Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy,...

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Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting Fellow, Australian National University http://www.anu.edu.au/people/Roger.Clarke /... ...Res /90-Recap.ppt ebs, 16-20 January 2003

Transcript of Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy,...

Page 1: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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Invitation to Research

RECAPITULATION

Roger Clarke, Xamax Consultancy, CanberraVisiting Professor, CSIS, Uni of Hong Kong

Visiting Fellow, Australian National University

http://www.anu.edu.au/people/Roger.Clarke/......Res /90-Recap.ppt

ebs, 16-20 January 2003

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Invitation to ResearchObjectives

• Provide candidates with:• Meta-Theory and Theory re the Process of

Research• An Overview of Research Techniques• Practical Guidance re Research Process and

Product• Motivation

• Establish a Common Intellectual Platform to support individual candidates, Professors and Institutes

Page 3: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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Invitation to ResearchSyllabus

• Introduction (1 hr)• Key Insights from the

Philosophy of Science (c. 7 hrs)• Research Techniques (c. 8 hrs)• The Research Process (c. 3 hrs)• Case Study: eBusiness (1 hr)• The Research Product (c. 2 hrs)• Recapitulation (1 hr)

Page 4: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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Invitation to ResearchWhat You Won’t Get From This

Seminar

• Information Specific to Your Particular Discipline

• Details on Specific Research Techniques• Statistical Analysis Techniques• Descriptions of Specific Theories• ...• How to Conduct Your Research Project

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The Conventional Ontological and Epistemological Positions

• Things around me exist• Knowledge that a person has of a thing is not the

thing itself, but rather an internal model of the thing

• That is not inconsistent with the empirical view:we learn about things by sensing or measuring them

• It is also not inconsistent with the apriori view:each person’s perceptual and cognitive apparatus (eyes and ears, optic and auditory nerves, sensory nervous system, brain, etc.) mediate their experience of the external things

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• Data

• Information (Codified)

• Knowledge (Tacit)

• Wisdom

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Communication• Data and Information are not simply

transferrable from one person to another, but are subject to constraints of:

• the sender, e.g. effectors, motivations• the medium, e.g. capacity, noise• the receiver, e.g. perceptive and cognitive

apparatus• Data and Information are expressed in a

Language, often a specialised Dialect, which is subject to lingual and cultural ambiguity

Page 8: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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Recapitulation of the Conventional Assumptions

• There is a reality, outside the human mind• Humans cannot directly capture those things• Humans:

• sense and measure those things• construct an internalised model of them

• The acts of sensing and measurement are enabled by, and constrained by, the human perceptual apparatus (anatomy and physiology) and mental processes

• Knowledge exists at two levels:• within individual humans• captured, expressed, and stored for recovery

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Theory• Formal Theory:

• A coherent group of general propositions that enable a systematic description of Phenomena within a particular Domain (and possibly explanation and even prediction)

• As distinct from Ad Hoc Theory:• A conjectural, as-yet-untested description

• Nets to catch what we call ‘the world’, to rationalise, to explain, and to master it (Popper)

Page 10: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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The Process of Science

• Theory has an ideal form (Axioms, Logic, Inferences, Inferences Operationally Defined)

• A Scientific Theory enables propositions to be generated which are in principle 'Refutable' by comparison against observations of the real world

• A Paradigm (a body of language, shared precepts, theory and methods) enables ‘normal science’, and a ‘program’ develops around it. Anomalies gradually accumulate, and Paradigm Shift occurs

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• Systems• Models• Cybernetics• Complexity of:

• System• Model• Behaviour

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Categories of Models

• Deterministic Models – Automata• Computable by Analytical Methods• Too Complex to Compute, hence

Requiring Numerical Methods• Probabilistic Models• Non-Deterministic / Stochastic

Models• Entities exercising

Self-Determination / Free Wille.g. Humans and Organisations

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The Conventional Scientific Research Process - 6 of 6

Abstract World

Real World

Hypotheses

ResearchDesign

Axioms

DeductiveLogic

Inferences

THEORYThe Research Results

provide feedback to the Theory

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Conventional, Scientific Research Key Features

• Investigates Research Questions within a Domain

• Is driven by theories that:• are founded on axioms• comprise trees of deductive inference• generate refutable Hypotheses

• Is designed to test the Hypotheses• Exercises control over confounding variables• Leads to theory extension or refinement

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Conventional Scientific Research

Meta-Physical Assumptions

• There is a Real World• The phenomena in that Real World are stable• Data gathered by observing the Real World are

factual, truthful and unambiguous• The domain of study is not affected by either

the research, or the researcher• The language in which Theory is expressed is

unambiguous, and contains no value judgements

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Interpretivist ResearchMeta-Physical Assumptions

• The Observer's Perspective is a Factor:• in the selection and formulation of

Theory• in the formulation of Hypotheses• in choices made in the Research Design

process• in the selectiveness of observation • in the process of observation

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Conventional Scientific Research

Data Assumptions

• Data must be Objective• Objective means relatively proximate to Truth• Subjective means relatively distant from

Truth• The notion of Objectivity presumes:

• the existence of Truth• its accessibility by humans

• Objective Data is Quantified Data,i.e. expressed in terms that place it on a scale

Page 18: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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Interpretivist ResearchData Assumptions

• Objectivity, in the sense in which it is used in Scientific Research, is meaningless, because:

• it presumes the existence of a unitary Truth• it presumes that Truth to be accessible by humans• it overlooks the fact that entities within the domain

think they can exercise free will• An Alternative Interpretation:

• Try to identify Researcher Biases• Try to avoid or allow for Researcher Biases• Enable evaluators to assess Researcher Biasses

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‘Critical Theory’-Informed Research

• A More Extreme Reaction against Positivism• Examines Phenomena within Context,

rather than artificially isolating them• Study of Social Life with the intentions of:

• demystifying technological imperatives• challenging managerial rationalism• revealing hidden agendas, the exercise

of power, and manipulation• Attempts Disciplined Reflection

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‘Engineering’ Research

• Make ArtefactsTo enable effective interventions to be undertaken in a particular domain

• Break ArtefactsTo identify the limits of their applicability, effectiveness or usefulness

Page 21: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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Alternative Motivations for Research

• ‘Pure Research’“because it’s there”contribute to abstract, theoretical understanding

• ‘Applied Research’“I have a hammer, so go and find me a nail”

• ‘Instrumentalist Research’“I have a problem, so go and find me a solution”

Page 22: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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The Nature of Research Outcomes

Exploratory• The first depiction of

something newDescriptive• The depiction of a

behaviour or a domainExplanatory• Systemic explanation of

how past behaviours arose

• Ascription of causes to prior occurrences

‘Predictive’• Statement of what

occurrences will arise• Systemic explanation of how

behaviours will arise• Statement and explanation

of the effect particular interventions will have

Normative• Statement of interventions

necessary to achieve desired outcomes

• Statement of desired outcomes

Page 23: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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The Nature of Data(Measurement Scales)

• Quantitative• Ratio a natural zero• Cardinal / Interval no natural zero• Ranked Ordinal sequence (numbers)

• Qualitative• Category Ordinal sequence (text)• Nominal differentiation• Dichotomous it is or it isn’t

Page 24: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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Unit of Analysis

• A Person• An Event• An Object• A Body of Individuals

Group, Organisational Unit, Organisation• A Relationship, e.g. a Dyad• An Aggregate

Census District, Industry Segment or Sector

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AdvertisingBudget

Fashion,WeatherSalesModerating or

Interacting Variables

Cause, orIndependent

Variable

Effect, orDependent

Variable

Competitor’sAd CampaignExtraneous or Confounding

Variables

AdvertisingCampaignIntervening

Variable

Causality ?

Page 26: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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Non-Empirical Research TechniquesA Taxonomy (8)

• Review of Existing Literature• ‘Scholarship’• Conceptual Research

(Contemplative, ‘Armchair’)

• Futurism, especially Delphi Rounds• Scenario-Building• Game-Playing or Role-Playing• Analytical and Simulation Modelling

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Scientific Research Techniques A Taxonomy (3+5)

• Laboratory Experimentation• Field Experimentation and

Quasi-Experimental Designs• Forecasting• ...

Page 28: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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Hermeneutics

• The study of the interpretation of texts

• ‘Text’ is to be understood generically

• Four Approaches:• Conservative• Critical• Dialogical• Radical

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Interpretivist Research Techniques A Taxonomy (5+5)

• Descriptive/Interpretive• Focus Group• Action Research• Ethnographic Research• Grounded Theory• ...

Page 30: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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Research Techniques at the Boundary ofScientific and Interpretivist Research

A Taxonomy (5)

• Field Study• Questionnaire-Based

Survey• Interview-Based Survey• Case Study• Secondary Research

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Questionnaire-Based SurveyThe Traditional, Positivist Model

ResearcherRespondentA carefully standardisedphysical stimulus(e.g. a question)

A responseexpressed in a

standardised formatprovided by the Researcher

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Questionnaire-Based SurveyThe Symbolic Interactionist

ViewEncodes a stimulus,

for a perceived purpose,using presumptions

about respondents, andperceptions of the

respondents’ knowledge

Decodes the stimulus, using presumptions

about the researcher, and perceptions of theresearcher’s purpose

and knowledge

Encodes the response, using presumptions

about the researcher, and perceptions of theresearcher’s purpose

and knowledge

Decodes the response, using presumptions

about respondents, and perceptions of the

respondent’s purpose and knowledge

ResearcherRespondent

Page 33: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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Case Study – Alternative Perspectives

Positivist Orientation

• Theory-Driven• Variables Pre-

Defined• Purposeful

Collection• Quantitative Data• Causality• Replicability

Interpretivist Orientation

• Theory-Driven or Not

• Variables Emerge• A Moderate Focus• Qualitative Data• Understanding• Likely Ambiguity

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Engineering Research Techniques A Taxonomy (5)

• Construction of an Artefact• Conception (based on a body of theory)• Design / Creation / Prototyping /

Demonstration / ‘Proof of Concept’• Metrication of Artefact Usage

• Destruction of an Artefact• Testing• Application

Page 35: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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The 3-Year ModelYear 1Year 2Year 3

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The Importance of Careful and Comprehensive Literature

Review• Stand on the shoulders of others• Participate in ‘normal science’ –

Fix the world later, not in your PhD• Contribute to the cumulative tradition• Avoid accidental re-invention

(although conscious replication is tenable)• If you steal from one author, it’s plagiarism;

if you steal from many, it’s researchAttrib. Wilson Mizner (1876-1933)

Page 37: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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The Proposal – Structure

• Title Page• Introduction• Literature Research

• Annotated Bibliography

• Literature Review• The Research

Question(s)

• The Research Method

• Anticipated Outcomes

• Their Significance• Project Plan• Reference List• Bibliography

Page 38: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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A Warning:Rationality of Product, but not of

Process

In seeking a path to the top of the mountain, I took what seemed like a sensible path. But it turned out to be tortuous and exhausting, with many dead ends.I eventually emerged at the top, tired and hungry, and scratched from head to toe. I then saw ‘a right royal road’ from the valley to the summit of the mountain.I avoided telling my colleagues how I did the climb, instead helping them to find that ‘right, royal road’.

After Poincaré

Page 39: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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Ethical Issues Involving Research Subjects

• Researcher power over subjects• Researcher duplicity regarding

the purposes of the research• Subject de-briefing

• Subject Safety, including against stress• Subject loss of control over personal

space, including their behaviour and their data

• Impact of the results

Page 40: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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Ethical Issues Involving The Researcher

• Conference paper from incomplete research

• Glossed research method• Anticipated outcomes• Citation and authorship• More details required for method,

outcomes• An eerily familiar block of text• Incomplete references

Page 41: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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Research in e-Business Concluding Observations

• A Research Domain, not a Discipline• In need of the insights of multiple disciplines• Ill-served by existing bodies of theory• Breadth and depth are both needed, but

holism and integration are very challenging• A Research Method generally requires several

complementary Research Techniques• Relevance as Objective; Rigour as Constraint• ‘Technology’, Apps, Implications and Policy

Page 42: Copyright, 1995-2002 1 Invitation to Research RECAPITULATION Roger Clarke, Xamax Consultancy, Canberra Visiting Professor, CSIS, Uni of Hong Kong Visiting.

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The Concept ‘Dissertation’

• An original, rigorous work of research• Carried out by the candidate

with substantial independence• Developing from a base of knowledge

in the research domain• Applying appropriate techniques

in an appropriate manner• Advancing knowledge in the domain• Presented in a logical fashion