include sufficient detail about how the case or cases compare with others in the class for the reader to make an informed judgement about how far the findings have relevance to other instances.

A case study approach can also be perceived as producing soft data and as such is accused of lacking the degree of rigour expected of social science research. This

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supports the view that case studies focus on processes rather than measurable end products and rely heavily on qualitative data and interpretive methods rather than qualitative data and statistical procedures. For this very reason it is important in case studies that events and situations are allowed to speak for themselves, rather than to be largely interpreted, evaluated or judged by the researcher (Cohen et al, 2007). The validity of my research will need to be enhanced through triangulation and the use of multiple methods of data collection.

It is evident therefore that with a case study approach to research, as with any approach, there are strengths and weaknesses to be found in the design. Knowing what these potential strengths and weaknesses are will enable me as the researcher to be mindful of this when selecting and designing my research tools and analysing the results of my research.

Conclusion This paper has aimed to develop a well – founded rationale for the design of my doctoral research project whilst setting in context my chosen field of interest.

Although I am not aiming to start this research until next year I have attempted to identify clearly my intended research questions. I am aware, however, that as my research progresses and develops further these questions are likely to be refined and expanded.

I have outlined my chosen research design in detail, an interpretive multiple - case study approach which I believe will allow me to concentrate my efforts on a limited number of cases to gain insights that will have wider implications and, more

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importantly, insights that may not have come to light through the use of a research strategy that tried to cover a large number of instances. Through a multiple – case study I believe, as Denscombe (2003) identified, that I will be able to illuminate the detailed workings of the relationships and social processes in place in each of the schools. The real value of this being, that it offers me, as the researcher, the opportunity to explain why certain outcomes might happen – more than just find out what those outcomes are. I will be looking at the cases and phenomenon of ‘life-long learning’ in its real-life context by employing many types of data collection allowing me to be descriptive and detailed, subjective and objective (Dyer, 1995).

However during the course of writing this paper I have become increasingly aware of the potential weaknesses in my research design that will include criticisms about my ability to generalise from the findings and the perceived production of soft data. As suggested by Shaughnessy et al (2003), the research design could potentially lack rigour when compared to other methods of social science research and is something to be considered carefully at the planning stage.

As the project develops I am sure that other challenges will also present themselves.

At present I am only at the preliminary stages of planning and am therefore acutely aware that I may encounter further difficulties before the research commences or as the research progresses and these could include issues relating to: 

Bias / former - understandings

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Access

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Ethical considerations

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Validity and reliability

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To conclude therefore I now need to begin to consider ways in which these difficulties and criticisms can be largely overcome to ensure that my research is credible and worthwhile. As with any research design, as long as the researcher is aware of the limitations of their research and makes these explicit during the course of the research, strategies can be developed and embedded into the research process to safeguard against any unnecessary criticism.

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References

Cohen, L. and Manion, L and Morrison, K (2007) Research Methods in Educaiton.

Sixth Edition. London: Routledge

Denscombe, M. 2003 The Good Research Guide for small-scale research projects.

Second Edition: Philadelphia: Open University Press

Dyer, C. 1995 Beginning Research in Psychology. Oxford: Blackwell

Geertz, C. 1973b Thick description: towards an interpretive theory of culture. In Cohen, L. and Manion, L and Morrison, K (2007) Research Methods in Educaiton.

Sixth Edition. London: Routledge Hammersley, M. 1992: What’s Wrong with Ethnography? London: Routledge.

Kenning, S. 2002 The Intelligent Gaze: Leadership, lead learners and individual growth – a reflective enquiry. NCSL Autumn 2002

Merriam, S. B. 1988 Case Study Research in Education. San Francisco, CA: Jossey Bass

Robson, C. (2002) Real World Research (second Edition). Oxford: Blackwell.

Sergiovanni, T.J. (2001) Leadership; what’s in it for schools? London: Routledge

Scot, D. and Usher, R. 1996 Understanding Education Research. London: Routledge

Shaughnessy, J. J., Zechmeister, E. B. and Zechmeister, J. S. 2003 Research Methods in Psychology. Sixth Edition. New York: McGraw-Hill Stoll, L. Fink, D. and Earl, L. 2000 It’s About Learning (and it’s About Time) (What’s in it for Schools?) London: Routledge Falmer

Vail, P. 1997 The Learning Challenges of Leadership. In: The Balance of Leadership and Fellowship Working Papers. Academy of Leadership Press, University of Maryland.

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West - Burnham, J. and Ireson, J. 2005 Leadership Development and Personal Effectiveness. NCSL

Yin, R. K. 1984 Case Study Research. Design and Methods. Beverly Hills, CA: Sage

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