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Field Research Methods

Lecture 5:

Interview Methodology

Edmund Malesky, Ph.D., UCSD

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Organization of Todays Lecture

Maxims of Conversation

The goals of interviewing

Types of Interviews

Methodological Process

Post-Interview

Coding

Focus Groups

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Rules of Conversation

Imagine what would happen to language if there

were no rules to follow during conversations.

Then it would be perfectly acceptable to follow Hi,how are you doing? with cars are typically made

from steel, or to simply lie with every new

statement. Communication would be impossible.

It is clear that in normal conversation, we follow

some general rules, inherited over time, that allow us

to know what is acceptable and what isnt. 3

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Grices Conversation Maxims

What are these rules?

The first and most important is that both people

in a conversation are cooperating. This is

cooperation principle (first articulated byPhilosopher Paul Grice).

Grice stipulated four maxims of conversation.

Maxim of Quantity Maxim of Quality

Maxim of Relevance

Maxim of Manner4

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Maxim of Quantity

Make your contribution to the conversation as informative as

necessary.

(i.e. dont say to little)

Do not make your contribution to the conversation moreinformative than necessary.

(i.e. dont say too much. Joe Biden, I am talking to you!!).

The listener will assume that people are telling us everything we

need to know. If they dont say something, then we assume theysimply dont know that information.

A. John and Mary have 2 children.

Are they planning on having a third?

B. How did Harry fare in court the other day?

Oh, he got a fine. But Harry actually got a life sentence as well!!5

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Maxim of Quality

Do not say what you believe to be false

(i.e. dont lie)

Do not say that for which you lack adequate

evidence (i.e. dont say things which you cant back up)

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Maxim of Relevance

Be relevant (i.e. say things related to the current topic ofresearch)

Clearly, the most important maxim, since it is responsible for

preventing random incoherent conversations lacking any

continuity.

i.e. a. Is Gail dating anyone these days?

Well, she goes to Cleveland every weekend

b. Isnt Larry the biggest jerk you ever met?

Uh, it sure is nice this time of year, eh?

The listener will assume these responses convey meaning.8

http://www.thedailyshow.com/video/index.jhtml?videoId=84011&title=john-bolton&byDate=true

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Reasons for Flouting a Maxim

Someone actually may be trying to violate the overriding

cooperative principle of the conversation.

Signaling a violation (minor violation):

A person might essentially come outand tell you they are violating the maxim and why. (The

word on the street is I dont know if this is relevant,

but

Maxim Clash: A speaker might violate one maxim in

order to preserve another.

Carson is driving to Merediths house. He asks John,

Where does Meredith live? John answers, Nevada. 9

http://www.foundhistory.org/2007/04/06/john-bolton-john-stewart-doris-kearns-goodwin/http://www.foundhistory.org/2007/04/06/john-bolton-john-stewart-doris-kearns-goodwin/http://www.thedailyshow.com/video/index.jhtml?videoId=84011&title=john-bolton&byDate=truehttp://www.foundhistory.org/2007/04/06/john-bolton-john-stewart-doris-kearns-goodwin/http://www.foundhistory.org/2007/04/06/john-bolton-john-stewart-doris-kearns-goodwin/

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Reasons for Flouting a Maxim

To create a conversation implicature. By clearly and

obviously violating a maxim, you can imply

something beyond what you say.

JOHN: Wheres Meredith?

ELIZABETH: The control room or the science lab.

Sarcasm:

ELIZABETH: A lot of people are depending on you. MEREDITH: Thanks, that really takes the pressure off.

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Reasons for Maxims

Allow us to be more brief in communicating, since we dont

need to say everything we would need to if we were being

perfectly logical. (i.e. no need to say, John has 4 and only 4

children.)

Also, they allow us to say things indirectly to avoid some of the

discomfort which comes from saying unpleasant things

directly. (i.e. How does he look? He is a really nice guy?)

They also allow us to insult/deride people indirectly without

as much danger of confrontation.

They allow us to imply dissatisfaction/anger without putting

us in a position where we will have directly defend our views

(often exploited).11

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Problems with the Maxims

Not clear whether they apply to other

languages and cultures.

Some key concepts are undefined. A lot of

intuition must be used to figure out, forexample, when a speaker is being irrelevant.

They are not a complete listing (What about

politeness?)

There is some over-lap, so it not always clear

what maxim is being violated.

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Whyshouldwe care as interviewers?

Remember respondents in an interview may deliberately avoidconversational maxims (i.e. not stating the maximum amount).Design your questions appropriately.

Pay careful attention when a respondent clearly violates aconversation maxim information is being conveyed. Miss X has nice handwriting.

Miss Singer produced a series of sounds correspondingly closelyto the score of an aria from Rigoletto.

I dont pay bribes, but I will say that living standards ofbureaucrats have improved since my business opened.

Remember that respondents will attempt to cooperate withambiguous or deceptive questions, attempting to guess themeaning of the question. Keep that in mind when interpretingresponses. (i.e. You may be getting exactly the response youasked them to give you!).

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Why Interview?

When interpersonal contact is important

When you need more in-depth data

When you need to have some follow-up

When complex questions or behaviors need to

be explored

When you suspect other methods arent getting

the whole picture

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Advantages

You get rich, detailed material

You get the chance to go beyond the surface

Interviewing yields new insights

Participants describe what is important to them ratherthan being restricted to survey questions

Provides high reliability - clarification of responses to

increase the likelihood of useful information

You can customize questions to the individual Data analysis can lead to quantitative assessments

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Disadvantages

Time consuming

Responses are variable

Interviewing effectively takes practice and

experience

Large amounts of information to reduce and

analyze

Less easily generalized Dependent on researchers personal attributes

and skills

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Types of Interviews

1. The Structured Interview

Essentially a face-to-face survey format with some open-ended questions.

2. The Semi-Structured Interview

Questions and prompts are designed ahead of time, but pace and questionordering are flexible, depending on the discussion and respondent.

Interviewee is encouraged to expand on answers and express new informationthat the interviewee thinks is important.

3. Free-flowing, open-ended conversations

Informal in nature, the interviewer simply wants to allow the intervieweeexpound.

4. Observational Interviews

The context and surrounding are as important as the conversation.

i.e. Following the a respondent through an average day.

5. Focus Groups

Multiple respondents are interviewed at the same time.

The researcher is especially interested in the group interaction.

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10 Steps in the Semi-Structured

Process

1. Define the Problem

2. State your purpose

3. Develop research questions

4. Select a sample

5. Perform the interview

6. Transcribe your data

7. Analyze your data

8. Report your findings

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Statement of Purpose

This should be a clearly written, concise

statement that you can show to respondents

and institutional sponsors.

What information do you plan to obtain fromthe process?

How long will it take?

How will the information be used? Confidentiality requirements.

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Selectinga Sample - What you need out the

interview will determine who you sample. Are you looking for generalizable patterns?

You will need to use some of the sampling procedures next week

In the case of a small-n, you should use a most similar matching technique.

If you are looking for detailed information from experts nested inside largerunits (mayors in cities; CEOs in companies; principals in schools), you shouldmatch at the second level.

Semi-structured interviews will always involve less respondents than asurvey. Nevertheless, the rules of selection and non-response bias still apply,even though there is a small-n.

Qualitative research can be fruitful, but it is not a synonym for sloppy.

Do you need deep information from the few acknowledged experts in thearea.

Talk to as many as time and budget allow. Sampling is not as important. Are you tracking down a particular case or journalistic-style story?

Treat the process like an investigative journalist. Talk to key players, learnmore, and add new respondents to your list (snowball sampling).

Remember, that respondents in this type of interview settings have agendas.Try to cover all sides of the story. Do not let narratives from particular

respondents drive your analysis.

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Selecting a Sample

Obtaining Agreement Send a letter explaining the goals of the research and requesting participation.

Letterhead from a locally reputable and neutral organization is helpful.

In developing countries, it often helps to have a local sponsor, who can writeletters of introduction for you.

Be Persistent

Follow up with phone calls

multiple phone calls (Rivera et alfound in Russia that it took 15-20 calls) Patiently, reiterate the goals of the research.

Build Networks

When you are new to a locality, it always helps to spend some time buildingnetworks.

In Vietnam, my most important research instruments still are my tennisracquet, soccer cleats, and tolerance for bia hoi.

Blindingly Obvious, but nonetheless important.

Dress appropriately for the interview (Even today, I wear glasses for eliteinterviews in SE Asia or respondents dont take me seriously).

Be courteous to staff, respondents

Make sure the respondent understands your neutrality.

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Realize that there will likely be some sort of selection

bias in getting interviews.

Analyze the direction of the bias.

In the Rivera et al reading, I was bothered by thisstatement: Most failures to interview respondents stemmed from a

problem endemic to all elite interviewing the extraordinarily

busy lives of the respondents (Respondents were particularly

busy because the 1996 presidential campaign was in fullswing.

Selectinga Sample

Analyzing bias

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ObtainingConsent

Check with your Institutional Review Board or

perhaps even the City Attorney to insure the safety of

your subjects

Be especiallycareful if interviewing children

The Consent Form must be signed and dated before

the interview can begin

Interviewees have the option of stopping the

interview at any time if they feel uncomfortable

Specify how data is to be used and whether is will be

used confidentially or anonymously

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Semi-StructuredQuestions

Your survey form should have a mix of some closed and open-endedquestions.

Weight more heavily toward open-ended, as this is really the goal of theapproach.

Allow your respondents to elaborate, but reign them in when necessary.

Have a pre-programmed list of wranglingphrases (i.e. Could wereturn to?; That is fascinating, but I want to make sure I understand better)

Build conversational bridges between subjects directly into the surveyscript. (Your answer leads me to wonder.; We have discussed howpolicy is made, now lets step back to the motivations of policymakers.)

Many of the question rules of survey design continue to apply.

Avoid double-barreled questions.

Define complex terms carefully

Dont editorialize.

Dont trap respondents into particular answers.

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Additional Questions Types in

Interviews Grand Tour Questions

Could you describe a typical day in your office?

Walk me through the stages of the business registration process

Take me through the legal drafting process in your country.

Asking for examples These help elucidate complex points and add color.

They also help break a respondent out of a message track. Prompts/Probes /Follow-ups

Can be built into survey and spontaneous

Can be oral or physical (the blank look, arched eye brows).

The intentionally incorrect statement

State a law or fact incorrectly and gauge the respondents reaction.

Innocuous, but enlightening questions

Sometimes it helps to avoid asking a sensitive question, when you can getthe same information with a seemingly innocuous question.

i.e. Gauging dual subordination in Vietnam how many times do you meetwith Party Secretary?

What did you do this morning? Rather than, Did you eat breakfast?

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The Sawatsky Method Dos

Start questions with what, how and why; They demand the most from sources, requiring them to describe causes (what

happened?), processes (how did it happen?) and motivation (why did you do it?). Fillin the blanks with questions beginning with who, where and when.

Probe tough issues, don't ask tough-sounding questions.

Keep in mind: Less is more. Short questions produce succinct, dramatic, focused responses. Long rambling

questions get long rambling answers or curt, confused replies. Strategize. How will you build innocuous questions into your approach?

Establish agreement. Without agreement on basic facts, you will spend most of the interview trying to force

the respondent to accept your version of events, usually resorting to coercion andleading questions.

Build the interview on answers, not questions.

People find it easier to volunteer than to admit. When the source makes an originalassertion, follow up with a question asking for evidence to support it.

Put the burden of proof on the source.

If a source insists, "There was no crime," ask, "How do you know that?" If a source says,"I can't remember" ask, "Why can't you remember?"

To focus questions, pick a key phrase the source mentioned and repeat it in an open-ended question. If, in describing his marriage, Ted Kennedy says, "We've had difficulttimes," respond: "What do you mean by difficult times?"

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The Sawatsky Method Donts

When attempting to acquire more information and not generalize,avoid closed-ended questions. Mr. President, did you sleep with thatwoman? Did you authorize the leak?

Don't make a statement instead of asking a question.

Instead of asking: "It must have been tough in the early years," ask:"What were the early years like?"

Don't ask double-barreled questions or two questions at once. Don't overload questions.

Don't put comments into questions.

"What would go through your mind in the quiet times? Because theremust have been times when you didn't talk to each other."

Don't use trigger or loaded words in questions.

"Your scheme would allow for a huge windfall to oil companies..." Don't use hyperbole in questions.

Sources nearly always make up for a lack of neutrality bycounteracting overblown questions with modest responses.

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Observation

Record your observations of the context of the

interview.

What is the setting like?

Watch how respondent behaves withcolleagues, family

Fenno gives some excellent examples of how to

do this appropriately. But remember

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Effects of Observation

"What we observe is not nature itself, but

nature exposed to our method ofquestioning (Heisenberg)"

- In the process of observing an experimental setting,

we may accidentally alter the environment around us.

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Interviewing Kit

Consent Forms

Digital Recorder/Extra Batteries

Extension cord

Interview guide

Pad

Pen

Water

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Recording the Interview

(Options) Only take notes

Can be difficult to be responsive, especially ifyou are not operating in your native language.

Have an assistant take notes Useful, but intense training will be necessary.

Tape the interview recommended ifrespondent allows and you dont think it impair

information. Purchase a tape recorder that is of a good

quality and has transcription capabilities.

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Interview Preparation

Schedule times with interviewees, you need

about an hour

Interview room should be private, comfortable,

free of distraction and easily accessible. Turn off your phones

Seat yourselves to encourage involvement

Test your equipment before the interviewstarts

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Post-Interview

Put thoughts and questions into a reflexive

journal

Transcribe tapes

Take out identifying information

Code transcription

If you have questions concerning clarification,

contact the interviewee Erase tapes as specified in consent form

Secure transcripts

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Triangulate after the Interview

After the interview, find ways to verify theinformation given to you.

If a respondent said they were at a meeting, doarchival research to see if you can get a list ofattendees.

If a respondent mentions a particular law ordecree, get a copy for yourself.

If a respondent mentions a particular location,visit and verify the description (i.e. IRA attacks)

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Initial Coding

Coding text of the transcript means to break the textdown into small, meaningful units by assigning labelsto the unit

Use the smallest unit possible Look for data pertinent to answering the research

questions

Units may have multiple codes associated with them

Also look for new ideas or concepts to explore

Initially, dont worry about making relationshipsbetween the codes

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Developing Themes: The best of quotations are no

substitutefor thinking and formulating themes

After initial coding you should start to see repeatingthemes. Repeating ideas lead to Themes which lead toConclusions

Sort the coded units according to these themes

Assess the topics by asking Does everything in thistopic belong here? Can some of the topics be combined?Can some topics be deleted because they dont relate tothe research questions or because they dont havemuch data in them?

Develop a conceptual schema, or dimensions, for thedata

The schema can have major and minor themes within it

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Coding Methods

Traditional is by reproducing unit on an indexcard and grouping cards into categories andthemes

Qualitative software has taken the place oftraditional methods

Same concept except faster, more convenientand with greater analysis power

NVivo, NUD*IST, N6, Atlas.ti are the mostpopular coding and analysis software programs(At least this is what my anthropology studentstell me).

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Reporting

After the themes are developed start a narrative thatexplains the properties and dimensions of thecategories and the circumstances under which they areconnected

Findings, conclusions, recommendations, futureresearch provide a context for understanding theconditions under which the results were obtained

Remember to present information in a way that isverifiable and falsifiable.

Report findings as they relate to each research questiondont be shy

What is the contribution of this study to knowledge andpractice? What improvements can be made?

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Ethics

Assure respondent of your neutrality

Assure respondent of confidentiality.

If using experimental methods, make sure

respondent is debriefed.

Consider how you will present information, so

as not to embarrass or damage the careers of

your confidantes.

Send copies of your work to all those who

participated.

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d

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How do Focus Groups Compare

to Survey Methods?

Insight not rules (patterns)

Social not individual (you are specifically

interested in how the interactions lead to

answers) Homogenous not diverse (too much diversity

can destroy inference)

Warm not hot (Produce conversation that

border on intimacy, not conflict)

Words not numbers. (Report results in prose.

Frequencies make no sense in this context.

They are not independent draws).44

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Traditional Focus Groups

8-12 participants

Under direction of trainedmoderator

Formal, directive, structured

60-150 minutes

Recorded, supplemented by field notes

Observed by scientific team

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Traditional Focus Groups

Participants

Break characteristics populations

Control characteristics

# & nature of groups & sessions Purpose

Design complexity

Break characteristics

Resources

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Data Qualitative/Textual

Tape recordings

Transcriptions

2 hour session: 40 to 50 pages

Field notes

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Data Analysis

Driven by underlying research question

Qualitative Interpretive, constrained by context

Topics linked to group guidelines

Steps Mechanical organizing, subdividing

Interpretive developing subdivisions (code mapping), searchfor patterns within subdivisions, drawing meaningfulconclusions

Software: e.g.,The Ethnograph; Atlas.ti; QSR N6 Reliability

Repeated review of data

Independent analysis by > two experienced analysts

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Strengths & Limitations

Focus group methodology is only as useful and as

strong as its link to the underlying research

question and the rigor with which it is applied.

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Strengths

Provides concentrated amounts of rich data, in

participants own words, on precisely the topic

of interest

Interaction of participants adds richness to the

data that may be missed in individual

interviews

Provides critical information in development ofhypotheses or interpretation of quantitative

data

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Limitations

Small number of participants

Limited generalizability

Group dynamics can be a challenge

Particularly if moderator is inexperienced

Interpretation

Time-consuming

Requires experienced analysts