Assignment: Small-Scale Qualitative Research Project—The Interview Guide

FOREWORD

Walden University

DBA Doctoral Study Rubric and Research Handbook1

March 2016

This document consists of two components: the Doctoral Study Rubric2 and the Research Handbook. Thus, the purpose of this document is two-fold. First, the purpose of the rubric is to guide DBA students and DBA Doctoral Study supervisory committees as they work together to develop high-quality proposals and Doctoral Study research. The committee will use the rubric to provide on-going and flexible evaluation and reevaluation of the proposal and DBA Doctoral Study drafts. The University Research Reviewer (URR), who reviews the proposal/DBA Doctoral Study on behalf of the University, will also use this rubric to communicate feedback and any required revisions.

Second, the Research Handbook is an accompanying guide to the rubric that provides detailed instructions and knowledge pertaining to corresponding rubric components. The doctoral student is still responsible for utilizing self-identified resources to aid in the understanding and presentation of the rubric requirements. Elements in the Doctoral Study rubric correspond to elements in the Research Handbook. For example, one will find more detailed information on the Problem Statement (Heading # 1.3 in the DBA Rubric) in Heading # 1.3 (Problem Statement) of the Research Handbook. Using the Doctoral Study Rubric in conjunction with the Research Handbook when writing the proposal/Doctoral Study is highly recommended.

In the writing process, use the DBA Template and Rubric as a suggested outline for the DBA Proposal and Doctoral Study and as a basis for feedback on early drafts.

Before the Proposal Oral Conference or DBA Doctoral Study Oral Conference, the committee and URR will complete the rubric in MyDR and upload the proposal per the process checklist. Find the MyDR Process Checklist at http://academicguides.waldenu.edu/researchcenter/osra/dba.The guidance on orals is located at http://academicguides.waldenu.edu/researchcenter/osra/oraldefense.

After the Proposal Oral Conference or DBA Doctoral Study Oral Conference, and once the student completes any committee or methodologist revision requests for the proposal/Doctoral Study, the committee will review the proposal/Doctoral Study and make any needed modifications. When the committee members agree that the student met all of the rubric requirements for the proposal and passed the oral defense, the chair then notes in MyDR that the student passed the oral defense.

About consensus: For the final copy of the proposal or DBA Doctoral Study, there must be unanimous agreement by the DBA Doctoral Study supervisory committee before the student proceeds to the next step in the process checklist.

Note: Students must use a minimum of 85% peer-reviewed sources from the total number of sources. Students must use a minimum of 85% of sources from the total sources that were published within 5-years from the date of the anticipated completion date (date the CAO approves the final study). Other than data collected from the study site, students cannot use magazines, trade publications, summary textbooks, websites, and blogs as references.

TABLE OF CONTENTS

Foreword

The Rubric – Student, Committee, and Evaluation

DBA DOCTORAL STUDY RUBRIC

Student and Committee Information3

Note: Provide the required information in the yellow highlighted column.

Evaluation7

8Date/Stage of the Rubric:

Note: Place an “X” in column (yellow highlight) associated with the appropriate stage.

Evaluation of State of the DBA Doctoral Study or Proposal:

Note: Place an “X” in the column (yellow highlight) associated with the appropriate evaluation decision.

Member Information:

Note: Enter the information in the yellow highlighted column.

DBA RESEARCH HANDBOOK

SECTION 1: FOUNDATION OF THE STUDY

Note: This handbook is not in the DBA Doctoral Study Template. Make certain that the proposal and study conform to DBA Doctoral Study Template heading sequencing, and formatting with the correct margins and line spacing.

1.1 - Abstract

The abstract must not exceed one page. The abstract text must be double-spaced with no paragraph breaks. The first line must not be indented. Describe the overall research problem being addressed in the first couple of sentences and indicate why it is important (e.g., who would care if the problem were solved). You can include a general introduction of the issue in the first sentence, but you need to move to a clear statement of the research problem. Identify the purpose and theoretical foundations, summarize the key research question(s), and briefly describe the overall research design and data analytic procedures. Identify the key results, themes, one or two conclusions, and recommendations that capture the heart of the research. Conclude with a statement on the implications for positive social change. Here are some form and style tips: (a) limit the abstract to one page; (b) maintain the scholarly language used throughout the doctoral study; (c) keep the abstract concise, accurate, and readable; (d) use correct English; one may use passive voice in the abstract; (e) ensure each sentence adds value to the reader’s understanding of the research; (f) use the full name of any term and if the acronym is used more than once in the abstract include the acronym in parentheses. Do not include references or citations in the abstract. Per APA style, unless at the beginning of a sentence, use numerals in the abstract, and don’t identify the titles of any software. Do not include seriation (i.e., (a), (b), (c), etc.)

1.2 - Background of the Problem

The purpose of the background is to introduce the topic and problem you will address. Briefly, you want to indicate why the problem deserves new research. More important, the Doctoral Study must address applied research, so you will want to identify the need to study how some business leaders are solving or have solved an applied business problem. The goal of this heading is to encourage readers to continue reading, to generate interest in the study, and provide an initial frame of reference for understanding the entire research framework.

Applied DBA Versus a Speculative/Theoretical PhD

A DBA study is an applied business study linking theory to professional practice. Students can use the following criteria to ensure that they have a clear DBA business study or a DBA business study rather than a PhD business study. In contrast to a DBA study, a PhD study is a hypothetical/theoretical study that leads to expanding or creating theory rather than solving a business problem.

Qualitative studies. A qualitative study about people’s perceptions on how to address a business problem is hypothetical and is a PhD study. In contrast, a qualitative study is about a strategy that a business leader or manager has implemented /is implementing to solve a business problem or a strategy that a business leader or manager has implemented to solve a business problem is an applied DBA study.

Quantitative studies. A quantitative study that includes one or more variables in which the leader or manager cannot change to solve a business problem is a hypothetical/theoretical PhD study. Whereas, a quantitative study that includes only variables which business leaders or business managers can manipulate or change to solve a business problem is an applied DBA study.

Preparing the Background of the Problem

The Background of the Problem can be effectively accomplished in no more than one page; brevity and clarity are essential. The Review of the Literature will provide a more detailed discussion on the literature pertaining to the topic/problem. Immersing yourself in the literature on your topic/problem is crucial to uncovering a viable business problem. Do not underestimate the importance of the literature in helping identifying a viable business problem.

The research topic is broad in nature; do not narrow the focus too quickly. You want to provide the reader, especially those not familiar with the topic, time to become familiar with the topic. Transition the reader to a more a concise presentation of the specific business topic/problem under study. This component focuses on identifying why the study is important, how the study relates to previous research on the topic/problem, and gives the reader a firm sense of what your study is going to address and why. The Background of the Problem contains information supporting the business problem. Do not describe, explain, justify, etc., the need for the study in the Problem Statement. Provide these critical elements (description, explanation, justification, etc.) in the Background of the Problem component. As such, the Problem Statement can be written effectively in as little as four sentences: (a) hook, (b) anchor (c) general business problem, and (d) specific business problem. Transfer the supporting references in the Background of the Problem to the Problem Statement, but submit in a concise manner. For example, the hook and anchor reference provided in the Background of the Problem should be used in the Problem Statement.

Include a transition statement that leads to problem statement that will provide more specificity regarding the problem identified in the Background or the Problem component. A well-written transition signals a change in content. It tells your reader that they have finished one main unit and are moving to the next, or it tells them that they are moving from a general explanation to a specific example or application. A transition form the background to the Problem Statement is often as brief as one sentence, as follows: The background to the problem has been provided; the focus will now shift to the Problem Statement. Tip: Many potential business topics/problems can be found in the Area for Future Research heading of most peer- reviewed journal articles.

1.3 - Problem Statement

As shown in the following graphic, the Problem Statement must include four specific components the (a) hook, (b) anchor, (c) general business problem, and (d) specific business problem. The Problem Statement is not to exceed 150 words. One should utilize the Tool/Word Count feature in Microsoft Word to ensure the word count does not exceed the 150 maximum word requirement. More important, ensure the problem statement reflects an applied business problem; avoid Rubric Creep47. You must ensure you map to the rubric requirements. This is the most critical component of the doctoral study and will be highly scrutinized in the review process. Again, the Problem Statement is not to identify causes for the problem, solutions to the problem, or any other superfluous information. A well-written problem statement can be presented in four to five sentences. Please review the training video (see link below) developed by the DBA methodology team to aid in writing your problem statement. The video will help add clarity and save you time. The Problem Statement Video Tutorial can be found at: http://youtu.be/IYWzCYyrgpo.

DBA students are seeking a degree in business and must ensure the problem statement is business focused. The problem statement must not represent a problem that has a social, psychological, educational, or other discipline specific emphasis. A business problem is something that is a problem for a business from the perspective of the business managers or the industry’s leaders. Therefore, it is important to adopt a management perspective, and not that of social advocates. The perspective must be from the position of the managers and leaders of business who can address the problem.

Avoiding Rubric Creep

To ascertain if a problem addresses a business issue or has Rubric creep/Rubric drift, please consider the following:

• An important indicator that a business related problem is a specific business problem is that the problem statement relates to a key business process that organizational leaders need to address and effectively meet the organization’s mission.

• A business problem relates to one or more critical success factors (CSFs). Business leaders use business processes to function effectively to complete one or more CSF’s needed to carry out their business mission.

• A business problem is one that a business manager/leader can solve.

Conduct a final check of the problem statement by putting the hook, anchor, general business problem, and specific business problem in bullet form and check for alignment among the four bullets. When you can ensure that the problem statement aligns throughout, write in scholarly narrative form (no bullets).

Strategy for Mapping to the Rubric

• Read the rubric requirements for a heading.

• Read what you wrote in the heading.

• Read the rubric requirements for a heading again.

• Read what you wrote in the section and highlight (in the proposal and the rubric) the rubric elements that you addressed in the heading.

• Revise the heading as needed to include the rubric elements that you missed and eliminate superfluous narrative.

• Start the process at the top again until you have mastered the rubric elements in the heading.

Specific Business Problem

The specific business problem is the genesis of one’s study. It is vital that one has a clear and precise specific business problem. One will align the contents of the Research Question and Purpose Statement with the specific business problem.

The qualitative specific business problem. The qualitative specific business problem must be well defined and not contain multiple issues (variables in quantitative studies). The following graphic depicts how to include the elements needed in a qualitative specific business problem.

The quantitative specific business problem. The quantitative specific business problem must be well defined and contain the key variables. The following graphic depicts how to include the elements needed in a qualitative specific business problem.

Aligning the Specific Business Problem With the Purpose Statement and RQ

Make certain that the specific business problem, Purpose Statement, and Research Question (RQ) align. A good technique to use to enhance the alignment is to put the specific business problem, RQ, and first sentence of the Purpose Statement together on a blank document to ensure that you are using the same words. Notice the suggested order differs from the order the headings appear in the study.

Qualitative alignment example. The graphic below provides an example of alignment among the Specific Business Problem, Research Question, and first sentence of the Purpose Statement using the same key words. Pay attention to the words one uses in identifying the issue that the leader lacks or has in limited supply. The word determines how one can collect data.

• Some business leaders lack understanding… To ascertain what one understands will require a quantitative design.

• Some business leaders lack knowledge… To ascertain a business leader’s knowledge will require a quantitative design.

• Some business leaders lack strategies (or have limited plans, processes, procedures)… To ascertain a business leader’s strategies may involve interviews, focus groups, company archival records and documents, company policies and procedures, company intranet/Internet site, and direct/participant observation (in some cases) to collect data. Usually interviews or focus groups are the primary data collection method.

• Some business leaders lack skills… To ascertain a business leader’s skills will involve direct/participant observation as the primary data collection method.

Quantitative alignment example. Notice how the Specific Business Problem, Research Question, and first sentence of the Purpose Statement use the same key words with the exception that the research question and subsequent first sentence in the purpose statement do not address the business leader—this is a difference between qualitative and quantitative studies. The following is an example of alignment for a quantitative correlational study.

1.4 - Purpose Statement

There is a difference in the rubric requirements for a quantitative versus a qualitative study. The Purpose Statement must include the following components: (a) methodology, (b) design, (c) independent and dependent variables (for quantitative studies only), (d) specific population and justification for using the chosen population, (e) geographical location, and (f) the study’s potential for effecting social change. The Purpose Statement is not to exceed 200 words. One should utilize the Tool/Word Count feature in Microsoft Word to ensure the word count does not exceed 200 words. The Purpose Statement is to be a concise statement and must not include detailed design information (sample size, data collection, etc.). Please be sure to map to the rubric. Please review the purpose statement video at: http://youtu.be/pLP4r0mfT9A. This video tutorial will be helpful to you in preparing your Purpose Statement.

Six Elements of the Purpose Statement

As mentioned above, the Purpose Statement consists of six elements. These six elements, and their contents, are:

Methodology. The first element to be presented in the Purpose Statement is the research methodology. The methodology is the overall philosophical assumption the researcher uses for designing and developing the study. In other words, the methodology is a worldview of how knowledge is acquired. The qualitative method is a means for exploring and understanding the meaning individuals or groups ascribe to a business problem. The qualitative method involves researchers using open-ended questions to learn what a business leader is doing or has done to solve a business problem. The quantitative method involves researchers using closed-ended questions to test hypotheses. Mixed-method studies contain a qualitative study methodology and a quantitative study methodology and must meet the requirements of both methodologies. Mixed-method studies are rarely conducted in the DBA program. You simply need to identify the methodology for or your study in a single sentence. There is no other information required other than this single statement.

Design. The second element to be presented in the Purpose Statement is the research design. While there are numerous designs, the most common qualitative designs seen in DBA doctoral studies are the case study design, miniethnography, focus group, and the phenomenological design. The correlational design is the most common design for quantitative studies. You simply need to identify the design of your study. There is no other information required other than this single statement.

Variables (quantitative study only)48. A variable is any entity that can take on different values. Another definition of a variable is that it is a characteristic or condition that changes or has different values for different individuals or units of analyses (i.e. sample units). More so, variables are the corner stone of quantitative research, where the researcher seeks to explain the relationships among variables or to compare group differences regarding a variable or variables of interest. Another important distinction for term variable is the distinction between an independent and dependent variable.

An independent variable is the variable you have control over (experimental designs), what you can choose and manipulate. A dependent variable is also known as a response variable or explained variable. The independent variable is usually what you think will affect the dependent variable. In some cases, you may not be able to manipulate the independent variable. It may be something that is already there and is fixed (i.e. company size), something you would like to evaluate with respect to how it predicts, influences, impacts, or causes a change in the dependent variable (i.e. employee satisfaction).

As it applies to your research, the dependent variable is normally the problematic variable in DBA studies where the researcher it trying to explain what influences, affects, causes or can predict the problem. For example, if the specific business problem is low employee satisfaction then employee satisfaction is the dependent variable. The researcher then selects independent variables that are thought to predict, influence, impact, or cause the dependent variable, in this case, employee satisfaction.

Thus, it is extremely important to identify clearly the independent and dependent variables in the Purpose Statement component of the proposal. Identification of the variables informs other research components such as sample size and type of statistical analysis that is to be conducted. See more on variables at: http://www.socialresearchmethods.net/kb/variable.php

Targeted population. A population is the larger group that you are studying. The population is not to be misconstrued as the sample, or your study’s participants. You will select your sample, or study participants from the larger population. For example, your population might be all small business leaders in New York. You will however, select a subset of small business leaders in New York to serve as your sample or participants. Remember, you are to address the broader population in this component of the Purpose Statement.

In a qualitative ethnographic or case study, you will need to define the population with the scope of the study. For example, if you are conducting a single case study, the population will be people that meet the participant criteria within that organization/company. Likewise, in a multiple case study the population will be the people that meet the participant criteria within the organizations/companies in the study.

Examples for a case study with the following research question: What strategies do department store managers use to motivate their sales associates?

Single case study example. The population will be department store managers in one New England department store who have a strategy to motivate their sales associates.

Multiple case study example. The population will be department store managers in four New England department stores who have a strategy to motivate their sales associates.

Geographical location. The geographical location simply identifies the geographical location of your study’s participants. The participants might be in a particular country, region, state, or city. Of course, this may vary based upon the purpose of your study. In the decision to identify the geographic location, one must ensure that the confidentiality of the company(ies) and participants. If one is conducting a study in an automotive manufacturing facility and there are only one or two companies in the city or state (i.e. Alabama), one should define the geographic location to avoid the specific sample units being easily identifiable (i.e., southern United States).

Social change. The final element of your Purpose Statement requires you to provide a positive social change statement. Positive social change involves improvement of human or social conditions by promoting the worth, dignity, and development of individuals, communities, organizations, institutions, cultures, or societies. Focus on explaining “WHO” may benefit, and “HOW” the “WHO” may benefit from your study’s findings and recommendations.

Quantitative hypothetical example. The purpose of this quantitative correlation study is to examine the relationship between leadership styles, size of business, and business revenue. The independent variables are leadership style and size of business size. The dependent variable is business revenue. The targeted population will consist of business leaders of microelectronic companies in the southeast United States. The implications for positive social change include the potential to (provide social change statement).

Note: DBA doctoral studies require the highest level or rigor and scholarship. One focus of rigor and scholarship is that of the number of predictor or independent variables examined in quantitative doctoral studies. Nonexperimental research (i.e. correlation, quasi-experimental, etc.) requires the use of at least two independent or predictor variables.

Qualitative hypothetical example (case study). The purpose of this qualitative multiple case study is to explore the strategies that department store managers use to motivate their sales associates. The targeted population will comprise of department store managers form one of the three department stores in the southeast region of the United States who have implemented strategies to motivate their sales associates. The implication for positive social change includes the potential to (provide social change statement).

Note: In a case study, and often in ethnographic studies, the population is limited to those people meeting the participant criteria in the company or companies being studies. In a phenomenological or narrative study, the population includes all people who meet the participant criteria.

1.5 - Nature of the Study

The Nature of the Study component serves two purposes (a) describing and justifying the methodology (i.e. quantitative, qualitative, mixed-method) and (b) describing and justifying the design (i.e. case study, phenomenological, correlation, sequential explanatory, etc.). Therefore, a well-crafted Nature of the Study can be presented in two paragraphs and not exceed one page. The first paragraph describes and justifies the methodology and the second paragraph describes and justifies the design. These two components should not be intermingled. A common error in this heading is to restate the purpose, identify variables, analyses, etc. and include other superfluous information. Again, map to the rubric and only include the required content!

Remember that the Nature of the Study succinctly represents your defense of your choice of method and design; therefore, it must have depth. You must demonstrate to the reviewers that you have done the reading and research needed to support your research method and design. That evidence also includes discussing why you did not choose other methods and designs. Keep this heading deep yet brief. You will have time to expand upon the Nature of the Study later in the Research Method and Design heading.

Hypothetical Quantitative Example49

I chose a quantitative methodology for this study. Using a quantitative study enables one to identify results that can be used to describe or note numerical changes in numerical characteristics of a population of interest; generalize to other, similar situations; provide explanations of predictions, and explain casual relationships (cite). Thus, the quantitative method is appropriate for this study because the purpose of the study is to analyze numerical data and infer the results to a larger population. A mixed methods study contains the attributes of both quantitative and qualitative methods (cite). The qualitative method is appropriate when the research intent is to explore business processes, how people make sense and meaning, and what their experiences are like (cite). Therefore, the qualitative and qualitative portions of a mixed-method approach are not appropriate for this study.

Specifically, the correlation design is chosen for this study. A correlation researcher examines the relationship between or among two or more variables (cite). The correlation design is appropriate for this study because a key objective for this study is to predict the relationship between a set of predictor variables (leadership style and size of business) and a dependent variable (company revenue). Other designs, such as experimental and quasi-experimental designs are appropriate when the researcher seeks to assess a degree of cause and effect (cite). This principal objective for this study is to identify a predictive model; thus the experimental and quasi-experimental designs are not appropriate.

Hypothetical Qualitative Example

The three research methods include qualitative, quantitative, and mixed methods (cite). I selected the qualitative method to use open-ended questions. Qualitative researchers use open-ended questions to discover what is occurring or has occurred (cite). In contrast, quantitative researchers use closed ended questions to test hypotheses (cite). Mixed methods research includes both a qualitative element and quantitative element (cite). To explore (your topic), I will not be testing hypotheses which is part of a quantitative study or the quantitative portion of a mixed methods study.

I considered four research designs that one could use for a qualitative study on (2-3 words identifying your topic): (a) miniethnography, (b) focus group, (c) narrative, and (d) case study. (Note: Select the designs that you considered and are applicable to an applied qualitative study.) Miniethnography involves… (Briefly discuss miniethnography, 1-sentence defining with a citation, 1-sentence if needed why it is or is not the optimal choice). Business researchers use focus groups to… (Briefly discuss focus groups, 1-sentence defining with a citation, 1-sentence if needed why it is or is not the optimal choice). A narrative design entails… (Briefly discuss narrative designs, 1-sentence defining with a citation, 1-sentence if needed for why it is or is not the optimal choice). Case study researchers… (Briefly discuss case study, 1-sentence defining with a citation, 1-sentence is needed why it is or is not the optimal choice).

1.6 - Research Question (Quantitative Only)

DBA doctoral studies require the highest level or rigor and scholarship. One focus of rigor and scholarship is that of the number of predictor or independent variables examined in quantitative doc studies. Non-experimental research (i.e. correlation, quasi-experimental, etc.) requires the use of at least two independent or predictor variables. This is due to the “third variable” problem. A third variable also known as a confounding or mediator variable can confound the relationship between the independent and dependent variable. This confounding can lead the researcher to incorrectly interpret the results, leading to an incorrect rejection of the null hypothesis.

As such, all DBA quantitative studies require the examination of at least two predictor, or independent variables. This affects the statistical analysis, as simple bivariate correlations (correlation designs) or one-way ANOVAs cannot be used as inferential statistical tests. Other statistical procedures, such as partial correlation, semipartial correlation, mediation and moderation, and multiple regression analyses, as a minimum must be used for correlation studies. Quasi-experimental, causal comparative, etc., designs must employ statistical analyses (i.e. factorial ANOVAs), as a minimum, which examines more than one independent variable.

Below are appropriate and inappropriate examples of correlation and quasi-experimental research questions. These examples depict predictor/independent variables, which are (a) employee job satisfaction and (b) leadership experience. The dependent variable is company gross revenue.

• Appropriate Correlation Example (two predictor variables): Does a linear combination of employee job satisfaction and leadership experience significantly predict employee productivity?

• Inappropriate Correlation Example (only one predictor variable): Does employee job satisfaction significantly predict employee productivity?

• Appropriate Quasi-experimental Example (two independent variables): Do employee job satisfaction and leadership experience significantly influence employee productivity?

• Inappropriate Quasi-experimental Example (only one independent variable): Does employee job satisfaction significantly influence employee productivity?

1.7 - Hypotheses (Quantitative/Mixed-Method Only)

Hypotheses

Two major elements in the research design are the hypotheses and the variables used to test them. A hypothesis is a provisional idea whose merit deserves further evaluation. Two hypotheses, the null (H0) and alternative (H1), are to be stated for each research question. Below are appropriate examples of correlation and quasi-experimental/casual comparative null and alternative hypotheses; note how they mirror the research questions identified above in the Quantitative Research Questions heading. These examples depict predictor/independent variables, which are (a) employee job satisfaction and (b) leadership experience. The dependent variable is company gross revenue. The H0 and H1 reflect the appropriate statistical notation and are to be included. See more on hypotheses at: http://www.socialresearchmethods.net/kb/hypothes.php

Correlation

• • Null Hypothesis (H0): The linear combination of employee job satisfaction and leadership experience will not significantly predict employee productivity.

  • Alternative Hypothesis (H1): The linear combination of employee job satisfaction and leadership experience will significantly predict employee productivity.

Quasi-experimental

• • Null Hypothesis (H0): Employee job satisfaction and leadership experience do not significantly influence employee productivity.

  • Alternative Hypothesis (H1): Employee job satisfaction and leadership experience significantly influence employee productivity.

1.8 - Research Question (Qualitative Only)

In a qualitative study, the Research Question uses the same words as in the Specific Business Problem to identify the specific business leader and identify what the leader has limited supply of or is lacking. The following examples demonstrate how to align the research question with the specific business problem.

1.9 - Interview Questions (Qualitative Only)

In qualitative studies, the researcher must first identify the population for the study (business leaders that have solved or are solving the specific business problem) and align the interview questions with the population and the research question. Interview questions must (a) provide answers to the research question, (b) not go beyond the research question (i.e., no demographics if not part of the research question), (c) be in the language (word choice) that the participant will understand, (d) be open-ended questions (no Yes or No answerable questions), and (e) be applied DBA rather than speculative PhD questions (see the example below).

Interview questions should be straightforward and ask what or how the business leader has addressed the research problem. Typically, case study and ethnographic interviews will be semistructured, semiformal, unstructured, or informal. Phenomenological studies use the phenomenological long interview with only one to three questions to have a longer discussion getting in depth data and reaching a state of epoché. Students should critically read about the different interviewing techniques and select the best technique for the study design.

Semistructured and semiformal interviews frequently include six to ten interview questions to allow time for probing questions. The final interview question in a semistructured or informal interview frequently asks the participant to share any additional information for addressing the research question(s): What additional information would you like to share about XYZ? One typically uses an unstructured or informal interview technique when having a more casual discussion often spreading the interview questions out over time during field visits (i.e., during a direct observation or participant observation phase in data collection).

In contrast, the phenomenological long interview typically has one or two interview questions. Although phenomenological interview questions are written as a question, the interview protocol involves creating an in depth discussion (typically 1-2 hours) and reaching a state of epoché. The phenomenological long interview requires more study and preparation as compared to more traditional interviewing techniques used in ethnography and case study designs.

Be cautious not to confuse the interviewing process with the interviewing questions. The concept of semistructured questions or semistructured interview questions does not exist. Semistructured interviews (semiformal, unstructured, or informal interviews) are a specific interviewing technique/process. All qualitative interview questions are open-ended. However, the interview questions are not semistructured.

Example Research Question

What strategies do department store managers use to motivate their sales associates?

Example Applied DBA Interview Questions

1. What strategies are you using to motivate your sales associates?

2. What method did you find worked best to motivate your sales associates?

3. How did your sales associates respond to your different motivation techniques?

Example Speculative/Theoretical PhD Questions (do not use)

1. What strategies should managers use to motivate sales associates?

2. What method do you think will work best to motivate sales associates?

3. How do you feel your sales associates respond to other motivation techniques?

1.10 - Theoretical/Conceptual Framework

A theoretical (for quantitative studies) or conceptual framework (for qualitative studies) offers a systematic view of a phenomenon. In other words, the framework provides a lens through which to view a phenomenon.

Identifying the Best Theory or Conceptual Model

Make certain that the theory aligns with the research question. Consider the following when searching for a theory or conceptual model for the conceptual framework.

• Critically read peer- reviewed studies related to your topic and identify the theories that the sources found aligned with their studies. After one has read and synthesized numerous peer-reviewed studies related to the topic for the annotated bibliography, one will notice a few theories (or conceptual models) that aligned with several studies.

• Critically read the seminal work on the theories (or conceptual models) that you found in peer-reviewed studies related to your topic.

• Related studies may be about the concept and not the specific industry.

• For example, if one is studying how the family owned wrecking yard leaders succession plan, one could look at studies on leadership training and development in other types of organizations.

• Quantitative. Select the theory or conceptual model that best aligns with the research question and provides an interrelated set of constructs, variables, hypotheses, or propositions that offer an explanation for phenomenon.

• Qualitative. Select the theory or conceptual model that best aligns with the research question.

As you can see, it is important to immerse yourself in the literature pertaining to your conceptual framework to gain a good understanding of the framework. More important, your literature review must include an exhaustive review of the literature pertaining to the conceptual framework you are proposing for your study. This is extremely important, as you will be required to discuss your findings as they confirm, disconfirm, extend, etc., the extant literature on your conceptual framework. You must critically analyze and synthesize the studies where your conceptual framework has been the lens through which the phenomenon has been viewed.

As outlined in the DBA Rubric, you are required to present a brief overview of your theory or conceptual framework in Section one of the proposal. Please note this is not to be a detailed review of your theory or framework. The detailed review is required in the Review of the Literature heading. Here, a model for presenting the theory or framework heading is offered. You will want to state the name of the theory or identify the conceptual framework, identify the theorist if applicable, list key concepts of the theory or framework, identify any propositions or hypotheses, and identify how the theory or framework applies to your study. Please note there are obvious variations to this model depending upon your particular study and topic. However, the intent is to briefly present the key aspects of your theory and or framework and show how it fits into your study.

Quantitative Example

Burns (1978) developed the transformational leadership theory. Burns used the theory to offer an explanation for leadership based upon the premise that leaders are able to inspire followers to change expectations, perceptions, and motivations to work toward common goals. Burns identified the following key constructs underlying the theory (a) idealized attributes, (b) idealized behaviors, (c) intellectual stimulation, (d) inspirational motivation, and (e) individualized consideration. As applied to this study, the transformational leadership theory holds that I would expect the independent variables (transformational leadership constructs), measured by the Multifaceted Leadership Questionnaire, to predict employee turnover intention because (provide a rationale based upon the logic of the theory and extant literature). The following figure50 is a graphical depiction of the transformational leadership theory as it applies to examining turnover intentions.

Let’s examine the theoretical framework from the perspective of possible lenses through which to view phenomenoa. Assume the business problem or phenomenon is the failure rate of small businesses, an obvious business concern. There are plethoras of explanations that can be offered for the failure of small businesses. As the researcher, you have the choice of lens for which to view the problem. For example, you might hypothesize or rationalize that transformational leadership characteristics offer a systematic view for the failure of small businesses. Specifically, you hypothesize or rationalize that a leaders transformational leadership characteristics are influential in the success of small businesses. As such, your study would be grounded in transformational leadership theory or transformational leadership conceptual framework.

Or perhaps, you hypothesize or rationalize that servant leadership characteristics offer a systematic view for the failure of small businesses. Specifically, you hypothesize or rationalize that a leaders servant leadership characteristics are influential in the success of small businesses. As such, your study would be grounded in transformational leadership theory or transformational leadership conceptual framework. Hence, the number of lenses through which a problem or phenomena can be viewed is limitless. Only your imagination stands between you and selecting the theory or conceptual framework that can be used to connect your study to existing knowledge.

Perhaps, one of the most misunderstood aspects of theory is how to apply it in the doctoral study. Researchers utilizing a quantitative study grounded in transformational leadership theory must measure or assess the constructs underlying the theory. The broad constructs of transformational leadership theory are idealized attributes, idealized behaviors, inspirational motivation, stimulation, and idealized consideration.

Therefore, an instrument such as the Multifaceted Leadership Questionnaire (MLQ) is appropriate to measure the underlying constructs of transformational leadership theory. Any instrument not proven to assess transformational leadership cannot be approved for use in a study grounded in transformational leadership theory. If you (inappropriately) used a nonvalidated instrument, you would not be testing the proposed transformational leadership theory, and your study would not have construct validity. For example, the Servant Leadership Survey (SLS) instrument could not be approved for use in a study grounded in transformational leadership theory, as the SLS was validated for use in measuring constructs underlying servant leadership theory.

Qualitative Example

Example research question. What strategies do department store managers use to motivate their sales associates?

Example conceptual framework. Vroom (1959) developed the expectancy-valence theory, which he later called the expectancy motivation theory (Vroom, 1964). The expectancy motivation theory suggests that employees will exhibit positive performance behaviors when they believe that their work will result in certain rewards (Vroom, 1964). Building upon Vroom’s expectancy motivation theory, Gilbert (1978, 2013) published his behavioral engineering model that provided a motivational foundation for the inputs that can lead to specific employee motives. Gilbert identified three categories covering information, instrumentation, and motivation. Within the manager’s scope of control are data, resources, and incentives. Within the employee’s scope of control are knowledge, capacity, and motives. Gilbert argued that if managers improved the availability of data access, provided the tools and equipment, or incentives to perform, employees would exhibit a change in willingness to participate. Likewise, if employees have a change in knowledge or capacity to perform, employees would exhibit a change in willingness to participate (Gilbert, 1978, 2013). Vroom’s (1964) expectancy motivation theory and Gilbert’s (1978) behavioral engineering model both align with this study exploring the strategies that department store managers use to motivate their sales associates.

1.11 - Operational Definitions

Do not include terms found in a basic academic dictionary (i.e. Webster’s). List only terms than might not be understood by the reader. All definitions should be sourced from professional/scholarly sources and in alphabetical order. Do not include more than 10 key operational definitions. Although one can use a maximum of 10 terms, there may only be a few terms pertinent to the study. Listing a specific term that only one or two sources in the literature review introduce is likely not pertinent to the study and should not be listed in the operational definitions.

1.12 - Assumptions, Limitations, and Delimitations51

Assumptions are facts considered to be true, but which cannot actually be verified by the researcher. Assumptions carry risk and should be treated as such. A mitigation discussion would be appropriate. Identify all assumptions associated with the study. Limitations refer to potential study weaknesses, which cannot be addressed by the researcher. Identify all limitations associated with the study. Delimitations refer to the bounds or scope of the study. Describe the boundaries and what is in and out of your study’s scope.

1.13 - Significance of the Study

Contribution to Business Practice

Discuss how the findings, conclusions, and recommendations from your study could fill gaps in the understanding and effective practice of business.

Implications for Social Change

Provide a statement of the your study’s potential for effecting positive social change or the improvement of human or social conditions by promoting the worth, dignity, and development of individuals, communities, organizations, institutions, cultures, or societies.

1.14 - Review of the Professional and Academic Literature

The literature review content needs to be a comprehensive and critical analysis and synthesis of the literature related to the theory and/or conceptual model from the Theoretical/Conceptual Framework as well as the existing body of knowledge regarding the research topic. What a literature review should not be is an amalgamation of essays on the topic. The approach to this heading may vary by authors’ specific purpose. For example, if your study is to be grounded in the transformational leadership theoretical or conceptual framework, you will be examining or exploring your phenomenon through a leadership lens. You want to report on extant research that was grounded in the transformational leadership theoretical/conceptual framework. You would want to report on the literature that is as close to your topic/phenomenon as possible. In addition, if you are conducting a quantitative study, you need to include the literature for any other key variables. A basic outline is presented at Appendix A.52

Critical analysis and synthesis of the relevant literature will be an important element of the literature review. The review of the literature is not to be a regurgitation of what you have read. It is also not to teach about a topic; rather, it is to show your mastery of the previous and recent research on your topic and provide a comprehensive up-to-date literature review on your topic. Start with an introductory heading and then report the literature. This should be an exhaustive review of the literature using the chosen theoretical/conceptual framework and consist of the key and recent writings in the field. Repeat this approach if there are any additional theories. In addition, in quantitative studies, there must be a critical analysis and synthesis for each variable.

There are three questions that students typically ask about the literature review: (a) length, (b) organizational structure, and (c) content. The length will depend upon the theoretical foundation related to the topic and scholarly studies related to the theory. Typically, for a doctoral study, a literature review will average 35-40 pages. However, demonstrating a rich and comprehensive review of the topic is more important than the number of pages in a literature review.

The most common ways that one may organize the literature review are to use a chronological, topical, or combination of chronological and topical structure. The literature review should be a succinct yet in-depth critical analysis of scholarly studies and authoritative seminal work. The literature review should not be a summary of one’s reading or an amalgamation of essays on the topic.

The literature review content needs to be a comprehensive and critical analysis and synthesis of the literature related to the theory and/or conceptual model that one identified in the Theoretical/Conceptual Framework as well as the existing body of knowledge regarding the research topic. Typically one half to two thirds of a good literature review will relate the theory or conceptual models to a critical analysis and synthesis about the topic and problem. One organizational strategy for the literature review is (a) one third discussing the theory or conceptual model (see figure below), (b) one third topical foundation, and (c) one third discussing the topic in relation to the theory.

1.15 – Transition

This heading summarizes the key contents of Section 1. Do not introduce any new material in the summary, but do provide an overview of the primary objectives and contents of Sections 2 and 3.

SECTION 2: THE PROJECT

2.1 - Purpose Statement

Simply cut-and-paste the Purpose Statement from Section 1.

2.2 - Role of the Researcher

The Role of the Researcher is an important part of your proposal and study. The content that you present in this subheading is important because it demonstrates that a) you have done the research that is required, b) that you understand what your role is in the study design, and 3) you understand the limitations and challenges in this type of role, and how any concerns may be mitigated to enhance the reliability and validity of your work.

One of the most challenging parts to write in this subheading is about the use of a personal lens primarily because novice researchers (like students) assume that they have no bias in their data collection. However, it is important to remember that a participant’s as well as the researcher’s bias/worldview is present in all social research, both intentionally and unintentionally which is why it is important to address strategies to mitigate bias.

To address the concept of a personal lens, remember that in qualitative research, the researcher is the data collection instrument and cannot separate themselves from the research, which brings up special concerns. Remember that the researcher operates among multiple worlds while engaging in research, which include the cultural world of the study participants as well as the world of one’s own perspective. A researcher's cultural and experiential background will contain biases, values, and ideologies that can affect the interpretation of a study’s findings. Therefore, researcher bias is a concern because the data can reflect the researcher’s personal bias and concerns. It becomes imperative that the interpretation of the phenomena represent that of participants and not of the researcher. Hearing and understanding the perspective of others may be one of the most difficult dilemmas the researcher must address. The better a researcher is able to recognize his/her personal view of the world and to discern the presence of a personal lens, the better one is able to hear and interpret the behavior and reflections of others.

How you address and mitigate a personal lens/worldview during your data collection and analysis is important and a key component in the Role of the Researcher subheading. It is important that a novice researcher recognizes their own personal role in the study and mitigates any concerns during data collection. Part of your discussion in this subheading should address how this is demonstrated through using an interview protocol, member checking, transcript validation and review, reaching data saturation, enabling sense making, facilitating epoché, careful construction of interview questions, and other strategies to mitigate the use of one’s personal lens during the data collection process of the study.

It would be impossible to remove all bias because you are a human being. Rather, one mitigates bias as best as one can. This is demonstrated via using an interview protocol, member checking, data saturation, and other strategies to mitigate the use of one personal lens during the data collection process of your study. Inadvertently driving participants to predetermined conclusions speaks to the same concepts.

2.3 - Participants

The requirements are straight forward but often missed in the Participants heading. Consider the explanations in the following table.

2.4 - Research Method

This heading is an extension of the Nature of the Study. The first paragraph of the Nature of the Study required a description of and justified the methodology. Here you will extend that discussion by providing more information and additional resources. Be sure to include at least three sources for each decision you make.

2.5 - Research Design

This section is an extension of the Nature of the Study. The second paragraph of the Nature of the Study required a description of and justified the design. Here you will extend that description by providing more information and additional resources. Be sure to include at least three sources for each decision you make.

Data Saturation in Qualitative Study Designs

A vital prerequisite for a valid qualitative study is having a plan to ensure data saturation. Data saturation in qualitative research ensures the validity in a qualitative study similar to a statistically valid sample in a quantitative study. See more on data saturation in the Population and Sampling heading below.

How to Use Three Sources

Specifically stating three sources is one way to make it clear to the reviewers that you have mapped to the Rubric. However, what the reviewers are looking for is that students have done the required reading to justify the choice of research design that will best assist collecting data to answer the research question. Rather than list name-date, name-date, name-date repeatedly, one would synthesize the concepts into one cohesive whole supported by sources in a somewhat indirect manner. For example:

Case studies are the preferred strategy researchers employ when asking how or what questions (Amerson, 2011; Andrade, 2009; Yin, 2009). These types of studies identify operational links among events over time (Andrade, 2009; Baxter & Jack, 2008; Yin, 2009). Case studies may be exploratory, explanatory, or descriptive and may involve one organization and location or multiple organizations and locations for a comparative case study (Amerson, 2011; Stake, 1995; Yin, 2009).

In other words, you are supporting your synthesis with at least three sources. Another way to support your design with a source is:

Ethnographic study is unique in that it includes fieldwork where all relevant participants are observed and interviewed informally rather than a specified number as in phenomenology (Fusch, 2001; Wolcott, 2011). Bernard (2012) stated that the number of participants needed for a qualitative study was a number he could not quantify, but that the researcher takes what he can get it.

In other words, you support your synthesis in a more direct way. Note that Bernard's entire work is not within the text, but, rather, one important statement that he did make is and it supports the chosen research design.

In both examples, the synthesis demonstrated depth of knowledge that is supported by published peer-reviewed work, which is what reviewers want to see in your work. Moreover, it is a demonstration of your scholarly research abilities. Note, you may use the same source to support more than one decision if applicable.

2.6 - Population and Sampling (Quantitative Only)

Population

Start by describing the population from which the sample will be drawn. Include any pertinent demographic variables (e.g., CEO, senior executive, mid-level manager, sales professional, front-line supervisor, etc.). Refer to pg. 29 (Participant Characteristics) of the APA Manual (American Psychological Association, 2010) for other appropriate characteristics when appropriate.

Sampling

The two broad categories of sampling methods are probabilistic sampling (random sampling) and non-probabilistic sampling (non-random sampling)53. Identify and defend your sampling method. You must address the strengths and weaknesses of your chosen sampling method. For example, if you will utilize a stratified random technique defend your reason for doing so. Also note why stratified sampling is more appropriate for your research situation than another sampling technique. You will need to refer to the literature pertaining to sampling techniques.

Describe and defend the sample size. This is where you discuss conducting a power analysis to determine the appropriate sample size. You will present your power analysis in this component. G*Power3 is an excellent power analysis software tool and can be downloaded at: http://www.gpower.hhu.de/en.html. You will find a user’s manual and short tutorial at the same website. See Appendix B for an example power analysis.

Describe the eligibility criteria for inclusion in the study. Discuss any exclusion criteria. Make the eligibility criteria clear, as the results of the study cannot be generalized beyond your targeted population. You need to make it clear as to who can, and who cannot, participate in your study.

2.7 - Population and Sampling (Qualitative Only)

Defining the Population

In this heading, one needs to define the scope of the study. For example, in a phenomenological study, the population will be all the people within the scope of the study (i.e., a specific industry) that meet the participant criteria noted in the participant section 2.3 above. In an ethnographic study or case study, the population would comprise all people that meet the participant criteria in one company for an ethnographic study or single case study and multiple companies for a multiple case study. One should identify the number of companies in a multiple case study. Likewise, one should identify the approximate number of people (that meet the participant criteria) within your study’s population.

Sampling

One must describe and justify the sampling method (census, convenience, criterion, purposeful, quota, snowball, etc.). Once one defines the total population meeting the participant criteria within the scope of the study, one must identify the sample size that has the best opportunity for the researcher to reach data saturation. A large sample size does not guarantee that one will reach data saturation, nor does a small sample size—rather, it is what constitutes the sample size. One must also select a sampling technique that supports the research design.

For example, one may use a census sample for a single or multiple case study with a small population versus a convenience sample in an ethnographic study. A census sample is actually a census, which means that the study participants will include 100% of the population. For example, as depicted in the following graphic, if one identified the scope of a multiple case study to include five companies and the people that meet the participant criteria for the population as the CEOs of the five companies, there would be a census sample if all five of the CEOs participated.

Data Saturation and Sampling

In the Population and Sampling heading (as well as the Research Design and the Validity headings), one must define how one will ensure data saturation. Although data saturation in qualitative research ensures the validity in a qualitative study similar to a statistically valid sample in a quantitative study, there is no direct correlation between the sample size and reaching data saturation. Data saturation in qualitative research is a way to ensure that one obtained accurate and valid data. Using too small of a sample or too large of a sample will not ensure data saturation. One should critically read and obtain a clear understanding of data saturation before writing a qualitative proposal. Fusch and Ness (2015) synthesized the literature to identify some key characteristics of reaching data saturation which include no new data, no new themes, no new coding, and ability to replicate the study (providing one asks the same participants the same questions in the same timeframe). The study design (case study, miniethnography, phenomenological, etc.) will affect when and how one reaches data saturation. One may be conducting interviews only in a phenomenological study, whereas one would use multiple data collection methods in a case study.

Although the DBA leadership requires a minimum of 20-participants in a phenomenological study and although one may use member checking to enhance the richness of the data, one may have to interview many more participants to reach data saturation. In contrast, in a case study using a small census sample and multiple data collection methods, one may reach data saturation with one or a few participants. In qualitative studies, quality (rich data) is more important than quantity (thick data).

2.8 - Ethical Res