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Nursing Research
 Nursing Research
THE APPLICATION OF QUALITATIVE
APPROACHES
Second edition

by

Janice M. Morse
Professor of Nursing and Behavioural Science
School of Nursing
Pennsylvania State University
USA

and

Peggy Anne Field

Professor Emeritus
Faculty of Nursing
University of Alberta
Canada

SPRINGER-SCIENCE+BUSINESS MEDIA, B.V.

First edition published by Croom Helm Ltd 1985
Reprinted 1987
Reprinted by Chapman & Hall 1990, 1992 (twice), 1994 (twice)
Second edition 1996
© 1996 Janice M. Morse and Peggy Anne Field
Originally published by Chapman & Hall in 1996
This edition not for sale in the United States of America or Canada; it is
available in these regions as Qualitative Research Methods for Health
Professionals; orders should be referred to Sage Publications, Inc., 2455 Teller
Road, Thousand Oaks, California 91320, USA
Typeset in Times 10/12 pt by WestKey Limited, Falmouth, Cornwall
ISBN 978-0-412-60510-9 ISBN 978-1-4899-4471-9 (eBook)
DOI 10.1007/978-1-4899-4471-9

Apart from any fair dealing for the purposes of research or private study, or
criticism or review, as permitted under the UK Copyright Designs and
Patents Act, 1988, this publication may not be reproduced, stored, or
transmitted, in any form or by any means, without the prior permission in
writing of the publishers, or in the case of reprographic reproduction only in
accordance with the terms of the licences issued by the Copyright Licensing
Agency in the UK, or in accordance with the terms of licences issued by the
appropriate Reproduction Rights Organization outside the UK. Enquiries
concerning reproduction outside the terms stated here should be sent to the
publishers at the London address printed on this page.
The publisher makes no representation, express or implied, with regard to
the accuracy of the information contained in this book and cannot accept any
legal responsibility or liability for any errors or omissions that may be made.
A catalogue record for this book is available from the British Library

^ 9 Printed on permanent acid-free text paper, manufactured in accordance

with ANSI/NISO Z39.48-1992 and ANSI/NISO Z39.48-1984 (Permanence of
Paper).
 Contents

Preface Xl
About the authors xiii
1 The purpose of qualitative research 1
The role of theory 3
Levels of theory 5
Types of theory 5
Deductive theory 6
Inductive theory 7
Sequential use of induction and deduction 7
Evaluating theory 8
Qualitative research 8
Quantitative research 9
Selecting an approach 10
Nature of the phenomenon to be described 10
The maturity of the concept 11
Constraints/confines from the participants or setting 12
Researcher characteristics 12
Methodological threats to validity 13
Thinking qualitatively 13
The power of qualitative inquiry 14
Principles 15
References 16
Further reading 17
2 An overview of qualitative methods 18
Research approaches to studying everyday experiences 18
Phenomenology 18
Ethnography 21
Grounded theory 22
Qualitative ethology 23
vi I I CONTENTS

Ethnoscience 24
Ethnomethodology 25
Focus groups 26
Historical research 27
Selecting a method 28
Principles 28
References 30
Further reading 33
3 Principles of conceptualizing a qualitative project 35
The qualitative proposal 36
Identifying the topic 36
Exploring the literature 37
Selecting the setting 38
Writing the proposal 38
Evaluating proposals 49
Selecting equipment 50
Informed consent: special considerations 52
Anticipating dilemmas in data collection 53
Principles 54
References 55
Further reading 55
4 Principles of doing research 56
Gaining entrance 57
Beginning data collection 57
Establishing rapport 58
Finding space 62
Principles of data collection 64
Principles of sampling 65
Selecting participants 66
The ongoing nature of consent 68
Data storage 68
Withdrawing from the setting 69
Principles 70
References 70
Further reading 71
5 Principles of data collection 72
Interviews 72
The unstructured interactive interview 73
The semi-structured interview 76
Principles of interview techniques 77
Characteristics of good interviewers 77
Poor interview techniques 78
 CONTENTS I I vii

Managing disasters 78
Common pitfalls in interviewing 79
Written methods of data collection 85
The short-answer questionnaire 85
Observational techniques 86
Participant observation 87
Types of participant observation 87
Selecting a setting 89
Problems with participant observation 89
Field-notes 91
The process of writing field-notes 91
The content of field-notes 92
The form offield-notes 93
Maps 95
Additional methods of data collection 95
Life history 95
Diaries 97
Photographs 98
Letters and personal documents 98
Official documents 98
Principles 99
References 100
Further reading 101
6 Principles of data analysis 103
The process of analysis 103
Comprehending 104
Synthesizing 105
Theorizing 105
Recontextualizing 106
Data. preparation 107
Transcribing interviews 107
Methods of coding 108
Data management techniques 109
Computer software 110
Manual methods 111
Types of analysis 111
Classification systems 112
Matrix formation 113
Formulating tentative propositions 113
Atypical cases 114
Thematic analysis 114
Content analysis 115
Question analysis 116
viii I I CONTENTS

Issues in qualitative research 116

Subjectivity 116
Procedures of verification 117
Theoretical verification 117
Issues of rigour 118
The audit trail 119
Areas of concern for reliability and validity 119
External validity 119
Further issues 120
Principles 121
References 121
Further reading 122
7 Qualitative approaches 124
Phenomenology 124
Ethnography 126
Grounded theory 128
Theoretical sampling 130
Data analysis 130
First level coding 130
Selective coding 131
Ethnoscience 133
Defining the domain 133
Sentence frames 133
Card sorts 134
Preparation of a taxonomy 134
Methodological triangulation 135
Sequential 135
Simultaneous 135
Synthesizing qualitative studies 136
Principles 137
References 138
Further reading 139
8 Reporting qualitative research 141
Writing qualitative research 141
Getting started 142
Writing qualitatively 142
Writer's block 143
The nuances of qualitative writing 143
Editing participants' quotes 144
Maintaining anonymity 145
Reporting negative findings to the 'host' 146
Building a case 147
Getting published 148
 __S____________________~I
C_O_N_T_E_NT
L -_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ I IX

Books and monographs 148

Publishing articles 149
Managing editors 152
Oral presentations 153
Preparing effective posters 153
Videos 153
Evaluating qualitative research 154
Evaluating the significance of the research 154
Theoretical evaluation 155
Methodological assessment 156
Utilizing qualitative results in the clinical setting 157
Principles 158
References 159
Further reading 160
Appendix A The qualitative proposal 161
Appendix B Critique of the proposal 194
Glossary 197
Author index 201
Subject index 205
 Preface

This is a drastically revised and expanded version of the 1985 text, The
Application of Qualitative Approaches to Nursing Research, originally pub-
lished by Croom Helm. It was translated into Finnish and published (as
Hoitotton kvalitatiivinen tutkimus) by Kirjayhtyma. Aspen acquired publica-
tion rights in the USA and Chapman & Hall in the UK. This edition will be
published by Chapman & Hall and, in the US, by Sage as Qualitative Research
Methodsfor Health Professionals.
In the 10 years since the first edition of this book, qualitative methods have
developed enormously. Grounded theory has been explicated, and now, it
seems, there are at least three types of grounded theory - that described by
Strauss and Corbin, that described by Glaser and dimensional analysis as
described by Schatzman. Ethnography has become a potpourri of styles and
many schools of phenomenology exist, each distinct and with its own set of
assumptions and proponents. Most importantly, observational methods have
improved enormously with the advances in video technology, and, for com-
plex and relatively confined settings, analysis of videotapes appears to be the
method of the future. And as we worked on this edition, we were astonished
at the number and quality of completed qualitative studies. In 1985 we
struggled to find published examples; today we are delighted to discover that
we now have the privilege of choosing examples.
Overall, perhaps the most important change has been in the acceptability
of qualitative methods. While in some disciplines, such as anthropology,
qualitative methods have always been the norm, other disciplines have been
dominated by quantitative methodologists. In quantitatively oriented dis-
ciplines or departments, qualitative researchers felt alone and stigmatized.
While there still may be enclaves of quantitative researchers, the most signifi-
cant change is that qualitative methods have gained legitimacy, are now
fundable by grant agencies and publishable in many journals - in fact,
journals that specialize in qualitative methods are becoming more common.
Most graduate research programmes include a qualitative course. Most
xu I lL--___________P_R_E_F_A_c_E_ _ _ _ _ _ _ _ _ _ _------'
importantly, grant agencies are recognizing the role of qualitative research in
research programmes, and are now specifically calling for proposals with a
qualitative component in some form of triangulated design. Qualitative
research has almost come of age.
With such a rapid emergence of methods, inevitably there are some diffi-
culties. With the exponential growth of qualitative methodologies, there is
some cross-fertilization of methods as first-time researchers, working alone,
try to fathom how to do qualitative research. Sometimes they 'do' whatever
'feels best' without concern for the epistemological origins or the assumptions
that underlie each of the methods they are blending, and they inevitably end
up with a result that, at best, is less than it could have been if assumptions had
not been violated and, at worst, is invalid. We recognize that, although the
best way to learn qualitative methods is to work with a mentor, there are not
enough mentors available and methodology books are the only source
available to some researchers. But where to start?
We hope that this small book will serve as a guide for those who are
beginning qualitative research and are not very sure where to begin. The book
is intended as a brief introduction and as an overview of qualitative methods.
While a book of this size cannot be comprehensive, at least it is a starting point.
This book is also intended to be used as an introductory text for research
methods classes at the undergraduate and graduate levels, and to give the
student a 'taste' of qualitative methods to balance the usually heavy quantita-
tive orientation of such courses and the required statistics courses that inevit-
ably follow. To simplify library work, it is recommended that this volume be
read with a companion book of readings: Morse, J.M. (1992), Qualitative
Health Research, Sage, Newbury Park. Those who are interested in grounded
theory, or who are writing a thesis or dissertation, may also find the following
volumes helpful: Morse J.M. and Johnson, J. (1991) The Illness Experience:
Dimensions of Suffering, Sage, Newbury Park; and Field, P.A. and Mark, P.
(1994) Uncertain Motherhood: Negotiating the Risks ofthe Childbearing Years,
Sage, Thousand Oaks. Both of these volumes give more detailed introductions
to the qualitative method; chapters consisting ofthe Results sections of student
theses, and final chapters synthesizing the findings.
We are grateful to our editors who have helped bring this book to fruition.
We thank our team: Dr Maritza Cerdas, Rhonda Harris, Bob Morse and Anna
Lombard. Catherine Walker of Chapman & Hall and Christine Smedley of
Sage Publications were our in-house editors, and most of all we thank Susan
Dolan, Pennsylvania, who worked hard to ensure that what we wrote made
sense and was comma perfect.
Janice M. Morse
State College, Pennsylvania, USA
Peggy Anne Field
Edmonton, Alberta, Canada
November, 1994
 About the authors

Janice M. Morse RN, BS, MS, MA, phD (Nursing), phD (Anthropology), FAAN

Dr Morse is Professor of Nursing and Behavioural Science at the School of

Nursing, the Pennsylvania State University and an associate in the Depart-
ment of Nursing Research at the Milton S. Hershey Medical Centre. She has
previously held positions as Professor and National Health and Development
Research Scholar at the Faculty of Nursing, University of Alberta, Edmonton,
Canada. Her major interests are in the areas of clinical nursing research, where
she uses anthropological research methods to explore the concept of comfort
in a National Institutes of Health (NIH) funded project. She is the founding
editor of Qualitative Health Research, an international, interdisciplinary jour-
nal published by Sage. She has published seven books and more than 100
articles on such topics as cultural response to pain, childbirth, infant feeding,
menarche, patient falls and research methodology.

Peggy Anne Field RN, SCM, BSCN, MN, PhD.

Dr Field is Professor Emeritus, Faculty of Nursing, University of Alberta. She

has published in the area of maternity nursing, infant colic, student socializa-
tion, decision making and qualitative research. She has conducted research on
such diverse topics as skills validation for maternity nurses; patient satisfaction
with nursing care; helping the grieving mother; evaluation of graduates and
community nurses' perspectives of nursing. Her interests include education for
maternity nursing; nurse-midwifery; care-giving behaviour of nurses and
ethnography, and the major focus for her clinical expertise is maternal -
newborn nursing. Dr Field has held a McCalla Research Professorship, a
Killam Annual Professorship and a Rutherford Teaching Award at the
University of Alberta.
 The purpose of qualitative 1
research

Research is to see what everybody has seen and to think what nobody
has thought.
(Albert Szent-Gyorgy)
Research fills a vital and important role in society: it is the means by which
discoveries are made, ideas are confirmed or refuted, events controlled or
predicted and theory developed or refined. All of these functions contribute
to the development of knowledge. However, no single research approach
fulfills all of these functions, and the contribution of qualitative research is
both vital and unique to the goals of research in general. Qualitative research
enables us to make sense of reality, to describe and explain the social world
and to develop explanatory models and theories. It is the primary means by
which the theoretical foundations of social sciences may be constructed or
re-examined.
Doing qualitative research requires the researcher to be methodologically
versatile, to have an extensive knowledge of social science theory, to interact
skilfully with others, and to be persistent, focused and single-mindedly
committed to research. It requires that the researcher constantly distinguish
between another's world and one's own, yet become close enough to the lives
of another that it be both experienced and analysed. It requires that the
researcher be able to conceptualize, to write and to communicate. Doing
qualitative research is an intense experience. It enriches one's life; it captures
one's soul and intellect.
Qualitative researchers begin data collection by examining observations
and reports of the phenomena as they occur in everyday life. These data are
then organized so that they are drawn together into a cohesive whole. Thus,
qualitative researchers are primarily concerned with the development of
description of an observed phenomenon to generate solid theory as an
outcome, or the product of their research. As this theory is construed
2 I ~I_________T_H_E__PU__R_PO__SE__O_F_Q_U_A_L_I_T_A_T_IV_E_R_E_S_E_A_R_C_H________~
systematically, and even 'tested' or verified during the process of construction,
qualitatively derived theory has minimal risk of invalidity.
On the other hand, in quantitative research pertinent knowledge from
previous research and from everyday life is organized into theory - given what
is known and one's best guess about reality - to build a cogent and best
argument that may answer the question. This framework is then tentatively
constructed as conjecture(s), systematically tested and subsequently revised in
light of these experimental results. Qualitative researchers begin by exploring
previous research, but instead of using it carte blanche as a framework, they
tend to regard it suspiciously and place it aside. Rather than constructing a
theoretical framework from which to work deductively, they tend to hold other
researchers' work 'in abeyance'.
It is important to note that both qualitative and quantitative researchers
are concerned with the construction of solid theory as an outcome. They put
their energies into systematically developing theory, but their approach to this
task is slightly different. The qualitative researcher's emphasis is on the
construction of the theory, and the quantitative researcher's emphasis is on the
testing of the theory.
The difference in approach may, in part, be due to the differences in the
phenomena studied, the question asked and the techniques considered appro-
priate for confirming or refuting the conjecture. Quantitative researchers
usually study concrete phenomena that have been examined to the point that
they can be measured. The theoretical frameworks from which their hypoth-
eses are derived are based on research that has been investigated and is not
inferential. These researchers have some prior knowledge from which to work
and a means to measure variables that are representative of the phenomena.
In other words, they are able to propose a series of experiments that are
reasonably 'low risk' and planned to incrementally test their theory.
On the other hand, qualitative research is usually conducted to explore
problems about which relatively little is known. Qualitative researchers often
cannot find adequate information to begin to formulate a theory about the
phenomena. Often there is nothing from which to create a theory and therefore
nothing to test. In fact, creating and testing a theory at this stage may be so far
removed from reality that the exercise would be one of futility, frustration and
luck; it would be inefficient and often absurd. Later in the chapter, indicators
for selecting a method (quantitative or qualitative) and how the researcher
selects which qualitative method is most appropriate, given known character-
istics of a situation and the nature of the research question, will be discussed.
Each of the qualitative and quantitative paradigms has its own set of
assumptions, established methodologies and set of experts. Because both
qualitative and quantitative techniques are frequently associated with partic-
ular disciplines or linked to knowledge domains, there has, over the past few
decades, been somewhat of a rift between the proponents of the two para-
digms. Since the development of computers and the increasing sophistication
 TH
__E_R_O_L_E_O_F__
L -_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ TH__E_O_R_Y________________~II~ __3__~
of statistical methods, quantitative research has been more 'mainstream'.
Quantitative research has been the normative mode of inquiry taught in
universities, and quantitative researchers have tended to dominate review
panels of funding agencies and the editorial boards of prestigious research
journals. Because quantitative research was more common and considered the
gold standard for research, qualitative researchers felt excluded, undervalued,
and misunderstood. As a consequence, a qualitative versus quantitative debate
of competing,paradigms tended to be vented in the literature (Duffy, 1985;
Goodwin and Goodwin, 1984; Smith, 1983; Smith and Heshusius, 1986).
Fortunately, since the early 1990s , both 'sides' have come to appreciate the
role of the other in developing knowledge, and a new trend of combining
qualitative and quantitative research has emerged. Nevertheless, it is import-
ant to remember that both qualitative and quantitative methods are merely
tools for solving research problems. It is the responsibility ofthe researcher to
be wise enough to be able to recognize when appropriate qualitative or
quantitative methods should be used, and smart enough to be able to do it.
Such versatility is the hallmark of a good researcher.
From the perspective of considering research methods as tools, the quali-
tative - quantitative debate becomes an insignificant argument. The quanti-
tative researcher's denigration of qualitative methods reflects a shameful
ignorance of the role and contribution of qualitative research, and the quali-
tative researcher's resentment of the perceived quantitative researcher's
control of research resources reflects the qualitative researcher's lack of ap-
preciation of the common goal of the research process. Smart researchers are
adept at both qualitative and quantitative methods, and they use the appro-
priate method at the appropriate time, according to the type of research
question, the goal of the research and other considerations.

THE ROLE OF THEORY

What is it that we mean by a 'theory'? Theory is a systematic explanation of

an event in which constructs and concepts are identified and relationships are
proposed or predictions made. Basically, a theory is a hunch, a guess, a
speCUlation or an idea that may explain reality. Theories guide investigation
both in qualitative and quantitative research, but generally provide guidance
at a different stage in the research process. In qualitative, inductive research,
the researcher examines the data for patterns and relationships, and then
develops and tests hypotheses to generate theory or uses developed theories to
explain the data. Quantitative researchers, on the other hand, work deduc-
tively by testing developed theory.
Where, then, does theory come from? Given that theory is not established
fact, but rather the researcher's 'best guess' based on previous research, others'
beliefs, values and personal values, then theory is a framework, a perception
4 I ,-I_____T_H_E_P_U_R_PO_S_E_O_F_Q_U_A_L_I_T_A_TI_V_E_R_E_S_E_A_R_C_H_ _ _ _--'
of reality to be tested by research. Once it is tested and becomes 'fact', it is no
longer a theory but moves into the domain of knowledge or 'truth'. Theory
becomes more and more believable as it is tested and retested. However, the
most important point is that theory, whether obtained inductively or deductively,
remains conjecture, but, as it is tested, it becomes better confrrmed. As they are
derived from the researcher's present knowledge base and personal reality,
theories are usually tied to paradigms associated with specific disciplines.
Therefore theories are usually in agreement, rather than disagreement, with
current trends. This aspect of research has received criticism (Feyerabend,
1978) because researchers tend to create and test hypotheses that for personal,
practical reasons, such as ease of publication, will be consistent with estab-
lished theories. They are more likely to select hypotheses that will be supported
and will be statistically significant than to disagree with current thinking and
risk statistical insignificance. Extensive and important theories, therefore, may
continue to be used for prolonged periods of time (and sometimes even be
supported by research), yet in essence be totally and completely wrong.
These 'errors' are most evident historically. The intense debate in the 1930s
about the relationship between race and IQ (Brace, Gamble and Bond, 1971)
or about the 'diseases' perceived to be caused by masturbation in the late
nineteenth century (Engelhardt, 1978/1992) are excellent examples of how
current values shape theory which was supported, albeit invalidly, by research.
Unfortunately, as will be discussed later in this chapter, this trap for research-
ers and theoreticians continues today. Theory, derived inductively because it
is derived from reality, is unlikely to be a product of the researcher's perceived
reality or a distortion of the 'truth', although present-day values or personal
biases are always a threat to validity. Nevertheless, theories are essential to the
process of inquiry. As they are proposed, modified or refuted, they are
subsequently replaced with stronger and more significant theories. In this way
knowledge advances.
However, the theory has other important functions in knowledge develop-
ment. Burton (1974) succinctly describes seven functions of theory in the
development of knowledge. First, theory builds tensions within a discipline.
It initiates dialogue and two competing theories may stimulate debate. For
example competing theories of cancer causation pertain to stress, environmen-
tal contamination and genetics (Tesch, 1981). At the same time, however,
theory stabilizes knowledge; for a theoretical explanation must, through
publication, remain reasonably constant - stable enough to be tested,
supported, modified, or refuted. Second, theory is 'counter-nihilism'. Theories
develop to fill gaps in knowledge and to 'combat intellectual nothingness'. The
third function is considering theory as 'temporality', for it places phenomena
in time, anchoring observations in relation to nature and history. Fourth,
theory clarifies by providing explanations for otherwise seemingly unrelated
facts, selectively including, excluding or ignoring facts in the most effective
and parsimonious configuration.
 TYP
L-__________________ ___E_S_O_F_T_H_E_O_R_Y
__________________ ~I LI__5__~
The fifth function is that of prediction. While a theory itself may fill a role
of predicting events and outcomes, theory also serves to guide investigation
one way or another, thus providing investigators with a systematic progression
within a research programme, and preventing stagnation or random and
haphazard procedures for research endeavours. Sixth, theory provides a
means to 'show', reveal or disclose, drawing attention to particular phenom-
ena simply because a theory exists, thereby drawing attention to a phenome-
non. Conversely, the final function is that theory may also silence an area, by
ignoring phenomena. Burton (1974) notes that this function may be essential,
as some phenomena may require periods of social 'incubation' before they are
examined by the scientific community. Thus, these seven functions, in addition
to providing explanation, reveal that theory serves an important, almost
political, role for science and society.

LEVELS OF THEORY

Theory has been classified according to its degree of explanatory powers -

for instance one common distinction is that between grand theory and mid-
range theory (Pelto and Pelto, 1978, p. 251). Grand theory attempts to explain
a broad generalized phenomenon. As a consequence, the constructs tend to be
abstract but the power of explanation is increased. Mid-range theory entails
the use of more specific constructs, is more limited and is of lower order. Thus,
the power of explanation derived from mid-range theory is more focused than
in grand theory. For the purpose of this book, the focus will be on levels of
theory that are addressed by the research questions selected and approaches
used by the qualitative researcher, which are primarily mid-range theory
developed inductively from low-order propositions and hypotheses.
In a professional discipline, research must eventually produce knowledge
in a form that can be used to improve the practice of that profession. Theory
forms the basis of knowledge development as critical concepts and constructs
are identified and relationships between them demonstrated. Theory may be
descriptive, prescriptive or predictive in nature.

TYPES OF THEORY

The goal of qualitative research is to develop theory using rich description,

data synthesis and abstraction. Qualitative inquiry is a process of documen-
tation, description, identification of patterns and concepts, identifying the
relationship between concepts and creating theoretical explanations that ex-
plain reality.
However, all qualitative research may not have developing theory as the
end product. For example the purpose of phenomenology is to identify the
6 I ~I_________T_H_E_P_U_R_PO__S_E_O_F_Q_U_A_L_I_TA__TI_V_E_R_E_S_E_A_R_C_H________~
essence of an experience, and this is to provide rich and insightful reflections
with which the reader may identify. On the other hand, the end product of
grounded theory is to develop mid-range theory, describing a process. Note
that the product of qualitative research is the theory. Qualitative researchers
do not usually test a priori conceptual frameworks, but rather inductively
develop strong and resilient theory.

Deductive theory
Deduction means to infer from what has preceded; in research, one therefore
draws from previous knowledge in order to deduce potential relationships.
Reasoning is the facility of deducing unknown truths from principles that are
already known, and it is on this premise oflogical inference that the scientific
paradigm for research has been built. As deductive theory builds on previous
knowledge and research, it is less likely to 'disturb' the prevailing paradigm
unless competing tensions become strong. The work of Klaus and Kennel
(1976) on bonding was adopted in the 1970s to provide the conceptual
framework for considerable further research. Subsequent research assumed
the correctness of Klaus and Kennel's findings, and hypotheses were generated
based on their studies. However, research a decade later questions the findings
of Klaus and Kennel (Elliott, 1983; Scheper-Hughes, 1992).
In most deductive research, hypotheses are generated from the researcher's
knowledge extending from previous research, from library research and the
results of others' work and from intuitive knowledge of the phenomena. This
information is used to generate hypotheses by demonstrating relationships
and testing the predictive value of specific variables. The problem is that when
one is dealing with human behaviour, if it is studied out of context (such as in
a laboratory), the context stripping that occurs removes many of the related
variables. Thus, generalizations from findings may not apply outside the
experimental situation. An excellent example of this is provided by pain
research. Many findings of studies conducted in the laboratory have not been
confirmed in the clinical setting (Chapman, 1976).
Deductive theory is most valuable when the researcher has clearly identified
constructs and concepts with which to work. This situation is most likely when
the relationships to be tested have been previously demonstrated, and there
has already been considerable research conducted in the area. For example in
physiological research these principles frequently hold true, but this is less
often the case in behavioural research where the data are more subjective.
In deductive theory, the starting point is a set of concepts or a conceptual
scheme. Some of the concepts will be descriptive, serving to show what the
theory is about (health, hope, support and so forth). Concepts may also be
perceived operatively, such as the degree of hope or the strength of support.
The theory will then consist of a set of propositions, each stating a relationship
and the direction of influence between at least two of the properties, such as
L -_________________ __________________~1
T_y_P_E_S_O_F_T_H_E_O_R_y I 7

the 'degree of hope varies with the strength of the support system'. Deduction
also provides grounds for prediction or prescription. As theory is not fact
(Morse, 1992), it is always subject to revision and modification.

Inductive theory
Inductive theory is directed towards bringing knowledge into view. It is
generally descriptive, naming phenomena and positing relationships. It is
frequently conducted in the naturalistic setting, and considers context as a part
of the phenomena. The goal of the researcher is to identify patterns or
commonalties by inference from examination of specific instances or events.
During analysis the researcher moves from specific instances or data to more
abstract generalizations extending from the synthesis of data, eventually
resulting in the identification of concepts and theory development. Thus,
analytic induction is an essential mode of inquiry by identifying variables in
order to generate theory. When examining phenomena, concepts are defined
and tentative causes and relationships are hypothesized. In practice, the
researcher alternates back and forth between cause and definition, and, as
understanding increases, the definitions, hypotheses and developing theory
are modified.

The sequential use of induction and deduction

Grounded theory is: 'the discovery of theory from data systematically ob-
tained from social research' (Glaser and Strauss, 1967, p. 2). Grounded theory
is one approach in which the research is inductively driven, although both
induction and deduction are used to develop the theory. Glaser and Strauss
argue that if one conceptualizes from the data, and if data have been accurately
recorded, then categories mll;st arise fitting these data. Theory grounded in
reality must provide an explanation of events as they occur and thus is less
likely to be contaminated by prevailing theory. Because grounded theory
explores reality as it occurs, it is concerned with process, and provides tech-
niques that enable phenomena that change over time to be diagrammed
(Corbin, 1986; Strauss and Corbin, 1990).
At the time that grounded theory developed, it was observed that social
research focused mainly on the verification of theory, with the theory being
modified according to the results ofthe testing. It was further argued that there
was a prior step that was being neglected: the discovery of concepts and
hypotheses relevant to the area being researched. The focus on verification as
a technique for revising theory was a serious concern as the generation of
theory necessarily precedes theory testing. As theory is linked to the data and
provisionally verified in the process of theory development, it is, therefore,
more likely to be valid. Grounded theory was a methodological approach that
corrected this limitation.
~_8___l f
L _________ T_H_E_P_V_R_PO
__S_E_O_F_Q_V_A_L_I_TA
__ TI_V_E_R_E_S_E_A_R_C_H_________

EVALUATING THEORY

Theories are usually evaluated in research according to six characteristics:

explanatory power (extensiveness of explanation), parsimony, empirical va-
lidity, internal consistency, usefulness and testing. However, in qualitative
research some of these characteristics are less important, and another quality,
the degrees of fit with the data (Glaser, 1978) is considered an important
indicator of validity.
Extensiveness is the ability of the theory to encompass the largest number
of observations. As stated, 'grand' theories incorporate a larger number of
observations than mid-range theories, and therefore have more importance
and more significance than mid-range theories and models. Parsimony refers
to the structure of the theory. If a theory is parsimonious, it consists of the
smallest possible number of propositions, assumptions, and inferences, and is
elegantly constructed. Next, empirical validity refers to the ability of the theory
to 'bind' observations and data together and to give them meaning; and fit is
the ability of the theory to provide a plausible explanation, one that is valid
and true to the data. Internal consistency refers to the ability of the theory to
be consistent in explanation about these data, without negation. It refers to
the logical structure of the theory and its relevance to allied theories. This
aspect, together with 'fit,' enables the evaluation of theory for usefulness.
Finally, a good theory should be testable. Although testing theory is normally
outside the realm of qualitative inquiry, qualitative theorists play an important
role in theory construction, and, if qualitative research is to fulfil one of its
important functions, these theories should be significant enough and polished
enough for subsequent quantitative testing.

QUALITATIVE RESEARCH

In the previous sections, it has been suggested that qualitative methods should
be used when there is little known about a phenomenon, when the investigator
suspects that the present knowledge or theories may be biased or when the
research question pertains to understanding or describing a particular phe-
nomenon or event about which little is known. Qualitative methods are
particularly useful when describing a phenomenon from the emic perspective,
that is the perspective of the problem from the 'native's point of view' (Vidich
and Lyman, 1994). In clinical research the emic perspective may be the
perspective of the patient, caregiver or relatives. Qualitative research is usually
conducted in a naturalistic setting, so the context in which the phenomenon
occurs is considered to be a part of the phenomenon itself (Hinds, Chaves and
Cypess, 1992). Thus, no attempt is made by the researcher to place experiment-
al controls upon the phenomenon being studied or to control the 'extraneous'
variables, all aspects of the problem are explored and the intervening variables
 Q_U_A_NT
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__ ES_E_A_R_C_H______________~I I 9

arising from the context are considered a part of the problem. Using this
approach the underlying assumptions and attitudes are examined, and the
rationale for these are also elicited within the context in which they occur.
As previously mentioned, the qualitative approach to understanding, ex-
plaining and developing theory is inductive. This means that hypotheses and
theories emerge from the data set while the data collection is in progress and
after data analysis has commenced. The researcher examines the data for
descriptions, patterns, and hypothesized relationships between phenomena,
then returns to the setting to collect data to test the hypotheses. Thus, the
research is a process that builds theory inductively over a period of time, step
by step. The theory fits the research setting and is relevant for that point in
time only. These data may largely consist of transcriptions of interviews,
observations of the setting and of the actors. Data of these kinds are meaning-
ful to others and considered 'rich' and 'deep' (Geertz, 1973). However, these
data are hard to manage for the purposes of analysing and writing a report,
as they cannot be readily transformed into numeric codes for statistical
manipulation. In this respect they are often said to be 'soft' data.
The qualitative research process can be exceedingly time-consuming, both
for the collection and the analysis of data. In contrast to quantitative research,
the number of subjects in the study is necessarily small, and a random sample
is not selected. Rather, the researcher selects participants who are willing to
talk and have established relationships of trust with the researcher, or who are
in key positions and have a special knowledge of the phenomena for one reason
or another.

QUANTITATIVE RFSEARCH

Quantitative research, in contrast to qualitative research, seeks causes and

facts from the etic or 'world view' perspective (Vidich and Lyman, 1994). In
this case the findings are based on the researcher's interpretations of the
observed phenomena, rather than on the subjects' interpretations of events.
Quantitative research looks for relationships between variables so that causal-
ity may be explained and accurate prediction becomes possible. The aim is to
examine the experimental variables, while controlling the intervening variables
that arise from the context. With this control over the effects of context, the
relationships between variables will be generalizable and predictive in all
settings, at all times.
Quantitative researchers establish a theory identifying all constructs, con-
cepts and hypotheses while preparing the proposal and before beginning data
collection. These concepts are made operational so that the hypotheses may
be tested. Concerned with rigour and replication, the researcher ensures that
the measurement instruments are reliable and valid. Data are then collected,
numerically categorized, and the relationships between the variables used to
10 I LI_________TH__E_P_V_R_P_O_S_E_O_F_Q_V_A_L_I_T_A_TI_V_E_R_E_S_E_A_R_C_H________~
measure the concepts are established statistically using 'hard' (i.e. numeral)
data. Bias is controlled by randomly selecting a large and representative
sample from the total population. Structured instruments, such as rating
scales, are frequently used to collect data and are usually administered once,
as it is assumed that reality is stable (the variables measured will not change
over time). The techniques for research design and analysis are prescribed a
priori in the research proposal, and there are acceptable, tested and appropri-
ate written steps or guidelines to assist the researcher throughout the process.
The goal of quantitative research is to test the theory deductively by system-
atically testing the hypotheses.

SELECTING AN APPROACH

In summary, the researcher should selectively and appropriately choose a

research approach according to the nature of the problem and what is known
about the phenomenon to be studied. Importantly, the choice of method
depends on a number of factors, such as the nature of the phenomenon to be
studied, the maturity of the concept, constraints of the setting and the
researcher's ability and agenda.

Nature of the phenomenon to be described

The type of variables or the nature of the question may indicate that either
qualitative or quantitative methods would be more appropriate. For example
the purpose of the proposed study may be to examine the fears and anxieties
of preoperative patients. Fear and anxiety can, to a considerable extent, be
measured reliably and validly, quantitatively, using standardized anxiety
scales. Physiological measurements of stress may also be used, such as hor-
mone levels. Fear and anxiety may also be studied qualitatively by asking
patients to describe their fears and feelings about impending surgery.
Consider the purpose of the study. Is the purpose to test the effectiveness
of a nursing intervention designed to reduce preoperative stress? Or is it to
learn about the nature of the patients' fears and anxieties? That is, are the
patients afraid of the violation of their body boundaries, of loss of control of
their body during the anaesthetic, of pain or of the unknown postoperative
recovery period?
Answering the first question, the quantitative researcher would make theor-
etical assumptions using past research about the anxieties of the preoperative
patient, and develop an experimental two-group design to measure the effec-
tiveness of the nursing intervention by quantifying differences between the two
groups. To answer the second question, the qualitative researcher would
describe, in depth, the fears of the preoperative patient in order to understand
the experience, and identify a theory of preoperative fears and anxieties.
 __A_N_A_P_P_R_O_A_C_H______________~I
S_E_L_E_C_T_IN_G
L -_ _ _ _ _ _ _ _ _ _ _ _ _ I 11

Following this step the qualitative researcher may move into an experimental
quantitative research study to test nursing measures which will reduce pre-
operative stress.
Occasionally, the choice of qualitative or quantitative measurement will
also depend on external resources, such as the expertise of the researcher.
Available budget should not influence the researcher's approach but may
dictate the size of the project that can be undertaken. Researchers are fre-
quently limited in their choice of research design by the knowledge of their
mentor and by their own knowledge, and they are unwilling to try a new
approach and new methods.
Unfortunately, funding agencies are also reluctant to fund researchers who
do not have a track record using research methods in which they have not
previously demonstrated their expertise. A limit on available research funds
may also restrict the researcher's choice of methodology.
Qualitative research is comparatively expensive and time-consuming com-
pared to quantitative methods. It is also more difficult to utilize research
assistants to conduct unstructured interviews and to assist with data analysis.
The researcher must consider the threats to the validity of the research when
these constraints dictate the choice of methods and carefully consider the cost
of such compromise. However, although the cost of qualitative research is
comparatively high, it provides unique insight into the phenomenon being
studied - insight that could not be gained any other way.

The maturity of the concept

Maturity of the concept, or how much has already been investigated or is
known about the topic, is usually indicated by the amount of information
available. If an extensive library search reveals that there is very little previous
information about a research topic, then the topic is probably not developed
enough to use quantitative methods, and' an exploratory, descriptive study
using qualitative methods should be conducted. For example ifthe topic to be
investigated is mothers' attitudes towards breast-feeding, there is probably
enough literature available on the topic to conduct a quantitative study. But
if the research question is, 'What is it like to breast-feed?', where the focus is
on the mother's own experience, there is little information available in the
literature on this important topic. Thus, a descriptive, qualitative study would
be appropriate.
Another occasion in which qualitative methods may be appropriately used
is when there is a lot of information available on a particular topic, but a
content analysis of the literature reveals that the research is based on assump-
tions which are not verified or are possibly biased. An example, again from
the breast-feeding research, is the assumption that, in order to maintain
lactation breasts must be emptied every four hours during the day. This
assumption could not be verified in the literature, and a qualitative,
12 I T_H_E__
L I_ _ _ _ _ _ _ _ _ PV__
R_PO
__ O_F_Q_V_A_L_I_T_A_T_IV_E_R_E_S_E_A_R_C_H________~
SE__

exploratory research did not support the assumption (Morse, Harrison and
Prowse, 1986).
Therefore qualitative research questions are probably exploratory, seeking
to describe a situation or to understand a person or an event (i.e., 'What is ... ?'
or 'How does ... ?' types of questions). If, however, the research question is
stated as an hypothesis seeking to demonstrate a relationship between two or
more variables, then enough is probably known about the variables to use
quantitative methods.

Constraints/confines from the participants or setting

The next factors to consider when selecting methodology arise from charac-
teristics of the participants or the setting. Are the participants literate and, if
so, what languages do they speak? Will they be able to read a quantitative
questionnaire and, if so, is the questionnaire culturally biased? If, for cultural
reasons, quantitative methods are not suitable, then some form of qualitative
methods will be necessary. Who are the participants? Are they elderly, disori-
ented persons or infants? If so, an observational technique, such as ethology,
may be more appropriately used than a qualitative interview technique or a
quantitative questionnaire.

Researcher characteristics

To a great extent, the method chosen is a product of the researcher. First, the
background knowledge and capabilities of the researcher - what the re-
searcher knows is possible and capable of doing - narrows the range of
methods considered for the study. If the only qualitative method the researcher
knows is grounded theory, for example, then the researcher is likely to design
the study that way, or, as Wolcott (1992) a 'dyed-in-the-wool ethnographer'
notes, 'recast' the problem ethnographically. While this problem may not be
bad, it does restrict the nature of the research and the type of research problem
selected. Ideally, the research should be driven by the research question, and
appropriate methods should be selected accordingly.
As previously mentioned, research becomes a risky endeavour when driven
by the personal agenda of the researcher. When one's own political or personal
perspectives override one's ability to view the setting with detachment, the
researcher's own agenda may seriously bias and even invalidate the results.
Recently, feminists, critical theorists and other interpretative approaches have
legitimized the use of such approaches, but for the neophyte researcher, the
warning remains. Again, the wise researcher builds a methodological toolbox
and develops a critical awareness of self and motives for maximal performance
in the research arena.
 T_H_I_N_KI_N_G
L -_ _ _ _ _ _ _ _ _ _ _ _ _ __E_L_Y____________~I
__Q_U_A_L_IT_A_T_N I 13

METHODOWGICAL THREATS TO VALIDITY

As stated earlier, there is a most appropriate approach to use for each research
question. While there are advantages to every method, so there are limitations.
Using an inappropriate method to answer a research question may result in
loss of generalizability, increased cost and invalidity.
Perhaps the most common problem in the inappropriate use of method is
the use of inductive research design and qualitative methods when a consider-
able amount is known about the topic. Alternatively, it is equally invalid to
use deductive research design and quantitative methods when too little is
known about the topic. In the first case, researchers develop a conceptual
framework and then analyse qualitative data according to the categories in the
framework, rather than deriving the categories inductively from the data.
Thus, the researcher loses the qualitative strength of validity, by forcing reality
to fit the framework. Ifthe researcher knows enough about the topic to be able
to create a conceptual framework and identify variables, then the researcher
should be using quantitative methods.
The second error is the use of deductive quantitative methods when little is
known about the participant. Invalidity occurs when the researchers attempt
to create instruments from the literature or their own experience, rather than
beginning with a qualitative study to assist with the definition of the concepts.
Meaningless, incomplete or erroneous results may be obtained.
In order to conduct valid research, it is imperative that the researcher be
aware of personal cultural perspective, bias or agenda. Our example of differ-
ent cultural interpretations of the same data is Bohannan's (1956/92) account
of the interpretation of Shakespeare's Hamlet by the Tiv of Africa. Research
questions may not be value-free but may even reflect the researcher's cultural
values. Morse (1989192) explores research questions and assumptions that
drive infant feeding research and teaching, to illustrate how the theoretical
basis of research may be explored.
The first step in becoming a qualitative researcher is to develop an acute
sensitivity to the imbedded values and assumptions in society and in present-
day theories and research, and an acute awareness of one's own personal
values, perspectives and biases. This task is difficult, as many of these values
are implicit and not easily recognized until contrasted or challenged by a
different norm or set of values. These challenges are most easily identified
when the researcher is exposed to another culture, and, for this reason,
anthropologists traditionally work cross-culturally.

THINKING QUALITATIVELY

Qualitative questions have particular characteristics. Qualitative inquiry usu-

ally answers questions pertaining to what the experience is like: what it is like
14 I LI_________T_H_E__PU__R_P_O_SE__O_F_Q_U_A_L_I_T_A_T_IV_E_R_E_S_E_A_R_C_H__________
to have a particular illness, what it is like to have surgery or to be involved in
an accident. Qualitative research is used to describe how groups of people live
or how people cope with their daily lives. Qualitative research provides the
reader with understanding and enables others to make sense of reality.
While qualitative research may describe phenomena in detail, qualitative
research cannot usually be used to answer questions that will prove causality.
Neither can it be used to answer questions of 'how much' or 'how many'. Thus,
qualitative researchers usually approach a topic or a setting by asking them-
selves, 'What is going on here?', and systematically exploring the topic or
setting as a learner, holding assumptions and knowledge in 'abeyance' until it
is confirmed.
Such a value-free approach to research does not imply that such research
is atheoretical. Rather, it means that the researcher is not letting theory drive
the research (Morse, 1992). In a later stage of analysis, when the researcher
begins to organize the data and to formulate theory, the researcher compares
the findings from the setting with established theory and the results of the
research, almost as if drawing a template of others' work over the emerging
analysis, to compare the fit. The researcher asks questions constantly about
the data: 'Is this interaction supportive?' 'Is this social support?' 'How does
this manifestation of social support compare with the definitions in the
literature?' 'How is it different?' and 'Why?' The researcher will then expand
the sample to include participants who will be able to provide the information
necessary to following interesting leads identified in the data.
The interplay between theoretical knowledge and the emerging analysis is
interesting. The researcher is always acutely aware of the derivation of an
idea - an idea found in the work of others or that is the researcher's own,
arising from patterns within the data. The continual comparison of these two
levels of information and the mUltiple decisions that have to be made ('What
is right, my data or the literature?') force the qualitative researcher to be
constantly thinking about hislher project. Thus, qualitative research is an
extraordinarily absorbing intellectual exercise; and the good qualitative
researcher has a vast knowledge of social science theory, is persistent in fitting
the emerging model to both the setting and the literature and never hesitates
to redo the analyses.

THE POWER OF QUALITATIVE ENQUIRY

As previously mentioned, qualitative research is inductive. It does not usually

have an a priori conceptual framework or hypotheses to be tested. Rather, as
the goal is to develop theory, the research must have discovered an interesting
topic, and be willing and eager to explore it further to learn all about the
 PRINCIPLES
L -_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ II
~
15

phenomenon. Recall the outcome of qualitative research is theory. Because

the researcher is willing to explore areas that have been relatively neglected by
other researchers or to look suspiciously at areas that they believe are perhaps
incorrect or in need of modifying, qualitative research has the important role
in knowledge development of producing the theory that guides a discipline.
Furthermore, because the theory is inductively derived, it is quite likely to be
right. Thus, qualitative inquiry provides the theory that ideally directs inquiry
within a particular discipline.
The developed theory may serve several important functions within a
discipline. Firstly, the theory may be applied clinically, either to the setting
from which it was developed or to another setting. Thus qualitative research
may provide insights that revise or alter clinical practice.
Secondly, qualitative findings provide rich description that enables readers
to understand and make sense of clinical reality. It provides a window into the
worlds of others, providing empathic understanding of the world. The theory
thus enables the readers to make sense of otherwise incomprehensible situa-
tions and behaviours. As qualitative theory is data based theory, the theory is
more rigorous and valid than theory developed for incomplete data sets or the
status quo, and, as such, should be solid enough to withstand external
challenge. Thus it directs or redirects the discipline.
Finally, the theory may be used in quantitative research, either as a concep-
tual framework for quantitative testing, as a basis from which items for
psychometric instrument are derived, or triangulated with quantitative find-
ings. Triangulation, in this case, may be either to provide context for the
quantitative study or to provide explanation for otherwise unexpected quan-
titative results.

PRINUPLES

• The purpose of qualitative research is to construct valid theory that guides

knowledge development within a discipline.
• The qualitative perspective is holistic and primarily inductive.
• Research methods must be considered as tools for facilitating inquiry, and
so the most appropriate method must be selected to answer the question.
• Excellent researchers are methodologically versatile.
• Qualitative methods are used when little is known about a phenomenon or
when present theories need revising.
• The qualitative method chosen should be selected to answer the research
question. Other factors to be considered are constraints arising from
participants or the setting and the knowledge/attributes of the researcher.
• Qualitative research is a rigorous and time-consuming intellectual
endeavour.
16 II THE PURPOSE OF QUALITATIVE RESEARCH
~--------------------~----------------------~

REFERENCES

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Duffy, M.E. (1985) Designing nursing research: the qualitative - quantitative debate.
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Elliott, M.R. (1983) Maternal infant bonding. Canadian Nurse, 79(8), 28-31.
Engelhardt, H.T. (197411992) The disease of masturbation: values and the concept of
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Feyerabend, P. (1978) Against Method, Varo, London.
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Glaser, B.G. (1978) Theoretical Sensitivity, The Sociology Press, Mill Valley, CA.
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Goodwin, L.D. and Goodwin, W.L. (1984) Qualitative vs. quantitative research or
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Hinds, P.S., Chaves, D.E. and Cypess, S.M. (1992) Context as a source of meaning and
understanding, in Qualitative Health Research, (ed. J.M. Morse), Sage, Newbury
Park, CA, pp. 31-49.
Klaus, M.H. and Kennel, J.H. (1976) Parent Infant Bonding: The Impact of Early
Separation or Loss on Family Development, Mosby, St Louis.
Morse, J.M. (1989/1992) 'Euch, those are for your husband!': examination of cultural
values and assumptions associated with breastfeeding, in Qualitative Health
Research, (ed. J.M. Morse), Sage, Newbury Park, CA, pp. 50-60.
Morse, J.M. (1992) If you believe in theories .... Qualitative Health Research, 2(3),
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Morse, J.M., Harrison, M. and Prowse, M. (1986) Minimal breastfeeding. Journal of
Obstetric Gynecologic and Neonatal Nursing, 15(4), 333-8.
Pelto, P.J. and Pelto, G.H. (1978) Anthropological Research: The Structure of Inquiry,
Cambridge University Press, Cambridge.
Scheper-Hughes, N. (1992) Death Without Weeping, University of California Press,
Berkeley, CA.
Smith, J.K. (1983) Quantitative versus qualitative research: an attempt to clarify the
issue. Educational Researcher, 12(3),6-13.
Smith, J.K. and Heshusius, L. (1986) Closing down the conversation: the end of the
quantitative - qualitative debate among educational inquirers. Educational
Researcher, 15,4-12.
 F_U_R_TH
L-________________ __E_R_R_E_A_D_I_N_G________________ ~I I 17

Strauss, A. and Corbin, J. (1990) Basics of Qualitative Research: Grounded Theory

Procedures and Techniques, Sage, Newbury Park, CA.
Tesch, S. (1981) Disease causality and politics. Journal of Health Politics. Policy and
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Vidich, A.J. and Lyman, S.M. (1994) Qualitative methods: their history in sociology
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Lincoln), Sage, Newbury Park, CA, pp. 23-59.
Wolcott, H.F. (1992) Posturing in qualitative research, in The Handbook of Qualitative
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FURTHER READING

Atkinson, P. (1994) Some perils of paradigms. Qualitative Health Research, 5(1).

Denzin, N.K. and Lincoln, Y.S. (eds)(1994)PartlI: Major paradigms and perspectives,
in Handbook of Qualitative Research, Sage, Thousand Oaks, CA, pp. 99-198.
Filstead, W.J. (ed.) (1970) Qualitative Methodology: Firsthand Involvement with the
Social World, Rand McNally, Chicago.
Gilbert, N. (ed.) (1993) Researching Social Life, Sage, London.
Glassner, B. and Moreno, J.D. (eds) (1989) The Qualitative-Quantitative Distinction in
the Social Sciences, Kluwer, Dordrecht, The Netherlands.
Hammersley, M. (ed) (1993) Social Research: Philosophy. Politics and Practice, Sage,
London.
Morse, J.M. (ed.) (1992) Part I: The characteristics of qualitative research, in Qualitative
Health Research, Sage, Newbury Park, CA, pp. 69-90.
Morse, J.M., Bottorff, J.L., Neander, W. et al. (1991/1992) Comparative analysis of
conceptualizations and theories of caring, in Qualitative Health Research, (ed. J.M.
Morse), Sage, Newbury Park, CA, pp. 69-90.
Noblit, G.W. and Engel, J.D. (199111992) The holistic injunction: an ideal and a moral
imperative for qualitative research, in Qualitative Health Research, (ed. J .M. Morse),
Sage, Newbury Park, CA, pp. 43-63.
Rabinow, P. and Sullivan, W.M. (eds) (1979) Interpretive Social Science: A Reader,
University of Califomi a Press, Berkeley, CA.
Smith, R.B. and Manning, P.K. (eds) (1982) A Handbook of Social Science Methods,
Ballinger, Cambridge, MA.
2 An overview of qualitative
methods

In the previous chapter, the rationale for a qualitative approach for research
was presented. In this chapter, some of the methods that may be used to
examine phenomena qualitatively will be introduced, and then factors to
consider when selecting a qualitative method will be discussed.

RESEARCH APPROACHES TO STUDYING EVERYDAY

EXPERIENCES
Qualitative data have always been used in the social sciences, particularly
anthropology, history and political science, but it is only in recent years the
qualitative paradigm has developed a role in health care research. Qualitative
research is the source of well-grounded theory, illustrated with rich (or thick)
description and explanation of processes which occur in an identifiable local
context (Miles and Huberman, 1994). When using qualitative approaches,
reality is explored from an ernie perspective, understanding life from the
perspective of the participants in the setting under study; and everyday life is
examined in an uncontrolled, naturalistic setting. However, life-world struc-
tures are viewed in different disciplinary perspectives, which develop in part,
from epistemological underpinnings within the main social science disciplines
and give rise to distinct methodologies. (These are outlined in Table 2.1). For
instance in anthropology, the concept of culture underlies the methods of
ethnography and ethnoscience; animal behaviourism and zoology have led to
the study of human ethology; ethnomethodology developed from sociology;
and phenomenology from applied philosophy.

Phenomenology
The objective of phenomenology is to describe the essence of behaviour, based
on meditative thought and with the purpose of promoting human understanding
Table 2.1 Comparison of the major types of qualitative strategies

Type of research
questions Strategy Paradigm Method Other data sources Major references

Meaning questions- Phenomenology Philosophy Audiotaped Phenomenological Bergum, 1991

eliciting the essence (Phenomenology) 'conversations' literature; Giorgi, 1970
of experiences Written anecdotes of philosophical van Manen (1984, 1990)
personal experiences reflections; poetry;
art
Descriptive questions Ethnography Anthropology Unstructured Documents Ellen (1984)
- of values, beliefs, (Culture) interviews Records Fetterman (1989)
practices as a cultural Participant Photography Grant & Fine (1992)
group observation Maps Hammersley & Atkinson (1983)
Fieldnotes Genealogies Hughes (1992)
Social network Sanjek(1990)
diagrams Spradley (1979)
Werner & Schoepfle (1987a,
1987b)
'Process' questions Grounded theory Sociology Interviews Participant Glaser & Strauss (1967)
- experience over (Symbolic (tape recorded) observation Glaser (1978, 1992)
time or change, may interactionism) Memoing Strauss (1987)
have stages and Diary Strauss & Corbin (1990)
phases Chenitz & Swanson (1986)
Questions regarding Ethnomethodology Semiotics Dialogue Observation Atkinson (1992)
verbal interaction Discourse analysis (audio/video Fieldnotes Benson & Hughes (1983)
and dialogue recording) Denzin(1970,1989)
Douglas (1970)
Heritage (1984)
Leiter (1980)
Rogers (1983)
Behavioural questions: Participant Anthropology Observation Interviews Jorgensen (1989)
Macro observation Fieldnotes Photography Spradley (1980)
Micro Qualitative ethology Zoology Observation Videotape Eibl-Eibesfeldt (1989)
Note-taking Morse & Bottorff (1990)
Scherer & Ekman (1982)
(Source: Morse, J.M. (1994) Designing funded qualitative research, in Handbook afQualitative Research, (eds N.K. Denzin and Y.S. Lincoln), Sage, Thousand
Oaks, CA, p. 224. Reprinted with permission of the publisher.)
20 I LI_________A_N_o_v_E_R_~__E_W_O_F__Q_U_A_L_IT_A_T_I_V_E_M_E_T_H_O_D_S________~
(Omery, 1983). The phenomenological method is both a philosophy and a
method (Cohen, 1987), within which several schools have developed.
Cohen and Omery (1994) compare the work of Van Kaam, Colaizzi and
Giorgi and explicate the value of each approach for those interested in
phenomenology .
The method originated with philosophy, using the work of Husserl,
Heidegger, Sartre and Merleau Ponty (van Manen, 1990). The phenomeno-
logical tradition seeks to understand the lived experience of individuals and
their intention within their 'life-world'. The researcher asks the question,
'What is it like to have a certain experience?' Phenomenology is, therefore, the
study of phenomena and the appearance of things, and the discovery of their
essence is the ultimate purpose of such research (van Manen, 1990). For
example the question might be asked, 'What does it feel like to be a patient
receiving chemotherapy?' Data collection may take the form of in-depth
conversations in which the researcher and the learner are co-participants.
Omery (1983) notes that it is a requisite of phenomenology that no precon-
ceived notions, expectations or frameworks be present to guide the researchers
as they gather and analyse the data. While the life-worlds of individuals being
studied are the primary source of data, literature, poetry or art may all be used
to gain an understanding of the essence of the phenomena. Unlike grounded
theory, where the goal is to develop theory, the goal in the phenomenological
method is to provide an accurate description of the phenomena being studied.
Phenomenology accepts experience as it exists in the consciousness of the
individual. Phenomenologists maintain that intuition is important in the
development of knowledge, although human meaning cannot be inferred from
sense impression alone (Bruyn, 1966). Generalization is based on similar
meanings rather than on an exact duplication of essence. Phenomenology also
does not presuppose the existence of process, although process may be discov-
ered as the research takes place. The goal of phenomenology is to describe
accurately the experience of the phenomenon under study and not to generate
theories or models, nor to develop general explanation. Some examples from
the literature may help to make this point.
Validity rests in the richness of the discussion. Does the description of
essence make sense to anyone else? Does it make sense within the context of
nursing practice? (Ray, 1994). Phenomenological writing may be descriptive
or interpretative, but it is essentially written as text and open to varied
interpretation depending on the experience of the reader. Many approaches
to qualitative research are classified as 'phenomenology,' if the research
focuses on experience. Care must be taken not to take the writer's description
of method without question. Kelpin's (1984/92) work on birthing pain reveals
pain as a positive experience and provides carers with a new perspective on the
meaning of pain in labour. Also Clarke (1990/92) links the child's and the
parent's perspectives of a child with asthma in a way that provides insight for
the reader.
 RESEARCH APPROACHES TO STUDYING EVERYDAY EXPERIENCES II 21

Ethnography
Historically, ethnography evolved in cultural anthropology and tended to
focus on the cultural patterns of village life. Ethnography was incorporated
into health care research by nurse-anthropologists, such as Aamodt (1982),
Leininger (1969), and Ragucci (1972). This research focused on the effects of
culture on health care (Davis, 1986/92), institutions as a cultural setting
(Germain, 1979; Go1ander, 1987/92) or a professional group organized as a
cultural system (Cassell, 1987/92).
Recently, Boyle (1994) described a classification system for ethnography
under the headings of classical or holistic ethnography, particularistic and
focused ethnography, cross-sectional ethnography and ethnohistorical ethno-
graphy. She noted that although ethnography may be differentiated by type,
most ethnographies share certain common characteristics: they are holistic,
contextual, and reflexive. Ethnography is always informed by the concept of
culture, and it is a generalized approach to developing concepts and to
understanding human behaviours from the insider's point of view. Multiple
methods of data gathering are used by the ethnographer, including participant
observation, interviews and field-notes, and may be supplemented by other
techniques, such as records, chart data, life-histories and so forth.
Ethnography is a means of gaining access to the health beliefs and practices
of a culture and allows the observer to view phenomena in the context in which
it occurs, thus facilitating our understanding of health and illness behaviour.
Such information is critical to the provision of care, for the key to a health
programme is through understanding the culture of its recipients. Culture may
be used in a broad sense in examining health beliefs of ethnic groups, such as
the work by Lipson (1991) on Afghan refugees, or it may also be used to
examine the beliefs and practices of delineated communities such as an oper-
ating room (Fisher and Peterson, 1993), groups of individuals experiencing a
common illness such as a stroke (Haggstrom, Axelsson and Norberg, 1994),
group behavioural norms such as clinical decision making (Stein, 1991) or
concepts such as compliance (Roberson, 1992).
An ethnographer asks the question, 'In what ways do members of a
community actively construct their world?' Researchers might ask, 'What is it
like for a person to live in a nursing home?' The researcher wants to find out
whether a person can actively shape his or her life in a nursing home and how
they cope in institutions. Another facet of inquiry are the environmental
factors that influence coping and adaptation. Differences in perception be-
tween the researcher and the subjects can be clarified as they occur and as the
researcher gains an understanding of the topic under study from the subject's
perspective. Rather than studying people, ethnographers learn from people.
They set out to grasp the ernic or the 'natives' point of view' (Spradley, 1979).
Cassell (1987/92) illustrates this interaction of context and values in her
ethnographic study of surgeons. Surgery is based upon critical decision
22 I LI_________A_N_O_V_E_R_V_I_E_W_O_F__Q_V_A_L_IT_A_T_I_V_E_M_E_T_H_O_D_S________~
making: the surgeon must therefore be decisive and in control, with emergen-
cies resolved as they occur. The surgeon must remove disease rather than
'out-think and outmanoeuvre it to slow its ravages' (p. 171). Cassell found that
surgeons embrace common values related to the occupation which fits them
for the profession. Surgeons need a strong ego to survive, but this leads them
to a state of paranoia in which they believe everyone and everything is against
them, including disease. This suggests that the more certitude surgeons exhibit,
the more troubling their inevitable feeling of uncertainty must be - thus the
paranoia.
Ideally, ethnographic analysis moves beyond description to reveal or
explain aspects of social patterns or observed conduct. Thick description
(Geertz, 1973) is an interpretative science that searches for meaning within the
cultural norms, culturally patterned behaviour and cultural context, for exam-
ple in examining Bohannan's (1956/92) article in which she compares a North
American interpretation of Shakespeare's Hamlet with the interpretation of
the Tiv of West Africa. In this article, the differences in the interpretation of
the play revealed that the assumptions and rules regarding relationships are
cultural-bound and not universal. Thus, the health care researcher is con-
cerned with revealing culturally embedded norms which implicitly guide the
actions of individuals in a specific culture, so that the provision of health care
may be culturally acceptable.

Grounded theory
Grounded theory was first developed by Glaser and Strauss (1967) to address
issues raised within sociology about the understanding of human behaviour
based on the quantitative paradigm and statistically average behaviour. The
theoretical base for grounded theory is symbolic interactionism. Symbolic
interactionism stresses that human behaviour is developed through interaction
with others, through continuous processes of negotiation and renegotiation.
People construct their own reality from the symbols around them through
interaction rather than through a static reaction to symbols. Therefore indi-
viduals are active participants in creating meaning in a situation. Grounded
theory has as its primary purpose the generation of explanatory theories of
human behaviour. Such theory is discovered, developed and then verified
through systematic data collection and analysis of data related to an identified
phenomenon. Data collection, sampling and analysis all occur simultaneously
as the study progresses and sampling and further data collection are based on
the emerging theory (Glaser and Strauss, 1967).
In grounded theory, participants are selected based on their knowledge of
the topic and on the needs of the developing theory, a process called theoretical
sampling (Glaser and Strauss, 1967). Data are generally collected through
unstructured interviews, observation and other fieldwork techniques. Analysis
techniques include constant comparison, in which all pieces of data are
 RESEARCH APPROACHES TO STUDYING EVERYDAY EXPERIENCES II 23

compared with other data. While in ethnography the focus is on cultural beliefs
and values, grounded theory is process-oriented and allows for change over
time, describing stages and phases inherent in a particular experience.
A grounded theorist may ask the question: 'How do mothers of newly born,
hospitalized, preterm infants describe their attachment to their infants over
time?' When Brady-Fryer (1994) asked this question, what evolved was a
description of how the women coped with 'becoming a mother' in a hospital
setting. Lorencz (1991) interviewed in-patients with schizophrenia who were
expected to be discharged in the near future. The 'revolving door' patterns of
readmission were of concern, and she wanted to understand the hopes and
expectations of these patients and their perception of factors leading to
admission and readmission. What emerged was a powerful grounded theory
explaining the process of 'becoming ordinary'.
Styles of grounded theory As grounded theory has evolved as a research
approach, different interpretations have been given to the methods employed.
Even the originators of the method appear to have moved in different direc-
tions. Stem (1994) presents a useful explanation on the divergence of the
method from those originally proposed by Glaser and Strauss. Stem argues
that both Glaser and Strauss's studies produce sound work, but that the
researcher needs to be clear on what method is being used.
While the literature provides many excellent examples of grounded theory
research, one can also find obvious exploratory descriptive studies that deviate
from the basic tenets of grounded theory research. What these studies accom-
plish is a description of what is taking place in the social setting, but they lack
conceptualization of the underlying social process at an abstract level and do
not 'push' the results towards model development. While these studies are of
value, they must also be recognized as limited and not be considered grounded
theory.

Qualitative ethology
Ethology is a method of systematically observing, analysing, and describing
behaviours within the context in which they occur. Ethology was developed
and adapted from research on animal behaviour in an attempt to record
accurately, describe and derive explanations for the behaviour (Gould, 1982).
Ethology has been used in comparative psychology for the study of human
behaviour, particularly in the examination of infant behaviour (Blurton-
Jones, 1972) and in cross-cultural studies of facial expression (Ekman,
Sorenson and Friesen, 1968).
Ethology has been used in the study of human behaviour to identify
universal patterns of facial expression (Ekman, 1983) and the behaviour of
premature infants (Newman, 1981). Ethology may also be used to explore
behaviours in the cognitively impaired, the elderly, the newborn and psychiatric
patients (Morse and Bottorff, 1990). Where interviews are inappropriate, it is
24 I LI_________A_N_O_V_E_R_V_I_E_W_O_F__Q_U_A_L_IT_A_T_I_V_E_M_E_T_H_O_D_S________~
a useful technique for examining subconscious or transitory phenomena, for
example the pain responses of postoperative neonates (Cote, Morse and
James, 1991), the touching behaviours of nurses comforting postoperative
neonates (Solberg and Morse, 1991), and the nurse's use of touch with
oncology patients in pain (Bottorff and Morse, 1994).
In qualitative ethology the actions are recorded on videotape, and patterns
of behaviours, antecedents and consequences are subsequently identified.
Once the qualitative patterns have been identified, the behavioural scheme (the
ethogram) may be quantitatively confirmed by coding time segments and
using multivariate statistics such as factor analysis and lag sequential analysis.
In this way, complex behavioural patterns and clusters can be elicited from
this systematic observation.

Ethnoscience
Ethnoscience (ethnosemantics or ethnolinguistics) was developed in the late
1960s. It evolved as social scientists attempted to increase the rigour of
ethnography, which was purported to be 'soft', 'subjective', and 'non-
scientific'. Ethnoscience was viewed as a method of developing precise and
operationalized descriptions of cultural concepts. As the alternative names
ethnosemantics or ethnolinguistics suggest, ethnoscience is derived from lin-
guistics, and researchers employ the structural analysis of phonology and
grammar as a basis for data analysis. Basically, it is a method of discovering
'how people can see their world experience from the way they talk about it'
(Frake, 1962, p. 74). The goal of the researcher is to describe or comprehend
the abstract concept through this analysis, from the perspective of the infor-
mants. Thus, cultural systems are determined through the researcher's exam-
ination of phenomenological distinctions and those that are significant to the
participants themselves.
Levi-Strauss (1963) summarized the process of ethnoscience in the follow-
ingway:
The researcher shifts from the analysis of conscious linguistic behaviour
to the study of the conscious infrastructure. This process involves exam-
ining the relations between terms rather than examining the terms as
independent entities. Within the cultural system the purpose of the
ethnoscientist is to discover general laws, either by induction or logical
deduction.
Ethnoscience interviews will differ from ethnographic interviews or
questionnaires on two major dimensions. Firstly, both the questions and the
answers are 'discovered' or elicited from the participants (Spradley and
McCurdy, 1972). Secondly, the meaning of the data is significant from the
participant's perspective (that is, it requires emic rather than etic analysis).
With questionnaires, statistical analysis gives no interpretation to the meaning
I RESEARCH APPROACHES TO STUDYING EVERYDAY EXPERIENCES I I 25

of the data or to the organizing principles or relationships of the informant's

selection ofthe answer.
The linguistic analysis used in ethnoscience is focused on the signification,
or the attribution of a concept, and the way in which the attributes are ordered,
whereas other linguistics are primarily interested in connotation. As an expres-
sion also connotes other images or concepts, and these connotations may not
be a part of the attributes of the concept, information on the affective or
behavioural data may be limited (Goodenough, 1967). The contextual mater-
ial may, therefore, not be very rich or meaningful when ethnoscience is used
alone. In You Owe Yourself a Drunk, Spradley (1970) added the contextual
dimension by including descriptive letters from his main informant, Bill.
As Evaneshko and Kay (1982) noted, suitable ethnoscience questions are
those that answer the 'what' and ultimately, but less directly, the 'why' of
cultural behaviour. Ethnoscience questions are most appropriate when iden-
tifying the structure of a situation is the purpose of the research. For example
Morse (1991/92) was interested in the reciprocal nature of care in the patient-
nurse relationship, and explored this by examining the types and categories of
gifts that patients gave nurses, including retaliative acts given in response to
perceived poor care. Note that ethnoscience does not provide affective infor-
mation; that is, the method does not provide information about how patients
feel, only about the categories of gifts.

Ethnomethodology
The purpose of ethnomethodology is to increase the understanding of taken-
for-granted or implicit practices in a society. This mode of research had its
origins in the sociological research of Garfinkel (1967). Garfinkel's aim was
to develop a model of social order built through interpretative work based on
ordinary members of society. He believed individuals had the linguistic and
interactional competencies to describe the orderly features of everyday reality
(Holstein and Gubrium, 1994). The concern is to describe the methods by
which people make the social situations in which they are engaged meaningful
to themselves and others. In ethnomethodology, the intent is to find how
members of society use implicit societal rules to govern their own personal
practices, and how they give each other evidence of that social structure
(Bowers, 1992).
In an ethnomethodological study, documents and audiovisual material that
focus on everyday scenes oflife are often the major sources of data. Interviews
using stimulated recall are also used. Ethnomethodologists try to show how
individuals unknowingly make normative demands on others, implicitly as-
suming that certain competencies are possessed by others. The general level of
the research question is related to unidentified rules which govern conduct;
that is 'What taken-for-granted rules do individuals rely on and follow?' An
example might be, 'What are the rules which govern patient behaviour that
26 I LI_________A_N_O_V_E_R_V_I_E_W_O_F__Q_U_A_L_IT_A_T_I_VE__M_E_T_H_O_D_S________~
enable the nurse to decide that a patient's behaviour is deviant?' In this case,
studying the non-compliant individual may determine the rules which are
being broken.

Focus groups
Focus groups originated in business and were used to obtain a range of
opinions on products with the goal of enhancing marketing strategies
(Krueger, 1994). One premise related to the use of focus groups is that attitudes
and perceptions are not developed in isolation but through interaction with
other people. The data obtained in focus groups, while reflecting the views of
the individual members, is thus very different from participants' narratives
obtained through interviews for grounded theory.
In selecting participants for a focus group, the researcher selects a relatively
homogeneous group because the goal in using this technique is to encourage
individuals to share their ideas and perceptions. A focus group is typically
composed of7 to 10 participants who are selected because they are known to
be knowledgeable about the topic that is focal to the research. Because the
purpose in using a focus group is to produce self-disclosure, homogeneity is
seen as reducing perceived risk to the informants. For this reason, several focus
groups are generally used within a research project to increase the range of
beliefs and values that will be represented in the population under study, with
the aim to have heterogeneity between the groups.
A global quest.ion is used to stimulate discussion. While the researcher may
act as facilitator to keep the discussion on topic, it is critical to avoid asking
leading questions and taking control of the group interaction. Focus groups
allow the researcher to access the attitudes and values of informants while
observing the interaction of the participants. The approach is not a substitute
for observation in the naturalistic setting since it does not allow for consider-
ation of the context within which the individual's attitudes and values have
developed.
Another question that arises is how frequently should the researcher meet
with a focus group in order to ensure that all aspects ofthe phenomenon have
been studied? The issue of data saturation within and between groups must
also be considcred. The advantage of a focus group is that it has been shown
to produce believable results at a reasonable price (Krueger, 1994) and it is
possible to include a larger number of informants in a study than when
one-to-one interviews are used alone. It must be remembered, however, that
the purpose of focus groups is to obtain members' opinions about the phe-
nomena ofinterest.lt is not a technique developed to understand the group's
culture.
Lankshear (1993) explored the attitudes of teachers to the assessment of
student progress. She noted the advantage of talking to a larger group and
that members of the group provided support for one another, which she
I RESEARCH APPROACHES TO STUDYING EVERYDAY EXPERIENCES I I 27

believed led to a broad expression of feelings and ideas. One problem was that
individuals did not always arrive to participate in a scheduled group session,
and this resulted in a group of less than optimal size. Transcription was also
difficult at times when members interrupted each another or more than one
person spoke at the same time. A risk not cited by Lankshear is that one
member of a group will often dominate and coerce others into subscribing to
a dominant view. This would require intervention by the researcher which
could lead to a change of role from facilitator to controller ofthe discussion.
As with any other method, leadership of a focus group is a skill that must
be acquired prior to use in a research study. The technique has promise, but
the purpose must be understood and evaluation carried out as it is used in
nursing research.

Historical research
The focus of historical research is the interpretation and narration of past
events. Most qualitative studies focus on current or ongoing events, so this
constitutes the first major difference between qualitative and historical events.
In historical research, sources of data are similar to those used in some
qualitative work and include documents, records, eyewitness accounts and
oral histories. History connects a profession with its heritage and provides a
sense of identity, both personally and professionally (Fitzpatrick, 1993), but
does not generally focus on the identification of social values. While history
describes nursing's relationship to the world, it does so in a general sense rather
than establishing the meaning of the world for the individual.
In the positivistic or neo-positivistic school of historical research, an attempt
is made to reduce history to universal laws. Discovery, verification, and
categorization of data are used to analyse data, and there is an effort to show
cause-effect relationships. Researchers belonging to this school of historical
research, while using similar forms of data analysis to qualitative researchers,
have very different outcomes in mind. Some survey methods and statistical
analyses may also be used to enhance presentation of objective evidence
(Fitzpatrick, 1993), and in this respect, too, historical work diverges from pure
qualitative methods.
In the idealist school, intuition and experience are ingredients for inter-
pretation. From this perspective, historians believe that it is necessary to get
inside the event and rethink the thought of the originator in relation to the
content of his or her time, place and situation, in order to make adequate
historical interpretations (Fitzpatrick, 1993). In comparing this with qualita-
tive research, one must remember that the historian is interpreting past events
while the qualitative researcher examines events in the here and now, remem-
bering the effect of history on the context. It is the participants' interpretations
of history and its effects, however, that are central to the analysis, rather than
the researcher's inference of the effects of earlier events.
28 II
L _____ A_N_O_V_E_R_V_IE_W_O_F_Q_V_A_L_IT_A_T_I_V_E_M_E_T_H_O_D_S_ _ _ _----.I

Historians use frameworks for analysis in the broad sense. They may
examine a Great Person or use a deterministic, sociological, political/economic
or psychological framework. In this respect, qualitative researchers will also
approach their research with a particular focus. In examining career patterns
of nurse-teachers, it is possible that a qualitative researcher will use a socio-
logical framework to support the emerging findings. However, the framework
will not be determined prior to the analysis.
Finally, one can argue that all historical research is chronological and
presents events over a specified period of time; it is the interpretation of the
data within context that makes it unique. Thus, while qualitative research and
historical research have some common areas of data sources and analysis, their
goals and purposes differ, and they are two distinct traditions which require
different training and men to ring.

SELECTING A METHOD

Given, then, that the problem is best studied by using a qualitative approach,
how does a researcher select the 'best' or the most appropriate method? Again,
it depends upon what one wishes to know, what the expected outcomes of the
research will be, the constraints of the setting, the subjects and, to a lesser
extent, on the resources available to the researcher.
The difference between the major qualitative methods, the different kinds
of questions that they answer, the different methodological requirements and
the different types of results are shown in Table 2.2. This table was constructed
for a hypothetical project called, 'Arrivals and departures: patterns of human
attachment', in which students are asked to image how a research study would
be conducted at an international airport (Morse, 1994).
If the purpose of the research is to describe a setting or a community, then
ethnography (that is interviews combined with participant observation) would
be appropriate. But if the purpose is to describe the types of health care
professionals in the community, then the question becomes more suited to an
ethnoscience approach. Phenomenology would answer experiential questions
such as 'What does it feel like to be a patient?' Finally, participant observation
alone may be used to examine the behaviours of the people in the community
as they 'become patients' in the waiting room of the hospital. For each
question, there is a best or most appropriate method, and selecting the method
is the most important decision in the research process.

PRINCIPLES

• The primary purpose of qualitative research is to develop rich descriptions

and valid theory.
Table 2.2 A comparison of strategies in the conduct of a hypothetical project, 'Arrivals and departures: patterns of human attachment'

Research Participantsl Data collection

Strategy questionlfocus informants· Samplesiz/ methods Type of results

Phenomenology What is the meaning Travellers arriving Approx.six In-depth In-depth reflective description
of arriving home? home participants conversations of the experience, 'What does
Phenomenological it feel like to come home?'
literature
Art, poetry and
other descriptions
Ethnopaphy What is the arrival Travellers, families; Approx. 30-50 Interviews Description oftheuay-to-day
gate like when an others who interviews Participant events at the arrival gate of
international plane observe the setting, observation the airport
arrives? such as porters, Other records,
rental car personnel, such as airport
cleaning staff, statistics
security guards
and so forth
Grounded theory Corning home: Travellers, family' Approx. 30-50 In-depth Description of the social
Reuniting the members interviews psychological process in the
family Observations experience of returning home
Ethnoscience What are types of Those who observe Approx. 30-50 Interviews to elicit Taxonomy and description of
travellers the setting daily - similarities and types and characteristics of
porters, rental car differences of travellers
personnel, cleaning travellers
staff, security guards Card sorts
and so forth
Qualitative Ethology What are the greeting Travellers and their Units - numbers Photography Description of the patterns of
behaviours of families of greetings - Video greeting behaviours
travellers and 100-200 Coded
their families?
(Source: Morse, J.M., (1994) Designing funded qualitative research, in Handbook of Qualitative Research, (eds N.K. Denzin and Y.S. Lincoln), Sage, Thousand
Oaks, CA, p. 255. Reprinted with permission of the publisher.)
* Examples only
t Number depends on saturation
30 I LI_____A_N_O_V_E_R_V_I_E_W_O_F_Q_U_A_L_IT_A_T_IV_E_M_E_T_H_O_D_S_ _ _ _---'
• Major methods include phenomenology, grounded theory, ethnography,
qualitative ethology, ethnoscience and focus groups.
• Each of the qualitative methods answers different questions; the methods
are distinct and the results provide a different perspective of the phenomenon.

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32 II
L ______ A_N_O_V_E_R_V_IE_W_O_F_Q_U_A_L_IT_A_T_I_V_E_M_E_T_H_O_D_S_ _ _ _-----"

Heritage, J. (1984) Garfinkel and Ethnomethodology, Polity Press, Cambridge.

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 F_U_R_T_H_E_R_R_E_A_D_I_N_G________________
L -________________ ~I I 33

Scherer, K.R. and Ekman, P. (1982) Handbook of Methods in Nonverbal Behavior

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FURTHER READING

Aessler, D.C. and Tomlinson, P.S. (1988) Nursing research and the discipline of
ethological science. Western Journal of Nursing Research, 10, 743-56.
Allen, M. and Jensen, L. (1990) Hermeneutical inquiry: meaning and scope. Western
Journal of Nursing Research, 12,241-53.
Becker, P.H. (1993) Common pitfalls in published grounded theory research. Qualita-
tive Health Research, 3, 254-60.
Cressler, D.L. and Tomlinson, P.S. (1988) Nursing research and the discipline of
ethological science. Western Journal of Nursing Research, 10(6),743-56.
Davis, AJ. (1978) The phenomenological approach in nursing research, in The Nursing
Profession: Views Through the Mist, (ed. N.L. Chaska), McGraw-Hill, New York,
pp. 186-96.
Gilgun, J.F., Daly, K. and Handel, G. (eds) (1992) Qualitative Methods in Family
Research, Sage, Newbury Park, CA.
Goodwin, L.D. and Goodwin, W.L. (1984) Qualitative vs. quantitative research or
qualitative and quantitative research. Nursing Research, 33, 378-80.
Other documents randomly have
different content
712, die Bearbeitung. ͵ Prem ῥ- / Ra / A Fa Ar 7 £ Ῥ ͵ A vn fm At ix
“2 air vn El I Fu ξ er Ar Beh
 a en a ee nn ande ale a nn χὰ x ἣ a" he u a ERTTE" ὁ δ οἱ
es 5. ΕῚ f 241 δέ 8. Waffentausch und Versöhnung Σ᾽ und 7. 173
fürsten haben den Achilleus um Hilfe gebeten, und der hat sie
abgeschlagen, aber den Patroklos geschickt. So unmittelbar, wie es
hiernach scheinen könnte, ist das nicht hintereinander geschehen ');
aber es wäre pedantisch, von Thetis zu verlangen, sie hätte sagen
sollen: „Das schlug er zwar ab, aber am andern Tage, als Hektor bis
an die Schiffe kam, schickte er aus eigenem Antriebe den Patroklos.“
Wichtig ist nur, daß auf das 1 Bezug genommen wird, denn so
geschieht es auch im 7, Die Patroklie hat nichts davon gewußt; der
Dichter des Σ᾽ hat wieder eine widersprechende (: Stelle, Π 72,
bestehen lassen. Allerdings merkt man auch diesen Widerspruch
erst, wenn man tiefer nachdenkt. Von dem 7 gehören die ersten 38
Verse noch ganz zum 2; Thetis bringt ihrem Sohne die Waffen. Dann
folgt die Aussöhnung, die ganz als Vorbereitung auf die Achilleis
gedichtet ist, aber nicht zu ihr gehört, sondern Stil und Art des
Dichters von 2 in allem zeigt. Abhängig ist er auch hier von einem
Vorbilde, es ist nur ein anderes, nämlich /. Dies Gedicht setzt er
nicht nur inhaltlich voraus und entlehnt ihm viele Verse, sondern er
hat auch den eignen Stil an ihm gebildet. Am deutlichsten ist das in
der ersten Rede Agamemnons, die an der Parabel von der Ate
weiterdichtet, welche dort in der Phoinixrede steht und ebenso wie
dort eine Parallele aus einer anderen Sage breit ausspinnt. So macht
es ein Nachahmer, aber ein talentvoller, der weiß, was er will. Er hat
auch die Ethopöie am / gelernt, die er freilich auch in seinen
Thetisszenen bewährt. Wie vortrefflich kommt neben dem Hochsinn
auch der Eigensinn des Achilleus heraus (sehr viel mehr nach / als
nach ΠῚ oder X). Noch feiner ist Agamemnon charakterisiert, wenig
schmeichel- _ haft; da ist der Anschluß an # unverkennbar. Es ist
ihm äußerst peinlich, daß er sich entschuldigen muß. Daher das
lange Proömium seiner ersten Rede mit der Bitte, ihn nicht zu
unterbrechen?) (er fürchtet Murren), den langen Abschweifungen ἢ
Aischylos scheint es in seiner Achilleis so geordnet zu haben; der
dramatische Dichter konnte kaum anders verfahren. 2) V. 77 fehlte
mit Recht bei Zenodot; es ist kaum begreiflich, daß die beiden
andern ihn ertragen konnten. 78 ἑσταότος μὲν καλὸν ἀκουέμεν
bedeutet natürlich „man soll dem zuhören, der das Wort hat“. Die
Versammlung sitzt; der Redner steht. Natürlich ist auch 76 mit
Zenodot zu lesen rozoı δ᾽ ἀνιστάμενος μετέφη κρείων ᾽Αγαμέμνων,
 174 Die Ilias und Homer. und am Ende der sehr kurzen
Erklärung, Genugtuung leisten zu wollen. Nachher tut er in Wahrheit
ganz, was Odysseus geraten hat, aber er will den Herrscher
markieren und gibt scheinbar dem Odysseus einen Befehl. Dieser ist
es, der durchsetzt, daß die Soldaten frühstücken dürfen. Gegen
Agamemnon würde Achilleus den unverständigen Einfall
durchgesetzt haben, das Heer mit nüchternem Magen ausrücken zu
lassen. Es ist richtig, von dieser Frage wird sehr viel mehr geredet
als von Briseis, und Kritiker, die so etwas für unter der epischen
Würde halten, haben darüber gescholten. Den Griechen war Homer
der Lehrmeister für alle Lebenslagen, ihnen war es nicht anstößig.
Die heroische Erzählung steigt hier allerdings zu einer gewissen
Didaktik herab, wenn es ein Herabsteigen ist, das Leben, wie es ist,
in die Dichtung hereinzuziehen. So haben wir es im X gefunden; im
N wird sich Ähnliches zeigen. Kein Wunder, daß wir hier minder
Heroen antreffen als Menschen _ aus der ionischen Umgebung des
Dichters. Es ist immer noch der Kriegerstand, für den er dichtet. Sie
freuen sich an dem immer praktischen Odysseus und auch an dem
Dichter, der uns zeigt, wie sehr Odysseus recht hatte. Denn Athena
muß dem eigensinnigen Achilleus himmlische Speise einflößen, sonst
wäre der selber schlapp geworden. Genau dieselbe „unhomerische*
Weise zeigt im Σ die Debatte zwischen Polydamas und Hektor. Der
Draufgänger will, vom Erfolge berauscht, auf offenem Felde
biwakieren. Der vorsichtige Feldherr sucht den Schutz der Mauern
auf. Wie oft werden die ionischen Feldherren gegenüber Mysern und
Lydern über dieselbe Frage gestritten haben. Aber auch Hektor
schlägt Töne an, die den loniern vertraut waren und vertraut
blieben. Der Krieg wird allzu kostspielig, weil man die Söldner
bezahlen muß. Daher drängt er auf freiwillige Beiträge der reichen
Bürger, ἐπιδόσεις, wie sie später sagten, und vor allem drängt er auf
rasche Entscheidung. Ist es nicht klar, daß Σ und 7 demselben
Dichter gehören? So liest man die Szene der Aussöhnung leicht und
mit Behagen, liest aber auch leicht über die beträchtlichen Anstöße
hinweg, die sich unter der gefälligen Form verbergen. Achilleus hat
erklärt, seinen Groll aufzugeben, und gefordert, die Troer sofort
anzugreifen. Was Agamemnon darauf zur Sache spricht,
 7 j I j ᾿ 8. Waffentausch und Versöhnung Σ und 7. 175 3
sind nur folgende Verse, von denen die beiden ersten aus / 119, 20
genommen sind'): ἀλλ᾽ ἐπεὶ ἀασάμην καὶ μου φρένας ἐξέλετο Ζεύς,
ἂψ ἐθέλω ἀρέσαι δόμεναί τ᾽ ἀπερείσι᾽ ἄποινα, ἀλλ᾽ ὄρσευ πόλεμόνδε
καὶ ἄλλους ὄρνυϑε λαούς, 140 δῶρα δ᾽ ἐγὼν ὅδε πάντα
πταρασχέμεν ὅσσα τοι ἐλϑών χϑιζὸς ἐνὶ χκλισίηισιν ὑπέσχετο δῖος
Ὀδυσσεύς. εἰ δ᾽ ἐϑέλεις, ἐπίμεινον ἐπειγόμενός περ ᾽ἄρηος, δῶρα δέ
τοι ϑεράποντες ἐμῆς παρὰ νηὸς ἑλόντες « οἴσουσ᾽, ὄφρα ἴδηαι ὅ τοι
μενοεικέα δώσω. „Ich will dir Buße zahlen. Zieh nur in den Kampf;
ich stehe dafür ein, dir alles zu leisten, was dir Odysseus gestern?)
angeboten hat. Aber wenn du willst, so warte; ich lasse die
Geschenke holen, und du kannst sie dir gleich jetzt ansehen.“
Achilleus hat indessen jetzt (was sehr hübsch erfunden ist) alle Lust
an den Geschenken verloren, die er früher so lebhaft geäußert hat,
Π 84; Athena hatte sie ihm in Aussicht gestellt, 4 213, Thetis selbst
vor Zeus davon geredet, 4510. Er will nichts als Rache an den
Troern®). Also würde der Kampf begonnen haben, wenn nicht
Odysseus zwischengetreten wäre. Er spricht für die zweite
Alternative und fügt die Forderung hinzu, Agamemnon sollte ἢ Da
vor den Versen 136—40 in der jungen, aber wertvollen Genfer
Handschrift je ein Obelos steht, hat Aristarch hier irgendeine
Athetese vorgenommen. Aber richtig können die Zeichen nicht
stehen, und so ist zurzeit nichts damit anzufangen. Mißverstanden
sind die Verse vielfach; daher gebe ich die Paraphrase. ®) Daß es
die Nacht von vorgestern zu gestern nach der Rechnung unserer
Ilias war, ist keine Schwierigkeit. Jeder verständige Dichter würde so
reden. 8) 148—53 ist die anerkannte Schwierigkeit leicht zu lösen.
Da steht eine Dublette: auf νῦν δὲ μνησώμεϑα χάρμης 148 folgt
entweder αἶψα μάλ' οὐ γὰρ χρὴ κλοτοπευέμεν ἐνθάδ᾽ ἐόντας ; οὐδὲ
διατρίβειν. Erı γὰρ μέγα ἔργον ἄρεκτον. oder ὥς κε τις αὖτ᾽ ᾿Αχιλῆα
μετὰ πρώτοισι ἴδηται ἔγχεϊ χαλκείωε Τρώων ὁλέκοντα φάλαγγας ὡς
δέ τις ὑμείων μεμνημένος ἀνδρὶ μαχέσϑω. Im letzten Verse ist ὡς δέ
besser als die bevorzugte Lesart ὧδε, weil es deutlicher macht, daß
die Achäer sich an Achilleus ein Beispiel nehmen sollen. Daß das an
sich nicht ansprechend ist und gegenüber 149, 50 weichen muß,
wird einleuchten.
 176 Die Dias und Homer. den Eid leisten, „ihr Bette nicht
berührt zu haben“, und dann ein feierliches Versöhnungsmahl
halten. Eine höfliche, aber im Grunde scharfe Mahnung an
Agamemnon macht den Schluß). Agamemnon stimmt zu; „er wolle
das gern beschwören, und es werde auch kein Meineid sein“.
Zugleich schickt er nach den Geschenken und dem Opfertier. Es ist
sehr begreiflich, daß die Aufforderung zu dem Eide Anstoß erregt
hat. Es ist ja gar nicht gesagt, auf wen sich 176 τῆς in dem aus [275
entlehnten Verse bezieht, μήποτε τῆς εὐνῆς ἐπιβήμεναι. Aber die
Gewalttat, den Eid hier und in den ersten Worten Agamemnons zu
streichen, ist undurchführbar, da dann niemand versteht, zu
welchem Eide Talthybios einen Eber holen sol. Es könnte zwar ein
Opfer die Versöhnung besiegeln, die ἄτη mit dem geschlachteten
Opfertier in das Meer versenken; aber das geschieht ja nicht,
sondern Agamemnon leistet den angekündigten Reinigungseid. Also
müssen wir es hinnehmen, daß der Dichter bei der Benutzung seiner
Vorlage so nachlässig gewesen ist, wie er 2317 die ἀνδροφόνοι
χεῖρες achtlos aus dem 7° übernommen hat. Nun wird weiter über
die Notwendigkeit debattiert, daß das Heer erst frühstückt. Die
Geschenke werden herbeigeschafft, (meist sind Verse aus I
wiederholt) und dabei endlich 246 Briseis genannt. Agamemnon
leistet den Eid. Achilleus spricht abschließend als auch seine Ansicht
aus, daß Zeus den Agamemnon verführt hat, um vielen Achäern den
Tod zu bringen, und gibt nun selbst den Befehl zu frühstücken. Er
hat die Versammlung berufen; ihm steht es zu, sie zu schließen. 1)
182. Er schärft ihm ein: Du wirst hinfort auch einem andern
gegenüber gerechter sein. οὐ μὲν γάρ τε νεμεσσητὸν βασιλῆα ἄνδρ᾽
ἀπαρέσσασϑαι, ὅτε τις πρότερον χαλεπήνηε. Das kann heißen: „Es
ist auch keine Schande für einen König, sich mit einem Manne zu
vertragen, wenn er selbst mit dem Streit angefangen hat,“ oder: „Es
ist keine Schande, sich mit einem Manne gleichen Ranges zu
vertragen,“ wo Agamemnons Stand vorausgesetzt wird. Die Stellung
der Worte im Verse kann ebensogut Subjekt und Objekt
unterscheiden wie den Begriff $aoJLeös hervorheben. Die
Grammatik also entscheidet nicht. Aber ein Grieche der alten Zeit
konnte nicht schwanken. Weder bedeutete ἀνήρ den Mann im
soldatischen Sinne als den Gemeinen, noch entspricht das der
Stellung des Achilleus, der eine Volksversammlung selbst berufen
kann. Auch wird man diesen Ehrenkodex damals nur auf die
„Satisfaktionsfähigen“ beschränkt haben. = I a
 8. Waffentausch und Versöhnung 2 und 7. 177 Ist es nicht
seltsam, daß Briseis, das Hauptobjekt des Streites, überhaupt in der
ganzen Debatte nicht genannt wird? Ihre Rückgabe ist dem Dichter
so selbstverständlich gewesen, daß er sie nicht der Rede wert
gehalten hat. Man kann gar nicht anders als anerkennen, daß er an
dem Handel selbst geringes Interesse nahm und seine Vorlage
flüchtig wiedergab; die eigne Erfindung, die Debatte über das
Frühstück, lag ihm mehr am Herzen. Dachte er etwa, der Hörer
kennt das ja alles aus dem I? So kann es nicht sein. Der Hörer darf
vielmehr an das / gar nicht denken, sonst kommt er auf sehr
peinliche Fragen. Dort hat ja Agamemnon sehr viel wertvollere Dinge
angeboten. Er hat dem Achilleus eine seiner Töchter versprochen
und zur Mitgift eine Anzahl Städte seines Gebietes. Wer dies fortläßt,
kann. das 1 als einen Teil seines Epos unmöglich mitgerechnet
haben. Er benutzt es ausgiebig; aber warum soll er das nicht tun,
auch wenn sein Epos nur vom Schiffsbrande bis zum Tode des
Achilleus reicht? Die Geschichte von dem Streite der Fürsten, der
Fortführung der Briseis, dem Grolle des Achilleus setzt er voraus;
Achilleus hatte im ΠῚ davon das Nötige gesagt. Er hat auch selbst
das 4 gekannt und benutzt‘); aber das beweist nicht im geringsten,
daß das 4 mit zu seinem Epos gehörte. Wir lesen jetzt 1 und 7 in der
Ilias und müssen in ihr ertragen, daß IT mit 1 unvereinbar ist, 27 die
Gesandtschaft kennen, aber T so, daß ganz wesentliche Dinge aus /
unberücksichtigt bleiben. Wir schließen daraus, daß die Ilias einmal
aus unabhängigen Gedichten zusammengefügt ist. Wir sehen auch,
daß & das 7 überarbeitet hat, indem es den Waffentausch einführte,
und doch einen Vers stehen ließ, der die Gesandtschaft an Achilleus
ausschließt. Aber von einem solchen Versehen bis zu der bewußten
Ausscheidung der wichtigsten Angebote Agamemnons ist ein weiter
Schritt. 7 ist hinter ΠΡ ganz gut verständlich; man erfährt von der
Geschichte, die im / steht, so viel wie der Dichter geben will: das
sind dann eben seine Voraussetzungen und weiter ἢ. T 155 offenbar
nach A 129. Anderes halte ich nicht für beweiskräftig. Daß 7 wie Σ᾿
sehr starke Anleihen auch an anderen Büchern der Ilias (74 EA)
macht, ist Tatsache und entspricht seiner Jugend. Der Dichter
kannte genug andere troische Gedichte; sie mochten selbst zum
Repertoir seiner Vorträge gehören. Aber sie waren für ihn ebenso
selbständig wie das 1, Wilamowitz-Moellendorff, Die Ilias und Homer.
Be 3.
 178 Die Ilias und Homer. nichts. Unser genaueres Wissen
dürfen wir nicht hineintragen. Es ist richtig, daß der Dichter des 7,
verführt durch seine Vorlage, seine Personen so reden läßt, wie sie
eigentlich nicht konnten; aber das wird seine Hörer nicht beirren.
Denen kann er zutrauen, daß sie 60 die Briseis erkennen, wenn
Achilleus sie „das Mädchen“ nennt, „das ich in Lyrnessos erbeutet
habe“. Das steht weder in 4 noch in /, sondern nur im Katalog 690,
und den wird keiner als Vorlage annehmen. Er rechnet hier also mit
einer genaueren Kenntnis, als die Ilias gibt, und wir werden doch
nicht auch noch die Kyprien zu seinem Epos rechnen‘). Folgen wir
also ruhig und setzen wir voraus, was er uns gibt, und nicht mehr. Es
ist von der höchsten Bedeutung, daß der Dichter von 7, das ist eben
der Epiker, der II— 7 (oder besser bis zum Tode des Achilleus)
zusammengefaßt hat, das 1 so wenig wie das 4, obgleich er beide
kennt und das 1 ausgiebig benutzt, in seinem Epos hatte. Also ist er
zwar nicht selbst der Dichter unserer Ilias, aber er hat ein Drittel der
Dias in den Zustand gebracht, in dem wir es lesen. Deshalb seien die
Folgerungen gezogen, die sich aufdrängen, wenn man anders urteilt
und / in dieses selbe Epos zieht. Im zweiten Kapitel ist bewiesen,
daß das © verfertigt ist, um 1 und Kin die Ilias aufnehmen zu
können. Es müßte also 8 von demselben Verfasser sein wie 7 und
wie 2, deren Zusammengehörigkeit eben herausgekommen ist. Aber
der Verfasser von © ist ein Stümper, und zu den Gedichten, welche
er ἢ In den Kyprien, wie sie Proklos gibt, stimmt alles zum Katalog;
aber wir wissen nicht, ob nicht der Katalog der Kyprien zugrunde lag.
Mehr Detail geben die Scholien zu 4 365. Da Briseis eigentlich aus
Bresa auf Lesbos stammte, muß sie zunächst bei der Eroberung
dieser Insel erbeutet sein, von der in und außer der Ilias mancherlei
erwähnt wird. Lyrnessos ist ein Ort, von dem nicht einmal der
Skepsier eine Spur auffinden konnte. Daß in dem fruchtbaren Kilikien
der Name wiederkehrte, wird man dem Kallisthenes (Strabon 667,
wohl aus dem Skepsier) nicht glauben dürfen. Von Pedasos glaubte
dieser die Stätte zu kennen und zu wissen, was der Identifikation
nicht günstig ist, daß sie früher Mo»vnvia geheißen hätte, Schol. Z
35; dabei erzählt er eine Novelle (Tarpeiamotiv) mit einem offenbar
jungen Spruche in Trimetern. Die Heldin heißt Πεισιδίκη (äolisch für
ΖΤεισιδίκη); sie samt der Novelle wird aber von dem sonst
unbekannten Epos Δέσβου κτίσις (Parthenios 21) nach Methymna he
Ὁ Movnvi« klingt an Mövns von Pedasos an.
 geplündert hat, gehört auch 7’). Dem die Thetisszenen des
2, die Briseisklagen des 7 zuzutrauen, heißt dem Stile und der Kunst
für die Analyse jeden Wert absprechen. Rosen und Papierblumen
wachsen nicht am selben Stamme. So bliebe nur der Ausweg, sich
eine andere Ilias zu konstruieren, in der / und 7—7 sich vertrugen,
das heißt, vertragen würden sie sich immer nur so schlecht, wie in
unserer Ilias. Diese ganz willkürliche Hypothese würde also nur die
Unbequemlichkeit beseitigen, die © bereitet. Aber wozu hätte sich
dann © die Mühe gegeben, 1 neu einzuordnen? Nach der formellen
Aussöhnung findet der Dichter Gelegenheit, in der weichen,
menschlichen Weise, die ihm am besten liegt, die Briseis an der
Bahre des Patroklos, umgeben von den gefangenen Frauen, klagen
zu lassen, den Achilleus unter den Achäerfürsten, die ihm ähnlich
akkompagnieren. Es ist sehr hübsch, wie er, der jetzt jede Speise
verweigert, an die fürsorgliche Tätigkeit für seinen Tisch erinnert, die
früher dem Patroklos zufiel. Zeus schickt Athena, ihn zu stärken, und
nun wappnet er sich unter den andern (ἐν μέσοισι T 364). Denn der
Dichter stellt es so dar, daß das Heer schon versammelt vor den
Schiffen steht, aus denen die Rüstungen vorgeholt werden. Er denkt
wohl an eine Expedition seiner Zeit, bei der die Mannschaften in den
Schiffen übernachten. 42 hat er erzählt, diesmal wären auch die
Steuerleute und Proviantmeister zur Versammlung gekommen, die
sonst ve@v ἐν ἀγῶνι blieben. Das ergibt ebenso das Bild einer
Flotte, die gelandet ist, aber sich keineswegs auf die Dauer
eingerichtet hat, wie es durch Errichtung von Blockhäusern und eine
an die weit aufs Land gezogenen Schiffe angelehnte Befestigung
sonst als geschehen gedacht wird. Die Götterspeise wirkt auf
Achilleus; seine Zähne knirschen, seine Augen funkeln, Wut flammt
in seiner Seele. Dann wird im einzelnen geschildert, wie er die
göttlichen Waffen anlegt, und den Schluß bildet die Rede des
göttlichen Rosses, die ihm den Tod ankündigt. Ich habe hier ein
pater peccavi zu sagen. Ich habe die letzte Szene für einen Zusatz
gehalten (Herm. XXXV 561). Mich ver8. Waffentausch und
Versöhnung 2 und 7. 179 1) Durchschlagend ist die Anrede an die
Rosse, 7399. 400, Θ 184. 85, T 818 --- Θ 516, 12:
 180 Die Ilias und Homer. führte die Athetese Aristarchs von
365—69, der ich zwar nicht folgte, aber doch entnahm, daß
κορύσσατο 364 von der ausführlichen Schilderung der Rüstung nicht
getrennt werden dürfte, und die Stimmung des Achilleus schien mir
der rechte Schluß des Ganzen. Aber der Dichter konnte die Wirkung
der Götterspeise nicht erst hinter der ausführlichen Rüstungsszene
bringen, wo die Unterhaltung mit dem Rosse ganz andere Stimmung
zeigt. Dieser innerliche Gegensatz hat mich wohl zuerst an der
Prophezeiung des Rosses anstoßen lassen, wie es auch andern
gegangen ist. Aber das ist kein Grund zur Athetese, ich habe sie
daher aus anderen Schwierigkeiten abgeleitet. Es ist auch richtig,
daß Achilleus in seinem Zelte sein muß, wenn er den Speer aus dem
Schranke holt (oder wie man die σῦρινξ 387 übersetzen will), was
mit seiner Rüstung ἐν μέσοισι, 364, streitet. Aber daraus war nur zu
entnehmen, daß der Dichter sich um die Genauigkeit nicht kümmert,
wie denn ganz unklar bleibt, wo die Fürsten essen. Ich hatte
versäumt, die Weise des Dichters im ganzen zu beobachten. Er läßt
auch 2 315 alle Achäer um Patroklos klagen, was an der Stelle paßt,
aber 355 sind es die Myrmidonen, und da passen nur diese. Wir
haben ja auch gesehen, wie er bei der Benutzung des 1 über Dinge,
die an sich wesentlich sind, wie die Rückgabe der Briseis,
hinweggleitet, um bei dem zu verweilen, was ihm am Herzen liegt.
Er war es, der die neuen Waffen eingeführt hatte, um für die
Schildbeschreibung Raum zu schaffen. Da kam ihm zu, den Achilleus
in dem neuen Glanze vorzuführen, was er sehr schön durch die drei
Vergleichungen tut (ferner Feuerschein 375, Stern 381, Sonne 398).
Unlösbar ist damit die Szene mit den Rossen verbunden. Nun haben
wir gesehen, daß die Szene des ?, in der die Rosse um Patroklos
weinen, demselben Dichter gehört. Da werden wir nicht mehr
anstoßen, wenn er den Zug wiederholt, daß das Roß den Kopf senkt,
so daß die Mähne bis auf den Boden herabfällt, auch wenn der
Lenker dazu die Zügel schlaffer halten muß, als dem Momente der
Ausfahrt entspricht. Die Mahnung an den baldigen Tod kontrastiert
mit der wilden Kampfstimmung. Da wirkt eben die Haltung des
Achilleus ein, die dieser in der Achilleis überall zeigt, und zu ihr leitet
die Schlußszene des 7 hinüber. Dort ist Achilleus gerade im
Vorgefühle des nahen Todes der unerbittliche Vertilger der Feinde.
Ist es nicht auch hier deutlich, daß das Epos bis zu seinem Tode
 nl > ν΄ Kine ao. καν αν ὐπὸ ΣΎ Σ τ a u 0 8. Waffentausch
und Versöhnung 2 und 7. 181 reichte? Die Rosse werden freilich nur
bei der Schleifung Hektors in Aktion treten; denn der ποδώκης
bedient sich des Wagens nicht so wie Patroklos, der ἱππεύς. Da wirkt
also die Patroklie nach, aus der ja auch die Namen der Rosse
stammen. Ist es nicht deutlich, daß der Dichter des ZT Patroklie und
Achilleis verarbeitet oder, wenn etwa ein Früherer schon diese
Vereinigung vorgenommen hatte, alles stärker oder schwächer
überarbeitet? Wir haben die Analyse von 77—2 vollendet. Nach
Ablösung der An- und Eindichtungen ist ein Epos herausgekommen,
das durch die Einführung des Waffentausches zwei Einzelgedichte,
die Schildbeschreibung und die Patroklie, mit der Achilleis verbunden
hat, die selbst schon so umfangreich war, daß sie als Epos
bezeichnet werden muß. Sie war schon kein primäres Gedicht mehr,
denn es schimmern ältere Bearbeitungen desselben Stoffes durch,
aber ein Gedicht aus einem Gusse war sie doch. Das gilt nicht mehr
für das Werk des Dichters von FT, der ja andere Gedichte in weiter
Ausdehnung aufnimmt; die Patroklie fand er selbst schon erweitert
vor, vielleicht gar schon mit der Achilleis verbunden. Er gehört also
an das Ende der Zeit, welche schöpferisch an der Ilias gearbeitet
hat. So ist er denn auch von den meisten Gedichten abhängig, die
jetzt vor dem IZ in der Ilias stehen, woraus natürlich noch nicht
folgt, daß sie auch schon alle zu einem Ganzen verarbeitet waren.
Daß / selbständig war, @ noch nicht bestand, ließ sich zeigen. Das
Ende der ursprünglichen Patroklie haben wir gefunden. Aber von der
Achilleis ließ sich nicht mehr feststellen, als was schon X gezeigt
hatte: sie reichte mindestens bis zu der Polydamasszene zurück. Da
muß sie auch eine Aussöhnungsszene enthalten haben. Aber von der
ist keine Spur; der Dichter des 7 hat sich hier an eine andere
Vorlage, das 1, gehalten.
 9. Die Verwundung der drei Achäerhelden 4‘. In dem Buche
4 sind zwei Stücke vereinigt, die gar nichts miteinander zu tun
haben, also gesondert behandelt werden müssen. Das erste habe ich
in meiner Skizze der griechischen Literaturgeschichte als ein
Prachtstück künstlerisch geschlossener Komposition bezeichnet. Es
ist mir lieb, das durch die Interpretation zu bekräftigen; wenn das
Gedicht in sich zusammenhält, brauchen die Hypothesen nicht
widerlegt zu werden, die seine Zertrümmerung zur Voraussetzung
haben. Allerdings sind hier ebenso wie in der Patroklie kleine Zusätze
mehrfach abzustoßen; sie erklären sich durch das hohe Alter und die
Beliebtheit des Gedichtes. Der Morgen bricht an. Zeus sendet die
Eris, die wir hier mit Bellona übersetzen können; sie hält ein
πολέμοιο τέρας in den Händen, ein nicht genauer vorstellbares Ding,
das Kampfzauber ausübt‘), wie ein Phobos oder eine Gorgo auf
Schild oder Panzer, nur nicht den Kampfesmut lähmend, sondern
anfeuernd. Im !) Ebenso halten 271 die Eileithyien die ὠδῖνες, die sie
als ein βέλος ὀξύ auf die kreißenden Frauen schießen. EZ 592 hält
Enyo κυδοιμὸν ἀναιδέα δηιότητος, während Ares eine Lanze
schwingt. Auch da ist das ein Attribut ihres Wesens, ein Symbol ihrer
Tätigkeit; die sinnliche Vorstellung des Dichters läßt sich schwerlich
fassen. Der Nachahmer im B hat der Athena zu demselben Zweck,
den hier der Kampfzauber erreicht, die Ägis gegeben, die Apollon im
Ὁ mit dem Erfolge verwendet, den man der Gorgo zutraut. Daher
später, als die Ägis ein Panzer ist, das Gorgohaupt auf ihr. Ob sie für
den Dichter des O noch ein Ziegenfell war, wie der Name sagt, bleibt
fraglich. Die Attribute, welche die Götter in der ältesten Kunst
führen, werden alle einmal ähnliche Bedeutung gehabt haben, selbst
die Blumen und Früchte der Göttinnen, obwohl sie an sich in den
weiblichen Händen ohne weiteres verständlich sind.
 9. Die Verwundung der drei Achäerhelden Δ". 183 B 445—
54 ist diese prachtvolle Einführung in eine entscheidende Schlacht
kopiert‘). Zugleich erhebt Eris den Kampfruf: die Achäer folgen ihrer
Mahnung. Agamemnon ruft zu den Waffen und wappnet sich selbst.
Die Wappnung ist ein Locus communis der Rhapsoden; daß sie hier
unentbehrlich wäre, läßt sich nicht behaupten, aber sie paßt
vortrefflich, um den König zu heben, der gleich seine Aristie erhalten
soll. Zwei Stücke, Panzer und Schild, erhalten besonderen Schmuck.
Der Panzer stammt von Kinyras aus Kypros; die Verbindung mit
dieser Insel und die Kenntnis ihrer Metallwaren kann nicht
befremden, wenn sie auch im Epos vereinzelt ist. Sie gibt keine
Altersbestimmung; der Panzer auch nicht, denn mochte ein so
kostbares Stück nicht jedem erreichbar sein und unter dem alten
Riesenschild zwecklos, so hat es Rundschilde längst gegeben, ehe es
homerische Gedichte gab, und der König von Mykene war der erste,
der sich den Luxus erlauben konnte. Nur aus der Dekoration mag
der Archäologe eine Zeitbestimmung entnehmen; Boehlau (Ion.
Nekropolen 36) gibt das achte Jahrhundert an. Der Philologe wird
das gern annehmen, aber recht hoch hinaufgehen: eine Seltenheit,
die aus der Fremde kam, gibt der Dichter seinem Helden. Hera und
Athena begleiten den Auszug Agamemnons mit Donner: die
Teilnahme der Götter fehlt nicht. Die Wagen halten in Schlachtreihe
vor dem Graben; das Fußvolk strömt mit gewaltigem Geschrei vor. Es
geht nicht so wohlgeordnet und ruhig zu wie im 7. Keine Spur von
Phalangitentaktik. Das hat ein Rhapsode späterer Zeit wieder wie im
ΠῚ verbessern wollen und zugesetzt 51—55: „Die Infanterie war
lange geordnet, eh die Wagen herankamen.“ Das wäre besser
gewesen, und so wird man es in Kolophon gehalten haben; nur
verträgt es sich mit dem vorigen nicht, Zusatz ist auch der χακὸς
xvdoruids, den Zeus erregt, und der blutige Regen, den er fallen
läßt, weil er viele starke Häupter in den Hades senden wird. Weder
als Dämon wie Σ 535 paßt χιεδοιμός, noch als ταραχή, ϑόρυβος wie
ἢ Die Nachahmung hat aus V.11 das echte ὦρσε ἑκάστωι erhalten,
das im A zu ἔμβαλ ἑκάστωι: geworden war. Wenn das im Texte
belassen wird, so zeigt sich nur der Tiefstand der Recensio bei den
Sklaven Aristarchs. Dieser hat 13, 14 als Zusatz aus B richtig
beurteilt. In Wahrheit fallen sie einfach fort; Zenodot hat sie gar
nicht gehabt.
 184 Die Ilias und Homer. K 523: das Heer zieht ja mutig in
das Gefecht. Der Regen stammt aus dem II, der letzte Vers aus dem
Proömium des 4, Das genügt. Es folgt, wie es mußte, der Aufmarsch
der Troer; aber die Stelle ist zerstört. Der erste Vers Τρῶες δ᾽ add
ἑτέρωϑεν ἐπὶ ϑρωισμῶι πεδίοιο hat sogar sein Verbum verloren.
Darum wird er wenigstens vom echten übrig sein. Denn das
Folgende ist nicht echt: es werden Helden aufgeführt, die im 4 gar
keine Rolle spielen, Aineias, andere Antenoriden, als das 4 einführt,
ein ganz unbekannter Polybos. Jene kommen von M ab vor. Warum
ist hier das Echte verdrängt? Das erklärt sich dadurch, daß @
eingeschoben ist, an Stelle des echten Übergangsteiles am Schlusse
von H. Wissen läßt sich nicht mehr, was hier stand, noch weshalb es
zu © nicht paßte. Wenn auf den ϑρωισμὸς sredioıo Verlaß ist und er
so aufgefaßt werden darf wie X 160 und 73, so stehen die Troer den
Achäern nahe, kommen nicht erst wie im T aus der Stadt. Ob die
vorausgesetzte Gefechtslage so war, daß sie diese vorteilhafte
Stellung einnahmen, wird sich aus dem Fortgang des Gedichtes
ergeben. Wenn dem so war (und es ist so), mußte zwischen dem
Siegesmahl im 7 und dem 4 ein Stück stehen, das der Verfasser des
@ eben darum strich, weil er es am Schlusse des @ selbst benutzt
hatte: die Troer bezogen ein Biwak auf einem Hügel unweit des
feindlichen Lagers. Hektor als Gegenspieler Agamemnons erhält ein
prächtiges Gleichnis, ebenso die Kämpfer, die von beiden Seiten mit
gleichem Mut und Erfolg fechten, so daß Eris ihre Freude daran hat:
ihre Erwähnung sichert die Zugehörigkeit des Proömiums. So geht es
bis Mittag. Der Dichter geht also ganz rasch vor. Wunderbar, daß die
Zeitangabe unangetastet geblieben ist, denn in unserer Ilias sinkt die
Sonne, sogar vorzeitig, erst im Σ᾽ 240, Wieder muß eine
Interpolation aus dem Wege geräumt werden, 74—83. Der größere
Teil, 78—83, fällt von selbst weg, da Zenodot ihn nicht kannte, die
beiden andern nur als unecht mitführten. Aber auch die vier ersten
Verse müssen desselben Weges gehen. „Eris freute sich; sie war
nämlich allein gegenwärtig, die andern Götter saßen in ihren
Häusern.“ Das ist mit Rücksicht auf ©, das dortige Kampfverbot des
Zeus, ein 
 ; 8 Ye ne le an dd ln ai aa a En. u. SE 5 e 3 b E 9. Die
Verwundung der drei Achäerhelden Δ. 185 gelegt, also wieder von
dem Verfasser des ©. Man muß es fortdenken, damit die Kunst des
originalen Dichters herauskommt. Er hat den längeren
unentschiedenen Kampf und den endlichen Durchbruch in strengem
Parallelismus geschildert, zweimal sieben Verse. Dem Gleichnis im
ersten Teile entspricht die ähnlich ausgeschmückte Zeitbestimmung
im zweiten. So wird denn auch die Aristie Agamemnons in überlegter
Steigerung durch drei Kämpfe vorgeführt. Jedesmal erschlägt er die
Insassen eines Wagens. Die ersten!) werden kurz abgetan. Die
zweiten werden als Priamossöhne breiter vorgestellt und ihr
Überwinder durch ein Gleichnis geschmückt‘). Mit dem dritten Paare
kommt es zum Gespräche; sie bitten vergeblich. um Gnade, weil sie
die Söhne des Mannes sind, der sich am meisten der Auslieferung
Helenes widersetzt hat?). Das ist eine Beziehung auf ein älteres
Gedicht. 2) Der eine heißt ᾿Οιλεύς, offenbar wußte der Dichter, daß
der Name mit Ilios zusammenhängt. Ich glaube, daß Aias der Sohn
des Oileus einmal ein Überläufer gewesen ist oder sonst irgendwie
von den Feinden stammte, eine wichtige Person, die sich dann in
einen Lokrer und den Sohn der Asiatin Teukros gespalten hat; der
kleine Aias mag also ein Bastardbruder des großen gewesen sein. 2)
V. 100 läßt Agamemnon die Leichen liegen, „leuchtend mit ihrer
Brust, nachdem er ihnen die Kleider ausgezogen hat“. περιδύω muß
das bedeuten, wenn’s auch hart ist. Wenn sie keine anderen ἔναρα
hatten, nahm man also den Erschlagenen die Kleider, natürlich:
Eteokles (Aischy los Sieben 277) will ja auch δαίων ἐσθήματα in den
Tempeln aufhängen. Murray, rise of the Greek epie 119, beurteilt
diesen Vers richtig, in den andern Stellen hält seine Interpretation
nicht Stich. Und hier ist keine besonders archaische Roheit. Der eine
Priamossohn heißt ’/oos; ihn hat Maaß (Herm. 24, 645) scharfsinnig
als Eponymen von Ἴσσα auf Lesbos gedeutet. Aber dem Dichter
kann das, wenn es zutrifft, nicht mehr bewußt gewesen sein, und
ein Kurzname von Ἴσανδρος, Z197, oder ähnlichem befremdet nicht.
V.111, 12 sind interpoliert; daß Agamemnon die Priamossöhne
kannte, war nur dann erwähnenswert, wenn er jetzt irgendwie von
seiner Kenntnis Gebrauch machte. Ich sehe aus Leaf, daß die
Athetese, die mir seit vielen Jahren feststeht, von Platt bereits
ausgesprochen ist, ®) Die Stelle ist von dem Verfasser des
Füllstücks im Anfange des Z ausgeschrieben; dabei mußte der
Vatersname in 132 ἐν ᾿Αντιμάχου πατρός weichen” und ward Z 47
durch ἀφνειοῦ ersetzt. Dies ist wieder in das A zum Teil
eingedrungen. Dagegen hat nur Zenodot das richtige πατρός
erhalten, während die παράδοσις den falschen kurzen Dativ δόμοις
eingesetzt hat, Zenodots Text war in diesem Buche mehrfach besser,
86 δόρπον gegen
 186 Die Dias und Homer. Durch diese Taten Agamemnons
ist der Widerstand der Troer gebrochen. Er stürzt in die Masse der
Fliehenden, und nun bricht das ganze Heer der Achäer ein. In dem
Parallelismus, den dieser Dichter liebt, wird erst 150—54 das
Verhalten der Sieger vorgeführt‘), dann, durch ein Gleichnis
verbunden, das der Fliehenden 159—62. Ein grausig höhnendes
Wort, γύπεσσιν πολὺ φίλτερον ἢ ἀλόχοισιν schließt ab; ganz so 395
οἰωνοὶ δὲ περὶ πλέες ἠὲ γυναῖκες, Den Hektor rettet Zeus aus dem
Getümmel; die Masse wird am Grabe des Ilos vorbei, am
Feigenbaume vorbei bis an das skäische Tor und die Eiche?) gejagt,
wo sie wieder zum Stehen kommt. Unter den Zurückgebliebenen, die
noch über die Mitte des Feldes flohen, wütet δεῖπνον, 101 βῆ Ἶσον
ohne das Füllsel ῥ᾽, 142 οὗ gegen τοῦ, Das Wichtigste ist freilich,
daß so viele Interpolationen fehlten. Die Gesandtschaft von
Odysseus und Menelaos, 1΄ 205, geht auf die Szene, in der
Antimachos für Paris sprach, die Antenoriden sich der Achäer
annahmen, was die Eindichtung Z 847 nachahmt. Die Antenoriden
des Bakchylides werden die Kyprienform wiedergeben. Sie beweisen,
daß Sophokles’ ’Avryvogida: gleich “Ἑλένης ἀπαίτησις ist; die von
Nauck zu dem Drama gestellte Angabe Strabons über das Verhalten
der Antenoriden bei der Persis kann in mehreren andern Dramen
genau so gut untergebracht werden. !) Anstöße, die man an
Einzelheiten genommen hat, wiegen leicht. 151 ἱππῆες δ᾽ ἱππῆας ὑπὸ
δέ σφισιν muß als Überlieferung, ἱππῆς (-e%) als Versuch der
Heilung gelten, die vielmehr in ὕπὸ σφίσι δ᾽ von Lehrs gefunden ist.
Daß ἐρίγδουπος hier von den Hufen der Pferde, sonst nur von Zeus
gesagt wird, ist doch nur ein Beweis, daß diesem Dichter der
Wortsinn noch lebendig war. Daß zwischen ἱππῆες δ᾽ ἱππῆας
(öhexov) und der Apposition χαλκεῶε Öndwvres ein ausmalender
Satz steht, ohne die Konstruktion zu sprengen, sollte man mit
Freude als Zeichen lebendiger alter Rede begrüßen: die Parataxe ist
die archaische Ausdrucksform; für den Gedanken ist das Glied
hypotaktisch. Interpolatoren reden konventionell; wer das
Eigentümliche wegwirft oder wegwischt, stellt sich selbst zu ihrer
Sippe. 3) ynyös sollen wir uns gewöhnen mit Eiche zu übersetzen,
nicht mit Buche, als ob es lateinisch wäre. Denn so viel ist sicher,
daß φηγός nicht die Buche ist, aber eine Eichenart; welche von den
vielen Arten dieses so recht griechischen Baumes, ist unsicher, denn
mehrere konnten als „Baum, dessen Frucht man essen kann“
bezeichnet werden. δρῦς ist seiner Natur nach und sehr häufig nur
Laubbaum ohne nähere Angabe, so gleich 494, wo πεύκη das
Nadelholz komplementär bezeichnet wie im Drama öfter ἐλάτη.
δρυμός δρυμών hat die Bedeutung immer behalten, ἀκρόδρυα auch.
Als man dann, eben weil die Eiche der häufigste Waldbaum war,
einen Eichenhain benennen wollte, hat man sprachwidrig δρυενών
gebildet, IG.I Suppl. 5. 85.
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